CMMI - Project Management

Project Planning

Monitoring & Control

Supplier Agreement Management

Integrated Project Management for IPPD

Risk Management

Integrated Teaming

Integrated Supplier Management

Quantitative Project Management

PP: Project Planning

Purpose

To establish and maintain plans that define project activities.

The Project Planning process area involves:

Developing the project plan
Interacting with stakeholders appropriately
Getting commitment to the plan
Maintaining the plan

Planning begins with requirements that define the product and project.

Planning includes estimating the attributes of the work products and tasks, determining the resources needed, negotiating commitments, producing a schedule, and identifying and analyzing project risks. Iterating through these activities may be necessary to establish the project plan. The project plan provides the basis for performing and controlling the project’s activities that address the commitments with the project’s customer.

The project plan will usually need to be revised as the project progresses to address changes in requirements and commitments, inaccurate estimates, corrective actions, and process changes. Specific practices describing both planning and re-planning are contained in this process area.

The term “project plan” is used throughout the generic and specific practices in this process area to refer to the overall plan for controlling the project.

Specific Goals

Goal	Supporting Practices	Sub Practices
PP-1: Estimates of project planning parameters are established and maintained. Estimates of project planning parameters are established and maintained. Project planning parameters include all information needed by the project to perform the necessary planning, organizing, staffing, directing, coordinating, reporting, and budgeting. Estimates of planning parameters should have a sound basis to provide confidence that any plans based on these estimates are capable of supporting project objectives. Factors that are typically considered when estimating these parameters include: Project requirements, including the product requirements, the requirements imposed by the organization, the requirements imposed by the customer, and other requirements that impact the project Scope of the project Identified tasks and work products Technical approach Selected project life-cycle model (e.g., waterfall, incremental, spiral, etc.) Attributes of the work products and tasks (e.g., size or complexity) Schedule Models or historical data for converting the attributes of the work products and tasks into labor hours and cost Methodology (models, data, algorithms) used to determine needed material, skills, labor hours, and cost Documenting the estimating rationale and supporting data is needed for stakeholders’ review and commitment to the plan and for maintenance of the plan as the project progresses.	Establish and maintain estimates of the attributes of the work products and tasks.	[SP]
	Establish Estimates of Work Product and Task Attributes	[SP]
	Define Project Life Cycle	[SP]
	Determine Estimates of Effort and Cost	[SP]
PP-2: Develop a Project Plan A project plan is established and maintained as the basis for managing the project. ^[N] The project plan should consider all phases of the project life cycle. Project planning should ensure that all plans affecting the project are consistent with the overall project plan.	Establish and maintain the project’s budget and schedule.	[SP]
	Identify and analyze project risks.	[SP]
	Plan for the management of project data.	[SP]
	Plan for necessary resources to perform the project.	[SP]
	Plan for knowledge and skills needed to perform the project.	[SP]
	Plan the involvement of identified stakeholders.	[SP]
	Establish and maintain the overall project plan content.	[SP]
PP-3: Obtain Commitment to the Plan Commitments to the project plan are established and maintained. To be effective, plans require commitment by those responsible for implementing and supporting the plan.	Review all plans that affect the project to understand project commitments.	[SP]
	Reconcile the project plan to reflect available and estimated resources.	[SP]
	Obtain commitment from relevant stakeholders responsible for performing and supporting plan execution.	[SP]

Institutionalizing the Processes

Basic (Managed) Goals

Advanced Goals

Establish Policy: This policy establishes organizational expectations for estimating the planning parameters, making internal and external commitments, and developing the plan for managing the project.
Plan the Process: This plan for performing the project planning process differs from the project plan described in specific practices in this process area. The plan called for in this generic practice would address the comprehensive planning for all of the specific practices in this process area, from estimating the scope of the project all the way to obtaining commitment for the project plan. In other words, this generic practice calls for one to “plan the plan.” In contrast, the project plan called for in the specific practices would address planning for the project effort itself in a comprehensive manner.
Provide Resources: ESpecial expertise, equipment, and facilities in project planning may be required:
- xperienced estimators
- Schedulers
- Technical experts in applicable areas (e.g., product domain and technology)
Assign Responsibility: Assign responsibility and authority for performing the process, developing the work products, and providing the services of the project planning process.
Train People: Examples of training topics:
- Estimating
- Budgeting
- Negotiating
- Risk identification and analysis
- Data management
- Planning
- Scheduling
Manage Configurations: Examples of work products placed under configuration management include:
- Work breakdown structure
- Project plan
- Data management plan
- Stakeholder involvement plan
Identify and Involve Relevant Stakeholders: This generic practice is different from developing the plan for stakeholder involvement for the project itself, which is covered in a specific practice of this process area.
Select relevant stakeholders from senior managers, project managers, project functional managers (e.g., systems engineering, software engineering, other disciplines), software engineers, systems engineers, manufacturing engineers, logisticians, suppliers, customers, and others who may be affected by, or may affect, the project.
Examples of activities for stakeholder involvement include:
- Establishing estimates
- Reviewing and resolving issues on the completeness and correctness of the project risks
- Reviewing data management plans
- Establishing project plans
- Reviewing project plans and resolving issues on work and resource issues
Monitor and Control the Process: Examples of measures used in monitoring and controlling include :
- Number of revisions to the plan
- Cost, schedule, and effort variance per plan revision
Objectively Evaluate Adherence: Examples of activities reviewed include:
- Establishing estimates
- Developing a project plan
- Obtaining commitments to the project plan
Examples of work products reviewed include:
- WBS
- Project plan
- Data management plan
- Stakeholder involvement plan
Review Status with Higher Level Management: These reviews are typically in the form of a briefing presented to the management steering committee by the process group and the process action teams. Examples of presentation topics include:
- Status of improvements being developed by process action teams
- Results of pilots
- Results of deployments
- Schedule status for achieving significant milestones (e.g., readiness for an appraisal, or progress towards achieving a targeted organizational maturity level or capability level profile)

Defined

Establish Defined Process: Establish and maintain the description of a defined project planning process.
Collect Improvement Information: Collect work products, measures, measurement results, and improvement information derived from planning and performing the project planning process to support the future use and improvement of the organization’s processes and process assets.

