Generic Goals and Generic Practices, and the Process Areas
GP 2.7 Identify and Involve Relevant Stakeholders
Identify and involve the relevant stakeholders of the process as planned.
The purpose of this generic practice is to establish and maintain the expected involvement of relevant stakeholders during the execution of the process.
Involve relevant stakeholders as described in an appropriate plan for stakeholder involvement. Involve stakeholders appropriately in activities such as the following:
Planning Decisions Commitments Communications Coordination Reviews Appraisals Requirements definitions
Resolution of problems and issues
Refer to the Project Planning process area for more information about planning stakeholder involvement.
The objective of planning stakeholder involvement is to ensure that
interactions necessary to the process are accomplished, while not allowing excessive numbers of affected groups and individuals to impede process execution.
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Examples of stakeholders that might serve as relevant stakeholders for specific tasks, depending on context, include individuals, teams, management, customers, suppliers, end users, operations and support staff, other projects, and government regulators.
Subpractices
1. Identify stakeholders relevant to this process and their appropriate
involvement.
Relevant stakeholders are identified among the suppliers of inputs to, the users of outputs from, and the performers of the activities in the process. Once the relevant stakeholders are identified, the appropriate level of their involvement in process activities is planned.
2. Share these identifications with project planners or other planners as
appropriate.
3. Involve relevant stakeholders as planned.
CAR Elaboration
Examples of activities for stakeholder involvement include the following: Conducting causal analysis
Assessing action proposals CM Elaboration
Examples of activities for stakeholder involvement include the following: Establishing baselines
Reviewing configuration management system reports and resolving issues Assessing the impact of changes for configuration items
Performing configuration audits
Reviewing results of configuration management audits DAR Elaboration
Examples of activities for stakeholder involvement include the following:
Establishing guidelines for which issues are subject to a formal evaluation process Defining the issue to be addressed
Establishing evaluation criteria Identifying and evaluating alternatives Selecting evaluation methods Selecting solutions
IPM Elaboration
Examples of activities for stakeholder involvement include the following: Resolving issues about the tailoring of organizational process assets
Resolving issues among the project plan and other plans that affect the project Reviewing project progress and performance to align with current and projected needs, objectives, and requirements
Creating the project’s shared vision Defining the team structure for the project Populating teams
MA Elaboration
Examples of activities for stakeholder involvement include the following: Establishing measurement objectives and procedures
Assessing measurement data
Providing meaningful feedback to those who are responsible for providing the raw data on which the analysis and results depend
OPD Elaboration
Examples of activities for stakeholder involvement include the following: Reviewing the organization’s set of standard processes
Reviewing the organization’s lifecycle models Resolving issues related to the tailoring guidelines
Assessing definitions of the common set of process and product measures Reviewing work environment standards
Establishing and maintaining empowerment mechanisms
Establishing and maintaining organizational rules and guidelines for structuring and forming teams
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OPF Elaboration
Examples of activities for stakeholder involvement include the following:
Coordinating and collaborating on process improvement activities with process owners, those who are or will be performing the process, and support organizations (e.g., training staff, quality assurance representatives)
Establishing the organizational process needs and objectives Appraising the organization’s processes
Implementing process action plans
Coordinating and collaborating on the execution of pilots to test selected improvements Deploying organizational process assets and changes to organizational process assets Communicating the plans, status, activities, and results related to planning,
implementing, and deploying process improvements OPM Elaboration
Examples of activities for stakeholder involvement include the following:
Reviewing improvement proposals that could contribute to meeting business objectives Providing feedback to the organization on the readiness, status, and results of the improvement deployment activities
The feedback typically involves the following:
Informing the people who submit improvement proposals about the disposition of their proposals
Regularly communicating the results of comparing business performance against the business objectives
Regularly informing relevant stakeholders about the plans and status for selecting and deploying improvements
Preparing and distributing a summary of improvement selection and deployment activities
OPP Elaboration
Examples of activities for stakeholder involvement include the following:
Establishing the organization’s quality and process performance objectives and their priorities
Reviewing and resolving issues on the organization’s process performance baselines Reviewing and resolving issues on the organization’s process performance models
OT Elaboration
Examples of activities for stakeholder involvement include the following:
Establishing a collaborative environment for discussion of training needs and training effectiveness to ensure that the organization’s training needs are met
Identifying training needs
Reviewing the organizational training tactical plan Assessing training effectiveness
PI Elaboration
Examples of activities for stakeholder involvement include the following: Establishing the product integration strategy
Reviewing interface descriptions for completeness Establishing the product integration procedures and criteria Assembling and delivering the product and product components Communicating the results after evaluation
