Summary

Monitor and control the process against the plan for performing the process and take appropriate corrective action.

Description

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 (MA) (CMMI-SVC) process area for more information about developing and sustaining a measurement capability used to support management information needs.


Refer to the Work Monitoring and Control (WMC) (CMMI-SVC) process area for more information about providing an understanding of the work progress and performance so that appropriate corrective actions can be taken when the work progress and 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 execution of the process.



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.



CAM Elaboration

 

Examples of measures and work products used in monitoring and controlling include the following:
  • Total number of customer hours lost per month to interruptions of normal service from causes associated with capacity and availability management
  • Number of hours lost per customer per month to interruptions of normal service from causes associated with capacity and availability management
  • Percentage of service response time requirements not met due to causes associated with capacity and availability management
  • Accuracy of forecasts of trends in resource use


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
=elaboration.

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


IRP Elaboration

 

Examples of measures and work products used in monitoring and controlling include the following:
  • Capacity, service system performance, and availability data that signal potential service incidents
  • Number of service incidents received
  • Time for resolving service incidents compared to the resolution times defined in the service level agreement
  • Number of transfers between support groups before a service incident is resolved
  • Schedule for implementing an action proposal to prevent a class of service incidents from reoccurring


IWM Elaboration

 

Examples of measures and work products used in monitoring and controlling include the following:
  • Number of changes to the defined process for the work
  • 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 work tailoring activities
  • Work group’s shared vision usage and effectiveness
  • Team structure usage and effectiveness
  • Team charters usage and effectiveness
=elaboration.

MA Elaboration

 

Examples of measures and work products used in monitoring and controlling include the following:
  • Percentage of work groups 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 work groups 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 work groups 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)
  • Progress toward achievement of process needs and objectives


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


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


QWM 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 work 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


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


SCON Elaboration

 

Examples of measures and work products used in monitoring and controlling include the following:
  • Number of changes made to the list of functions and resources identified as essential to service delivery
  • Cost, schedule, and effort expended for ensuring service continuity
  • Percentage of those who are trained in the service continuity plan that must be trained again
  • Service continuity plan verification and validation problem report status (i.e., how long each problem report has been open)


SD Elaboration

 

Examples of measures and work products used in monitoring and controlling include the following:
  • Time taken to prepare the service agreement
  • Number of service requests received
  • Time taken to resolve service requests compared to the times defined in the service level agreement
  • Number of transfers between support groups before a service request is resolved


 

SSD Addition

SSD 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
  • Schedule for activities to develop a set of requirements
  • Percentage of requirements addressed in the service system or service system component design
  • Size and complexity of the service system, service system components, interfaces, and documentation
  • Defect density of design and integration work products
  • Integration evaluation problem report trends (e.g., number written, number closed)
  • Integration evaluation problem report aging (i.e., how long each problem report has been open)
  • Verification and validation profiles (e.g., the number of verifications and validations planned and performed, the number of defects found)
  • Number of defects detected by defect category
  • Verification and validation problem report trends (e.g., number written, number closed)
  • Verification and validation problem report status (i.e., how long each problem report has been open)
  • Schedule for conduct of specific requirements, design, integration, verification, and validation activities


SST Elaboration

 

Examples of measures and work products used in monitoring and controlling include the following:
  • Planned versus actual transition time
  • Number of transition related service incidents received
  • Number of unexpected back-out and rollback instances, including magnitude of disruption to service system delivery
  • Results of post-deployment review and stakeholder surveys


STSM Elaboration

 

Examples of measures and work products used in monitoring and controlling include the following:
  • Percentage of contracts using the organization’s set of standard services
  • Number of customer requests that breach defined service levels
  • Frequency of use of particular services
  • Schedule for development of a service description change


WMC 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


WP 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