Quantitatively Managed

Establish Quantitative Objectives for the Process: Establish and maintain quantitative objectives for the project planning process that address quality and process performance based on customer needs and business objectives.
Stabilize Sub=process Performance: Stabilize the performance of one or more subprocesses to determine the ability of the project planning process to achieve the established quantitative quality and process-performance objectives.

Optimizing

Ensure Continuous Process Improvement: Ensure continuous improvement of the project planning process in fulfilling the relevant business objectives of the organization.
Correct Root Causes of Problems: Identify and correct the root causes of defects and other problems in the project planning process.

PMC: Project Monitoring & Control

Purpose

To provide 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.

A project's documented plan is the basis for monitoring activities, communicating status, and taking corrective action. Progress is primarily determined by comparing actual work product and task attributes, effort, cost, and schedule to the plan at prescribed milestones or control levels within the project schedule or work breakdown structure. Appropriate visibility enables timely corrective action to be taken when performance deviates significantly from the

The term “project plan” is used throughout these practices to refer to the overall plan for controlling the project.

When actual status deviates significantly from the expected values, corrective actions are taken as appropriate. These actions may require re-planning, which may include revising the original plan, establishing new agreements, or including additional mitigation activities within the current plan.

Specific Goals

Goal	Supporting Practices	Sub Practices
PMC-1: Monitor Project Against Plan Actual performance and progress of the project are monitored against the project.	Monitor Project Planning Parameters	[SP]
	Monitor Commitments	[SP]
	Monitor Project Risks	[SP]
	Monitor Data Management	[SP]
	Monitor Stakeholder Involvement	[SP]
	Conduct Progress Reviews	[SP]
	Conduct Milestone Reviews	[SP]
PMC-2: Manage Corrective Action to Closure Corrective actions are managed to closure when the project's performance or results deviate significantly from the plan.	Analyze Issues	[SP]
	Take Corrective Action	[SP]
	Manage Corrective Action	[SP]

Institutionalizing the Processes

Basic (Managed) Goals

Advanced Goals

Establish Policy: 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.
Plan the Process: This plan for performing the project monitoring and control process is typically a part of the project plan, as described in the Project Planning process area.
Provide Resources: Examples of resources provided include:
- Cost tracking systems
- Effort reporting systems
- Action-item-tracking systems
- Project management and scheduling programs
Assign Responsibility: Assign responsibility and authority for performing the process, developing the work products, and providing the services of the project monitoring and control process.
Train People: Examples of training topics include:
- Monitoring and control of projects
- Risk management
- Data management
Manage Configurations: Place designated work products of the project monitoring and control process under appropriate levels of configuration management.
Identify and Involve Relevant Stakeholders: Examples of activities for stakeholder involvement include:
- 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
Monitor and Control the Process: Examples of measures used in monitoring and controlling include :
- Number of open and closed corrective actions
- Project milestone dates (e.g., planned versus actual and slipped milestones)
- Number and types of reviews performed
- Review schedule (planned versus actual and slipped target dates)
Objectively Evaluate Adherence: Examples of activities reviewed include:
- Monitoring project performance against the project plan
- Managing corrective actions to closure
Examples of work products reviewed include:
- Records of project performance
- Project review results
Review Status with Higher Level Management: Review the activities, status, and results of the project monitoring and control process with higher level management and resolve issues.

Defined

Establish Defined Process: Establish and maintain the description of a defined project monitoring and control process.
Collect Improvement Information: Collect work products, measures, measurement results, and improvement information derived from planning and performing the project monitoring and control process to support the future use and improvement of the organization’s processes and process assets.

Quantitatively Managed

Establish Quantitative Objectives for the Process: Establish and maintain quantitative objectives for the project monitoring and control process that address quality and process performance based on customer needs and business objectives.
Stabilize Subprocess Performance: Stabilize the performance of one or more subprocesses to determine the ability of the project monitoring and control process to achieve the established quantitative quality and processperformance objectives.

Optimizing

Ensure Continuous Process Improvement: Ensure continuous improvement of the project monitoring and control process in fulfilling the relevant business objectives of the organization.
Correct Root Causes of Problems: Identify and correct the root causes of defects and other problems in the project monitoring and control process.

SAM: Supplier Agreement Management

Purpose

Manage the acquisition of products from suppliers for which there exists a formal agreement.

The Supplier Agreement Management process area involves:

Determining the type of acquisition that will be used for the products to be acquired
Selecting suppliers
Establishing and maintaining agreements with suppliers
Executing the supplier agreement
Accepting delivery of acquired products
Transitioning acquired products to the project

This process area primarily applies to the acquisition of products and product components that are delivered to the project’s customer. To minimize risks to the project, this process area may also be applied to the acquisition of significant products and product components not delivered to the project’s customer (for example, development tools and test environments).

This process area does not directly address arrangements in which the supplier is integrated into the project team (for example, integrated product teams). Typically, these situations are handled by other processes or functions, possibly external to the project, though some of the specific practices of this process area may be useful in managing the formal agreement with such a supplier.

Suppliers may take many forms depending on business needs, including in-house vendors (i.e., vendors that are in the same organization but are external to the project), fabrication capabilities and laboratories, and commercial vendors.

A formal agreement is any legal agreement between the organization (representing the project) and the supplier. This agreement may be a contract, a license, or a memorandum of agreement. The acquired product is delivered to the project from the supplier and becomes part of the products delivered to the customer.

