V20fullmodel.pdf

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2 Copyright © 2018 CMMI Institute THIS CMMI INSTITUTE MATERIAL IS FURNISHED ON AN “AS-IS” BASIS. TO THE MAXIMUM EXTENT ALLOWED BY LAW, THE CMMI INSTITUTE SPECIFICALLY DISCLAIMS ALL WARRANTIES, WHETHER EXPRESS, IMPLIED, OR STATUTORY, REGARDING OR RELATING TO THE CAPABILITY MATURITY MODEL INTEGRATION (CMMI), AND ALL MODEL CONTENT, INCLUDING THE CMMI V2.0 PRODUCT SUITE, CMMI METHOD DEFINITION DOCUMENT, CMMI ADOPTION AND TRANSITION GUIDANCE, CMMI MODEL, AND CMMI MODEL VIEWER (“CMMI CONTENT”), INCLUDING ALL IMPLIED WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, NONINFRINGEMENT, USAGE OF TRADE, AND COURSE OF DEALING OR PERFORMANCE. CMMI Institute owns all copyright, trademark, and all other intellectual property rights in the CMMI Content. You may not reproduce, duplicate, copy, sell, resell, assign, transfer, create derivative works of, incorporate in any software or tool, or commercially exploit any portion of the CMMI Content, without express written permission by CMMI® Institute. You are solely responsible for your use of the CMMI Content, and agree to defend, indemnify and hold CMMI Institute harmless from any claims, liability, damages, costs or expenses incurred by CMMI Institute arising from your use of the CMMI Content.

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CMMI Model Document Change History Version

Date

Description

2.0

28 March 2018

Initial baseline release of CMMI Model with Development view.

2.1

4 December 2018

Updates include: • Addition of content for Services and Supplier Management views, including changes to graphics • Changes to address change requests from community feedback received through August 2018 • Refer to the Release Notes, available through the Model Viewer for more details

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CMMI V2.1 Model Table of Contents Overview ........................................................................................................................ 9 Part One: About CMMI and Executive Summary ............................................................ 9 Why use the CMMI? ............................................................................................................................. 10 Benefits ................................................................................................................................................. 11 Improve Your Performance ................................................................................................................... 12 Purpose ................................................................................................................................................ 13 Audience ............................................................................................................................................... 13 Model Structure and Content................................................................................................................ 13 Model Content Organization ................................................................................................................. 14 CMMI V2.0 Product Suite ..................................................................................................................... 14

Part Two: Successfully Adopting CMMI ......................................................................... 35 Elevating Performance through Process Improvement ........................................................................ 35

Part Three: Process Persistence and Habit .................................................................. 40 Sustaining Habit and Persistence......................................................................................................... 41

Part Four: Achieving High Maturity ................................................................................ 43 Practice Areas ............................................................................................................. 48 Part Five: Practice Areas ............................................................................................... 48 Causal Analysis and Resolution (CAR) ......................................................................... 49 Level 1 .................................................................................................................................................. 52 Level 2 .................................................................................................................................................. 53 Level 3 .................................................................................................................................................. 56 Level 4 .................................................................................................................................................. 62 Level 5 .................................................................................................................................................. 65

Configuration Management (CM) .................................................................................. 66 Level 1 .................................................................................................................................................. 70 Level 2 .................................................................................................................................................. 71

Continuity (CONT) ......................................................................................................... 80 Level 1 .................................................................................................................................................. 81 Level 2 .................................................................................................................................................. 83 Level 3 .................................................................................................................................................. 88

Decision Analysis and Resolution (DAR)....................................................................... 94 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

5 Level 1 .................................................................................................................................................. 98 Level 2 ................................................................................................................................................ 100 Level 3 ................................................................................................................................................ 106

Estimating (EST) ......................................................................................................... 108 Level 1 ................................................................................................................................................ 113 Level 2 ................................................................................................................................................ 114 Level 3 ................................................................................................................................................ 122

Governance (GOV) ..................................................................................................... 126 Level 1 ................................................................................................................................................ 128 Level 2 ................................................................................................................................................ 129 Level 3 ................................................................................................................................................ 138 Level 4 ................................................................................................................................................ 141

Implementation Infrastructure (II) ................................................................................ 142 Level 1 ................................................................................................................................................ 144 Level 2 ................................................................................................................................................ 145 Level 3 ................................................................................................................................................ 149

Incident Resolution and Prevention (IRP) ................................................................... 154 Level 1 ................................................................................................................................................ 157 Level 2 ................................................................................................................................................ 158 Level 3 ................................................................................................................................................ 163

Managing Performance and Measurement (MPM) ..................................................... 168 Level 1 ................................................................................................................................................ 174 Level 2 ................................................................................................................................................ 177 Level 3 ................................................................................................................................................ 195 Level 4 ................................................................................................................................................ 206 Level 5 ................................................................................................................................................ 220

Monitor and Control (MC) ............................................................................................ 226 Level 1 ................................................................................................................................................ 231 Level 2 ................................................................................................................................................ 233 Level 3 ................................................................................................................................................ 244

Organizational Training (OT) ....................................................................................... 252 Level 1 ................................................................................................................................................ 255 Level 2 ................................................................................................................................................ 256 Level 3 ................................................................................................................................................ 258

Peer Reviews (PR) ...................................................................................................... 267 Level 1 ................................................................................................................................................ 270 Level 2 ................................................................................................................................................ 271 Level 3 ................................................................................................................................................ 275

Planning (PLAN) ......................................................................................................... 276 Level 1 ................................................................................................................................................ 283 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

6 Level 2 ................................................................................................................................................ 286 Level 3 ................................................................................................................................................ 305 Level 4 ................................................................................................................................................ 317

Process Asset Development (PAD) ............................................................................. 320 Level 1 ................................................................................................................................................ 323 Level 2 ................................................................................................................................................ 324 Level 3 ................................................................................................................................................ 327

Process Management (PCM) ...................................................................................... 342 Level 1 ................................................................................................................................................ 346 Level 2 ................................................................................................................................................ 351 Level 3 ................................................................................................................................................ 356 Level 4 ................................................................................................................................................ 364

Process Quality Assurance (PQA)............................................................................... 366 Level 1 ................................................................................................................................................ 370 Level 2 ................................................................................................................................................ 371 Level 3 ................................................................................................................................................ 377

Product Integration (PI) ............................................................................................... 378 Level 1 ................................................................................................................................................ 381 Level 2 ................................................................................................................................................ 382 Level 3 ................................................................................................................................................ 391

Requirements Development and Management (RDM)................................................ 397 Level 1 ................................................................................................................................................ 402 Level 2 ................................................................................................................................................ 403 Level 3 ................................................................................................................................................ 413

Risk and Opportunity Management (RSK) .................................................................. 425 Level 1 ................................................................................................................................................ 429 Level 2 ................................................................................................................................................ 431 Level 3 ................................................................................................................................................ 434

Service Delivery Management (SDM) ......................................................................... 442 Level 1 ................................................................................................................................................ 444 Level 2 ................................................................................................................................................ 445 Level 3 ................................................................................................................................................ 456

Strategic Service Management (STSM) ...................................................................... 458 Level 1 ................................................................................................................................................ 460 Level 2 ................................................................................................................................................ 461 Level 3 ................................................................................................................................................ 466

Supplier Agreement Management (SAM) .................................................................... 468 Level 1 ................................................................................................................................................ 471 Level 2 ................................................................................................................................................ 474 Level 3 ................................................................................................................................................ 482 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

7 Level 4 ................................................................................................................................................ 489

Supplier Source Selection (SSS) ............................................................................... 491 Level 1 ................................................................................................................................................ 492 Level 2 ................................................................................................................................................ 496 Level 3 ................................................................................................................................................ 504

Technical Solution (TS) ............................................................................................... 506 Level 1 ................................................................................................................................................ 509 Level 2 ................................................................................................................................................ 510 Level 3 ................................................................................................................................................ 516

Verification and Validation (VV) ................................................................................... 524 Level 1 ................................................................................................................................................ 527 Level 2 ................................................................................................................................................ 529 Level 3 ................................................................................................................................................ 534

Appendices ................................................................................................................ 536 Part Six: Appendices ................................................................................................... 536 Appendix A: Core Practice Areas, Categories, and Capability Areas ................................................. 536 Appendix B: Predefined Model Views – Maturity and Capability Levels ............................................ 550 Appendix C: CMMI Adoption and Transition Resources .................................................................... 569 Appendix D: Common CMMI Misperceptions .................................................................................... 571 Appendix E: Glossary ......................................................................................................................... 574 Appendix F: Abbreviations .................................................................................................................. 593 Appendix G: CMMI Development History ........................................................................................... 596 Appendix H: References ..................................................................................................................... 597 Appendix I: Acknowledgements.......................................................................................................... 598

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List of Figures Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure

1. Why Build Capability? ............................................................................................................9 2. Why use CMMI? .................................................................................................................. 10 3. Driving Performance through Capability ................................................................................ 12 4. Model Content Organization................................................................................................. 14 5. CMMI V2.0 Product Suite ..................................................................................................... 15 6. Integrated CMMI Product Suite ............................................................................................ 16 7. Structural vs. Content Architecture ....................................................................................... 17 8. CMMI Model Structure ......................................................................................................... 18 9. CMMI Model Component Structure ....................................................................................... 19 10. CMMI Model Component Structure - Views ......................................................................... 21 11. Planning and Managing Work Capability Area View.............................................................. 22 12. Categories and Associated Capability Areas......................................................................... 23 13. Practice Area Organization ................................................................................................. 25 14. Definitions of Evolutionary Level Characteristics .................................................................. 26 15. Example Icon, DAR ........................................................................................................... 29 16. Model Content Relationships .............................................................................................. 29 17. Four Stages of Process Discipline ....................................................................................... 36 18. Four Characteristics of Process Persistence and Habit .......................................................... 40 19. Maturity Levels 2 & 3 vs. 4 & 5 .......................................................................................... 44 20. Using High Maturity to Determine if Work Should be Accepted ............................................. 46 21. Two Approaches to Improvement ...................................................................................... 47 22. Core Practice Areas ......................................................................................................... 537 23. Practice Areas by Domain ................................................................................................ 538 24. Categories and Capability Areas ....................................................................................... 539 25. Practice Area vs. Practice Structure .................................................................................. 551 26. Evolutionary View of Practice Group Levels in Practices ..................................................... 553 27. Capability Level Rating Progression – CM Example ............................................................ 554 28. Maturity Levels Summary................................................................................................. 555 29. CMMI Development, Maturity Levels 2-5 ........................................................................... 557 30. CMMI Services, Maturity Levels 2-5 .................................................................................. 561 31. CMMI Supplier Management, Maturity Levels 2-5 .............................................................. 565 32. Development and Multi-Model Capability Area View Examples ............................................ 568

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Overview

Part One: About CMMI and Executive Summary CMMI® (Capability Maturity Model® Integration) is an integrated set of best practices that enable businesses to improve performance of their key business processes. This model was developed by product teams with members from industry and CMMI Institute. At its heart, the CMMI provides a clear roadmap for building, improving, and sustaining capability. Figure 1 provides some key reasons to build capability.

Figure 1. Why Build Capability?

The architecture and design of the CMMI V2.0 Product Suite is a radical departure from its predecessors to make it more useful and adoptable for customers and businesses. One of the key drawbacks of complex maturity models is the time and resources it takes to make updates and keep them current with business, technology trends, and market demands. To address this challenge, the architecture of CMMI was specifically designed to be flexible, agile, and evolve as these and other factors change. This enables rapid development and addition of relevant new content at the speed of business, technology, and change. CMMI provides guidance for applying this set of best practices in a business or organization, to ensure quality and timely solutions that delight customers and end users. Every company or organization can benefit from improving performance and reducing risk. The CMMI provides a roadmap that guides improvement from ad hoc activities to disciplined and consistent processes for achieving business objectives related to: • • • • •

Performance Quality Cost Schedule Functionality

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Why use the CMMI? CMMI helps a business understand its current level of capability and performance. If business needs and objectives are not being met, CMMI practices can guide improvement to elevate and optimize performance. Focusing primarily on business benefits and performance drives process improvements to better serve the needs of the business and, ultimately, the customer. To accomplish this: • • •

An effective and sustainable improvement program needs to be in place The focus of improvement needs to be on performance Executive management must visibly and actively support the effort to improve

Figure 2 summarizes the results of an assessment of capabilities and processes that CMMI directly addresses.

Figure 2. Why use CMMI?

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Benefits Using CMMI provides many benefits, including: • •

A positive return on performance and process improvement investments Meeting commitments that result in: o o o o

•

More timely delivery Fewer last-minute crunches Enhanced cost control Increased quality of solutions

Management visibility which results in: o o o o o o

More rapid response to issues and risks Fewer surprises High quality solutions that meet customer needs and expectations Reduced customer complaints Reduced rework Lower employee turnover

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Improve Your Performance It is important to understand the organization’s current level of performance, and the extent that it aligns to the current business needs and objectives. If performance is not meeting business needs and objectives, then process improvement is used to raise performance to the needed level. Performance should be managed at all levels in the business and be a key driver for process change. Figure 3 provides a summary of how CMMI addresses performance and capability improvement.

Figure 3. Driving Performance through Capability

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Purpose The CMMI model is an organized collection of best practices for business and performance improvement. Best practices in the model focus on what needs to be done to improve performance, not how to do it. Successful adoption of the CMMI is dependent on each situation. One specific approach may not be successful in every situation. CMMI has been explicitly designed to be understandable, accessible, and flexible to a broad variety of businesses and types of work. It facilitates faster, easier, and successful improvement to address: • • • •

Increasing performance Industry-specific needs Multiple types of organizations or projects Market drivers, such as: o o o

Business and industry trends Regulatory requirements New or changing technologies

Audience The audience for CMMI includes anyone interested in improving performance in any business environment. Whether you are seeking information to begin improving your performance or are already familiar with the concept of capability maturity models, the CMMI can be useful to you. CMMI can also be effectively used for performing due diligence in the selection of potential suppliers, or on an organization you might be interested in acquiring. As part of the integrated CMMI V2.0 Product Suite, the CMMI Institute has published guidance to help you begin or continue your performance improvement journey by adopting or transitioning to CMMI. Refer to Appendix C: CMMI Adoption and Transition Resources, for the CMMI adoption and transition guidance and a list of additional resources that address critical business performance and capability challenges.

Model Structure and Content Rather than having all the material contained in a single, linear document or book, the CMMI model supports providing content to users in different formats, different level of detail, and with different emphasis depending on the views defined or needed. This allows for a robust set of information tailored to specific uses and needs.

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Model Content Organization To make it easier to present the model content in a more approachable and easier-tounderstand manner and make future updates easier, the model content has been broken into 6 parts, organized by three primary sections, including the overview (this section), Practice Areas, and Appendices. Refer to Figure 4.

Figure 4. Model Content Organization Part Number

Title

Description

Section: Overview Part 1

About CMMI V2.0

Provides an overview of the CMMI V2.0 Product Suite, including an Executive Summary of the model.

Part 2

Successfully Adopting CMMI

Provides the context for understanding and using CMMI in a manner that achieves tangible business results.

Part 3

Process Persistence and Habit

Describes how to build and sustain business performance improvement and capability throughout an organization.

Part 4

Achieving High Maturity

Builds on early performance success from adopting the model and elevates it to optimizing performance through understanding variation and performance objectives.

Section: Practice Areas Part 5

Practice Areas

Containing the majority of the content of the model, this part contains all the practice areas of the model.

Section: Appendices Part 6

Appendices A-I

More detailed information on adopting the CMMI, understanding the predefined views and levels it contains and how they work, as well as the glossary, acronym list, index and acknowledgements.

CMMI V2.0 Product Suite At its core, CMMI is a set of predefined and customized views that apply to different business environments. The CMMI V2.0 Product Suite contains five components as shown in Figure 5.

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Figure 5. CMMI V2.0 Product Suite

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Figure 6 shows the entire integrated CMMI V2.0 Product Suite. This integrated approach was designed to reduce the “stovepiping” of product suite components.

Figure 6. Integrated CMMI Product Suite

A CMMI V2.0 architecture design goal is to provide a flexible performance improvement model and structure that can adapt to meet short- and long-term needs. The architecture and substructures will accommodate all CMMI Institute’s existing and future models and content.

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There are two key design aspects addressed by the CMMI architecture. One deals with structure and the other describes the content contained in that structure. The difference between structural and content architecture is illustrated in Figure 7.

Figure 7. Structural vs. Content Architecture

Another design goal is to reduce the size and complexity of the model, yet not lose the ability to have extensive explanatory material for advanced users who want an in-depth understanding of a topic area. This goal has been accomplished, in part, by moving to an electronic format with links to external informative material. This allows the informative material to be updated to accommodate technical changes without having to update the core model. This approach makes it possible for end users to create a view of the model to meet their organization’s performance improvement needs. This enables the CMMI model to be effective for a wide range of organizations, such as when the model is used as a part of a supplier selection process only a subset of model components may be critical for a specific supplier selection. The organization can construct a custom view that fits those priorities, so they and their potential suppliers know what is expected. Historically, CMMI models focused separately on key process issues for development, services, and supplier management. However, businesses rarely focus on only development, only services, or only supplier management. For example, besides developing a product, a development organization may also provide help desk services to end users. By integrating the separate CMMI models and other models or sources, e.g., the People-CMM (P-CMM), this provides an integrated and holistic approach to performance improvement by allowing organizations to focus on the areas of improvement that they find most relevant.

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Except for the overview of the model and the appendices within the model, the format of the material follows a common modular structure. Figure 8 shows the high-level overview of the modular structure of the CMMI model.

Figure 8. CMMI Model Structure

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At the highest level, the CMMI model is a container of Practice Areas and composed of five components, described in Figure 9.

Figure 9. CMMI Model Component Structure

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This architecture provides a core model that contains material that applies to any context, along with additional helpful information for organizations wishing to understand and adopt the model, or use it in a specific context, such as agile with Scrum, development, services, etc. This modularization allows the model to be extended and updated with new examples, technologies, and methods without having to update the entire model.

View Views may be subject to change over time. A view is a window into the model which allows an organization or project to focus on what is important to them or their organization. There are predefined views that an organization can select. Or if none of the predefined views meet business needs, organizations can construct their own custom view as shown in Figure 10. For example: • •

An organization that primarily performs software development, could choose the predefined view of CMMI Development (CMMI-DEV) An organization wanting to improve their work management capability could choose a view for the Planning and Managing Work Capability Area (refer to Figure 11) to help them manage their work management performance

For a complete listing of current CMMI Institute predefined model views, refer to Appendix A.

Figure 10. CMMI Model Component Structure - Views

Constructing a view consists of selecting what CMMI model components to include in the view.

Capability Area A Capability Area is a group of related practice areas that can provide improved performance in the skills and activities of an organization or project. A Capability Area view is a subset of the CMMI model that describes a predefined set of Practice Areas that make up a specific Capability 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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Area. Capability Areas are a type of a view. Figure 11 illustrates a view of the Planning and Managing Work Capability Area that includes all current and future planned associated Practice Areas. Note: Future planned or potential Capability Areas and Practice Areas are shown in gray.

Figure 11. Planning and Managing Work Capability Area View

Categories for Capability Areas Categories are logical groups or views of related capability areas that address common problems encountered by businesses when producing or delivering solutions. One of the lessons learned from industry experience is that creating small groups of similar topics in a list makes them easier to understand and remember. Incorporating this approach into the CMMI V2.0 Product Suite makes training and adoption more effective. Additionally, the categories match a typical performance improvement path, moving from doing simple tasks, to managing them to be more efficient, to enabling them to be more effective, and finally to continually improving them to achieve better performance. Categories are types of views. The categories are: • • • •

Doing – Capability Areas for producing and delivering quality solutions Managing – Capability Areas for planning and managing implementation of solutions Enabling – Capability Areas for supporting solution implementation and delivery Improving – Capability Areas for sustaining and improving performance

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Figure 12 shows how the capability areas are organized into the categories.

Figure 12. Categories and Associated Capability Areas

These view categories help to prioritize, organize, and plan resources while focusing attention on the most critical issues facing the business. For example: • •

Customer satisfaction is both a primary objective and a challenge for most organizations. The Doing category provides several sets of best practices to consistently produce and deliver solutions that satisfy the customer. For organizations that want to improve their planning capabilities, or that have problems consistently planning and managing the work, the Managing category provides several sets of best practices to help resolve these issues.

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• •

Organizations typically have challenges in addressing complexity and managing change. The Enabling category provides a clear set of approaches to control, decide, and communicate how complexity and change are being addressed. Many organizations recognize a need to improve performance but lose momentum and focus once marginal gains have been achieved. The Improving category enables effective and sustainable performance improvement.

Practice Area (PA) A Practice Area is a set of practices that collectively describe the critical activities needed to achieve a defined intent and value. Practice Areas are composed of: • •

Practice Area Name & Icon Required PA Information o o o

•

Explanatory PA Information o o o o

•

Intent – to explain what results and accomplishments are expected as an outcome of the PA Value – business value achievable by adopting practices in the PA Additional Required Information - remaining description of the practice area which is important and useful to better understand the meaning of the practice area intent and required information and may not be present for every PA Practice Summary Additional Information Related Practice Areas – The PA(s) reflected in this section represent common relationships, but are not intended to be reflective of all possible relationships Context Specific Information, if applicable

Practice Groups o o

Organizing structure for practices within a practice area to support understanding and implementation Practice groups allow for different ways of organizing similar information and practices. For example, evolutionary levels can be used to show increasing capability for performance and organizational standardization. In other examples, practices may be grouped by logical function, theme, or thread, e.g., ISO uses clauses and sub clauses, which are similar organizing concepts as practice groups.

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Figure 13 shows a summary view of how CMMI Practice Areas are organized.

Figure 13. Practice Area Organization

Practice Group Within practice areas, the practices are organized into a set of evolutionary levels labeled Level 1, Level 2, etc. which provide a path for performance improvement. Each evolutionary level builds on the previous levels by adding new functionality or sophistication resulting in increased capability.

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Figure 14 provides a brief definition of the evolutionary levels.

Figure 14. Definitions of Evolutionary Level Characteristics

Each level: • • •

Builds on the practices at lower levels Represents an increase in functionality and capability May add new functionality

Levels include the following: •

Level 0 o

Incomplete approach to addressing the intent of the PA

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o •

Level 1 o o o o

•

o o

Uses organizational standards and includes tailoring of processes to address unique project and work characteristics Uses and contributes to organizational assets Manages both project and organizational performance

Level 4 o o

•

Simple, but complete set of practices that address the full intent of the PA Does not require the use of organizational assets or standards The intent of the set of practices can be met in various ways based on the project Identifies and monitors project performance objectives

Level 3 o

•

Basic practices that describe an initial approach to addressing the intent of the PA Not a complete set of practices to meeting the full intent of the PA What you would expect to see from an organization or project just starting the journey towards improvement Starts to focus on performance issues

Level 2 o o o o

•

May or may not be meeting the full intent of any practices

Use of statistical and other quantitative techniques to detect or refine the area of focus or to predict if quality and process performance objectives will be achieved Understands performance variation statistically or quantitatively and manages progress against quality and process performance objectives

Level 5 o

Use of statistical and other quantitative techniques to optimize performance and enhance the achievement of objectives including business, measurement and performance, and quality and process performance objectives

The order of the practices in each practice area and group does not imply or require a sequential order as performed in a process. Processes that meet the intent of the practice areas and practices may be performed iteratively, in parallel, or in any other order that best meets the needs of an organization’s business.

Practices The practices in the CMMI product suite consists of: 1. Required Practice Information: • • •

Practice statement Value statement: Business value of using this component (why do it?) Additional required material that further describes the scope and intent of the practice and supports clear and consistent understanding and interpretation

2. Explanatory Practice Information: • •

Additional Explanatory Information Example Activities

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• • •

Example Work Products Related Practice Areas, as needed Context Specific Information (there may be multiple context instances): o o o o o

Context specific identifier and description Additional informative material, as needed Example Activities, as needed Example Work Products, as needed Related Practice Areas, as needed

Practices provide the ability to include external material that is determined important to associate with the model and enables understanding and adoption. These can include: • • • • •

Extended informative material including domain specific implementation examples Process and implementation assets such as templates, process descriptions, etc. Training modules, tools, methods, etc. Case studies Other helpful material

Language Conventions: In the CMMI V2.0 Product Suite, when the term “or” appears, it is used in the inclusive sense, and can mean both “and” as well as “or”: • •

“and” as in “manage plans and activities” can mean managing both plans AND managing activities “or” as in “manage risks or opportunities” can mean managing either risks OR opportunities OR both

Certain words in the CMMI product suite have special meaning. When applicable, that term is included in the glossary. Otherwise the common English meaning, e.g. Webster or Oxford dictionary, applies.

Additional Content Characteristics As a means for more effective identification, recall and learning, each Practice Area includes an identification icon used for multiple purposes, including: • • • • •

Showing relationships Training Online selection buttons or tiles Sorting and grouping practices Memory aides

For each icon, there are three primary elements: • • •

The shape and color of the outline of the icon, e.g., square, triangular, which denotes the capability area associated with the practice area Within the shape, a unique pictorial icon representing the intent of the practice area The acronym for the practice area

For example, Figure 15 is the icon for Decision Analysis and Resolution (DAR), included in the Supporting Implementation Capability Area. For more information about Capability Areas, refer to Appendix A.

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Figure 15. Example Icon, DAR

Figure 16 shows the complete set of relationships between the categories, current and planned Capability Areas, and Practice Areas. Current Capability Areas and Practice Areas are in color, while planned or potential Capability Areas and Practice Areas are in gray. This serves as a high-level quick reference for the current and future planned content of the CMMI model. Note: Future planned or potential Capability Areas and Practice Areas are in gray. CMMI Development is shown last.

Figure 16. Model Content Relationships

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CMMI Development For more information on the categories and current and future Capability Areas and Practice Areas, refer to Appendix A.

Explanatory vs. Context Specific The model does not imply any specific methodology, work product type, or implementation and is not a recipe or a “one size fits all” checklist. The model is not a set of implementable 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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processes. This means that each project or organization must understand how to implement their processes to address their unique situation. Organizations with different disciplines, different business activities, and different organizational structures or sizes should apply the model practices within their own contexts. Practice statements are designed and written to be clear, unambiguous, and applicable to any context. The informative material, including the context specific sections, helps with this understanding, and must not be ignored. Within the CMMI model there are two types of informative material: “explanatory” and “context specific”. Separating content into “Explanatory” and “Context Specific”: •

Provides flexible and faster adoption for evolving: o o o o

• •

Industry-specific needs Market drivers Trends Technologies

Keeps the model compact and easier to maintain Allows updates to the informative material without releasing a major version

The “Explanatory Information” section contains information describing a model component and applies to all contexts. Explanatory information material aids users in understanding the intent and business value of using the component. The example activities and work products are neither prescriptive nor exhaustive. Consider other work products and activities that meet the intent of the practice when implementing processes. The core template covers six areas of information: • • • • •

Additional explanatory information Example activities Work product examples and definitions, attributes, or types of things to include in the work product content, e.g., a plan would include strategy, resources, schedule Related Practice Areas External links or information, e.g., training, templates, example assets

The “Context Specific” section contains information that is relevant to a context and establishes common ground for a specific industry, methodology, or discipline. The context specific information mirrors the structure of the required and explanatory information, including links to additional informative material. It includes the: • • • • • •

Context specific identifier and description Context specific explanation Intent and value of the context specific information as it relates to the practice, as needed Example activities in addition to those listed in the explanatory information material, as needed Context specific work product examples and definitions, attributes, or type of things to include in the work product content in this context, as needed External links or information, e.g., training, templates, example assets

Examples of contexts may include: •

Development

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• • • • •

Services Supplier Management Security Safety People Management

Additionally, the architecture supports adding other context specific informative material, including implementation guidance for domains such as: • • • • • • • • • • •

Information Technology Cybersecurity Healthcare, e.g., medical devices, pharmaceuticals, healthcare providers Telecommunications Aerospace Finance Transportation Education Government Hospitality Consulting

The architecture also works with, supports, and improves other methodologies, standards, or models such as: • • • • • • • • •

Agile with Scrum DevOps Kanban Lean COBIT ISO AS9100 Automotive SPICE ITIL

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Part Two: Successfully Adopting CMMI First and foremost, align performance improvement with the organization’s business strategies and objectives. The CMMI is best used to address challenges an organization is encountering and to continuously improve organizational performance in areas that are most important to them and their customers.

Elevating Performance through Process Improvement It is important to understand the organization’s current level of performance, and how that meets the current business needs and objectives. If the performance is not meeting business needs and objectives, then use process improvement to raise performance to the needed level. Address performance at all levels in the business and use it as a key driver for process changes. Focusing primarily on business benefits and performance drives process improvement to better serve the needs of the business and ultimately the customer. Because of this, an effective and sustainable improvement program needs to be in place, focused on performance, and actively supported. The root of process improvement is to instill discipline in the organization’s culture. This includes the way work is perceived, done, and improved. Figure 17 shows the four stages of process discipline that organizations typically go through when implementing process improvement. As the organization progresses through the stages, process capability and maturity increase, leading to improved performance.

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Figure 17. Four Stages of Process Discipline

Stage one, process execution is ad hoc and undisciplined. Individuals follow their own, unrecorded processes which result in varied outcomes and prevent systemic organizational learning. The need for performance improvement is recognized, but the ability to improve is limited and is only achieved unintentionally. Stage two, there is conscious realization that processes are ad hoc and unrecorded, limiting both consistency of execution and the organization’s ability to improve its performance and processes. Stage three, record processes and establish mechanisms to ensure fidelity of process execution. Organizational support structures, including consistent senior management oversight, encourage the continued use of the processes and associated improvements. Stage four is achieved when the processes and performance are clearly understood, followed, and persistent and habitual (see Part Three: Process Persistence and Habit). Keys to performance and process improvement are to: •

Demonstrate visible and active senior management support Continued and consistent senior management sponsorship is critical to success. Without constant vigilance, positive pressure, and active support by senior management, performance and process improvement fails. Though providing funding is important, it is not enough. Because senior management’s most valuable resource is time, people notice where and how management spend their time and act accordingly. In other words, if senior management demonstrates they do not pay attention, no one else will.

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•

Involve the people who do the work The people who perform a task need to be involved in describing and recording the process so it reflects how the work is actually performed. This makes it more likely that the process is followed and becomes the normal way work is done. If people are not involved, they typically resist the process and fail to follow it. Active involvement in both the process and its ongoing improvement leads to pride of ownership and active support.

•

Record the “As Is” first When recording processes, resist the temptation to record what you think you should be doing and focus on recording what is currently being done, i.e., the “as is” process. Also, resist the temptation to improve the process as you record it. Record potential improvements in a consistent way, so they can be analyzed, prioritized, and addressed later as a part of the normal improvement process to ensure they positively impact performance.

•

Focus on meeting business objectives Performance and process improvement initiatives must support the organization’s business objectives. If an improvement does not trace to the business objectives, carefully consider whether to implement it. Additionally, align the improvement priorities with the organization’s priorities. Without this, support for the initiatives dissipates.

•

Communicate, communicate, communicate In employee satisfaction surveys, lack of communication is typically the number one issue. People want to know planned changes, how management supports these changes, and how the change affects them. Expect that people are naturally resistant to change and tend to go back to what is comfortable. Clear, consistent, and frequent communication reduces the anxiety that people experience with change. Studies show that a message must be given multiple times in multiple ways to ensure that it is received and acted on by at least 90% of the people. Items that communication should cover include: o o o o o o o

•

What is changed? What is not changed? Why it is being changed, e.g., benefits and impacts, and business objectives driving the change? What help is available, e.g., training, mentoring, support materials? How can people contribute to success? How is success measured? What methods are available for providing positive and negative feedback for improvement?

Establish a clear improvement infrastructure The organization needs to ensure funding, resources, tools, training, and support are in place to manage and champion performance and process improvement. This includes people with appropriate skills and experience, along with clear responsibility, authority, and accountability. This follows the management proverb that if no one is explicitly responsible, then nothing gets done. This function can be a part time assignment for an

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individual in a small organization, to one or more full-time groups of individuals in a larger organization. •

Target the right level of detail “Do not let perfect be the enemy of good enough.” Process documents need to be at the right level of detail. Focus on performance and process improvement, not implementing and deploying the perfect process. Know when you have reached the “good enough” and then start improving as it is used. When recording processes: o o o o

•

Determine the appropriate level of process control Recognize that not every eventuality can be anticipated Realize that if the process is too prescriptive, it impacts adoption, and if it is written too high level, the processes have little value Target an 80% solution to record a process, and then rely on continuous improvement to address the remaining 20% of issues

Plan and provide training Upgraded skills are vital for supporting new behaviors and reinforcing desired behaviors. Training should, at a minimum, cover the full scope of processes and tools for individuals doing the work. Providing just-in-time training is also a best practice to ensure that training supports effective process implementation. There are many ways to provide effective training: o o o o o o

•

Classroom training Mentoring Formal on-the-job training Process walkthrough Brown bag lunches Virtual or elearning

Measure to achieve business results Put more simply, “That which is measured is performed.” Remember that measuring requires investment, so make sure there is a reason for every measure that is collected and that it provides business value and performance improvement. Make sure people understand why to collect measures and how they are useful to the project and the organization. Measurements drive behavior. Be cautious of “measurement for measurement sake”, and prioritize more analysis over more measures. Do not use process measures to evaluate people for either reward or punishment. If they are, people learn to make the measurement system work for them, adversely affecting data quality.

•

Reinforce good behavior Modifying behaviors requires consistent reinforcement. Plan how to reinforce new behaviors and how to address resistance. Positive reinforcement, e.g., rewarding people, is typically more effective than negative reinforcement, e.g., punishing people. Base rewards on merit and performance and not personal relationships. Techniques to address resistance include:

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o o o •

Rewarding desired behaviors Coaching or mentoring Training

Manage stakeholder expectations People tend to forget performance and process improvements often have a broad impact across the organization and people beyond the immediate problem. Manage the expectations and effects of the changes with internal or external customers and suppliers. As the organization implements performance improvements, remember to inform and educate your customers, suppliers, and other stakeholders.

•

Plan for differences There are right ways to implement process changes and more than a few wrong ways. The success of performance and process improvement depends on organizational context. What works well in one situation may be counterproductive in another. Processes and changes must allow for differences in an organization and fit the culture. For example, processes that work well in a development part of an organization may not work very well or at all in a pure research part of the organization, even though they are both in the same organization. Consider cultural differences for geographical dispersed organizations. A litmus test to determine if a process improvement is effective is whether it is providing value to the organization.

•

Recognize change can overwhelm People can only absorb so much change at one time. Introducing too much change simultaneously, results in uneven adoption and some of the changes do not evolve into habit. Implementing multiple changes at the same time makes it difficult to determine which change was effective. Allow time to internalize the change and make it habitual. Since it takes time to adopt new behaviors, process discipline can be fragile, especially in times of stress.

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Part Three: Process Persistence and Habit In the CMMI model, the term “persistent and habitual” describes the routine way of doing business and following and improving processes that an organization uses as part of its corporate culture: • •

Persistence: Firm or stubborn continuance in a course of action despite difficulty or opposition Habit: A tendency or practice, especially one that is hard to give up

If a process is ignored, abandoned under pressure, or if disciplined execution of the process erodes over time, then it is neither persistent nor habitual. When an organization begins a performance improvement initiative, the goal is for the improvements to last and become the “way we do business”. In other words, the organization is forming new habits. Once established, a “new habit” becomes very difficult to break and is persistent. Figure 18 describes the four key characteristics to understanding and creating persistent and habitual practices within an organization.

Figure 18. Four Characteristics of Process Persistence and Habit

If people continue to consciously follow the process for several iterations, they ultimately transition to the point where they are unconsciously following the process. They no longer need to think about it; it is simply the way business is done in the organization. At this point the processes have become persistent and habitual. Mentor newcomers to the organization until they habitually follow the process. Even at higher levels of maturity, when introducing an 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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improvement, the organization can regress and must consciously establish the new or modified habit to achieve performance and improve capability.

Sustaining Habit and Persistence In the CMMI model, the Practice Areas in the Sustaining Habit and Persistence (SHP) Capability Area enable a persistent and habitual organizational culture. The SHP practices apply to the processes the organization develops and uses and NOT to the CMMI practices. SHP practices address organizational persistence and habit from two different perspectives: • •

Governance (GOV) Implementation Infrastructure (II)

Governance This Practice Area contains practices senior management performs to promote the way work is accomplished that is relevant and important to the business and to the organization. Visible and active management involvement is critical to the success of performance improvement and process implementation in an organization. Management accomplishes their role by: • • • • •

Setting the strategy, direction, and expectations for performance improvement Ensuring that processes are aligned with business needs and objectives Monitoring the performance and achievements of the processes Providing adequate resources for process and performance improvement Reinforcing and rewarding the development and use of processes to ensure their continued use and improvement

The GOV practices are applied to processes, and their implementation and improvement, not to CMMI model practices.

Implementation Infrastructure This Practice Area describes the necessary infrastructure to build, follow, sustain, and improve processes over time. The term “infrastructure” in this Practice Area refers to everything needed to implement, perform, and sustain the organization’s set of processes. The infrastructure includes: • • • • •

Process descriptions Resource availability aligned to needs, e.g., people, tools, consumables, facilities, time to perform Funding to perform the processes Training to perform the process activities relevant to assigned responsibilities Objective process evaluations to ensure that work is performed as intended

Without an infrastructure, processes may not be followed, sustained, or improved over time. Process descriptions should be clear and concise, and not require a significant amount of administration. Process descriptions typically contain basic information about: •

Purpose – value

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• • • •

Entrance criteria – when to start Activities – what to do Inputs and outputs – what the activities use and produce Exit criteria – when the process is done, and value achieved

The II practices are applied to processes, and their implementation and improvement, not to CMMI model practices.

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Part Four: Achieving High Maturity In the CMMI product suite, the term “High Maturity” involves the use of statistical and other quantitative techniques on selected processes. High Maturity represents a fundamental shift in process understanding, management, and improvement. As organizations move up in process maturity, they gain in-depth understanding of how processes are used and interact, which gives them a clear competitive advantage. High Maturity organizations demonstrate a deeper commitment to improving capabilities with a focus on continuous performance improvement. High Maturity organizations can consistently and predictively lower their delivery risk while increasing the quality of their solutions. The higher the organization’s maturity level, the better its performance. High Maturity organizations anticipate and predict change and constantly evolve, enabling them to rapidly pivot and respond to opportunities. High Maturity organizations: • • • • • • • • • • • •

Establish quantitative objectives for quality and process performance based on their business objectives Have a clear, quantitative understanding of performance and process improvement return on investment (ROI) Make data driven decisions Systematically analyze variation and understand its impact on quality and performance, providing quantitative insight into risk Achieve key performance objectives more effectively Clearly understand process stability and capability and use them properly to manage projects and improve process performance Increase predictability Increase schedule and cost performance Increase ability and probability of achieving goals and objectives Reduce rework Focus on innovation and being more competitive Have greater confidence in measurement indicators

Figure 19 shows some of the key differences in how processes and objectives are understood and managed between Maturity Levels 2 and 3 and at Maturity Levels 4 and 5.

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Figure 19. Maturity Levels 2 & 3 vs. 4 & 5

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Impacts of poor data quality: • • • • • •

Inability to conduct hypothesis tests and predictive modeling Inability to manage quality and performance Inability to meet budget and schedule Ineffective process changes instead of process performance improvement Improper architecture and design decisions drive up the lifecycle cost and reduce the useful life of the solution Bad information leads to bad decisions

High Maturity organizations: • • • •

Collect, validate, and use data with high quality and integrity throughout the organization Use statistical and quantitative methods in their activities to plan and manage progress against their objectives Provide insight into the operation of an organization and its processes based on data and statistical analyses Use the measurement system to understand process performance and variation to: o o o o

Construct process performance baselines to manage projects Target areas for improvement Evaluate the impact of proposed improvement on achieving quality and process performance objectives Develop process performance baselines and models to understand the relationships among processes and sub-processes and their performance

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•

Systematically and simultaneously improve quality, schedule, and cost performance with an in-depth quantitative understanding of the tradeoffs

An example of the importance of High Maturity thinking: • • •

Based upon past performance, the organization uses a data distribution to show how long it takes to deliver similar features A customer would like a feature added in 10 weeks and historical delivery time of similar features is 9 to 11 weeks Determining to accept the work depends on the data distribution shown in Figure 20: o o

If the distribution is represented by the left chart, most of the time the feature will be delivered in ten weeks or m ore If the distribution is represented by the right chart, most of the time the feature will be delivered in less than ten weeks

Figure 20. Using High Maturity to Determine if Work Should be Accepted

In High Maturity, a statistic is a measure of variation. This includes: • • •

Summary or characterization of a distribution, e.g., set of numbers Characterization of a central tendency, e.g. mean, median, and mode Characterization of dispersion, e.g., variance, standard deviation, and range

High Maturity organizations understand the balance between stability and change. They have the capability to: • •

Predict impacts of a change to performance and process and the ROI of the change Measure and determine effects of the change

Figure 21 below illustrates that improvements can shift the mean, reduce variation, or both. Understanding the average and the amount of variation give you two different insights into process performance.

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Figure 21. Two Approaches to Improvement

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Practice Areas

Part Five: Practice Areas

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Causal Analysis and Resolution (CAR)

Required PA Information

Intent Identify causes of selected outcomes and take action to either prevent recurrence of undesirable outcomes or ensure recurrence of positive outcomes.

Value Addressing root cause issues eliminates rework and directly improves quality and productivity.

Additional Required PA Information This section left blank for future content.

Explanatory PA Information

Practice Summary Level 1 CAR 1.1

Identify and address causes of selected outcomes.

Level 2 CAR 2.1

Select outcomes for analysis.

CAR 2.2

Analyze and address causes of outcomes.

Level 3 CAR 3.1

Determine root causes of selected outcomes by following an organizational process.

CAR 3.2

Propose actions to address identified root causes.

CAR 3.3

Implement selected action proposals.

CAR 3.4

Record root cause analysis and resolution data.

CAR 3.5

Submit improvement proposals for changes proven to be effective.

Level 4 CAR 4.1

Perform root cause analysis of selected outcomes using statistical and other quantitative techniques.

CAR 4.2

Evaluate the effect of implemented actions on process performance using statistical and other quantitative techniques.

Level 5 CAR 5.1

Use statistical and other quantitative techniques to evaluate other solutions and processes to determine if the resolution should be applied on a broader scale.

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Additional PA Explanatory Information Causal analysis and resolution involves: •

Determining root causes of selected outcomes

•

Proposing actions to address identified root causes

•

Implementing selected action proposals

•

Recording causal analysis and resolution data

•

Submitting improvement proposals for changes proven to be effective

It is more cost-effective to prevent defects and problems from occurring than to detect defects and problems after they have been introduced. Since it is impractical to perform causal analysis on all outcomes, select targets by analyzing tradeoffs between estimated investments and returns. Causal analysis and resolution activities provide a mechanism for projects and the organization to evaluate their processes and look for improvements that can be implemented. When improvements are judged to be effective, following the processes that guide them, the information is submitted to the organizational level for potential deployment in the organizational processes.

Related Practice Areas Managing Performance and Measurement (MPM)

Context Specific Agile with Scrum Guidance Context Tag:

Agile with Scrum

Context:

Use processes to adapt agile with Scrum techniques.

Agile teams collect impediment and retrospective data during each iteration. A typical agile implementation expects a team to address impediments, and selectively implement improvements based on retrospective data. An agile team employing causal analysis and resolution would organize this information, select outcomes to analyze, identify causes, and implement selected improvements. For example, a team that is consistently unable to complete the work defined for each sprint would look for various causes, such as chronic distractions, using unreliable velocity data, poorly defined user stories, exceeding team capacity, or underestimating complexity. The underlying causes would be identified, ranked, and addressed. Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

Causal analysis and resolution activities may include evaluating acquirer processes that interface or connect with supplier processes. When acquirers and suppliers jointly perform causal analysis, it can lead to improvement actions such as: 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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•

Supplier improving its processes to conduct the project more effectively

•

Acquirer improving its supplier interfaces or connections

•

Changes in jointly used tools or technologies

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Level 1 CAR 1.1 Required Practice Information

Practice Statement Identify and address causes of selected outcomes.

Value Helps to achieve business objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Outcomes can be either positive or negative. Significant differences from what was expected indicate where the project can improve its performance by: •

Determining why it went well and how to change to incorporate the experience into the normal behavior

•

Determining why expectations were not met and the changes needed to meet them

Example Activities Example Activities

Further Explanation

Select outcomes that differed from expectation. Investigate causes of outcomes. Address causes and record changes made to address the causes.

Example Work Products Example Work Products List of investigated outcomes

Further Explanation May include: • Outcomes • Causes • Changes made

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Level 2 CAR 2.1 Required Practice Information

Practice Statement Select outcomes for analysis.

Value Focuses efforts on the outcomes with the greatest impact on achieving objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information This activity can be triggered by an event or planned periodically, such as at the beginning of a new phase, iteration, or task. Examples of when to perform causal analysis include: •

During the task when problems or successes warrant a causal analysis

•

When a work product significantly deviates from its requirements

•

When more defects than anticipated escape from earlier phases

•

When process performance exceeds expectations

•

When a process does not meet its quality and process performance objectives

Example Activities Example Activities Define the scope of the analysis.

Further Explanation The scope should include the: • Definition of issue or success • Affected stakeholders • Affected target

Collect relevant data. Determine which outcomes to analyze further.

When determining which outcomes to analyze further, consider their: • • • • • • • • •

Source Impact Frequency of occurrence Similarity Cost of analysis Time and resources needed Safety considerations Security considerations Performance

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Further Explanation Pareto analysis Histograms Box and whisker plots for attributes Failure modes and effects analysis (FMEA) Design of experiment Cause and effect analysis

Example Work Products Example Work Products Analysis results

Further Explanation The results of high-level analysis selected for more detailed causal analysis.

Outcomes selected for further analysis

CAR 2.2 Required Practice Information

Practice Statement Analyze and address causes of outcomes.

Value Reduces cost and time to more efficiently meet objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Causal analysis of selected issues is best performed shortly after the problem is first identified, while the event is still recent enough to be carefully investigated. The formality of and effort required for causal analysis can vary greatly and can be determined by factors including: •

Stakeholders who perform the work

•

Risks

•

Complexity

•

Frequency

•

Availability of data

•

Available resources

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Example Activities Example Activities Identify the affected stakeholders and involve them.

Further Explanation Causal analysis is typically performed by those who have the best understanding of the selected outcome and who are responsible for performing the task.

Perform causal analysis. Identify and analyze potential issues or successes. Implement selected actions. Assess the impact of the actions on performance. Communicate results.

Example Work Products Example Work Products

Further Explanation

List of affected stakeholders Identified causes

These are the results of analyzing potential issues and outcomes.

Actions to take

Action lists may include potential: • Cost and schedule impacts • Performance impacts

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Level 3 CAR 3.1 Required Practice Information

Practice Statement Determine root causes of selected outcomes by following an organizational process.

Value Increases likelihood of meeting objectives by promoting successes and avoiding problems.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information A root cause is a fundamental reason for the occurrence of a problem or success. Root cause analysis can include qualitative and basic measurement data.

Example Activities Example Activities

Further Explanation

Identify and involve stakeholders. Collect data. Follow an organizational process to perform a root cause analysis.

Consider looking at individual outcomes as well as grouping the outcomes. Negative outcomes can be influenced by: • • • • • • • •

Inadequate training and skills Breakdown of communication Not accounting for all details of a task Making mistakes in manual procedures, e.g., keyboard entry Process deficiency Inadequate resource allocation Incomplete, ambiguous, or unclear contractual requirements Ineffective management of changes to the supplier agreement

Positive outcomes can be influenced by: • • • • • •

New approaches to projects Process automation System or tool upgrades Pilots Process improvements Performance improvements

Examples of methods to determine causes include: • Cause-and-effect (fishbone) diagrams • Check sheets 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

57 Example Activities

Further Explanation • 5 Whys If possible based on the scope, look at the outcomes in several ways to ensure all potential root causes are investigated. Where appropriate, look for patterns of root causes across functions.

Record root causes.

Example Work Products Example Work Products List of root causes

Further Explanation Should include selected outcomes and analysis results.

List of affected stakeholders

CAR 3.2 Required Practice Information

Practice Statement Propose actions to address identified root causes.

Value Reduces cost and time by preventing negative outcomes or producing positive outcomes.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Based on the analysis results, develop action proposals that will address selected outcomes in accordance with an organizational process. These action proposals address the removal of root causes so that they do not recur.

Example Activities Example Activities Develop an action proposal.

Further Explanation Action proposals may include: • • • • •

Identified processes Training Tools Methods Solutions

Common ways to address underlying causes include: • Changing a process to remove error-prone steps • Updating a process based on previous successes • Deploying the results of successful pilots 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

58 Example Activities • • • •

Further Explanation Eliminating non-value-added tasks Automating all or part of a process Reordering process activities Adding process steps, such as task kickoff meetings, to review common problems and actions to prevent them

Record action proposals.

Example Work Products Example Work Products Action proposals

Further Explanation Should include the: • Originator of the action proposal • Affected stakeholders • Description of necessary tasks • Description of the outcome to be addressed • Description of the root cause • Root causes and actions categories • Phase identified • Description of the action • Time, cost, and other resources required to implement the action proposal • Expected benefits from implementing the action proposal • Estimated cost of not fixing the problem or leveraging the success

CAR 3.3 Required Practice Information

Practice Statement Implement selected action proposals.

Value Implements changes that have the most impact on increasing the likelihood of meeting objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information These actions should prevent or reduce the occurrence of negative outcomes or increase the occurrence of positive outcomes.

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59

Example Activities Example Activities

Further Explanation

Analyze action proposals and determine their priorities.

Criteria for prioritizing action proposals include:

Select action proposals to be implemented.

Include criteria to be used for deciding which action proposals to implement.

Develop action plans for implementing the selected action proposals.

Action plans should include:

Implement action plans.

To implement action plans:

• • • •

• • • • • • • • • • •

Implications of not addressing the outcome Cost to implement actions to address the outcome Risk implications Expected impact on quality

People responsible for implementation Detailed description of the action Description of necessary tasks Description of the affected areas Affected stakeholders Schedule Cost expected Estimated cost of not addressing the issue Description of implementation actions Expected impact on performance Identified needed pilots

• Update the processes • Review the results • Track action items to closure Actions may be assigned to members of the causal analysis team, members of the project team, or other members of the organization. Look for similar root causes that may exist in other processes and solutions and take action as appropriate.

Example Work Products Example Work Products

Further Explanation

Action proposals selected for implementation Action plans Updated process assets

Related Practice Areas Decision Analysis and Resolution (DAR) Process Asset Development (PAD)

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CAR 3.4 Required Practice Information

Practice Statement Record root cause analysis and resolution data.

Value Recording and communicating improvement efforts across the organization can leverage savings and increase productivity.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Collect data to know that you are: •

Improving project performance

•

Preventing selected problems from recurring

•

Leveraging superior performance

•

Providing sufficient context for future use

Example Activities Example Activities Record root cause analysis data and make the data available for use.

Further Explanation Root cause analysis in this practice involves the use of qualitative and basic measurement data analysis.

Example Work Products Example Work Products Root cause analysis and resolution records

Further Explanation May include: • • • • • •

Data on outcomes that were analyzed Rationale for decisions Action proposals Action plans resulting from action proposals Cost of analysis and resolution activities Measures of changes to the process performance of the recorded process

CAR 3.5 Required Practice Information

Practice Statement Submit improvement proposals for changes proven to be effective.

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Value Projects across the organization can take advantage of the savings and increased productivity.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Ensure that other projects in the organization can benefit from the improvements.

Example Activities Example Activities Submit improvement proposals

Further Explanation May include: • Areas that were analyzed including their context • Solution selection decisions made including the context of their solution • Actions selected including trade-off contexts evaluated • Monitoring tasks including unintended side effects • Results achieved including performance information with context, even if expected outcome is not fully achieved by the solution

Example Work Products Example Work Products

Further Explanation

Improvement proposals

Related Practice Areas Process Management (PCM)

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Level 4 CAR 4.1 Required Practice Information

Practice Statement Perform root cause analysis of selected outcomes using statistical and other quantitative techniques.

