# Presentation: 459623

## Generic Practices – What Do They Really Mean?

- Presented by:Sandra L. Cepeda*President and CEO**Cepeda Systems and Software Analysis, Inc.*

*November 2005*

- ®  CMMI is registered in the U.S. Patent and Trademark Office by Carnegie Mellon University

## Agenda

- Overview Of Generic Practices
- Why Are GPs Difficult to Understand?
- GPs From a Project-Level Perspective
- GPs From an Organizational-Level      Perspective
- Summary

- CSSA Proprietary - Do not use without permission of CSSA

## CMMI Model Structure

- CSSA Proprietary - Do not use without permission of CSSA

## What Is Institutionalization?

- Institutionalization Involves Implementing Practices That
- Ensure the processes based on the practices in      	the Process Areas Are Effective, Repeatable and 	Lasting
- Provide Needed Infrastructure Support
- Ensure Processes Are Defined, 	Documented, and 	Understood
- Enable Organizational Learning to Improve the 	Process

- CSSA Proprietary - Do not use without permission of CSSA

## Why Is It Important?

- Without Institutionalization
- Processes Are Not Likely to Be Executed or Managed Consistently
- The Processes Are Not Likely to Survive Staff or Leadership Changes
- Process Improvement May Not Relate to Business Goals
- The Organization Will Most Likely Find Itself Continuously “Reinventing the Wheel”
- There May Not Be the Commitment to Provide Resources or Infrastructure to Support or Improve the Processes
- Historical Data Is Likely to Be Incomplete or Unreliable

- CSSA Proprietary - Do not use without permission of CSSA

## Realizing Institutionalization In CMMI Models

- Continuous Representation
- The Basis for Institutionalization Is Established Via the Capability Level 2 Generic Practices
- This Basis Is Extended in the Capability Level 3, 4 and 5 Generic Practices
- Staged Representation
- Institutionalization Is the Primary Focus of the Common Features
- The Common Features Correspond to the Capability Level 2 and 3 Generic Practices

- CSSA Proprietary - Do not use without permission of CSSA

## Generic Goals (GGs)

- Generic Goals Are Called “Generic” Because They Can Be Applied to All Process Areas
- Achievement of a Generic Goal in a Process Area Signifies Improved Control in Planning and Implementing the Processes Associated With That Process Area

- CSSA Proprietary - Do not use without permission of CSSA

## Generic Practices (GPs)

- Generic Practices Are Activities That Ensure That the Processes Associated With the Process Area Will Be Effective, Repeatable, and Lasting
- Generic Practices Contribute to the Achievement of the Generic Goal When Applied to a Particular Process Area

- CSSA Proprietary - Do not use without permission of CSSA

## Generic Goals And Practices

**CL 1**
**CL 2**
**CL 3**
**CL 4**
**CL 5**

***Capability Level***

**GG2: Institutionalize a Managed Process**

***Generic Practices***

***Generic Goals***

**GG3: Institutionalize**
** ****a Defined Process**

**GG4: Institutionalize**
**a Quantitatively Managed Process**

**GP 4.1: Establish Quantitative Objectives for the Process**
**GP 4.2: Stabilize Subprocess Performance**

**GG5: Institutionalize**
**an Optimizing **
**Process**

**GP 5.1: Ensure Continuous Process Improvement**
**GP 5.2: Correct Root Causes of Problems**

**GG1: Achieve **
**Specific Goals**

**GP 1.1: Perform Base Practices**

**ML 2**

**ML 3**
**ML 4**
**ML 5**

***Common Features Mapping***

**Commitment to Perform**

**GP 2.1: Establish an Organizational Policy**
**GP 2.2: Plan the Process**
**GP 2.3: Provide Resources**
**GP 2.4: Assign Responsibility**
**GP 2.5: Train People**
**GP 2.6: Manage Configurations**
**GP 2.7: Identify and Involve Relevant Stakeholders**
**GP 2.8: Monitor and Control the Process**
**GP 2.9: Objectively Evaluate Adherence**
**GP 2.10: Review Status with Higher Level Management**

