Using CMMI Models

The complexity of today’s services demands an integrated view of how organizations do business. CMMI can reduce the cost of process improvement across enterprises that depend on multiple functions or groups to produce products and services.

To achieve this integrated view, the CMMI Framework includes common terminology, common model components, common appraisal methods, and common training materials. This chapter describes how organizations can use the CMMI Product Suite not only to improve their quality, reduce their costs, and optimize their schedules, but also to gauge how well their process improvement program is working.

Adopting CMMI

Research has shown that the most powerful initial step to process improvement is to build organizational support through strong senior management sponsorship. To gain senior management sponsorship, it is often beneficial to expose senior management to the performance results experienced by others who have used CMMI to improve their processes [Gibson 2006].

For more information about CMMI performance results, see the SEI Web site at http://www.sei.cmu.edu/cmmi/results.html.

The senior manager, once committed as the process improvement sponsor, must be actively involved in the CMMI-based process improvement effort. Activities performed by the senior management sponsor include but are not limited to the following:

· Influence the organization to adopt CMMI

· Choose the best people to manage the process improvement effort

· Monitor the process improvement effort personally

· Be a visible advocate and spokesperson for the process improvement effort

· Ensure that adequate resources are available to enable the process improvement effort to be successful

Given sufficient senior management sponsorship, the next step is establishing a strong, technically competent process group that represents relevant stakeholders to guide process improvement efforts.

For an organization with a mission to deliver quality services, the process group might include those representing the different disciplines across the organization and other selected members based on the business needs driving improvement. For example, a systems administrator may focus on information-technology support, whereas a marketing representative may focus on integrating customers’ needs. Both members could make powerful contributions to the process group.

Once your organization decides to adopt CMMI, planning can begin with an improvement approach such as the IDEAL^SM (Initiating, Diagnosing, Establishing, Acting, & Learning) model [McFeeley 1996]. For more information about the IDEAL model, see the SEI Web site at http://www.sei.cmu.edu/ideal/ideal.html.

Your Process Improvement Program

Use the CMMI Product Suite to help establish your organization’s process improvement program. Using the product suite for this purpose can be a relatively informal process that involves understanding and applying CMMI best practices to your organization. Or, it can be a formal process that involves extensive training, creation of a process improvement infrastructure, appraisals, and more.

Selections that Influence Your Program

You must make three selections to apply CMMI to your organization for process improvement:

1. Select a part of the organization.

2. Select a model.

3. Select a representation.

Selecting the projects to be involved in your process improvement program is critical. If you select a group that is too large, it may be too much for the initial improvement effort. The selection should also consider how homogeneous the group is (i.e., whether they all are experts in the same discipline, whether they all work on the same product or business line, and so on).

The process of selecting the representation to be used has some guidelines because of how CMMI models are built. If your organization likes the idea of maturity levels and the staged representation, your improvement roadmap is already defined. If your organization likes the continuous representation, you can select nearly any process area or group of process areas to guide improvement, although dependencies among process areas should be considered when making such a selection.

As the process improvement plans and activities progress, other important selections must be made, including which appraisal method should be used, which projects should be appraised, how training for personnel should be secured, and which personnel should be trained.

CMMI Models

CMMI models describe best practices that organizations have found to be productive and useful to achieving their business objectives. Regardless of your organization, you must use professional judgment when interpreting CMMI best practices for your situation, needs, and business objectives. Although process areas depict the characteristics of an organization committed to process improvement, you must interpret the process areas using an in-depth knowledge of CMMI, your organization, the business environment, and the specific circumstances involved.

As you begin using a CMMI model to improve your organization’s processes, map your real-world processes to CMMI process areas. This mapping enables you to initially judge and later track your organization’s level of conformance to the CMMI model you are using and to identify opportunities for improvement.

To interpret practices, it is important to consider the overall context in which these practices are used and to determine how well the practices satisfy the goals of a process area in that context. CMMI models do not prescribe nor imply processes that are right for any organization or project. Instead, CMMI describes minimal criteria necessary to plan and implement processes selected by the organization for improvement based on business objectives.

CMMI practices purposely use nonspecific phrases such as relevant stakeholders, as appropriate, and as necessary to accommodate the needs of different organizations and projects. The specific needs of a project may also differ at various points in its life.

Using CMMI Appraisals

Many organizations find value in measuring their progress by conducting an appraisal and earning a maturity level rating or a capability level achievement profile. These types of appraisals are typically conducted for one or more of the following reasons:

· To determine how well the organization’s processes compare to CMMI best practices and identify areas where improvement can be made

· To inform external customers and suppliers about how well the organization’s processes compare to CMMI best practices

· To meet the contractual requirements of one or more customers

Appraisals of organizations using a CMMI model must conform to the requirements defined in the Appraisal Requirements for CMMI (ARC) document. Appraisals focus on identifying improvement opportunities and comparing the organization’s processes to CMMI best practices. Appraisal teams use a CMMI model and ARC-conformant appraisal method to guide their evaluation of the organization and their reporting of conclusions. The appraisal results are used (e.g., by a process group) to plan improvements for the organization.