Communicating new, effective product integration processes to give affected people the opportunity to improve their process performance
PMC Elaboration
Examples of activities for stakeholder involvement include the following: Assessing the project against the plan
Reviewing commitments and resolving issues Reviewing project risks
Reviewing data management activities Reviewing project progress
Managing corrective actions to closure PP Elaboration
Examples of activities for stakeholder involvement include the following: Establishing estimates
Reviewing and resolving issues on the completeness and correctness of the project risks
Reviewing data management plans Establishing project plans
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PPQA Elaboration
Examples of activities for stakeholder involvement include the following:
Establishing criteria for the objective evaluations of processes and work products Evaluating processes and work products
Resolving noncompliance issues
Tracking noncompliance issues to closure QPM Elaboration
Examples of activities for stakeholder involvement include the following: Establishing project objectives
Resolving issues among the project’s quality and process performance objectives Selecting analytic techniques to be used
Evaluating the process performance of selected subprocesses
Identifying and managing the risks in achieving the project’s quality and process performance objectives
Identifying what corrective action should be taken RD Elaboration
Examples of activities for stakeholder involvement include the following:
Reviewing the adequacy of requirements in meeting needs, expectations, constraints, and interfaces
Establishing operational concepts and operational, sustainment, and development scenarios
Assessing the adequacy of requirements Prioritizing customer requirements
Establishing product and product component functional and quality attribute requirements
Assessing product cost, schedule, and risk REQM Elaboration
Examples of activities for stakeholder involvement include the following: Resolving issues on the understanding of requirements
Assessing the impact of requirements changes Communicating bidirectional traceability
RSKM Elaboration
Examples of activities for stakeholder involvement include the following:
Establishing a collaborative environment for free and open discussion of risk Reviewing the risk management strategy and risk mitigation plans
Participating in risk identification, analysis, and mitigation activities Communicating and reporting risk management status
SAM Elaboration
Examples of activities for stakeholder involvement include the following: Establishing criteria for evaluation of potential suppliers
Reviewing potential suppliers Establishing supplier agreements Resolving issues with suppliers Reviewing supplier performance TS Elaboration
Examples of activities for stakeholder involvement include the following: Developing alternative solutions and selection criteria
Obtaining approval on external interface specifications and design descriptions Developing the technical data package
Assessing the make, buy, or reuse alternatives for product components Implementing the design
VAL Elaboration
Examples of activities for stakeholder involvement include the following: Selecting the products and product components to be validated Establishing the validation methods, procedures, and criteria
Reviewing results of product and product component validation and resolving issues Resolving issues with the customers or end users
Issues with the customers or end users are resolved particularly when there are significant deviations from their baseline needs. Examples of resolutions include the following:
Waivers on the contract or agreement (what, when, and for which products) Additional in-depth studies, trials, tests, or evaluations
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VER Elaboration
Examples of activities for stakeholder involvement include the following: Selecting work products and methods for verification
Establishing verification procedures and criteria Conducting peer reviews
Assessing verification results and identifying corrective action
GP 2.8 Monitor and Control the Process
Monitor and control the process against the plan for performing the process and take appropriate corrective action.
The purpose of this generic practice is to perform the direct day-to-day monitoring and controlling of the process. Appropriate visibility into the process is maintained so that appropriate corrective action can be taken when necessary. Monitoring and controlling the process can involve measuring appropriate attributes of the process or work products produced by the process.
Refer to the Measurement and Analysis process area for more information about developing and sustaining a measurement capability used to support management information needs.
Refer to the Project Monitoring and Control process area for more
information about providing an understanding of the project’s progress so that appropriate corrective actions can be taken when the project’s performance deviates significantly from the plan.
Subpractices
1. Evaluate actual progress and performance against the plan for
performing the process.
The evaluations are of the process, its work products, and its services.
2. Review accomplishments and results of the process against the plan
for performing the process.
3. Review activities, status, and results of the process with the immediate
level of management responsible for the process and identify issues.
These reviews are intended to provide the immediate level of management with appropriate visibility into the process based on the day-to-day monitoring and
controlling of the process, and are supplemented by periodic and event-driven reviews with higher level management as described in GP 2.10.
4. Identify and evaluate the effects of significant deviations from the plan
for performing the process.
5. Identify problems in the plan for performing the process and in the
6. Take corrective action when requirements and objectives are not being satisfied, when issues are identified, or when progress differs
significantly from the plan for performing the process.