**Ability to Perform**

**Directing Implementation**

**Verifying Implementation**

**GP 3.1: Establish a Defined Process**
**GP 3.2: Collect Improvement Information**

- CSSA Proprietary - Do not use without permission of CSSA

## Why Are They Difficult To Understand?

- There Is Overlap Between Some Generic Practices and Some Specific Practices
- GP 2.3 Provide Resources
- PP SP 2.4 Plan for Project Resources
- Application of Generic Practices Can Lead to Recursion
- GP 2.2 “Plan the Process” Applied to the Project Planning Process Area
- GP 2.9 “Objectively Verify Adherence” Applied to the Process and Product Quality Assurance Process Area
- Some Relationships Are Not Obvious
- Pull -> Push  as in GP 3.2 -> IPM SP 1.5
- Between GP’s and PA’s

- CSSA Proprietary - Do not use without permission of CSSA

## GP And PA Relationships

***GP And PA Relationships***

- SP

- Enabling PA

- GP

**GP**

**Enabling PA**

**SP**

- CSSA Proprietary - Do not use without permission of CSSA

## 

Project Level Perspective

*Project Level Perspective*

- CSSA Proprietary - Do not use without permission of CSSA

## GP 2.2 Interactions With Other GPs And SPs

*** ******Process Area***

***GP 2.2 Interactions With Other GPs And SPs***

**GP 2.2  Plan the Process**

**GP 2.3  ****	****Provide Resources**
**GP 2.4  ****	****Assign Responsibility**
**GP 2.5  ****	****Train People**
**GP 2.6  ****	****Manage Configurations**
**GP 2.7  ****	****Identify and Involve Relevant Stakeholders**
**GP 2.8  ****	****Monitor and Control the Process**
**GP 2.9****	****Objectively Evaluate Adherence**
**GP 2.10****	****Review Status With Higher Level Management**

***Typical Contents for the Plan for Performing the Process***
***Process Description***
**Activities**
**Characteristics**
**Requirements**
***Other Contents***
**Resources**
**Responsibility and Authority**
**Training for Process**
**CM Requirements for Process**
**Involvement of Identified Stakeholders**
**Measurement Requirements**
**Activities for Monitoring and Controlling the Process**
**Objective Evaluation Activities**
**Management Review Activities**

- CSSA Proprietary - Do not use without permission of CSSA

## GP 3.1 Establish A Defined Process

***GP 3.1 Establish A Defined Process***

**GP 2.2   Plan the Process**

**GP 2.3  ****	****Provide Resources**
**GP 2.4  ****	****Assign Responsibility**
**GP 2.5  ****	****Train People**
**GP 2.6  ****	****Manage Configurations**
**GP 2.7  ****	****Identify and Involve Relevant Stakeholders**
**GP 2.8  ****	****Monitor and Control the Process**
**GP 2.9****	****Objectively Evaluate Adherence**
**GP 2.10****	****Review Status With Higher Level Management**

**OPD**

***The Process Description in the Plan for Performing the Process Is Now a Defined Process Tailored From the Organizations Set of Standard Processes***
***When the Plan for Performing the Process Is Executed, All SP’s, GP’s 2.2 - 2.10, and GP 3.1 Are Implemented for a Given Process Area***

***Set of Standard***
*** ******Processes***

***Typical Contents for the Plan for Performing the Process***
***Process Description***
**Inputs**
**Outputs**
**Activities**
**Entry/Exit Criteria**
***Other Contents***
**Resources**
**Responsibility and Authority**
**Training for Process**
**CM Requirements for Process**
**Involvement of Identified Stakeholders**
**Measurement Requirements**
**Activities for Monitoring and Controlling the Process**
**Objective Evaluation Activities**
**Management Review Activities**

***Tailoring***

***Defined ***
***Process***

***PLAN EXECUTION***

**GP 3.1**

- CSSA Proprietary - Do not use without permission of CSSA

## The Project Plan(s) Should Have the “Plan the Process” Content for All Project-Level PA’s (Except for the Project Planning PA)

When the Project Is Executed According to the Project Plan(s) and Schedule(s), Compliance With All Project-Level SP’s and GP’s Is Achieved (Will Address the Project Planning PA Later)

***When the Project Is Executed According to the Project Plan(s) and Schedule(s), Compliance With All Project-Level SP’s and GP’s Is Achieved (Will Address the Project Planning PA Later)***