Appraisal Requirements for CMMI

The Appraisal Requirements for CMMI (ARC) document describes the requirements for several types of appraisals. A full benchmarking class of appraisal is defined as a Class A appraisal method. Less formal methods are defined as Class B or Class C methods. The ARC document was designed to help improve consistency across appraisal methods and to help appraisal method developers, sponsors, and users understand the tradeoffs associated with various methods [SEI 2006c].

Depending on the purpose of the appraisal and the nature of the circumstances, one class may be preferred over the others. Sometimes self-assessments, initial appraisals, quick-look or mini-appraisals, incremental appraisals, or external appraisals are appropriate; at other times a formal benchmarking appraisal is appropriate.

A particular appraisal method is declared an ARC Class A, B, or C appraisal method based on the sets of ARC requirements that the method developer addressed when designing the method.

More information about the ARC is available on the SEI Web site at http://www.sei.cmu.edu/cmmi/appraisals/index.html.

SCAMPI Appraisal Methods

The SCAMPI A appraisal method is the generally accepted methods used for conducting ARC Class A appraisals using CMMI models. The SCAMPI A Method Definition Document (MDD) defines rules for ensuring the consistency of SCAMPI A appraisal ratings [SEI 2006b]. For benchmarking against other organizations, appraisals must ensure consistent ratings. The achievement of a specific maturity level or the satisfaction of a process area must mean the same thing for different appraised organizations.

The SCAMPI family of appraisals includes Class A, B, and C appraisal methods. The SCAMPI A appraisal method is the officially recognized and most rigorous method. It is the only method that can result in benchmark quality ratings. SCAMPI B and C appraisal methods provide organizations with improvement information that is less formal than the results of a SCAMPI A appraisal, but nonetheless helps the organization identify improvement opportunities.

More information about SCAMPI methods is available on the SEI Web site at http://www.sei.cmu.edu/cmmi/appraisals/index.html.

Appraisal Considerations

Choices that affect a CMMI-based appraisal include the following:

· The CMMI model

· The appraisal scope, including the organizational unit to be appraised, the CMMI process areas to be investigated, and the maturity level or capability levels to be appraised

· The appraisal method

· The appraisal team members

· The appraisal participants selected from the appraisal entities to be interviewed

· The appraisal outputs (e.g., ratings or instantiation-specific findings)

· The appraisal constraints (e.g., time spent on site)

The SCAMPI MDD allows the selection of predefined options for use in an appraisal. These appraisal options are designed to help organizations align CMMI with their business needs and objectives.

CMMI appraisal plans and results must always include a description of the appraisal options, model scope, and organizational scope selected. This documentation confirms whether an appraisal meets the requirements for benchmarking.

For organizations that wish to appraise multiple functions or groups, CMMI’s integrated approach enables some economy of scale in model and appraisal training. One appraisal method can provide separate or combined results for multiple functions.

The appraisal principles for CMMI are the same as those used in appraisals for other process improvement models. Those principles are as follows:

· Senior management sponsorship[7]

· A focus on the organization’s business objectives

· Confidentiality for interviewees

· Use of a documented appraisal method

· Use of a process reference model (e.g., a CMMI model) as a base

· A collaborative team approach

· A focus on actions for process improvement

CMMI-Related Training

Whether your organization is new to process improvement or is already familiar with process improvement models, training is a key element in the ability of organizations to adopt CMMI. An initial set of courses is provided by the SEI and its Partners, but your organization may wish to supplement these courses with its own instruction. This approach allows your organization to focus on areas that provide the greatest business value.

The SEI and its Partners offer a course that provides a basic overview of CMMI-SVC. The SEI also offers the Intermediate Concepts of CMMI course to those who plan to become more deeply involved in CMMI adoption or appraisal—for example, those who will guide improvement as part of a process group, those who will lead SCAMPI appraisals, and those who will teach the Introduction to CMMI course.

Current information about CMMI-related training is available on the SEI Web site at http://www.sei.cmu.edu/cmmi/training/index.html.

Part Two -
Generic Goals and Generic Practices, and the Process Areas

Generic Goals and Generic Practices

Overview

This section describes, in detail, all the generic goals and generic practices of CMMI—model components that directly address process institutionalization. Generic practice elaborations appear after generic practices to show how these practices should uniquely be applied to various process areas.

Process Institutionalization

Institutionalization is an important concept in process improvement. When mentioned in the generic goal and generic practice descriptions, institutionalization implies that the process is ingrained in the way the work is performed and there is commitment and consistency to performing the process.

An institutionalized process is more likely to be retained during times of stress. When the requirements and objectives for the process change, however, the implementation of the process may also need to change to ensure that it remains effective. The generic practices describe activities that address these aspects of institutionalization.

The degree of institutionalization is embodied in the generic goals and expressed in the names of the processes associated with each goal as indicated in Table 1.3.

Table 1.3 Generic Goals and Process Names

The progression of process institutionalization is characterized in the following descriptions of each process.

Performed Process

A performed process is a process that accomplishes the work necessary to produce work products. The specific goals of the process area are satisfied.