Value Improves the likelihood that the project will meet its quality and process performance objectives.

Additional Required Information Using results from statistical and quantitative techniques, evaluate, select, and implement action plans and measure results.

Explanatory Practice Information

Additional Explanatory Information Root cause analysis in this practice adds statistical and quantitative analysis to qualitative and basic measurement data analysis. Address outcomes including deficiencies in process stability and capability, deficiencies in performance relative to its objectives, and unexpectedly positive results. Root cause analysis typically depends on the availability of data, baselines, and models that can be used in the analysis. Actions to take can range significantly in terms of effort and time needed to determine, plan, and implement. It is difficult to know how much time is needed without an initial analysis of the deficiencies.

Example Activities Example Activities Perform root cause analysis.

Further Explanation To understand the impact on stability and capability and to determine the reasons for positive and negative outcomes. Process performance baselines and models are used in: • • • • •

Diagnosing deficiencies Diagnosing positive outcomes Identifying possible solutions Predicting future work and process performance Evaluating potential actions

Identify and analyze potential actions. Identify measures of effectiveness. Implement selected actions.

Update solutions or processes.

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Example Work Products Example Work Products Process and project performance analyses

Further Explanation Should include: • Statistical and quantitative analysis • Data visualization used to understand process and project performance and trends

Identified root causes Identified measures of effectiveness

May include: • Impact on performance • Impact on meeting quality and process performance objectives • Impact on stability and capability

Action plans

Include changes to solutions or processes.

Updated solutions or processes

Related Practice Area Managing Performance and Measurement (MPM)

CAR 4.2 Required Practice Information

Practice Statement Evaluate the effect of implemented actions on process performance using statistical and other quantitative techniques.

Value Maximizes the likelihood of meeting quality and process performance objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Evaluate the effect of changes to verify that the process change is statistically significant.

Example Activities Example Activities Measure and analyze the change in process performance of the project’s effected processes.

Further Explanation Determines if the selected change has positively influenced process performance. Statistical and other quantitative techniques, e.g., hypothesis testing can be used to compare the before and after baselines to assess the statistical significance of the change.

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64 Example Activities Determine the impacts of the change on achieving the project’s quality and process performance objectives.

Further Explanation Determines whether the selected change has positively influenced the ability of the project to meet its quality and process performance objectives. Process performance models can aid in the evaluation through prediction of impacts and return on investment.

Submit process improvement proposals for the organization when the implemented actions are effective.

Example Work Products Example Work Products

Further Explanation

Analysis of change in process performance Organizational improvement proposals

Related Practice Area Managing Performance and Measurement (MPM)

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Level 5 CAR 5.1 Required Practice Information

Practice Statement Use statistical and other quantitative techniques to evaluate other solutions and processes to determine if the resolution should be applied on a broader scale.

Value Leverages improvements across the organization to minimize cost and risk.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information The intent of this practice is to learn from root cause analysis and determine if resolutions from historical projects and solutions can be applied to other projects, processes, and solutions in the organization.

Example Activities Example Activities

Further Explanation

Identify similar processes or solutions. Analyze to determine candidates for change and prioritize them. Apply changes to selected processes or solutions and communicate results.

Example Work Products Example Work Products

Further Explanation

Identified candidate processes and solutions Results of changes

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Configuration Management (CM)

Required PA Information

Intent Manage the integrity of work products using configuration identification, version control, change control, and audits.

Value Reduces loss of work and increases the ability to deliver the correct version of the solution to the customer.

Additional Required PA Information This section left blank for future content.

Explanatory PA Information

Practice Summary Level 1 CM 1.1

Perform version control.

Level 2 CM 2.1

Identify items to be placed under configuration management.

CM 2.2

Develop, keep updated, and use a configuration and change management system.

CM 2.3

Develop or release baselines for internal use or for delivery to the customer.

CM 2.4

Manage changes to the items under configuration management.

CM 2.5

Develop, keep updated, and use records describing items under configuration management.

CM 2.6

Perform configuration audits to maintain the integrity of configuration baselines, changes, and content of the configuration management system.

Additional PA Explanatory Information Planning for configuration management activities includes controlling work products developed or modified by the project. The work products placed under configuration management include: •

Deliverables to the customer

•

Work products provided by the customer

•

Designated internal work products, including:

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Solution-related components

o

Support components, e.g., procedures

•

Acquired solutions

•

Systems or tools

Baselines represent an approved version of a work product and provide a clear and accurate understanding for future use. Add new baselines to the configuration management system. Systematically monitor and control changes to baselines and work products using: •

Configuration identification

•

Configuration control

•

Change management

•

Configuration auditing functions of configuration management

Related Practice Areas Verification and Validation (VV)

Context Specific Agile with Scrum Guidance Context Tag:

Agile with Scrum

Context:

Use processes to adapt agile with Scrum techniques.

Figure CM-1 shows where configuration management would typically be performed in an agile project using Scrum. Control might vary from versioning and backup for retrospective data, to read-only access for production code. Configuration Management processes should be used to augment an agile with Scrum implementation to maintain the integrity of work products and deliverables. In an agile project using Scrum, the definition of “done” is also a term that the team will typically discuss and decide when conducting sprint planning, reviews, and retrospectives, so that the entire team agrees on the criteria for knowing when the work product or solution is complete. Understanding the definition of “done” is important to being able to verify and validate that the correct versions are produced and delivered from each sprint.

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Figure CM-1: CM in an Agile Framework

Figure CM-2: Typical Configuration Items Placed Under Selected Levels of Control

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Figure CM-2 shows the typical agile with Scrum work products that would be placed under selected levels of configuration control. An agile team can leverage existing change management practices as a part of its configuration management implementation, such as managing changes to the backlog before each sprint. Configuration management processes should be used to track the various backlog versions and the ripple effects to design information, code, test cases, and test results.

Context Specific Development Context Tag:

CMMI-DEV

Context:

Use processes to develop quality products and services to meet the needs of customers and end users.

Examples of work products that can be placed under configuration management may include: •

Hardware and equipment

•

Drawings, diagrams, and mockups

•

Product specifications

•

Tool configurations

•

Code and libraries

•

Compilers

•

Test tools and test scripts

•

Installation logs

•

Product data files

•

Product technical publications

•

Plans

•

User stories

•

Iteration backlogs

•

Process descriptions

•

Requirements

•

Architecture documentation and design data

•

Product line plans, processes, and core assets

An example of a baseline is an approved description of a product that includes internally consistent versions of requirements, requirement traceability matrices, design, discipline-specific items, and installation, end user, and operations documentation. For product lines, apply configuration management across the products in the product line and across multiple versions of core assets and products. (See the definition of “product line” in the glossary.)

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Level 1 CM 1.1 Required Practice Information

Practice Statement Perform version control.

Value Increases customer satisfaction by ensuring that the correct solution is delivered.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Identify the correct versions of work products. This ensures the right versions are available for use or for restoring to a previous version.

Example Activities Example Activities List the work products to be placed under version control and keep it updated.

Further Explanation Include all versions and other relevant information, e.g., location, ownership.

Control versions.

Example Work Products Example Work Products

Further Explanation

List of work products and their versions

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Level 2 CM 2.1 Required Practice Information

Practice Statement Identify items to be placed under configuration management.

Value Reduces risk of rework and ensures that the right version is delivered to the customer.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Based on criteria established during planning, identify configuration items that need to be controlled, managed, and accessed. Logical groupings provide ease of identification and controlled access. Identification typically includes: •

Logical groupings of work products such as: o

Solutions delivered to the customer

o

Designated internal work products

o

Acquired solutions

o

Tools, equipment, and other assets of the project’s environment

o

Solution documentation and other support materials

•

Why and how they are grouped

•

How they are controlled, managed, and accessed

Example Activities Example Activities

Further Explanation

Assign unique identifiers to configuration items. Describe the important characteristics for each configuration item. Specify when each item is placed under configuration management.

Describe the nature and timing of changes and when and how they may affect the work products or solutions at each stage.

Example Work Products Example Work Products Identified configuration items

Further Explanation Characteristics may include: • Owner or author • Type of work product or solution

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72 Example Work Products • • • • • •

Further Explanation Key features Purpose of the item Relationships to other items and solutions Retention Version Security

CM 2.2 Required Practice Information

Practice Statement Develop, keep updated, and use a configuration and change management system.

Value Reduces the cost and effort needed to control the integrity of work products and solutions.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Enables consistent and controlled access to work products and solutions and provides the ability to restore a previous version, configuration, or baseline. A configuration management system: •

May include both manual or automated methods, tools, or complete systems to control work products and solutions

•

May be embedded or integrated with other tools to produce work products and solutions

•

Includes the procedures for accessing the system

The change management system: •

Provides a means for controlling changes to the identified configuration items

•

Includes the storage media, procedures, and tools for recording and accessing change requests

•

Is typically integrated with a configuration management system

Example Activities Example Activities

Further Explanation

Describe how the items and changes to them are controlled, used, and managed throughout the solution lifecycle.

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73 Example Activities Establish methods to manage multiple levels of control.

Further Explanation The level of control is typically selected based on work objectives, risk, type, and resources. Example levels of control include: • Uncontrolled: Anyone can make changes • Version controlled: Authors or owners control changes • Baselined: A designated authority authorizes and controls changes, and notifies affected stakeholders

Provide access control to ensure authorized access to the configuration management system. Store and retrieve configuration items in the configuration management system.

Typically, storage and retrieval functions in a configuration management system include a check-in and check-out function.

Preserve the contents of the configuration management system.

Examples of preservation functions of the configuration management system may include: • Backup and restoration of configuration management items, e.g., files, physical artifacts • Archive of configuration management files • Recovery from configuration management errors • Keeping previous versions according to retention rules

Update the configuration management system as necessary.

Example Work Products Example Work Products

Further Explanation

Configuration management system Change management system Updated configuration items

CM 2.3 Required Practice Information

Practice Statement Develop or release baselines for internal use or for delivery to the customer.

Value Ensures the integrity of the work products.

Additional Required Information This section left blank for future content.

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Explanatory Practice Information

Additional Explanatory Information Baselines help to formally control changes by establishing points where the status of controlled work products is known and approved. Use changes to develop the next baseline. Typically, a board or a group of people, e.g., the work team, an approval group, or a Change or Configuration Control Board (CCB), formally approves baselines and changes to baselines. The composition of this board may change over time depending on the impacted work products and affected stakeholders. For example, if the baselines or changes are security related, security experts may be invited to the board. Represent a baseline by assigning an identifier to a configuration item or a collection of configuration items and associated entities at a point in time. As a solution evolves, multiple baselines can exist.

Example Activities Example Activities Obtain authorization or approval before developing or releasing baselines of configuration items.

Further Explanation An approval group will typically assess the impact and necessity of changes to configuration items.

Develop or release baselines only from configuration items in the configuration management system. Record the set of configuration items contained in a baseline. Make the current set of baselines available.

Only stakeholders with approved access should be able to access the baseline information. Additionally, other techniques such as: “build cop,” “don’t break the build,” “release on demand,” “continuous integration,” and “continuous delivery” may be used to manage and control baselines.

Example Work Products Example Work Products

Further Explanation

Authorization

Includes establishing the baselines and changes to them.

Baselines

Contains the configuration items and the associated changes. Multiple baselines can exist for a single configuration item.

Context Specific Development Context Tag:

CMMI-DEV

Context:

Use processes to develop quality products and services to meet the needs of customers and end users.

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One common set of baselines includes the system level requirements, system element level design requirements, and the product definition at the end of development or beginning of production. These baselines are typically referred to respectively as the functional baseline, allocated baseline, and product baseline. A software baseline can include: •

A unique identifier

•

Version release notes

•

A set of requirements

•

Design

•

Interfaces

•

Source code files

•

Executable code

•

Test environments, test cases, etc.

•

Build files

•

User documentation, such as installation, operational, help, etc.

A hardware baseline can include: •

A unique identifier

•

Version release notes

•

A set of requirements

•

Design

•

Interfaces

•

Drawings or schematics

•

Prototypes, simulations, breadboards, etc.

•

Parts and materials

•

Test environment

•

Build or manufacturing instructions

•

User documentation, such as installation, operational, help, etc.

CM 2.4 Required Practice Information

Practice Statement Manage changes to the items under configuration management.

Value Reduces costs and schedule impacts by ensuring that only authorized changes are made. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Analyze change requests to determine their impact on the work product, related work products, budget, and schedule. Maintain control over the configuration of the work product baseline by: •

Tracking the configuration of each item

•

Approving changes to items and baselines

•

Approving new configurations and baselines

Example Activities Example Activities Initiate and record change requests.

Further Explanation Typically includes: • • • •

Analyze the impact of change requests.

Changes to requirements Failures and defects in work products Needs from stakeholders, end users, and customers Description of the impact to work products and solutions

Analysis should consider impacts to: • Technical and project requirements • Impact beyond the immediate project or contract requirements • Impact on release plans • Cost • Schedule • Quality • Functionality • Commitments

Categorize and prioritize change requests.

Typically includes:

Review and get agreement on change requests to be addressed in the next baseline with affected stakeholders.

An approval board typically:

• Allowing for emergency changes • Allocating changes to future baselines • Reviews changes • Records the disposition of each change request and the rationale for each decision • Reports results to stakeholders

Track the status of change requests to closure. Incorporate changes in a manner that maintains integrity.

Examples of check-in and check-out include: • Confirming the revisions are authorized • Updating the configuration items • Maintaining versions of work products

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77 Example Activities

Perform reviews or testing to ensure changes have not caused unintended impacts.

Further Explanation • Archiving the replaced baseline and retrieving the new baseline • Commenting on the changes made • Assigning changes to related work products Examples: • Automated unit test • Regression testing • Performance testing

Record changes to configuration items and rationale.

Example Work Products Example Work Products Change requests

Further Explanation Typically includes: • • • • • • •

Description of the change Category of change Priority of change Status of change Impact of change Estimated implementation time Actual implementation time

Results of change impact analysis Approval board records Revision history of configuration items Results of reviews or tests for unintended impacts Revised work products and baselines

CM 2.5 Required Practice Information

Practice Statement Develop, keep updated, and use records describing items under configuration management.

Value Accurate descriptions of the configuration items and status of changes enables reduction of rework.

Additional Required Information This section left blank for future content.

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Explanatory Practice Information

Additional Explanatory Information Record the configuration actions and status to enable recovery to previous versions and to understand the status of the item and the changes that were or are being made.

Example Activities Example Activities

Further Explanation

Record configuration management actions in sufficient detail so the content and status of each configuration item is known and previous versions can be recovered. Ensure that affected stakeholders have access to and knowledge of the configuration status of configuration items.

Examples of activities for communicating configuration status include:

Specify the differences among previous, related, and latest versions of baselines.

These are often referred to as release notes.

Identify the version of configuration items that constitute a specific baseline.

Also, identify the changes used to develop that baseline.

• Providing access permissions to authorized users • Making baseline copies readily available to authorized users • Automatically alerting affected stakeholders when items are checked-in, checked-out, or changed, and of decisions made regarding change requests

Revise the status and history, e.g., changes, of each configuration item as necessary.

Example Work Products Example Work Products

Further Explanation

Revision history or change log of configuration items Change request records Status of configuration items Differences between baselines

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CM 2.6 Required Practice Information

Practice Statement Perform configuration audits to maintain the integrity of configuration baselines, changes, and content of the configuration management system.

Value Increases customer satisfaction and stakeholder acceptance by ensuring that the customer receives the agreed-on and correct versions of work products and solutions.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Configuration audits confirm: •

Configuration management records and configuration items are complete, consistent, and accurate

•

Integrity of the baselines, change requests, and associated items

Example Activities Example Activities

Further Explanation

Assess the integrity of baselines and generate action items to address identified issues.

Examples include:

Confirm integrity of configuration management records.

Typically, this includes confirming:

• Physical work product reviews verifying changes • Functional work product reviews verifying changes • Comparison of approved changes versus actual changes made in a work product • Correctly identified configuration items • The completeness, correctness, and consistency of items

Review the structure and integrity of items in the configuration management system. Record action items and track them to closure.

Example Work Products Example Work Products

Further Explanation

Configuration audit or review results

Contains the objectives for and outcomes of audits in enough detail to take action.

Action items

Describes actions needed to address findings from audits and the criteria needed to determine when they can be closed.

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Continuity (CONT)

Required PA Information

Intent Plan mitigation activities for significant disruptions to business operations so that work can continue or resume.

Value Enables continued operation when serious disruptions or catastrophic events occur.

Additional Required PA Information This section left blank for future content.

Explanatory PA Information

Practice Summary Level 1 CONT 1.1

Develop contingency approaches for managing significant disruptions to operations.

Level 2 CONT 2.1

Identify and prioritize functions essential for continuity.

CONT 2.2

Identify and prioritize resources essential for continuity.

CONT 2.3

Develop, keep updated, and follow continuity plans to resume performing essential functions.

Level 3 CONT 3.1

Develop and keep updated materials for continuity training.

CONT 3.2

Provide and evaluate continuity training according to the plan.

CONT 3.3

Prepare, conduct, and analyze results from verification and validation of the continuity plan.

Additional PA Explanatory Information Continuity builds on the risk-related practices in Risk and Opportunity Management. The Continuity Practice Area is a specialization of risk management that focuses on dealing with significant disruptions to normal operations. Continuity activities include preparing business systems, people, and resources for disruptions in operations so that a minimum critical level of operations can continue. Continuity planning includes identifying minimum essential functions and resources, along with acceptable time limits for restoration of operations. Continuity applies when an event or series of events, is so disruptive that it is impossible to conduct business as usual. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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Examples of significant disruptions include: •

Loss or damage to critical infrastructure, e.g., significant facilities or equipment malfunctions, power loss, and building collapse

•

Natural disasters, e.g., pandemics, hurricanes, tornados, wildfires, floods, and earthquakes

•

Human events, e.g., civil unrest and acts of terrorism

Organizations may only have a short period of time in which to recover and resume operations when disrupted. Continuity activities cover developing, testing, and maintaining a continuity plan. First, identify: •

Essential functions that support the work the organization delivers

•

Required resources

•

Potential hazards or threats to these resources

•

Susceptibility of the organization to the effects of each hazard or threat

•

Potential impact of each threat on continuity

Use this information to develop a continuity plan to enable the organization to resume essential operations, potentially at a degraded level. Complete and repeat the following activities as needed to develop the continuity plan: •

Develop continuity plans based on the information previously collected

•

Develop tests to validate the continuity plan

•

Develop training materials and training delivery methods to enable affected stakeholders to perform activities in the continuity plan

Do not wait until an emergency occurs to perform the activities in continuity plans for the first time. Continuity plans should be validated on a periodic basis. Conduct periodic tests to determine: •

Effectiveness of continuity plans in an actual emergency or significant disruption

•

Changes needed to restore and deliver operations reliably

Related Practice Areas Incident Resolution and Prevention (IRP) Risk and Opportunity Management (RSK)

Level 1 CONT 1.1 Required Practice Information

Practice Statement Develop contingency approaches for managing significant disruptions to operations. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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Value Enables an organization to respond to potential disruptive events or situations and continue to meet customer needs.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information This section left blank for future content.

Example Activities Example Activities

Further Explanation

Record contingency approaches.

Provides the approach when significant disruptions to operations occur.

Specify trigger values.

Identify triggers that could lead to initiating the contingency approaches. Trigger values help the project or organization determine when they need to spend resources, time, money, or effort on implementing the contingency approaches.

Example Work Products Example Work Products Records of contingency approaches

Further Explanation Use to manage exceptional risks with possible catastrophic consequences.

Trigger values

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Level 2 CONT 2.1 Required Practice Information

Practice Statement Identify and prioritize functions essential for continuity.

Value Enables continued operation of essential functions during an emergency or significant disruption.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Identify and prioritize essential functions, processes, and related activities that must continue during and after an emergency or significant disruption. Develop an understanding of all operations to identify essential functions. Many important activities are not essential functions. Sustain essential functions in an emergency or through significant disruption to support continued business survival. Involve a wide range of stakeholders to develop the appropriate priorities.

Example Activities Example Activities Develop continuity scenarios.

Further Explanation Considerations include: • • • • •

Scale of disruption Full versus limited operations Coordination with multiple authorities Emergency services Infrastructure

Identify the essential functions on which operations rely.

Essential functions can include pre-scheduled or on-demand:

Analyze the criticality and the impact to operations if the project cannot perform the essential functions.

In situations where a limited number of functions are essential, action planning may be simplistic. If none of the functions are essential, the course of action might be to resume operations when the emergency ends.

Prioritize the list of essential functions.

Consider the impact of the duration for the disruption, i.e., long versus short disruption.

• • • • •

Manual processes Automated processes End user activities Operational activities Solution delivery activities

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Example Work Products Example Work Products

Further Explanation

Prioritized list of critical functions Business impact analyses

Related Practice Areas Decision Analysis and Resolution (DAR) Planning (PLAN) Requirements Development and Management (RDM)

CONT 2.2 Required Practice Information

Practice Statement Identify and prioritize resources essential for continuity.

Value Maintain customer satisfaction and continue business operation during an emergency or significant disruption.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Identify and prioritize resources required to maintain essential functions. Essential resources are those necessary for operations to continue or restart during and after an emergency. These resources are typically unique and hard to replace. Essential resources include critical competencies, personnel, assets, data, and systems. Protect essential resources; identify suitable substitutes and establish data backups and archives. Include essential external resources when identifying resources. This might include defining succession plans in the event critical resources are incapacitated or otherwise not available when needed. Other commonly overlooked resources include consumables and vital records, e.g., documents describing legal or financial obligations. Identify essential resources by analyzing the: •

Organization’s operations

•

Functions essential to continuity

•

Agreements and standard operational definitions

•

Dependencies among system components, affected stakeholders, and the operational environment

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Common resource dependencies include: •

Internal and external information and data sources

•

Key personnel who make decisions or are significant contributors to operations

Essential resources generally fall into one of the following categories: •

Emergency operating resources, e.g., key personnel, equipment, consumables, necessary to resume disrupted operations

•

Legal and financial resources, e.g., contractual documents, essential to protect the rights and interests of the organization and individuals directly affected by the emergency

Example Activities Example Activities

Further Explanation

Identify and record internal and external dependencies. Identify and record key personnel and their roles in providing continuing operations. Identify and record organizational and affected stakeholder responsibilities. Identify and record resources required to ensure continuity of essential functions. Evaluate and prioritize resources based on the impact of their loss or lack of access.

For some critical resources, it may be necessary to identify succession orders.

Develop safety provisions for operations personnel. Ensure needed records and databases are protected, accessible, and usable in an emergency.

Example Work Products Example Work Products

Further Explanation

Records of critical resources required for continuity

May include:

Records of agreements and contracts

Includes agreements for alternate locations for operations during recovery.

Backup and recovery records of legal operation charters

These records typically identify the organization as a legal entity and are stored offsite. May include legal copies of:

Delegations of authority Orders of succession Directory of critical personnel with contact information Data and systems required to support identified essential functions • Internal and external resource dependencies

• • • •

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86 Example Work Products

Backup and recovery records for human resource data

Further Explanation • Authorizations by local, state, national government agencies • Business records These records include: • Personnel benefit balances • Payroll data • Insurance records

Related Practice Areas Configuration Management (CM) Planning (PLAN)

CONT 2.3 Required Practice Information

Practice Statement Develop, keep updated, and follow continuity plans to resume performing essential functions.

Value Minimizes impact on customer satisfaction by restoring services quickly.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information This section left blank for future content.

Example Activities Example Activities

Further Explanation

Identify and record threats and vulnerabilities to ongoing operations.

Use information on threats and vulnerabilities to develop and keep updated the continuity plan. In the continuity plan, record the events, threats, and vulnerabilities likely to lead to initiating the plan. Plan different actions for different event categories. Collect risk information about individual functions and use as an input to this part of the plan.

Record continuity plans.

An organization can keep updated one or multiple plans covering different types of disruptions or operations.

Validate continuity plans with affected stakeholders. Ensure that secure storage and access methods exist for continuity plans and

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87 Example Activities critical information and functions needed to implement the plans.

Further Explanation

Protect vital data and systems.

Address the protection of vital data and systems, e.g., include developing additional system components.

Record the criteria and procedures for shifting from the normal operations environment to a Continuity of Operations (COOP) environment.

Record the acceptable levels for various outage scenarios, e.g., site, city, country.

Revise continuity plans as necessary.

Examples of when to revise continuity plans include: • Major changes to operations • Changes to essential functions or infrastructure • Changes to key dependencies on resources, both internal and external • Feedback warranting changes • Identification of needed changes during review of the continuity plan • Changes to the delivery environment • Newly identified significant threats or vulnerabilities

Example Work Products Example Work Products

Further Explanation

List of threats and vulnerabilities

Include occurrences that could negatively affect the ability of the organization to continue operations

Continuity plans

Contents may include: • Criteria defining significant disruptions • Criteria for who has the authority to initiate continuity plans • Alternate resources and locations • Records of the recovery sequence, including the decision to stop the service • Critical personnel roles and responsibilities • Available backup equipment • Affected stakeholders • Methods for handling security-related material • Methods of communication • Cost benefit analysis • Approach for testing response systems • Approach for returning to normal operations after the disruption ends

Related Practice Areas Peer Reviews (PR) Risk and Opportunity Management (RSK)

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Level 3 CONT 3.1 Required Practice Information

Practice Statement Develop and keep updated materials for continuity training.

Value Prepares the organization to perform essential functions in response to catastrophic events.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Prepare for continuity training to enhance business resilience. Train people who use continuity plans to increase the probability of successful plan performance. Include customers and end users in continuity training as needed. Examples of when to involve customers and end users in continuity training include: •

Situations in which events affect the customer and end user causing the organization to initiate its continuity plan

•

When a change required by a continuity plan affects customer or end user businesses

Examples of people needing training include: •

Personnel who respond to customer or end user requests

•

Personnel who provide infrastructure support, e.g., information technology, utilities

•

Senior leadership

•

End users

•

Suppliers

•

Project managers and personnel

Examples of continuity training methods include: •

Role playing

•

Scenario based training

•

Classroom instruction

•

Group discussions

Example Activities Example Activities

Further Explanation

Develop a strategy for conducting continuity training. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

89 Example Activities

Further Explanation

Develop and record continuity training for each category of threat and vulnerability to operations. Review continuity training material with affected stakeholders. Revise training material as needed to reflect changes in continuity plans and feedback on training effectiveness.

Example Work Products Example Work Products

Further Explanation

Continuity training strategy Continuity training material

Include revisions based on review and delivery feedback.

Continuity training review results

Use to identify: • Needed changes • Action items to address

Related Practice Areas Peer Reviews (PR)

CONT 3.2 Required Practice Information

Practice Statement Provide and evaluate continuity training according to the plan.

Value Maximizes team members’ ability to restore or continue essential functions for the business.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information This training enables people to perform essential business functions when disruptions to business operations occur. The training also provides an opportunity for the organization to collect feedback on continuity plan effectiveness to improve the continuity plan.

Example Activities Example Activities

Further Explanation

Deliver training that covers initiation and implementation of continuity plans. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

90 Example Activities

Further Explanation

Keep updated records of those who successfully complete continuity training. Collect feedback on how well continuity training has prepared those who will implement the continuity plan. Analyze training feedback and record suggested improvements to continuity plans and continuity training.

Training feedback from attendees can provide suggested improvements to continuity plans based on their experience.

Update continuity plans and continuity training as needed.

Example Work Products Example Work Products

Further Explanation

Training records Evaluations of training effectiveness by students and training specialists Suggested improvements to the continuity plan

Related Practice Areas Organizational Training (OT)

CONT 3.3 Required Practice Information

Practice Statement Prepare, conduct, and analyze results from verification and validation of the continuity plan.

Value Increases confidence and likelihood that the continuity plan is effective to meet requirements and the operational needs of users.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Record requirements, key principles, activities, resources, and environments required to effectively verify and validate continuity plans. Verify and validate continuity plans periodically, e.g., annually, and on an event-driven basis. When making major changes to the system or to the environment, review, revise, and test continuity plans. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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Verifying and validating continuity plans helps prepare the organization for various threats and vulnerabilities before a significant disruption occurs. This approach involves conducting reviews, tests, and demonstrations in a controlled and simulated environment. Verify and validate continuity plans by selecting methods, performing tests and simulations, and analyzing results. Examples of verification methods include: •

Inspections

•

Peer reviews

•

Audits

•

Walkthroughs

•

Analyses

•

Simulations

•

Testing

•

Demonstrations

•

Sampling

While methods for validation can be the same as verification, their purposes are different. Verification focuses on addressing continuity requirements and validation ensures that continuity plans will work under emergency conditions. Analysis of the verification and validation results of continuity plans helps to address issues and improve ability to respond to significant disruptions.

Example Activities Example Activities Develop a plan for verifying and validating continuity.

Further Explanation Verification and validation is not a one-time event. The strategy should address how often to perform verification and validation. The plan typically includes: Strategy used for conducting verification and validation Categories of threats and vulnerabilities evaluated Categories of essential functions and resources Methods to evaluate the effectiveness of preparation Environments needed to support verification and validation • Criteria defining target levels of performance during recovery operations • Schedule of activities to conduct verification and validation • Assigned resources

• • • • •

Prepare the environment to conduct verification and validation. Prepare checklists to verify and validate the continuity plan.

May include: • Readiness preparedness checklists • Emergency preparedness materials checklist • Business continuity self-assessment checklist

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92 Example Activities

Further Explanation

Review the verification and validation plan with affected stakeholders.

Affected stakeholders should understand and agree to the verification and validation strategy, methods, activities, environments, and resources.

Decide on the procedures and criteria to verify and validate the continuity plan.

Procedures and criteria ensure that the elements of continuity plans are correct, effective, and current relative to the categories of threats and vulnerabilities.

Conduct verification and validation of the continuity plan. Evaluate results of verification and validation activities.

Evaluation may include criteria for: • Achievement of restoration to agreed levels of operation • Effectiveness of communication strategies • Readiness of key resources

Collect improvement proposals for business operations or system components as appropriate based on the analyses of results. Provide information on defect resolution and initiate corrective action.

Information includes verification methods, criteria, and the verification environment.

Record the results and recommendations of verification and validation activities.

This may include:

Record recommendations for improving the continuity plan.

Include changes to continuity plans identified:

• Feedback from training activities • Lessons learned • Additional corrective actions • When preparing for verification and validation • From performing verification and validation activities

Update the continuity plan as necessary.

Example Work Products Example Work Products

Further Explanation

Verification and validation plan for assuring continuity Evaluation methods used for verification and validation Description of environments necessary to conduct verification and validation Verification and validation procedures Criteria for what constitutes successful verification and validation List of personnel and affected stakeholders involved in continuity verification and validation activities 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

93 Example Work Products

Further Explanation

Verification and validation analysis reports Recommendations for improvement

These include improvement recommendations for: • Continuity plans • Continuity plan verification and validation activities

Related Practice Areas Incident Resolution and Prevention (IRP) Risk and Opportunity Management (RSK) Verification and Validation (VV)

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Decision Analysis and Resolution (DAR)

Required PA Information

Intent Make and record decisions using a recorded process that analyzes alternatives.

Value Increases the objectivity of decision making and the probability of selecting the optimal solution.

Additional Required PA Information This section left blank for future content.

Explanatory PA Information

Practice Summary Level 1 DAR 1.1

Define and record the alternatives.

DAR 1.2

Make and record the decision.

Level 2 DAR 2.1

Develop, keep updated, and use rules to determine when to follow a recorded process for criteria-based decisions.

DAR 2.2

Develop criteria for evaluating alternatives.

DAR 2.3

Identify alternative solutions.

DAR 2.4

Select evaluation methods.

DAR 2.5

Evaluate and select solutions using criteria and methods.

Level 3 DAR 3.1

Develop, keep updated, and use a description of role-based decision authority.

Additional PA Explanatory Information Decision analysis and resolution activities involve: •

Developing and updating guidelines to decide which decisions should be subject to a structured, criteria-based decision-making process

•

Applying a criteria-based decision-making process for selecting from a set of alternatives

Apply criteria-based decision-making processes to technical or nontechnical alternatives that have multiple possible options for resolution. A decision-making process can be used for decisions throughout the organization. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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One key element that contributes to the success of effective decision making is the involvement of affected stakeholders. Stakeholders can include: •

Those impacted by the decision

•

Implementers of the decision

Examples of criteria-based decision making include: •

Trade studies

•

Determination of what solutions will be acquired or developed

•

Configuration control board change approvals

•

Selection of suppliers

•

Risk mitigation choices

•

Analysis of alternatives

•

A make-or-buy decision

•

Choices of manufacturing processes or tools

•

Selection of locations, premises, and work facilities

•

Changes in organizational structure

For organizational decisions, specify conditions that require criteria-based decision making. These conditions could include a combination of: •

Impact on the cost of the decision

•

Impact on timelines and schedules

•

Impact on the quality of the solution

•

Impact on other related processes

•

Convenience or disruption to the workforce

•

Impact on motivation and morale of the workforce

Criteria-based decision-making processes can vary in formality, type of criteria, and methods used: •

Less formal decisions can be analyzed in a shorter time and use fewer criteria, e.g., effectiveness, cost to implement

•

More formal decisions can require more effort, and may include: o

A plan

o

Multiple reviews to develop and approve criteria

o

Simulations

o

Prototypes

o

Piloting

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Risk and Opportunity Management (RSK)

Context Specific Agile with Scrum Guidance Context Tag:

Agile with Scrum

Context:

Use processes to adapt agile with Scrum techniques.

The decisions made by agile teams can include: •

Which agile tools to use

•

Which features to include for each sprint, story, or epic

•

Whether to undergo a significant refactoring of code that could result in further defects

•

Criteria for acceptance from customer

Development Context Tag:

CMMI-DEV

Context:

Use processes to develop quality products and services to meet the needs of customers and end users.

Efforts in development can use criteria-based decision making for alternatives that may include: •

Whether to opt for a short-term code fix that would increase technical debt, or a longerterm solution

•

Which design approach to pursue

•

Whether to make, buy, or reuse software code

•

Whether to invest in automated testing, and to what degree, given the upfront investment needed

Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

The acquirer has the ultimate responsibility for ensuring that the appropriate decision-making activities are performed. When the supplier is involved in decisions that affect the overall solution, the acquirer engages with the supplier to provide oversight of the decision process to meet business needs. Use a repeatable, criteria-based decision-making process for: •

Critical decisions that define and guide the acquisition process

•

Critical decisions made with the selected supplier

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This decision-making process should be consistent with the acquisition strategy. Revisit these criteria when considering changes or technology additions that affect requirements or other critical project parameters. A formal process also helps the acquirer and supplier to communicate decisions.

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Level 1 DAR 1.1 Required Practice Information

Practice Statement Define and record the alternatives.

Value A clear definition and understanding of the alternatives to be made reduces potential rework.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Decisions do not always consider alternatives. It is important to reach a common understanding of the alternatives, their potential impact, and the necessary decision.

Example Activities Example Activities

Further Explanation

Define the alternatives. Involve stakeholders in defining the alternatives.

Example Work Products Example Work Products Statement of the alternatives

Further Explanation Describe the alternatives and identify the people involved.

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DAR 1.2 Required Practice Information

Practice Statement Make and record the decision.

Value Provides a clear understanding of rationale and decisions made and avoids constant revisions and rework.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information The rationale behind decisions may be lost or questioned in the future. Recorded decisions are available for future reference to understand and learn from the decisions made and the issues or contexts associated with them.

Example Activities Example Activities

Further Explanation

Make and record the decision.

Example Work Products Example Work Products Recorded decisions

Further Explanation May also include: • • • •

Alternatives Rationale Selection criteria People involved

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Level 2 DAR 2.1 Required Practice Information

Practice Statement Develop, keep updated, and use rules to determine when to follow a recorded process for criteria-based decisions.

Value Reduces costs by focusing on the most important decisions.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Not every decision is significant enough to require a criteria-based decision-making process. Evaluate if a decision is significant based on the work, circumstances, and established guidelines. Consider the cost of making the decision versus the impact of the decision. Conditions when a criteria-based decision-making process may be needed include when there are: •

Significant adverse effects on cost, quality, resources, or schedule

•

Legal or contractual obligations

•

Requirements resulting in significantly different alternative solutions

•

Issues that have medium-to-high-impact risk

•

Changes to work products under configuration management

•

Impacts on people’s morale, motivation, and convenience

Example Activities Example Activities

Further Explanation

Develop and record rules and guidelines for when to use a process for criteria-based decision making. Follow rules and guidelines for criteria-based decision making. Communicate rules and guidelines to affected stakeholders.

Inform affected stakeholders when a criteriabased decision-making process will be used.

Example Work Products Example Work Products

Further Explanation

Rules and guidelines for criteria-based decision making List of recorded criteria-based decisions. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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Related Practice Areas Risk and Opportunity Management (RSK)

Context Specific Development Context Tag:

CMMI-DEV

Context:

Use processes to develop quality products and services to meet the needs of customers and end users.

Examples of activities for which you may use a criteria-based decision-making process include: •

Making design implementation decisions when technical performance failure can cause a catastrophic failure, e.g., safety-of-flight item

•

Making decisions with the potential to significantly reduce design risk, engineering changes, cycle time, response time, and production costs, e.g., to use different approaches to assess form and fit capability before releasing engineering drawings and production builds

•

Developing new or changing existing requirements resulting in significantly different alternative architectures or designs

•

Make, buy, or reuse components

•

Selecting testing tools and environment

•

Determining alternative software coding approaches

Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

Activities that an organization may use a criteria-based decision-making process for include: •

Selecting elements to include in standard service descriptions

•

Selecting, terminating, or renewing suppliers

•

Selecting personnel training

•

Selecting a transition and support approach, e.g., disaster recovery, service levels

Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

Examples of when to use a criteria-based decision-making process include:

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•

Making decisions to trade off cost, schedule, and performance requirements during an acquisition

•

Selecting, terminating, or renewing suppliers

•

Selecting a testing environment in which to validate the acquired solution

•

Selecting an approach for ongoing support, e.g., disaster recovery, service levels

DAR 2.2 Required Practice Information

Practice Statement Develop criteria for evaluating alternatives.

Value Enables consistent selection of optimal solutions.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Both numeric and non-numeric criteria can be used with a process for criteria-based decision making. Decisions based on explicitly defined criteria can remove barriers to stakeholder agreement and acceptance.

Example Activities Example Activities

Further Explanation

Define the criteria for evaluating alternative solutions.

Can help to establish boundaries for making decisions.

Define, use, and keep updated the range and weighting for evaluation criteria.

May involve: • Developing weighting for relative importance of evaluation criteria • Identifying risks and impacts • Ranking criteria according to the defined range and weighting to reflect the needs, objectives, and priorities of affected stakeholders

Example Work Products Example Work Products Recorded evaluation criteria

Further Explanation May include: • Rationale for the criteria • Criteria ranking and weighting

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DAR 2.3 Required Practice Information

Practice Statement Identify alternative solutions.

Value Increases the quality of the solution and customer satisfaction.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information The number of alternatives may be limited at first. Through the analysis process, add other alternatives to the list of potential alternatives. Generate and consider multiple alternatives early in the decision-making process. This makes it easier to choose a solution that best meets the criteria, and to understand the potential consequences of that decision.

Example Activities Example Activities

Further Explanation

Research information about similar internal or external past decisions.

This can help:

Identify additional alternatives to consider.

• Use evaluation criteria as a starting point for identifying alternatives. Evaluation criteria identify the priorities of affected stakeholders and the importance of business, performance, technical, logistical, or other challenges. • Combine key characteristics of existing alternative solutions to generate additional, sometimes stronger, alternative solutions. • Solicit alternative solutions from affected stakeholders, e.g., though brainstorming sessions, interviews, and working groups.

• • • •

Provide a deeper understanding of the problem Identify alternatives to consider Uncover barriers to implementation Identify lessons learned from similar decisions

Record selected alternatives.

Example Work Products Example Work Products

Further Explanation

Recorded alternatives

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Context Specific Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

Suppliers may be needed to provide input to the decision analysis process, e.g. technical expertise outside of acquirer’s capabilities. The acquirer has the ultimate decision-making responsibility.

DAR 2.4 Required Practice Information

Practice Statement Select evaluation methods.

Value Optimizes the cost, schedule, and performance for the decision being made.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Evaluation methods are used to determine which alternative meets the stated criteria.

Example Activities Example Activities Select evaluation methods.

Further Explanation Evaluation methods may include: • • • • • • • • •

Structured weighting matrix Testing Modeling and simulation Studies or benchmarking Surveys Prototypes Demonstrations Focus groups Expert judgment

Example Work Products Example Work Products

Further Explanation

Selected evaluation methods

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DAR 2.5 Required Practice Information

Practice Statement Evaluate and select solutions using criteria and methods.

Value Ensures that the optimal solution is selected.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information A variety of methods may be iteratively used for evaluating and making criteria-based decisions.

Example Activities Example Activities

Further Explanation

Evaluate proposed alternative solutions following the recorded process for criteria-based decisions. Record the results of the evaluation.

Record the rationale for adding new alternatives, adding new methods, changing criteria, and the interim evaluation results.

Assess the risks associated with implementing the recommended solution.

There can be substantial risk when decisions are made with incomplete information.

Record and communicate the results for the recommended solution to affected stakeholders.

It is important to record both why a solution is selected and why other solutions were rejected.

Example Work Products Example Work Products

Further Explanation

Evaluation results Assessed risks Recommended solutions

Related Practice Areas Risk and Opportunity Management (RSK)

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Level 3 DAR 3.1 Required Practice Information

Practice Statement Develop, keep updated, and use a description of role-based decision authority.

Value Reduces business risk by ensuring the appropriate levels of authority are making and approving decisions.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Identify the decision review and approval authority. Approval authority is typically determined by risk and financial, legal, or other business factors in an organization. Determine the organizational approach to be used in decision-making including: •

The level of authority

•

Stakeholder involvement

•

Required reviews

•

Review roles, such as reviewers, facilitators, and approvers

In addition, decision processes in different parts of the organization or at different levels of the organization may be analyzed or approved differently.

Example Activities Example Activities

Further Explanation

Identify, record, keep updated, and communicate the roles and levels of decision-making authority.

Example Work Products Example Work Products

Further Explanation

List of roles and decision-making authority and responsibilities

Decision-making authority may involve roles in areas such as:

List of decision authority levels

Elements of the list may include:

• • • • • • •

Legal or regulatory Contractual Financial Personnel management Security Safety Technical

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107 Example Work Products

Further Explanation • Escalation procedures • Communication requirements

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Estimating (EST)

Required PA Information

Intent Estimate the size, effort, duration, and cost of the work and resources needed to develop, acquire, or deliver the solution.

Value Estimation provides a basis for making commitments, planning, and reducing uncertainty, which allows for early corrective actions and increases the likelihood of meeting objectives.

Additional Required PA Information This section left blank for future content.

Explanatory PA Information

Practice Summary Level 1 EST 1.1

Develop high-level estimates to perform the work.

Level 2 EST 2.1

Develop, keep updated, and use the scope of what is being estimated.

EST 2.2

Develop and keep updated estimates for the size of the solution.

EST 2.3

Based on size estimates, develop and record effort, duration, and cost estimates and their rationale for the solution.

Level 3 EST 3.1

Develop and keep updated a recorded estimation method.

EST 3.2

Use the organizational measurement repository and process assets for estimating work.

Additional PA Explanatory Information Estimation provides the basis for making commitments. An estimate takes into consideration the scope, size, and complexity of the work. Base the estimate on the available information. Record any uncertainty as a risk. Uncertainty or risk in a commitment can be handled by: •

Providing an initial commitment with an understanding that the initial commitment may be changed if the scope changes

•

Defining milestones to refine an initial commitment range to produce a final commitment after more investigation

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•

Committing to the known parts of the project, and committing to the remainder of the work after further investigation and definition

Historical data describing the relationship between measured size and resources such as effort, cost, and schedule should be used when planning future work. A good understanding of historical data is critical to successful estimating. Use historical data when planning future work and to calibrate estimation formulas and models. Record qualitative information such as context, methods, tools and techniques used, and lessons learned from past projects. Estimate and track several aspects of the work to realize value. For example, based on Table EST-1, how complete is the work?

Table EST-1: Example Tracking Information Aspect

Size Effort Duration Cost

Percent Completed

10% 60% 50% 75%

This question cannot be answered if only effort is tracked. To get a complete picture of the status, estimate and track the other aspects of the project. If all aspects are not estimated and tracked, it could lead to an incomplete or misleading understanding of the work status. The numbers in the table indicate a potential problem and should trigger an investigation to determine the real status of the project. There are other aspects of the work, such as complexity, that may affect the answer. For example, the size may only be 10% complete because the project front loaded the highly complex components. Understanding the aspects and their relationships will provide a more comprehensive estimate. The rationale of the estimate should be based on historical data, rather than on the experience and knowledge of the estimator.

Related Practice Areas Managing Performance and Measurement (MPM) Planning (PLAN) Requirements Development and Management (RDM) Risk and Opportunity Management (RSK)

Context Specific Agile with Scrum Guidance Context Tag:

Agile with Scrum

Context:

Use processes to adapt agile with Scrum techniques.

In general, agile teams using Scrum estimate during the backlog grooming and sprint planning steps: •

Estimates for backlog items are typically a rough order of magnitude.

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•

Some agile teams using Scrum develop a comprehensive estimate during release planning for a set of stories or epics.

•

Estimates for each sprint are typically more refined, allowing the team to understand their commitments.

The typical agile estimation steps develop the following information: •

Size: During backlog review, assign backlog items, such as requirements and user stories, a relative size using story points. Refer to Table EST-3. In addition to story points, agile with Scrum teams may use such techniques as planning poker or t-shirt size (small, medium, large, or extra-large) to estimate size. Often requirements are converted into user stories before estimation is performed. Complex needs or requirements may be transformed into an epic, which is typically a large user story that can span more than one sprint. If the epic spans more than one sprint, it is typically broken into smaller user stories. The transformation of user stories into story points takes into account the size and complexity of the solution.

•

Tasks and Effort: During sprint planning, agile teams using Scrum and the product owner collaborate to select user stories off the backlog based on the priority of the product owner and estimate them using relative sizing techniques such as planning poker, t-shirt sizing, or the Team Estimation Game. Using the team’s known velocity as a guide, prioritized stories are accepted by all stakeholders into the sprint. Some agile teams estimate the task effort in hours for each story based on historical data or other effort estimation technique. o o o

•

Determine how many user stories can be committed to the sprint when team velocity is known (story points completed per sprint) Estimate effort at the task level and use the total to determine the amount of work that can fit into a sprint based on available capacity Use known velocity numbers to make a first estimate of what can be committed to in a sprint, and then use task breakdown and effort data to refine and validate the decision

Task Assumptions: Discuss and confirm assumptions during sprint planning events and review during the retrospective to improve estimates. Record, clarify, and communicate assumptions during these events. Refer to examples in Table EST-3.

Figure EST-1 shows where estimation is typically performed in an agile project. Table EST-2 and Table EST-3 show example estimation data and the model practices used to generate this information.

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Figure EST-1: Estimating in an Agile Cycle

Table EST-2: Backlog with Estimates

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Table EST-3: Requirement/Task Estimation & Model Practices

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Level 1 EST 1.1 Required Practice Information

Practice Statement Develop high-level estimates to perform the work.

Value A high-level estimate addresses work size, cost, and schedule uncertainties to avoid pursuing work that may result in schedule or budget overruns.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information The high-level estimate is typically: •

A rough draft, top-down estimate (also called a rough order of magnitude estimate)

•

Based on identified or recorded assumptions and uncertainty

•

Developed quickly

•

Based on previous knowledge and experience

Example Activities Example Activities

Further Explanation

Review needs and assumptions and determine high-level estimates with stakeholders.

Example Work Products Example Work Products Rough order of magnitude estimate

Further Explanation Includes: • An estimate of the size, complexity, cost, effort, or duration of the solution • Assumptions • Unit of measure

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Level 2 EST 2.1 Required Practice Information

Practice Statement Develop, keep updated, and use the scope of what is being estimated.

Value Ensures the entire solution is addressed which increases the likelihood of meeting objectives and avoiding rework.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information The scope: •

Includes the work effort

•

Defines the solution to be developed, delivered, or acquired

•

Results in the information needed to estimate the size, effort, cost, and duration

•

Addresses any resources that must be acquired or will be consumed during the project

•

Establishes the work constraints, e.g., what is included and what is not included

Use an initial set of requirements and work objectives to form the basis for establishing the scope. Defining and using the scope can help uncover missing or misunderstood requirements, identify risks, and develop more detailed estimates. Inaccurate estimation is often the result of not understanding the scope of the work. Update the scope as the project progresses to address changes.

Example Activities Example Activities

Further Explanation

Review requirements and objectives with stakeholders to determine scope.

Example Work Products Example Work Products

Further Explanation

List of tasks and activities or Work Breakdown Structure (WBS)

To more accurately estimate costs, include identified resources for tasks and durations.

List of needed resources

Includes not just staff, but also other resources needed to accomplish the work, e.g., facilities, acquired solutions, tools.

Work flow diagram

Visualizes how tasks will flow between resources and what conditions allow the sequence to move forward.

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Related Practice Areas Requirements Development and Management (RDM)

Context Specific Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

Consider activities associated with the acquisition strategy when determining scope. For example, a complex project can involve managing multiple supplier agreements with one or more suppliers.

EST 2.2 Required Practice Information

Practice Statement Develop and keep updated estimates for the size of the solution.

Value Well-defined estimates allow work tracking and timely corrective actions to deliver the solution on time and within budget.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Size is the primary input to many estimation models. Estimation is not a one-time activity that is only performed before or at the start of the project. It is a recurring activity where the estimate is adjusted as new information becomes available throughout the lifecycle of a solution, operations and maintenance, or for services produced and delivered. Estimating size provides a consistent basis for estimating effort, duration, and cost. A relative level of difficulty or complexity may be associated with size estimates and is used in the transformation to effort, duration, cost, and quality. For example: •

For services, size could be the type or number of service requests, number of calls received in an hour, or the number of customers desiring a service delivery, etc.

•

For software development, size could be the number of objects, the number of components, the number of features, standard or customized function points, the number of requirements, or the number of lines of code, etc.

•

For hardware development, size could be the number of connections or connection points, the number of welds, the number of boards, the number of components, or the number of hardware and software integration points, etc.

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116

•

For supplier management, size could be the number of requirements, the number of features, the number of items to be acquired, or the number and types of bidders, etc.

Example Activities Example Activities Use applicable methods to estimate the size and complexity of solutions and tasks.

Further Explanation Methods for determining size include: • • • •

Analogy Delphi 3-point estimation Parametric estimation

The project estimation methods and their use may change over time as the understanding of the relationship of solution characteristics to size improves. Complexity is typically used in the transformation from size to effort, duration, and cost. Complexity may also include qualitative aspects of the solution, such as new vs. legacy.

Example Work Products Example Work Products Size estimate

Further Explanation Typically includes: • Size • Unit of measure • Rationale or basis for estimate, including assumptions and constraints • Complexity – could be a multiplier of size, or a modifier (such as Hard, Medium, Easy), to take into account the potential difficulty of implementing the solution

Context Specific Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

Characteristics used to develop estimates include: •

Number and type of services

•

Number of service levels

•

Volume of service requests

Examples of tasks to develop size estimates for include: •

Service system development and delivery

•

Service system monitoring

•

Preventative maintenance or repair

•

Training

•

Incident management and resolution

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•

Updating equipment and supplies

•

Logistical support

•

Facilities maintenance

•

Transition activities

•

Monitoring for and addressing obsolescence

•

System disposal

Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

Examples of characteristics used to estimate include: •

Effort needed by the acquirer to manage the supplier

•

Number and complexity of acquirer work products

•

Number and complexity of requirements in the solicitation package

•

Number and complexity of clauses in the supplier agreement

•

Amount and complexity of the work suppliers will address

•

Number of potential suppliers

•

Number of pages

•

Prioritized solution features

Examples of work products for which size estimates include: •

Solicitation package

•

Supplier agreement

EST 2.3 Required Practice Information

Practice Statement Based on size estimates, develop and record effort, duration, and cost estimates and their rationale for the solution.