Specific Goals

Goal	Supporting Practices	Sub Practices
SAM-1: Establish Supplier Agreements Agreements with the suppliers are established and maintained.	Determine Acquisition Type	[SP]
	Select Suppliers	[SP]
	Establish Supplier Agreements	[SP]
SAM-2: Satisfy Supplier Agreements Agreements with the suppliers are satisfied by both the project and the supplier. Monitoring a supplier’s work products and processes helps the project achieve the Satisfy Supplier Agreements goal in the Integrated Supplier Management process area.	Review COTS Products	[SP]
	Execute the Supplier Agreement^N	[SP]
	Accept the Acquired Product^N	[SP]
	Transition Products	[SP]

Institutionalizing the Processes

Basic (Managed) Goals

Advanced Goals

Establish Policy: This policy establishes organizational expectations for establishing, maintaining, and satisfying supplier agreements.
Plan the Process:While portions of this plan for performing the supplier agreement management process typically form part of the project plan as described in the Project Planning process area, some portions of the plan may reside outside of the project with an independent group, such as contract management.
Provide Resources: Examples of resources provided include:
- Preferred supplier lists
- Requirements tracking programs
- Project management and scheduling programs
Assign Responsibility: Assign responsibility and authority for performing the process, developing the work products, and providing the services of the supplier agreement management process.
Train People: Examples of training topics include:
- Regulations and business practices related to negotiating and working with suppliers
- Acquisition planning and preparation
- COTS products acquisition
- Supplier evaluation and selection
- Negotiation and conflict resolution
- Supplier management
- Testing and transitioning of acquired products
- Receiving, storing, using, and maintaining acquired products
Manage Configurations: Examples of work products placed under configuration management include:
- Statements of work
- Supplier agreements
- Memoranda of agreement
- Subcontracts
- Preferred supplier lists
Identify and Involve Relevant Stakeholders: Examples of activities for stakeholder involvement include: Examples of activities for stakeholder involvement include:
- Establishing criteria for evaluation of potential suppliers
- Reviewing potential suppliers
- Establishing supplier agreements
- Resolving issues with suppliers
- Reviewing supplier performance
Monitor and Control the Process: Examples of measures used in monitoring and controlling include:
- Number of changes made to the requirements for the supplier
- Cost and schedule variance per supplier agreement
Objectively Evaluate Adherence: Examples of activities reviewed include:
- Establishing and maintaining supplier agreements
- Satisfying supplier agreements
Review Status with Higher Level Management: Review the activities, status, and results of the supplier agreement management process with higher level management and resolve issues.

Defined

Establish Defined Process: Establish and maintain the description of a defined supplier agreement management process.
Collect Improvement Information: Collect work products, measures, measurement results, and improvement information derived from planning and performing the supplier agreement management process to support the future use and improvement of the organization’s processes and process assets.

Quantitatively Managed

Establish Quantitative Objectives for the Process: Establish and maintain quantitative objectives for the supplier agreement management process that address quality and process performance based on customer needs and business objectives.
Stabilize Subprocess Performance: Stabilize the performance of one or more subprocesses to determine the ability of the supplier agreement management process to achieve the established quantitative quality and process-performance objectives.

Optimizing

Ensure Continuous Process Improvement: Ensure continuous improvement of the supplier agreement management process in fulfilling the relevant business objectives of the organization.
Correct Root Causes of Problems: Identify and correct the root causes of defects and other problems in the supplier agreement management process.

IPM: Integrated Project Management for IPPD

Purpose

To establish and manage the project and the involvement of the relevant stakeholders according to an integrated and defined process that is tailored from the organization's set of standard processes.

For Integrated Product and Process Development, Integrated Project Management also covers the establishment of a shared vision for the project and a team structure for integrated teams that will carry out the objectives of the project.

Integrated Project Management involves:

Establishing the project's defined process by tailoring the organization's set of standard processes
Managing the project using the project’s defined process
Using and contributing to the organizational process assets
Enabling relevant stakeholders’ concerns to be identified, considered, and, when appropriate, addressed during the development of the product
Ensuring that the relevant stakeholders perform their tasks in a coordinated and timely manner (1) to address product and product component requirements, plans, objectives, issues, and risks; (2) to fulfill their commitments; and (3) to identify, track, and resolve issues

The integrated and defined process that is tailored from the set of standard processes is called the project’s defined process.

Managing the project’s effort, cost, schedule, staffing, risks, and other factors is tied to the tasks of the project's defined process. The implementation and management of the project's defined process are typically described in the project plan. Certain activities may be covered in other plans that affect the project, such as the quality assurance plan, risk management strategy, and the configuration management plan.

Since the defined process for each project is tailored from the organization's set of standard processes, variability among projects is typically reduced and projects can more easily share process assets, data, and lessons learned.

This process area also addresses the coordination of all activities associated with the project including:

Technical activities such as requirements development, design, and verification
Support activities such as configuration management, documentation, marketing, and training

The working interfaces and interactions among relevant stakeholders internal and external to the project are planned and managed to ensure the quality and integrity of the entire product. Relevant stakeholders participate, as appropriate, in defining the project’s defined process and the project plan. Reviews and exchanges are regularly conducted with the relevant stakeholders and coordination issues receive appropriate attention. Reviews and exchanges are regularly conducted with the relevant stakeholders to ensure that coordination issues receive appropriate attention and everyone involved with the project is appropriately aware of the status, plans, and activities. In defining the project’s defined process, formal interfaces are created as necessary to ensure that appropriate coordination and collaboration occurs.

This process area applies in any organizational structure, including projects that are structured as line organizations, matrix organizations, or integrated teams. Terminology should be interpreted for the organizational structure in place.