Managed Process

A managed process is a performed process that is planned and executed in accordance with policy; employs skilled people who have adequate resources to produce controlled outputs; involves relevant stakeholders; is monitored, controlled, and reviewed; and is evaluated for adherence to its process description. The process may be instantiated by a project, group, or organizational function. Management of the process is concerned with institutionalization and the achievement of other specific objectives established for the process, such as cost, schedule, and quality objectives. The control provided by a managed process helps to ensure that the established process is retained during times of stress.

The requirements and objectives for the process are established by the organization. The status of the work products and delivery of the services are visible to management at defined points (e.g., at major milestones and completion of major tasks). Commitments are established among those performing the work and the relevant stakeholders and are revised as necessary. Work products are reviewed with relevant stakeholders and are controlled. The work products and services satisfy their specified requirements.

A critical distinction between a performed process and a managed process is the extent to which the process is managed. A managed process is planned (the plan may be part of a more encompassing plan) and the performance of the process is managed against the plan. Corrective actions are taken when the actual results and performance deviate significantly from the plan. A managed process achieves the objectives of the plan and is institutionalized for consistent performance.

Defined Process

A defined process is a managed process that is tailored from the organization’s set of standard processes according to the organization’s tailoring guidelines; has a maintained process description; and contributes work products, measures, and other process improvement information to the organizational process assets.

The organizational process assets are artifacts that relate to describing, implementing, and improving processes. These artifacts are assets because they are developed or acquired to meet the business objectives of the organization, and they represent investments by the organization that are expected to provide current and future business value.

The organization’s set of standard processes, which are the basis of the defined process, are established and improved over time. Standard processes describe the fundamental process elements that are expected in the defined processes. Standard processes also describe the relationships (e.g., the ordering and the interfaces) among these process elements. The organization-level infrastructure to support current and future use of the organization’s set of standard processes is established and improved over time. (See the definition of “standard process” in the glossary.)

A project’s defined process provides a basis for planning, performing, and improving the project’s tasks and activities. A project may have more than one defined process (e.g., one for developing the product and another for testing the product).

A defined process clearly states the following:

· Purpose

· Inputs

· Entry criteria

· Activities

· Roles

· Measures

· Verification steps

· Outputs

· Exit criteria

A critical distinction between a managed process and a defined process is the scope of application of the process descriptions, standards, and procedures. For a managed process, the process descriptions, standards, and procedures are applicable to a particular project, group, or organizational function. As a result, the managed processes of two projects in one organization may be different.

Another critical distinction is that a defined process is described in more detail and is performed more rigorously than a managed process. This means that improvement information is easier to understand, analyze, and use. Finally, management of the defined process is based on the additional insight provided by an understanding of the interrelationships of the process activities and detailed measures of the process, its work products, and its services.

Quantitatively Managed Process

A quantitatively managed process is a defined process that is controlled using statistical and other quantitative techniques. The product quality, service quality, and process-performance attributes are measurable and controlled throughout the project.

Quantitative objectives are established based on the capability of the organization’s set of standard processes; the organization’s business objectives; and the needs of the customer, end users, organization, and process implementers, subject to the availability of resources. The people performing the process are directly involved in quantitatively managing the process.

Quantitative management is performed on the overall set of processes that produces a product. The subprocesses that are significant contributors to overall process performance are statistically managed. For these selected subprocesses, detailed measures of process performance are collected and statistically analyzed. Special causes of process variation are identified and, where appropriate, the source of the special cause is addressed to prevent its recurrence.

The quality and process-performance measures are incorporated into the organization’s measurement repository to support future fact-based decision making.

Activities for quantitatively managing the performance of a process include the following:

· Identifying the subprocesses that are to be brought under statistical management

· Identifying and measuring product and process attributes that are important contributors to quality and process performance

· Identifying and addressing special causes of subprocess variations (based on the selected product and process attributes and subprocesses selected for statistical management)

· Managing each of the selected subprocesses, with the objective of bringing their performance within natural bounds (i.e., making the subprocess performance statistically stable and predictable based on the selected product and process attributes)

· Predicting the ability of the process to satisfy established quantitative quality and process-performance objectives

· Taking appropriate corrective actions when it is determined that the established quantitative quality and process-performance objectives will not be satisfied

These corrective actions include changing the objectives or ensuring that relevant stakeholders have a quantitative understanding of, and have agreed to, the performance shortfall.

A critical distinction between a defined process and a quantitatively managed process is the predictability of process performance. The term quantitatively managed implies using appropriate statistical and other quantitative techniques to manage the performance of one or more critical subprocesses so that the performance of the process can be predicted. A defined process provides only qualitative predictability.

Optimizing Process

An optimizing process is a quantitatively managed process that is changed and adapted to meet relevant current and projected business objectives. An optimizing process focuses on continually improving process performance through both incremental and innovative technological improvements. Process improvements that address common causes of process variation, root causes of defects, and other problems; and those that would measurably improve the organization’s processes are identified, evaluated, and deployed as appropriate. These improvements are selected based on a quantitative understanding of their expected contribution to achieving the organization’s process improvement objectives versus the cost and impact to the organization.

Selected incremental and innovative technological process improvements are systematically managed and deployed into the organization. The effects of the deployed process improvements are measured and evaluated against the quantitative process improvement objectives.