Value Enables a better basis for commitments and improves accuracy of the estimates, leading to better decision making.

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Explanatory Practice Information

Additional Explanatory Information Transform the size estimate into estimates of effort, duration, and cost. Use estimation models, historical data, expert judgment, or a combination of all three. Understanding the size of the solution provides a more accurate basis for determining the effort, duration, and cost for the solution. While performing the work, compare the rationale to actual conditions to identify missing or unnecessary aspects in the original estimate. Identifying missing or unnecessary aspects supports re-planning the current work or estimating future work. Managers and leads typically perform top down estimation. Bottom up estimation is typically performed by team members. Develop and calibrate estimation models using available historical data. To increase confidence, update estimation models as additional data becomes available. Sometimes, historical data is not available, such as when efforts are unprecedented. Unprecedented efforts are riskier and require more research to develop a basis of estimate. Record rationale for what made the work unique to aid understanding of any assumptions made in the initial planning phases.

Example Activities Example Activities Collect and use historical data to develop, calibrate, or recalibrate models or methods to transform size and complexity into effort, duration, and cost estimates.

Further Explanation To ensure a high level of confidence in the estimate, use multiple models or methods as needed, for example, based on the most important set of tasks and activities. Historical data should include: • Size, cost, effort, and schedule (duration) data from previous completed projects • Appropriate scaling data to account for differing sizes and complexity • In addition, information on factors that influenced the performance and other contextual information will help determine if past data can be included, excluded, or adjusted Historical data can also be used with analogies, e.g., if a current project is 10% smaller than a similar historical project, use the historical project’s results reduced by 10%. There may be instances where historical data is not available or does not apply. In the absence of historical data (for example, no prior history of work similar to current work) external sources like industry data may be used. Models can also be based on other characteristics such as service level, connectivity, complexity, availability, reusability, and structure. Other examples of characteristics include: • Critical competencies and roles needed to perform the work • Needed knowledge, skills, experience, and training • Selected lifecycle model and processes • Travel

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119 Example Activities • • • • • • • • •

Further Explanation Team productivity Geographic dispersal of work group members Proximity of customers, end users, and suppliers Amount of risk How agreeable or difficult the customer is Direct labor rates and overhead Penalties for warranty work Regulatory requirements or environment Level of security required for tasks, work products, hardware, software, personnel, and work environment

Describe and record the rationale for the estimates of effort, duration, and cost for the solution.

Recording the rationale provides the context for using historical data for estimating future work.

Include estimates of supporting infrastructure needs.

The supporting infrastructure includes resources needed to support the project but are not necessarily included in the project itself. Consider the infrastructure resources needed for the work, including: • • • • • •

Contracts Facilities Tools Consumables Licenses Travel

Example Work Products Example Work Products Effort estimate

Further Explanation Typically includes: • • • •

Duration estimate

Effort Unit of measure (typically hours or days) Productivity Context for the effort estimate

Typically includes: • Duration • Unit of measure (typically hours or days) • Rationale for the duration estimate

Cost estimate

Typically includes: • Cost • Unit of measure, e.g., local currency, contract currency • Rationale for the cost estimate

Estimating rationale

Typically includes: • • • • • • •

Description of what is being estimated Scope Assumptions and constraints Comparisons to similar work Team experience with the technology and domain Risks Use of historical data

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120 Example Work Products

Further Explanation • Tools, techniques, or methods used: o o o o

Off the shelf tools Internally developed tools Formulas and calculations Models

Context Specific Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

Service estimates should consider the effort and cost associated with delivering the service. Individual services can have associated workflows or detailed steps that involve points of communication, evaluation, and decision. Consider these lifecycles when estimating the requirements to support the delivery of individual services. Parameters to consider include: •

Service characteristics

•

Service system and service system components

•

Delivery environment

When estimating effort and cost, include infrastructure resources that support services. For example: •

Computer workstations

•

Power, space, and cooling requirements

•

Tools for use by service teams

•

Facilities

•

Network and communications requirements

•

Machinery and equipment

•

Support for shift work

Inputs used for estimating effort and cost include: •

Availability of services, by service level, e.g., turnaround time, operational availability ratio, number of calls the help desk should be able to handle per hour

•

Level of security required for tasks, work products, hardware, software, personnel, and the work environment

•

Service and service system requirements

•

Service approach

•

Size estimates of work products, tasks, and anticipated changes

•

Cost of externally acquired products

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•

Capability of tools provided

•

Capability of manufacturing processes

•

Experience of service participants

•

Proximity of customers, end users, and suppliers

•

Technical approach

•

Consumables (resources that the service provider will need to replenish or replace before, during, or after providing a service)

Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

The amount of supplier work largely determines the amount of acquirer work required to manage the project and the supplier. Effort for the acquirer includes effort associated with: •

Defining the project and scope

•

Developing the solicitation and supplier agreement

•

Managing the agreement and technical activities

•

Planning, monitoring, and controlling the project and supplier

•

Developing and updating acquisition requirements

The project derives detailed estimates for activities performed by the acquirer and its stakeholders. The acquirer should include stakeholder representatives to ensure they have accounted for all technical or service considerations in the estimates. As the work evolves, revise estimates based on changing conditions or requirements. Additionally, the acquirer needs to estimate the cost and effort for the acquired solutions. Estimates should address effort and cost for supplier management and reporting requirements. The acquirer should review its supplier effort and cost estimates with external individuals to ensure reasonable estimates.

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Level 3 EST 3.1 Required Practice Information

Practice Statement Develop and keep updated a recorded estimation method.

Value Maximizes consistency and efficiency for developing accurate estimates and increases the likelihood of meeting objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information A defined estimation method is a standard approach using established processes and the best available valid data to estimate the current or future size, effort, cost, and duration of a project based on what is known. Valid estimating data is applicable to the context of the work being estimated. Organizations may have more than one estimation method. Methods using historical data provide a data driven approach to estimation. Calibrate methods based on actual results vs. historical data and recalibrate methods when conditions, assumptions, processes, or performance change. Use an analysis of estimation accuracy to improve the method. Some standard methods are described in the following table:

Table EST-4: Example Estimation Methods Method

Brief Description

Delphi method

Estimates are developed by a group of subject matter experts where each independently gives their estimates and assumptions to the designated facilitator. The team discusses the differences and re-estimates. This is repeated until the estimates converge. The facilitator then records the final estimate.

Comparative or analogous estimation

Estimates are based directly on past results for similar projects. The estimate is then adjusted for differences in size, complexity, or other factors to reflect current knowledge.

Parametric estimation

Parametric estimates are based on historical data and project parameters and typically use a tool. Note that there are various forms of estimation tools, including: • Mathematical • Scenario-based • Simulation

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123 Method

3-point estimation

Brief Description • Calibrating the estimation tool as it is used can provide additional estimation accuracy. Each estimator (note that there may be only one estimator) provides high, low, and most-likely estimates. The facilitator combines them and calculates the resulting value by using the formula: (high + (4 * most likely) + low) / 6.

Example Activities Example Activities Determine the acceptable estimation methods.

Further Explanation Estimation methods are most accurate when based on historical data and validated before use. The estimation methods should be used consistently for similar activities, projects, domains, etc. Involve subject matter experts in developing and approving the method. The estimation tools can be built or acquired, but should be calibrated with organizational data.

Calibrate and adjust method based on actual results.

One approach to calibrate is to refresh the data periodically or recalibrate data after the most recent use. For example, compare the actuals from the most recent calendar quarter of data to an estimate of that same quarter using the average of the previous three calendar quarters. Based on differences, adjust the method.

Validate method.

The method should be validated by subject matter experts who have used and understand when to apply the method.

Example Work Products Example Work Products Recorded estimation methods

Further Explanation The process, tools, and data used for the selected estimation methods.

EST 3.2 Required Practice Information

Practice Statement Use the organizational measurement repository and process assets for estimating work.

Value Increases estimation precision, accuracy, and consistency enabling better decision making, a higher likelihood of meeting objectives, and reduced risk.

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Explanatory Practice Information

Additional Explanatory Information Using organizational assets as a basis for estimating leverages the data and experience from previous projects to improve the reliability of estimates for similar work. Select the most appropriate estimation method and use it to produce the estimates. When using organizational assets consider: •

Historical and validated data from this work or similar work and its context

•

Similarities and differences between the current work and work from which historical data will be used

•

Rationale used to select the historical data

•

Type of work

•

Tailoring performed

•

Geographic-specific information

•

Domain and technology

Examples of data contained in the organization’s measurement repository that could be used in estimation may include: •

Size

•

Effort

•

Cost

•

Duration

•

Personnel

•

Experience

•

Response time

•

Capacity

•

Performance

•

Quality

•

Context specific information

Example Activities Example Activities Use organizational assets and measures for estimation.

Further Explanation Include selection criteria and rationale for the chosen estimation technique.

Use estimation methods. Contribute results and measures to the organization in order to improve the estimation methods and update organizational assets.

Include actual results, contextual information, and identified improvements.

Analyze organizational data.

Analyze data to better understand:

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125 Example Activities

Further Explanation • Variability • Data quality • Mean, median, mode

Example Work Products Example Work Products

Further Explanation

Work estimates

Include historical data, context, and approved use from the organization.

Updated organizational process assets

Updated organizational process assets may include: • • • •

Templates Best practice examples Approved methods for use Guidelines

Updates to the organizational measurement repository may include: • Historical estimation data, e.g., actual effort expended, number of function points • Rationale for the estimate, e.g., team skill levels, amount of code reused • Contextual information, e.g., domain, type of work, customer • Updated estimation results

Context Specific Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

Parameters to consider include: •

Acquisition types

•

Supplier types

•

Supplier on-time performance record

•

Supplier performance ratings

•

Domain-specific characteristics of the solution

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Governance (GOV)

Required PA Information

Intent Provides guidance to senior management on their role in the sponsorship and governance of process activities.

Value Minimizes the cost of process implementation, increases the likelihood of meeting objectives, and ensures that the implemented processes support and contribute to the success of the business.

Additional Required PA Information This section left blank for future content.

Explanatory PA Information

Practice Summary Level 1 GOV 1.1

Senior management identifies what is important for doing the work and defines the approach needed to accomplish the objectives of the organization.

Level 2 GOV 2.1

Senior management defines, keeps updated, and communicates organizational directives for process implementation and improvement based on organization needs and objectives.

GOV 2.2

Senior management ensures resources and training are provided for developing, supporting, performing, improving, and evaluating adherence to expected processes.

GOV 2.3

Senior management identifies their information needs and uses the collected information to provide governance and oversight of effective process implementation and improvement.

GOV 2.4

Senior management holds people accountable for adhering to organization directives and achieving process implementation and improvement objectives.

Level 3 GOV 3.1

Senior management ensures that measures supporting objectives throughout the organization are collected, analyzed, and used.

GOV 3.2

Senior management ensures that competencies and processes are aligned with the objectives of the organization.

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Level 4 GOV 4.1

Senior management ensures that selected decisions are driven by statistical and quantitative analysis related to performance and achievement of quality and process performance objectives.

Additional PA Explanatory Information Senior management involvement is critical to the success of process implementation in an organization. Senior management: •

Sets the strategy, direction, and expectations for process efforts

•

Ensures that processes are aligned with business objectives and needs

•

Reinforces and rewards the development and use of processes to ensure their improvement and sustainment

•

Monitors the performance and achievements of the processes

•

Provides adequate resources for process and performance improvement

Implement processes to meet the intent of these practices to improve process sustainment and integration throughout the organization. The practices in this PA are intended to apply to the set of organizational or project processes by identifying process roles for senior management to perform.

Related Practice Areas Implementation Infrastructure (II)

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Level 1 GOV 1.1 Required Practice Information

Practice Statement Senior management identifies what is important for doing the work and defines the approach needed to accomplish the objectives of the organization.

Value Increases the likelihood that the organization implements and improves processes efficiently and effectively to meet business objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Senior management is responsible for understanding the marketplace, developing business strategies, and defining business objectives. Senior management must set and communicate organizational direction that: •

Governs organizational activities, including process implementation and improvement efforts

•

Includes objectives, business strategy, and the approaches intended to address both

•

Sets expectations for ensuring that the organization’s process efforts support business and performance needs and objectives

•

Provides input to improvement plans

Organizational direction is typically provided as statements of policy, strategy, mission, vision, values, and objectives. Senior managers review, update, and communicate organizational direction periodically or as performance, business needs, and objectives change.

Example Activities Example Activities

Further Explanation

Senior management decides what is important for improvement, sets the approach, and communicates the results.

Example Work Products Example Work Products

Further Explanation

Identification of importance of and approach to improvement Records of reviews and communications

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129

Level 2 GOV 2.1 Required Practice Information

Practice Statement Senior management defines, keeps updated, and communicates organizational directives for process implementation and improvement based on organization needs and objectives.

Value Increases likelihood of meeting organizational needs and objectives because work is performed in accordance with senior management’s expectations and priorities.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Guiding principles, which are essential to a viable business culture, are often recorded in organizational strategies, mission, and vision statements. A mission statement provides a simple statement of what the organization does, the reason for its existence, and the value it provides to customers, investors, stakeholders, and other interested parties. A vision statement provides a high-level statement of what the organization wants to achieve strategically in the coming years. Organizational strategy provides guidance related to the: •

Decisions made to achieve long-term objectives

•

Actions an organization intends to take to achieve long-term objectives

•

Identification of resources needed to accomplish long-term objectives

Guiding principles form the basis for directives. Over time, the directives become ingrained in how the organization implements and improves processes and provide the basis for how the organization does business. Senior management: •

Defines directives that influence and help focus process implementation and improvement efforts on achieving organizational objectives and addressing needs.

•

Communicates these directives across the organization to ensure that priorities and expectations are understood.

Directives: •

Record what is important to senior management

•

Clearly specify which parts of the organization are affected by and held accountable for compliance

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•

Develop expectations and specify requirements for following organizational standards, implementing and improving the processes, and sharing information

Review organizational directives on a periodic and as-needed basis to confirm they accurately reflect and support organizational improvement objectives.

Example Activities Example Activities

Further Explanation

Senior management defines organizational directives based on guiding principles.

Although senior managers are responsible and accountable for defining policies, other members of the organization, such as process improvement team members, often participate in developing directives.

Senior management reviews and refines process implementation and improvement objectives to ensure alignment with the guiding principles.

Other members of the organization may provide input on process implementation and improvement objectives. These people may include: • • • •

Executive managers Functional managers Members of a steering committee Subject matter experts

To ensure that processes remain aligned with the organizational strategy, senior management must be involved in prioritizing improvement objectives. Senior management communicates improvement directives.

Communication should take place through different channels and may include: • • • • • • • • • • •

Senior management reviews and updates improvement directives on a periodic or event-driven basis.

In-person discussions and meetings All hands meeting content and minutes Videos Websites and blogs Corporate newsletters and boards Annual report Marketing material Emails Orientation package Training materials Social media

This activity may involve input from other members of the organization such as functional managers, a steering committee, and subject matter experts. After internal or external changes, the organization may need to review the relevance of directives.

Example Work Products Example Work Products

Further Explanation

Organizational improvement directives Records of communication

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GOV 2.2 Required Practice Information

Practice Statement Senior management ensures resources and training are provided for developing, supporting, performing, improving, and evaluating adherence to expected processes.

Value Providing sufficient resources increases the likelihood that senior management’s priorities for improvement will be met.

Additional Required Information Resources must be of sufficient quality and quantity to perform these activities.

Explanatory Practice Information

Additional Explanatory Information Senior management prioritizes resource allocation across the organization. This supports the capabilities necessary to achieve the desired performance results by balancing resource needs against availability. For processes to be performed as defined and expected, senior management must provide adequate resources to develop, perform, improve, support, and evaluate adherence to those processes. Resources may include people, funding, tools, equipment, facilities, environment, and consumables. Resources also include senior management’s time and attention. Senior management should focus on prioritizing resources to meet both short- and long-term objectives and encourage repeatable and consistent process performance. The adequacy of resources depends on availability, capacity, and capability and can change over time. Sufficient resources must be provided to ensure that needed expertise, facilities, or tools are available. Senior management should consider increasing available resources or removing requirements, constraints, or commitments to address needs. Information that can be used to determine if resources are sufficient includes: •

Roles and responsibilities definition

•

Needed and available skills, knowledge, and experience

•

Cost

•

Description of facilities

•

Tool availability and appropriateness

•

List of equipment

•

Environment description

•

List of consumables, including amounts

•

Timeframe of availability

•

Dependencies

Senior management’s most valuable resource is their time. For improvement efforts to be successful, senior management must provide ongoing, visible, and active support. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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Example Activities Example Activities

Further Explanation

Senior management approves and provides the funding and resources needed to develop, perform, improve, and monitor the process. Senior management reviews, revises, and communicates assignment of needed funding, personnel, and resources to develop, perform, improve, and monitor the process. Senior management reviews and refines the allocation of budget and resources.

Example Work Products Example Work Products

Further Explanation

Recorded allocation of needed funding and resources approved by senior management Records of reviews and communications

GOV 2.3 Required Practice Information

Practice Statement Senior management identifies their information needs and uses the collected information to provide governance and oversight of effective process implementation and improvement.

Value Aligns the information senior management receives with their business needs to increase the likelihood of meeting business objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Senior management must identify the information necessary for them to: •

Make timely and informed decisions

•

Understand status and when to act on it

•

Reinforce the importance of performance improvement

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•

Align organizational process improvement efforts to meet objectives

Process effectiveness indicates the organization’s capability to achieve performance objectives. Senior management can determine how efficient and effective processes are by comparing process implementation and improvement results to process improvement and performance objectives. Senior management identifies and prioritizes the information they need about process capability and performance improvement. Senior management provides guidance and direction to align measures and activities with identified information needs and objectives. Senior management reviews information to understand: •

Current process improvement status and its effectiveness

•

Organizational performance

•

If business objectives are being met

•

Capability of current processes to meet current and future objectives

•

When and where to take corrective action

Senior management uses periodic and event-driven reviews to obtain insight into organizational process improvement activities. These reviews are for senior managers who provide the policy and overall guidance for the process and not for those who perform the day-to-day monitoring and controlling of the process. During the reviews, senior management: •

Reviews measurement results and addresses issues

•

Reviews status against process improvement plans and addresses issues

•

Reviews results of process implementation and addresses issues

•

Reviews progress against tactical and operational objectives

The scope, length, content, level of abstraction, and frequency of these reviews depend on the needs of senior management. Reviews enable senior management to understand and take action on the planning, deployment, implementation, use, performance, and improvement of processes. Information reported to senior managers improves their insight into the process to ensure the organization manages work, achieves objectives, and improves performance. Measures provide objective information that is used to make informed decisions and take appropriate corrective action. The information reported to senior management may be provided in summary form.

Example Activities Example Activities

Further Explanation

Senior management identifies and keeps up to date their information needs related to process capability, improvement, and performance objectives.

This includes approval of how the needed information will be reported.

Senior management ensures that measures supporting the organization’s objectives are defined.

Measures: • Align to organizational objectives

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134 Example Activities

Senior management reviews activities, accomplishments, status, and results of the process implementation and improvement activities.

Further Explanation • Support the organization’s ability to manage its performance results Reviews of the process, performance, work products, and solutions include: • Reviewing against the plan for implementing and improving process capability and resulting performance • Reviewing with the immediate level of management responsible for process implementation and improvement activities • Reviewing measurement data and qualitative information • Identifying issues by: o Reviewing performance o Collecting and using measures o Deploying, implementing, using, performing, and improving the process • Determining if corrective action is needed

Senior management oversees updates to the process implementation and improvement plans. Senior management oversees the appropriate integration of measurement and analysis activities into all organization processes.

Use of measurements supports: • Objective planning and estimating • Tracking actual progress and performance against plans and objectives • Identifying and resolving process-related issues • Providing a basis for incorporating measurement into additional processes in the future

Example Work Products Example Work Products Senior management information needs

Further Explanation The people collecting and reporting the information must understand its importance and use. Senior management may not share sensitive or private information with the organization.

Standard reporting format or agenda for review with senior management

Includes discussion items and expected content identified by senior management for the review. Report templates and tools provide an understandable, easily interpreted format for communicating the information identified for review by senior management. Reports may be produced periodically or as needed. Reports focus on the information needs identified by senior management using defined reporting formats and may include: • Measures • Data

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135 Example Work Products

Further Explanation • Analysis of data, e.g., trend analysis, objective achievement analysis

List of measures

Includes base and derived measures related to senior management improvement information needs and objectives.

Review results

May include: • • • • • • •

Topics reviewed Measures reported Decisions made Proposed process changes Proposed policy revisions Results from objective evaluations Action items with assignments and due dates

May be provided as: • Meeting minutes provided to all participants • Direction from senior management • Other communication from senior management

Related Practice Areas Managing Performance and Measurement (MPM)

GOV 2.4 Required Practice Information

Practice Statement Senior management holds people accountable for adhering to organization directives and achieving process implementation and improvement objectives.

Value Accountability ensures that directives drive the implementation and improvement of processes to meet business objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Senior management holds people accountable by: •

Verifying and enforcing compliance with organizational directives

•

Reviewing commitments that have an organizational impact and ensuring they are met

Periodically and on an event-driven basis, senior management reviews and addresses issues related to: •

Adherence to organizational directives, practices, and procedures

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•

Process and performance improvement

•

Adherence to relevant laws and regulations

•

Resolution of noncompliance issues

•

Organization performance and improvement trends

•

Fulfilling commitments that have an organizational impact

Example Activities Example Activities

Further Explanation

Senior management reviews issues and trends related to deploying, implementing, performing, and improving the organization’s processes.

May include:

Senior management directs corrective actions when:

Corrective action includes assigning resources, responsibilities, and planned completion dates.

• The organization’s objectives are not being met • Issues are identified • Implementation and improvement progress differs from the plans

May include:

Senior management provides incentives for improvement.

This may include recognizing or rewarding:

• Verifying information is accurate and complete • Ensuring that the results of reviews are communicated • Ensuring directives are consistently followed

• • • • • •

Taking remedial action to repair defective solutions Changing the plan Adjusting resources, e.g., people, tools Negotiating changes to commitments Reviewing the objectives and making changes Terminating the effort

• Individuals or teams that meet or exceed improvement objectives. • When objectives are met without difficulties rather than only rewarding when big problems are resolved. • When implementation progress differs from the plan in a positive way, e.g., early delivery, under budget, exceeds quality objectives This may also include taking remedial or disciplinary actions when: • Individuals or teams are not meeting improvement objectives • Implementation progress differs from the plan in a negative way, e.g., late delivery, over budget, poor quality

Example Work Products Example Work Products Action items related to accountability

Further Explanation May include: • • • •

Rewards, recognitions, and incentives

Definition of issue Assignment of responsibility Due date Status

May include: • Promotions

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137 Example Work Products • • • • Consequences

Further Explanation Bonuses or increases Certificates Employee of the Month Public recognition

May include: • • • • •

Counseling Remediation Training Reassignment Demotion or dismissal

Related Practice Areas Process Quality Assurance (PQA)

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138

Level 3 GOV 3.1 Required Practice Information

Practice Statement Senior management ensures that measures supporting objectives throughout the organization are collected, analyzed, and used.

Value Decisions based on results of collecting and analyzing data increase the organization’s ability to successfully deliver its solutions.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Senior management ensures that the: •

Appropriate measures are implemented, collected, analyzed, used, and communicated

•

Measures support decisions related to the organization’s and projects’ performance and capability

•

Organizational direction and process improvement strategies are updated based on measures of performance

Example Activities Example Activities

Further Explanation

Senior management ensures measures are collected, analyzed, and used. Senior management directs corrective actions related to collecting, analyzing, and using measures.

May include: • Adjusting resources • Modifying the plans • Updating organizational objectives

Example Work Products Example Work Products

Further Explanation

Updated organizational measurement repository Status reports, actions, and decisions

These may:

Updated organizational directives and objectives

Based on process performance results, updates will be made to the:

• Result from the collection, analysis, and use of measures. • Be used for performing work relating to performance and process improvement, solution delivery, etc. • Organizational strategy

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139 Example Work Products

Further Explanation • Mission statement • Vision statement • Policies

GOV 3.2 Required Practice Information

Practice Statement Senior management ensures that competencies and processes are aligned with the objectives of the organization.

Value Aligning processes and competencies improves the capability of the organization to meet its objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Senior management ensures that: •

Objectives are defined

•

Processes needed to meet objectives are defined and followed

•

Knowledge and skills necessary to perform the processes are identified

•

People with the needed knowledge and skills are assigned to perform the processes

Example Activities Example Activities Review the status of competencies, objectives, and processes.

Further Explanation Focuses on aligning: • • • •

Strategies Objectives Process reviews Competencies

Record and communicate results.

Example Work Products Example Work Products Results of strategy and process reviews and discussions

Further Explanation May include: • Meeting minutes • Records of decisions and direction • Action items

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140 Example Work Products Reviews and comparisons between the organization’s competencies and processes to be executed

Further Explanation • Updated objectives May include analyzing: • Personnel profiles • Skills matrices • Job descriptions

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141

Level 4 GOV 4.1 Required Practice Information

Practice Statement Senior management ensures that selected decisions are driven by statistical and quantitative analysis related to performance and achievement of quality and process performance objectives.

Value The use of statistical and quantitative analysis of performance strengthens decision making by providing an understanding of the probability of achieving objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information As an organization becomes more capable, it develops a statistical and quantitative understanding of the effectiveness of its standard processes. This provides senior management with visibility into how effectively the processes support achieving business objectives and gives insight into performance variation which enables: •

Quantifying, understanding, and managing risk

•

Ensuring that timely and effective actions are taken to address issues

Example Activities Example Activities Review and discuss strategy, process performance, decisions, and progress.

Further Explanation Include related statistical and quantitative analyses and ensure decisions are based on the analyses.

Record and communicate results.

Example Work Products Example Work Products Results of strategy, process performance, and progress reviews and decision analyses

Further Explanation Reference the statistical and quantitative analyses that drive the decisions and related actions.

Communicated results

Related Practice Areas Managing Performance and Measurement (MPM)

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Implementation Infrastructure (II)

Required PA Information

Intent Ensure that the processes important to an organization are persistently and habitually used and improved.

Value Sustains the ability to consistently achieve goals and objectives efficiently and effectively.

Additional Required PA Information This section left blank for future content.

Explanatory PA Information

Practice Summary Level 1 II 1.1

Perform processes that address the intent of the Level 1 practices.

Level 2 II 2.1

Provide sufficient resources, funding, and training for developing and performing processes.

II 2.2

Develop and keep processes updated, and verify they are being followed.

Level 3 II 3.1

Use organizational processes and process assets to plan, manage, and perform the work.

II 3.2

Evaluate the adherence to and effectiveness of the organizational processes.

II 3.3

Contribute process-related information or process assets to the organization.

Additional PA Explanatory Information Establish the necessary infrastructure to ensure that processes are built, followed, sustained, and improved over time. The term “infrastructure” in this Practice Area refers to everything needed to implement, perform, and sustain the organization’s set of processes. The infrastructure includes: •

Recorded processes to reflect how work is done

•

Resources, e.g., people, tools, consumables, facilities

•

Funding to perform the processes

•

Training to perform the processes

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•

Objective evaluations to ensure that work is performed as intended

Implementation Infrastructure addresses an organization’s or project’s set of processes, not the model Practice Areas or practices. This ensures that processes are persistent and habitual, even during times of stress or change. Implement processes to meet the intent of these practices to improve process sustainment and integration throughout the organization.

Related Practice Areas Governance (GOV)

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Level 1 II 1.1 Required Practice Information

Practice Statement Perform processes that address the intent of the Level 1 practices.

Value Improves the likelihood that solutions are complete, correct, and timely.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Establish the fundamentals of process discipline needed to efficiently and effectively develop and deliver solutions to the customer. Solutions can be developed and provided without following a recorded process or plan. The discipline with which these practices are performed depends on the individuals managing and performing the work and can vary considerably. An organization can successfully develop, deliver, and acquire solutions, even if: •

Processes are unrecorded, ad hoc, or chaotic

•

Organizational infrastructure to support processes does not exist

•

Success is based solely on competence and heroic efforts of people

However: •

Solutions may frequently exceed resource and schedule constraints

•

Solutions do not consistently meet the customer’s requirements

•

Success may not be repeatable

Example Activities Example Activities

Further Explanation

Perform processes.

Example Work Products Example Work Products Outputs of processes

Further Explanation Refer to example work products in the Level 1 practices.

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Level 2 II 2.1 Required Practice Information

Practice Statement Provide sufficient resources, funding, and training for developing and performing processes.

Value Having sufficient resources increases the likelihood of successful process improvement efforts.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information To be sufficient, the right resources need to be available when they are needed. Sufficient resources for developing processes should include: •

Funding

•

Skilled people trained or experienced in: o

Process development

o

Domain knowledge

o

Quality assurance

•

Appropriate tools

•

Training materials

•

Time to perform the work

Develop a budget to support process activities in addition to work activities. Provide funding for developing the processes, which may include: •

Recording and updating the process

•

Acquiring or building tools

•

Developing training materials

•

Providing training

•

Providing post-deployment support to process users

•

Evaluating the processes

Train the people who are responsible for developing processes and performing quality assurance activities. Training supports successful process deployment by establishing a common understanding and providing skills and knowledge needed to perform the process.

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Example Activities Example Activities Identify needed resources.

Further Explanation Includes identifying and assigning people with the needed skills and experience.

Determine budget. Provide funding. Develop or buy tools. Develop training materials. Provide training.

Example Work Products Example Work Products

Further Explanation

Budget for resources Training materials List of needed people, roles, and skills Tools Training records

Related Practice Areas Governance (GOV) Organizational Training (OT) Planning (PLAN)

II 2.2 Required Practice Information

Practice Statement Develop and keep processes updated, and verify they are being followed.

Value Minimizes waste by ensuring affected stakeholders focus on the most valuable activities that are recorded in processes.

Additional Required Information This section left blank for future content.

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Explanatory Practice Information

Additional Explanatory Information Understanding and recording a process is the first step in specifying the way work is to be performed. A process can be recorded in many ways, but at a minimum includes a purpose, inputs, a sequence of steps or activities, outputs, roles, and responsibilities. This helps ensure repeatability and achievement of business and performance objectives. Verify that processes are being followed and kept up to date. A common example of a process description is EITVOX, which includes: •

Entry criteria

•

Inputs

•

Task or activity descriptions

•

Verification and validation

•

Outputs

•

EXit criteria

Recorded processes provide support for consistent execution, repeatability of past successes, and an approach for learning and improving. A recorded process reduces risks that can impact quality, time-to-market, and customer satisfaction, including: •

Misunderstandings

•

Unknown status

•

Inconsistent performance

•

Unavailable resources

•

Unnecessary activities

•

Missed activities

•

Uncoordinated efforts

•

Unclear roles and responsibilities

•

Unachieved objectives

Example Activities Example Activities

Further Explanation

Identify process purpose. Determine process description format. Describe and record processes. Perform processes. Verify that processes are being followed.

Multiple techniques can be used, such as: • • • •

Objective evaluations Audits Retrospectives Process reviews

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148 Example Activities

Further Explanation • Peer reviews

Review and update recorded processes with affected stakeholders. Communicate and make recorded processes available.

This includes changes to existing processes as well as new processes.

Example Work Products Example Work Products

Further Explanation

Recorded processes Process verification results

Related Practice Areas Governance (GOV) Peer Reviews (PR) Process Asset Development (PAD) Process Quality Assurance (PQA)

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Level 3 II 3.1 Required Practice Information

Practice Statement Use organizational processes and process assets to plan, manage, and perform the work.

Value Leverages organizational learning and use of best practices, leading to: •

Reduced rework and cost

•

Increased efficiency and effectiveness

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Organizational process assets enable consistent process execution across the organization. The availability and appropriate use of consistent organizational process assets help to: •

Perform planning and work activities based on proven practices

•

Facilitate the transfer of personnel to where needs are most critical

•

Reduce the likelihood of repeating issues and mistakes

•

Apply process assets to provide the most benefit to projects and performance

Organizations typically maintain a set of standard process assets to be used and tailored depending on the type of work performed. For example, an organization may have different planning processes for various types of work.

Example Activities Example Activities Plan work using organizational process assets.

Further Explanation Tailoring of assets typically occurs during planning.

Manage work using organizational process assets. Perform work following organizational process assets.

Example Work Products Example Work Products Tailored process assets

Further Explanation May include: • Templates specific for projects • Processes and procedures specific for the project • Lifecycle models specific for the project

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150 Example Work Products

Further Explanation • Operational definitions of measures specific for the project • Checklists specific to a type of work

Work products resulting from using the process assets

II 3.2 Required Practice Information

Practice Statement Evaluate the adherence to and effectiveness of the organizational processes.

Value Provides insight on potential cost-effective improvements to organizational processes and how they are used.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Evaluating adherence helps ensure that processes and process assets are understood, relevant, effective, and used as intended. Assessing effectiveness of processes and process assets helps keep them relevant to the business needs and strategy. Analyze processes and process assets periodically. This analysis helps to understand their strengths and weaknesses and to continually improve them to provide value to the organization. Methods for evaluating adherence and effectiveness include: •

Observation

•

Evaluations, assessments, or audits

•

Interviews

•

Analysis of the use of work products and results

Effectiveness includes: •

Ease of use

•

Fewer mistakes

•

Optimal use of resources

•

Timely delivery

•

Improved performance

•

Increased customer satisfaction

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•

Capability that meets needs

When assessing effectiveness, some questions that may help are: •

Why are we doing this?

•

Who is the target audience?

•

Can this be done in a simpler way?

•

What is working?

•

What is not working?

Process performance measurements can also be used to analyze the effectiveness of a process. The benefits of a process can be demonstrated by performance improvements such as: •

Meeting objectives

•

Reducing costs

•

Reducing defects

•

Increasing productivity

•

Reducing cycle time

•

Increasing customer satisfaction

•

Increasing market share

Example Activities Example Activities

Further Explanation

Evaluate processes for effectiveness and usefulness. Analyze process performance measurement results. Examine results of evaluations, appraisals, or audits. Record and communicate results to affected stakeholders. Submit improvement proposals.

Example Work Products Example Work Products Evaluation results

Further Explanation Include: • Organizational best practices • Reusable process assets • Issues, including: o Non-compliance o Effectiveness o Behavioral • Recommendations and opportunities for improvement • List of major risks associated with process implementation

Analysis results

Include: • Process performance • Trends in customer responses

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152 Example Work Products

Further Explanation o Satisfaction o Complaints • • • • •

Solution reliability Defect insertion rate Cycle time Solution quality Root causes

Improvement proposals

Related Practice Areas Causal Analysis and Resolution (CAR) Governance (GOV) Managing Performance and Measurement (MPM) Process Management (PCM) Process Quality Assurance (PQA)

II 3.3 Required Practice Information

Practice Statement Contribute process-related information or process assets to the organization.

Value Increases return on investment by improving the organizational processes and process assets.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Contributing and using process-related information helps keep processes and process assets relevant, current, and aligned with organizational needs. Users and implementers of processes should contribute process use and improvement information to the organization and be involved in determining what information will be kept and used. This practice ensures: •

Projects systematically contribute to organizational learning

•

Key intellectual capital does not leave the organization when people leave

•

Future projects are able to draw from existing process assets to become productive quickly

Collect process-related experiences such as: 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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•

Best practices

•

Work products

•

Measures

•

Lessons learned

•

Process improvement proposals

Store measurement data in the organization’s measurement repository and other information in the organization’s Process Asset Library (PAL). Make these available to those planning and performing similar processes.

Example Activities Example Activities

Further Explanation

Collect and record best practices, lessons learned, and information from tailoring the processes. Submit assets for potential inclusion in the organization’s process asset library.

Include the context along with assets to make them more useful.

Propose improvements to the organizational process assets.

Example Work Products Example Work Products

Further Explanation

Examples, best practices, and lessons learned

Include assets that:

Tailoring records, rationale, worksheets, and other related work products associated with tailoring and implementing the organization’s set of standard processes for the work

If multiple projects tailor the same aspects of the process, this is an indication that the process may need to be updated

• Worked well • Are ineffective • Could be improved

Related Practice Areas Managing Performance and Measurement (MPM) Process Asset Development (PAD)

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Incident Resolution and Prevention (IRP)

Required PA Information

Intent Resolve and prevent disruptions promptly to sustain service delivery levels.

Value Minimize the impact of disruptions to meet objectives and customer commitments more effectively.

Additional Required PA Information This section left blank for future content.

Explanatory PA Information

Practice Summary Level 1 IRP 1.1

Record and resolve incidents.

Level 2 IRP 2.1

Develop, keep updated, and follow an approach for incident resolution and prevention.

IRP 2.2

Monitor and resolve each incident to closure.

IRP 2.3

Communicate incident status.

Level 3 IRP 3.1

Develop, keep updated, and use an incident management system for processing and tracking incidents and their resolution.

IRP 3.2

Analyze selected incident and resolution data for prevention of future incidents.

Additional PA Explanatory Information Incident Resolution and Prevention involves: •

Identifying and analyzing incidents and related data

•

Initiating specific actions to address incidents

•

Monitoring incident status and escalating responses to incidents as necessary

•

Identifying breaches of availability, reliability, and maintainability levels

•

Identifying threshold breaches

•

Identifying and analyzing the underlying causes, i.e. problems, of incidents

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•

Identifying and implementing workarounds or specific actions that enable continuity of work

•

Identifying and implementing preventative actions for future incidents

•

Communicating the status and resolution of incidents to affected stakeholders

•

Validating the complete resolution of incidents with affected stakeholders

•

Leveraging successful workaround solutions for future events

Incidents are actual or potential events that indicate a negative impact on service delivery. Organizations should address incidents in a timely and effective manner according to the terms of applicable customer agreements and requirements. Resolving incidents may result in a change to the service delivery approach. Incident resolution and prevention includes developing a process to address incidents reported by customers, end users, and affected stakeholders. This process should include recording: •

Recurring incidents and their impact

•

Underlying causes of incidents

•

Workarounds

Examples of incidents include: •

Interruptions to a service or activity, e.g., website crash for an online store, equipment failures in a factory, a power outage at a grocery store, a restaurant constantly running out of a menu item, a concert cancelled because of weather, unusually long delays at an understaffed call center

•

Unacceptable performance, e.g., not delivering an order when promised, an elevator that is stuck, an airline losing baggage

•

Customer complaints

Addressing an incident may involve: •

Minimizing the effect of an incident

•

Providing a workaround

•

Removing the underlying cause or causes

•

Monitoring the condition or series of events causing the incident

Any condition or event that contributes to the occurrence of one or more incidents is an underlying cause. Underlying causes include: •

Root causes within the organization’s control

•

Positive or negative conditions

•

Conditions that the organization cannot change, e.g., weather conditions, shifts in markets

It may not make business sense to remove all underlying causes. It may be more effective to address incidents with workarounds or resolve incidents on a case-by-case basis. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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Organizations can expect to reduce the reoccurrence of specific incidents by identifying and resolving the root cause of the incident. The approach to resolving incidents can be as simple as receiving notification of an incident and communicating the workaround or resolution or it could be as complex as a multi-component automated system managing multiple inputs and outputs.

Related Practice Areas Causal Analysis and Resolution (CAR) Continuity (CONT) Risk and Opportunity Management (RSK) Service Delivery Management (SDM)

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Level 1 IRP 1.1 Required Practice Information

Practice Statement Record and resolve incidents.

Value Improves the ability to handle unexpected situations and still meet commitments.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Record incidents and address them. Some incidents could be beyond the project’s ability to resolve. Record the resolution of incidents to enable understanding of incident status.

Example Activities Example Activities

Further Explanation

Record incidents. Address each incident.

Examples of actions to address incidents include: • Providing fixes • Providing workarounds

Record incident status.

Status examples include: • Open • Resolution in progress • Closed

Example Work Products Example Work Products

Further Explanation

Updated list of incidents and their status

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158

Level 2 IRP 2.1 Required Practice Information

Practice Statement Develop, keep updated, and follow an approach for incident resolution and prevention.

Value Maintain customer satisfaction by addressing incidents in a consistent and efficient manner.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Record descriptive information sufficient for each incident to use during analysis and resolution activities. Descriptive information about incidents enables more detailed analysis to determine the best course of action to address incidents. Descriptive information can also help identify the people best suited to address the incidents. The approach to incident resolution and prevention may involve a help desk, service desk, or similar function. This function typically: •

Communicates with the customer

•

Accepts incidents

•

Applies workarounds

•

Addresses incidents

After analysis has identified the underlying causes of incidents, identify any solutions to reuse if the incident occurs again. Personnel can identify additional solutions to prevent the recurrence of similar incidents. Ensure that the best course of action is available to those who address the underlying causes of incidents. Ensure that personnel manage actions to closure. Use a workaround as a temporary solution for an incident until a better, more permanent solution is identified, developed, and deployed. Reusable solutions, such as workarounds, enable work to continue when an incident occurs. It is important to record and confirm the effectiveness of workarounds and other solutions with customers and end users before reusing solutions to address future incidents.

Example Activities Example Activities Identify incidents.

Further Explanation Identified incidents can include those: • • • •

Reported by the customer Reported by the end user Detected by automated detection systems Derived from the analysis of anomalies in collected data

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159 Example Activities

Further Explanation • Derived from monitoring and analyzing external sources of information, e.g., news services, websites

Record and keep updated information that is useful in managing, resolving, and preventing incidents. Define criteria and categories for incidents and to determine what is a valid incident.

Facilitate incident resolution with an established set of categories, severity levels, and other criteria for incidents. These predetermined criteria enable prioritization, assignment, and incident escalation quickly and efficiently.

Identify, record, and keep workarounds or agreed-upon responses updated.

Examples of workarounds and responses include: Taking an immediate, short-term action Retraining personnel Updating documentation Notifying customers when incidents may not be avoidable, and how to prepare for them • Deferring responses until later • Using closure codes to classify each incident; these codes are useful when analyzing and categorizing data

• • • •

Review incident resolutions with affected stakeholders. Lessons learned by resolving incidents provide opportunities to prevent similar future incidents by improving processes.

Record lessons learned.

Example Work Products Example Work Products

Further Explanation

Recorded incidents and associated information

Examples of information to record about the incident may include:

Incident criteria and categories

Examples of incident severity typically include:

• • • • • • • • • • • • •

Name and contact information of the person who reported the incident Description of the incident Categories for classifying the incident Date and time incident occurred Date and time incident was reported Incident identifier, e.g., code, number Potential or actual cause of the incident Functions or groups involved in incident resolution and prevention Severity of the incident Priority of the incident Procedures employed Support tools used Conditions and steps to reproduce the incident

• Likelihood and impact of incidents o Critical, high, medium, low o Numerical scales, e.g., 1-5 with 5 being the highest

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160 Example Work Products

Further Explanation • Escalation protocols Incident categories vary depending on the context. For example, security incident categories may include: • Probes or scans of internal or external systems, e.g., networks, web applications, mail servers • Administrative or privileged access to accounts, applications, servers, networks, etc. • Distributed denial of service attacks, web defacements, malicious code, e.g., viruses, malware • Insider attacks or other misuse of resources, e.g., password sharing • Loss of personally identifiable information

Incident resolution and prevention approach

Typically includes: Incident resolution and closure criteria Current and new severity and priority levels Categories of actions Response and escalation procedures Customer-identified acceptable minimum or maximum amounts of time to resolve an incident • Roles, responsibilities, and authority for:

• • • • •

o o o o

Addressing underlying causes of incidents Monitoring and tracking the status of incidents Communicating the status of incidents Tracking the progress of actions related to incidents

• Escalation procedures • Internal approvals, as required • Communication mechanisms that customers and end users can use to report incidents or used to notify affected stakeholders when one occurs Records of stakeholder reviews Recorded workarounds or responses Recorded lessons learned

Related Practice Areas Service Delivery Management (SDM)

IRP 2.2 Required Practice Information

Practice Statement Monitor and resolve each incident to closure. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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Value Maximizes effectiveness of incident resolution to minimize disruptions.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Throughout the life of each incident: •

Track and record status of the incident

•

Escalate the incident as necessary

•

Record resolution of the incident

•

Close the incident

Example Activities Example Activities

Further Explanation

Monitor incidents until they meet the terms of the customer agreement.

Monitor and record:

Escalate incidents as necessary.

Track each incident throughout its life. Escalate incidents, as needed, to the appropriate level of management or to affected stakeholders, to ensure their resolution. For example, escalate incidents when:

• Communication with those who reported the incident • Resolution of the incident • Confirmation that the customer is satisfied

• Affected stakeholders are not satisfied with the resolution • The resolution is urgent or requires non-standard processes or resources Affected stakeholders may include: • Service support tiers • Management • Different departments within the service organization Close incidents that meet the criteria for closure.

Close incidents only when they meet the terms of the agreement.

Example Work Products Example Work Products

Further Explanation

Updated list of incidents and their status Closed incident records

Incident records can include workaround information.

Related Practice Areas Monitor and Control (MC)

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IRP 2.3 Required Practice Information

Practice Statement Communicate incident status.

Value Minimizes work disruption by ensuring that affected stakeholders have a common understanding of the status of the incidents.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Communication is critical when incidents occur. Throughout the life of the incident, communicate with the person who reported the incident and those affected by it. Well-informed end users and customers may be more: •

Understanding

•

Helpful in addressing the incident successfully

•

Patient while waiting for a resolution

Manage internal communication and coordination to prevent incident resolution activities from interfering with ongoing work. Review the results of actions with the person who reported the incident to verify that the actions resolved the incident and satisfied the submitter.

Example Activities Example Activities Communicate incident status.

Further Explanation This can include status of workaround guidance.

Example Work Products Example Work Products

Further Explanation

Records of communication with customers and end users Status reports

May include: • Impact on service levels • Frequency of incident occurrence • Resolution status

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163

Level 3 IRP 3.1 Required Practice Information

Practice Statement Develop, keep updated, and use an incident management system for processing and tracking incidents and their resolution.

Value Maximizes reuse of information about past incidents to help resolve future incidents and minimize cost.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information An incident management system includes the storage media, procedures, and tools for accessing the information about incidents. Keep updated and available a collection of historical data covering: •

Addressed incidents

•

Underlying causes of incidents

•

Known approaches to addressing incidents

•

Workarounds to support incident management

Example Activities Example Activities Establish an incident management system.

Further Explanation This can include developing or purchasing an incident management system. Examples of incident management systems include: • Indexed physical files of customer complaints and resolutions • Bug or issue tracking software • Help desk software An incident management system typically allows for the storage, updating, retrieval, and reporting of incident information that is useful to the resolution and prevention of incidents. Ensure that the incident management system allows for the escalation and transfer of incidents among groups.

Maintain the integrity of the incident management system and its contents.

Examples of maintaining the integrity of the incident management system include: • Backing up and restoring incident files • Archiving incident files

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164 Example Activities

Maintain the incident management system.

Further Explanation • Recovering from incident errors • Maintaining security that prevents unauthorized access Maintenance includes removing obsolete information and consolidating redundant information that accumulates over time.

Example Work Products Example Work Products An incident management system with controlled work products

Further Explanation The storage media, procedures, and tools for incident management may be manual or automated. Examples of storage media may include: • Web database • Cloud-based system • Component of the service system

Procedures for accessing and using the incident management system

Related Practice Areas Configuration Management (CM)

IRP 3.2 Required Practice Information

Practice Statement Analyze selected incident and resolution data for prevention of future incidents.

Value Increase customer satisfaction by preventing incident recurrence.

Additional Required Information This practice includes: •

Analyzing incidents and resolving them to continue delivery of the service, e.g., workaround or temporary resolution. The primary focus of this activity is to restore service delivery to normal levels as quickly as possible. This may include developing temporary reusable solutions.

•

Selecting and analyzing incidents using criteria to develop solutions to prevent recurrence. This activity involves identifying incidents and determining their causes, then making changes to prevent them.

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Explanatory Practice Information

Additional Explanatory Information It is essential to establish a repository of all known incidents, their underlying causes, and the courses of action taken to address them. Analyze the underlying causes of selected incidents to help decide the best course of action to address and minimize the effect of similar incidents in the future. Use this repository to quickly identify possible causes of selected incidents and potential courses of action to address them, which may include: •

Addressing an incident as a unique case

•

Increasing monitoring for additional occurrences of the same incident before action is taken

•

Communicating with or training end users

•

Employing a previously established workaround or other known reusable solution for handling similar incidents

•

Doing nothing

If addressing underlying causes is too complex, costly, or results in further interruptions, the workarounds or reusable solutions may be the best course of action. If the initial course of action fails to resolve an incident or is only partially successful, conduct additional follow-up analyses and take actions as needed. Workarounds and other previously established reusable solutions may reduce the effect of incidents significantly. Use known solutions to help reduce the time required to resolve incidents and improve the quality of resolutions, including estimating the amount of time needed to fully address an incident before the start of work. Record this information and make it available for future use.

Example Activities Example Activities

Further Explanation

Categorize the incident.

Use categories defined in the incident resolution and prevention processes. Assign the relevant categories to the incident in the incident management system.

Analyze the business impact of the incident.

This helps determine the priority and severity of each incident. The business impact helps determine which incidents to select for detailed analysis.

Decide which group is best suited to address the incident.

The group best suited to address the incident can depend on several different factors, including: • Type of incident • Locations involved • Severity of the incident The group should be suited to: • Define the reusable solution • Describe the steps involved • Communicate this information Examples of groups that deal with types of incidents include:

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166 Example Activities

Analyze incident data.

Further Explanation • Healthcare team that deals with adverse medical outcomes • Network support group that handles network connectivity incidents • Help desk that deals with password related incidents • Building maintenance group that deals with facility issues • Software engineering group that deals with system defects For major incidents, consider assembling a team involving people who are responsible for performing related tasks to conduct analyses to identify underlying causes of incidents. When identifying underlying causes, consider the impact to other parts of the system and the severity of the relevant incidents.

Decide the actions to address the incident.

Decide the best course of action for dealing with selected incidents in the future. Examples of actions include: • Replacing a broken component • Notifying or reminding customers, end users, or service delivery team members of correct procedures • Releasing an announcement, e.g., press release, media response, bulletin, notice to customers or other affected stakeholders • Conduct a peer review on software code to identify what failed and how to fix it • Perform a causal analysis When analyzing incidents, record the actions taken to address them. When an incident occurs, search a historical collection of addressed incidents and known errors to see if the incident is related to others. Retaining data allows for this kind of analysis to save time.

Resolve the incident using the best course of action.

Manage the actions until the effect of the incident is at an acceptable level, and to address the underlying cause. Managing the actions can include escalating the selected incidents when the selected incidents have a large effect on the organization or customer. Addressing the underlying cause of selected incidents may take considerable time or effort. When addressing the underlying causes of incidents, actions may include changes that: • Reduce or prevent the occurrence of similar incidents • Limit the impact of similar incidents

Record the actions and results in the incident management system.

For individual incidents, record the actions taken in the incident management system, including temporary, reusable solutions. • Include the time it took to resolve the incidents

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167 Example Activities

Verify and validate solutions to ensure that the incident works effectively.

Further Explanation • Include the solutions used to address the underlying cause of the selected incidents and the results to support analyzing similar incidents in the future For temporary reusable solutions, validate a reduction to the impact on service delivery. For solutions that address underlying causes, validate prevention of recurrence.

Communicate solutions to affected stakeholders.

Example Work Products Example Work Products Updated incident management records

Further Explanation May include: Incident category Severity Priority Analysis results, including best course of action Assignment for action Action taken New or updated reusable solutions accessible in the incident management system • Record of results of actions

• • • • • • •

Record of analysis results Reports of underlying causes of incidents Reusable solution description

Include the instructions for using the solution.

Plans for addressing underlying causes of selected incidents Verification and validation results for the chosen courses of action

Related Practice Areas Causal Analysis and Resolution (CAR) Decision Analysis and Resolution (DAR) Verification and Validation (VV)

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Managing Performance and Measurement (MPM)

Required PA Information

Intent Manage performance using measurement and analysis to achieve business objectives.

Value Maximizes business return on investment by focusing management and improvement efforts on cost, schedule, and quality performance.