**Plan Content for PA****1**

**Project-Level Process Areas**

**Plan Content for PA****1**

**Plan Content for PA****2**

**Plan Content for PA****3**

**Plan Content for PA****n**

**Project Plan(s)**

***GP 2.2 Plan The Process And Project Plan(s)***

**GP 2.2**
**(3.1)**

**Apply**

**PA****2**

- CSSA Proprietary - Do not use without permission of CSSA

## Ensuring That Generic Practices Are Implemented At The Project Level

- Examples of Approaches:
- Include the Generic Practices in the Process Descriptions
- Since the Process Descriptions Are a Component of the Project Plan(s) (by Reference or Explicitly), the Generic Practices Can Be Planned During the Project Planning Phase and Implemented During the Project Execution Phase
- In the Continuous Representation, There May Not Be a Project Plan - the Process Plan (containing the Process Description) Can Be Used Instead
- Define a Project Plan Template That Includes All the Generics Across All Project-Level Process Areas (Will Work for the Continuous Representation, Only if PP Is Being Implemented)
- What Resources Are Needed for Project Management, Engineering, and Support activities (i.e. across all Project-Level PA’s)?
- What Training Is Needed to Perform These Activities Effectively and Efficiently?
- Who Needs to Be Involved in These Activities Throughout the Life Cycle?
- What Work Products Should Be Controlled? Objectively Evaluated?
-  Tables/Matrices Are Useful to Capture Generic Practice Requirements

- CSSA Proprietary - Do not use without permission of CSSA

## Don’t Forget About “Plan The Plan”

- Typically, the Plan Resulting From Applying GP 2.2 (Plan the Process) to the Project Planning Process Area Is Not Included in the Project Plan
- This Plan Is Used by the Project Manager to Plan the Activities of the Project Planning Process Area
- Establishing Estimates
- Developing the Project Plan
- Obtaining Commitment to the Plan
- A Simple Checklist and/or “Plan the Plan” Template Can Be Used to Guide the Project Manager and Meet the Intent of This Practice

- CSSA Proprietary - Do not use without permission of CSSA

## 

Model Overlaps One More Time...

*Model Overlaps One More Time...*

- CSSA Proprietary - Do not use without permission of CSSA

## Overlap Between GP’s And Project Management SP’s

***Overlap Between GP’s And Project Management SP’s***

**Project Management Specific Practices**

**Generic Practices**

- Scope Here Is for the Entire Project
-  All Project-Level PA’s Are Included

- Scope Here Is for an Individual PA
- Subset of Project Management PA’s Content

***The GP’s Serve as “Reminders” to the Project Management PA’s to Include Activities Across All Project-Level PA’s***
***If the Scope of the Project Management Processes Includes All Project-Level PA’s, GP’s 2.3, 2.4, 2.5* and 2.7 Will Be Satisfied for Each of the Project-Level PA’s***

**GP 2.3****	****Provide Resources**
**GP 2.4****	****Assign Responsibility**
**GP 2.5****	****Train People**
**GP 2.7****	****Identify and Involve Relevant Stakeholders**

**PP, SP 2.7****	****Plan for Project Resources**
**PP, SP 2.4****	****Establish the Project Plan (Implicit)**
**PP, SP 2.5****	****Plan for Needed Knowledge and Skills**
**PP, SP 2.6****	****Plan Stakeholder Involvement**
**PMC, SP 1.5****	****Monitor Stakeholder Involvement**
**IPM, SP 2.1****	****Manage Stakeholder Involvement**

**** Also Requires OT***

- CSSA Proprietary - Do not use without permission of CSSA

## Other PA → GP Relationships For Project Level PAs

***Other PA → GP Relationships For Project Level PAs***

**Process Areas**

**Generic Practices**

- Scope Here Is for the Entire Project
- Activities and Work Products From All Project-Level PA’s Are Included in the scope of these PA’s

- Scope Here Is for an Individual PA
- Subset of CM, PMC, M&A, and PPQA Content

***CM, M&A, PMC, PPQA Can Implement in Full GP’s 2.6, 2.8 and 2.9 for All Project-Level PA’s***
***Perceived Redundancy ***
***Ensures That Key Institutionalization Activities Take Place in the Continuous Representation***
***Serves as a Reminder in the Staged Representation***