In a process that is optimized, common causes of process variation are addressed by changing the process in a way that will shift the mean or decrease variation when the process is restabilized. These changes are intended to improve process performance and to achieve the organization’s established process improvement objectives.

A critical distinction between a quantitatively managed process and an optimizing process is that the optimizing process is continuously improved by addressing common causes of process variation. A quantitatively managed process is concerned with addressing special causes of process variation and providing statistical predictability of the results. Although the process may produce predictable results, the results may be insufficient to achieve the organization’s process improvement objectives.

Relationships among Processes

The generic goals evolve so that each goal provides a foundation for the next. Therefore the following conclusions can be made:

· A managed process is a performed process.

· A defined process is a managed process.

· A quantitatively managed process is a defined process.

· An optimizing process is a quantitatively managed process.

Thus, applied sequentially and in order, the generic goals describe a process that is increasingly institutionalized from a performed process to an optimizing process.

Achieving GG 1 for a process area is equivalent to saying you achieve the specific goals of the process area.

Achieving GG 2 for a process area is equivalent to saying you manage the performance of processes associated with the process area. There is a policy that indicates you will perform it. There is a plan for performing it. There are resources provided, responsibilities assigned, training on how to perform it, selected work products from performing the process are controlled, and so on. In other words, the process is planned and monitored just like any project or support activity.

Achieving GG 3 for a process area assumes that an organizational standard process exists that can be tailored to result in the process you will use. Tailoring might result in making no changes to the standard process. In other words, the process used and the standard process may be identical. Using the standard process “as is” is tailoring because the choice is made that no modification is required.

Each process area describes multiple activities, some of which are repeatedly performed. You may need to tailor the way one of these activities is performed to account for new capabilities or circumstances. For example, you may have a standard for developing or obtaining organizational training that does not consider Web-based training. When preparing to develop or obtain a Web-based course, you may need to tailor the standard process to account for the particular challenges and benefits of Web-based training.

Achieving GG 4 or GG 5 for a process area is conceptually feasible but may not be economical except, perhaps, in situations where the product domain has become stable for an extended period or in situations in which the process area or domain is a critical business driver.

Generic Goals and Generic Practices

This section describes all of the generic goals and generic practices, as well as their associated subpractices, notes, examples, references, and generic practice elaborations. The generic goals are organized in numerical order, GG 1 through GG 5. The generic practices are also organized in numerical order under the generic goal they support.

The generic practice elaborations are listed after each generic practice for some process areas. Not all process areas are represented since application of generic practices to process areas sometimes needs no explanation and other times requires more than what a simple paragraph can provide.

GG 1 Achieve Specific Goals

The process supports and enables achievement of the specific goals of the process area by transforming identifiable input work products to produce identifiable output work products.

GP 1.1 Perform Specific Practices

Perform the specific practices of the process area to develop work products and provide services to achieve the specific goals of the process area.

The purpose of this generic practice is to produce the work products and deliver the services that are expected by performing the process. These practices may be done informally, without following a documented process description or plan. The rigor with which these practices are performed depends on the individuals managing and performing the work and may vary considerably.

GG 2 Institutionalize a Managed Process

The process is institutionalized as a managed process.

GP 2.1 Establish an Organizational Policy

Establish and maintain an organizational policy for planning and performing the process.

The purpose of this generic practice is to define the organizational expectations for the process and make these expectations visible to those in the organization who are affected. In general, senior management is responsible for establishing and communicating guiding principles, direction, and expectations for the organization.

Not all direction from senior management will bear the label “policy.” The existence of appropriate organizational direction is the expectation of this generic practice, regardless of what it is called or how it is imparted.

CAR Elaboration:

This policy establishes organizational expectations for identifying and systematically addressing root causes of defects and other problems.

CM Elaboration:

This policy establishes organizational expectations for establishing and maintaining baselines, tracking and controlling changes to work products (under configuration management), and establishing and maintaining integrity of the baselines. This policy must address authorizing and implementing emergency changes.

DAR Elaboration:

This policy establishes organizational expectations for selectively analyzing possible decisions using a formal evaluation process that evaluates identified alternatives against established criteria. The policy should also provide guidance on which decisions require a formal evaluation process.

IPM Elaboration:

This policy establishes organizational expectations for establishing and maintaining the project’s defined process from project startup through the life of the project, using the project’s defined process in managing the project, and coordinating and collaborating with relevant stakeholders.

IRP Elaboration:

This policy establishes organizational expectations for establishing an approach to incident resolution and prevention; identifying, controlling, and addressing incidents; and for selected incidents, determining workarounds or addressing underlying causes.

MA Elaboration:

This policy establishes organizational expectations for providing measurement results and for aligning measurement objectives and activities with identified information needs and objectives.

OID Elaboration:

This policy establishes organizational expectations for identifying and deploying process and technology improvements that contribute to meeting quality and process-performance objectives.

OPD Elaboration:

This policy establishes organizational expectations for establishing and maintaining a set of standard processes for use by the organization, making organizational process assets available across the organization, and establishing rules and guidelines for integrated teams.