Specific Goals

Goal	Supporting Practices	Sub Practices
IPM-1: Use the Project’s Defined Process The project is conducted using a defined process that is tailored from the organization's set of standard processes. The project's defined process must include those processes from the organization's set of standard processes that address all processes necessary to develop and maintain the product. The product-related life-cycle processes, such as the manufacturing and support processes, are developed concurrently with the product.	Establish the Project’s Defined Process	[SP]
	Use Organizational Process Assets for Planning Project Activities	[SP]
	Integrate Plans	[SP]
	Manage the Project Using the Integrated Plans	[SP]
	Contribute to the Organizational Process Assets	[SP]
IPM-2: Coordinate and Collaborate with Relevant Stakeholders Coordination and collaboration of the project with relevant stakeholders is conducted.	Manage Stakeholder Involvement	[SP]
	Manage Dependencies	[SP]
	Resolve Coordination Issues	[SP]
IPM-3: Use the Project's Shared Vision for IPPD The project is conducted using the project’s shared vision. Creating a shared vision requires that all people in the project have an opportunity to speak and be heard about what really matters to them. The project’s shared vision captures the project’s guiding principles, including mission, objectives, expected behavior, and values. The project’s guiding principles should be consistent with those of the organization. The implementation of the project’s shared vision in work can become part of the project’s process for doing that work. As a result, it is subject to the same requirements for measurement, review, and corrective action as other processes. The value of a shared vision is that people understand and can adopt its principles to guide their actions and decisions. Shared visions tend to focus on an end state while leaving room for personal and team innovation, creativity, and enthusiasm. The activities of the individuals, teams, and project are aligned with the shared vision (i.e., the activities contribute to the achievement of the objectives expressed in the shared vision).	Define Project’s Shared-Vision Context	[SP]
	Establish the Project’s Shared Vision	[SP]
IPM-4: Organize Integrated Teams for IPPD The integrated teams needed to execute the project are identified, defined, structured, and tasked. The integrated team structure partitions responsibilities, requirements, and resources to teams so that the right expertise and abilities are available to produce the assigned products. The integrated teams are organized to facilitate communications between teams and to honor interfaces between product components. Organizing integrated teams to realize IPPD requires care and deliberation. As the project evolves, integrated team structures are reevaluated for continued applicability. Teams in the structure must be appropriately integrated with each other. The interface between two integrated teams should be specified when one team has responsibility for a work product that has an interface requirement referring to a work product of the other team. An interface between teams should be specified when one team produces a work product that will be used by another. An interface should exist when two teams share responsibility for a general requirement of the product. Each of these types of interfaces between integrated teams may require a different type of collaboration as appropriate.	Determine Integrated Team Structure for the Project	[SP]
	Develop a Preliminary Distribution of Requirements to Integrated Teams	[SP]
	Establish Integrated Teams	[SP]

Institutionalizing the Processes

Basic (Managed) Goals

Advanced Goals

Establish Policy: This policy establishes organizational expectations for using the project's defined process and coordinating and collaborating with relevant stakeholders.
Plan the Process: Typically, this plan for performing the integrated project management process is a part of the project plan as described in the Project Planning process area.
Provide Resources: Examples of resources provided include the following tools:
- Problem-tracking and trouble-reporting packages
- Groupware
- Video conferencing
- Integrated decision database
- Integrated product support environments
Assign Responsibility: Assign responsibility and authority for performing the process, developing the work products, and providing the services of the integrated project management process.
Train People: Examples of training topics include:
- 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 process
- Using the organization’s measurement repository
- Using the organizational process assets
- Integrated management
- Intergroup coordination
- Group problem solving
Manage Configurations: Examples of work products placed under configuration management include:
- The project’s defined process
- Project plans
- Other plans that affect the project
- Integrated plans
- Actual process and product measures collected from the project
Identify and Involve Relevant Stakeholders: EThis generic practice is different from managing stakeholder involvement for the project, which is covered by specific practices within this process area. Examples of activities for stakeholder involvement include:
- Resolving issues about the tailoring of the organizational process assets
- Resolving issues among the project plan and the other plans that affect the project
- Reviewing project performance to align with current and projected needs, objectives, and requirements
Monitor and Control the Process: Examples of measures used in monitoring and controlling include:
- 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)
Objectively Evaluate Adherence: Examples of activities reviewed include:
- Establishing, maintaining, and using the project’s defined process
- Coordinating and collaborating with relevant stakeholders
Review Status with Higher Level Management: Review the activities, status, and results of the integrated project management process with higher level management and resolve issues.

Defined

Establish Defined Process: This generic practice is different from the Establish the Project’s Defined Process specific practice in this process area. This generic practice establishes and maintains a defined integrated project management process. The Establish the Project’s Defined Process specific practice defines the project’s defined process, which includes all processes that affect the project.
Collect Improvement Information: This generic practice is different from the Contribute to the Organizational Process Assets specific practice in this process area. This generic practice collects improvement information about the integrated project management processes. The Contribute to the Organizational Process Assets specific practice collects information from processes in the project’s defined process.

Quantitatively Managed

Establish Quantitative Objectives for the Process: Establish and maintain quantitative objectives for the integrated project management process that address quality and process performance based on customer needs and business objectives.
Stabilize Subprocess Performance: Stabilize the performance of one or more subprocesses to determine the ability of the integrated project management process to achieve the established quantitative quality and process-performance objectives.

Optimizing

Ensure Continuous Process Improvement: Ensure continuous improvement of the integrated project management process in fulfilling the relevant business objectives of the organization.
Correct Root Causes of Problems: Identify and correct the root causes of defects and other problems in the integrated project management process.

RM: Risk Management

Purpose

To identify potential problems before they occur, so that risk-handling activities may be planned and invoked as needed across the life of the product or project to mitigate adverse impacts on achieving objectives.

Risk management is a continuous, forward-looking process that is an important part of business and technical management processes. Risk management should address issues that could endanger achievement of critical objectives. A continuous risk management approach is applied to effectively anticipate and mitigate the risks that have critical impact on the project.

Effective risk management includes early and aggressive risk identification through the collaboration and involvement of relevant stakeholders, as described in the stakeholder involvement plan addressed in the Project Planning process area. Strong leadership across all relevant stakeholders is needed to establish an environment for the free and open disclosure and discussion of risk.

While technical issues are a primary concern both early on and throughout all project phases, risk management must consider both internal and external sources for cost, schedule, and technical risk. Early and aggressive detection of risk is important because it is typically easier, less costly, and less disruptive to make changes and correct work efforts during the earlier, rather than the later, phases of the project.