**GP 2.6****	****Manage Configurations**
**GP 2.8****	****Monitor and Control the Process**
**GP 2.9****	****Objectively Evaluate Adherence**

**Configuration Management**
**Project Monitoring and Control**
**Measurement and Analysis**
**Process and Product Quality Assurance**

- CSSA Proprietary - Do not use without permission of CSSA

## 

Organizational Level Perspective

*Organizational Level Perspective*

- CSSA Proprietary - Do not use without permission of CSSA

## GP 2.1 Establish An Organizational Policy

- Direction From Senior Management About Organizational Expectations for the Process
- Organizational Level Responsibility
- Does Not Imply That There Must Be a Policy in Place for Each Process Area, but All Process Areas Must Be Covered
- Remember “Establish and Maintain” Means Define, Document, Use, and Update

- CSSA Proprietary - Do not use without permission of CSSA

## This GP Resides at the Organizational Level – the Organization Collects Information From All the Project-Level and Organizational Activities (PULL)

For Project-Level PA’s, IPM SP 1.5, “Contribute Work Products, Measures, and Documented Experiences to the Organizational Process Assets”, Can Implement GP 3.2 in Full (PUSH)

***This GP Resides at the Organizational Level – the Organization Collects Information From All the Project-Level and Organizational Activities (PULL)***
***For Project-Level PA’s, IPM SP 1.5, “Contribute Work Products, Measures, and Documented Experiences to the Organizational Process Assets”, Can Implement GP 3.2 in Full (PUSH)***

***GP 3.2 – Collect Improvement Information – “Pull” vs. “Push”***

**GP 3.2 (PULL) – Should Include **
**Artifacts From All PA’s**

**Organization**

**Improvement**
**Information**

**Improvement**
**Information**

**Improvement**
**Information**

**Organizational Process Assets**

**Improvement**
**Information**

**Improvement**
**Information**

**Improvement**
**Information**

***Not All Improvement Information Submitted by Projects Is Made Available to All Projects***

***Does Not Have to Include Artifacts for All PA’s***

**IPM SP 1.5 (PUSH)**

**IPM SP 1.5 (PUSH)**

**IPM SP 1.5 (PUSH)**

- CSSA Proprietary - Do not use without permission of CSSA

## GPs Applied To Organizational Level Process Areas

***GPs Applied To Organizational Level Process Areas***

***Process Description***
**Activities**
**Characteristics**
**Requirements**
***Other Contents***
**Resources**
**Responsibility and Authority**
**Training for Process**
**CM Requirements for Process**
**Involvement of Identified Stakeholders**
**Measurement Requirements**
**Activities for Monitoring and Controlling the Process**
**Objective Evaluation Activities**
**Management Review Activities**

**GP 2.3  ****	****Provide Resources**
**GP 2.4  ****	****Assign Responsibility**
**GP 2.5  ****	****Train People**
**GP 2.6  ****	****Manage Configurations**
**GP 2.7  ****	****Identify and Involve Relevant Stakeholders**
**GP 2.8  ****	****Monitor and Control the Process**
**GP 2.9****	****Objectively Evaluate Adherence**
**GP 2.10****	****Review Status With Higher Level Management**
**GP 3.1 ****	****Establish a Defined Process**
**GP 3.2 ****	****Collect Improvement Information**

**Organizational-Level Process Areas**

**GP 2.2**

**Apply**

***Organizational Level Plans Include the “Plan the Process” Content for All Organizational-Level PA’s***
***When These Plans Are Executed, Compliance With All Organizational-Level SP’s and GP’s Is Achieved***
***Treat Organizational-Level Activities as a Project***

***PLAN ***
***EXECUTION***

- CSSA Proprietary - Do not use without permission of CSSA

## Summary

- Generic Practices Are Critical for Institutionalization
- Understanding the Relationships Among Model Components Is Important
- For Correct and Useful Application of Generic Practices
- To Simplify Model Implementation
- To Prevent Duplication of Effort
- Think and Analyze How the Generic Practices Apply to Your Business Environment
- Tailor the GP’s to Suit Your Business Context and Needs
- Allow for Professional Judgment
*Use the CMMI as a **Guide**, Not a **Dictate*

- CSSA Proprietary - Do not use without permission of CSSA