OPF Elaboration:

This policy establishes organizational expectations for determining process improvement opportunities for the processes being used and for planning, implementing, and deploying process improvements across the organization.

OPP Elaboration:

This policy establishes organizational expectations for establishing and maintaining process-performance baselines for the organization’s set of standard processes.

OT Elaboration:

This policy establishes organizational expectations for identifying the strategic training needs of the organization and providing that training.

PMC Elaboration:

This policy establishes organizational expectations for monitoring performance against the project plan and managing corrective action to closure when actual performance or results deviate significantly from the plan.

PP Elaboration:

This policy establishes organizational expectations for estimating planning parameters, making internal and external commitments, and developing the plan for managing the project.

PPQA Elaboration:

This policy establishes organizational expectations for objectively evaluating whether processes and associated work products adhere to applicable process descriptions, standards, and procedures; and ensuring that noncompliance is addressed.

This policy also establishes organizational expectations for process and product quality assurance being in place for all projects. Process and product quality assurance must possess sufficient independence from project management to provide objectivity in identifying and reporting noncompliance issues.

QPM Elaboration:

This policy establishes organizational expectations for quantitatively managing the project using quality and process-performance objectives, and statistically managing selected subprocesses within the project’s defined process.

REQM Elaboration:

This policy establishes organizational expectations for managing requirements and identifying inconsistencies between the requirements and project plans and work products.

RSKM Elaboration:

This policy establishes organizational expectations for defining a risk management strategy and identifying, analyzing, and mitigating risks.

SAM Elaboration:

This policy establishes organizational expectations for establishing, maintaining, and satisfying supplier agreements.

SCON Elaboration:

This policy establishes organizational expectations for establishing a service continuity plan that enables resumption of key services following a significant disruption in service delivery; providing training in the execution of the plan; and verifying and validating the plan.

SD Elaboration:

This policy establishes organizational expectations for defining a service delivery approach, establishing service agreements, processing service requests, and delivering services.

SSD Elaboration:

This policy establishes organizational expectations for the following:

· collecting stakeholder needs, formulating service and service system component requirements, and analyzing and validating those requirements

· performing the iterative cycle in which service system solutions are selected, service system and service system component designs are developed, interface compatibility is managed, service system designs are implemented, and service system components are integrated

· establishing and maintaining verification and validation methods, procedures, criteria, and environments; performing peer reviews; and verifying selected work products.

SST Elaboration:

This policy establishes organizational expectations for planning, implementing, and managing the transition of service system components into the delivery environment.

STSM Elaboration:

This policy establishes organizational expectations for establishing and maintaining a set of standard services for use by the organization and making standard service descriptions available across the organization.

GP 2.2 Plan the Process

Establish and maintain the plan for performing the process.

The purpose of this generic practice is to determine what is needed to perform the process and to achieve the established objectives, to prepare a plan for performing the process, to prepare a process description, and to get agreement on the plan from relevant stakeholders.

The practical implications of applying a generic practice vary for each process area. For example, the planning described by this generic practice as applied to the Project Monitoring and Control process area may be carried out in full by the processes associated with the Project Planning process area. However, this generic practice, when applied to the Project Planning process area, sets an expectation that the project planning process itself be planned. Therefore, this generic practice may either reinforce expectations set elsewhere in CMMI or set new expectations that should be addressed.

Refer to the Project Planning process area for more information on establishing and maintaining a project plan.

Establishing a plan includes documenting the plan and a process description. Maintaining the plan includes updating it to reflect corrective actions or changes in requirements or objectives.

The plan for performing the process typically includes the following:

· Process description

· Standards and requirements for the work products and services of the process

· Specific objectives for the performance of the process (e.g., quality, time scale, cycle time, and resource usage)

· Dependencies among the activities, work products, and services of the process

· Resources (including funding, people, and tools) needed to perform the process

· Assignment of responsibility and authority

· Training needed for performing and supporting the process

· Work products to be controlled and the level of control to be applied

· Measurement requirements to provide insight into the performance of the process, its work products, and its services

· Involvement of identified stakeholders

· Activities for monitoring and controlling the process

· Objective evaluation activities of the process

· Management review activities for the process and the work products

Subpractices

1. Define and document the plan for performing the process.

This plan may be a stand-alone document, embedded in a more comprehensive document, or distributed across multiple documents. In the case of the plan being distributed across multiple documents, ensure that a coherent picture of who does what is preserved. Documents may be hardcopy or softcopy.

2. Define and document the process description.

The process description, which includes relevant standards and procedures, may be included as part of the plan for performing the process or may be included in the plan by reference.

3. Review the plan with relevant stakeholders and get their agreement.

This includes reviewing that the planned process satisfies the applicable policies, plans, requirements, and standards to provide assurance to relevant stakeholders.

4. Revise the plan as necessary.

CAM Elaboration:

This plan for performing the capacity and availability management process can be included in (or referenced by) the project plan, which is described in the Project Planning process area.

CAR Elaboration:

This plan for performing the causal analysis and resolution process can be included in (or referenced by) the project plan, which is described in the Project Planning process area. This plan differs from the action proposals and associated action items described in several specific practices in this process area. The plan called for in this generic practice addresses the project’s overall causal analysis and resolution process (perhaps tailored from a standard process maintained by the organization). In contrast, the process action proposals and associated action items address the activities needed to remove a specific root cause under study.