Risk management can be divided into three parts: defining a risk management strategy; identifying and analyzing risks; and handling identified risks, including the implementation of risk mitigation plans when needed.

As represented in the Project Planning and Project Monitoring and Control process areas, organizations may initially focus simply on risk identification for awareness, and react to the realization of these risks as they occur. The Risk Management process area describes an evolution of these specific practices to systematically plan, anticipate, and mitigate risks to proactively minimize their impact on the project.

Although the primary emphasis of the Risk Management process area is on the project, the concepts may also be applied to manage organizational risks.

Specific Goals

Goal	Supporting Practices	Sub Practices
RM-1: Prepare for Risk Management Preparation is conducted by establishing and maintaining a strategy for identifying, analyzing, and mitigating risks. This is typically documented in a risk management plan. The risk management strategy addresses the specific actions and management approach used to apply and control the risk management program. This includes identifying the sources of risk, the scheme used to categorize risks, and the parameters used to evaluate, bound, and control risks for effective handling.	Determine Risk Sources and Categories	[SP]
	Define Risk Parameters	[SP]
	Establish a Risk Management Strategy	[SP]
RM-2: Identify and Analyze Risks Risks are identified and analyzed to determine their relative importance. The degree of risk impacts the resources assigned to handle an identified risk and the determination of when appropriate management attention is required. Analyzing risks entails identifying risks from the internal and external sources identified and then evaluating each identified risk to determine its likelihood and consequences. Categorization of the risk, based on an evaluation against the established risk categories and criteria developed for the risk management strategy, provides the information needed for risk handling. Related risks may be grouped for efficient handling and effective use of risk management resources.	Identify Risks	[SP]
	Evaluate, Categorize, and Prioritize Risks	[SP]
RM-3: Mitigate Risks Risks are handled and mitigated, where appropriate, to reduce adverse impacts on achieving objectives. The steps in handling risks include developing risk-handling options, monitoring risks, and performing risk-handling activities when defined thresholds are exceeded. Risk mitigation plans are developed and implemented for selected risks to proactively reduce the potential impact of risk occurrence. This may also include contingency plans to deal with the impact of selected risks that may occur despite attempts to mitigate them. The risk parameters used to trigger risk-handling activities are defined by the risk management strategy.	Develop Risk Mitigation Plans	[SP]
	Implement Risk Mitigation Plans	[SP]

Institutionalizing the Processes

Basic (Managed) Goals

Advanced Goals

Establish Policy: This policy establishes organizational expectations for defining a risk management strategy and identifying, analyzing, and mitigating risks.
Plan the Process: Typically, this plan for performing the risk management process is included in (or referenced by) the project plan, which is described in the Project Planning process area. The plan for performing the risk management process differs from both the risk management strategy and the risk mitigation plans described in the specific practices in this process area. The plan called for in this generic practice would address the comprehensive planning for all of the specific practices in this process area, from determining risk sources and categories all the way through to the implementation of risk mitigation plans. In contrast, the risk management strategy called for in one specific practice would address the project-specific risk strategy for things such as risk sources, thresholds, tools, and techniques, and would monitor time intervals. The risk mitigation plans called for in another specific practice would address more focused items such as the levels that trigger risk-handling activities.
Provide Resources: Examples of resources provided include:
- Risk management databases
- Risk mitigation tools
- Prototyping tools
- Modeling and simulation
Assign Responsibility: Assign responsibility and authority for performing the process, developing the work products, and providing the services of the risk management process.
Train People: Examples of training topics include:
- Risk management concepts and activities (e.g., risk identification, evaluation, monitoring, mitigation)
- Measure selection for risk mitigation
Manage Configurations: Examples of work products placed under configuration management include:
- Risk management strategy
- Identified risk items
- Risk mitigation plans
Identify and Involve Relevant Stakeholders: Examples of activities for stakeholder involvement include:
- 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
Monitor and Control the Process: Examples of measures used in monitoring and controlling include:
- 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 the risk mitigation plans (e.g., processes, schedule, funding)
- Occurrence of unanticipated risks
- Risk categorization volatility
- Comparison of estimated vs. actual risk mitigation effort and impact
Objectively Evaluate Adherence: Examples of activities reviewed include:
- Establishing and maintaining a risk management strategy
- Identifying and analyzing risks
- Mitigating risks
Examples of work products reviewed include:
- Risk management strategy
- Risk mitigation plans
Review Status with Higher Level Management: Reviews of the project risk status are held on a periodic and eventdriven basis with appropriate levels of management, to provide visibility into the potential for project risk exposure and appropriate corrective action. Typically, these reviews will include a summary of the most critical risks, key risk parameters (such as likelihood and consequence of these risks), and the status of risk mitigation efforts.

Defined

Establish Defined Process: Establish and maintain the description of a defined risk management process.
Collect Improvement Information: Collect work products, measures, measurement results, and improvement information derived from planning and performing the risk management process to support the future use and improvement of the organization’s processes and process assets.

Quantitatively Managed

Establish Quantitative Objectives for the Process:Establish and maintain quantitative objectives for the risk management process that address quality and process performance based on customer needs and business objectives.
Stabilize Subprocess Performance: Stabilize the performance of one or more subprocesses to determine the ability of the risk management process to achieve the established quantitative quality and process-performance objectives.

Optimizing

Ensure Continuous Process Improvement: Ensure continuous improvement of the risk management process in fulfilling the relevant business objectives of the organization.
Correct Root Causes of Problems: Identify and correct the root causes of defects and other problems in the risk management process.

IT: Integrated Teaming

Purpose

To form and sustain an integrated team for the development of work products.

Integrated team members:

provide the needed skills and expertise to accomplish the team’s tasks
provide the advocacy and representation necessary to address all essential phases of the product’s life cycle
collaborate internally and externally with other teams and relevant stakeholders as appropriate
share a common understanding of the team’s tasks and objectives
conduct themselves in accordance with established operating principles and ground rules

An integrated team (also known as an “Integrated Product Team” or IPT) is composed of relevant stakeholders who generate and implement decisions for the work product being developed. The members of the integrated team are collectively responsible for delivering the work product.