Additional Required PA Information Managing performance helps to: •

Ensure that benefits and business performance are the leading factors in driving performance and improvement

•

Change the paradigm from “process improvement leads to performance improvement” to “performance is the primary driver of process improvement”

•

Use the results of measurement and analysis to manage and control performance at various work and business levels

Performance and measurement management includes: •

Setting objectives for: o

The business

o

Measurement and performance

o

Quality and process performance

•

Allocating and tracing objectives to subordinate levels in the business and processes

•

Defining measurements to improve the understanding of progress towards achieving the objectives

•

Analyzing measurement and performance data to: o

Understand the relationship and interactions between performance and process

o

Define and take actions to address any observed issues with achieving objectives

o

Make the performance results and related benefits clearly visible to all stakeholders

Measurement and performance objectives are quantitative or qualitative objectives that do not require the additional rigor of statistical and other quantitative techniques. Quality and process performance objectives apply to High Maturity activities using statistical and other quantitative techniques. These objectives include the use of statistical and other quantitative techniques on the related data.

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Explanatory PA Information

Practice Summary Level 1 MPM 1.1

Collect measures and record performance.

MPM 1.2

Identify and address performance issues.

Level 2 MPM 2.1

Derive and record measurement and performance objectives from selected business needs and objectives and keep them updated.

MPM 2.2

Develop, keep updated, and use operational definitions for measures.

MPM 2.3

Obtain specified measurement data according to the operational definitions.

MPM 2.4

Analyze performance and measurement data according to the operational definitions.

MPM 2.5

Store measurement data, measurement specifications, and analysis results according to the operational definitions.

MPM 2.6

Take actions to address identified issues with meeting measurement and performance objectives.

Level 3 MPM 3.1

Develop, keep updated, and use organizational measurement and performance objectives traceable to business objectives.

MPM 3.2

Follow organizational processes and standards to develop and use operational definitions for measures and keep them updated.

MPM 3.3

Develop, keep updated, and follow a data quality process.

MPM 3.4

Develop, keep updated, and use the organization’s measurement repository.

MPM 3.5

Analyze organizational performance using measurement and performance data to determine performance improvement needs.

MPM 3.6

Periodically communicate performance results to the organization.

Level 4 MPM 4.1

Use statistical and other quantitative techniques to develop, keep updated, and communicate quality and process performance objectives that are traceable to business objectives.

MPM 4.2

Select measures and analytic techniques to quantitatively manage performance to achieve quality and process performance objectives.

MPM 4.3

Use statistical and other quantitative techniques to develop and analyze process performance baselines and keep them updated.

MPM 4.4

Use statistical and other quantitative techniques to develop and analyze process performance models and keep them updated.

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MPM 4.5

Use statistical and other quantitative techniques to determine or predict achievement of quality and process performance objectives.

Level 5 MPM 5.1

Use statistical and other quantitative techniques to ensure that business objectives are aligned with business strategy and performance.

MPM 5.2

Analyze performance data using statistical and other quantitative techniques to determine the organization’s ability to satisfy selected business objectives and identify potential areas for performance improvement.

MPM 5.3

Select and implement improvement proposals, based on the statistical and quantitative analysis of the expected effect of proposed improvements on meeting business, quality, and process performance objectives.

Additional PA Explanatory Information The term "process performance" refers to the "working level" where the solutions are being developed or delivered, while the term "business performance" refers to the business or organizational level. "Performance" can refer to either or both levels. For example, collect measurement and performance data at the "work level" and aggregate data to enable organizational performance analysis at the business level.

Related Practice Areas Estimating (EST) Monitor and Control (MC)

Context Specific Agile with Scrum Guidance Context Tag:

Agile with Scrum

Context:

Use processes to adapt agile with Scrum techniques.

Applying MPM practices, an agile project using Scrum will identify: •

Business objectives

•

Measurement and performance objectives

•

Analysis to conduct

•

Actions to take

The project team will typically allocate these items to releases and sprints. Figure MPM-1 shows where measurement and performance play a role in an agile project using Scrum.

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Figure MPM-1: Measurement & Performance Role in Scrum

An agile project using Scrum can obtain benefits from practices in this practice area by: •

Defining and employing clear objectives; this typically goes beyond a single iteration and might include meeting specific deadlines within a financial budget for a given scope. Objectives might include achieving a certain velocity over successive sprints to be able to satisfy the business need.

•

Clarifying and employing operational measurement definitions o

o

Defining how velocity is calculated: 

Is it story points per person, or per team?



Does it include overhead time and significant interruptions?

Defining a set of reference story points within the team as part of the operational measurement definition

•

Defining how measurements are collected, analyzed, and recorded by agile teams

•

Defining to whom the measurement and performance data should be communicated

•

Using measurements to track and improve agile team performance based on defined objectives

A typical agile team using Scrum might have the following measurements, which help assess performance:

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Figure MPM-2: Release Burndown Chart & Sprint (Iteration) Burndown Chart

•

Release Burndown Chart (refer to Figure MPM-2) This chart shows the number of story points remaining over time, tracked within each sprint, and representing all of the work for a release consisting of several sprints. The performance objective of this work is to burn down a target number of story points within a release within a given timeframe using a set of resources. This chart shows: o

the number of story points completed (“Value delivered”)

o

those points forecasted across all planned sprints

o

all of the work for a release

The performance objective of this work is to understand what value has been delivered, and to help forecast what might be delivered in future sprints related to the release. While the Scrum Guide has discontinued the use of the Release Burndown chart, many companies still find value in its use. The measurement tracks the remaining story points, and the performance analysis determines any deviation and the associated reason. For example, overcommitting to story points, or people unexpectedly on sick leave. Actions may be taken, such as postponing user stories to later releases, adding more resources, or removing impediments. •

Sprint (Iteration) Burndown Chart (refer to Figure MPM-2)

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This chart shows the remaining story points that have been forecasted for the sprint, which are updated daily. The performance objective (forecast) is to complete the planned stories within the sprint using a constant set of resources. The measurement gives the remaining points (value) to be delivered, and the performance analysis collected through visual information indicators and daily standups informs the team of any deviation and their reasons, e.g., the code is difficult to modify. Actions may be taken, such as backlog grooming, refactoring, or removing other impediments. In this case, the team determined that the best way to get back on plan was to refactor the code.

Context Specific Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

An acquirer establishes measurement objectives for its activities and work products and for supplier activities and deliverables. Measurement and analysis of solution components provided by suppliers is important to effectively manage the quality and costs of the project. Careful management of supplier agreements can provide insight into data that supports supplier performance analysis. The supplier agreement should include: •

Measures for the supplier to collect and report

•

Data collection processes and timing for the supplier to use

•

Expected analysis of supplier data

•

Required storage of supplier data

Identify additional measures to track and achieve interface or connection interoperability in projects where multiple acquired solutions deliver a capability to the end user or where there are relationships with other projects to acquire joint capabilities. The acquirer specifies measures to: •

Gauge its own progress and output

•

Monitor supplier performance and progress per contractual requirements

•

Gain insight into the status of the evolving solutions acquired

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Level 1 MPM 1.1 Required Practice Information

Practice Statement Collect measures and record performance.

Value Enables performance management to increase likelihood of meeting objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Collect available data to provide the team and management with insight into performance. Identify data that can be used to manage the project. Identifying and using this data leads to effective performance management. If limited data are available, senior management should identify the basic set of information needed to manage the project. The collection of similar performance measurements at the work level can be aggregated upwards to form the basis for performance management within an organization. For success, senior management and other stakeholders should record and communicate current performance needs and business objectives.

Example Activities Example Activities Identify available measures and collection methods.

Further Explanation Collection methods may include: • • • • •

Surveys Observation Direct recording Statements by customers, clients, or other stakeholders Industry comparison

Current business performance data may include: • Customer satisfaction • Sales • Profit and loss Process performance data may include: • Adherence to schedule and budget • Estimates and significant deviations • Quality data, e.g., defects, warnings, customer complaints, returns, incidents Collect and record measures to understand performance.

Determine if collected performance data is relevant and critical to the work and the business.

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175 Example Activities

Further Explanation May include: • Results from measurement and collection • Discussion and interpretation of results • Usage of results Record data from: • Business performance • Current and planned process performance • Performance improvements Performance data may: • Include single or smaller efforts addressing performance and performance improvement • Originate from plans that have been developed at any level, e.g., performance initiative, process initiative, team, organization, product characteristics

Record performance and communicate results.

Results may be stored in available tools and reported periodically or on an event-driven basis.

Example Work Products Example Work Products Measures

Further Explanation May include: • • • • •

Performance analysis results

Product measures Process measures Quality measures Customer measures Employee measures

May include: • • • •

Business performance Customer satisfaction Employee satisfaction Quality expectations

Context Specific Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

Acquiring organizations need to identify the data needed to provide insight into supplier activities and performance. The supplier agreement must include any data expected from suppliers.

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MPM 1.2 Required Practice Information

Practice Statement Identify and address performance issues.

Value Improves the ability to achieve objectives and increases customer satisfaction.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Identify issues by comparing performance with available performance data such as: •

Industry data

•

Customer requirements

•

Previous performance

•

Planned performance

•

Objectives

Record performance issues, their causes, and possible solutions. Proposed suggestions can be used to spread successful performance improvements to other projects.

Example Activities Example Activities

Further Explanation

Collect measurements and derive performance data. Review performance. Identify issues associated with performance. Understand the causes for performance issues. Make suggestions to improve performance. Address performance issues based on suggestions.

Example Work Products Example Work Products List of performance issues

Further Explanation May include: • • • •

List of suggestions

Issues characteristics Reasons for issues Resolution options Actions taken for resolution

May include: • Description • Suggestions selected for implementation

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Level 2 MPM 2.1 Required Practice Information

Practice Statement Derive and record measurement and performance objectives from selected business needs and objectives and keep them updated.

Value Aligns measurement and performance activities to increase the likelihood of achieving business results.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Measurement and performance objectives, along with the related data, provide stakeholders with the information needed to understand performance against business objectives. This supports realistic planning and helps avoid duplicative and ineffective performance improvement activities. This practice addresses measurement objectives at the project level. Projects may determine that they need to establish a project measurement repository to support these activities. Measurement objectives provide a common basis for employees and senior managers to measure progress and improve or remove ineffective practices. Objectives and measures help to: •

Provide insight into actual size and effort completed compared to the plan

•

Provide insight into schedule fluctuations and progress

•

Provide insight into actual costs compared to plan

•

Identify unplanned work or scope creep

•

Determine the cost and schedule impact of rework

•

Evaluate the effectiveness of defect detection throughout the solution lifecycle

•

Evaluate supplier performance

Analysis of performance information can indicate where modifications to the identified information needs and objectives are required. Determine whether the value of the result is aligned with the resources dedicated to doing the work. Sources of information needs and objectives include: •

Customer and stakeholder expectations

•

Established management objectives

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•

Strategic plans

•

Business plans

•

Formal requirements or contractual obligations

•

Work plans

•

Work performance monitoring

•

Process improvement plans

•

Interviews with senior managers and others who have information needs

•

Recurring or persistent issues

•

Supplier agreements and contractual requirements

•

Experiences of other workgroups or organizational entities

•

External industry benchmarks

Example Activities Example Activities

Further Explanation

Identify current or planned performance improvements.

Collect information about performance improvements, e.g., intention, objectives, actions, timeframe.

Record and prioritize business needs and objectives.

Set priorities within the limits of available resources.

Review and keep updated measurement and performance objectives.

• In the review, include the purpose, value, and intended uses of objectives • Record, keep updated, and have stakeholders review measurement and performance objectives • Involve users and providers of measurement, performance, and analysis results in setting measurement objectives and deciding on plans of action

Review business needs and objectives against measurement and performance objectives, as needed, with affected stakeholders.

Identified business needs and objectives can be refined and clarified as a result of setting measurement and performance objectives. Reviewing business needs and objectives against measurement and performance objectives is an iterative process. It is possible that: • Measurement and performance objectives are not aligned with business needs and objectives • Initial descriptions of business needs are ambiguous

Example Work Products Example Work Products Measurement and performance objectives

Further Explanation Examples of objectives include to: • Meet commitments for: o Budget o Schedule o Quality • Increase: o Customer satisfaction

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Further Explanation o Employee satisfaction o Innovation and creativity • Reduce: o Customer complaints o Errors and rework o Environmental impact

Context Specific Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

For objectives defined in supplier agreements, the acquirer defines measures that provide insight into the performance of suppliers, including the quality of their deliverables. Measurement objectives focus on acquirer performance, supplier performance, and understanding the effects on customer, operational, and financial performance. Supplier measurement objectives help to define and track service level requirements recorded in the supplier agreement. Derive measurement objectives needed to: •

Maintain alignment to project objectives and provide results that keep a project on track to its successful conclusion

•

Support the organization’s ability to develop an infrastructure that reinforces and grows acquirer capabilities, including those related to processes, people, and technologies

•

Support the ability to monitor and manage financial results and customer expectations

Review appropriate measurement objectives with potential suppliers throughout the solicitation, obtaining their feedback and commitment. Example supplier deliverables include: •

Quality performance data

•

Performance against agreed to service levels

•

Cost and effort data

Include required supplier deliverables in the supplier agreement.

MPM 2.2 Required Practice Information

Practice Statement Develop, keep updated, and use operational definitions for measures. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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Value Operational definitions increase the consistency of measures and the likelihood that business needs and objectives are met efficiently and effectively.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Operational definitions of measures enable consistent collection, analysis, use, and understanding of measurements, performance, and results. Use of operational definitions increase the: •

Data quality

•

Understanding and use of measurements

•

Usefulness of historical information

•

Ability to make informed management decisions

State operational definitions in clear and unambiguous terms. Operational definitions help to establish a consistent understanding of measurements and their use. Operational definitions address two important criteria: •

Communication: What has been measured, how was it measured, what are the units of measure, and what has been included or excluded?

•

Repeatability: Can the measurement be repeated, given the same definition, and get the same results?

Define collection and storage methods to help ensure that the right data are collected consistently and stored in the right place. Storage and retrieval procedures help to ensure that data are available and accessible by the right people for future use. Specify the analysis procedures to: •

Ensure that the necessary data will be collected

•

Ensure the quality of data

•

Help minimize subjective interpretation

•

Lower the risk of reaching incorrect conclusions due to inappropriate analysis techniques or lack of understanding

Refine measurement and performance objectives into precise, quantifiable measures. Ensure that traceability between the measurement and performance objectives and the related measures is clear, available, bidirectional, and kept updated. Measures can be either base or derived. Obtain data for base measures by direct measurement. Data for derived measures typically come from combining two or more base measures. Derived measures are often expressed as ratios, composite indices, or other aggregate summary measures.

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Table MPM-1: Base and Derived Measurement Examples Measurement Type Base measures

Examples Commonly used base measures include: • Measures of size, e.g., number or count of items or activities, pages, number of requirements • Measures of effort and cost, e.g., number of person hours, headcount • Quality measures, e.g., number of defects by severity, rework amount before and after delivery • Information security measures, e.g., number of system vulnerabilities identified • Customer satisfaction survey scores

Derived measures

Examples of commonly used derived measures include: • • • • • • • • • •

Earned value Productivity Rework percentage Peer review coverage Test or verification coverage Reliability, e.g., mean time to failure or error Maintainability, e.g., system or service down time Quality, e.g., number of defects by severity/total number of defects Information security, e.g., percentage of system vulnerabilities mitigated Customer satisfaction trends

There are direct relationships among information needs, measurement and performance objectives, types, or categories of measurement, base measures, and derived measures. This direct relationship is depicted using some common examples in Table MPM-2.

Table MPM-2: Example Measurement Relationships Information Type or Category

Information Need

Shorten time to delivery.

What is the estimated delivery time?

Provide insight into schedule fluctuations and progress.

Schedule and progress

How accurate are the size and cost estimates?

Provide insight into actual size and costs compared to plan.

Size and effort

Estimated and actual effort and size

Productivity

Effort and cost

Estimated and actual cost

Cost performance

Be first to market the solution. Increase market share by reducing costs of solutions.

Purpose

Example Base Measures

Example Derived Measures

Example Objective

Estimated and actual start and end dates by task

Schedule Performance Schedule estimation accuracy

Cost variance

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Example Objective

Information Need

Purpose

Information Type or Category

Example Base Measures Requirements count

Deliver specified functionality.

Has scope or work size grown?

Provide insight into actual size compared to plan, identify unplanned growth.

Size and stability

Reduce defects in solutions delivered to the customer by 10% without affecting cost.

Where are defects being inserted and detected prior to delivery?

Evaluate the effectiveness of defect detection throughout the solution lifecycle.

Quality

What is the cost of rework?

Determine the cost of correcting defects.

Cost

Example Derived Measures Requirements volatility Size estimation accuracy

Number of defects inserted and detected

Defect containment

Solution size

density

Number of defects inserted and detected by lifecycle phase

Defect

Rework costs

Effort hours to correct defects Labor rates Reduce information system vulnerabilities.

What is the magnitude of open system vulnerabilities?

Evaluate the effectiveness of mitigating system vulnerabilities.

Information assurance

Number of system vulnerabilities identified, and number of system vulnerabilities mitigated

Percentage of system vulnerabilities mitigated

Increase innovation in solutions.

How innovative are the solutions?

Determine the level of innovation of past, current, and future solutions.

Organizational creativity

Number of new ways to do things. Innovation can include:

Innovation trends, percentage of adjacent, disruptive, breakthrough and new market innovations, processes that address innovations, incentives for innovation

Sustaining or Adjacent Disruptive New Market Breakthrough

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Example Activities Example Activities

Further Explanation

Identify existing measures that address measurement objectives and are available or collected from current work products, processes, or transactions.

Specifications for measures, sources, and collection mechanisms may already exist.

Select measures that provide insight into the organization’s quality and performance.

Select measures for the selected product and process attributes. Examples of systematic approaches to select measures include: • Goal Question Metric (GQM) • PSM (Practical Software and Systems Measurements) • AIM (Accelerated Improvement Method) Examples of criteria used to select measures include: • • • •

Relationship of measures to the organization’s objectives Coverage that measures provide over the life of the solution Visibility that measures provide into performance Frequency at which observations of the measure can be collected

Establish operational definitions for the selected measures.

May include:

Specify how to collect and store data for each required measure.

Develop data collection mechanisms and process guidance. Data collection mechanisms can include:

Select data analysis methods and tools.

Issues to be considered typically include:

• • • •

Collection steps and rules Functions or algorithms used to produce derived measures Analysis procedures Decision criteria - Numerical thresholds, targets, or limits used to determine need for action, e.g., 20% variance from plan requires re-planning

• Manual or automated methods • Forms, templates, and tools • Mechanisms for ensuring data quality • Choice of analysis techniques • Choice of visual display and other presentation techniques, e.g., pie charts, bar charts, histograms, radar charts, line graphs, scatter plots, tables • Decisions about how to handle analysis in the presence of missing data elements • Selection of appropriate analysis tools During data analysis, consider: • Interrelationships among specified measures • Changes over time

Review operational definitions with affected stakeholders and keep them updated.

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Example Work Products Example Work Products Operational definitions of measures

Further Explanation Typically includes: • • • • • • • • • • • • • • • • • • • • • • •

Name Description, context, and purpose Reason for the measure, e.g., performance, legal, management Visual display of measure (indicator) Data elements for derived measures Definition for each element Data collection How data are collected When data are collected Who will collect data Forms and templates for collection Tools for data collection Validation and quality Data reporting Responsibilities To whom data are reported Frequency of report Algorithm or calculation for derived measures Any assumptions Interpretation for the measure Analytic techniques Traceability to objectives and source Cross reference to any other measures

Analysis methods and tools Data collection mechanisms

Context Specific Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

When selecting measures for managing service capacity and availability, consider supported activities, reporting requirements, information use. Commitments and agreements should include the selected measures and analytic techniques. Analysis should include describing the relationship between identified measures and requirements and deriving objectives that state specific target measures or ranges to meet for each measured attribute. Capacity and availability measures should be traced to requirements. Tools needed to support the collection and analysis of capacity and availability data should be identified, used, and kept updated. Examples of availability measures include: •

Percentage available within agreed hours (this availability can be overall availability or component availability)

•

Percentage unavailable within agreed hours (this unavailability can be overall unavailability or component unavailability)

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•

Duration of downtime due to failure, typically minutes, hours, or hours per week

•

Failure frequency

•

Degree of effect, e.g., number of affected users, number of minutes that users lost productivity, number of transactions or vital business functions not processed or carried out, number of applications impeded

•

Response time of the system to incidents, transaction response times, and response times (as a capacity measure or availability measure)

•

Reliability, e.g., number of breaks, mean time between failures, mean time between incidents

Examples of capacity and availability measures include: •

Use of limited resources

•

Use of components

•

Unused limited resources

•

Unused components

•

Throughput, e.g., number of concurrent users, number of transactions to process

•

Queue length (maximum and average)

•

Number of a type of resource or one or more specific resources in use a selected number of times (this use can be monitored by calendar time)

Table MPM-3 depicts some common examples of measurement relationships in the context of services.

Table MPM-3: Example Measurement Relationships Information Type or Category

Example Objective

Information Need

Provide agreed service continuity.

Can the service provider recover services from disasters or major disruptions within agreed timeframes?

Provide insight into whether the service provider will implement service continuity plans successfully to provide agreed service continuity.

Service continuity

• Number of services with recovery test failures • Total number of services in the service catalog

Provide appropriate capacity to meet business needs.

Are there enough resources (or too many) to

Provide insight into resource utilization, idle resources, and inadequate

Capacity

• Total number of service requests • Available service provider

Purpose

Example Base Measures

Example Derived Measures • Service continuity confidence rate

• Average service time • Service provider resource utilization

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Example Objective

Provide effective services.

Provide appropriate, agreed service availability.

Information Type or Category

Information Need

Purpose

meet demand for services?

capacity to meet demand.

How effective is the service?

Provide insight into percentage of reworked service requests.

Service performance

Is the service provider providing appropriate, agreed service availability?

Provide insight into the availability of the service.

Availability

Is the service reliable as agreed?

Provide insight into the reliability of the service.

Availability

Example Base Measures

• •

• • •

personnel hours Service time Number of service requests reworked Total number of service requests Agreed service time Downtime

• Available time (in hours) • Total downtime (in hours) • Number of breaks in service (interruptions to normal service)

Example Derived Measures

• Service rework rate

• Availability

• Reliability as mean time between failures (MTBF)

Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

The acquirer uses defined supplier measures and measures of acquirer progress and output to manage the project. Define measures needed to manage the acquirer’s performance objectives, some of which need to be provided by suppliers. Incorporate the measures that suppliers collect and report in the supplier agreement and service level agreements. Define acceptance criteria to enable the intended use of supplier measures, such as potential aggregation and analysis. These criteria should include criteria associated with the collection and transfer mechanisms and procedures that the supplier performs. Consider all supplier measure characteristics that can affect their use, such as differences in financial calendars used by different suppliers.

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The supplier may provide measures as detailed measurement data or measurement reports. Align measures that come from suppliers with the acquirer’s acceptance criteria for supplier measures. Record acceptance criteria in measurement specifications or checklists.

MPM 2.3 Required Practice Information

Practice Statement Obtain specified measurement data according to the operational definitions.

Value Quality data improves decisions and increases the likelihood of successfully completing projects.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Measurement results can help to: •

Monitor progress and performance

•

Monitor response times

•

Fulfill recorded obligations

•

Make informed management and technical decisions

•

Determine when corrective actions need to be taken

•

Build historical data for use in future analysis

Example Activities Example Activities

Further Explanation

Collect data for currently specified base measures. Calculate derived measures. Check data integrity as close to the source of data as possible.

Data integrity covers three aspects: • Accuracy and precision • Coverage • Completeness Checklists are useful for verifying data integrity.

Example Work Products Example Work Products

Further Explanation

Base and derived measurement data Results of data integrity checks 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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Context Specific Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

Obtain derived measures from the supplier as defined in the supplier agreement. The acquirer should ensure the supplier agreement specifies supplier data requirements for frequency, accuracy, and consistency. Follow up with suppliers if data is not available or data integrity checks indicate potential data errors. Use acceptance criteria to verify: •

The results of data integrity tests conducted by the supplier

•

The integrity of the supplier data

Example supplier deliverables include: •

Base and derived supplier measurement data sets

•

Results of data integrity tests of supplier measurement data

•

Supplier data collection frequency

•

Regulatory and statutory compliance data

MPM 2.4 Required Practice Information

Practice Statement Analyze performance and measurement data according to the operational definitions.

Value Analysis provides insight into performance and actions needed to meet objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Compare measured performance to measurement and performance objectives to help determine the organization’s ability to meet objectives. Identify potential areas of improvement by analyzing performance shortfalls. Use this information to develop, evaluate, and prioritize proposed improvements, and identify additional areas for analysis.

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This practice also lays the groundwork for understanding performance with a wide range of stakeholders. It is important to make performance visible within and beyond the project. This communication includes the benefits obtained from performance improvements and may also be a trigger for further performance improvements.

Example Activities Example Activities Perform analyses, interpret results as planned, and draw conclusions.

Further Explanation Typically, the analyses are specified in the operational definition. Results of planned analyses can identify the need to: • Complete additional, unanticipated analyses • Reevaluate capacity, availability, reliability, and maintainability trends; it may be advisable to perform a failure trend analysis • Refine existing measures • Calculate additional derived measures • Collect data for additional base measures to properly complete the planned analysis

Record analysis results and any significant deviations. Review results with affected stakeholders.

Reviewing the results with stakeholders can prevent misunderstandings and lead to improvements in the data analysis and reporting. Ensure that results are: • Understandable • Easily interpretable • Clearly tied to identified information needs and objectives The analysis may not be clear to those who are not measurement experts. Communication may include: • How to interpret results based on the evaluation methods used • How results address information needs • How results may affect the project Examples of actions taken to help others to understand results include: • Providing training on the use and understanding of measurement results • Discussing the results with stakeholders • Modifying the approach for communication • Providing background and explanation

Refine measurements and analysis techniques in the operational definitions.

Performing data analyses and preparing results can lead to improved future efforts based on lessons learned. These lessons learned can lead to: • Improved measurement specifications • Improved data collection procedures • Ideas for refining information needs and objectives

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Example Work Products Example Work Products Performance data analysis results

Further Explanation May include: • • • • •

Alignment to objectives Results and conclusions Identified performance shortcomings Improvement candidates Recommended actions

Updated operational definitions

Related Practice Areas Process Management (PCM)

Context Specific Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

The supplier agreement should specify supplier requirements for analyzing measurement data, including the definition and examples of measures the supplier must provide to the acquirer. Example measurement analysis activities acquirers can perform with suppliers include: •

Discussing results and preliminary conclusions with suppliers

•

Coordinating additional analyses with suppliers

•

Reviewing initial results related to supplier progress or output with suppliers and determining if revisions are appropriate based on their response

•

Updating data acceptance criteria for supplier measures

•

Reviewing service level performance

Consider validating data collected from a supplier through periodic audits of the supplier for acquirer required measures. This may be defined in the supplier agreement. Review specified analyses and reports with suppliers and identify their commitment to support the analysis. Review recommendations they may provide related to the analysis of measurement data.

MPM 2.5 Required Practice Information

Practice Statement Store measurement data, measurement specifications, and analysis results according to the operational definitions.

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Value Storing measurement data enables analysis of performance which enables repeating successes.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Storing measurement data and information: •

Enables multiple options for analysis now and in the future

•

Enables its timely and cost-effective use as historical data and results

•

Makes historical data and results readily available to stakeholders

Provide sufficient context for interpretation or application of: •

Measurement data

•

Analysis techniques

•

Analysis results

Stored information contains or refers to other information needed to understand and interpret the measures and to assess them for reasonableness and applicability, e.g., measurement specifications used on different projects when comparing across projects. Projects can choose to store specific data and results in a project-specific repository. When data are shared across projects, the data can reside in the organization’s measurement repository.

Example Activities Example Activities

Further Explanation

Review data to ensure their quality. Store data according to data storage procedures. Make stored data available for use. Prevent stored information from being used inappropriately.

Control access to data and educate people on the appropriate use of data. Examples of inappropriate data use include: • Disclosure of information provided in confidence • Faulty interpretations based on incomplete, out-ofcontext, or otherwise misleading information • Measures used to improperly evaluate the performance of people • Questioning the integrity of individuals Observe legal and regulatory requirements as to who can store which information and who can access them.

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Example Work Products Example Work Products Stored data

Further Explanation May include: • • • • •

Context for data Sets of data that were collected Analysis reports and presentations Retention period for stored data Data security

Context Specific Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

The acquirer protects measurement data provided by the supplier according to the supplier agreement. The supplier agreement might specify that the acquirer must restrict access to a supplier’s measurement data. Information stored includes data acceptance criteria for supplier data. The supplier agreement specifies: •

Measurement data the supplier must provide to the acquirer

•

The format the supplier should use for providing data to the acquirer

•

How the supplier will collect and store measurement data, e.g., retention period of data

•

How and how often the supplier will transfer data to the acquirer

•

Who has access to data

•

Regulatory requirements

•

Provisions for handling proprietary data

Develop mechanisms to transfer measurement data and process guidance from the supplier to the acquirer. The acquirer can integrate data collection from a supplier with periodic monitoring and review of supplier activities. In the supplier agreement, the acquirer should specify the applicable standard report formats and tools the supplier will use for reporting. Review data collection and storage procedures with suppliers throughout the life of the agreement. Update data collection and storage procedures, as needed, and obtain supplier commitment to collect and store measurement data and reference procedures in the supplier agreement.

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MPM 2.6 Required Practice Information

Practice Statement Take actions to address identified issues with meeting measurement and performance objectives.

Value Understanding performance status helps to meet objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Obtain performance information and data at the appropriate level, e.g., business, projects, process. Use analysis results to ensure sustainment and improvement. If the observed performance deviates from expected results, take appropriate actions to correct the deviation. Potential actions to correct significant deviations include: •

Performing causal analysis activities to identify and correct the cause of the deviation

•

Re-planning

•

Initiating improvement activities

•

Renegotiating objectives

Example Activities Example Activities

Further Explanation

Record and implement corrective actions and manage to closure. Record and submit proposed improvements and communicate results.

Example Work Products Example Work Products

Further Explanation

Revised objectives, plans, and commitments Records of performance evaluations

May include: • Comparison of planned vs. actual performance • Proposed improvements

Records of significant deviations

May include: • Past actions and improvements • Side effects of actions and improvements

Proposed improvements

Include: • Source of the proposed improvements

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194 Example Work Products

Further Explanation • What is improved by each proposed improvement

Related Practice Areas Causal Analysis and Resolution (CAR) Monitor and Control (MC) Process Management (PCM)

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195

Level 3 MPM 3.1 Required Practice Information

Practice Statement Develop, keep updated, and use organizational measurement and performance objectives traceable to business objectives.

Value Linking measurement and performance objectives to business objectives optimizes resource usage to achieve and increase business success.

Additional Required Information Develop, review, and analyze business objectives. Derive business objectives based on organizational structure, e.g., divisions, sectors, departments, services, projects, teams. The scale and variation of the allocation of objectives across sub-levels can depend on the business strategy and tactics, customer base, size, complexity, and solution lifecycle. Once completed at the organizational level, allocate organizational measurement and performance objectives to the project level.

Explanatory Practice Information

Additional Explanatory Information In order to formulate organizational measurement and performance objectives, affected stakeholders should understand the: •

Organization’s business model

•

Business context

•

Business objectives

•

Related critical factors necessary to ensure the future success of the organization

These factors help to align measurement and performance needs and objectives at both the organizational and project levels. Allocate organizational measurement and performance objectives to appropriate subordinate units down to the project level. Review these allocated objectives, for meaning and usefulness within their context, with the affected stakeholders. Ensure that the measures and performance data used contribute to understanding performance at both the project and organizational level. Elevate project measurement and performance objectives as appropriate, to the organizational level for deployment to other projects. Iterate this process between the organization and projects.

Example Activities Example Activities Develop, review, and analyze the business objectives that drive measurement and performance objectives.

Further Explanation Analysis may include: • Business objectives • Current performance data and baselines • Current distribution of objectives to sub-units

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196 Example Activities • • • •

Further Explanation Business and organizational models Critical success factors Customer data Competitor data

Develop, record, and use organizational measurement and performance objectives and keep them updated. Analyze the performance of projects within the organization.

Analyze this information periodically or on an event-driven basis to meet the organization’s needs and to determine how it contributes to organizational performance and meeting the objectives.

Work with affected stakeholders to allocate organizational measurement and performance objectives to projects. Trace new and revised measurement and performance objectives to business objectives. Review and update the allocations of measurement and performance objectives and communicate with affected stakeholders.

Example Work Products Example Work Products

Further Explanation

Business objectives Measurement objectives

Measurement objectives may address more than just performance, such as: • Measurement calibration data (accuracy, precision) • Measurements for regulatory purposes or customer demands • Deployment, progress, and implementation status

Performance objectives Allocated measurement and performance objectives

Include: • Allocation of organization objectives to projects • Rationale and context for the allocation

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197

MPM 3.2 Required Practice Information

Practice Statement Follow organizational processes and standards to develop and use operational definitions for measures and keep them updated.

Value Enables consistent collection, understanding, and use of organizational measurement and performance data to improve performance and increase likelihood of success.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Organizational processes and standards levy requirements for operational definitions that are to be implemented and used throughout the organization. This promotes consistent: •

Definition

•

Collection and storage

•

Aggregation o

Across projects

o

Up to the organization or business level

•

Analysis and understanding

•

Reporting and recording

Example Activities Example Activities

Further Explanation

Record, communicate, and use organizational standard operational definitions for selected measures and keep them updated. Revise the set of operational definitions of measures as needed.

Periodically evaluate measures for their continued usefulness.

Example Work Products Example Work Products

Further Explanation

Operational definitions following organizational standards

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198

MPM 3.3 Required Practice Information

Practice Statement Develop, keep updated, and follow a data quality process.

Value Ensures that use of the measurement and performance data results in better decision making.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Data quality focuses on integrity in areas such as the completeness and correctness of performance and measurement information. Data quality ensures: •

Measures adhere to their operational definitions

•

Data integrity of the measurement repository enables: o

Efficient and effective operations, decision making, and planning

o

Decision error reduction

o

Performance improvement

Develop a process to analyze and improve data quality by: •

Minimizing measurement system errors

•

Introducing controls to ensure that data inputs are valid

•

Ensuring that metrics and measurements support effective decision making

•

Understanding the accuracy, completeness, and coverage of the data

•

Providing adequate training

Example Activities Example Activities

Further Explanation

Develop criteria for data quality, accuracy, precision, and validity. Objectively evaluate the measurement repository and data to determine if the data quality criteria are met.

Determine and plan the frequency of evaluations.

Identify and communicate data quality issues and track to closure. Identify and communicate data improvement proposals.

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Example Work Products Example Work Products

Further Explanation

Data quality criteria Measurement repository data quality report Data quality issues Improvement proposals

MPM 3.4 Required Practice Information

Practice Statement Develop, keep updated, and use the organization’s measurement repository.

Value Timely access to measurement and performance data supports informed decisions leading to more successful projects.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Develop a repository to store and retrieve measurement data that can be used to: •

Understand and improve performance

•

Support the evolution of a more efficient and effective data set for use throughout the business

•

Improve and sustain processes

•

Support planning

•

Support analysis

The measurement repository: •

Contains project, process, and performance measures that are related to the organization’s set of standard processes.

•

Contains or refers to the information needed to understand, interpret, and assess measures and performance for reasonableness and applicability.

•

Contains up-to-date and correct information. Maintaining the repository is important since objectives and related measures and performance change over time.

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Example Activities Example Activities

Further Explanation

Determine the organization’s needs for storing, retrieving, and analyzing measurements.

This results in understanding and recording the requirements for the measurement repository.

Design and implement the measurement repository.

Functions of the measurement repository include: • Supporting effective comparison and interpretation of measurement and performance data • Providing sufficient context to quickly identify and access data in the repository • Improving the estimation, measurement, and performance accuracy and precision through use of historical data • Supporting the understanding of performance

Populate the contents and communicate the availability and benefits of the measurement repository. Revise the measurement repository as needs change.

For example, revise when: Measurement and performance objectives change New processes are added Processes are revised and new measures are needed Data with finer granularity is required Greater visibility into the process and performance is required • Measures are no longer used • • • • •

Example Work Products Example Work Products Measurement repository design

Further Explanation The system design should address: • • • • • • • • • • •

Repository structure Required content Related systems or subsystems Collection Support environment Retrieval mechanisms Security Retention Maintenance Data validation Standard reporting

Organization’s measurement repository Organization’s measurement data

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MPM 3.5 Required Practice Information

Practice Statement Analyze organizational performance using measurement and performance data to determine performance improvement needs.

Value Analyzing and improving performance contributes to business success.

Additional Required Information Identify, record, and use aggregation rules for measurement and performance data and keep them updated.

Explanatory Practice Information

Additional Explanatory Information Identify potential areas for improvement through analysis at the organizational level. Determine areas that could address process performance shortfalls. Use analysis to evaluate and prioritize potential improvements. Identify processes and technologies that will have the largest effect on achieving those improvements. Ensure that each performance improvement is traceable to processes and business objectives. Compare data before and after performance improvements are implemented to ensure the improvements were effective. Aggregate data from various projects to the organizational level and then compare the results with business objectives. Communicate the results, achieved benefits, and the satisfaction of objectives to stakeholders.

Example Activities Example Activities

Further Explanation

Aggregate performance data to the business level. Analyze measurement and performance objectives against current performance to evaluate the organization’s ability to satisfy business objectives.

Should include:

Identify shortfalls and potential improvement areas where actual performance is not meeting business objectives.

Performance shortfalls may include not meeting objectives for:

• Which processes are involved in and contribute to a selected performance improvement • An estimate of the contribution of the respective processes • Traced contribution of performance improvements to related objectives • Any barriers that may hinder meeting objectives or successful deployment of improvements

• Productivity • Cycle time • Customer satisfaction Examples of areas to consider for improvement include: • Product technology

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202 Example Activities • • • • •

Further Explanation Process technology Personnel development Team and organizational structures Infrastructure Supplier selection and management

Record performance improvement needs.

Use this information and evaluation results when developing or updating proposed improvements for performance.

Analyze and record anticipated cost and benefits associated with addressing performance improvement needs.

Should include: • Resources including schedule, effort, people, processes, tools, etc. • Barriers that may hinder successful deployment • Detailed organizational changes needed to implement each improvement • Verification and validation activities

Communicate results to affected stakeholders. Submit performance improvement suggestions.

Example Work Products Example Work Products Aggregated performance results

Further Explanation Elicit performance and improvement results from the project level. Sources may include the: • • • •

Organization’s measurement performance objectives Results of process and work benchmarking efforts Measured effectiveness of work environments Analysis of work and organizational performance compared to quality and productivity objectives, including: o Aggregation to the business level o Effect on satisfying business objectives o Effect on meeting measurement and performance objectives

Performance analysis results

Should include: • Identified processes or technologies that critically contribute to performance improvements • Rationale for why identified processes or technologies are critical • Identified shortfalls, e.g., risks, issues, or achievements, towards meeting measurement and performance objectives at the project and organizational level

Performance improvement needs

Includes traceability of improvements to processes and business objectives.

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Related Practice Areas Process Management (PCM)

Context Specific Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

When determining performance needs for services, develop, keep updated, and use models, thresholds, and targets for supporting capacity and availability management to keep the work effort on track to meet objectives. Capacity and availability management may include developing service system representations used for delivering the solution and using these representations for: •

Supporting negotiation of appropriate agreements

•

Planning

•

Making decisions

•

Considering corrective actions

•

Providing and allocating resources to meet current and future requirements

These representations provide insight into the behavior of a service system given specific work volumes and varieties. These representations can be built using diagrams; spreadsheets; commercial off-the-shelf (COTS) tools, e.g., simulation packages; prototypes; or tools developed in house. For some service delivery systems, the representations are historical baselines; trend analyses; analytical models; analysis of waiting times in queues; simulation models; statistical models, e.g., regression models, time series models; causal models, e.g., probabilistic networks; or application sizing.

Example Activities Example Activities

Further Explanation

Collect measurements on resource use for the current agreements. Develop, use, and keep updated descriptions of the normal use of resources and service system performance.

Examples include:

Develop, use, and keep updated service system representations from collected measurements and analyses.

Consider:

• General systems flow charts to identify the service system and its processes • Record of the system’s current capacity and availability, which can require determining the capacity and availability of service system components • Estimating the capacity and availability of the service system at peak work volumes as appropriate • Defining thresholds, typically below the level at which an exception condition or breach of requirement occurs to allow time for corrective action, and associated with demand, workload, use of resources, and performance to

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204 Example Activities

Further Explanation define exception conditions in the service system and breaches or near breaches of requirements • Developing capacity and availability models and keeping them updated, such as: o o o o o o o o o

Demand data Capacity and availability data Availability data Performance data Representations of resource use Representations of resource needs Data on the use of resources Capacity and availability targets Thresholds that define exception conditions and breaches

Review and obtain agreement with relevant stakeholders about descriptions of the normal resource use, performance, and representations.

MPM 3.6 Required Practice Information

Practice Statement Periodically communicate performance results to the organization.

Value Enhances coordination and understanding of performance and improvement value to reduce waste and increase the likelihood of achieving objectives.

Additional Required Information Performance results include impact, benefits, and analysis of performance against objectives.

Explanatory Practice Information

Additional Explanatory Information This practice focuses on communicating composite measurement and performance results. Widespread communication leads to greater understanding across the organization of the benefits of performance improvement. This understanding is key to developing a sustainable improvement culture with a positive attitude towards measurement and performance management and process improvement.

Example Activities Example Activities

Further Explanation

Develop and record performance improvement reports. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

205 Example Activities

Further Explanation

Communicate performance improvement results to affected stakeholders.

Example Work Products Example Work Product Performance improvement and analysis reports

Further Explanation May include: • • • • • • •

Contextual information or guidance to help interpret analysis results Discussion and interpretation of results Usage of results Performance improvement results from projects Effect on satisfying measurement and performance objectives Aggregation to the business level Effect on satisfying business objectives

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Level 4 MPM 4.1 Required Practice Information

Practice Statement Use statistical and other quantitative techniques to develop, keep updated, and communicate quality and process performance objectives that are traceable to business objectives.

Value Establishing realistic quality and process performance objectives enables making better decisions, which increases the likelihood of meeting business objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Use statistical techniques to determine quality and process performance objectives for the work. Quality and process performance objectives can be used at the project, organizational level, or any level. Carefully select performance data for statistical analysis as it can be expensive. Analyze information periodically and on an event-driven basis. Trace quality and process performance objectives to business objectives. Negotiate the quality and process performance objectives for the work with enough detail to allow for evaluating the objectives and risks. The objectives may be expressed as either a distribution or discrete number. Update them: •

As the project’s understanding of actual performance and variation becomes known and more predictable

•

To reflect the changing needs and priorities of the business

•

When higher level objectives are changed

Quality and process performance objectives may address: •

Planned objectives to be achieved as a result of improvements

•

Current objectives to be sustained

Example Activities Example Activities Define, record, keep updated, and communicate Quality and Process Performance Objectives (QPPO).

Further Explanation This involves: • Incorporating appropriate business and organizational objectives • Recording objectives that reflect the quality and process performance needs and priorities of affected stakeholders • Determining how each objective will be achieved One common technique for recording these objectives is the SMART approach:

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207 Example Activities • • • • •

Specific Measurable Achievable Relevant Time-bound

Further Explanation

Ensure traceability between the performance and business objectives. Techniques that aid in defining QPPOs may include: • • • • • • • Derive interim objectives to monitor progress toward achieving the stated objectives.

Use of control charts Analysis of variation Regression analysis Use of confidence or prediction intervals Sensitivity analysis Simulations Hypothesis tests

Establish interim objectives for characteristics of selected phases, milestones, work products, and processes.

Determine and record the risk of not achieving quality and process performance objectives. Resolve conflicts among the quality and process performance objectives, e.g., if one objective cannot be achieved without compromising another.

To resolve conflicts: • Set relative priorities for objectives • Consider alternative objectives in light of long-term business strategies as well as short-term needs • Involve and negotiate with affected stakeholders in tradeoff decisions Additionally, process performance baselines and models can help identify suboptimized processes or subprocesses that may conflict with other quality and process performance objectives. Revise objectives, as necessary, to reflect results of conflict resolution.

Example Work Products Example Work Products Quality and process performance objectives

Further Explanation Examples of project quality and process performance objectives include: • Maintain change request volume below a target value • Reduce idle time by x% by a target date • Maintain schedule slippage below a specified percentage Examples of measurable quality characteristics include: • • • •

Performance Defects or issues Critical resource utilization Severity of customer complaints

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208 Example Work Products

Further Explanation Examples of measurable process performance characteristics include: • Cycle time • Percentage of rework time • Defect escape rates

Risks of not achieving the quality and process performance objectives

Related Practice Areas Risk and Opportunity Management (RSK)

MPM 4.2 Required Practice Information

Practice Statement Select measures and analytic techniques to quantitatively manage performance to achieve quality and process performance objectives.

Value Focuses measurement and management activities on the data that provide the most insight into achieving the objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Measurement and analytic techniques enable preparation for statistical and quantitative management of performance, by establishing a traceable relationship of the selected measures, and their analyses, to the objectives. Use appropriate analytic techniques, including data visualization, to enable users to recognize significant deviations from performance objectives and take corrective action.

Example Activities Example Activities

Further Explanation

Identify common measures from the organizational measurement repositories. Identify additional measures that may be needed to cover the critical work product and process attributes of the selected processes.

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209 Example Activities

Further Explanation

Select measures to manage processes using statistical and other quantitative techniques.

Selection should not be limited to solution, progress, or performance measures only. Measures can be used to develop analysis, process, and success indicators which provide better insight into process performance. Measures that aggregate data from multiple sources or over time typically mask underlying problems, making problem identification and resolution difficult. For short projects, it may be necessary to aggregate data across similar instances of a process to enable analysis of its process performance.

Specify the operational definitions of new measures. Identify the statistical and other quantitative techniques to be used.

These statistical and other quantitative techniques help to: • Characterize process variation • Recognize when variation is excessive, and investigate why • Identify when statistically unexpected behavior occurs Examples of statistical techniques to analyze process performance include: • • • • •

Statistical process control Regression analysis Analysis of variance including central tendency and distribution Time series analysis Hypothesis testing for statistical significance

Graphical displays can help: • • • • •

Visualize process performance Understand relationships between two or more sets of data Track variation over time Identify problems or opportunities Evaluate the effects of different factors

Examples of graphical displays include: • • • • • •

Scatterplots Control Charts Histograms Box and whisker plots Run charts Ishikawa diagrams

Analyze the relationship of identified measures to the quality and process performance objectives to derive targets.

Examples of quality and process performance objectives using derived targets include:

Develop the environment to support collection, derivation, and analysis of new measures and keep it updated.

This implementation is based on the:

• Keep requirements gathering sessions to under three hours • Maintain rework levels below a specified percent • Maintain productivity in generating a number of work products per day • Description of the organization’s set of standard processes • Description of the defined process in use

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210 Example Activities

Further Explanation • Capabilities of the support environment

Record, keep updated, and use measures and statistical analysis techniques.

Example Work Products Example Work Products

Further Explanation

List of selected and new measures

Include:

Repository of analytical and statistical techniques

Include:

• Operational definition of new measures suitable to support statistical and other quantitative management • Identified (or linked to) statistical and other quantitative techniques to analyze the measures • Representations of data and analysis results • • • • •

Definition of analytical and statistical techniques Links to measures Needed skills for applying the defined techniques Identified people who have the needed skills Tools to support the techniques

Environment to support collection, derivation, and analysis of new measures Results of analysis and their derived targets Traceability to objectives

Show the relationship between the measures, the quality and process performance objectives, and higher-level business objectives.

Context Specific Development Context Tag:

CMMI-DEV

Context:

Use processes to develop quality products and services to meet the needs of customers and end users.

Examples of quality and process performance objectives using derived targets include: •

Maintain a code review rate between 75 to 100 lines of code per hour

•

Keep test rate over a specified number of test cases per day

•

Maintain productivity in generating use cases per day

•

Keep design complexity (fan-out rate) below a specified threshold

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211

MPM 4.3 Required Practice Information

Practice Statement Use statistical and other quantitative techniques to develop and analyze process performance baselines and keep them updated.

Value Enables quantitative understanding of performance and capability to ensure that objectives can be met.

Additional Required Information A process performance baseline is a recorded, statistical characterization of the actual results achieved. Derive baselines by analyzing measures to identify central tendency and distribution or range of results that characterize the expected performance. Use these baselines to determine the expected results of the process under a given set of circumstances. The organization’s process performance baselines measure performance for selected processes within the organization’s set of standard processes. Baselines provide an understanding of process variation and support informed decision making through a better understanding of risks to achieving objectives. Baselines enable: •

Determining the stability and capability of the process

•

Detecting defects earlier to save resources

•

Detecting significant cost or schedule issues earlier to take corrective actions

•

Facilitating earlier detection of anomalies with critical processes

A stable process is important to creating reliable process performance baselines. Understanding the presence (or absence) of variation enables more accurate understanding of the process capability. In determining stability and capability of the process, two key terms come into play: •

Stable process: The state in which special causes of process variation have been removed from the process and prevented from recurring. In a stable process, only common cause variation of the process remains.

•

Capable process: A stable process that is able to meet the quality and process performance objectives set for it, and the variation of the process falls within set specification limits.

Explanatory Practice Information

Additional Explanatory Information Process performance baselines may be used to: •

Compare to performance objectives to identify if they are being met

•

Establish trial bounds when starting a control chart

•

Compare actual process performance among multiple projects

•

Establish benchmarks

•

Enable identification of special cause of variation, triggering potential root cause analysis

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212

The work that the process performance baselines address includes: •

Individual process activities within a larger process

•

Sequences of connected activities

•

Processes whose activities are performed by different workgroups

•

Activities that cover the entire lifecycle

•

Activities for developing individual work products

•

Determining inherent process variation (i.e., common cause of variation) in performance

•

Determining assignable process variation (i.e., special cause of variation) in performance

•

Understanding the impact of variation on stability and capability on the performance of the process and achievement of the quality and process performance objectives

•

Understanding how capable a process is in meeting its quality and process performance objectives

There can be several performance baselines to characterize performance for subgroups. Examples of subgroup categories include: •

Line of business

•

Domain or function

•

Complexity

•

Project size

•

Work product size

•

Process elements or attributes from the organization’s set of standard processes

Tailoring the organization’s set of standard processes can significantly affect the comparability of data and how data is included in process performance baselines. Conditions that may affect the performance of processes and justify the development of separate process performance baselines include: •

The level of experience or proficiency of the individuals performing the processes

•

Organizational or business conditions

•

Specific methods or tools used in performing the processes

•

The nature of the solution for which the processes are performed

Statistics used to characterize process performance baselines include: •

Expected performance as measured by mean, median, mode, or other measures of central tendency

•

Performance variation as measured by upper and lower control limits, standard deviation, interquartile range, range, or other measures of variation

•

Shape of the distribution as measured by statistics, e.g., skewness, kurtosis

•

How performance parameters may vary under different conditions

•

Performance trends over time

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213

Example Activities Example Activities

Further Explanation

Analyze the collected measures to establish central tendency and distribution or range of results that characterize the expected performance of selected processes.

Include the stability and capability (when specification limits are defined).

Record, keep updated, and use process performance baselines.

Examples may include:

Review process performance baselines with affected stakeholders.

Stakeholders can help determine if the baselines are appropriate.

Make the process performance baselines available in the organization’s measurement repository and communicate to the organization.

Workgroups use the organization’s process performance baselines to estimate the natural bounds for their process performance.

Revise the process performance baselines as needed.

For example, when:

This analysis can help decide the best selection or subset of process performance baselines to maintain. Ensure that the baselines are linked to quality and process performance objectives and business objectives. • Statistical process control charts • Box and whisker diagrams • Confidence intervals

Some project process performance baselines may not be included in the organization’s measurement repository. • • • • •

Processes change The organization’s results change The organization’s needs change Suppliers’ processes change Suppliers change

Example Work Products Example Work Products

Further Explanation

Results of analysis of process performance data Process performance baselines

Include: Central tendency Range and distribution Description of the context for the data Reference to the operational definition of the data to enable accurate interpretation • Links to quality and process performance objectives • • • •

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MPM 4.4 Required Practice Information

Practice Statement Use statistical and other quantitative techniques to develop and analyze process performance models and keep them updated.