CM Elaboration:

This plan for performing the configuration management process can be included in (or referenced by) the project plan, which is described in the Project Planning process area.

DAR Elaboration:

This plan for performing the decision analysis and resolution process can be included in (or referenced by) the project plan, which is described in the Project Planning process area.

IPM Elaboration:

This plan for the integrated project management process unites the planning for the project planning and monitor and control processes. The planning for performing the planning-related practices in Integrated Project Management is addressed as part of planning the project planning process. This plan for performing the monitor-and-control-related practices in Integrated Project Management can be included in (or referenced by) the project plan, which is described in the Project Planning process area.

Refer to Table 1.4 in Generic Goals and Generic Practices for more information about the relationship between generic practice 2.2 and project planning processes.

IRP Elaboration:

This plan for performing the incident resolution and prevention process can be included in (or referenced by) the project plan, which is described in the Project Planning process area. This plan typically is based on an estimation of the volume and type of service incidents.

MA Elaboration:

This plan for performing the measurement and analysis process can be included in (or referenced by) the project plan, which is described in the Project Planning process area.

OID Elaboration:

This plan for performing the organizational innovation and deployment process differs from the deployment plans described in a specific practice in this process area. The plan called for in this generic practice addresses the comprehensive planning for all of the specific practices in this process area, from collecting and analyzing improvement proposals through measuring improvement effects. In contrast, the deployment plans called for in the specific practices addresses the planning needed for the deployment of individual process and technology improvements.

OPD Elaboration:

This plan for performing the organizational process definition process can be part of (or referenced by) the organization’s process improvement plan.

OPF Elaboration:

This plan for performing the organizational process focus process, which is often called “the process improvement plan,” differs from the process action plans described in specific practices in this process area. The plan called for in this generic practice addresses the comprehensive planning for all of the specific practices in this process area, from establishing organizational process needs through incorporating process-related experiences into organizational process assets.

OPP Elaboration:

This plan for performing the organizational process performance process can be included in (or referenced by) the organization’s process improvement plan, which is described in the Organizational Process Focus process area. Or it may be documented in a separate plan that describes only the plan for the organizational process performance process.

OT Elaboration:

This plan for performing the organizational training process differs from the tactical plan for organizational training described in a specific practice in this process area. The plan called for in this generic practice addresses the comprehensive planning for all of the specific practices in this process area, from establishing strategic training needs through assessing the effectiveness of organizational training. In contrast, the organizational training tactical plan called for in the specific practice addresses the periodic planning for the delivery of individual training offerings.

PMC Elaboration:

This plan for performing the project monitoring and control process can be part of (or referenced by) the project plan, as described in the Project Planning process area.

PP Elaboration:

Refer to Table 1.4 in Generic Goals and Generic Practices for more information about the relationship between generic practice 2.2 and the Project Planning process area.

PPQA Elaboration:

Examples of resources provided include the following tools:

· Evaluation tools

· Noncompliance tracking tools

QPM Elaboration:

This plan for performing the quantitative project management process can be included in (or referenced by) the project plan, which is described in the Project Planning process area.

REQM Elaboration:

This plan for performing the requirements management process can be part of (or referenced by) the project plan as described in the Project Planning process area.

RSKM Elaboration:

This plan for performing the risk management process can be included in (or referenced by) the project plan, which is described in the Project Planning process area. The plan called for in this generic practice addresses the comprehensive planning for all of the specific practices in this process area. In particular, this plan provides the overall approach for risk mitigation, but is distinct from mitigation plans (including contingency plans) for specific risks. In contrast, the risk mitigation plans called for in the specific practices addresses more focused items such as the levels that trigger risk-handling activities.

SAM Elaboration:

Portions of this plan for performing the supplier agreement management process can be part of (or referenced by) the project plan as described in the Project Planning process area. Often, however, some portion of the plan resides outside of the project with an independent group, such as contract management.

SCON Elaboration:

This plan for performing the service continuity process can be included in (or referenced by) the project plan, which is described in the Project Planning process area. Alternatively, this plan can be included as part of a broader business-continuity plan maintained at the organizational level.

In either case, the plan for performing the service continuity process differs from the service continuity plans described in a specific practice in this process area. The plan called for in this generic practice addresses the comprehensive planning for all of the specific practices in this process area, from identifying and prioritizing essential functions through analyzing results of verification and validation. In contrast, the service continuity plans called for in one of the specific practices of this process area address how to restore key services following a significant disruption in service delivery.

SD Elaboration:

This plan for service delivery can be included in (or referenced by) the project plan, which is described in the Project Planning process area.

SSD Elaboration:

This plan for performing service system development practices can be part of (or referenced by) the project plan as described in the Project Planning process area.

SST Elaboration:

Overall planning for service system transition can be included in (or referenced by) the project plan, which is described in the Project Planning process area. In addition, planning associated with the transition of a particular service system is typically addressed in a service system transition plan.