Inherent risks should be considered before any corrective action is taken. Corrective action can include the following:
Taking remedial action to repair defective work products or services Changing the plan for performing the process
Adjusting resources, including people, tools, and other resources Negotiating changes to the established commitments
Securing change to the requirements and objectives that must be satisfied Terminating the effort
7. Track corrective action to closure.
CAR Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Number of outcomes analyzed
Change in quality or process performance per instance of the causal analysis and resolution process
Schedule of activities for implementing a selected action proposal CM Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Number of changes to configuration items Number of configuration audits conducted Schedule of CCB or audit activities DAR Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Cost-to-benefit ratio of using formal evaluation processes Schedule for the execution of a trade study
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IPM Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Number of changes to the project’s defined process
Schedule and effort to tailor the organization’s set of standard processes Interface coordination issue trends (i.e., number identified and number closed) Schedule for project tailoring activities
Project's shared vision usage and effectiveness Team structure usage and effectiveness Team charters usage and effectiveness MA Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Percentage of projects using progress and performance measures Percentage of measurement objectives addressed
Schedule for collection and review of measurement data OPD Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Percentage of projects using the process architectures and process elements of the organization’s set of standard processes
Defect density of each process element of the organization’s set of standard processes Schedule for development of a process or process change
OPF Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Number of process improvement proposals submitted, accepted, or implemented CMMI maturity level or capability level earned
Schedule for deployment of an organizational process asset
Percentage of projects using the current organization’s set of standard processes (or tailored version of the current set)
Issue trends associated with implementing the organization’s set of standard processes (i.e., number of issues identified, number closed)
OPM Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Change in quality and process performance related to business objectives Schedule for implementing and validating an improvement
Schedule for activities to deploy a selected improvement OPP Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Trends in the organization’s process performance with respect to changes in work products and task attributes (e.g., size growth, effort, schedule, quality)
Schedule for collecting and reviewing measures to be used for establishing a process performance baseline
OT Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Number of training courses delivered (e.g., planned versus actual) Post-training evaluation ratings
Training program quality survey ratings Schedule for delivery of training Schedule for development of a course PI Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Product component integration profile (e.g., product component assemblies planned and performed, number of exceptions found)
Integration evaluation problem report trends (e.g., number written and number closed) Integration evaluation problem report aging (i.e., how long each problem report has been open)
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PMC Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Number of open and closed corrective actions
Schedule with status for monthly financial data collection, analysis, and reporting Number and types of reviews performed
Review schedule (planned versus actual and slipped target dates) Schedule for collection and analysis of monitoring data
PP Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Number of revisions to the plan
Cost, schedule, and effort variance per plan revision
Schedule for development and maintenance of program plans PPQA Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Variance of objective process evaluations planned and performed Variance of objective work product evaluations planned and performed Schedule for objective evaluations
QPM Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Profile of subprocess attributes whose process performance provide insight about the risk to, or are key contributors to, achieving project objectives (e.g., number selected for monitoring through statistical techniques, number currently being monitored, number whose process performance is stable)
Number of special causes of variation identified
Schedule of data collection, analysis, and reporting activities in a measurement and analysis cycle as it relates to quantitative management activities
RD Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Cost, schedule, and effort expended for rework Defect density of requirements specifications
REQM Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Requirements volatility (percentage of requirements changed) Schedule for coordination of requirements
Schedule for analysis of a proposed requirements change RSKM Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Number of risks identified, managed, tracked, and controlled
Risk exposure and changes to the risk exposure for each assessed risk, and as a summary percentage of management reserve
Change activity for risk mitigation plans (e.g., processes, schedule, funding) Occurrence of unanticipated risks
Risk categorization volatility
Comparison of estimated versus actual risk mitigation effort and impact Schedule for risk analysis activities
Schedule of actions for a specific mitigation SAM Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Number of changes made to the requirements for the supplier
Cost and schedule variance in accordance with the supplier agreement Schedule for selecting a supplier and establishing an agreement TS Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Cost, schedule, and effort expended for rework
Percentage of requirements addressed in the product or product component design Size and complexity of the product, product components, interfaces, and documentation Defect density of technical solutions work products
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VAL Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Number of validation activities completed (planned versus actual) Validation problem report trends (e.g., number written, number closed)
Validation problem report aging (i.e., how long each problem report has been open) Schedule for a specific validation activity
VER Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
Verification profile (e.g., the number of verifications planned and performed, and the defects found; or defects categorized by verification method or type)
Number of defects detected by defect category
Verification problem report trends (e.g., number written, number closed)
Verification problem report status (i.e., how long each problem report has been open) Schedule for a specific verification activity
Peer review effectiveness
GP 2.9 Objectively Evaluate Adherence
Objectively evaluate adherence of the process and selected work products against the process description, standards, and
procedures, and address noncompliance.
The purpose of this generic practice is to provide credible assurance that the process and selected work products are implemented as planned and adhere to the process description, standards, and procedures. (See the definition of “objectively evaluate” in the glossary.)
Refer to the Process and Product Quality Assurance process area for more information about objectively evaluating processes and work products.
People not directly responsible for managing or performing the activities of the process typically evaluate adherence. In many cases, adherence is evaluated by people in the organization, but external to the process or project, or by people external to the organization. As a result, credible assurance of adherence can be provided even during times when the process is under stress (e.g., when the effort is behind schedule, when the effort is over budget).
CAR Elaboration
Examples of activities reviewed include the following: Determining causes of outcomes