Value Reduces cost and increases quality by predicting likelihood of meeting objectives and allowing for early corrective action.

Additional Required Information A process performance model: •

Developed from historical process performance data such as those contained in process performance baselines

•

Describes, models, or depicts variation in measurable attribute values and terms

•

Predicts interim or final process performance

•

Estimates expected range and variation of predicted results

•

Includes at least one measurable attribute representing a controllable input tied to a subprocess

The condition in the last bullet makes what-if analyses possible: controllable input(s) can be varied and resulting changes in process performance predicted. Perform analyses during planning, dynamic re-planning, and problem resolution to make process tailoring choices that maximize likelihood of meeting quality and process performance objectives. Process performance models can be: •

Statistical, e.g., regression

•

Probabilistic, e.g., Bayesian

•

Simulation-based, e.g., Monte Carlo or discrete event simulation

A process performance model can be a collection of models that when combined meet the criteria of a process performance model.

Explanatory Practice Information

Additional Explanatory Information High Maturity organizations generally develop and maintain a set of process performance models at various levels of detail to predict process performance. These models cover a range of activities and work product measures that are common across the organization and address the likelihood of achieving the organization’s quality and process performance objectives. Process performance models can help to: •

Predict performance results including confidence limits of selected processes

•

Analyze and predict the performance associated with processes and changes to the organization’s set of standard processes

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•

Assess return on investment for process and performance improvement activities

•

Select processes that give the projects the highest probability of success

•

Enable “what if” analysis for potential changes and improvements

•

Estimate progress toward achieving the quality and process performance objectives

Examples of performance models include: •

Regression

•

Complexity

•

Discrete event simulation

•

Monte Carlo simulation

Example Activities Example Activities Establish process performance models.

Further Explanation Examples of analyses used to develop performance models include: • • • • •

Validate the process performance model.

Visual analysis techniques, e.g., scatter plot Regression or multivariate predictive techniques Stochastic techniques Classification analyses, e.g., defect or problem types Monte Carlo analysis

One typical method of validation is to use historical information, e.g., use the first 9 months of data to predict the last 3 and then compare to actual results.

Calibrate process performance models based on the results. Review process performance models with affected stakeholders.

Stakeholders can help determine if the models are appropriate.

Make the process performance models available in the organization’s measurement repository and communicate to the organization.

Some project process performance models may not be included in the organization’s measurement repository.

Support the project’s use of process performance models. Revise process performance models as needed.

For example, when: • Processes change • The organization’s results change • The organization’s measurement and performance objectives change • The organization’s business or business objectives change

Example Work Products Example Work Products Process performance models

Further Explanation May include: • Guidance for use

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216 Example Work Products

Further Explanation • Description of model: o o o o

Validation results

Equation or scenario Controllable factors Uncontrollable factors Confidence and prediction limits

Include results from utilizing the models.

Calibration results

MPM 4.5 Required Practice Information

Practice Statement Use statistical and other quantitative techniques to determine or predict achievement of quality and process performance objectives.

Value Facilitates a quantitative understanding of risks to achieving objectives which maximizes likelihood of success.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Use statistical and other quantitative techniques to: •

Analyze variation in process performance

•

Monitor the selected processes that drive achieving the objectives

•

Review the quality and process performance objectives to determine: o

Their relationship to the business objectives

o

The risks associated with not meeting them

o

The actions needed to achieve them

Use multiple inputs to predict if the quality and process performance objectives will be satisfied. Quantitative models of performance can range from simple descriptive statistics concerning capability to sophisticated Bayesian, stochastic, or multivariate predictive models. These models may be used to predict project, team, or organizational performance based on the current capability of processes and the conditions that affect them. An organization may begin with standard models from related industries and over time refine their algorithms or parameters with internal data and experience. Quantitative models may differ in: •

Purpose

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•

Sophistication

•

Analytic foundation

•

Parameters

•

Predictability

•

Use among the various processes

Examples of quantitative models include: •

Models to predict the likelihood of achieving quality and process performance objectives from the aggregated performance results of projects

•

Predictive models of characteristics most likely to affect capability and performance of the project and used to select improvements and adjust performance expectations

•

Models of the effect of variations in practices and activities on the resulting capability and performance of processes

•

Models for evaluating decisions involving performance tradeoffs

Example Activities Example Activities Analyze the variation and stability of the selected processes and address deficiencies.

Further Explanation This analysis may involve: • Evaluating measurements in relation to the natural bounds and specification limits • Identifying outliers or other signals of potential non-random behavior (applying run rules or tests to identify anomalies) • Determining causes of outliers • Preventing or mitigating the effects of outlier recurrence, e.g., addressing special causes of variation Consider: • The sufficiency and accuracy of the data • Shifts in process performance that can affect the ability to achieve or maintain process stability • Deficiencies in process performance such as when there is too much variation to achieve the objectives Confirm that the process performance is stable before determining capability. Addressing stability typically includes an in-depth understanding of special causes. Addressing capability typically includes an in-depth understanding of common causes and addressing them appropriately. Analytic techniques for identifying outliers or signals include: • Statistical process control charts • Prediction, confidence, or tolerance intervals • Analysis of variation

Implement actions needed to address deficiencies in achieving quality and process performance objectives.

Examples of actions to address deficiencies in achieving objectives may include: • Improving the implementation of the existing process to reduce its variation or improve its performance, e.g., addressing common causes of variation or changing the process

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218 Example Activities

Further Explanation • Adopting new processes and technologies • Identifying risks and risk mitigation strategies for deficiencies • Renegotiating quality and process performance objectives when the processes are not capable of achieving them Some actions involve the use of causal analysis. Corrective actions may result in changes to attributes or measures related to controllable factors in process performance models. Process performance models can then be used to predict the effects of the actions. When taking critical corrective actions in high risk situations, a process performance model can be developed to predict the effects of the change. Processes not selected for their impact on objectives can still cause problems or risks. Some level of monitoring for these processes may be helpful.

Use validated process performance models calibrated with data to assess progress toward achieving quality and process performance objectives.

For example, use process performance models to predict the latent defects in work products in future phases or in the delivered solution.

Identify and manage risks associated with achieving quality and process performance objectives. Record and communicate the results of the analysis, decisions, and actions identified.

Example Work Products Example Work Products Results of analysis, validation, and calibration

Further Explanation May include: • Graphs, charts, and data tables that support quantitative management • The range of process performance for each selected process attribute

Predictions of results to be achieved relative to the quality and process performance objectives Recorded risks of not achieving the quality and process performance objectives List of actions needed to address deficiencies in the process stability or capability of each selected process

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Related Practice Areas Causal Analysis and Resolution (CAR) Risk and Opportunity Management (RSK)

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Level 5 MPM 5.1 Required Practice Information

Practice Statement Use statistical and other quantitative techniques to ensure that business objectives are aligned with business strategy and performance.

Value Minimizes waste and rework through a more accurate understanding of capability which increases the likelihood of setting and meeting reasonable objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Ensure alignment of quality and process performance objectives, business objectives, and business strategies. Use organizational performance data, characterized by process performance baselines and models, to evaluate whether business objectives are realistic and aligned with business strategies and to understand variation. There may be multiple baselines and models needed in an organization to cover different types or aspects of work. After business objectives have been revised and prioritized, develop, maintain, and communicate resulting quality and process performance objectives. Use process performance models to understand the processes and relationships needed to achieve the objectives and to perform what-if analyses to aid in the alignment process.

Example Activities Example Activities

Further Explanation

Evaluate and update business objectives periodically and on an event driven basis to ensure that they align with business strategies.

Business objectives, business strategies, and organizational performance may change over time or become obsolete based on the needs of the organization or the strategies.

Compare business objectives with baselines and process performance predictions to ensure the objectives are realistic.

Business objectives can set the bar too high to motivate real improvement. Using process performance baselines and models helps balance expectations and reality. If process performance baselines and models are not available, use sampling techniques to quickly develop a quantitative basis for comparison.

Prioritize business objectives based on recorded criteria.

Example criteria include the ability to:

Understanding performance in this context requires using statistical and quantitative techniques.

• • • •

Win new business Retain existing clients Respond to changing or disruptive markets Innovate

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221 Example Activities Maintain quality and process performance objectives to address changes in business objectives.

Further Explanation • Accomplish other key business strategies Business and quality and process performance objectives typically evolve over time. Ensure existing objectives are met while identifying and managing new business objectives and associated quality and process performance objectives.

Revise measures to align with quality and process performance objectives. Communicate changes to business strategies, business objectives, and quality and process performance objectives to stakeholders.

Example Work Products Example Work Products Results of analysis of current performance against: • Quality and process performance objectives • Business objectives • Business strategies

Further Explanation This is typically an iterative process that may be done from a bottom-up (quality and process performance objectives up to business strategies) or top-down approach, depending on the need and purpose.

Revised business objectives and strategies Revised quality and process performance objectives Revised measures

MPM 5.2 Required Practice Information

Practice Statement Analyze performance data using statistical and other quantitative techniques to determine the organization’s ability to satisfy selected business objectives and identify potential areas for performance improvement.

Value Identifies areas that pose the greatest risk to achieving business objectives or greatest opportunity for increasing business performance.

Additional Required Information This section left blank for future content.

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Explanatory Practice Information

Additional Explanatory Information Process performance baselines and models help to understand the current capability of the organization. Compare process performance baselines or predictions from process performance models against quality and process performance objectives to determine the organization’s ability to meet business objectives. Use analysis to further refine the potential areas for improvement. This can be combined with Causal Analysis and Resolution practices to help diagnose and resolve root causes of the issues.

Example Activities Example Activities

Further Explanation

Periodically and on an event-driven basis, compare quality and process performance objectives to current process performance baselines and models to evaluate and predict the organization’s ability to satisfy business objectives.

For example, if cycle time is a critical business need, collect various measurements that support or influence characterizing cycle time. Compare overall cycle time performance data to business objectives to understand if the expected performance will satisfy business objectives.

Identify shortfalls where performance is not satisfying business objectives. Identify potential improvement areas based on the analysis of performance shortfalls.

Examples of areas to consider for improvement include: • • • • • • •

Product technology Process technology Personnel development Productivity Team structures Supplier selection and management Other organizational infrastructures

Communicate results and develop a list of improvement proposals.

Example Work Products Example Work Products

Further Explanation

Performance analysis results

Include an analysis of current performance data versus business objectives.

List of performance shortfalls

Shortfall descriptions may include: • Context • Impact (including any interdependencies on other performance or processes) • Priority • Risks • Potential corrective actions

List of potential improvement proposals

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Related Practice Areas Causal Analysis and Resolution (CAR)

MPM 5.3 Required Practice Information

Practice Statement Select and implement improvement proposals, based on the statistical and quantitative analysis of the expected effect of proposed improvements on meeting business, quality, and process performance objectives.

Value Increases likelihood that selected improvements will significantly contribute to achieving business, quality, and process performance objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Proposed improvements selected for implementation should significantly contribute to achieving business, quality, and process performance objectives. Improvement ideas may come from either inside or outside the organization. By analyzing the benefits and impacts of improvements, this practice can also help to prepare the organization for their deployment and maximize the benefits.

Example Activities Example Activities

Further Explanation

Use process performance models to predict process performance based on proposed improvements. Run pilots to determine preliminary process performance based on proposed improvements. Run tests for statistical significance of modeled or piloted results. Analyze the costs and benefits of proposed improvements.

Estimate the cost, effort, and schedule required for implementing, verifying, and deploying each proposed improvement. Process performance models provide insight into the effect of process changes on process capability and performance. Criteria for evaluating costs and benefits may include: • Contribution toward meeting the organization’s quality and process performance objectives

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224 Example Activities

Identify potential barriers and risks to deploying each proposed improvement.

Further Explanation • Effect on mitigating identified work and organizational risks • Ability to respond quickly to changes in requirements, market situations, and the business environment • Impacts to commitments and skills • Effect on related processes, training, work environment, and technology • Cost of defining and collecting data that support the measurement and analysis of the process and technology improvement • Scalability • Expected life span of the improvement Examples of barriers include: • • • • • •

Turf guarding and parochial barriers Unclear or weak business rationale Lack of short-term benefits and visible successes Unclear picture of what is expected Too many changes at the same time Lack of involvement and support from affected stakeholders

Examples of risks include: Compatibility of the improvement with existing processes Experience and skills of potential users Complexity of the improvement Difficulty implementing the improvement Ability to demonstrate the value of the improvement before widespread deployment • Justification for large, up-front investments in areas such as tools and training • Resistance to change

• • • • •

Record the evaluation results and decide to implement in accordance with evaluation criteria

The results should include:

Determine and record the validation method that will be used before broadscale deployment of the change.

Determining the validation method includes defining the statistical or quantitative success criteria that will be used to evaluate results of the validation.

• Problem statement • Description of proposed improvements • Statistical and quantitative analysis of proposed improvements including evaluation criteria • Cost benefit analysis of proposed improvement • Implementation decision

Since innovations typically represent a major change to the process, most innovative improvements should be piloted. Other validation methods, including modeling and simulation, can also be used. Implement selected proposals Validate implemented proposals before broad-scale deployment

Follow the validation methods recorded above

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225 Example Activities

Further Explanation

Deploy validated proposals

Example Work Products Example Work Products

Further Explanation

Analysis of potential impacts of proposed improvements

Analysis options include a:

Piloting report

May include:

• Statistically significant prediction of likelihood of achieving the intended effect, e.g., from process performance models • What-if analysis • Results from piloting performance improvements against defined success criteria • Probability that the intended effect will be achieved when the improvement is deployed

Cost-benefit analysis results

May include: Cost Expected benefits Organizational impact Effect measured in quantitative and statistical terms Relationship to and impact on business and quality and process performance objectives • Identification of proposed improvements

• • • • •

List of potential barriers and risks to implement the improvement Recorded validation methods List of submitted proposals for implementation

Related Practice Areas Process Asset Development (PAD) Process Management (PCM)

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Monitor and Control (MC)

Required PA Information

Intent Provide an understanding of the project progress so appropriate corrective actions can be taken when performance deviates significantly from plans.

Value Increases the probability of meeting objectives by taking early actions to adjust for significant performance deviations.

Additional Required PA Information This section left blank for future content.

Explanatory PA Information

Practice Summary Level 1 MC 1.1

Record task completions.

MC 1.2

Identify and resolve issues.

Level 2 MC 2.1

Track actual results against estimates for size, effort, schedule, resources, knowledge and skills, and budget.

MC 2.2

Track the involvement of identified stakeholders and commitments.

MC 2.3

Monitor the transition to operations and support.

MC 2.4

Take corrective actions when actual results differ significantly from planned results and manage to closure.

Level 3 MC 3.1

Manage the project using the project plan and the project process.

MC 3.2

Manage critical dependencies and activities.

MC 3.3

Monitor the work environment to identify issues.

MC 3.4

Manage and resolve issues with affected stakeholders.

Additional PA Explanatory Information The term “project plan” refers to the overall plan for managing the project and includes a coherent description of who does what and when for developing, updating, or delivering a solution. The project plan can be a stand-alone document or distributed across multiple documents and provides a way to track and communicate actual progress and determine if corrections are needed. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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Tracking progress typically consists of comparing actual values to planned or estimated values for: •

Size

•

Complexity

•

Effort

•

Cost

•

Schedule

•

Quality

•

Milestones

•

Knowledge and skills

•

Resources

•

Stakeholder involvement

•

Commitments

•

Transition to operations and support

Tracking actuals against estimates supports managing the expectations of customers and stakeholders. Take corrective actions when actual values deviate significantly from expected values. These corrective actions may include: •

Revising the strategy for accomplishing the work

•

Updating objectives

•

Revising the plan

•

Revising the estimates

•

Establishing or modifying agreements and commitments

•

Updating risk management activities and work products

If corrective actions are required to resolve significant deviations from project plans, define and track these actions to closure.

Related Practice Areas Managing Performance and Measurement (MPM) Planning (PLAN)

Context Specific Agile with Scrum Guidance Context Tag:

Agile with Scrum

Context:

Use processes to adapt agile with Scrum techniques.

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Figure MC-1: Monitoring in an Agile Framework

Table MC-1: Monitoring Information & Related Model Practices

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Figure MC-2: Release Burndown Chart

Figure MC-1 states where monitoring is performed in an agile project using Scrum. Table MC-1 and Figure MC-2 show example tracking information and related model practices. Typical monitoring practices for agile teams using Scrum, e.g., stand up meetings, visual information management, scrum of scrums, result in the following information: •

Task (Scrum) board showing the status of work being performed, specifically tasks and backlog items assigned to the sprint (refer to Table MC-1)

•

A release burndown chart (refer to Figure MC-2) showing the number of story points remaining, tracked within each sprint, and representing all of the work for a release typically consisting of several sprints

•

A sprint (iteration) burndown chart (not shown) that is updated daily indicating the time needed to complete the work committed for the sprint

•

Visual information on walls and/or digital screens indicating the current state of team performance, culture, and tasks

Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

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Develop monitoring and control functions early in the project during planning when defining the supplier management strategy. Monitor and control activities are essential throughout the supplier management process to ensure: •

Application of appropriate resources

•

Acquirer activities progress according to plan

After selecting one or more suppliers and establishing agreements, the acquirer continues to monitor and control its activities and work products. At the same time, the acquirer monitors and controls supplier progress and performance for effects to the overall effort. Define supplier progress and performance reporting requirements in the supplier agreement consistent with the needs of the contract.

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Level 1 MC 1.1 Required Practice Information

Practice Statement Record task completions.

Value Knowing how much work remains enables the team and senior management to make better decisions to achieve objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Tracking completed work is part of monitoring progress. Regularly review tasks to determine status, which may include: •

Completed

•

Delayed

•

Not completed

Example Activities Example Activities Record task completion.

Further Explanation Although tasks can be given a percentage completion, this may lead to inaccurate status reporting such as “90% done 90% of the time.” One way of avoiding this is to only show 100% complete or not complete.

Review updated task list with affected stakeholders.

Example Work Products Example Work Products Task list

Further Explanation Includes: • Description • Status • Date

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MC 1.2 Required Practice Information

Practice Statement Identify and resolve issues.

Value Resolving issues helps prevent uncontrolled cost and schedule creep.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Identify and resolve issues as they arise. Resolving issues is important to keeping tasks on schedule. Analyze issues as they are identified to determine the appropriate corrective action and track to closure. Issues may generate unplanned work. If issues are not monitored and controlled, work can be delayed without an understanding of the reason.

Example Activities Example Activities

Further Explanation

Record the issue in the issue and action item list. Assign responsibility for resolving the issue or action item.

Ensure people are aware that they have been given responsibility to resolve the action.

Assign a due date.

Work with the person assigned responsibility to determine when the issue or action can be completed.

Track issues and action items to closure.

Tracking to closure is critical to knowing if and how the project plan will be impacted.

Example Work Products Example Work Products Issues and action item list

Further Explanation Includes the: • • • •

Description of the issue or action item People assigned to the issue or action item Due date Status

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Level 2 MC 2.1 Required Practice Information

Practice Statement Track actual results against estimates for size, effort, schedule, resources, knowledge and skills, and budget.

Value Identifies significant deviations so more effective corrective actions can be taken which increases the likelihood of meeting objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Record associated contextual information when tracking actual results versus estimates to help understand what the measurement data represents. Typical indicators of project progress and performance include characteristics of work products and tasks that may include: •

Cost

•

Budget

•

Effort

•

Schedule

•

Size

•

Complexity

•

Capacity and availability

•

Function

•

Knowledge and skills

•

Resources

•

Stakeholder involvement

•

Commitments

•

Transition to operations and support

Frequency of monitoring depends on the: •

Collection schedule

•

Pace and duration of the work

•

Agreed to milestones

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Example Activities Example Activities Track actual results to plans and estimates.

Further Explanation Track size, effort, schedule, resources, knowledge and skills, and budget. Tracking actual results typically occur through: • Progress reporting • Status reviews • Milestone reviews

Monitor resources provided and used.

Identify what resources are needed to address the corrective actions. This typically includes: • • • • • •

People Processes Physical facilities Computers, peripherals, and software Networks Security environment

Monitor the knowledge and skills of workgroup members.

This typically includes:

Monitor commitments against those identified in the project plan.

This includes:

Record significant differences in planned vs. actual values.

This includes:

Monitor progress against schedule.

This typically includes:

Monitor expended effort and costs.

This typically includes:

• Periodically measuring the knowledge and skills of people to assess changes • Comparing actual training obtained to training recorded in the project plan • Identifying significant differences from project plan estimates • Regularly reviewing internal and external commitments • Identifying commitments that have not been satisfied or are at significant risk of not being satisfied • Monitoring availability, reliability, and maintainability against their requirements • Recording review results • Defining criteria for what “significant” means for the planned and actual values • Keeping a record of significant differences to be used for more effective future planning • Periodically measuring the actual completion of activities and milestones • Comparing actual completion of activities and milestones to the project schedule to identify significant deviations • Periodically measuring the actual effort and costs expended • Comparing actual effort and costs, to the planned/estimated budget and costs • Identifying significant deviations from the project budget and estimates

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Example Work Products Example Work Products Records of actuals versus estimates

Further Explanation Typically includes the: • • • • • •

Budget Schedule Size Effort Resources Knowledge and skills

Records of significant deviations Records of status reviews Corrective actions Cost performance reports

Include planned vs. actual results on cost of tasks, activities, and deliverable dates, their sequence, and resources needed.

Schedule performance reports

Include planned vs. actual results on schedule of tasks, activities, and deliverable dates, their sequence, and resources needed.

Context Specific Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

Monitoring and analyzing capacity and availability can help identify the need for corrective actions to prevent service interruption and service system failure. Record the use of each resource including the use of each resource by each component, i.e., the extent or degree of use by each component for a given resource. Analyze the effect of failures to align capacity and availability. Monitor the use of resources during unexpected increases in demand to determine whether corrective actions are needed. Examples of corrective actions include: •

Adjustments to resources provided

•

Adjustments to thresholds

•

Adjustments to descriptions of the normal use of service resources and service system performance

Identify the need for corrective actions: •

Based on monitoring and analyzing capacity and availability

•

In response to service incidents, change requests, changes to service requirements (current and future)

•

To improve service system performance or prevent breaches of the service agreement

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Monitor the service system to detect or prevent the failure of components that affect service system availability. At a minimum, monitor availability. Monitor other quality attributes if appropriate based on the type of service, development, or acquisition provided. For many service systems, it may also be appropriate to monitor other quality attributes such as reliability and maintainability. Monitor the resilience of the service system to service component failure and identify the impacts of specific failures on service system availability. Activities to monitor capacity and availability of service systems may include: •

Monitoring the use of resources against thresholds, descriptions of normal use, and service system performance

•

Estimating future changes, either growth or reduction, in resource use

•

o

Methods and tools for estimating service system behavior include trend analysis, analytical modeling, simulation modeling, baseline models, and application sizing

o

Resource usage growth estimates can be based on collected capacity and availability data, projected requirements, and service system representations

Communicating the analysis of results on performance objectives and their impact on capacity and availability o

Capacity and availability reports can be regular or ad hoc. If helpful, simplify reporting by using databases with automated reporting features. Follow organizational reporting standards. When they exist, use standard tools and techniques to integrate and consolidate information in the reports.

o

Information should be appropriate to the audience and understandable, and it may need to address multiple perspectives. These perspectives can include business, end user, customer, or provider. Agreements can define the reported information, to whom it should be delivered, and how it is provided, e.g., format, detail, distribution, media.

o

Availability is typically reported as a percentage. If required, in addition to reporting availability, report on reliability, e.g., reliability of the service or service system components, maintainability, and other quality attributes.

Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

Track resource commitments that result in expenditures, e.g., issued purchase orders and completed, accepted supplier deliverables, when the organization incurs the expense. Track resource commitments even before formal payment, to account for financial and legal obligations. Monitor commitments that do not result in expenditures, e.g., allocation of resources or skill sets. Example supplier deliverables include: •

Supplier progress and performance reports

•

Records of significant deviations from plans or processes

•

Cost performance reports

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MC 2.2 Required Practice Information

Practice Statement Track the involvement of identified stakeholders and commitments.

Value Managing stakeholder involvement is critical to successful work completion.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Manage stakeholder involvement according to the plan and process. Re-plan stakeholder involvement when changes to requirements, situation, or status occur.

Example Activities Example Activities Periodically review and record the status of stakeholder involvement.

Further Explanation Stakeholder involvement can be tracked in events such as team meetings and cross-functional coordination meetings.

Identify and record significant stakeholder issues. Develop recommendations and coordinate actions to resolve issues.

Example Work Products Example Work Products Records of stakeholder involvement

Further Explanation Includes meeting records and reviews with attendee lists.

Agendas and schedules for collaborative activities Recommendations for resolving stakeholder issues

Includes records of decisions.

Recorded issues

Identifies both resolved and unresolved issues.

Related Practice Areas Planning (PLAN)

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Context Specific Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

Monitoring and tracking stakeholder involvement involves communicating critical information to stakeholders. Communicating the results of data on capacity and availability management helps focus on meeting performance objectives. Example stakeholder communication activities and topics include: •

Reporting the performance and use of resources

•

Reporting exception conditions in the service system and requirement breaches

•

Reporting data from monitoring against growth estimates in resource use

•

Reporting the capacity, availability, reliability, and maintainability of resources, including: o

Performance reports

o

Resource use reports

o

Resource use projections

o

Availability reports

MC 2.3 Required Practice Information

Practice Statement Monitor the transition to operations and support.

Value Solutions are smoothly transitioned and successfully implemented ensuring expected benefits are obtained.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Monitor and control the actual transition of the accepted solution against the plan for the transition to operations and support. In some instances, this may be accomplished by delivering the solution directly to the customer.

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239

Example Activities Example Activities Monitor the capabilities of operations and support to receive, store, use, and maintain new or modified solutions.

Further Explanation • Operations and support organizations should demonstrate readiness to accept the solution and provide uninterrupted support. • Use transition readiness criteria and verification and validation practices to decide if delivered solutions meet specified requirements. • Use verification and validation practices to confirm readiness for acceptance into operations and support.

Monitor training delivery to stakeholders involved in receiving, storing, using, and maintaining solutions.

This typically includes:

Review and analyze the results of transition activities.

Decide whether corrective actions must be completed before transferring responsibility to operations and support.

• Verifying correct training materials and resources specific to stakeholders involved are available and used • Verifying that the right training is given to the right people at the right time • Verifying that the delivered training has enabled the recipients to carry out their work efficiently and effectively

Example work products that support transition analyses include: • Transition activity reports that include quality measures collected during the pilot and the warranty period • Problem tracking reports, detailing resolution time, escalation, and root cause analysis • Change management reports • Configuration management records • Operation logs to decide that sufficient information is stored to support revisions • Security reports • Actual operations and support costs compared to estimates

Example Work Products Example Work Products

Further Explanation

Status reports of transition activities

Current status of transition activities, including any risks, issues, or corrective actions taken.

Transition readiness report

Description of the state of readiness of the solutions prior to transition to ensure it will happen in accordance with the plan.

Records of transition support reviews

May include corrective actions.

Lessons learned report

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240

Context Specific Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

Typically, the supplier has a role in integrating and packaging solutions and preparing for the transition to operations and support, including support for business user acceptance. The acquirer monitors these supplier activities. The solicitation package and the supplier agreement set the expectations of the supplier and the acceptance criteria to transition to operations and support. Example supplier deliverables include: •

Training materials and supporting work products

•

Site readiness reports

•

Verification reports

•

Training records

•

Operational readiness reports

•

Test results

•

Pilot results

The acquirer makes adequate provisions to operate the acquired solution through the supplier agreement or in-house operations and support organizations. Typically, the supplier develops training for the solution.

MC 2.4 Required Practice Information

Practice Statement Take corrective actions when actual results differ significantly from planned results and manage to closure.

Value Managing corrective actions can increase the probability that objectives will be met.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Collect and analyze issues and decide on corrective actions to address them. Manage the corrective actions to closure. Actions can be automated, performed manually, or a combination of the two. Examples of corrective actions may include: 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

241

•

Adjustments to resources to prevent performance problems or improve performance

•

Rebalancing workload among resources

•

Improving processes to allow for greater productivity, efficiency, and effectiveness

•

Improving design such as making use of new technologies to allow for greater productivity, efficiency, or effectiveness

•

Addressing capacity, and adding availability, e.g., adding people, or other resources

•

Tuning to optimize and improve capacity or performance

•

Adjusting requirements

•

Improving the use of resources through demand management techniques

Example Activities Example Activities Collect issues for analysis.

Further Explanation Collect issues from reviews and the execution of other processes. Examples of issues to collect include: • Issues discovered when performing technical reviews, verification, and validation • Significant deviations in project planning parameters from estimates in the project plan • Commitments (either internal or external) that have not been satisfied • Significant changes in risk status • Data access, collection, privacy, or security issues • Stakeholder representation or involvement issues • Solution, tool, or environment transition assumptions (or other customer or supplier commitments) that have not been achieved

Analyze issues to decide if corrective action is needed.

Corrective action is required when the issue, if left unresolved, may prevent the project from meeting its objectives.

Take corrective action on identified issues.

Steps typically include: • Deciding and recording actions to resolve selected issues. Examples of potential actions include: o o o o o o o o

Modifying the statement of work Modifying requirements Revising estimates and plans Renegotiating commitments Adding resources Changing processes Improving skills and efficiency Revising project risks

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242 Example Activities

Manage corrective actions to closure.

Further Explanation • Using the organization’s defined and established methods to resolve conflicts and disputes • Negotiating changes to internal and external commitments This typically includes: • Tracking corrective actions to completion • Analyzing results of corrective actions to determine their effectiveness and if additional corrective actions are needed • Recording final resolution of significant deviations when initial corrective action taken was not effective

Example Work Products Example Work Products List of issues requiring corrective action

Further Explanation Include the: • • • •

Status of issue or action item Person responsible for the action item Corrective action plans Corrective action results

Related Practice Areas Planning (PLAN) Verification and Validation (VV)

Context Specific Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

Work group level monitoring and control or measurement and analysis can adequately cover some monitoring of service system operation. This can include managing and controlling other operationally-oriented quality attributes associated with service delivery, such as: •

Capacity

•

Availability

•

Responsiveness

•

Service Level Agreement performance

•

Usability

•

Reliability

•

Maintainability

•

Safety

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•

Security o

Monitoring for security breaches, correcting vulnerabilities, and controlling access to services

o

Ensuring that the service provider only delivers approved services, as specified in the service agreement, to authorized personnel

However, some services can require monitoring and data collection at the level of individual service requests or continuously within the scope of a single service request. Such monitoring can require its own tools to handle data collection, analysis, and reporting appropriately. These tools are often automated. Perform low-level monitoring of service system components using monitoring and data collection tools as appropriate. Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

The acquirer has the sole responsibility for taking corrective actions when either the acquirer or supplier implementation results deviate from plan. The acquirer determines, e.g., by monitoring measurement data, whether supplier progress is sufficient to meet a service level defined in the supplier agreement. If the supplier’s progress is not sufficient, the acquirer initiates and manages corrective action with the supplier. If the supplier does not comply appropriately with this corrective action, the acquirer escalates the issue for resolution.

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Level 3 MC 3.1 Required Practice Information

Practice Statement Manage the project using the project plan and the project process.

Value Helps to ensure necessary activities are performed which reduces rework and improves the likelihood of achieving objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Managing the project helps to: •

Understand how much time is spent on each activity and decide if it is the most effective use of time

•

Measure the resources used and available to a project

•

Provide status to members of the team and stakeholders

Example Activities Example Activities Manage the project activities using the project process and all related plans.

Further Explanation The project process is tailored by the project from the organization’s set of standard processes. This includes: • Using the defined entry and exit criteria to start and finish tasks • Monitoring activities that could significantly affect actual values of the planning parameters, such as size, effort remaining, effort expended and changes in complexity • Tracking planning parameters using measurable thresholds to trigger investigation and corrective action • Monitoring risks • Managing external and internal commitments based on plans for tasks and work products • Understanding the relationships between the: o Tasks and work products of the project process, and o Roles of affected stakeholders • Using quality control processes, e.g., peer reviews, objective evaluations, to improve both visibility into performance and control of the work • Taking corrective action when progress deviates significantly from the plan

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245 Example Activities

Further Explanation

Collect and analyze selected measurements to manage the project and support the organization’s needs. Periodically review and align project performance with organizational, customer, and end user requirements and objectives.

Examples of actions that achieve alignment include:

Resolve causes of issues affecting project objectives.

This includes:

• Updating the schedule in response to changes in planning parameters, project, and risks • Updating requirements or commitments in response to changes in market opportunities or customer and end user needs • Terminating the project, iteration, or release • Reviewing issues and lessons learned from previous work • Performing causal analysis of selected issues to identify where corrective actions need to be taken • Evaluating process changes needed to prevent recurrence • Taking the corrective actions and implement process changes • Ensuring that the corrective actions and process changes have prevented recurrence of issues and improved performance

Example Work Products Example Work Products

Further Explanation

Results of monitoring Collected measures and status records or reports

Related Practice Areas Causal Analysis and Resolution (CAR) Managing Performance and Measurement (MPM)

Context Specific Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

When managing the project, consider the critical dependencies of service delivery and service performance, such as: •

Timing of shipments

•

Service delivery activities

•

Service delivery schedules

•

Operating procedures

•

Service requests identified in service agreements

•

Service delivery performance and measurements

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•

Locations of facilities for service delivery

Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

Example supplier deliverables include: •

Project progress and performance reports

•

Measures

•

Risk logs

•

Issue logs

•

Decision logs

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MC 3.2 Required Practice Information

Practice Statement Manage critical dependencies and activities.

Value Managing critical dependencies can significantly reduce risk and increase the likelihood of meeting objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Critical dependencies can also involve on-time availability of resources.

Example Activities Example Activities Review and update dependencies.

Further Explanation Record agreements for: • Coordinating dependent work • Ensuring that resources are available on time Provide advance communication to all affected stakeholders when dependencies cannot be met.

Record minutes from reviews and discussions. Record issues.

Example Work Products Example Work Products

Further Explanation

Updated critical dependencies Recorded agendas and meeting minutes

Dependencies are commonly managed and coordinated in:

Recorded issues

This may include:

• • • •

Status reviews Management reviews Affected stakeholder discussions Cross-functional team coordination events

• Supplier delays • Stakeholder involvement (or lack thereof) • Recommendations for resolving issues

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248

Context Specific Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

The supplier agreement provides the basis for managing supplier involvement in the project. Supplier agreements, e.g., interagency and intercompany agreements, memoranda of understanding, memoranda of agreement, that the acquirer makes with stakeholder organizations provide the basis for stakeholder organization involvement. These stakeholder organizations can be solution providers or recipients. These agreements are particularly important when the acquirer’s project produces complex integrated solutions.

MC 3.3 Required Practice Information

Practice Statement Monitor the work environment to identify issues.

Value An effective, safe, and healthy work environment helps ensure objectives are met.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Identify and correct environmental and physical factors that degrade the safety, health, effectiveness, and productivity of the workforce. Monitor the environment to ensure that people can focus on achieving objectives and are free from issues and unwanted distractions. Ensure the entire workforce recognizes that worker safety and health is central to objective accomplishment.

Example Activities Example Activities Monitor work environment elements that affect safety, health, effectiveness, and productivity and identify and record any corrections needed.

Further Explanation Work environment elements may include: • • • • • • • • •

Standard workstation hardware and software Standard production and calibration equipment Buildings, facilities, and other physical resources Security Safety Management and leadership Specific environmental conditions Periodic inspections of the work environment Health and welfare

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249 Example Activities

Further Explanation • Diversity • Privacy

Monitor physical factors in the work environment that could degrade performance and identify and record any corrections needed.

Examples of physical factors that could degrade performance include:

Identify, record, and report potential work environment issues and corrections needed.

Examples of potential work environment issues problems include:

• • • • • • • • • • • • • •

Inadequate office or meeting space Poor lighting Inadequate heating, ventilation, or cooling Unpleasant odors or fumes Vibration Excessive noise Crowding or isolation Environmental hazards Failure to apply required safety standards Inadequate security Improper ergonomics Exposure to unhealthy substances Poor air or water quality Excessive stress

Take reasonable steps to accommodate work environment issues while corrections are being made. Remove or reduce interruptions or distractions that degrade performance.

Examples of interruption or distraction include:

Remove or reduce physical factors that degrade performance.

Examples of what could lessen the effects of physical work environment factors include:

• • • • •

Frequent telephone calls Excessive meetings Excessive administrative tasks Work that could be better performed by others Excessive socializing, including social media, texting, etc.

• Providing resources that reduce the effect of the problem, e.g., fans or heaters to correct inadequate temperature control • Communicating intentions that will remove the problem, such as working from home or planned additional office space Allow people to make reasonable adjustments that reduce the effect of problems specific to them.

Monitor progress of work environment issue resolution.

Analyze the results after the initial corrections and decide whether further correction to work environment issues is needed. If it is not possible to effectively eliminate the effect of a physical factor, pursue alternative mitigation strategies and solutions. If the initial correction to physical factors did not address the problem, review and identify potential reasons and alternative solutions to address them.

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250 Example Activities Resolve interpersonal problems that degrade work relationships.

Further Explanation Examples of ways to resolve interpersonal problems include: • Improving interpersonal communication skills by mentoring or formal training • Advising or counseling one or more individuals • Using an ombudsman, arbitrator, or facilitator • Reassigning one or more individuals • Taking disciplinary action • Agreeing to disagree

Example Work Products Example Work Products

Further Explanation

Corrections needed to the work environment

MC 3.4 Required Practice Information

Practice Statement Manage and resolve issues with affected stakeholders.

Value Resolving issues early increases the likelihood of meeting objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information The purpose of this practice is to identify, communicate, and resolve issues with affected stakeholders. When notified and engaged early in the process, stakeholders can more effectively address their responsibilities to ensure they stay in sync with objectives and plans. Examples of issues include: •

Incomplete requirements

•

Design defects

•

Late critical dependencies and commitments

•

Solution problems

•

Unavailable critical resources

Example Activities Example Activities Identify and record issues.

Further Explanation Issues are commonly identified in meetings and cross-functional coordination events.

Communicate issues to affected stakeholders. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

251 Example Activities

Further Explanation

Resolve issues with affected stakeholders. Escalate the issues not resolvable with affected stakeholders to the responsible managers. Track issues to closure. Communicate the status and resolution of issues with affected stakeholders.

Example Work Products Example Work Products Recorded issues

Further Explanation Include the: • • • • •

Issue statement Person responsible Due date Resolution Status

Context Specific Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

Monitoring is particularly important in a complex environment. The involvement of owners, acquirers, and customers of other systems is crucial to the success of complex integrated solutions. Monitoring is also important in an environment where a supplier is using an agile methodology in solution development activities. In such an environment, the sustained involvement of end users or their proxies can be crucial to developing and validating one or more elements of the overall provided capability.

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252

Organizational Training (OT)

Required PA Information

Intent Develop the skills and knowledge of personnel so they perform their roles efficiently and effectively.

Value Enhances individuals’ skills and knowledge to improve organizational work performance.

Additional Required PA Information This section left blank for future content.

Explanatory PA Information

Practice Summary Level 1 OT 1.1

Train people.

Level 2 OT 2.1

Identify training needs.

OT 2.2

Train personnel and keep records.

Level 3 OT 3.1

Develop and keep updated the organization’s strategic and short-term training needs.

OT 3.2

Coordinate training needs and delivery between the projects and the organization.

OT 3.3

Develop, keep updated, and follow organizational strategic and shortterm training plans.

OT 3.4

Develop, keep updated, and use a training capability to address organizational training needs.

OT 3.5

Assess the effectiveness of the organization’s training program.

OT 3.6

Record, keep updated, and use the set of organizational training records.

Additional PA Explanatory Information The training program supports the organization’s business objectives, and training needs that are common across projects and support groups. The organization coordinates with projects and support groups to determine responsibility for providing training. Provide training to enhance skills and knowledge including: •

Technical skills related to:

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•

•

o

Using equipment, tools, materials, and data

o

Processes required by the work or the organization

Organizational skills related to: o

Role and responsibilities

o

General operating principles and methods

o

Behavior within the organization

Contextual skills related to: o

Self-management

o

Communication

o

Interpersonal abilities needed to successfully perform work

Deliver training either informally, e.g., brown bags, task/job walk-throughs; or formally, e.g., classroom, electronic-based training, workshops, guided self-study, formalized on-the-job training. Figure OT-1 shows the primary elements involved in an organizational training program.

Figure OT-1: Elements in an Organizational Training Program

An organizational training program involves: •

Determining and identifying the organizational training needs

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•

Planning for training

•

Developing a training capability and keeping it updated to: o

Identify how training will be obtained or developed

o

Develop, design, and keep updated training materials, schedules, records, and related data

o

Develop mechanisms for measuring the effectiveness of the training and the training program

o

Identify personnel with training delivery skills and subject matter expertise to deliver training

•

Providing training

•

Keeping records of completed training

•

Maintaining and using the organizational set of training records

•

Assessing training effectiveness (against organizational training needs) and communicate results

Related Practice Areas Process Asset Development (PAD)

Context Specific Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

Consider affected stakeholders of the service system for organizational training activities. Affected stakeholders include customers, end users, provider personnel, senior management, external suppliers, and anyone else who is engaged with the service system. Develop, keep updated, and follow training plans that include the appropriate forms of training and communications to affected stakeholders. Training for affected stakeholders can vary greatly based on the complexity of the service system, scope of transition changes to the service system, and the knowledge and skills of the stakeholders.

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255

Level 1 OT 1.1 Required Practice Information

Practice Statement Train people.

Value Increases likelihood of meeting objectives by ensuring individuals have needed skills and knowledge.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information This section left blank for future content.

Example Activities Example Activities

Further Explanation

Identify people who will receive the training. Schedule training. Deliver the training.

Example Work Products Example Work Products

Further Explanation

Completed training

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256

Level 2 OT 2.1 Required Practice Information

Practice Statement Identify training needs.

Value Reduces costs by providing training needed to perform the work.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Identify the skills and knowledge needed for each role. Compare this to the skills and knowledge of the individuals in those roles to determine what training is needed.

Example Activities Example Activities

Further Explanation

Identify skills and knowledge for each role. Record and keep updated skills and knowledge of individuals. Perform a gap analysis to determine training needs. Record and communicate training needs.

Example Work Products Example Work Products List of training needs

Further Explanation List of needs should include: • Skills and knowledge by role • Skills and knowledge for individuals • Gaps for needed training

Related Practice Areas Planning (PLAN)

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257

OT 2.2 Required Practice Information

Practice Statement Train personnel and keep records.

Value Avoids training people who already have the needed knowledge and skills and ensures that people get the training needed to perform their work.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information This section left blank for future content.

Example Activities Example Activities

Further Explanation

Deliver training based on identified training needs. Maintain training records.

Example Work Products Example Work Products Records of delivered training

Further Explanation Include: • • • • • •

Training name Description of delivered training Date completed Student names Instructor names Pass/fail indicator

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258

Level 3 OT 3.1 Required Practice Information

Practice Statement Develop and keep updated the organization’s strategic and short-term training needs.

Value Maximizes the likelihood of meeting objectives by ensuring that the organization has skilled individuals now and in the future.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Strategic training needs address long-term business objectives to build capability by: •

Filling significant knowledge gaps

•

Keeping current with new and emerging technologies

•

Adapting to changing business needs

Strategic training considerations typically cover a span of time into the future beyond the shortterm training activities. Strategic training is typically linked to organizational strategic needs and objectives. Examples of sources of strategic training needs include: •

The organization’s business plan

•

The organization’s standard processes

•

The organization’s process improvement plan

•

Enterprise-level initiatives

•

Skill assessments showing common long-term needs

•

Industry trends

The primary difference between strategic and short-term needs is how quickly that competency is needed. Short-term training needs address immediate business objectives to build capability by: •

Filling current knowledge gaps

•

Responding to an event driven need

•

Introducing new, currently needed technologies

When developing strategic and short-term training needs, consider: •

The organization’s business plan

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•

The organization’s standard processes

•

The organization’s process improvement plan

•

Background of the target population of training participants

•

Need for cross-discipline training

•

Need for training in organizational processes

•

Need for training in disciplines related to support functions

•

Need to maintain competencies and qualifications of personnel to continue to perform current and future projects

Example Activities Example Activities

Further Explanation

Determine the roles and skills needed to perform the organization’s set of standard processes and the work to be performed. Determine training needs.

Analyze and prioritize the strategic and short-term training needs taking into account the considerations noted in this practice.

Record and keep updated the prioritized strategic and short-term organization training needs.

For example, training needed to: • Perform roles in the organization’s set of standard processes • Maintain the safe, secure, and continued operation of the business

Review the organization’s training needs periodically and on an event driven basis and update the needs if required.

Example Work Products Example Work Products

Further Explanation

Training needs

OT 3.2 Required Practice Information

Practice Statement Coordinate training needs and delivery between the projects and the organization.

Value Ensure efficient and effective allocation of training resources.

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Explanatory Practice Information

Additional Explanatory Information Organizational training addresses training needs and requirements that are common across projects. The organization’s training personnel may also provide or support the additional training needs of the projects and organization based on the organization’s priorities and training resources.

Example Activities Example Activities Analyze the training needs identified by work and support groups.

Further Explanation Identify common training needs that can be addressed organization wide. Analysis helps predict future training needs that are first visible at the work and support group level.

Coordinate with projects and support groups to determine how training needs will be addressed. Record responsibilities among the organization, project, and support groups for delivering training.

Example Work Products Example Work Products Allocated training needs

Further Explanation May include: • Organization common needs • Project needs • Support group needs

Training delivery responsibilities

Allocated to the: • Organization • Projects • Support groups

OT 3.3 Required Practice Information

Practice Statement Develop, keep updated, and follow organizational strategic and short-term training plans.

Value Ensure personnel are trained to enable them to efficiently and effectively perform their tasks.

Additional Required Information This section left blank for future content.

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261

Explanatory Practice Information

Additional Explanatory Information The strategic training plan describes how the organization will deliver training to meet the recorded long-term needs. The organizational training short-term plan addresses near-term training implementation. Adjust the plans periodically in response to changes and evaluations of effectiveness.

Example Activities Example Activities

Further Explanation

Develop the content of the organizational training strategic plan.

Plan should address:

Develop the content of the organizational training short-term plan.

Organizational training short-term plans typically contain:

• • • • • • • • • • • • • •

Strategic training needs Approach to delivering training Prioritization Timeframes Methods for ensuring training effectiveness Resources Training needs Training topics Schedules and their dependencies Methods used for training Requirements and quality standards for training materials Training tasks, roles, and responsibilities Ensuring training effectiveness Required resources such as: o o o o

Tools Facilities Environments People

Review plans, determine commitments, and communicate the review results to affected stakeholders. Revise the plans and commitments as needed.

Example Work Products Example Work Products

Further Explanation

Organizational training strategic plan Organizational training short-term plan Recorded commitments

Related Practice Areas Planning (PLAN)

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OT 3.4 Required Practice Information

Practice Statement Develop, keep updated, and use a training capability to address organizational training needs.

Value Ensure personnel have the knowledge, skills, and abilities to perform their work efficiently and effectively.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Provide the training to meet the needs of the organization, projects, and support groups.

Example Activities Example Activities Select approaches to satisfy organizational training needs.

Further Explanation To select an approach, consider how to provide skills and knowledge in the most efficient and effective way. Factors that can affect the selection of training approaches, include: • • • • •

Learner knowledge Constraints Costs Schedule Work environment

Examples of training approaches include: • Classroom training • Computer or technology aided instruction, e.g., tutorials, simulations, webinars • Guided self-study • Formal apprenticeship and mentoring programs • Facilitated videos • Chalk talks • Brown bag lunch seminars • Structured on-the-job training Decide whether to develop training internally or to acquire it externally.

Decision criteria may include: • • • • •

Preparation time Cost benefit analysis Availability of in-house expertise Availability of external training Training effectiveness data

Examples of external sources of training may include: • Customer-provided training • Commercially available training courses 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

263 Example Activities

Develop or obtain training materials.

Further Explanation • Academic programs • Professional conferences • Seminars Examples of training materials include: • • • • • • • • •

Curriculum Syllabus Handouts Books Exercise instructions Videos and interactive media Virtual environments Simulations or labs Mobile applications

Identify, train, or hire qualified instructors, instructional designers, or mentors.

For those who develop and deliver internal training, consider:

Describe the training in the organization’s training curriculum.

Examples of information provided in training descriptions include:

• • • •

• • • • • • • • Review training periodically and on an event-driven basis.

Subject matter expertise Relevant training skills and experience Experience in instructional design Mentoring skills

Topics covered in the training Intended audience Prerequisites and participant preparation Training objectives Length of the training Lesson plans Completion criteria for the course Criteria for granting training waivers

For example, review for: • Compliance with defined standards o Instructional design standards o Content standards • Revisions needed in the standards • Effectiveness

Revise training materials as needed. Identify and make available resources for delivering the training. Update the training and development program. Keep training records updated. Communicate availability of training.

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Example Work Products Example Work Products

Further Explanation

Training materials and supporting artifacts List of courses Training records List of instructors

May include certifications and experience.

Instruction design standards Training facilities and resources

Related Practice Areas Decision Analysis and Resolution (DAR)

OT 3.5 Required Practice Information

Practice Statement Assess the effectiveness of the organization’s training program.

Value Keeps the training program relevant and valuable to the business and makes effective use of training resources.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Develop a process to determine how effectively training: •

Improves the capability of people to perform their work

•

Enables achieving performance improvement goals

•

Meets the organization’s needs and objectives

Effective assessment of training includes: •

Pre- and post- training assessments to determine before and after levels of competence

•

Measurement scales of training effectiveness

To ensure that the information is not used for positive or negative individual incentives, individuals’ training effectiveness assessments should not be reported to their managers.

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Example Activities Example Activities Assess the effectiveness of each training course.

Further Explanation Examples of methods used to assess training course effectiveness may include: • Testing in the training context, e.g., meeting learner objectives • Assessment mechanisms embedded in courseware • Evaluations of instructor effectiveness • Pre- and post-training assessments involving training participants and their managers to determine if the training delivered has helped the projects

Assess the effectiveness of the training programs.

Examples of methods used to assess training program effectiveness may include: • Analysis of the improvement in performance of individuals to determine effectiveness of the: o o o o

Training provider Instructors Course materials Overall program

• Process non-compliances; these can be considered as an input and may indicate an issue with the training program • Surveys on the training program effectiveness • Industry standards for benchmarking training effectiveness against behavioral and performance improvements goals

Example Work Products Example Work Products

Further Explanation

Training effectiveness surveys

May include both individual course surveys and overall program surveys

Training program assessments

Assessments may include instructor observations.

Training program analysis results Instructor evaluation forms

May include trend and pattern analysis across multiple courses

Training examinations Training measures

May include: • Pre- and post-training assessment results • Achievement of benchmarking goals

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266

OT 3.6 Required Practice Information

Practice Statement Record, keep updated, and use the set of organizational training records.

Value Records are essential in determining how well the training program supports the achievement of business and performance goals.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Ensure that training records are kept for individuals, projects, and support groups, and organizational training.

Example Activities Example Activities

Further Explanation

Keep and use records of all participants. Keep and use records of all personnel who are waived from training.

Record the rationale.

Keep and use records of the training course and program effectiveness.

May include: • Course evaluations and other feedback mechanisms and information • Improvement of individual performance • Contextual information of provided training: o o o o o

Instructor Course name Provider Date delivered Participants

• Course feedback Make training records available to the appropriate people for consideration in assignments.

Training records may be part of a skills matrix summarizing the experience and education of people.

Example Work Products Example Work Products

Further Explanation

Training records

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Peer Reviews (PR)

Required PA Information

Intent Identify and address work product issues through reviews by the producer’s peers or Subject Matter Experts (SMEs).

Value Reduce cost and rework by uncovering issues or defects early.

Additional Required PA Information This section left blank for future content.

Explanatory PA Information

Practice Summary Level 1 PR 1.1

Perform reviews of work products and record issues.

Level 2 PR 2.1

Develop and keep updated procedures and supporting materials used to prepare for and perform peer reviews.

PR 2.2

Select work products to be peer reviewed.