This plan for performing the service system transition process differs from the plans for service system transition described in a specific practice in this process area. The plan called for in this generic practice addresses the comprehensive planning for all of the specific practices in this process area, from analyzing service system transition needs through assessing and controlling the impacts of the transition. In contrast, the service system transition plans called for in the specific practice address planning for specific transitions of the service system.

STSM Elaboration:

This plan for performing strategic service management differs from the plans for standard services described in the specific practices of this process area. The plan called for in this generic practice addresses comprehensive planning for all the specific practices in the process area.

GP 2.3 Provide Resources

Provide adequate resources for performing the process, developing the work products, and providing the services of the process.

The purpose of this generic practice is to ensure that the resources necessary to perform the process as defined by the plan are available when they are needed. Resources include adequate funding, appropriate physical facilities, skilled people, and appropriate tools.

The interpretation of the term “adequate” depends on many factors and can change over time. Inadequate resources may be addressed by increasing resources or by removing requirements, constraints, and commitments.

CAM Elaboration:

Examples of resources provided include the following tools:

· Remote analysis tools

· Monitoring tools

CAR Elaboration:

Examples of resources provided include the following tools:

· Database systems

· Process modeling tools

· Statistical analysis packages

· Methods, and analysis techniques (e.g., Ishikawa or fishbone diagram, Pareto analysis, histograms, process capability studies, or control charts)

CM Elaboration:

Examples of resources provided include the following tools:

· Configuration management tools

· Data management tools

· Archiving and reproduction tools

· Database programs

DAR Elaboration:

Examples of resources provided include the following tools:

· Simulators and modeling tools

· Prototyping tools

· Tools for conducting surveys

IPM Elaboration:

Examples of resources provided include the following tools:

· Problem-tracking and trouble-reporting packages

· Groupware

· Video conferencing

· Integrated decision databases

· Integrated product support environments

IRP Elaboration:

Examples of resources provided include the following tools:

· Help desk tools

· Remote analysis tools

· Automated monitoring tools

· Incident management systems

MA Elaboration:

Measurement personnel may be employed full time or part time. A measurement group may or may not exist to support measurement activities across multiple projects.

Examples of other resources provided include the following tools:

· Statistical packages

· Packages that support data collection over networks

OID Elaboration:

Examples of resources provided include the following tools:

· Simulation packages

· Prototyping tools

· Statistical packages

· Dynamic systems modeling

· Subscriptions to online technology databases and publications

· Process modeling tools

OPD Elaboration:

A process group typically manages organizational process definition activities. This group typically is staffed by a core of professionals whose primary responsibility is coordinating organizational process improvement. This group is supported by process owners and people with expertise in various disciplines such as the following:

· Project management

· The appropriate engineering disciplines

· Configuration management

· Quality assurance

Examples of other resources provided include the following tools:

· Database management systems

· Process modeling tools

· Web page builders and browsers

OPF Elaboration:

Examples of resources provided include the following tools:

· Database management systems

· Process improvement tools

· Web page builders and browsers

· Groupware

· Quality-improvement tools (e.g., cause-and-effect diagrams, affinity diagrams, and Pareto charts)

OPP Elaboration:

Special expertise in statistics and statistical process control may be needed to establish process-performance baselines for the organization’s set of standard processes.

Examples of other resources provided include the following tools:

· Database management systems

· System dynamics models

· Process modeling tools

· Statistical analysis packages

· Problem-tracking packages

OT Elaboration:

Examples of people (full or part time, internal or external), and skills needed include the following:

· Subject-matter experts

· Curriculum designers

· Instructional designers

· Instructors

· Training administrators

Special facilities may be required for training. When necessary, the facilities required for the activities in the Organizational Training process area are developed or purchased.

Examples of other resources provided include the following tools:

· Instruments for analyzing training needs

· Workstations to be used for training

· Instructional design tools

· Packages for developing presentation materials

PMC Elaboration:

Examples of resources provided include the following tools:

· Cost tracking systems

· Effort reporting systems

· Action item tracking systems

· Project management and scheduling programs

PP Elaboration:

Special expertise, equipment, and facilities in project planning may be required. Special expertise in project planning may include the following:

· Experienced estimators

· Schedulers

· Technical experts in applicable areas (e.g., product domain and technology)

Examples of other resources provided include the following tools:

· Spreadsheet programs

· Estimating models

· Project planning and scheduling packages

PPQA Elaboration:

Examples of resources provided include the following tools:

· Evaluation tools

· Noncompliance tracking tools

OPP Elaboration:

Special expertise in statistics and statistical process control may be needed to define the techniques for statistical management of selected subprocesses, but staff will use the tools and techniques to perform the statistical management. Special expertise in statistics may also be needed for analyzing and interpreting the measures resulting from statistical management.

