Manage Corrective Actions of PMC

During the analysis of a problem management tool I identified several actions that were open without a deadline and status record or with a deadline expired and without status record. Some actions were without a deadline because they depended on external agents to be resolved (customer, priority addressed by higher level) and others without updating the history and deadline because these didn't have modified status. The monitoring of these actions was performed through interviews. What is the impact of this condition on sub-practice 2.3-1 - Manage Corrective Action of PMC? Does this condition affect the reach of this practice? For me this condition characterizes a non-compliance. I would like to know your opinion.

The correct answer depends upon what you have written in your documented procedures for identifying issues and taking corrective actions. Do your processes and procedures allow you to to conduct verbal reviews of issues and take corrective actions? I do agree with you that you have identified some problems with your process and the proper completion of forms.

If you believe these are true non-conformances, but your documented processes allow this to happen, then it would be a good idea to modify your processes accordingly. Otherwise, you have identified a gap between the documented and practiced processes. These issues should have also been identified through the PPQC process and work product audits.

Also, since the sub-practices are an informative component, they provide additional material to help you understand the intent of the Specific Goals and Practices. There is no expectation that the sub-practices have to be implemented. Therefore, the situation you described really has no impact on PMC SP 2.3 Sub-practice 1.

What Does GP 2.8 Monitor and Control the Process Mean?

In my experience as a Lead Appraiser I find that most organizations struggle with understanding the intent of this Generic Practice. I believe that part of the confusion with this practice is that people may read the practice title instead of the practice.

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

The intent of GP 2.8 is not just to monitor and control process, as indicated by the title, but to directly monitor and control the process against the plan for the process (GP 2.2) as you PERFORM the process. Many organizations think that by checking some process measures on a monthly or quarterly basis, after the fact, is meeting the intent of GP 2.8. The frequency of monitoring and controlling the process depends on how often you perform the process. Some process occur weekly and others may be only once or twice during the project's lifecycle. So, once again, the monitoring and controlling of the process must occur as you execute the process. Keeping in mind that reporting the results of the monitoring and controlling effort can happen on a monthly or quarterly basis.
The other misconception about GP 2.8 is that you can read the practice and interpret the words to mean that you can monitor and control the process without using data. That is true if you just read the words of the practice title. However, the practice states that the monitoring and controlling of the process is based on the plan for performing the process. Once you are using a "baseline" for comparison, then the implication is that you have some means for measuring and determining if there is a need for taking appropriate corrective action. In fact, the GP 2.8 discussion in the CMMI refers to the Measurement and Analysis (MA) Process Area for more information about measurements. So the intent of GP 2.8 is to use MA to define one or more appropriate process measures and indicators that will be used to measure the process' performance against its plan, as the process is being executed. The GP 2.8 sub-practices communicate the intent of this Generic Practice. Taking corrective action should not be because an arbitrary threshold was exceeded, but instead the criteria for taking corrective action should be when the process requirements and/or objectives are not being met, process issues have been identified, or when process progress deviates significantly from the plan for the process.