PR 2.3

Prepare and perform peer reviews on selected work products using established procedures.

PR 2.4

Resolve issues identified in peer reviews.

Level 3 PR 3.1

Analyze results and data from peer reviews.

Additional PA Explanatory Information Performing peer reviews helps to find issues and remove defects from work products early. A peer review is an important and effective verification, validation, and assurance activity. Peer reviews may be implemented via inspections, structured walkthroughs, audits, or other review methods. Peers or relevant SMEs methodically and objectively examine work products to identify defects for removal. Teams performing peer reviews can benefit from: •

Defining selection criteria to focus on the most important areas

•

Selecting what to peer review

•

Performing peer reviews thoroughly with multiple view points

•

Analyzing data to identify quality trends and improvements

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Issues found during peer reviews may include: •

Defects related to work products

•

Performance or functional issues

•

Process-related issues

•

Cost, risk, and schedule issues

Performing a peer review includes: •

Preparing for review

•

Selecting methods or techniques

•

Reviewing the work products

•

Recording the data

Perform peer reviews incrementally as work products are developed. Peer reviews are structured and are not management or status reviews. Peer reviews can be applied to any work product regardless of who produced it. The focus of the peer review should be on the work product, not on the author. When defects are identified during a peer review, communicate them to the author for correction. The most effective peer reviews ensure that participants are objective and candid about their evaluations. Protect peer review data collected to prevent inappropriate use, such as: •

Disciplining or rewarding people

•

Publicly criticizing or praising performance

•

Violating data security and privacy laws

Related Practice Areas Verification and Validation (VV)

Context Specific Agile with Scrum Guidance Context Tag:

Agile with Scrum

Context:

Use processes to adapt agile with Scrum techniques.

Figure PR-1 is an example of where peer reviews can be performed in an agile project using Scrum. Examples may include: •

Performing backlog grooming

•

Demonstrating completed stories during the sprint review with product owner

•

Using pair, team, or mob programming during each sprint

•

Reviewing design, test plans, test cases, and code work products

•

Performing peer reviews thoroughly with multiple viewpoints

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Figure PR-1: PR in an Agile Framework

Agile teams benefit from systematically performing peer reviews of selected work products that affect quality. Performing backlog grooming and a sprint demo would not consistently be as thorough.

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Level 1 PR 1.1 Required Practice Information

Practice Statement Perform reviews of work products and record issues.

Value Improves work product quality and reduces cost and rework by uncovering issues early.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Example Activities Example Activities

Further Explanation

Review work products to identify issues. Record results.

Example Work Products Example Work Products List of issues from work product reviews

Further Explanation Identifies the: • Work product reviewed • Issues

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271

Level 2 PR 2.1 Required Practice Information

Practice Statement Develop and keep updated procedures and supporting materials used to prepare for and perform peer reviews.

Value Maximizes efficiency and effectiveness of finding issues in peer reviews.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Example Activities Example Activities

Further Explanation

Record and keep updated peer review procedures. Record and keep updated related supporting materials.

Example Work Products Example Work Products

Further Explanation

Procedures for preparing for and performing peer reviews

Procedures may include:

Supporting materials

May include:

• • • • • • •

Criteria for selecting and reviewing work products Selecting work products Deciding peer review type Work product evaluation criteria Selecting participants and assigning roles Preparing and distributing review material Peer review steps

• Work product standards and templates • Work product functionality and quality attributes • Common issues or defect types The above items may be included as part of a checklist.

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PR 2.2 Required Practice Information

Practice Statement Select work products to be peer reviewed.

Value Targeting critical work products for peer review helps to manage cost.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Example Activities Example Activities Evaluate the criticality of the work product.

Further Explanation It may not be possible to review every work product. For large or complex work products, it may not be possible to review the entire work product. The evaluation should consider the highest priority work products or elements. Example criteria include: the most critical section, the most used by the user, the costliest if defective, the most errorprone, the least well understood section, or the most frequently changed section.

Determine and record the review type to use.

Different work products may be more effectively reviewed using different techniques or methods. Types of peer reviews may include: • Inspections • Structured walkthroughs • Perspective-based reviews, which involve assigning reviewer perspectives such as: o Standards o Domains o Types of issues • Objective evaluations

Example Work Products Example Work Products

Further Explanation

Work product selection criteria List of selected work products

Include the: • Work product • Review type

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PR 2.3 Required Practice Information

Practice Statement Prepare and perform peer reviews on selected work products using established procedures.

Value Thorough and consistent review with early detection of work product issues leads to reduced cost.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Example Activities Example Activities Develop schedule.

Further Explanation This should be integrated with the work schedule.

Follow procedures. Record results from the peer reviews and the data from the process.

May include: • List of issues found in the peer reviews • Data related to process aspects, e.g., prep time, number of work products, time spent in peer reviews

Communicate results to affected stakeholders.

Results include the peer review process data and the issues.

Example Work Products Example Work Products

Further Explanation

List of work products Schedule

May include: • Planned date, time, and duration • Reviewers

Peer review results

May include: • • • •

Completed supporting materials Issues Action items Data which may include: o o o o o o o o

Time spent in preparing for and performing the review Role and number of reviewers Number and type of issues, defects, or actions The size of the work product examined Type of peer review Resolution of issues or defects Estimated rework time Defect origin

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274 Example Work Products

Further Explanation o Number of issues or defects expected o Causes of defects o Affected stakeholders

Related Practice Areas Managing Performance and Measurement (MPM)

PR 2.4 Required Practice Information

Practice Statement Resolve issues identified in peer reviews.

Value Reduces rework, costs, and increases quality.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Example Activities Example Activities

Further Explanation

Resolve issues. Record resolutions and results and communicate to affected stakeholders.

Include expectations for when actions will be closed by affected stakeholders.

Example Work Products Example Work Products

Further Explanation

Resolution of issues Results

May include data resulting from the review.

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Level 3 PR 3.1 Required Practice Information

Practice Statement Analyze results and data from peer reviews.

Value Increases the efficiency and effectiveness of the process for performing peer reviews.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information One of the primary objectives of peer reviews is to identify and remove defects early in the project. Analysis of results can help identify trends in defect injection and sources and types of defects. In addition, it is important to analyze data about the preparation and conduct of peer reviews in order to determine the efficiency and effectiveness of the peer review process.

Example Activities Example Activities

Further Explanation

Analyze peer review process data and the results from the peer review. Record and communicate analysis results.

This typically includes: • • • • • • •

When defect was injected Preparation time or rate versus expected time or rate Number of issues versus number expected Types of issues detected Causes of issues Issue resolution impact Stakeholders associated with issues

Example Work Products Example Work Products Analysis results

Further Explanation Analysis of peer review data can aid in avoiding, minimizing, or preventing future issues or defects. Types of analysis may include: • Causal analysis • Trend analysis • Common issue resolution analysis

Related Practice Areas Managing Performance and Measurement (MPM) Causal Analysis and Resolution (CAR) 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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Planning (PLAN)

Required PA Information

Intent Develop plans to describe what is needed to accomplish the work within the standards and constraints of the organization, including the: •

Budget

•

Schedule

•

Resource demand, capacity and availability

•

Quality

•

Functionality requirements

•

Risks and opportunities

Plans also describe: •

The work to be performed

•

Applicable organizational set of standard processes, assets, and tailoring guidelines

•

Dependencies

•

Who performs the work

•

Relationships with other plans

•

Stakeholders and their role

Value Optimizes cost, functionality, and quality to increase the likelihood of meeting objectives.

Additional Required PA Information Planning includes developing budgets and schedules based on estimates; identifying the appropriate set of stakeholders and tasks; managing risks; determining the necessary resources; and developing and keeping the project plan updated to reflect how to perform the work. An important aspect of planning is capacity and availability management. Capacity and availability management activities can be performed at different levels of the organization and applied to any type of work. Capacity and availability management activities typically involve: •

Developing a capacity and availability management approach and keeping it updated

•

Providing and allocating resources

•

Monitoring, analyzing, understanding, forecasting, adjusting, and reporting on current demand for: o

Work activities

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•

o

Services

o

Solutions and Deliverables

o

Resources

o

Capacity and availability

o

Service or service system performance

o

Availability

Determining corrective actions to ensure appropriate capacity and availability while balancing costs against resources needed and supply against demand

Explanatory PA Information

Practice Summary Level 1 PLAN 1.1

Develop a list of tasks.

PLAN 1.2

Assign people to tasks.

Level 2 PLAN 2.1

Develop and keep updated the approach for accomplishing the work.

PLAN 2.2

Plan for the knowledge and skills needed to perform the work.

PLAN 2.3

Based on recorded estimates, develop and keep the budget and schedule updated.

PLAN 2.4

Plan the involvement of identified stakeholders.

PLAN 2.5

Plan transition to operations and support.

PLAN 2.6

Ensure plans are feasible by reconciling available and estimated resources.

PLAN 2.7

Develop the project plan, ensure consistency among its elements, and keep it updated.

PLAN 2.8

Review plans and obtain commitments from affected stakeholders.

Level 3 PLAN 3.1

Use the organization’s set of standard processes and tailoring guidelines to develop, keep updated, and follow the project process.

PLAN 3.2

Develop a plan and keep it updated, using the project process, the organization’s process assets, and the measurement repository.

PLAN 3.3

Identify and negotiate critical dependencies.

PLAN 3.4

Plan for the project environment and keep it updated based on the organization’s standards.

Level 4 PLAN 4.1

Use statistical and other quantitative techniques to develop and keep the project processes updated to enable achievement of the quality and process performance objectives.

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Additional PA Explanatory Information The term project plan refers to the overall plan for managing the project and includes a coherent picture of who does what and when they do it. The project plan can be a stand-alone document or distributed across multiple documents and provides a way to track and communicate actual progress and to determine and take corrective action. As the project progresses, revise the project plan to address changes in requirements, commitments, inaccurate estimates, corrective actions, and methods of performing activities. When planning resources, always consider capacity and availability. Capacity is the degree to which resources can support the work, while availability is the degree to which the resources are accessible when needed. Management of capacity and availability provides the sustained resources to meet requirements in a cost-effective manner. Examples of capacity include: •

Number of people resources with specified skills

•

Number and types of workstations

•

Server capacity

•

Network bandwidth

•

Office space

•

Tools

Examples of availability include: •

Business operating hours

•

Service or system uptime

•

Consumables, e.g., forms, pens

•

Staffing calendars

•

Number of parking spaces

Related Practice Areas Estimating (EST) Monitor and Control (MC) Risk and Opportunity Management (RSK)

Context Specific Agile with Scrum Guidance Context Tag:

Agile with Scrum

Context:

Use processes to adapt agile with Scrum techniques.

Figure PLAN-1 states where planning is typically performed in an agile project using Scrum. Table PLAN-1 shows example planning information and related model practices.

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Figure PLAN-1: Planning in an Agile Framework

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Table PLAN-1: Planning Information & Related Model Practices

Typical agile planning practices result in the following plan information: •

Product Backlog: A prioritized collection of user stories or epics that represent the entire set of known stories. Stories in the product backlog are often not yet estimated and are typically developed by the product owner, with assistance from business analysts and other team members.

•

Sprint Backlog: The collection of user stories or epics selected for the sprint that will be estimated and further broken down into tasks by the agile team. The sprint backlog is a forecast of what the team believes can be accomplished during the sprint.

•

Story Responsibility: Team members “self-subscribe” to user stories and commit to completing them during the sprint. Responsibility for each story is usually recorded on a task board and can be redistributed as needed to manage the workload of the team (see Table PLAN-1).

•

Schedule: Each sprint has a fixed duration (usually 2-4 weeks) and the collection of sprints defines the total anticipated release schedule.

•

Budget: Agile teams typically adhere to a fixed team, fixed time-box model that, when examined in aggregate, helps to identify key drivers of the project’s budget.

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Context Specific Development Context Tag:

CMMI-DEV

Context:

Use processes to develop quality products and services to meet the needs of customers and end users.

Most engineering disciplines can benefit from project planning practices and include examples such as: •

Software development

•

Hardware development

•

Systems development

•

Manufacturing or product lines, such as in:

•

o

Developing and maintaining core assets, e.g., components, tools, architectures, operating procedures, software

o

Supporting the use of core assets

o

Developing each individual system from core assets

o

Coordinating the overall effort of developing, using, and improving the core assets

Construction and maintenance

Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

Responding to service requests may require detailed, frequently revised plans for allocating resources to tasks and managing the task queue, e.g., assigning repair jobs in a maintenance shop. Consider these low-level operating plans as an extension of the overall service plan. When planning for transitions in services or service system components, e.g., archival of a service, upgrade technology and account for all operational and support activities affected by the transition. Typically, organizations record this information in a transition plan. When planning for services, consider plans for service continuity. Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

Planning for supplier management is based on the acquisition strategy. The acquisition strategy is a guide for directing and controlling the work, and a framework for integrating activities essential to acquiring an operational solution. When needed, a supplier management approach should be developed and included as part of the planning activities and should include such items as: 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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•

Availability of assets and technologies

•

Supplier management objectives and constraints

•

Consideration of supplier selection and management methods

•

Potential supplier agreement types and terms

•

Accommodation of end user considerations

•

Consideration of supplier risk

•

Support for the project supplier management activities throughout the project lifecycle

This involves the development and maintenance of plans for all supplier management processes, including plans required for effective acquirer-supplier interaction. Once the supplier agreement is signed and schedules, costs, and resources from the supplier are established, the acquirer takes the supplier estimations for the project into account, at an appropriate level of detail, in its project plan. Planning for supplier management also includes establishing and maintaining a plan for the orderly, smooth transition of the acquired product from a supplier to its use by the acquirer or the acquirer’s customers. In addition, if an existing product is to be replaced as part of the acquired solution, the acquirer may be required to consider the disposal of the existing solution as part of the planning for acquiring the new solution. All transition activities are included in the project plan and provisions for accommodating such specialized requirements are also included.

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Level 1 PLAN 1.1 Required Practice Information

Practice Statement Develop a list of tasks.

Value Ensure that the work needed to meet customer requirements is identified to increase customer satisfaction.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information This section left blank for future content.

Example Activities Example Activities

Further Explanation The level of detail of the task descriptions will vary based on the size and complexity of the tasks.

Develop a task list. Review the task list with affected stakeholders. Revise the list as needed.

Example Work Products Example Work Products Task list

Further Explanation Includes: • Tasks to be performed and their timeline • Description of activities to assist in: o Assigning team members o Understanding what is expected

Context Specific Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

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When providing a service, it is important to know and list what resources are available for performing the tasks needed to deliver the service. Identify needed and available resources to understand where the service may use resources. This can also help identify where shortages may occur. Unrecognized shortages may cause the organization to miss business objectives. Activities can include: •

Developing the task list

•

Developing a list of needed resources by task

•

Developing a list of the available resources

The task list may include a high-level description of the tasks that need to be performed to meet requirements or agreements. Include: •

Resource identifiers, i.e., a labor category for a human resource

•

Descriptions of needed skills for the personnel resources, i.e., human resources, training, professional certifications

•

Descriptions of needed equipment, tools, or facilities

PLAN 1.2 Required Practice Information

Practice Statement Assign people to tasks.

Value Ensure that tasks will be performed to meet requirements and satisfy the customer.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Ensure all tasks are assigned to specific members of the project, and ensure that they know which tasks they are responsible for completing. Identify the needed skills, experience, abilities, and responsibilities needed to accomplish each task.

Example Activities Example Activities

Further Explanation

Assign an individual who is responsible for each task.

Identify an individual with the skill and experience needed to accomplish the task.

Assign any additional people to the task.

Determine the project load and the abilities of the individuals as a part of assigning them to the task.

Review assignments with the assigned individuals.

Ensure that the assigned individuals understand what is needed to complete the task assignment.

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285 Example Activities Record assignments in task list.

Further Explanation Include feedback from assigned individuals on what is needed to accomplish the project.

Example Work Products Example Work Products Task list with assignments

Further Explanation Includes: • Tasks • Description of each task • Name of the person or people assigned to work on that task

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Level 2 PLAN 2.1 Required Practice Information

Practice Statement Develop and keep updated the approach for accomplishing the work.

Value Maximize project success by keeping the affected stakeholders focused on accomplishing their specific objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information The approach is particularly valuable for making decisions when requirements and work changes. Identify the approach, and the priority of objectives for addressing requirements and accomplishing the work. Strategy and approach typically include: •

Business considerations

•

Objectives and constraints

•

Possible approaches to meeting those objectives and constraints

•

Requirements

•

Project lifecycle description

•

Needed resources, e.g., skills, environment, tools, new technologies

•

Risks associated with the above and how they will be mitigated

Example Activities Example Activities

Further Explanation

Identify the objectives of the project.

Describe what the project is trying to accomplish in terms of expected outcomes.

Identify the approach to be used to achieve objectives.

Describe the why and how:

Identify requirements.

Record how requirements will be addressed in the approach.

Record business considerations.

Business considerations may include:

• • • •

Tasks and how they are performed The work is going to be done Methods or techniques will be used How resources will be provided to support and accomplish the work

• Potential costs and benefits • Intellectual property • Competitive climate 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

287 Example Activities • • • • Define and record the project lifecycle.

Further Explanation Long-term needs and profit margins Core competencies to be enhanced Core competencies needed from other parties Future trends

The project lifecycle describes the major phases and activities needed to accomplish the work. The determination of a project’s lifecycle phases provides for planned periods of evaluation and decision making. These periods normally define logical points in the project plan, strategy, and approach to identify when decisions are needed to: • Stay on course • Change course including: o o o o

re-estimating cost and scope re-renegotiating commitments re-planning resource usage adjusting budget and schedule

• Stop work Understanding the project lifecycle is crucial in determining the scope of the planning effort and the timing of initial planning, as well as the timing and criteria (critical milestones) for re-planning. Define the project lifecycle phases based on the requirements, the estimates for project resources, and the nature of the work. Identify major resource needs and constraints.

Identify resource needs and the suppliers of these resources. For example: • Capacity and availability • Other groups in the organization • External suppliers

Identify stakeholders. Record agreements with stakeholders.

Decide the nature of these agreements by considering each party’s needs, objectives, expectations, constraints, and risks.

Identify risks. Identify safety and security approaches.

Consider safety and security in all major planning activities.

Review the project approach with affected stakeholders and obtain agreement.

Review the approach from the following key business perspectives: • • • •

Are these the right objectives? Is the approach feasible? Will the project be subjected to excessive risk? What safety and security issues are addressed and how well are they handled?

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288 Example Activities Revise the approach as necessary.

Further Explanation It may be necessary to refine the approach to reflect changes in the objectives, approach, availability of resources, market conditions, customer needs, technologies, etc.

Example Work Products Example Work Products

Further Explanation

Recorded approach for accomplishing the objectives Recorded project lifecycle

Related Practice Areas Risk and Opportunity Management (RSK)

Context Specific Development Context Tag:

CMMI-DEV

Context:

Use processes to develop quality products and services to meet the needs of customers and end users.

Larger development projects can contain multiple phases, such as concept exploration, development, production, operations, and disposal. A development phase can include subphases such as requirements analysis, design, fabrication, integration, and verification. The determination of project phases typically includes selection and refinement of one or more development models to address interdependencies and appropriate sequencing of the activities in the phases. Depending on the strategy for development, there can be intermediate phases for the development of prototypes, increments of capability, or spiral model cycles. In addition, include explicit phases for startup and close-out as needed. Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

The service approach can play various roles, but initially, it serves as the basis for senior management to approve and commit resources. Revise the service approach through planning when identifying the solution, processes, resources, and risks. A service approach can be developed by the organization, by prospective service personnel, e.g., in collaboration with potential customers and suppliers, or by some other combination of parties with a strategic business view of the service. The service approach can include a high-level description of the service, the development approach, and the delivery approach and approached for automated service delivery, as appropriate. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

289

Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

The acquisition strategy defines the approach for formulating solicitation packages, supplier agreements, and plans. The strategy evolves over time and should continuously reflect the status and desired end of the work. The acquisition strategy establishes the acquisition phases, milestone decision points, and accomplishments for each acquisition phase. Develop the acquisition strategy from an understanding of the acquisition work and environment. The acquirer considers the: •

Potential value or benefit of the acquisition

•

Risks or opportunities

•

Constraints

•

Experiences with different types of suppliers and agreements

The acquisition strategy includes: •

Acquisition objectives and constraints

•

Asset and technology availability

•

Consideration of acquisition methods

•

Potential supplier agreement types

•

Terms and conditions

•

End user considerations

•

Risk and opportunity considerations

•

Core asset development and maintenance considerations

•

Operational support processes

A well-developed acquisition strategy minimizes the time and cost required to satisfy approved capability needs and maximizes affordability throughout the lifecycle. When an acquisition uses an evolutionary lifecycle, the strategy may describe the function, and how the acquirer and supplier will fund, develop, test, produce, and support the increasing functionality of the solution. Business considerations for the acquisition strategy may include: •

Type of competition planned for all phases of the acquisition or an explanation of why competition is not practical or not in the best interests of the acquirer

•

Developing or keeping updated access to competitive suppliers for critical solutions or solution components

•

Availability and suitability of commercial items and the extent to which interfaces or connections for these items have broad market acceptance, standards, organization support, and stability

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•

Both international and domestic sources that can meet the required need consistent with organizational policies and regulations

•

Critical technologies

•

Data rights

•

Product line considerations

•

Socio-economic constraints

•

Safety and health issues

•

Security issues, including physical and information technology

•

Other business-oriented solution quality characteristics that can be market differentiators or mission critical, e.g., solution responsiveness, platform openness, availability, sustainability

The acquisition strategy explains the planned acquisition incentive structure. This may include providing incentives for delivering the solution at or below the established cost targets, while satisfying requirements. Consider using incentives to manage risks. If operations and maintenance support is going to be performed by an organization different from the supplier, define a sufficient overlap period to ensure a smooth transition. The acquirer’s sustainment organization or supplier typically participates in the development of the solution support strategy.

PLAN 2.2 Required Practice Information

Practice Statement Plan for the knowledge and skills needed to perform the work.

Value Enables efficient and effective use of personnel resources.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Assess each individual’s knowledge and skills against the critical skills required for work assignments to decide if training in these skills is needed. Examples of critical skills include the ability to: •

Execute specific processes

•

Perform tasks within specific time limits

•

Perform tasks to defined accuracy

•

Use equipment safely and effectively

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•

Follow instructions

•

Interpret information

•

Organize actions, material, or people

•

Communicate to perform assigned tasks. Examples of communication skills include: o

Literacy in one or more of the languages used in the organization

o

Knowledge of local jargon or technical terms

o

Knowledge of communication protocols

o

Oral presentation skills

o

Negotiating skills

o

Writing skills

o

Ability to use communication media

Examples of items to be considered when evaluating knowledge and skills may include: •

Individual’s personal assessment

•

Individual’s previous experience

•

Performance feedback sessions and reviews

•

Tests

•

Training records

Example Activities Example Activities

Further Explanation

Identify the knowledge and skills needed to perform the work. Determine the gaps between the knowledge and skills needed versus those held by the currently assigned people. Select methods for providing needed knowledge and skills.

Training may be either in-house (both organizational and project) or external. Methods may include: • • • • • • • • •

Staffing and new hires Classroom instruction Online or computer-aided training Apprenticeship or mentoring programs Job rotation or cross-training Conferences, seminars, workshops, and tutorials College and university courses Videos Directed self-study courses

Incorporate selected methods into the project plan.

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Example Work Products Example Work Products Inventory of skill needs

Further Explanation Results may include the following needs: • Skills • Experience • Training

Related Practice Areas Organizational Training (OT)

Context Specific Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

For long-duration and continuous-operation services, the knowledge and skills needed change as: •

Personnel rotate in and out of the projects (or from one service type to another)

•

Technology used in the service system or for an individual service changes

•

Processes and technology used in the development or customer environments change

For example, a personnel change triggers the need to reevaluate the knowledge and skills required for new team members. The types of knowledge and skills needed may change during different phases of the service lifecycle, when adding new services, or changing service levels. Plan for needed knowledge and skills to better address these sources of change. Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

The acquirer plans for knowledge and skills required by the acquisition team to perform their tasks. For example, if the acquirer is purchasing a software-intensive solution, ensure that the assigned acquisition personnel have expertise in systems and software engineering or the acquirer will train personnel in these areas. The acquirer requires that personnel have orientation and training in acquirer processes and domain knowledge. Personnel involved in receiving, storing, using, and supporting the acquired solution also may need appropriate training. The acquirer also plans for knowledge and skills needed from the supplier. For example, the acquirer can provide role descriptions and skill profiles to the supplier as part of the solicitation package.

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PLAN 2.3 Required Practice Information

Practice Statement Based on recorded estimates, develop and keep the budget and schedule updated.

Value Early detection of significant deviations from the budget and schedule enables timely management and corrective actions needed to achieve objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Record and maintain the budget, effort, and duration needed to accomplish the work.

Example Activities Example Activities

Further Explanation

Identify major milestones.

Milestones can be event-based or time-based.

Identify schedule assumptions.

Assumptions are frequently made on items with little, if any, available estimation data. Identifying assumptions about activity duration provides insight into the confidence level (i.e., uncertainties) in the overall schedule.

Identify constraints.

Identify factors that limit planning flexibility as early as possible. Examining solution and task characteristics identifies these issues. Constraints may include: • Customer requirements • Resources • Defining dependencies among activities (predecessor or successor relationships) • Supplier availability

Identify task dependencies.

A critical part of ordering tasks for a project is identifying task dependencies. Tools and inputs that can help determine the optimal ordering of task activities may include: • • • • • •

Identify resources.

Critical Path Method (CPM) Program Evaluation and Review Technique (PERT) Resource limited scheduling Customer priorities User or end user value Work packages

Project resources may include: • Staffing needs and costs

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294 Example Activities

Further Explanation o Base staffing decisions on projects, tasks, roles and responsibilities, and the knowledge and skills required for each position • • • • • • •

Equipment Environment Materials Facilities Consumables Access to intellectual property Transportation, e.g., people and materials

Identify and analyze risks.

Review and analyze identified constraints and record them as risks if they potentially impact the budget or schedule.

Based on estimates, develop the budget and schedule, and keep them updated.

Often includes:

Establish corrective action criteria.

Establish criteria to determine what constitutes a significant deviation from the project plan. A basis for gauging issues and problems is necessary to decide when to take corrective action.

• Estimating size, complexity, effort, duration, and cost • Defining the committed or expected availability of resources • Determining the time phasing of activities • Determining a breakout of subordinate schedules • Defining schedule activities of appropriate duration • Identifying releases or increments for the delivery of solutions • Using appropriate historical data to verify the schedule • Defining incremental funding requirements • Updating project assumptions and rationale • Updating risks • Defining a management reserve based on the risks to the schedule and budget

Example Work Products Example Work Products

Further Explanation

Budget

The budget should be based on tasks and resources.

Schedule

The schedule should be based on tasks, resource availability, and dependencies. The schedule and Work Breakdown Structure (WBS) should be aligned to the project lifecycle. May include a: • WBS or list of tasks and activities • Task dictionary

Resource plan

May include: • Personnel requirements based on work size and scope • Critical facilities and equipment list

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Related Practice Areas Estimating (EST) Risk and Opportunity Management (RSK)

Context Specific Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

Individual service requests, e.g., to repair a piece of equipment in a remote facility, transport a package to a destination, can have individual milestones, task dependencies, resource allocations, and scheduling constraints. Consider these milestones together and coordinate with larger budgeting and scheduling activities. Develop communication methods during service system development. Review, tailor, and possibly supplement communication methods regularly to meet ongoing service delivery needs. Budget development for service-related activities may include: •

Service components consumed during the lifecycle of a service request or for multiple service requests that span multiple customers

•

Type of resources required, e.g. 24-hour available resources for VIP services

•

Expected number of service requests considered in a service agreement

•

New resources that need to be added, purchased or modified to comply with current or future demand

Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

For the duration of the work, define, track, and keep updated: •

Budget and schedule, including both acquirer and supplier activities

•

Critical dependencies of supporting organizations, including any suppliers that support the acquirer

PLAN 2.4 Required Practice Information

Practice Statement Plan the involvement of identified stakeholders. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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Value Ensures that stakeholder needs are addressed when they arise, reducing the amount and cost of rework.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Stakeholder involvement allows the project to focus on: •

Developing the right solutions

•

Delivering adequate services

•

Acquiring compatible solutions that provide the required functionality

Identify personnel who must be included in the project for it to be accomplished in accordance with requirements. Affected stakeholders may include: •

People and functions that should be represented o

Those affected by the activity

o

Those who have the needed expertise to perform the activity

Affected stakeholders are those who will participate in the project’s activities. The list of affected stakeholders may change as work progresses. It is important to ensure that affected stakeholders have early input to the planning of the project. Some stakeholders, such as higher levels of management and customers, may have no formal role in the project, but are invested in the outcome. Consult these stakeholders for advice and consent when the scope may change.

Example Activities Example Activities

Further Explanation

Develop a list of stakeholders. Identify the involvement of each stakeholder.

Describe how and why each stakeholder is involved and what is required of them.

Record when the involvement is required.

Address the timing and sequencing for stakeholder input and involvement.

Example Work Products Example Work Products Stakeholder involvement plan

Further Explanation May include: • • • •

Responsible, Accountable, Support, Consulted, Informed (RASCI) table

List of affected stakeholders Rationale for involvement Relationships, roles, and responsibilities Schedule of interaction

Defines the RASCI for activities and work products.

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Context Specific Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

Plan for the involvement of stakeholders with service system transition activities, e.g., inclusion of a new product, update of technology for service system components. Affected stakeholders include customers, end users, provider personnel, senior management, external suppliers, and anyone else who should be aware of expected changes. Consider the magnitude of the change in planning for the appropriate level of detail and involvement during the transition. Example mechanisms for involving stakeholders of service system transitions include: •

Automatic notifications from the service system

•

Posted information within the service system

•

Progress reviews, discussions, or approaches

•

Communications through newsletters

•

Updates of user guides and user procedures

•

Updates of user training

Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

Stakeholders can include acquirers, supplier team members, end users, and other involved parties. When acquiring complex integrated solutions involving multiple suppliers, the acquirer needs to ensure coordination between all stakeholders. This planning typically includes steps for developing and keeping updated supplier agreements with these stakeholders, e.g., interagency and intercompany agreements, memoranda of understanding, memoranda of agreement.

PLAN 2.5 Required Practice Information

Practice Statement Plan transition to operations and support.

Value Minimizes surprises and rework during adoption and deployment.

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Additional Required Information Planning for transition should be considered part of the initial planning for the project. Even in the case of small projects, transition and delivery of the solution must be addressed.

Explanatory Practice Information

Additional Explanatory Information Plans for the transition to operations and support include the: •

Approach for introducing and maintaining readiness

•

Sustainment

•

Operational capability of the solutions

•

Assignment of responsibility for the transition, delivery, and support

•

Activities needed to manage the transition

•

Support for the solution in its intended environment, including: o

Definition of transition readiness criteria

o

Reviews with affected stakeholders

•

Handling of potential risks

•

Changes to the solution over time

•

Eventual removal of the solution from operational use

Example Activities Example Activities

Further Explanation

Determine transition scope and objectives. Determine transition requirements and criteria.

Includes timing, dependencies, and other high-level elements of moving the solution into operations.

Determine approach to transition. Develop schedule for transition. Determine transition responsibilities and resources including post-transition support.

If the project team is not responsible for transition, described who is responsible. Includes: • Transition infrastructure • Future enhancements

Determine operations and support training needs.

Identifies any additional skills, experience, or knowledge needed for successful and smooth operation.

Example Work Products Example Work Products Plans for transition to operations and support

Further Explanation May include: • Scope and objectives • Assignment of responsibility • Transition processes and procedures

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299 Example Work Products

Further Explanation • Activities needed to manage the transition and support the solution in its intended environment • Risks • Evaluation methods and acceptance criteria to ensure the transition of the solution to operations and support • Readiness criteria for the operations organization and environment • Transition of intellectual property or other assets to the designated repository • Resolution steps if problems are encountered • Readiness criteria for the solutions • Readiness criteria for the solution support organization • Identification of the maintenance organization

PLAN 2.6 Required Practice Information

Practice Statement Ensure plans are feasible by reconciling available and estimated resources.

Value Increases likelihood that the objectives will be achieved by ensuring that needed resources are available and committed to throughout the project.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Overcommitted resources can be reconciled by: •

Resource leveling the schedule

•

Modifying or deferring requirements

•

Negotiating more resources

•

Finding ways to increase productivity

•

Modifying or negotiating the scope of work involved, such as phased delivery

•

Outsourcing

•

Adjusting the personnel skill mix

•

Revising all plans that affect the project or its schedules

•

Identifying tools, techniques, and methods that could reduce time or cost

•

Implementing incremental delivery

•

Renegotiating stakeholder commitments

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300

Manage individual project assignments to balance committed work among individuals and projects: •

Evaluate individual workloads periodically to ensure they are balanced. Adjust individual commitments as needed to improve balance and avoid over commitment.

•

When individuals’ work is nearing completion, seek opportunities to apply their effort to other business activities.

•

Ensure the manager of an individual committed to work on several projects: o

Ensures the combined commitments do not result in over commitment

o

Coordinates expectations for timing of work and results

o

Resolves conflicts among project commitments

Example Activities Example Activities Perform resource leveling to adjust scheduling of tasks and resources.

Further Explanation Resource leveling balances the demand for resources with their availability.

Ensure commitments are supported by adequate personnel or other required resources. Negotiate commitments with affected stakeholders.

Example Work Products Example Work Products

Further Explanation

Revised plan and commitments

Context Specific Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

While selecting a supplier and negotiating the supplier agreement, the acquirer reconciles overall work and resource levels based on supplier proposals. After completing the supplier agreement, the acquirer incorporates the supplier’s plans at an appropriate level of detail to support plan alignment. For example, an acquirer can incorporate major supplier milestones, deliverables, and reviews. The resource plan should plan for personnel with the appropriate training and experience to evaluate supplier proposals and participate in negotiations with suppliers. The resource plan identifies the work resources expected from the supplier, including critical facilities or equipment needed. Revise the resource plan based on the supplier agreement or changes in environment conditions.

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301

PLAN 2.7 Required Practice Information

Practice Statement Develop the project plan, ensure consistency among its elements, and keep it updated.

Value A consistent project plan helps to ensure efficient and effective communication and achievement of objectives.

Additional Required Information A plan addresses the planning and management of work activities collectively. A plan is more than just a list of scheduled activities and tasks. It includes an approach for how the work is to be performed and managed. Developing and using a project plan includes these iterative activities: •

Identifying required tasks, including the activities and their interdependencies to be used for tracking and managing the project

•

Using estimates to: o

Develop a budget and schedule

o

Determine the resources required

•

Determining the tasks and their interrelationships

•

Assigning roles and responsibilities for performing the tasks

•

Identifying realistic performance data and objectives: o

Determining if objectives can be achieved as the project progresses

o

Evaluating alternative objectives when the objectives cannot be met

•

Identifying and analyzing risks or opportunities

•

Determining information and data management needs and how they will be addressed

•

Identifying and interacting with affected stakeholders to adequately address technical and support activities in project plans

•

Negotiating and obtaining commitment to the project plan

Explanatory Practice Information

Additional Explanatory Information The project plan can include multiple plans. The plan generated for the project defines all aspects of the effort, tying together the following in a logical manner: •

Tasks

•

Budgets and schedules

•

Milestones

•

Information management and governance

•

Risks

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302

•

Resources and skills

•

Stakeholder roles and involvement

•

Infrastructure

•

Improvement and sustainment activities

•

Other plans, such as: o

Configuration management or release plan

o

Individual work plans

o

Quality plan

o

Measurement and data management plan

o

Risk or opportunity management plan

o

Supplier management plan

A plan provides the basis for: •

Monitoring and managing project performance

•

Taking timely corrective actions to ensure the objectives will be met

•

Re-planning when needed

Example Activities Example Activities

Further Explanation

Record the project plan. Review the project plan with affected stakeholders.

Ensure that the project plan describes a realistic approach for meeting the needs, expectations, and constraints of affected stakeholders and helps ensure that these affected stakeholders will fulfill their roles.

Revise the project plan as necessary.

Planning is an iterative activity.

Example Work Products Example Work Products Overall project plan

Further Explanation A project plan may be composed of multiple plans (which may be separate or combined into one or more documents) such as: • • • • • • • • • •

Staffing plans Stakeholder involvement plans Performance improvement and sustainment plans Measurement and analysis plans Monitoring and control plans Solicitation plans Risk and opportunity management plans Transition plans Quality assurance plans Configuration management plans

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303

PLAN 2.8 Required Practice Information

Practice Statement Review plans and obtain commitments from affected stakeholders.

Value Rework is reduced and the likelihood of achieving objectives is increased through a consistent understanding and commitment to the plan.

Additional Required Information This section left blank for future content

Explanatory Practice Information

Additional Explanatory Information All plans that affect the project should be reviewed to obtain a common understanding of the scope, objectives, roles, responsibilities, and relationships. Ensure that individuals or groups making a commitment are confident that the project can be performed within cost, schedule, and performance constraints.

Example Activities Example Activities

Further Explanation

Ensure individuals are involved in reviewing the work they are responsible for and the inputs that initiate the work.

Review the decisions, agreements, and related information needed to understand requirements and plans necessary for accomplishing the work.

Record commitments.

• A commitment is a pact that is freely assumed, visible, and expected to be kept by all involved • Ensure individuals and workgroups make commitments for work they will be accountable for performing • Commitments can be internal and external • Record commitments to ensure a consistent mutual understanding and for project tracking and maintenance. Provisional commitments should include a description of risks associated with the relationship.

Review and approve project commitments.

• Work with the appropriate levels of management as defined by the process • The plan for stakeholder interaction should identify all parties from whom commitment should be obtained

Example Work Products Example Work Products Results of plan reviews

Further Explanation Reviews will help identify issues that lead to misunderstandings or may prevent objectives from being met. Review results may include: • List of issues discovered during review • List of changes that will be made • Reason for plan changes

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304 Example Work Products Recorded commitments

Further Explanation Includes decisions and agreement to requirements, project plans, and their related elements.

Context Specific Development Context Tag:

CMMI-DEV

Context:

Use processes to develop quality products and services to meet the needs of customers and end users.

Development activities in preparation for production can be included in the hardware development plan or defined in a separate production plan. Examples of plans that have been used by large organizations include: •

Integrated Master Plan – an event driven plan that records significant accomplishments with pass/fail criteria for both business and technical elements of the project and that ties each accomplishment to a key project event.

•

Integrated Master Schedule – an integrated and networked multi-layered schedule of project tasks required to complete the work recorded in a related Integrated Master Plan.

•

Systems Engineering Management Plan – a plan that details the integrated technical effort across the project.

•

Systems Engineering Master Schedule – an event-based schedule that contains a compilation of key technical accomplishments, each with measurable criteria, requiring successful completion to pass identified events.

•

Systems Engineering Detailed Schedule – a detailed, time dependent, task-oriented schedule that associates dates and milestones with the Systems Engineering Master Schedule.

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Level 3 PLAN 3.1 Required Practice Information

Practice Statement Use the organization’s set of standard processes and tailoring guidelines to develop, keep updated, and follow the project process.

Value Establishing the project process ensures the efficient and effective achievement of the objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Select and tailor or modify processes from the organization’s standard set of processes to build a process to fit the specific needs of the project. The project process is tailored from the organizational set of standard processes in accordance with organizational tailoring guidelines, and: •

Includes a process description that is kept up-to-date

•

Contributes to organizational assets

A project’s process is based on: •

Stakeholder requirements

•

Goals and objectives

•

Work product and task characteristics

•

Impacts or requirements of the lifecycle

•

Support activities

•

Commitments

•

Organizational process needs and objectives

•

The organization’s set of standard processes and tailoring guidelines

•

Domain

•

The operational environment

•

The business environment

•

Stakeholder availability

•

Experience of the people

•

Project constraints

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When the organization's standard set of processes change, there may be changes in the project’s processes.

Example Activities Example Activities Select standard processes from the organization’s set of standard processes that best fit the needs of the project.

Further Explanation Collectively, these comprise the project process

Modify the organization’s set of standard processes and other organizational process assets according to tailoring guidelines to produce the project’s process. Use other artifacts from the organization’s process asset library as appropriate.

Other artifacts can include:

Record the project process.

The project process covers the activities for the work and interfaces or connections to affected stakeholders.

Review the project process.

Record and use review results, inputs, and issues of the project processes to identify potential impacts.

Revise the project process as necessary.

As the project progresses, revise the description of the project process to better meet project requirements and the organization’s process needs and objectives.

• • • •

Estimating models Lessons learned documents Templates Example documents

Example Work Products Example Work Products

Further Explanation Describe how the organizational processes are implemented for this specific project, including any unique, more detailed, or additional processes or procedures that are needed and allowed by the organizational tailoring guidelines.

The project process

Related Practice Areas Process Asset Development (PAD)

Context Specific Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

The description of the defined process should be based on services that the project delivers, including both tailored standard services and unique services, and the service delivery environment. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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Organizations that define standard services may have individual systems that enable the delivery of those standard services. Any processes that are components of service system(s) within an organization are good candidates to consider when defining the standard processes for delivering services. Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

The supplier agreement should identify the key activities to deliver a solution that meets requirements. The acquirer may require the supplier to align selected supplier processes with the acquirer’s defined process to achieve the project goals. The acquirer should align its defined process with the acquisition strategy. For example, whether the acquisition strategy is to introduce new technology or to consolidate existing solutions affects the acquirer’s defined process. Supplier deliverables may include: •

Common defined processes

•

Requirements tools shared by both acquirer and supplier

•

Test tools and facilities shared by both acquirer and supplier

PLAN 3.2 Required Practice Information

Practice Statement Develop a plan and keep it updated, using the project process, the organization’s process assets, and the measurement repository.

Value Using proven organizational assets for planning the project increases the likelihood that the objectives will be met.

Additional Required Information This section left blank for future content

Explanatory Practice Information

Additional Explanatory Information Addresses organizational learning and enhances performance improvement by providing proven assets to projects, which gives them the best chance for success. Developing a project plan and keeping it updated should address additional planning activities such as: •

Incorporating the project process

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•

Coordinating with affected stakeholders

•

Using organizational process assets

•

Incorporating plans for peer reviews

•

Establishing objective entry and exit criteria for tasks

Examples of data contained in the organization’s measurement repository which can be used for planning include: •

Size

•

Effort

•

Cost

•

Schedule

•

Staffing

•

Response time

•

Supplier performance

•

Defects or issues

Example Activities Example Activities

Further Explanation

Use the tasks and work products of the project process as a basis for estimating and planning project activities. Use the organization’s measurement repository to estimate the work.

Estimates and supporting information typically include:

Integrate or develop plans.

Other plans that affect the project plan can include:

• Validated historical data from this project or similar projects • Similarities and differences between the current project and the work represented by the historical data • Reasoning, assumptions, and rationale used to select historical data • • • • • • • • • • • • • •

Staffing plans Training plans Stakeholder involvement plans Performance improvement and sustainment plans Measurement and analysis plans Monitoring and control plans Solicitation plans Agreement management plans Risk mitigation plans Transition plans Quality assurance plans Configuration management plans Verification and validation plans Peer review plans

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309 Example Activities

Further Explanation

Incorporate the definitions of measures and measurement activities.

Measures may include the:

Establish objective entry and exit criteria for tasks and activities.

Entry and exit criteria make it clear when people are needed and when they are to start and complete their tasks.

Identify how conflicts will be resolved that arise among affected stakeholders.

Identify resolution approaches and mechanisms for addressing and resolving conflicts, including any agreed to escalation procedures.

• Organization’s common set of measures • Additional project and product specific measures

Example Work Products Example Work Products Revised project estimates

Further Explanation Estimates that are based upon organizational experience with other similar projects help to more accurately and effectively accomplish work.

Project plans Describe how plans interact and are integrated with each other, including the dependencies, sequences, inputs and outputs of the plans and tasks and how they relate to each other.

Integrated plans

Related Practice Areas Estimating (EST) Managing Performance and Measurement (MPM) Risk and Opportunity Management (RSK)

Context Specific Development Context Tag:

CMMI-DEV

Context:

Use processes to develop quality products and services to meet the needs of customers and end users.

Examples of development-specific parameters that are considered for similarities and differences include: •

Design and development approaches

Examples of development-specific product and project interface risks include: •

Incomplete interface descriptions

•

Unavailability of commercial off-the-shelf (COTS) components

An additional development-specific example of scheduling factors includes: •

Integration and test issues

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Development activities in preparation for production can be included: •

in a software or hardware development plan

•

in a system engineering management plan

•

in a separate production plan

Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

The work plan should include service delivery and, when needed, service system development and service system transition. Examples of the types of service data contained in the organization’s measurement repository include: •

Service capacity

•

Number of service requests received, closed, cancelled, or in progress

•

Number of service requests that missed their service level agreement

•

Standard services from the catalog that are in high demand

•

Average service request completion time

•

Average cost consumed by service request

Plans that affect the work plan include: •

Capacity and availability management strategy

•

Service continuity plan

•

Incident management approach

•

Risk and opportunity management approach

When developing a plan for the project, it is important to develop, keep updated, and follow a strategy for capacity and availability management for critical services. This will help ensure the right resources will be available to meet the requirements when needed and that the organization can meet commitments to customers within agreed limits. A capacity and availability management strategy is based on requirements, failure and incident trend analysis, current resource use, and service system performance. Strategy should consider the minimum, maximum, and average use of resources over the short, medium, and long term. It may be appropriate for some projects to identify, plan for, and manage the availability of resources to respond to sudden, unexpected increases in demand. Sometimes, the management of the obsolescence of certain resources and offerings factor into the strategy for capacity and availability management.

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Service representations can help to determine resources and aspects to measure, monitor, analyze, and manage. However, solution design documents may not be available or may not accurately and completely reflect all aspects of the live environment that affect capacity and availability. It is important to monitor and analyze actual capacity and availability data. Requirements strategies, monitoring, and information from day-to-day service delivery, product development, or acquisition can assist with these determinations. The capacity and availability management strategy can reflect limits and constraints, e.g., limited customer funding, the customer’s acceptance of certain risks related to capacity and availability. The provider must formulate a strategy that best meets requirements, even if they cannot influence or control demand and resource adjustments. This strategy can be more sophisticated in situations where the provider can influence or control demand and resource adjustments. Example activities for developing a capacity and availability management strategy include: •

Recording actual resource use, performance, and availability data

•

Estimating future resource and capacity and availability requirements

•

Developing a capacity and availability strategy that meets requirements, meets the demand for resources and services, products, or acquisitions, and addresses how the organization provides, uses, and allocates resources

•

If appropriate, including an availability testing schedule, a maintenance strategy, and an outage schedule

•

Recording costs and benefits of the strategy and any assumptions

•

As necessary, revising the strategy on an event-driven basis

PLAN 3.3 Required Practice Information

Practice Statement Identify and negotiate critical dependencies.

Value Paying close attention to critical dependencies reduces risk and increases the likelihood the project will be completed on time, within budget, and meeting quality objectives.

Additional Required Information This section left blank for future content.

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Explanatory Practice Information

Additional Explanatory Information Example Activities Example Activities

Further Explanation

Identify each critical dependency.

Record dependencies, relationships, and how they affect the plan.

Integrate schedules

An integrated master schedule (IMS) can be used to identify critical dependencies between work groups and functions.

Review and negotiate dependencies with affected stakeholders.

Communicate new or existing dependencies and changes with affected stakeholders to ensure that they can perform their work.

Record commitments to address each critical dependency.

Example Work Products Example Work Products Critical dependencies

Further Explanation May include: • Description of the critical dependencies • Commitments made during negotiations • Risks associated with the dependency

PLAN 3.4 Required Practice Information

Practice Statement Plan for the project environment and keep it updated based on the organization’s standards.

Value Ensures that the resources needed to complete the work are readily available to maximize productivity.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Describe the project environment to address any unique or critical aspects that may affect the project being performed. An appropriate project environment is comprised of an infrastructure of facilities, tools, and equipment that people need to perform their jobs effectively in support of business and project objectives. Keep the project environment updated at a level required by the organizational project environment standards. Develop or acquire the project environment or its components. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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Example Activities Example Activities Analyze project and plan for resources, facilities, and environment

Further Explanation The critical aspects of the project environment are requirements driven. Explore project environment functionality and quality characteristics with the same rigor as any other project planning activity. Examples of the resources to be considered include: • Considerations for the project environment o o o o o o o o o o o

Cultural issues Visibility Voice communication Comfortable furniture Airborne particulates Light for performing work Isolation and noise protection Space to perform group work activities Meeting space Support areas Laboratories

• Specialized characteristics of workspaces o o o o o o o

Safety Security Air conditioning Tools Training Remote locations Telecommuting

• Storage • Project equipment o Computers or work stations o Communications technologies, e.g., telephones, fax machines, e-mail, and networks o Office equipment o Printing and reproduction equipment • Supplies • Application software • Documentation Assign a responsible individual to plan to acquire resources, facilities, and the environment needed to perform assigned work.

Examples of actions include: • • • • •

Preparing budget requests Developing cost-benefit justifications Consulting with subject matter experts Submitting purchase orders Negotiating with those responsible for managing building or computing facilities, distributing equipment or supplies, or other project environment-related resources

Develop a contingency plan if the resources, facilities, and environment cannot be obtained. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

314 Example Activities Plan for support personnel needs.

Further Explanation May include: • • • •

Ensure individuals and groups participate in decisions concerning resources, facilities, and environment.

Business or administrative Computer support personnel Technical writing and documentation Laboratory technicians

May include: • Arrangement of project facilities • Alterations or improvements to the project environment • Resources needed to perform their project

Example Work Products Example Work Products Project resources, facilities, and environment plan

Further Explanation May be included as part of the overall project plan or may be separate, e.g., for large or complex projects or environments.

Equipment and tools for the project Health and safety considerations, including any regulatory or legal requirements Installation, operation, and maintenance manuals for the project environment User surveys and results Facilities, resources, and maintenance records for the project Support services needed for the project environment

Context Specific Development Context Tag:

CMMI-DEV

Context:

Use processes to develop quality products and services to meet the needs of customers and end users.

The project environment might encompass environments for product development, integration, verification, and validation, or they might be separate environments. Development-specific examples of equipment and tools include: •

Design tools

•

Configuration management tools

•

Evaluation tools

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•

Integration tools

•

Automated test tools

Components in the development environment include software, databases, hardware, tools, test equipment, and appropriate documentation. Qualification of software includes appropriate certifications. Hardware and test equipment qualification includes calibration and adjustment records and traceability to calibration standards. Examples of actions to improve the development environment include: •

Adding new tools

•

Acquiring additional networks, equipment, training, and support

Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

Verification and validation of the service system can include both initial and ongoing evaluation of the environment in which the service provider delivers the service. Components in the services work environment include those necessary to support service delivery, software, databases, hardware, tools, test equipment, and appropriate documentation. Qualification of a service delivery environment includes audits of the environment and its components for compliance with safety requirements and regulations. Software qualification includes appropriate certifications. Hardware and test equipment qualification includes calibration, records and traceability to calibration standards. Examples of actions to take to improve the services work environment include: •

Adding new equipment and tools

•

Acquiring additional networks, equipment, training, and support

Examples of equipment and tools include: •

Resource management tools for service delivery

•

Incident and request management tools

Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

Ensure that the supplier’s and acquirer’s projects are compatible to enable the efficient and effective transfer of work products and solutions. Define the project environment in the plan, and include any environments required throughout the project lifecycle. Example environment types include: •

Acquirer or supplier facilities

•

Independent Verification and Validation (IV&V)

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•

Configuration Management

•

Testing

•

Infrastructure hosting

•

Information repositories

•

Field sites

•

Classified facilities

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Level 4 PLAN 4.1 Required Practice Information

Practice Statement Use statistical and other quantitative techniques to develop and keep the project processes updated to enable achievement of the quality and process performance objectives.

Value Increases the likelihood that the processes of the project will enable achievement of consistent performance and quality.

Additional Required Information Managing the progress towards achieving quality and process performance objectives should be an integral part of how the project is planned and managed.

Explanatory Practice Information

Additional Explanatory Information Ensure that projects: •

Identify the processes required to accomplish business activities.

•

Identify conditions that may affect performance of the processes.