The integrated team receives its assignment from its sponsor. The sponsor of an integrated team is a person or a group (e.g., project manager or even another integrated team) who can assign work tasks and provide resources.

The following characteristics distinguish an integrated team in an Integrated Product and Process Development (IPPD) environment from other forms of specialty work or task groups:

Team members include empowered representatives from both technical and business functional organizations involved with the product. Within defined boundaries, these representatives have decision-making authority and the responsibility to act for their respective organizations.
Team members may include customers, suppliers, and other stakeholders outside of the organization as appropriate to the product being developed.
An integrated team consists of people skilled in the functions that need to be performed to develop required work products. Some of them may represent a functional organization. These people have a dual responsibility to focus on the product while maintaining their connections with the functional organization that can assist the development with additional expertise and advice.
An integrated team focuses on the product life cycle to the extent required by the project. Team members share and integrate considerations, expectations, and requirements of the product lifecycle phases.
An integrated team understands its role in the structure of teams for the overall project.

Clearly defined and commonly understood objectives, tasks, responsibilities, authority, and context (of vertical and horizontal interfaces) provide a strong basis for implementing integrated teams.

Specific Goals

Goal	Supporting Practices	Sub Practices
IT-1: Establish Team Composition A team composition that provides the knowledge and skills required to deliver the team’s product is established and maintained. One of the main attributes of an integrated team is to be self managed and empowered. Team membership is intended to be composed of people who can plan, execute, and implement decisions for all phases of the life cycle of the work product being acquired or developed. Team member selection and skill mix should be based on the assigned work product and the objectives that are important to the different phases of that product’s life cycle. Integrated teams should be cross functional and involve relevant stakeholders.	Identify Team Tasks	[SP]
	Identify Needed Knowledge and Skills	[SP]
	Assign Appropriate Team Members	[SP]
IT-2: Govern Team Operation Operation of the integrated team is governed according to established principles. An integrated team operates in a disciplined way that brings about effectiveness and productivity in meeting its objectives. Established operating principles help both the team leader and team members to manage group dynamics and to ensure successful interplay among the multiple functions within the team.	Establish a Shared Vision	[SP]
	Establish a Team Charter	[SP]
	Define Roles and Responsibilities	[SP]
	Establish Operating Procedures	[SP]
	Collaborate among Interfacing Teams	[SP]

Institutionalizing the Processes

Basic (Managed) Goals

Advanced Goals

Establish Policy: This policy establishes organizational expectations for establishing and maintaining team composition and governing team operation.
Plan the Process: Typically, this plan for performing the integrated teaming process is a part of the project plan as described in the Project Planning process area.
Provide Resources: Examples of special equipment and facilities include:
- Team war rooms (for regular strategy development and communication meetings)
Examples of other resources provided include:
- Interactive electronic communication and data presentation tools (groupware)
- Team-building tools
Assign Responsibility: Assign responsibility and authority for performing the process, developing the work products, and providing the services of the integrated teaming process.
Train People: Examples of training topics include:
- Use of integrated work environments
- Interpersonal skills
- Communication skills
- Team building
- Collaborative problem solving and decision making
Manage Configurations: Examples of work products placed under configuration management include:
- List of team members
- List of the level of effort and resources, including access to staff, to perform each team function
- Work task formal commitment lists
- Team shared-vision statement
- Team charter
Identify and Involve Relevant Stakeholders: Examples of activities for stakeholder involvement include:
Monitor and Control the Process: Examples of measures used in monitoring and controlling:
- Performance according to plans, commitments, and procedures for the integrated team, and deviations from expectations
- Ability to achieve team objectives
Objectively Evaluate Adherence: Examples of activities reviewed include:
- Defined roles and responsibilities
- Communication activities within and among integrated teams
Examples of work products reviewed include:
- Descriptions of roles and responsibilities
- Descriptions of product ownership boundaries and team interfaces
Review Status with Higher Level Management: Review the activities, status, and results of the integrated teaming process with higher level management and resolve issues.

Defined

Establish Defined Process: Establish and maintain the description of a defined integrated teaming process.
Collect Improvement Information: Collect work products, measures, measurement results, and improvement information derived from planning and performing the integrated teaming process to support the future use and improvement of the organization’s processes and process assets.

Quantitatively Managed

Establish Quantitative Objectives for the Process: Establish and maintain quantitative objectives for the integrated teaming process that address quality and process performance based on customer needs and business objectives.
Stabilize Subprocess Performance: Stabilize the performance of one or more subprocesses to determine the ability of the integrated teaming process to achieve the established quantitative quality and process-performance objectives.

Optimizing

Ensure Continuous Process Improvement: Ensure continuous improvement of the integrated teaming process in fulfilling the relevant business objectives of the organization.
Correct Root Causes of Problems: Identify and correct the root causes of defects and other problems in the integrated teaming process.

ISM: Integrated Supplier Management

Purpose

To proactively identify sources of products that may be used to satisfy the project’s requirements and to manage selected suppliers while maintaining a cooperative project-supplier relationship.

Integrated Supplier Management involves monitoring the new products available on the market, evaluating sources of products that might help satisfy project requirements, and using this information to select suppliers. Integrated Supplier Management also involves maintaining a cooperative project-supplier relationship, monitoring selected supplier processes, evaluating selected work products, and making appropriate adjustments in the supplier relationship and agreement.

Integrated Supplier Management involves the following activities:

Identifying, analyzing, and selecting potential sources of products
Evaluating and determining the sources to be used for acquiring products
Monitoring and analyzing selected supplier processes
Evaluating selected supplier work products
Revising the supplier agreement or relationship as appropriate

The Integrated Supplier Management process area builds on the concepts established in the Supplier Agreement Management process area by adding practices that emphasize a cooperative relationship with suppliers. Integrated Supplier Management is designed for situations in which projects use suppliers to perform functions that are critical to the success of the project. Analyzing sources and monitoring selected supplier processes and work products before delivery of the product to the project are two such functions described in this process area.