Examples of other resources provided include the following tools:

· System dynamics models

· Automated test-coverage analyzers

· Statistical process and quality control packages

· Statistical analysis packages

REQM Elaboration:

Examples of resources provided include the following tools:

· Requirements tracking tools

· Traceability tools

RSKM Elaboration:

Examples of resources provided include the following tools:

· Risk management databases

· Risk mitigation tools

· Prototyping tools

· Modeling and simulation tools

SAM Elaboration:

Examples of resources provided include the following tools:

· Preferred supplier lists

· Requirements tracking programs

· Project management and scheduling programs

SCON Elaboration:

Service continuity relies on obtaining special as well as adequate resources. Remote locations, secure networks, facilities, and equipment should be identified, procured, and prepared in advance to ensure continued service system operations in the event of a significant disruption. Special training facilities and related resources may be needed to prepare those responsible for implementing the service continuity plan. Finally, special testing facilities, equipment, and tools may need to be developed or purchased for use in verifying and validating service continuity preparations.

Examples of resources provided include the following tools:

· Backup communication mechanisms and networks

· File backup and restore utilities

· Workstations to be used for training

· Modeling and simulation tools

· Test-management tools

SD Elaboration:

Service delivery requires the operation of an appropriate service system that includes a trained staff, infrastructure, tools, processes, consumables, and other resources. Some of the components of the service system may need to be developed or purchased, and this may require obtaining resources as described in the Service System Development and Supplier Agreement Management process areas. In addition, the operation of the service system imposes a continuing need for adequate resources. For example, over time components of the service system may need to be upgraded, replaced, or retired; service delivery staff may need to be retrained, augmented, rotated, or reduced; and consumables may need to be replenished to ensure that the service is delivered in accordance with service agreements.

Examples of resources provided include the following tools:

· Request management systems

· Automated monitoring tools

SSD Elaboration:

Examples of resources provided include the following tools:

· Requirements specification tools

· Simulation and modeling tools

· Prototyping tools

· Scenario definition and tracking tools

· Design specification tools

· Fabrication and assembly tools

· Test management tools

· Test case generation tools

· Monitoring tools

· Test facilities and environments

SST Elaboration:

Examples of resources provided include the following:

· Transition support staff

· Installation and deployment tools

· Mechanisms for back-out and restore

STSM Elaboration:

Senior management, strategic planners, product managers, product line managers, or portfolio managers typically manage strategic service management practices.

Examples of resources provided include the following:

· Sources of data on strategic needs and capabilities

· Document management or configuration management tools

· Product management techniques

GP 2.4 Assign Responsibility

Assign responsibility and authority for performing the process, developing the work products, and providing the services of the process.

The purpose of this generic practice is to ensure that there is accountability for performing the process and achieving the specified results throughout the life of the process. The people assigned must have the appropriate authority to perform the assigned responsibilities.

Responsibility can be assigned using detailed job descriptions or in living documents, such as the plan for performing the process. Dynamic assignment of responsibility is another legitimate way to perform this generic practice, as long as the assignment and acceptance of responsibility are ensured throughout the life of the process.

Subpractices

1. Assign overall responsibility and authority for performing the process.

2. Assign responsibility and authority for performing the specific tasks of the process.

3. Confirm that the people assigned to the responsibilities and authorities understand and accept them.

IRP Elaboration:

Responsibility is assigned for both first-tier incident handling (e.g. by a help desk) and for second-tier handling (e.g. by support groups organized by service, platform, function, or technology).

PPQA Elaboration:

To guard against subjectivity or bias, ensure that those assigned responsibility and authority for process and product quality assurance can perform their evaluations with sufficient independence and objectivity.

SCON Elaboration:

Responsibility is assigned to a backup management team for the organization (or project) to take over management responsibilities in the event of a significant disruption.

SD Elaboration:

Responsibility is assigned for establishing service agreements, accepting service requests, communicating status information (e.g., by a help desk) operating and maintaining the service system, processing service requests, and resolving incidents (e.g., by support groups organized by service, platform, function, or technology).

SST Elaboration:

Responsibility is assigned for planning, implementing, and managing the transition. In addition, stakeholder notification activities are explicitly assigned to ensure open communication and buy-in. Rollback and back-out assignments are made in the event that the transition is not successful.

GP 2.5 Train People

Train the people performing or supporting the process as needed.

The purpose of this generic practice is to ensure that the people have the necessary skills and expertise to perform or support the process.

Appropriate training is provided to the people who will be performing the work. Overview training is provided to orient people who interact with those performing the work.

Examples of methods for providing training include self-study; self-directed training; self-paced, programmed instruction; formalized on-the-job training; mentoring; and formal and classroom training.

Training supports the successful performance of the process by establishing a common understanding of the process and by imparting the skills and knowledge needed to perform the process.

Refer to the Organizational Training process area for more information about training the people performing or supporting the process.

CAM Elaboration:

Examples of training topics include the following:

· Roles, responsibilities, and authority of the capacity and availability management staff

· Capacity and availability management standards, procedures, and methods

CAR Elaboration:

Examples of training topics include the following:

· Quality management methods (e.g., root cause analysis)

CM Elaboration:

Examples of training topics include the following:

· Roles, responsibilities, and authority of the configuration management staff

· Configuration management standards, procedures, and methods

· Configuration library system

DAR Elaboration:

Examples of training topics include the following:

· Formal decision analysis

· Methods for evaluating alternative solutions against criteria

IPM Elaboration:

Examples of training topics include the following:

· Tailoring the organization’s set of standard processes to meet the needs of the project

· Procedures for managing the project based on the project’s defined pro