•

Identify relevant process performance baselines and models for the selected processes. Projects may have historical process performance baselines and models that are more accurate or relevant than organizational baselines.

•

Evaluate the planned performance of the selected processes to determine if they are capable of achieving the measurable performance objectives.

•

When planned performance is not being achieved, negotiate adjustments in measurable performance objectives and the associated processes. This may involve identifying and developing new processes or subprocesses.

Example Activities Example Activities

Further Explanation

Develop the criteria to use in evaluating process alternatives for the project.

Criteria can be based on:

Identify or develop alternative processes for doing the work and meeting objectives.

May include:

• Quality and process performance objectives • Availability of process performance data and the relevance of the data to evaluating an alternative • Previously recorded process performance baselines and models that can be used in evaluating an alternative • Lifecycle models • Stakeholder requirements • Laws and regulations • Analyzing organizational process performance baselines and models to identify candidate processes

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318 Example Activities

Further Explanation • Identifying processes from the organization’s set of standard processes as well as tailored processes in the process asset library • Identifying processes from external sources, e.g., other organizations, professional conferences, academic research • Adjusting the level or depth of intensity with which the processes are applied and can involve the: o Number, type, and date of peer reviews to be held o Amount of effort or calendar time devoted to particular tasks o Number and selection of people involved o Skill level requirements for performing specific tasks o Selective application of specialized construction or verification techniques o Reuse decisions and associated risk mitigation strategies o Sample size for peer reviews

Analyze and evaluate alternative processes against recorded evaluation criteria.

Analyze the relative strengths and weaknesses of alternatives. This analysis can be supported by aligning the organization’s process performance models with process performance data. Perform additional modeling activities if existing process performance models cannot address significant relationships among the alternative processes under consideration and there is high risk of not achieving objectives. Use historical data and process performance baselines and models to assist in evaluating alternatives against the criteria. These evaluations can include a sensitivity analysis, particularly in high risk situations.

Select the alternative process that best meets the criteria.

If needed, repeat these activities several times until confident that the best available alternative has been identified.

Evaluate the risk of not achieving the project’s quality and process performance objectives.

If the risk cannot be avoided or mitigated, it may be necessary to revise the project’s quality and process performance objectives.

Example Work Products Example Work Products

Further Explanation

Criteria used to evaluate alternatives for the project Alternative processes

It may be possible to develop more than one candidate defined process for the project. In this case, select the one that best meets the evaluations criteria.

Selected defined project process

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319 Example Work Products Risk assessment of not achieving the project’s quality and process performance objectives

Further Explanation Risk handling plan and action to be identified. Decision analysis may be used to identify alternate risk mitigation practices.

Related Practice Areas Decision Analysis and Resolution (DAR) Managing Performance and Measurement (MPM) Risk and Opportunity Management (RSK)

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Process Asset Development (PAD)

Required PA Information

Intent Develop and keep updated the process assets necessary to perform the work.

Value Provides a capability to understand and repeat successful performance.

Additional Required PA Information This section left blank for future content.

Explanatory PA Information

Practice Summary Level 1 PAD 1.1

Develop process assets to perform the work.

Level 2 PAD 2.1

Determine what process assets will be needed to perform the work.

PAD 2.2

Develop, buy, or reuse process assets.

PAD 2.3

Make processes and assets available.

Level 3 PAD 3.1

Develop, keep updated, and follow a strategy for building and updating process assets.

PAD 3.2

Develop, record, and keep updated a process architecture that describes the structure of the organization’s processes and process assets.

PAD 3.3

Develop, keep updated, and make processes and assets available for use.

PAD 3.4

Develop, keep updated, and use tailoring criteria and guidelines for the set of standard processes and assets.

PAD 3.5

Develop, keep updated, and make the organization’s process asset library available for use.

PAD 3.6

Develop, keep updated, and make work environment standards available for use.

PAD 3.7

Develop, keep updated, and make organizational measurement and analysis standards available for use.

Additional PA Explanatory Information Organizational process assets enable: 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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•

Consistent process execution across the organization

•

Tailoring using the organizational guidelines

•

Organizational learning and process improvement

•

A basis for cumulative, long-term benefits to the organization

•

Sharing best practices and lessons learned across the organization

Related Practice Areas Process Management (PCM)

Context Specific Agile with Scrum Guidance Context Tag:

Agile with Scrum

Context:

Use processes to adapt agile with Scrum techniques.

Agile teams use process assets to perform their work. Figure PAD-1 shows where a team might develop these assets in sprint 0 to prepare for the first development sprint. Collect refinement suggestions in the sprint retrospective. Figure PAD-2 shows some example assets in their template form. The assets referenced in Process Asset Development extend beyond the typical ones of an agile project. They include a measurement repository, tailoring guidelines, and work environment standards.

Figure PAD-1: PAD in an Agile Cycle

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Figure PAD-2: Typical Agile Assets

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Level 1 PAD 1.1 Required Practice Information

Practice Statement Develop process assets to perform the work.

Value Improves consistency to increase likelihood of meeting objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Recording work steps helps to avoid rework and ensure that team members know what needs to be done.

Example Activities Example Activities

Further Explanation

Record work instructions.

Example Work Products Example Work Products

Further Explanation

Work instructions Process descriptions Templates

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Level 2 PAD 2.1 Required Practice Information

Practice Statement Determine what process assets will be needed to perform the work.

Value Avoids waste by focusing resources only on the process assets needed to perform the work.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information The context and scope of the work will help determine which process assets are needed. Consider when process assets will be needed, especially for large projects. Review and revise those needs if the context or scope changes.

Example Activities Example Activities

Further Explanation

Identify process assets needed for the project.

Example Work Products Example Work Products Templates

Further Explanation For example, templates may be provided for: • • • • • • •

Work Instructions

Plans Estimates Technical documentation Meeting minutes Service level agreements Requests for proposals Contracts or agreements

Work instructions can include: • Sequential checklists • Standard Operating Procedures (SOPs) • Processes

Tools

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PAD 2.2 Required Practice Information

Practice Statement Develop, buy, or reuse process assets.

Value Helps to minimize costs, effort, and time needed for developing the assets.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Example Activities Example Activities

Further Explanation

Select which assets will be subject to a build, buy, or reuse analysis. Perform build, buy, or reuse analyses to determine the best option of various selected assets. Record results of analyses. Build, buy, or reuse the indicated assets.

Example Work Products Example Work Products

Further Explanation

Build, buy, reuse analyses results Process assets

Related Practice Areas Decision Analysis and Resolution (DAR)

PAD 2.3 Required Practice Information

Practice Statement Make processes and assets available.

Value Using existing process assets reduces cost and time needed for performing the work.

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Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Ensure that team members know what assets are available and how to access them. Identify and make assets available for use by other projects.

Example Activities Example Activities

Further Explanation

Make assets available for use by projects. Communicate the availability of assets for use.

Example Work Products Example Work Products

Further Explanation

Process assets

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Level 3 PAD 3.1 Required Practice Information

Practice Statement Develop, keep updated, and follow a strategy for building and updating process assets.

Value Provides a structure and direction for asset building that minimizes cost.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information This section left blank for future content.

Example Activities Example Activities Develop a strategy for building and updating process assets.

Further Explanation For example, include: • Identification of the business objectives addressed and their priority • Methods for developing and updating assets • Identification of roles and responsibilities for carrying out the strategy • Criteria for implementing action plans • Reference to process architecture

Example Work Products Example Work Products

Further Explanation

Strategy for building and updating process assets

PAD 3.2 Required Practice Information

Practice Statement Develop, record, and keep updated a process architecture that describes the structure of the organization’s processes and process assets.

Value A robust process architecture ensures that processes add value.

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Additional Required Information The structure needs to accommodate: •

Processes

•

Critical attributes of the process o

Inputs and outputs

o

Sequence links

o

Dependency links

o

Connections

Explanatory Practice Information

Additional Explanatory Information The process architecture defines the structures necessary to contain the processes, process assets, and connections. The process architecture needs to be considered from two different aspects: •

Structural Architecture

•

Content Architecture

Both need to be addressed. Figure PAD-3 describes the differences between the two types.

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Figure PAD-3: Structure and Content

The content architecture may independently vary over time because of changes to organizational needs. Structural architectural will typically only change when there is a major change to the organization, the process needs, or process approach. Clearly specified processes interact efficiently resulting in less redundancy and fewer gaps, therefore ensuring that every process adds value. A process architecture: •

Reduces risks

•

Increases quality

•

Improves time-to-market

•

Increases customer satisfaction

•

Facilitates achievement of business objectives

•

Promotes understandings between work groups

•

Helps clarify roles and responsibilities

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•

Improves coordination of efforts

•

Reduces unnecessary activities

•

Reduces missed activities

•

Improves process flow by ensuring that all necessary inputs and outputs are defined

Example Activities Example Activities

Further Explanation

Identify process requirements.

Process requirements describe the business needs that processes will address.

Identify process architecture objectives.

Process architecture objectives describe how and why the process architecture will be used and the information that the representation will provide.

Develop and record the format of the process architecture.

Process architecture is like solution architecture, except that the components are processes. Many of the same tools and techniques used to design and record solution architectures can be used to design and record the process architecture. Different formats can be used at different levels and may include: • • • • • • •

EITVOX IDEF Flow charts Workflow diagrams Process modeling tools Context models Value chain models

Develop, record, and keep updated the process architecture.

Ensure the process architecture can address all process types.

Review and update process architecture with affected stakeholders.

Include representatives of each process type represented in the process architecture to ensure: • Necessary inputs, outputs, entry criteria, and exit criteria are understood and complete • Redundancies and missing processes are identified and addressed • Processes that do not add value are identified for revision or elimination

Communicate and make process architecture available.

Example Work Products Example Work Products

Further Explanation

Process requirements Process architecture format Process architecture

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Related Practice Areas Process Management (PCM)

PAD 3.3 Required Practice Information

Practice Statement Develop, keep updated, and make processes and assets available for use.

Value Enables work to be done more efficiently and effectively, which leads to reduced cost and waste.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Plan and implement actions that address improvements to the organization’s processes and assets. Process action plans are detailed implementation plans that target improvements. For effective implementation of improvements, ensure that support organizations and the people who perform the process participate in process development, deployment, and implementation. Developing and updating processes may involve: •

Management steering committees that set strategies and oversee process improvement activities

•

Process groups that facilitate and manage process improvement activities

•

Process action teams that define and implement process actions

•

Process owners that manage deployment

Standard processes and assets can be: •

Defined at multiple levels in an organization

•

Tailored for each of the organization’s business areas or functions

Each process covers a closely related set of activities. A fully defined process or asset has enough detail that it can be consistently performed by trained and skilled people. Tailoring can be done at the organizational, divisional, site, or functional level. Each level or function of the organization can have a set of standard processes or assets which were tailored from the organizational set of processes and assets. Some organizations may have only one level of standard processes.

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The organization’s set of standard processes contains process elements that may be interconnected according to one or more process architectures that describe relationships among process elements. The organization’s set of standard processes may include: •

Technical, management, administrative, support, and organizational processes

•

Sequence, order, and interrelationships of the processes and their elements

•

Proven and effective processes and assets

•

Lessons learned

Affected stakeholders should also periodically update their defined processes and assets to incorporate changes made to the organization’s set of standard processes. Update processes and assets to reflect periodic revisions in the knowledge, skills, and process abilities.

Example Activities Example Activities

Further Explanation

Verify that the organization’s set of standard processes and assets are aligned with strategic process needs and objectives. Assign responsibilities for acquiring, developing, and maintaining processes and assets. Review and decide if recommendations resulting from process improvements should be incorporated into the organization’s processes and assets. Develop organizational standards for processes and assets.

May include:

Record process action plans.

Action planning may include:

• Standards for terminology and use • Requirements for completeness, correctness, and other quality attributes • Semantic structure and organization • Representation of content • Format for storage and presentation • Archiving and access methods • • • •

Recording the action plan Reviewing with affected stakeholders Revising as necessary Negotiating and recording commitments

Process action plans may include: Process improvement infrastructure Process improvement objectives Process improvements to be addressed Procedures for planning and tracking process actions Responsibility and authority for implementing process actions • Resources, schedules, and assignments for implementing process actions • • • • •

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333 Example Activities

Further Explanation • Risks

Track progress and commitments against process action plans.

Perform joint reviews with process action teams and stakeholders to monitor the progress and results of process actions. Identify, record, and track to closure issues encountered when implementing process action plans.

Establish process action teams to implement actions.

Process action teams typically include process owners and those who perform the process.

Build and record processes and assets.

Building and recording processes and assets may include: • Specifying the attributes of each process or asset • Specifying relationships among processes or assets Process attributes may include: • • • • • • • • • • •

Roles and responsibilities Applicable standards Process performance objectives Entry criteria Inputs Tasks Verification and Validation Outputs Exit criteria Connections Measures

Perform reviews on the organization’s set of standard processes or assets. Revise the organization’s set of standard processes and assets as necessary.

These may need to be revised when:

Make processes and assets available.

These may be made available through a variety of media, including:

• Improvements to the processes and assets are identified • Causal analysis and resolution data indicate a process change is needed • Process improvement proposals are selected for deployment across the organization • The organization’s process needs and objectives are updated

• • • • • •

Documents and records Apps Websites Videos and training materials Scripts in automated tools Intranets and other electronic media

Example Work Products Example Work Products

Further Explanation

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Further Explanation

Status and results of implementing action plans Organization’s set of standard processes and assets New processes or assets

Examples may include: • Decision aids • Templates for solutions • Guides and manuals

Related Practice Areas Peer Reviews (PR)

PAD 3.4 Required Practice Information

Practice Statement Develop, keep updated, and use tailoring criteria and guidelines for the set of standard processes and assets.

Value Adapting a standard process to accommodate the unique needs of each project avoids unnecessary work.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Consistency across the organization ensures that organizational standards, objectives, and strategies are addressed, and process data and lessons learned can be shared. Tailoring is a critical activity that allows controlled changes to the processes due to the specific needs of a project or a part of the organization. Tailoring of processes should be constrained and take into account business objectives or technical requirements. Tailoring guidelines may allow additional flexibility when dealing with less critical processes or those that only indirectly affect business objectives. Balance tailoring flexibility with consistency of processes across the organization. Flexibility helps address contextual variables such as: •

Domain

•

Nature of the customer

•

Cost, schedule, and quality tradeoffs

•

Risks

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•

Technical difficulty of the work

•

Experience of the people implementing the process

The amount of tailoring could also depend on the project’s lifecycle model, the use of suppliers, and other factors. Tailoring criteria and guidelines can allow for using a standard process “as is,” without tailoring. Examples of reasons for tailoring include: •

Accommodating the process to a new solution

•

Adapting the process to a new work environment

•

Modifying the process description, so that it can be used within a given project

•

Adding more detail to the process to address a unique solution or constraint

•

Modifying or combining elements of a lifecycle model

•

Modifying, replacing, or reordering process elements

Example Activities Example Activities Specify selection criteria and procedures for tailoring the organization’s set of standard processes.

Further Explanation Examples of criteria and procedures include: • Criteria for selecting and tailoring lifecycle models from the ones approved by the organization • Criteria for selecting process elements from the organization’s set of standard processes • Procedures for adapting the organization’s common measures to address information needs

Specify the standards used to record defined processes. Specify the procedures used to submit and obtain approval of waivers from the organization’s set of standard processes. Record, approve, and communicate tailoring guidelines for the organization’s set of standard processes.

Reviews of the tailoring guidelines may be used as a part of the approval process.

Revise tailoring guidelines as necessary.

Example Work Products Example Work Products Tailoring guidelines for the organization’s set of standard processes

Further Explanation May include: • Requirements that must be satisfied by defined processes, e.g., the subset of organizational process assets that are essential for any tailored process • Options that can be exercised and criteria for selecting among options

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336 Example Work Products

Waivers or requests for process waivers

Further Explanation • Procedures that must be followed in performing and recording process tailoring Waivers are not intended to be a means to opt out of following a process. A waiver may be used when: • The standard process cannot be tailored to meet the needs of the project • A customer, legal, or regulatory constraint prevents the process from being followed • There is a new requirement that the standard process currently cannot address

Related Practice Areas Peer Reviews (PR)

Context Specific Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

Example Activities Example Activities Develop tailoring criteria as appropriate.

Further Explanation Record the fixed elements of standard services that will not change. Fixed elements may have allowable variation within specified limits. Examples of allowable variation: • Pricing • Hours of operation • Geographical coverage The service provider uses knowledge of variability in customer needs to develop tailoring options. The tailoring guidelines describe how to: • Use standard services to guide the development of individual services • Use criteria to determine and select tailoring options • Follow procedures in performing and recording tailoring Tailoring criteria and procedures include: • Selecting standard services from the services approved by the organization • Selecting service components from the service provider’s service catalog • Tailoring the selected services and service components to satisfy requirements for delivery All tailoring actions should be subject to required approvals. Tailoring actions may include: • Modifying a service level

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Identify needs and expectations for service systems that deliver standard services.

Further Explanation • Combining components of different services • Modifying, replacing, or reordering service components If the service provider needs to develop and keep updated multiple service systems to deliver its standard services, it can be helpful to develop core assets. The service provider develops these at the organizational and project level for developing and customizing such service systems, e.g., a project may be for a specific customer-related service.

PAD 3.5 Required Practice Information

Practice Statement Develop, keep updated, and make the organization’s process asset library available for use.

Value Reduces the time and effort needed to organize, access, and update process assets.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information The repository contains both process assets and related work products that are part of the organization’s set of standard processes.

Example Activities Example Activities

Further Explanation

Design and implement the organization’s process asset library.

This includes the library structure and support environment.

Specify criteria for including assets in the library.

Assets are selected based primarily on their relationship to the organization’s set of standard processes.

Specify procedures for storing, updating, and retrieving assets. Enter selected assets into the library and catalog them for easy reference and retrieval.

Assets include: • • • • • • • •

Organizational policies Process descriptions Procedures, e.g., estimating procedure Plans Training materials Process aids, e.g., templates and checklists Work products resulting from performing the processes Lessons learned

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338 Example Activities

Further Explanation

Make assets available for use by projects. Periodically review the usefulness of the assets.

Consider removing assets that are no longer used or viable.

Example Work Products Example Work Products

Further Explanation

Design of the organization’s process asset library Organization’s process asset library Process-related work products in the process asset library

PAD 3.6 Required Practice Information

Practice Statement Develop, keep updated, and make work environment standards available for use.

Value Increases productivity and consistency across projects through a specified and established work environment.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Work environment standards allow the organization and projects to benefit from common tools, training, maintenance, and cost savings. Work environment standards address the needs of all stakeholders and consider productivity, availability, security, and workplace health, safety, and ergonomic factors. Work environment standards help to ensure that the: •

Improvements made to the work environment improve work performance

•

Organization’s work environment supports the development and performance of empowered workgroups

•

Work environment supports individuals or projects using the standard processes

Examples of work environment standards include: •

Requirements for the operation, safety, and security of the work environment

•

Workstation hardware and software requirements

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•

Standard application software and tailoring guidelines

•

Standard production and calibration equipment

•

Licenses, security passwords, and IDs

•

Criteria for the use and approval of waivers

•

Criteria for tailoring the work environment to meet needs

Example Activities Example Activities Evaluate commercially available work environment standards.

Further Explanation Choose standards to evaluate based on the organization’s needs.

Adopt, develop, or tailor work environment standards to fill gaps based on the organization’s process needs and objectives. Periodically analyze the work environment to identify changes or resources that could improve work performance. Prioritize potential improvements to the work environment.

Complying with laws and regulations may cause a higher priority to be placed on some improvements. Seek guidance from human resources, facilities, legal, or other appropriate professionals in complying with such laws and regulations.

Identify resources that could improve performance.

Examples of work environment resources that may enhance performance include: • Facilities or public spaces, such as work areas and conference rooms • Offices and spaces close that allow co-location and that foster collaboration • Collaborative tools, applications, or other resources • Enhanced communication capabilities

Ensure projects have the authority to organize and tailor their work environments to best support their business activities. Review work environments with projects.

Example Work Products Example Work Products

Further Explanation

Work environment standards Waivers or requests for work environment waivers

Waivers are not intended to be a means to opt out of adhering to a work environment standard. A waiver may be used when: • The standard work environment cannot be tailored to meet the needs of the project

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340 Example Work Products

Further Explanation • A customer, legal, or regulatory constraint prevents the standard work environment from being applied • There is a new requirement that the standard work environment currently cannot or does not address

PAD 3.7 Required Practice Information

Practice Statement Develop, keep updated, and make organizational measurement and analysis standards available for use.

Value Supports consistent use of measurements and related analysis for better decision making.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Evaluate objectives and requirements to define the organization’s measurement and analysis standards. The organization may have multiple measurement and analysis standards if work is diverse and requires different approaches. Tailoring decisions may affect how measurement and analysis standards are developed and used. Align these measurement and analysis standards with how measurements will be used and how they meet business objectives.

Example Activities Example Activities

Further Explanation

Specify organizational standards for measurement and analysis.

Different standards may be needed for different types of data or analysis techniques.

Specify tailoring guidelines for applying measurement standards to individual projects.

Includes criteria for when a waiver is allowed or approved.

Example Work Products Example Work Products

Further Explanation

Organizational measurement and analysis standards Waivers or requests for measurement and analysis waivers

Waivers are not intended to be a means to opt out of adhering to a measurement and analysis standard. A waiver may be used when: • The standard cannot be tailored to meet the needs of the project

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341 Example Work Products

Further Explanation • A customer, legal, or regulatory constraint prevents the standard from being applied • There is a new requirement that the standard currently cannot or does not address

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Process Management (PCM)

Required PA Information

Intent Manages and implements the continuous improvement of processes and infrastructure to: •

Support accomplishing business objectives

•

Identify and implement the most beneficial process improvements

•

Make the results of process improvement visible, accessible, and sustainable

Value Ensures that processes, infrastructure, and their improvement contribute to successfully meeting business objectives.

Additional Required PA Information This section left blank for future content.

Explanatory PA Information

Practice Summary Level 1 PCM 1.1

Develop a support structure to provide process guidance, identify and fix process problems, and continuously improve processes.

PCM 1.2

Appraise the current process implementation and identify strengths and weaknesses.

PCM 1.3

Address improvement opportunities or process issues.

Level 2 PCM 2.1

Identify improvements to the processes and process assets.

PCM 2.2

Develop, keep updated, and follow plans for implementing selected process improvements.

Level 3 PCM 3.1

Develop, keep updated, and use process improvement objectives traceable to the business objectives.

PCM 3.2

Identify processes that are the largest contributors to meeting business objectives.

PCM 3.3

Explore and evaluate potential new processes, techniques, methods, and tools to identify improvement opportunities.

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PCM 3.4

Provide support for implementing, deploying, and sustaining process improvements.

PCM 3.5

Deploy organizational standard processes and process assets.

PCM 3.6

Evaluate the effectiveness of deployed improvements in achieving process improvement objectives.

Level 4 PCM 4.1

Use statistical and other quantitative techniques to validate selected performance improvements against proposed improvement expectations, business objectives, or quality and process performance objectives.

Additional PA Explanatory Information Process improvement focuses on the needs of the business to: •

Increase value for customers

•

Align with business objectives

•

Make business activities more efficient and effective

•

Make the business more profitable

•

Stay ahead of competition

•

Increase employee satisfaction

Improvements to a process will often improve performance, but that is not the only reason to improve processes. For example, a strategic or regulatory change may drive an improvement or change to the process. It is also important to refine the improvement approach so that the processes are more useful to the organization. Process management activities address the improvement of specific processes based on proposals from various sources which may include: •

Process evaluations including appraisals and quality assurance activities

•

Feedback from users

•

Measurement analysis results

•

Performance results

Improvements that show demonstrable benefits help develop and support a culture that strives for ongoing improvement. A continuous improvement culture is essential to sustaining best practices and avoiding falling back into bad habits. Improving processes also increases employee satisfaction and retention rates by building an environment where people can be productive.

Related Practice Areas Process Asset Development (PAD)

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Context Specific Agile with Scrum Guidance Context Tag:

Agile with Scrum

Context:

Use processes to adapt agile with Scrum techniques.

Agile teams collect retrospective data at the end of each sprint that provides a rich source of improvement ideas. Some agile teams form a community of practice where individuals with a need for similar improvements can share experiences. Typically, retrospective sessions are focused on ad-hoc topics and improvements at a team level. Process management adds the systematic collection, analysis, and coordination of these improvements across the organization. The organization will benefit by learning from each agile team.

Figure PCM-1: PCM in an Agile Cycle

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Table PCM-1: Retrospective Information

Figure PCM-1 shows where process management activities are performed in an agile project. Table PCM-1 shows typical retrospective data. Process management activities can supplement the typical agile team to aid organizational learning. For example, agile teams collect data, but there is not necessarily a support structure to manage and use that data. The retrospective session does not typically or systematically assess each process. The adoption of process management practices will produce more robust and sustainable organizational improvements.

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Level 1 PCM 1.1 Required Practice Information

Practice Statement Develop a support structure to provide process guidance, identify and fix process problems, and continuously improve processes.

Value A process improvement support structure helps to reduce effort, cycle time, costs, defects, and waste, and increase performance.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information The support structure enables consistent process implementation across the organization and provides a basis for cumulative, long-term benefits to the organization. It typically: •

Helps establish processes that make the work easier, more efficient, and less defectprone

•

Provides process guidance, such as process policies or other organizational directives

•

Establishes responsibility for facilitating and managing the organization’s process improvement activities, including coordinating the participation of others

•

Provides the long-term commitment and resources required for improvement

•

Enables effective and timely deployment of improvements

Senior management is responsible for establishing, communicating, and enforcing guiding principles, direction, and expectations. Senior management must: •

Actively support these efforts

•

Set the tone for improvement

•

Motivate continuous improvement

•

Hold people accountable for improving the process

Example Activities Example Activities

Further Explanation

Identify and apply a structure for supporting process related activities and keep it updated.

May include:

Assign responsibilities and keep them updated for coordinating process related activities.

Typically includes:

• Organizational expectations and direction • Guidance for the process improvement • Defined roles and responsibilities • Following the support structure

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Example Work Products Example Work Products Process support structure

Further Explanation A process support structure typically involves: • • • • •

How the structure will be set up and updated Funding and support Training Resources needed to sustain the structure Roles and responsibilities that may include: o Management steering committee that sets strategies and oversees process improvement activities o Process group that facilitates and manages process improvement activities o Process action teams that define and implement process actions o Process owners that manage deployment o Practitioners that perform the process and provide feedback

Related Process Areas Governance (GOV)

PCM 1.2 Required Practice Information

Practice Statement Appraise the current process implementation and identify strengths and weaknesses.

Value Provides a systematic and realistic way to identify the most important opportunities for improvements.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Clearly define and communicate the reasons for performing an appraisal. These reasons can include: •

Identifying strengths and weaknesses

•

Providing a realistic and objective insight into improvement opportunities

•

Determining progress towards achieving improvement objectives

•

Benchmarking

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•

A reference model, e.g., CMMI, ISO, or other standards relevant to the organization or industry

•

The organization’s processes

The purpose of an appraisal is to identify: •

Well performed activities

•

Missing or gaps in processes

•

Other business reasons and issues that could stimulate and guide successful improvement efforts, such as: o

Regulatory requirements

o

Recurring problems

The primary focus of an appraisal is to compare the recorded and performed processes against the reference model. It is a quality assurance function to focus on the practiced processes versus the recorded processes. Appraisal results should include enough detail so that they can be used for improvements. The acceptance gained with an appraisal can be significantly reduced if improvement actions are not implemented. Appraisals follow a process, are performed by qualified personnel, and may include: •

A formal assessment or evaluation

•

A gap analysis

•

A review

•

A benchmarking activity

•

Other methods

Example Activities Example Activities

Further Explanation

Obtain sponsorship and support for the appraisal from senior management. Define the scope of the appraisal.

Scope includes: • Organizational scope • Process scope • Model scope

Select or define the criteria and method for the appraisal.

Criteria may include: • • • •

Rigor Sampling Ratings Re-appraisal triggers

The appraisal method may include: • Gap analysis • Benchmarking • Review

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349 Example Activities

Further Explanation

Plan and schedule the appraisal. Perform the appraisal. Record and communicate the appraisal findings.

Example Work Products Example Work Products Appraisal plan and schedule

Further Explanation May include the: • • • • •

Appraisal findings

Objectives Scope Method Criteria Resources

Typically includes: • Goals of the appraisal • Results including strengths and weaknesses

PCM 1.3 Required Practice Information

Practice Statement Address improvement opportunities or process issues.

Value Reduces costs by increasing efficiency and effectiveness of projects.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Assign responsibility to address improvement opportunities and process issues. Process issues may be addressed by improvement actions at various organizational levels. Resolving issues is key to developing process acceptance and leads to further improvements.

Example Activities Example Activities

Further Explanation

Assign relevant personnel to address the improvement opportunities and process issues.

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350 Example Activities

Further Explanation

Identify and record the action items to address improvement opportunities and process issues. Address the opportunities and issues and communicate the results.

Example Work Products Example Work Products Action items

Further Explanation Include: • Actions to address identified improvement opportunities and process issues • Responsible people • Resources needed to complete actions

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Level 2 PCM 2.1 Required Practice Information

Practice Statement Identify improvements to the processes and process assets.

Value Maximizes return on investment by focusing resources on the most critical business needs and objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information During process implementation and execution, identify opportunities and issues for improvement. These can come from: •

Individuals

•

Improvement proposals

•

Lessons learned

•

Results from a process appraisal

•

Value stream analyses

•

Causal analysis

•

Measurements

•

Quality evaluations

Systematically analyze, prioritize, and record improvement suggestions. This analysis includes: •

Circumstances

•

Sources

•

Side effects

•

Validity

•

Benefits

•

Effort

•

Time to implement

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Ensure that the analysis and evaluation are performed in a timely manner and that improvements are selected based on their expected value and impact. Objectively decide which improvements to select. It is generally not possible to implement all suggested improvements as it may be either too expensive or take too long. On the other hand, just addressing “low hanging fruit” may lead to minor changes or no changes at all. The better way is to determine criteria that helps select and deploy improvements with the highest business impact.

Example Activities Example Activities

Further Explanation

Identify issues and opportunities. Group and analyze proposed improvements.

May include:

Record and keep updated criteria for selecting improvements.

May include:

• • • • •

Cost benefit Return on investment Expected performance improvement Prioritization Barriers or risks

• Those required by law, regulations, or standards (now or in the future) • Supporting process improvement objectives • Avoiding waste • Ability to implement and execute

Select proposed improvements for implementation, deployment, and execution. Review selections with affected stakeholders. Record proposed improvements and communicate results.

May include the: • • • • • • • •

Value and rationale of each action Improvement based on the evaluation of criteria Objectives Constraints Target users Risks Estimated cost and schedule to implement Expected results

Example Work Products Example Work Products Proposed improvement list

Further Explanation May include: Proposed improvements Reference to source Assignment to processes Risks and probability to resolve Priority and business impact Rationale as to why the proposals or a group of proposals is listed • Category of improvement

• • • • • •

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353 Example Work Products

Further Explanation • How to implement the proposed improvement

Recorded selection criteria List of selected improvements for implementation, deployment, and execution

Refer to above proposed improvement list.

PCM 2.2 Required Practice Information

Practice Statement Develop, keep updated, and follow plans for implementing selected process improvements.

Value Plans enable more efficient and effective improvement efforts to meet business objectives.

Additional Required Information Ensure the support structure for process improvement is addressed.

Explanatory Practice Information

Additional Explanatory Information Manage the implementation of process improvements like a project. Plans may include the full lifecycle of an improvement effort including: •

Estimating and planning

•

Implementing or updating processes

•

Piloting

•

Analyzing expected and actual results

•

Identifying risks or issues

•

Identifying and involving stakeholders

•

Deploying

•

Conducting post-deployment evaluation

•

Collecting feedback and lessons learned

•

Monitoring progress

For larger efforts, consider an iterative or incremental approach instead of a one-time effort. For example, ensure deployable results are available as soon as possible to receive rapid feedback.

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Example Activities Example Activities Select performance improvements to be deployed.

Further Explanation Select improvements to be deployed based on their priority, resource availability, and improvement proposal evaluation and validation activity results. Selection process results can include the: • • • •

Develop the plan based on the identified process improvements and review with stakeholders.

Selection criteria for proposed improvements Characteristics of the target work Disposition of each improvement proposal Rationale for the disposition of each improvement proposal

This should include identifying: • Tasks • Risks or opportunities • Performance criteria

Ensure that the deployment is announced, well-coordinated, and supported. Manage progress, review with stakeholders, and update plans as needed.

This should include monitoring: • Tasks • Risks or opportunities • Performance criteria

Develop or update process assets. Pilot the identified process improvements. Deploy the improvements.

Use results from pilots to update the deployment plans as needed.

Analyze and communicate the results of the deployed improvements.

Make process improvement accomplishments and benefits visible and understandable to all stakeholders.

Record improvement results.

May include: • • • • •

Accomplishments Timeframe Effort and cost Results, e.g., improved performance, processes Benefits

Record achieved effect to the business and compare to the prior state.

Example Work Products Example Work Products Process improvement plan

Further Explanation May include: • • • •

Approach, including deployment Process improvement objectives Roles, responsibilities, and authorities Commitments

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355 Example Work Products • • • • • • • • • • Action plan

Further Explanation Tasks or items to work on Stakeholders Infrastructure Effort Resource plan Budget and schedule Expected overall value and performance results Risks and success criteria Pilot plan Progress reporting

May include: • Actions to be taken to implement the selected improvements • Responsibilities • Due dates

Developed or updated process assets Status report Recorded results

May include: • • • • •

Results from process improvement activities Benefit and value obtained from the improvements Performance results Nature and root cause of failures Effect on other processes and improvements

Related Practice Areas Estimating (EST) Monitor and Control (MC) Planning (PLAN) Process Asset Development (PAD)

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Level 3 PCM 3.1 Required Practice Information

Practice Statement Develop, keep updated, and use process improvement objectives traceable to the business objectives.

Value Ensure that process improvements focus on achieving business objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Example Activities Example Activities

Further Explanation

Identify and record improvement objectives. Review improvement objectives with affected stakeholders.

Review improvement objectives to ensure traceability to business objectives. Traceability enables verification that the improvement objectives contribute to meeting business objectives.

Monitor and update improvement objectives as needed.

Example Work Products Example Work Products

Further Explanation

Process improvement objectives that are traced to business objectives

PCM 3.2 Required Practice Information

Practice Statement Identify processes that are the largest contributors to meeting business objectives.

Value Maximizes impact of improvement activities by focusing on and meeting the most important business needs.

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Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Analyze process improvement objectives to determine which are the major contributors to achieving the business objectives. This may include analyzing: •

Business objectives and how well they are being achieved

•

Business models

•

Business environment

•

Challenges

•

Opportunities

•

Planned changes

Process improvement objectives may be based on the results of a process appraisal, root cause analysis, quality evaluation, or other input. These activities will help determine which improvement objectives have the highest priority.

Example Activities Example Activities

Further Explanation

Review the current business model, business objectives, and business environment. Review potential internal or external business changes. Identify and record the relationships between the objectives and processes.

Includes the tracing and mapping of processes and objectives.

Estimate the value of each process’s contribution to achieving objectives. Record, keep updated, and communicate the results to affected stakeholders.

Results include identification of the processes that are the major contributors to meeting objectives.

Example Work Products Example Work Products Description of the relationships between business objectives, processes, and process objectives and their value

Further Explanation Includes: • Priority of business objectives • Measure of contribution of each process to meeting the objective • Interrelationships of processes and objectives to each other One way to illustrate these relationships is the Six Sigma “Big Y to little x” technique.

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PCM 3.3 Required Practice Information

Practice Statement Explore and evaluate potential new processes, techniques, methods, and tools to identify improvement opportunities.

Value Maximizes process innovation to more efficiently and effectively achieve objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Process needs and processes are not static. Many new technologies, tools, and methods can significantly improve the performance of the organization. An organization should continuously search (both internally and externally) for these potential improvements, evaluate their effectiveness on performance, and adopt the ones that prove beneficial. Proposed improvements can be incremental, innovative, or both: •

Incremental improvements generally originate with those who do the work, e.g., users of the process or technology. Incremental improvements can be simple and inexpensive to implement and deployed without the need for rigorous validation or piloting.

•

Innovative improvements typically involve more radical change to the processes or technologies which can disrupt the normal work flow. Such changes typically require more effort and resources for validation, piloting, implementation, training, and sustainment.

When piloting, define and use criteria for selecting improvements. Criteria such as the risk, transformational nature of change, number of functional areas affected, or cost may indicate the need to pilot the improvement.

Example Activities Example Activities Identify, research, and record improvements.

Further Explanation Research can be internally or externally focused, and may include: • • • •

Use established criteria to decide what documents and measures are critical enough to include in the organization’s Process Asset Library (PAL) for use with other or future projects.

Techniques Methods Process frameworks Objective evaluations

Update these criteria as organizational needs change. Monitoring the evolution of new technology can help identify new criteria for improvement.

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359 Example Activities

Further Explanation

Analyze and evaluate potential process improvement opportunities. Record, keep updated, and communicate the results to affected stakeholders.

Example Work Products Example Work Products Potential improvement opportunities

Further Explanation May include: • • • •

New ideas and innovations Explanation of the ideas Potential impact on business objectives Initial cost vs. benefit analysis

Related Practice Areas Process Asset Development (PAD)

PCM 3.4 Required Practice Information

Practice Statement Provide support for implementing, deploying, and sustaining process improvements.

Value Ensures process improvements provide value to the organization over time.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Ensure the improved processes and assets are well communicated, trained, internalized, and perceived as useful. Continuously support deployed processes and process assets. This support can come in the form of coaching, providing a help desk, training, etc. Obtain approval and commitment from senior management and involve them in visibly and actively supporting the improvement. Align improvement activities to avoid contradictory directions and wasted effort due to initiatives: •

Started in different parts of the organization

•

Based on different standards

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Senior management typically delegates the day-to-day process and improvement work to a team or a dedicated part of the organization.

Example Activities Example Activities

Further Explanation

Identify the mechanisms needed to support process implementation and deployment.

May include: • User groups, e.g., communities of practice • Management communication, such as: o All-hands meetings o Newsletters o Webinars • Feedback to proposers of process changes

Ensure that implementation and deployment activities are planned and coordinated. Align multiple improvement activities.

Helps to avoid: • Conflicting goals • Cancelled efforts • Waste

Obtain senior management commitment to visibly and actively support implementation, deployment, and sustainment of the process. Provide a migration approach from current to newly deployed processes.

Approaches may vary depending on the criticality and impact of the process. Approaches may include: • Full implementation across the organization • Incremental changes via pilots • Iterative implementation by selected projects

Review the deployment results with the affected stakeholders

Include the people who perform the process. They are often the source of knowledge about the processes and constraints.

Provide records about the success, issues, obstacles, and progress of the supporting activities.

Example Work Products Example Work Products Plan for implementing, deploying, and sustaining improvement

Further Explanation Typically includes: • • • • • • • •

Improvement requirements Deployment strategy Estimated budget, schedule, risks, etc. Updated vs. new processes Communication methods List of affected stakeholders Implementation expectations Migration from current to newly deployed processes

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Related Practice Areas Governance (GOV) Planning (PLAN)

PCM 3.5 Required Practice Information

Practice Statement Deploy organizational standard processes and process assets.

Value Ensures efficient, effective, and coordinated process deployment to reduce potential waste from overlapping improvements.

Additional Required Information Coordinate the deployment of selected process improvements and assets in the organization.

Explanatory Practice Information

Additional Explanatory Information Deploy processes and other process assets according to the plan. Involve personnel who are implementing and executing the process and related functions, e.g., training, quality assurance, in deployment. Training enables attendees to apply the processes in a consistent and sustainable way. Provide ongoing support to prevent frustration when the something goes wrong, or the user does not understand the process. A very effective supporting element is coaching. Mechanisms range from question-and-answer support at defined intervals or events to mentoring by guiding the users in applying processes, techniques, methods, and templates. Monitoring implementation ensures that the organization’s set of standard processes and other process assets are effectively deployed. It also helps to understand: •

What assets are being used

•

Why they are being used

•

Where they are being used

•

How they are being used

Update defined processes to incorporate changes to the organization’s set of standard processes and process assets. Updates help to ensure that activities benefit from what has been learned. If standard processes and process assets change or are newly developed, work may not need to change immediately. It may be better to delay deployment until the project can more effectively adopt the change.

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Ensure dependencies among active and planned performance improvement efforts are understood and managed to ensure efficient and effective implementation and execution. There may be multiple improvement initiatives, concurrent improvements, and deployments in an organization. Coordinate the deployment of processes to avoid confusion, waste, contradictory results, and adverse effect. To avoid overwhelming any part of the organization with too much change, it may be necessary to select and deploy different improvements to different parts of the organization. The selection of improvements to deploy should be sensitive to the needs of the respective parts of the organization.

Example Activities Example Activities

Further Explanation

Ensure that sufficient support is available for the deployment. Identify projects for deployment of processes and assets.

Provide criteria for which work is subject to the deployment, to what extent and which timeframe, e.g., new work, all work, staggered approach.

Coordinate the deployment of improved processes with other improvement efforts.

Coordinating deployment includes:

Deploy the organizational set of standard processes and the organizational process assets to identified projects.

Examples of methods for deploying improvements include:

Monitor the deployment of improvements using deployment plans.

Confirm that deployment was completed in accordance with the deployment plan.

Review results of objective evaluations.

This helps determine how well the organization’s set of standard processes has been deployed and how well they are working.

• Coordinating activities of work groups, support groups, and organizational groups for each improvement • Coordinating activities for deploying related improvements • Deploying improvements incrementally rather than as a single deployment • Providing comprehensive consulting to early adopters of improvements in lieu of revised formal training

Identify, record, and track to closure issues related to implementing the organization’s set of standard processes. Review the deployment results with stakeholders.

Example Work Products Example Work Products

Further Explanation

List of where improvements of new or revised processes or assets will be deployed

Should include organizational processes and related process assets.

Deployment status report

May include: • Description of the improvement and deployments • Where, what, and how improvements are deployed

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363 Example Work Products • • • • • • • •

Further Explanation Issues with the deployment Results of objective evaluations Responsibility for implementation Stakeholders Deployment progress Cost expended Corrective actions to take Benefits attained

PCM 3.6 Required Practice Information

Practice Statement Evaluate the effectiveness of deployed improvements in achieving process improvement objectives.

Value Ensures deployed processes are contributing to meeting process and performance improvement objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Determine effectiveness of process improvements against stated objectives and communicate results to stakeholders. To be effective, the deployed process must make a significant positive change in performance of the work. Compare process improvement results against stated process improvement objectives, to determine success and accomplishments, and take corrective action as appropriate.

Example Activities Example Activities

Further Explanation

Analyze current improvement results against business, process, and performance improvement objectives and determine effectiveness of improvements. Record the results and communicate with affected stakeholders. Initiate and track to closure necessary corrective actions.

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Example Work Products Example Work Products Process improvement evaluation report

Further Explanation May include: • Benefit and value obtained from the improvements • Comparison of business and process improvement objectives against the results and accomplishments • Need for further improvements • Causal analysis if needed

Level 4 PCM 4.1 Required Practice Information

Practice Statement Use statistical and other quantitative techniques to validate selected performance improvements against proposed improvement expectations, business objectives, or quality and process performance objectives.

Value Increases the success rate for performance improvement implementation.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Validate selected improvements in line with their improvement proposals by using statistical or other quantitative techniques. Methods for collecting validation data include: •

Discussions with stakeholders, e.g., in the context of a formal review

•

Prototype demonstrations

•

Pilots of suggested improvements

Statistical or other quantitative techniques for validating improvements include: •

Analysis of the statistical significance of the change, e.g., using a hypothesis test

•

Process variation and stability analysis

•

Process capability analysis

•

Modeling and simulation

Validation activities can include simulations and modeling when the performance of the changed process and original process are statistically understood.

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Example Activities Example Activities Plan the validation.

Further Explanation Quantitative success criteria recorded in the improvement proposal can be useful when planning validation. Plans to validate selected improvements, may include: • • • • •

Target work and its characteristics Use of pilots, if selected Schedule for reporting results Measurement and analysis activities Success criteria

Review validation plans with affected stakeholders. Perform each validation in accordance with the plan and record results. Use statistical or other quantitative methods to analyze the results of the validation.

Validation should include determining if objectives are being met.

Review, record and communicate the results of validation analysis.

Reviewing and recording results of analysis typically involves: • Reviewing results with stakeholders • Deciding whether to: o o o o

Proceed with deployment Re-plan and continue the pilot Rework implementation of the improvement Terminate the deployment

• Updating the disposition of improvement proposals associated with the deployment • Identifying and recording new improvement proposals • Identifying and recording lessons learned and problems encountered during the deployment including feedback to the improvement team and changes to the improvement • Evaluating validation results using statistical or quantitative criteria defined in the improvement proposal

Example Work Products Example Work Products

Further Explanation

Validation plans Validation reports

May include: • Validation results of suggested improvements • Pilot results of suggested improvements • Quantitative and statistical analysis of the effects of the change • Description of the validation approach • Recommendations on the roll-out for a wider adoption, including success criteria

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366

Process Quality Assurance (PQA)

Required PA Information

Intent Verify and enable improvement of the quality of the performed processes and resulting work products.

Value Increases the consistent use and improvement of the processes to maximize business benefit and customer satisfaction.

Additional Required PA Information This section left blank for future content.

Explanatory PA Information

Practice Summary Level 1 PQA 1.1

Identify and address process and work product issues.

Level 2 PQA 2.1

Develop, keep updated, and follow a quality assurance approach and plan based on historical quality data.

PQA 2.2

Throughout the project, objectively evaluate selected performed processes and work products against the recorded process and applicable standards.

PQA 2.3

Communicate quality and non-compliance issues and ensure their resolution.

PQA 2.4

Record and use results of quality assurance activities.

Level 3 PQA 3.1

Identify and record opportunities for improvement during quality assurance activities.

Additional PA Explanatory Information Objectivity in process quality assurance evaluations is critical to the success of the project. Evaluators should not evaluate their own work. Personnel independent from the project typically perform objective evaluations using defined criteria and a set of methods. These evaluations are a check of the performed processes and resulting work products against applicable process descriptions, standards, and procedures. Senior management takes an active role in process quality assurance by regularly reviewing results and taking action as needed. A typical project applying quality assurance will: 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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•

Demonstrate more consistent process implementation

•

Have better insight into the project’s results and issues

•

Have better visibility into the project performance

Quality assurance verifies and ensures compliance with implementation to address issues such as: •

Incorrect and incomplete requirements

•

Insufficient release planning

•

Unresolved defects

Often, the verification and validation processes evaluate the same work products as quality assurance. Quality assurance focuses on determining that the verification and validation activities are done by following their recorded processes. Verification focuses on satisfaction of requirements. Validation ensures that the product works as intended in its target environment. Promote an environment that encourages personnel to participate in identifying and reporting quality issues.

Related Practice Areas Verification and Validation (VV)

Context Specific Agile with Scrum Guidance Context Tag:

Agile with Scrum

Context:

Use processes to adapt agile with Scrum techniques.

An agile project using Scrum has many opportunities to objectively evaluate processes and work products, such as when: •

Requirements are examined in the backlog review

•

The Scrum Master facilitates the Scrum process

•

Feedback on what was built is obtained in the sprint review

•

The retrospective event allows the team to collect and organize lessons learned

Ensure that objective evaluations are integrated into the team’s techniques or rhythms, e.g., as part of daily scrums, story point estimation, code reviews, use of tools, continuous integration, and retrospectives. An agile project using Scrum has many opportunities to objectively evaluate ceremonies and work products, such as when: •

User stories are examined in the backlog grooming ceremony

•

The Scrum Master coaches the team during scrum ceremonies

•

Feedback on what was built is obtained in the sprint review

•

The retrospective ceremony explores team behaviors and performers

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•

Management or peers observe Scrum ceremonies being performed using techniques such as a gemba walk

Figure PQA-1 states where quality assurance activities would be performed in an agile project using Scrum. Table PQA-1 shows example quality assurance results. Table-PQA 2 shows example retrospective data that can be augmented by quality assurance activities.

Figure PQA-1: PQA in an Agile Framework

Table PQA-1: Example PQA Information

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Table PQA-2: PQA Retrospective Information

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Level 1 PQA 1.1 Required Practice Information

Practice Statement Identify and address process and work product issues.

Value Increases customer satisfaction through improved quality and performance.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Identify issues that impede the project. Address these issues by either changing what is done or planning to make the changes the next time the process is performed. Identify work product defects and issues such as missing or incorrect information, formats that make it difficult to use the work product, or inconsistent use of terminology.

Example Activities Example Activities

Further Explanation

Identify issues. Record issues. Resolve issues.

Example Work Products Example Work Products

Further Explanation

Recorded issues Addressed issues

Can be immediately addressed or changed in the future.

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371

Level 2 PQA 2.1 Required Practice Information

Practice Statement Develop, keep updated, and follow a quality assurance approach and plan based on historical quality data.

Value Reduces cost and increases quality by focusing on recurring problem areas.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Organizations may not have enough quality assurance resources to review everything in a project. Planning helps to optimize resource use and focus on the areas where the project is most likely to have process or work product issues. Using historical data helps to identify areas where applying resources will be most effective. Consider: •

Where issues have occurred in the past

•

Quality trends o

May be positive or negative. Instances where there have been few issues may not need quality resources applied to them, but areas where issues occur repeatedly may need increased quality activities.

•

Sources of best practices

•

Common or recurring problems across projects

•

Recent changes in processes

Plan activities and determine the type and resources needed for objective evaluations: •

Ensure qualified personnel who perform quality assurance activities participate in developing plans, processes, standards, and procedures

•

Identify and select processes and associated work products to be evaluated during the project

•

Determine how and when quality assurance activities, findings, and results will be communicated and resolved within the organization

Example Activities Example Activities

Further Explanation

Develop, record, and keep updated the quality approach and plan. Identify areas for evaluation. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

372 Example Activities

Further Explanation

Review, update, and approve the approach with affected stakeholders.

Example Work Products Example Work Products Quality assurance approach and plan

Further Explanation Identify areas where the project lead would like objective feedback. May include: • Scope • Focus for objective evaluations including: o New processes o Processes with historical problems o Randomly selected processes • Work products to be objectively evaluated • Depth and coverage of the evaluation. For example: o In-depth evaluation o Observation o Quick review • Schedule o Date for the evaluation o Evaluation leader o Evaluation participants • Description of the quality assurance process, the reporting chain, and how objectivity will be ensured.

Related Practice Areas Planning (PLAN)

PQA 2.2 Required Practice Information

Practice Statement Throughout the project, objectively evaluate selected performed processes and work products against the recorded process and applicable standards.

Value Delivers high-quality solutions by identifying and addressing issues throughout the process execution.

Additional Required Information This section left blank for future content.

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Explanatory Practice Information

Additional Explanatory Information Identifying and addressing quality issues should be done throughout the project, and not just at the end. Catching and addressing issues early reduces the amount of rework. This also provides timely visibility into the quality of the processes and the resulting products. Objectivity is critical to the success of quality assurance evaluations. Critical processes or work products may require independence from the work performed as a way of achieving objectivity. Objectivity can be achieved by using: •

Independent quality assurance organizations or groups

•

Independent reviewers who: o

Are not involved in development or maintenance of the solution

o

Work in a separate management reporting chain

•

Criteria such as standards, guidelines, etc.

•

Checklists based on process descriptions, standards, and procedures

Examples of objective evaluation methods include: •

Formal audits

•

Peer reviews with objective reviewers, which can be performed at various levels of formality

•

In-depth review of work at the place it is performed, e.g., desk audits

•

Distributed review and comment regarding work products

•

Built-in or automated process checks to identify incorrectly performed processes, e.g., Poka-yoke

Example Activities Example Activities

Further Explanation

Develop and keep updated clearly stated criteria for evaluations. Develop and keep updated checklists based on process descriptions, standards, and procedures. Use the defined criteria and checklists to evaluate if selected performed processes follow process descriptions, standards, and procedures. Identify and record each noncompliance found during the evaluation. Leverage recorded best practices in other parts of the organization.