The practices in Supplier Agreement Management, such as Select Suppliers, Establish Supplier Agreements, and Execute the Supplier Agreement, are critically tied to Integrated Supplier Management. Appropriate references are provided in both process areas to emphasize these relationships.

Integrated Supplier Management emphasizes relationships with suppliers that are collaborative and coordinated. Projects evaluate the supplier’s performance and the quality of the work products for compliance with the requirements in the supplier agreement. Integrated Supplier Management is not required for projects using off-the-shelf items that are generally available and that are not modified in any way. There, the use of Supplier Agreement Management is sufficient.

The term “source” refers to a potential supplier or suppliers before selection.

The supplier agreement establishes the mechanism to allow the project to oversee supplier processes and work products and to evaluate any products being acquired. It also provides the vehicle for mutual understanding between the project and the supplier.

The specific practices of this process area can be implemented either within each project, by a separate group in the organization that supports multiple projects (e.g., contract management), or some combination of the two.

Specific Goals

Goal	Supporting Practices	Sub Practices
ISM-1: Analyze and Select Sources of Products Potential sources of products that best fit the needs of the project are identified, analyzed, and selected. The specific practices associated with this specific goal enhance the approach to selecting suppliers described in the Supplier Agreement Management process area by proactively identifying potential sources of products that satisfy the project’s requirements and by using this information when selecting suppliers. The specific practices associated with this specific goal augment those that help achieve the Establish Supplier Agreements specific goal of the Supplier Agreement Management process area and contribute to making the supplier selection decisions described in that process area.	Analyze Potential Sources of Products	[SP]
	Evaluate and Determine Sources of Products	[SP]
ISM-2: Coordinate Work with Suppliers Work is coordinated with suppliers to ensure the supplier agreement is executed appropriately. The relationship that exists among the project, supplier, customer, and end user requires special emphasis. Achieving project success increasingly demands closely aligned, if not integrated, processes across organizational boundaries. The specific practices associated with this specific goal augment those that help achieve the Satisfy Supplier Agreements specific goal of the Supplier Agreement Management process area.	Monitor Selected Supplier Processes	[SP]
	Evaluate Selected Supplier Work Products	[SP]
	Revise the Supplier Agreement or Relationship	[SP]

Institutionalizing the Processes

Basic (Managed) Goals

Advanced Goals

Establish Policy: This policy establishes organizational expectations for identifying, analyzing, and selecting suppliers; and for monitoring supplier processes, work products, and performance. This policy also establishes organizational expectations for analyzing and managing risks relevant to potential sources and the projectsupplier relationship.
Plan the Process: Typically, this plan for performing the integrated supplier management process is a part of the project plan as described in the Project Planning process area.
Provide Resources: Special expertise may be required including:
- Ability to evaluate potential sources and select suppliers
- Knowledge of supplier management, including appraising a supplier's planning documents, processes, work products, and services
- Knowledge of risk management
- Knowledge of the domain of the product being acquired
- Knowledge of current engineering processes, work products, verification methods, technology, costing methodologies, and tools
Assign Responsibility: Assign responsibility and authority for performing the process, developing the work products, and providing the services of the integrated supplier management process.
Train People: Examples of training topics include:
- Identifying potential sources for candidate products to be acquired
- Acquisition feasibility and product life-cycle costs analysis
- Evaluating supplier work products
- Monitoring supplier processes
Manage Configurations: Examples of work products placed under configuration management include:
- Results of the acquisition feasibility and product life-cycle costs analysis
- Supplier agreements
- Discrepancy reports
Identify and Involve Relevant Stakeholders: Examples of activities for stakeholder involvement include:
- Resolving issues about the improvements to supplier agreements
- Resolving issues about the meaning of the requirements to be fulfilled by the supplied products
- Resolving issues about the reporting of performance data and handling of discrepancies
Monitor and Control the Process: Examples of measures used in monitoring and controlling include:
- Effort expended to manage the evaluation of sources and selection of suppliers
- Number of changes to the requirements in the supplier agreement
- Number of documented commitments between the project and the supplier
- Interface coordination issue trends (i.e., number identified and number closed)
- Quality measures of the supplied products
Objectively Evaluate Adherence: Examples of activities reviewed include:
- Managing the evaluation of sources and selection of suppliers according to the project’s defined process
- Collecting data and providing appropriate data to the organization’s measurement repository
- Using the organization’s measurement repository to support management activities
- Ensuring that appropriate project subgroups participate in technical activities
- Identifying, negotiating, and tracking critical dependencies and commitments among the functions involved with the integrated supplier management process
- Handling agreement-coordination issues
Review Status with Higher Level Management: Review the activities, status, and results of the integrated supplier management process with higher level management and resolve issues.

Defined

Establish Defined Process: Establish and maintain the description of a defined integrated supplier management process.
Collect Improvement Information: Collect work products, measures, measurement results, and improvement information derived from planning and performing the integrated supplier management process to support the future use and improvement of the organization’s processes and process assets.

Quantitatively Managed

Establish Quantitative Objectives for the Process: Establish and maintain quantitative objectives for the integrated supplier management process that address quality and process performance based on customer needs and business objectives.
Stabilize Subprocess Performance: Stabilize the performance of one or more subprocesses to determine the ability of the integrated supplier management process to achieve the established quantitative quality and process-performance objectives.

Optimizing

Ensure Continuous Process Improvement: Ensure continuous improvement of the supplier agreement management process in fulfilling the relevant business objectives of the organization.
Correct Root Causes of Problems: Identify and correct the root causes of defects and other problems in the supplier agreement management process.

QPM: Quantitative Project Management

Purpose

To quantitatively manage the project’s defined process to achieve the project’s established quality and process-performance objectives.

To effectively address the specific practices in this process area, the organization should have already established a set of standard processes and related organizational process assets, such as the measurement repository and the process asset library, for use by each project in establishing its defined process. The project’s defined process is a set of sub-processes that form an integrated and coherent life cycle for the project. It is established, in part, through selecting and tailoring processes from the set of standard processes.

Process performance is a measure of the actual process results achieved. Process performance is characterized by both process measures (e.g., effort, cycle time, and defect removal efficiency) and product measures (e.g., reliability, defect density, and response time).

The quality and process-performance objectives, measures, and baselines are developed as described in the Organizational Process Performance process area. Subsequently, the results of performing the processes associated with the Quantitative Project Management process area (e.g., measurement definitions and measurement data) become part of the organizational process assets referred to in the Organizational Process Performance process area.

Sub-processes are defined components of a larger defined process. For example, a typical organization's development process may be defined in terms of sub-processes such as requirements development, design, build, test, and peer review. The sub-processes themselves may be further decomposed as necessary into other sub-processes and process elements.

This process area applies to managing a project, but the concepts found here also apply to managing other groups and functions. Applying these concepts to managing other groups and functions may not necessarily contribute to achieving the business objectives, but may help these groups and functions control their own processes.

An essential element of quantitative management is having confidence in estimates (i.e., being able to predict the extent to which the project can fulfill its quality and process-performance objectives). The sub-processes that will be statistically managed are chosen based on identified needs for predictable performance. A second key element of quantitative management is understanding the nature and extent of the variation experienced in process performance, and recognizing when the project’s actual performance may not be adequate to achieve the project’s quality and process performance objectives.

Statistical management involves statistical thinking and the correct use of a variety of statistical techniques, such as run charts, control charts, confidence intervals, prediction intervals, and tests of hypotheses. Quantitative management uses data from statistical management to help the project predict whether it will be able to achieve its quality and process-performance objectives and identify what corrective action should be taken.

Specific Goals

Goal	Supporting Practices	Sub Practices
QPM-1: Quantitatively Manage the Project The project is quantitatively managed using quality and process-performance objectives. When establishing the project’s quality and process-performance objectives, it is often useful to think ahead about which processes from the organization’s set of standard processes will be included in the project’s defined process, and what the historical data indicates regarding their process performance. These considerations will help in establishing realistic objectives for the project. Later, as the project’s actual performance becomes known and more predictable, the objectives may need to be revised.	Establish the Project’s Objectives	[SP]
	Compose the Defined Process	[SP]
	Select the Sub-processes that Will Be Statistically Managed	[SP]
	Manage Project Performance	[SP]
QPM-2: Statistically Manage Sub-process Performance The performance of selected subprocesses within the project's defined process is statistically managed. This specific goal describes an activity critical to achieving the Quantitatively Manage the Project specific goal of this process area. The specific practices under this specific goal describe how to statistically manage the subprocesses whose selection was described in the specific practices under the first specific goal. When the selected subprocesses are statistically managed, their capability to achieve their objectives can be determined. By these means, it will be possible to predict whether the project will be able to achieve its objectives, which is key to quantitatively managing the project.	Select Measures and Analytic Techniques	[SP]
	Apply Statistical Methods to Understand Variation	[SP]
	Monitor Performance of the Selected Subprocesses	[SP]
	Record Statistical Management Data	[SP]

Institutionalizing the Processes

Basic (Managed) Goals

Advanced Goals

Establish Policy: 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
Plan the Process: Typically, this plan for performing the quantitative project management process is included in (or referenced by) the project plan, which is described in the Project Planning process area.
Provide Resources: 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:
- System dynamics models
- Automated test-coverage analyzers
- Statistical process and quality control packages
- Statistical analysis packages
Assign Responsibility: Assign responsibility and authority for performing the process, developing the work products, and providing the services of the quantitative project management process.
Train People: Examples of training topics include:
- Process modeling and analysis
- Process measurement data selection, definition, and collection
Manage Configurations: Examples of work products placed under configuration management include:
- Subprocesses to be included in the project’s defined process
- Operational definitions of the measures, their collection points in the subprocesses, and how the integrity of the measures will be determined
- Collected measures
Identify and Involve Relevant Stakeholders: Examples of activities for stakeholder involvement include:
- Establishing project objectives
- Resolving issues among the project’s quality and process-performance objectives
- Appraising performance of the selected subprocesses
- Identifying and managing the risks in achieving the project’s quality and processperformance objectives
- Identifying what corrective action should be taken
Monitor and Control the Process: Examples of measures used in monitoring and controlling include:
- Profile of subprocesses under statistical management (e.g., number planned to be under statistical management, number currently being statistically managed, and number that are statistically stable)
- Number of special causes of variation identified
Objectively Evaluate Adherence: Examples of activities reviewed include:
- Quantitatively managing the project using quality and process-performance objectives
- Statistically managing selected subprocesses within the project’s defined process
Examples of work products reviewed include:
- Subprocesses to be included in the project’s defined process
- Operational definitions of the measures
- Collected measures
Review Status with Higher Level Management: Review the activities, status, and results of the quantitative project management process with higher level management and resolve issues.

Defined

Establish Defined Process: Establish and maintain the description of a defined quantitative project management process.
Collect Improvement Information: Collect work products, measures, measurement results, and improvement information derived from planning and performing the quantitative project management process to support the future use and improvement of the organization’s processes and process assets.

Quantitatively Managed

Establish Quantitative Objectives for the Process: Establish and maintain quantitative objectives for the quantitative project management process that address quality and process performance based on customer needs and business objectives.
Stabilize Subprocess Performance: Stabilize the performance of one or more subprocesses to determine the ability of the quantitative project management process to achieve the established quantitative quality and process-performance objectives.

Optimizing

Ensure Continuous Process Improvement: Ensure continuous improvement of the quantitative project management process in fulfilling the relevant business objectives of the organization.
Correct Root Causes of Problems: Identify and correct the root causes of defects and other problems in the quantitative project management process.

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