Submit improvement proposals for the best practices.

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Example Work Products Example Work Products

Further Explanation

Criteria Checklists Evaluation reports Noncompliance reports Improvement proposals

PQA 2.3 Required Practice Information

Practice Statement Communicate quality and non-compliance issues and ensure their resolution.

Value Ensures quality processes, avoids the cost of rework, and improves customer satisfaction.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Noncompliance issues are problems identified when team members do not follow applicable standards, recorded processes, or procedures. The status of noncompliance issues tracked over time provides an indication of quality trends. Address and resolve noncompliance issues in the project. Take actions to resolve non-compliance issues at the level closest to the occurrence of the non-compliance whenever possible. Escalate noncompliance issues through the management chain for resolution when needed.

Example Activities Example Activities Communicate and resolve each noncompliance issue.

Further Explanation Consider reporting a compliance percentage rather than the number of noncompliance issues for a project. Report quality assurance activities, results, and issues to senior management on a regular basis so they can take timely and appropriate action. Ways to resolve noncompliance issues include: • Fixing the noncompliance • Changing the applicable recorded processes, standards, or procedures • Obtaining a waiver to cover the noncompliance issue and accept the associated risk Track noncompliance issues to resolution.

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375 Example Activities

Further Explanation

Escalate noncompliance issues when they cannot be resolved.

Escalation may continue through multiple layers of management levels until the issue is resolved.

Analyze noncompliance issues to identify quality trends.

These trends can then be used to focus future quality activities.

Ensure affected stakeholders are aware of evaluation results and quality trends.

Example Work Products Example Work Products

Further Explanation

Quality trend analysis reports Noncompliance resolutions

PQA 2.4 Required Practice Information

Practice Statement Record and use results of quality assurance activities.

Value Using quality assurance results optimizes future quality assurance activities and reduces the cost of future work.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information This section left blank for future content.

Example Activities Example Activities Record and keep updated information about quality assurance activities.

Further Explanation Record information about quality assurance activities with enough detail to clarify status and results. Noncompliance issues recorded as part of the peer review report are tracked and escalated outside the project when necessary.

Example Work Products Example Work Products

Further Explanation

Evaluation records Quality assurance reports 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

376 Example Work Products

Further Explanation

Status reports of non-compliance issues and corrective actions Reports of quality trends

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Level 3 PQA 3.1 Required Practice Information

Practice Statement Identify and record opportunities for improvement during quality assurance activities.

Value Identifying more efficient and effective ways to perform work improves the organization’s capability to meet its goals and objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Quality assurance includes: •

Evaluating the process as performed

•

Identifying ways that the process can be improved

•

Submitting improvement proposals

Quality assurance personnel should work closely with process management to ensure an efficient and effective process is deployed, followed, and maintained. Through this relationship, the process is continuously maintained and improved.

Example Activities Example Activities Record potential improvements observed during quality assurance activities.

Further Explanation Includes: • Suggested process changes • Observations about effectiveness • Related activities which may or may not be a part of the current organizational process

Submit improvement proposals.

Example Work Products Example Work Products

Further Explanation

Improvement proposals

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Product Integration (PI)

Required PA Information

Intent Integrate and deliver the solution that addresses functionality and quality requirements.

Value Increases customers’ satisfaction by giving them a solution that meets or exceeds their functionality and quality requirements.

Additional Required PA Information This section left blank for future content.

Explanatory PA Information

Practice Summary Level 1 PI 1.1

Assemble solutions and deliver to the customer.

Level 2 PI 2.1

Develop, keep updated, and follow an integration strategy.

PI 2.2

Develop, keep updated, and use the integration environment.

PI 2.3

Develop, keep updated, and follow procedures and criteria for integrating solutions and components.

PI 2.4

Confirm, prior to integration, that each component has been properly identified and operates according to its requirements and design.

PI 2.5

Evaluate integrated components to ensure conformance to the solution’s requirements and design.

PI 2.6

Integrate solutions and components according to the integration strategy.

Level 3 PI 3.1

Review and keep updated interface or connection descriptions for coverage, completeness, and consistency throughout the solution’s life.

PI 3.2

Confirm, prior to integration, that component interfaces or connections comply with interface or connection descriptions.

PI 3.3

Evaluate integrated components for interface or connection compatibility.

Additional PA Explanatory Information Product integration activities include: •

Using recorded integration strategies and procedures

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•

Using a single build or an iterative build of solution components

•

Verifying and validating each build

Note that in these practices, the terms solution and solution component include products, services, service systems, and their components. Preparing for integration is part of early planning and work activities. It involves developing and recording the: •

Integration strategy

•

Integration environment

•

Integration procedures and criteria

When integrating products, it is critical to manage and ensure compatibility among the interfaces or connections of product components. Component interfaces or connections can be both internal and external. Verify and validate each successive build according to the integration strategy, in the target environment, and according to procedures and criteria. Use automated builds and continuous integration for completed product components to achieve highest quality. Some products can be integrated using automated builds and continuous integration of the completed product components. The last integration phase may occur when they are deployed at the intended operational environment.

Related Practice Areas Technical Solution (TS)

Context Specific Agile with Scrum Guidance Context Tag:

Agile with Scrum

Context:

Use processes to adapt agile with Scrum techniques.

Agile teams using Scrum typically employ automation and DevOps processes for unit testing, regression testing, system testing, and continuous builds, to reduce human effort as much as possible. These techniques increase productivity and help to detect defects early in the product development lifecycle. An agile team using Scrum following processes that meet the intent of Product Integration practices also ensure that the necessary tools and environment are planned, and that component functionality and interfaces or connections are checked for errors before integration Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

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When service systems are complex and comprised of multiple components, e.g., a combination of system components and services, the organization may need to sequence or integrate the services to provide a single customer facing service. In this context, the Product Integration practices provide an approach to managing and integrating multiple system and service components or service providers. Applying Product Integration practices to processes enables an organization to seamlessly integrate interdependent services from various internal and external service providers into end-to-end services to meet business requirements.

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Level 1 PI 1.1 Required Practice Information

Practice Statement Assemble solutions and deliver to the customer.

Value Enables customer satisfaction by delivering a usable solution.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Requirements for assembly and delivery determine how the product will be delivered to the customer. For example, requirements will be different if the product is delivered as a download, as a package shipped to the customer, or delivered and installed at an operational site.

Example Activities Example Activities

Further Explanation

Assemble solution. Record all necessary information to install and use the solution.

Necessary information may include:

Use applicable methods to package and deliver the solution.

Documentation packaging and delivery methods may include:

• • • • •

• • • • • • •

Configuration Solution component types and serial numbers Physical and functional layout Installation and tracking information Contact information

Hardcopy documents CDs or DVDs Online help Cloud-based repository EBooks Mobile applications Website links for downloads

Deliver the solution and related documentation; confirm receipt.

Example Work Products Example Work Products

Further Explanation

Assembled solutions and related documentation

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382

Level 2 PI 2.1 Required Practice Information

Practice Statement Develop, keep updated, and follow an integration strategy.

Value Ensures that the product will meet customer requirements given available resources.

Additional Required Information The product integration strategy includes how the: •

Solutions and components will be integrated and evaluated, i.e., as a single build or a series of builds

•

Interfaces or connections will be managed

•

Integration environment will be developed

•

Evaluation results will be recorded

Explanatory Practice Information

Additional Explanatory Information Record the product integration strategy. When developing the integration strategy, follow the technical approach developed during planning, addressing the solutions chosen and designs developed during the design effort. Developing an integration strategy can involve identifying and evaluating several alternative integration strategies or sequences. Review the strategy with affected stakeholders to promote commitment and understanding.

Example Activities Example Activities

Further Explanation

Identify and record product components to be integrated. Identify how solutions and components will be verified and validated during integration.

This includes verifications and validations to be performed on interfaces or connections.

Identify alternative integration strategies.

Possible strategies include:

Select the best integration strategy.

Align the integration strategy to availability of:

• • • •

Big bang Incremental Top-down Bottom-up

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383 Example Activities

Periodically review the product integration strategy and revise it as needed.

Further Explanation • Procedures and criteria • Affected stakeholders • People with the appropriate skills Ensure that changes in production and delivery schedules have not adversely impacted the integration sequence.

Record and communicate decision rationale and status.

Example Work Products Example Work Products Product integration strategy

Further Explanation Typically includes how the: • Solutions and components will be integrated and evaluated • Interfaces or connections will be managed • Integration environment will be established • Evaluation results will be recorded The product integration strategy may also include: • The sequence in which components will be available • Whether components will be integrated and evaluated as a single build or a series of builds • The frequency of the builds, e.g., continuous using a tool, nightly, or event-driven • Features to be included and evaluated in each build when using a series of builds • How models, prototypes, and simulations will be used to assist in evaluating a component, including its interfaces or connections • How procedures and criteria will be defined • How test tools and equipment will be made available • How the solution hierarchy will be managed • How evaluation exceptions will be handled

Recorded rationale for selecting or rejecting alternative product integration strategies Selected integration strategy

Related Practice Areas Decision Analysis and Resolution (DAR)

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PI 2.2 Required Practice Information

Practice Statement Develop, keep updated, and use the integration environment.

Value Provides an effective risk mitigation technique to ensure that the solution and components are integrated correctly.

Additional Required Information Verify and validate the integration environment before use.

Explanatory Practice Information

Additional Explanatory Information The integration environment can either be acquired or developed. When developing the integration environment, consider reusing existing organizational resources and perform make, buy, or reuse analyses. Environment requirements can include equipment, software, or other resources. The environment required at each step of the integration process can include test equipment, simulators (taking the place of unavailable product components), product components, and recording devices. The product integration environment can be a major development for first-time or complex projects. For small development efforts, the integration environment may be as simple as a directory structure.

Example Activities Example Activities

Further Explanation

Develop requirements for the integration environment. Develop verification and validation procedures and criteria for the integration environment.

This is for validating the integration environment and not for integrating the product.

Decide whether to build, buy, or reuse the integration environment.

This can be the whole environment or just parts of it.

Develop or acquire an integration environment.

Examples of activities in developing or acquiring an integration environment include:

Verify and validate the integration environment to ensure it satisfies the requirements in accordance with the integration strategy.

• • • • • •

Planning Requirements development Technical solutions Verification Validation Risk management

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385 Example Activities

Further Explanation

Verify and validate the integration environment. Use the integration environment.

The integration environment may be used for testing and other preparation work prior to solution and component integration.

Revise the integration environment as needed.

Dispose of integration environment parts that are no longer useful.

Communicate with affected stakeholders.

Example Work Products Example Work Products

Further Explanation

Verified and validated environment for product integration Build, buy, or reuse analyses Support documentation for the integration environment

Related Practice Areas Decision Analysis and Resolution (DAR) Requirements Development and Management (RDM) Verification and Validation (VV)

PI 2.3 Required Practice Information

Practice Statement Develop, keep updated, and follow procedures and criteria for integrating solutions and components.

Value Improves the likelihood of producing a solution that works correctly and meets the customer’s requirements.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Procedures and criteria for product integration (manual or automated) may address: •

The number of incremental iterations to be performed

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•

How product components will be verified and validated

•

Functionality and quality attributes

•

Verification and validation of interfaces or connections

•

Thresholds of performance deviation

•

The environment to be used for the integration test

•

Environmental parameters

•

Availability of resources

•

Derived requirements for the integration and its external interfaces or connections

•

Allowable substitutions of components

•

Quality or cost tradeoffs for integration operations

•

Delivery rate and variation

•

Lead time from order to delivery

Communicate schedule and integration status with affected stakeholders to reduce the risk of delays and failures.

Example Activities Example Activities

Further Explanation

Develop, use, and keep updated product integration procedures for the product components. Develop, use, and keep updated criteria for product component integration and evaluation. Record, keep updated, and communicate the product integration procedures and criteria.

Example Work Products Example Work Products

Further Explanation

Product integration procedures Product integration criteria

PI 2.4 Required Practice Information

Practice Statement Confirm, prior to integration, that each component has been properly identified and operates according to its requirements and design.

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Value Helps reduce total development cost, integration cycle time, and rework.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Ensure that each component meets its requirements and design and can be integrated according to the product integration strategy and procedures. Components are checked for consistency with interface or connection descriptions. Verification and validation can provide confirmation of integration readiness.

Example Activities Example Activities

Further Explanation

Track the integration readiness status of the components. Ensure components are delivered to the product integration environment as described in the product integration strategy and procedures. Confirm each component is correctly identified and received. Verify and validate that each received component meets its requirements and design. Check the status of the current configuration against the expected configuration. Check all the physical interfaces or connections before integrating product components.

For example, check by a visual inspection or using basic counts of interfaces or connections.

Communicate results with affected stakeholders.

Example Work Products Example Work Products

Further Explanation

Acceptance documents or test criteria for each product component Exception reports

Include handling instructions for what to do with exceptions and nonconforming work products.

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PI 2.5 Required Practice Information

Practice Statement Evaluate integrated components to ensure conformance to the solution’s requirements and design.

Value Helps to ensure customer requirements are correctly implemented.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information The product integration strategy and procedures define when and how to evaluate solutions and components. For example, each incremental integration can be evaluated to ensure that the components work together. Alternatively, the solution can be evaluated once after all the components are integrated. In either case, the resulting solution should meet its specification which may be defined in requirements, solution architecture, design, or test acceptance criteria. Evaluate integrated components at different stages of integration as identified in the product integration strategy and procedures. Examine, integrate, and test components for performance, suitability, and readiness using the product integration procedures, criteria, and environment. Verification and validation of the integration testing may be a part of the integration strategy and procedures. Waivers may be used when defects or other results are accepted without resolution.

Example Activities Example Activities

Further Explanation

Evaluate integrated components, interfaces or connections, and testing using the integration strategy, procedures, and criteria. Record and communicate evaluation results.

Example results include: • • • •

Integration procedure or criteria changes Product configuration changes (spare parts, new release) Deviations from evaluation procedures or criteria Defects and exceptions

Example Work Products Example Work Products

Further Explanation

Integration evaluation reports Interface or connection evaluation reports Test reports Exception reports 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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Related Practice Areas Verification and Validation (VV)

PI 2.6 Required Practice Information

Practice Statement Integrate solutions and components according to the integration strategy.

Value Ensures that the customer receives a solution that meets requirements and design.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Integration and evaluation activities can be performed iteratively. Evaluate integrated components before proceeding to the next integration iteration.

Example Activities Example Activities

Further Explanation

Confirm readiness of the product integration environment. Integrate components according to the product integration strategy, procedures, and criteria.

Record all appropriate component information.

Update the product integration strategy, procedures, and criteria as needed. Integrate and deliver the product and communicate results.

Integration and delivery should address requirements for: • • • • •

Safety Environment protection Security Transportability Disposal

Examples of requirements and standards for packaging and delivering include: • • • • •

Type of storage and delivery media Required documentation Copyrights License provisions Preparation of the operational site for product installation

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390 Example Activities

Further Explanation Install the product at the operational site and confirm correct operation and communicate results. Final product verification and validation may occur at the operational site.

Example Work Products Example Work Products

Further Explanation

Integrated solution or components Exception or test reports

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Level 3 PI 3.1 Required Practice Information

Practice Statement Review and keep updated interface or connection descriptions for coverage, completeness, and consistency throughout the solution’s life.

Value Reduces rework and missed project objectives caused by incompatible or inconsistent interfaces or connections.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Start managing component interfaces or connections early in the development of the project. Interfaces or connections include: •

Product component interfaces or connections

•

Interfaces or connections with other solutions, systems, or components

•

Interfaces or connections with specific environments which may include: o

Verification

o

Validation

o

Operations

o

Support

Interface or connection definitions and designs can affect verification and validation environments in addition to the components and external systems. Ensure that interface or connection changes are recorded, maintained, and readily accessible. Managing interfaces or connections includes maintaining their consistency throughout the life of the solution, complying with architectural decisions and constraints, and resolving conflicts or changes. Managing interfaces or connections between solutions acquired from suppliers and other products or product components is critical for the success of the work.

Example Activities Example Activities

Further Explanation

Review with affected stakeholders and keep updated interface or connection descriptions for coverage, completeness, and consistency throughout the product’s life.

Interfaces or connections are usually classified in three main classes: • Environmental • Physical • Functional

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392 Example Activities

Further Explanation Typical categories for these classes may include: • • • • • • • • •

Mechanical Fluid Sound Electrical Climatic Electromagnetic Thermal Message Operators or users

Resolve interface or connection issues. Update interface or connection descriptions and make accessible to affected stakeholders.

Example Work Products Example Work Products

Further Explanation

Interface or connection review results List of action items for updating interfaces or connections Updated interface or connection descriptions

Related Practice Areas Requirements Development and Management (RDM) Verification and Validation (VV)

Context Specific Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

In the context of service systems, interfaces or connections can fit into one of four major groups: person-to-person, person-to-component, component-to-component, and compound interfaces: •

Person-to-person interfaces are interfaces or connections that represent direct or indirect communication between two or more people o

These people can include service provider personnel or end users

o

For example, a call script (which defines how a help desk operator should interact with an end user) defines a direct person-to-person interface

o

Log books and instructional signage are examples of indirect person-to-person interfaces

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•

Person-to-component interfaces are interfaces or connections that encompass interactions between a person and one or more service system components o

•

Component-to-component interfaces are interfaces or connections that do not include direct human interaction o

•

These interfaces or connections can include both graphical user interfaces for automated components, e.g., software applications; and operator control mechanisms for automated; partially automated; and non-automated components, e.g., equipment, vehicles

This includes the interfaces of interactions between automated components and other possibilities, such as specifications limiting the physical interaction of two components, e.g., a delivery truck and a loading dock

Compound interfaces are interfaces or connections that merge or layer together interfaces from more than one of the other three groups o

For example, an online help system with live chat support might have a compound interface built on an integrated combination of person-to-person, person-to-component, and component-to-component interfaces

Interfaces can be external or internal: •

External interfaces are interactions among components of the service system and any other entity external to the service system, including people, organizations, and systems

•

Internal interfaces can include interactions among personnel, teams, and functions of the service provider organization; internal interfaces can also include interaction between personnel or end users and service system components

Examples of user interface work products include: •

Customer interaction scripts

•

Reporting types and frequency

•

Application program interfaces

PI 3.2 Required Practice Information

Practice Statement Confirm, prior to integration, that component interfaces or connections comply with interface or connection descriptions.

Value Reduces the amount of rework due to interface or connection incompatibility.

Additional Required Information This section left blank for future content.

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Explanatory Practice Information

Additional Explanatory Information This section left blank for future content.

Example Activities Example Activities Compare interface or connection descriptions with component interfaces or connections and identify noncompliances.

Further Explanation This comparison may include: • Performing a pre-check of all the physical interfaces or connections before integrating components • Performing a functional review of external component interfaces or connections • Confirming that verification and validation activities were completed

Address interface or connection noncompliances and communicate results.

Example Work Products Example Work Products

Further Explanation

Results of comparison of component interfaces or connections to their descriptions List of component interface or connection non-compliances List of action items for updating interface or connection descriptions or component interfaces or connections Updated interface or connection descriptions or component interfaces or connections

Context Specific Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

Integrate the service system as defined in the planned integration strategy and procedures. Before integration, verify each service system component for compliance with its interface or connection requirements, including any service system components that are manual processes.

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395

PI 3.3 Required Practice Information

Practice Statement Evaluate integrated components for interface or connection compatibility.

Value Reduces the risk of interface or connection failure within integrated components.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Evaluate and test integrated components to ensure that the interfaces or connections within components are functioning correctly. As identified in the product integration strategy and procedures, evaluate integrated components and their interfaces or connections, as appropriate, at different stages of integration.

Example Activities Example Activities

Further Explanation

Evaluate the integrated components for compatibility.

Compatibility may include:

Record and communicate the evaluation results.

Example results include:

• Alignment with specifications • Functionality • Reliability • Integration procedure or criteria changes • Product configuration changes (spare parts, new release) • Interface or connection and interface or connection description changes • Deviations from evaluation procedures or criteria • Interface or connection defects

Example Work Products Example Work Products

Further Explanation

Interface or connection issues reports

Context Specific Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

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Some service systems can require assembly with customer or end user resources to complete full integration. When these resources are available under the terms of a service agreement, incorporate them, as appropriate, in integration activities. When such resources are not available from customers and end users, temporarily employ substitute equivalent resources to enable full service system integration.

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Requirements Development and Management (RDM)

Required PA Information

Intent Elicit requirements, ensure common understanding by stakeholders, and align requirements, plans, and work products.

Value Ensures that customers’ needs and expectations are satisfied.

Additional Required PA Information This section left blank for future content.

Explanatory PA Information

Practice Summary Level 1 RDM 1.1

Record requirements.

Level 2 RDM 2.1

Elicit stakeholder needs, expectations, constraints, and interfaces or connections.

RDM 2.2

Transform stakeholder needs, expectations, constraints, and interfaces or connections into prioritized customer requirements.

RDM 2.3

Develop an understanding with the requirements providers on the meaning of the requirements.

RDM 2.4

Obtain commitment from project participants that they can implement the requirements.

RDM 2.5

Develop, record, and maintain bidirectional traceability among requirements and activities or work products.

RDM 2.6

Ensure that plans and activities or work products remain consistent with requirements.

Level 3 RDM 3.1

Develop and keep requirements updated for the solution and its components.

RDM 3.2

Develop operational concepts and scenarios.

RDM 3.3

Allocate the requirements to be implemented.

RDM 3.4

Identify, develop, and keep updated interface or connection requirements.

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RDM 3.5

Ensure that requirements are necessary and sufficient.

RDM 3.6

Balance stakeholder needs and constraints.

RDM 3.7

Validate requirements to ensure the resulting solution will perform as intended in the target environment.

Additional PA Explanatory Information Three typical types of requirements: 1. Customer or business requirements 2. Solution requirements 3. Interface or connection requirements Taken together, these requirements address the needs of stakeholders, including needs pertinent to various lifecycle phases and attributes, e.g., responsiveness, security, quality. Requirements can also include constraints. All projects have requirements. Requirements are the basis for developing the right solutions. Requirements development activities include: •

Eliciting, analyzing, validating, and communicating customer needs, expectations, and constraints

•

Prioritizing customer requirements to understand what will satisfy stakeholders given resource constraints

•

Developing the lifecycle requirements of the solution

•

Developing operational concepts and scenarios

•

Developing the customer functional and quality attribute requirements, including descriptions, decompositions, and allocating requirements to functions

•

Developing initial solution requirements consistent with customer requirements

Customer requirements are further refined into solution and interface or connection requirements. In addition to customer requirements, solution and interface or connection requirements are derived from the selected design solutions. Identify and refine requirements throughout the project. Involve stakeholders in requirements development and analysis activities to give them visibility into the evolution of requirements. Analyze design decisions, subsequent corrective actions, and feedback for impact on requirements. Analyses can be used to understand, define, and select the requirements. In addition, the definition may specify design constraints. Some quality attributes will emerge as architecturally significant and drive the development of the solution architecture. Quality attributes may address: •

Solution availability

•

Ability to sustain and maintain

•

Timeliness, throughput, and responsiveness

•

Consistency

•

Security

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•

Scalability

Analyses are iterated until there is enough detail to develop the solution or a portion of the solution. Analysis of requirements and the operational concepts and scenarios may result in identifying more requirements, including: •

Constraints of various types

•

Technological limitations

•

Costs

•

Time constraints

•

Risks

•

Functionality, support, and maintenance concerns

•

Issues implied but not explicitly stated by the customer

•

Business considerations, regulations, and laws

Develop a functional design through iteration with the evolving operational concept and scenarios. During design, refine, derive, and allocate requirements to the functional solution and solution components.

Related Practice Areas Peer Reviews (PR) Verification and Validation (VV)

Context Specific Agile with Scrum Guidance Context Tag:

Agile with Scrum

Context:

Use processes to adapt agile with Scrum techniques.

Figure RDM-1 states where requirements activities are performed in an agile project using Scrum. Figure RDM-2 shows a top-level summary of requirements information and in which sprint those requirements are addressed.

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Figure RDM-1: RDM in an Agile Framework

Figure RDM-2: Requirements Information

Requirements Development and Management practices can strengthen the typical agile project by adding greater requirements understanding, clarity, and discovery of issues. Requirements Development and Management practices add early consideration of other requirement types beyond the user stories typically used by an agile project using Scrum. Practices in this PA also add performing analyses to find errors and risks while conducting the requirements definition activities. For example, agile expects user needs to be elicited as a backlog of user stories, but a backlog does not typically include constraints, interfaces or connections, and quality attributes. RDM practices provide a means for capturing and addressing these attributes during the sprints. Requirements Development and Management practices provide a robust infrastructure to support requirements development for complex solutions. These practices can be added iteratively to improve any agile project using Scrum during backlog creation, grooming, and sprint execution. Table RDM-1 shows where Requirements Development and Management practices can augment a typical agile project using Scrum. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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Table RDM-1 Agile Projects using Scrum

Requirements Development and Management

Release planning

Earlier and more complete understanding of the solution and risks.

Backlog grooming/review

Broader and deeper analysis of user stories or epics to discover potential issues or constraints. Additionally, these analyses will identify risks.

Sprint planning

Presentation of stories by the product owner, review acceptance by the team, and estimate of the user stories to be delivered during the upcoming sprint.

Sprint execution

More of the project is spent developing a working solution vs. refactoring.

Sprint review/demo

Enables a more thorough understanding of what has been accomplished during the sprint.

Sprint retrospective

Collaborative sessions where the agile team’s culture, process, and performance is reviewed

Agile projects using Scrum typically will implement traceability from business need through epics, user stories, tasks, tests, and the definition of done. Designs and code are often traced directly to user stories. Traceability enables more efficient and accurate consistency checks between requirements (user stories or epics) and work products. Traceability also improves the ability to understand and addresses what is impacted by a requirement (user story or epic) change. Development Context Tag:

CMMI-DEV

Context:

Use processes to develop quality products and services to meet the needs of customers and end users.

For product lines, engineering processes (including requirements development) may be applied at multiple levels. At the product line level, perform a “commonality and variation analysis” to help elicit, analyze, and develop core assets for use by projects within the product line. At the project level, use these core assets per the product line plan as part of the project’s engineering activities. Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

The acquirer has overall responsibility for ensuring that requirements meet the objectives for the solution. The acquirer should clearly define requirements that can be incorporated into supplier agreements and solutions. In some acquisitions, the acquirer assumes the overall role of engineer, architect, or integrator for the solution.

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Level 1 RDM 1.1 Required Practice Information

Practice Statement Record requirements.

Value Recorded requirements are the basis for successfully addressing customer needs and expectations.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Typically, customers cannot describe all aspects of what they want and need. Recorded requirements provide a basis for mutual discussion, understanding, and agreement between the customer and the project. Requirements include what the delivered solution will do.

Example Activities Example Activities

Further Explanation

Record the requirements.

Example Work Products Example Work Products Recorded requirements

Further Explanation Examples include: • List of requirements • Statement of work • Use cases

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403

Level 2 RDM 2.1 Required Practice Information

Practice Statement Elicit stakeholder needs, expectations, constraints, and interfaces or connections.

Value Active elicitation of requirements ensures a deeper mutual understanding of the requirements and increases the likelihood that the customer will be satisfied.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Ensure stakeholder needs, expectations, constraints, limitations, and interfaces or connections are clearly identified, understood, and do not conflict. Determine additional requirements to address lifecycle activities and their effect on the solutions. Use an iterative process throughout the life of the project to continuously refine the requirements. Consider environmental, legal, and other constraints when developing customer requirements. Requirements record externally observable behavior. Recorded internal behavior is a design constraint. Requirements represent what the customer needs and expects, not how the requirements will be addressed.

Example Activities Example Activities Elicit stakeholder needs, expectations, constraints, and interfaces or connections.

Further Explanation Identify additional requirements not explicitly provided by stakeholders. Techniques to elicit needs include: • • • • • • • • • • • • • • • • • • •

Technology demonstrations Interim project reviews Questionnaires Interviews Scenarios (operational, sustainment, and development) Walkthroughs Quality attribute elicitation workshops with stakeholders Prototypes and models Brainstorming Quality function deployment Market surveys Beta testing Extraction from sources such as documents, standards, or specifications Observation of existing solutions, environments, and workflow patterns Use cases Business case analysis Reverse engineering (for legacy solutions) Customer satisfaction surveys Viewpoint analysis

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404

Example Work Products Example Work Products

Further Explanation

List of stakeholder needs, expectations, constraints List of interfaces or connections

Interfaces or connections may include: • • • • • •

Links System Human Relationships Interactions Interdependencies

RDM 2.2 Required Practice Information

Practice Statement Transform stakeholder needs, expectations, constraints, and interfaces or connections into prioritized customer requirements.

Value Ensure customer priorities are addressed to minimize the cost of rework during acceptance and maximize customer satisfaction.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Consolidate and prioritize various inputs from customers and stakeholders, obtain missing information, and resolve conflicts as customer requirements are developed, prioritized, and recorded. The customers’ functional and quality attribute requirements can be expressed in the customer’s terms and can contain nontechnical descriptions. Solution and contractual requirements are the expression of these requirements in more explicit technical terms that can be used for design decisions. Sources for requirements include: •

Customer provided input

•

Stakeholder provided input

•

Previous efforts

•

Existing solution systems

•

Domain literature

•

Laws and regulations

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405

•

Standards

•

Business policies

•

Previous architectural design decisions and principles

•

Business environmental requirements, e.g., laboratories, testing and other facilities, information technology infrastructure

•

Technology

These stakeholder needs, expectations, constraint, and interface or connection requirements may include: •

•

Technical requirements, such as: o

External interface or connection

o

Internal interface or connection (developed during design)

o

Functional

o

Quality

o

Operational

o

Performance

o

Verification

o

Validation

o

Acceptance criteria

o

Safety

o

Security

Nontechnical requirements, including: o

Price and cost

o

Delivery constraints

o

Resource constraints

o

Training

o

Customer interactions, e.g., status reporting, meetings

Ensure technical and non-technical requirements address the satisfaction of customer, business, and project objectives and associated attributes, such as effectiveness and affordability. Analyze stakeholder requirements to lay the foundation for the operational concept. To avoid scope creep, develop criteria to designate appropriate channels or official sources from which to receive requirements changes. This results in more detailed and precise sets of requirements called “derived requirements”. These requirements address all aspects of the deliverables including: •

Work products

•

Services

•

Processes

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406

•

Consumables

•

Customer-provided resources and other resources

•

Functionality and quality attribute needs of affected stakeholders

Derived requirements arise from: •

Constraints

•

Consideration of issues implied but not explicitly stated in the stakeholder requirements

•

Factors introduced by the selected: o

Unique business considerations

o

Strategic priorities

o

Industry market and technology trends

o

Architecture

o

Design

Example Activities Example Activities Translate stakeholder needs, expectations, constraints, and interfaces or connections into recorded customer requirements.

Further Explanation Factors to consider when expressing customer requirements include: • • • •

Key characteristics of the desired capability Obstacles to overcome to achieve the capability Competitive gap between the existing and the desired capability Supportability of the desired capability

Requirements should not specify or constrain design decisions without careful consideration. Develop, record, and keep updated a prioritization of customer requirements.

Prioritized customer requirements help to determine project, iteration, or increment scope. This prioritization ensures that functional and quality attribute requirements critical to the customer and other stakeholders are given the highest visibility and attention.

Example Work Products Work Products

Further Explanation

Prioritized customer requirements Customer constraints

May include constraints related to: • Design • Verification • Validation

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407

RDM 2.3 Required Practice Information

Practice Statement Develop an understanding with the requirements providers on the meaning of the requirements.

Value Helps to ensure the correct solution is delivered which increases customer satisfaction.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Ensure people who implement and test solutions against the requirements analyze them with the provider to reach a shared understanding of the meaning of the requirements. The result of these analyses and interactions is a set of approved requirements. It is important to identify and eliminate as much ambiguity as possible from the set of requirements.

Example Activities Example Activities

Further Explanation

Develop criteria for identifying appropriate requirements providers. Develop criteria for the evaluation and acceptance of requirements.

Evaluation and acceptance criteria can prevent: • Inadequate verification • Costly rework • Customer rejection For example, evaluation and acceptance criteria may include: • • • • • • • • • • • •

Unambiguous Clearly and properly stated Complete Consistent with one another Uniquely identified Consistent with the architectural approach and quality attribute priorities Appropriate to implement Testable Traceable to source Achievable Tied to business value Identified as a priority by the customer

Analyze requirements to ensure that established criteria are met. Reach an understanding of and obtain commitments to requirements with the

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408 Example Activities requirements providers and the project participants.

Further Explanation

Record needed changes to requirements.

Example Work Products Example Work Products

Further Explanation

Lists of appropriate requirements providers Criteria for evaluation and acceptance of requirements Results of analyses against criteria Recorded changes to requirements Set of approved requirements

Reflects the shared understanding between the project and the customers.

RDM 2.4 Required Practice Information

Practice Statement Obtain commitment from project participants that they can implement the requirements.

Value Ensures commitments are well understood to minimize delays and rework.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information As requirements are developed or evolved, ensure project participants commit to the approved requirements and the resulting changes in project plans, activities, and work products. Their commitment increases the likelihood of success in meeting project objectives.

Example Activities Example Activities

Further Explanation

Assess the impact of requirements on existing commitments. Negotiate and record commitments.

Negotiate commitments before work starts

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409

Example Work Products Example Work Products

Further Explanation

Impact assessment

Estimate the cost, and the impact to quality, risk, and schedule.

Recorded commitments that requirements can be met

Recorded commitments may be in the form of: • • • •

Meeting minutes Sign-off documents Email acknowledgements May address resources and schedule.

Context Specific Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

The acquirer negotiates with the customer and supplier before committing to a requirement change. A requirements change can lead to modifications to supplier agreements. Ensure the acquirer, supplier, and customer agree on these changes after appropriate negotiations. In some acquisitions, the acquirer may represent, and act on behalf of the customer. Deliverables may include impact assessments when a requirement change occurs.

RDM 2.5 Required Practice Information

Practice Statement Develop, record, and maintain bidirectional traceability among requirements and activities or work products.

Value Ensures consistency between requirements and the solution which increases the likelihood of customer satisfaction.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Traceability from source requirements to the solution ensures that: •

Requirements have been completely addressed in customer deliverables

•

Lower level requirements can be traced to a valid source

•

Requirements are implemented

•

Selected requirements are verified and validated

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Relationships to other entities such as intermediate and final work products may:

•

o

Include dependencies in which a change in one requirement can impact other requirements

o

Aid in design and in evaluating the impact of changes

o

Affect evaluating the impact of requirements changes

o

Support anticipated scope changes

•

Design and other documentation reflect requirements

•

Test plans and test cases address the requirements

Traceability is particularly helpful when assessing the impact of requirements changes on work activities and projects. Bidirectional traceability is not always automated. It can be done manually using spreadsheets, databases, and other common tools. Bidirectional traceability needs to be implemented in concert with lifecycle activities. If it is left to the end of the project, it will be a costly and error prone effort.

Example Activities Example Activities Develop, record, and keep updated bidirectional requirements traceability.

Further Explanation Trace requirements from their source through intervening work products to the customer deliverable

Example Work Products Example Work Products

Further Explanation

Records of bidirectional requirements traceability

Context Specific Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

In a service environment, trace stakeholder requirements to: •

Elements of the delivered service and supporting service system developed from those requirements

•

Service levels

•

Other requirements derived from stakeholder requirements

Elements of the delivered service and supporting service system should be traceable back to the stakeholder requirements they meet. Maintain traceability for work products and components, such as the service system architecture, service system components, development iterations, or increments, functions, interfaces or connections, objects, people, processes, and other work products. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

411

A traceability matrix might have the list of stakeholder requirements and derived requirements on one axis. The other axis might list components of the service system, including people and consumables. The intersections of the rows and columns would indicate where a requirement applies to the parts of the service system. Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

The acquirer maintains overall bidirectional traceability between customer requirements and the solution. The supplier maintains bidirectional traceability between the solution, the solution components, and the requirements defined in the supplier agreement. The acquirer verifies that traceability. The supplier also maintains traceability from contractual requirements to derived or additional requirements.

RDM 2.6 Required Practice Information

Practice Statement Ensure that plans and activities or work products remain consistent with requirements.

Value Minimizes rework by eliminating inconsistencies between requirements and related artifacts.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information This section left blank for future content.

Example Activities Example Activities

Further Explanation

Review plans, activities, and projects for consistency with requirements and changes made to them.

Maintaining bidirectional traceability is critical to maintaining consistency between requirements, work products, and plans.

Record inconsistencies and their sources.

Identify any changes that should be made to plans and projects resulting from changes to the requirements.

Initiate and record any necessary corrective actions and communicate results to affected stakeholders.

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412

Example Work Products Example Work Products

Further Explanation

Records of inconsistencies between requirements, plans, and work products Corrective actions

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413

Level 3 RDM 3.1 Required Practice Information

Practice Statement Develop and keep requirements updated for the solution and its components.

Value Ensures the built solutions meet the customers’ needs and expectations in a consistent way across the organization.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information This section left blank for future content.

Example Activities Example Activities

Further Explanation

Develop, record, and keep updated requirements in technical terms necessary for solution and solution component design. Derive, record, and keep updated requirements that result from solution selections and design decisions. Record and keep updated bidirectional traceability. Review requirements for potential impact to architecture and design. Record and keep updated prioritization of requirements. Record and keep updated nontechnical requirements. Identify, record, and keep updated requirements for external and internal interfaces or connections.

Example Work Products Example Work Products Requirements

Further Explanation May include: • Solution requirements

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414 Example Work Products

Further Explanation • Architectural requirements – specify or constrain the relationships among components • Solution component requirements • Derived requirements – with bidirectional traceability to source requirements • Requirement allocations – for bidirectional traceability • Internal and external interface or connection requirements

Context Specific Development Context Tag:

CMMI-DEV

Context:

Use processes to develop quality products and services to meet the needs of customers and end users.

Selection of a technology brings with it additional requirements. For instance, use of electronics requires additional technology-specific requirements such as electromagnetic interference limits. Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

Analyze stakeholder requirements while developing the operational concept to derive more detailed and precise sets of requirements called derived requirements. These requirements address all aspects of the service system associated with service delivery, including work products, services, processes, consumables, customer resources, other resources, warranty costs, service incentives, and the functionality and quality attribute needs of affected stakeholders. In some service contexts, derived requirements can be as simple as identifying and quantifying required resources. For complex service systems with many types of components and interfaces, iteratively refine the initial requirements into lower level sets of more detailed requirements that can be allocated to service system components as the preferred solution is refined. Develop the functionality and quality attribute requirements for the service system through this analysis and through refinement, derivation, and allocation activities.

RDM 3.2 Required Practice Information

Practice Statement Develop operational concepts and scenarios.

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415

Value Enables customers to understand, confirm, and commit to how their requirements will be met.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information A scenario describes a sequence of events that: •

Includes user and product interactions

•

May occur in the development, use, or sustainment of the product

An operational concept provides: •

A view of the system or product from the user perspective

•

A context for developing or evaluating a set of scenarios

Operational concepts and scenarios together demonstrate what the requirements are trying to accomplish. For example, the operational concept for a satellite-based communications product is quite different from one based on landlines. The scenario would cover the steps in the communication process.

Example Activities Example Activities Develop, record, and keep updated operational concepts and scenarios.

Further Explanation Identify and develop scenarios, consistent with the level of detail in the stakeholder needs, expectations, and constraints. Ensure scenarios address quality attribute, functions, or other factors. Iteratively refine operational concept and scenarios to include more detail as decisions are made and as lower level requirements are developed; for example, describe interactions among the: • • • •

Solution End users Environment Boundaries and constraints

Review operational concepts and scenarios with affected stakeholders to refine and discover requirements.

Example Work Products Example Work Products

Further Explanation

Operational concepts and scenarios

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416

RDM 3.3 Required Practice Information

Practice Statement Allocate the requirements to be implemented.

Value Increases customer satisfaction by delivering a complete solution that meets requirements.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information The architecture provides the basis for allocating requirements to components. A higher-level requirement can be allocated to more than one component.

Example Activities Example Activities

Further Explanation

Allocate, record, and keep updated requirements.

Requirements are typically allocated to:

Record and keep updated relationships among allocated requirements.

Relationships include dependencies in which a change in one requirement can affect other requirements.

• Logical design – As the operational concept evolves, allocate requirements to logical entities, e.g., functions, processes, that help relate the requirements to the operational concept. These logical entities serve to organize the requirements and assist in the synthesis of the technical solution. • Physical design – As the technical solution is selected or developed, allocate requirements to solution components. • Components • Interfaces or connections • Delivery increments

Review requirements allocations and relationships with affected stakeholders.

Example Work Products Example Work Products

Further Explanation

Requirement allocations

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417

Context Specific Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

Allocate contractual requirements, as appropriate, to supplier deliverables. Record the requirements for each supplier deliverable. In some cases, technical requirements are allocated to third-party solutions that the supplier uses, e.g., COTS products. Example acquirer activities include: •

Allocating requirements to suppliers

•

Allocating requirements to supplier deliverables

•

Allocating design constraints and record relationships among allocated requirements and design constraints

•

Developing an approach to address requirements shared among multiple stakeholders, e.g., the acquirer, multiple suppliers, customers, end users

RDM 3.4 Required Practice Information

Practice Statement Identify, develop, and keep updated interface or connection requirements.

Value Reduces rework and risk due to incompatible internal and external interfaces or connections.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Identify interfaces or connections between functions, objects, or other logical entities. Interfaces or connections can be internal or external to a solution. Define interface or connection requirements between solutions or solution components identified in the architecture. Interfaces or connections are controlled as part of solution integration. Ensure interface or connection requirements are reviewed by affected stakeholders. This is typically done within the context of a control group of stakeholders.

Example Activities Example Activities Identify, record, and keep updated internal and external interface or connection requirements.

Further Explanation As the design progresses, the architecture will be altered by technical solution processes, developing new interfaces or

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418 Example Activities

Further Explanation connections between internal components and components external to the solution. Management of the interfaces or connections may include: • Maintaining consistency of the interface or connection • Complying with architectural decisions and constraints • Resolving conflict, non-compliances, and change issues

Review interface or connection requirements for coverage and completeness with affected stakeholders, and record results.

Review the interface or connection descriptions with affected stakeholders to: • Avoid misinterpretations • Reduce delays • Prevent the development of interfaces or connections that do not work properly

Example Work Products Example Work Products Interface or connection requirements

Further Explanation May include: • Categories with lists of interfaces or connections • Requirements defined for each set of solution components

Interface or connection requirements review results Action items for updating interface or connection requirements Updated interface or connection requirements

Related Practice Areas Product Integration (PI) Technical Solution (TS)

Context Specific Development Context Tag:

CMMI-DEV

Context:

Use processes to develop quality products and services to meet the needs of customers and end users.

Define requirements for interfaces in terms such as: •

Software o

Origination

o

Destination

o

Stimulus

o

Data characteristics

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419

•

o

Communication interfaces, e.g., protocols such as HTTP, FTP

o

User interfaces, e.g., screen layout, font, buttons

Hardware o

Electrical

o

Mechanical

o

Hydraulic

o

Physical connections

o

Power characteristics

o

Radiation

o

Thermal

o

Safety

o

Security

RDM 3.5 Required Practice Information

Practice Statement Ensure that requirements are necessary and sufficient.

Value Avoids rework by only delivering necessary solutions.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information A necessary requirement is one that must be met for the solution to function as intended. Sufficiency typically deals with the set of requirements being complete enough for the solution to function as intended. Requirements analysis helps determine if requirements: •

Are all necessary

•

Are missing

•

Are consistent with each other

•

Can be implemented as defined

•

Can be verified and validated

•

Conflicts are removed

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420

Example Activities Example Activities Perform a requirements analysis to determine if requirements are necessary and sufficient.

Further Explanation Analyze requirements to ensure they are: • • • • •

Relevant Complete Feasible Maintainable Not in conflict

Analyze operational concepts and scenarios to refine customer needs, constraints, and interfaces or connections, and to discover new requirements. This analysis can result in more detailed operational concepts and scenarios and supports deriving new requirements. Review analysis results with stakeholders. Update requirements based on review results.

Example Work Products Example Work Products Requirements analysis results

Further Explanation May include reviews of: • • • •

Requirements defects Activity diagrams and use cases Logical or functional designs with allocated requirements Proposed requirements changes

Updated requirements

RDM 3.6 Required Practice Information

Practice Statement Balance stakeholder needs and constraints.

Value Increases stakeholder satisfaction while addressing conflicting requirements and constraints.

Additional Required Information This section left blank for future content.

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421

Explanatory Practice Information

Additional Explanatory Information The intent of this practice is to ensure an understanding and agreement between the project and the customer about what is delivered given resource constraints. This typically involves negotiating benefits and tradeoffs with customers and other stakeholders. When costs and issues outweigh the benefits, consult affected stakeholders to determine what changes may be needed. Stakeholder needs and constraints can address: •

Cost

•

Schedule

•

Performance

•

Functionality

•

Quality

•

Priorities

•

Resources

•

Reusable components

•

Maintainability

•

Risk

Analyze requirements to determine whether they reflect an appropriate balance among cost, schedule, performance, quality, customer needs, and other factors of interest to affected stakeholders. Models and simulations can be used to estimate the impact that requirements will have on these factors. Involve stakeholders in the analysis of impacts and issues from different phases of the solution’s lifecycle. If the issues are considered unacceptable, revise or reprioritize the requirements to improve the balance of cost, schedule, performance, and quality.

Example Activities Example Activities Analyze requirements to ensure that they balance stakeholder needs and constraints.

Further Explanation Analysis includes use of: Models Simulations Prototypes A risk assessment on the requirements and definition of required functionality, performance, and quality attributes • Assessment of the requirements on cost, schedule, functionality, and quality

• • • •

Review, analyze and negotiate requirements tradeoffs with customers and stakeholders. Record and keep updated proposed requirements changes and communicate with affected stakeholders. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

422

Example Work Products Example Work Products Analysis results

Further Explanation Includes: • Identification of where costs, schedule, performance, quality, and other factors exceed constraints • Assessment of risks related to requirements

Proposed requirements changes

Related Practice Areas Risk and Opportunity Management (RSK)

Context Specific Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

Analyze requirements and define required service system functionality and quality attributes to balance the stakeholders’ needs, expectations, constraints, and interfaces or connections. Depending on the service delivery context, consider factors such as feasibility, business objectives and needs, cost constraints, end user types, potential market size, and procurement strategy. Determine the parameters used to evaluate the effectiveness of service delivery based on customer and end user input and the preliminary service delivery concept. Example Activities Example Activities Develop and keep updated a definition of required functionality and quality attributes.

Further Explanation This definition can include descriptions, breakdowns, and categorizations of the service’s functions. In addition, the definition specifies design considerations or constraints on how to achieve the required functionality in the service system. Some quality attributes will emerge as architecturally significant and drive subsequent service system high-level design activities. A clear understanding of the quality attributes and their importance based on business objectives or needs is essential to the design process.

Validate requirements to ensure the resulting service system will perform as intended in the end user’s environment.

Example Work Products Example Work Products

Further Explanation

Operational concepts and scenarios, use cases, activity diagrams, and user stories Service system and service system component installation, training, 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

423 Example Work Products operational, maintenance, support, and disposal concepts

Further Explanation

Definition of required functionality and quality attributes Architecturally significant quality attribute requirements New requirements Requirement defect reports and proposed changes to resolve Assessments of risks related to requirements Records of analysis methods and results

Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

Perform a cost benefit analysis to assess trade-offs between requirements and the effect on the overall acquisition strategy. This analysis often focuses on evaluating requirements that address architecturally significant quality attributes. For example, a combination of tight response time requirements and high reliability requirements could be expensive to implement. Impact analysis provides the insight for the acquirer to select a more cost effective solution to balance cost, schedule, and performance against risk and opportunity.

RDM 3.7 Required Practice Information

Practice Statement Validate requirements to ensure the resulting solution will perform as intended in the target environment.

Value Avoids rework cost and increases satisfaction by delivering a solution that meets customer expectations and needs.

Additional Required Information This section left blank for future content.

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424

Explanatory Practice Information

Additional Explanatory Information Perform requirements validation with affected stakeholders throughout the solution lifecycle to confirm that the requirements are necessary and sufficient in the target environment.

Example Activities Example Activities Identify and select validation techniques.

Further Explanation To broaden and deepen understanding of requirements, use multiple validation techniques such as: • • • • • •

Functional analysis Simulation Prototypes Demonstrations Tests Reviews or walk-throughs

Validate the requirements using selected techniques and record results. Review and communicate validation results with stakeholders. Update requirements.

Example Work Products Example Work Products

Further Explanation

Selected validation techniques Record of validation results Updated requirements

Related Practice Areas Verification and Validation (VV)

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425

Risk and Opportunity Management (RSK)

Required PA Information

Intent Identify, record, analyze, and manage potential risks or opportunities.

Value Mitigate adverse impacts or capitalize on positive impacts to increase the likelihood of meeting objectives.

Additional Required PA Information The term risk refers to uncertainties that may have a negative impact on achieving objectives. The term opportunity refers to uncertainties that may have a positive impact on achieving objectives.

Explanatory PA Information

Practice Summary Level 1 RSK 1.1

Identify and record risks or opportunities and keep them updated.

Level 2 RSK 2.1

Analyze identified risks or opportunities.

RSK 2.2

Monitor identified risks or opportunities and communicate status to affected stakeholders.

Level 3 RSK 3.1

Identify and use risk or opportunity categories.

RSK 3.2

Define and use parameters for risk or opportunity analysis and handling.

RSK 3.3

Develop and keep updated a risk or opportunity management strategy.

RSK 3.4

Develop and keep updated risk or opportunity management plans.

RSK 3.5

Manage risks or opportunities by implementing planned risk or opportunity management activities.

Additional PA Explanatory Information Risk and opportunity management is a continuous, forward-looking process and includes: •

Identifying and mitigating potential negative impacts that may make it difficult to meet objectives

•

Identifying and leveraging potential positive impacts for improving performance or progress towards achieving objectives

•

All levels of an organization

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426

Identify risks or opportunities early by working with affected stakeholders. Before dedicating resources to address risks or opportunities, determine which are worth pursuing. During risk and opportunity management, consider: •

Timeliness of the needed response

•

Significance or consequences of the situation

•

Regularity or chances of the situation occurring

•

Internal, external, technical, and non-technical sources

•

Early implementation of handling activities that may be less disruptive and costly

•

Uncertainties that could most affect the ability to perform

•

Industry standards and best practices that can help to identify and manage uncertainty

Risk and opportunity management involves: •

Defining a strategy

•

Identifying and analyzing risks or opportunities

•

Handling identified risks or opportunities includes:

•

o

Developing mitigation and contingency plans for risks

o

Developing plans to leverage opportunities

Implementing risk or opportunity handling plans

Risk and opportunity management practices help organizations evolve from reactively identifying uncertainties to systematically planning, anticipating, and handling them.

Related Practice Areas Planning (PLAN)

Context Specific Agile with Scrum Guidance Context Tag:

Agile with Scrum

Context:

Use processes to adapt agile with Scrum techniques.

Figure RSK-1 states where risk and opportunity management activities can be performed in an agile project using Scrum. Table RSK-1 shows a simple example of a risk and opportunity log. Figure RSK-2 shows a risk burndown chart showing total risks decreasing and opportunities increasing over time.

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427

Figure RSK-1: RSK in an Agile Framework

Table RSK-1: Example Risk and Opportunity Log

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Figure RSK-2: Example Risk Burndown Chart

As an empirical framework, agile with Scrum, does not define specific practices and processes for risk and opportunity management. Risk and opportunity management is performed using of visual information indicators, daily standups, short sprints (iterations) with frequent feedback, and close collaboration within teams and customers. Some agile teams reduce technical risk by using “spikes,” or rapid prototypes performed early in the project. Risk and opportunity management can be easily added to the planning, execution, and retrospective activities of each sprint, or selected sprints. During each activity, spend a few minutes updating the risk and opportunity information like that shown in Table RSK-1 and Figure RSK-2.

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429

Level 1 RSK 1.1 Required Practice Information

Practice Statement Identify and record risks or opportunities and keep them updated.

Value Enables organizations to avoid or minimize the impact of risks and leverage potential opportunities related to achieving objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Identify and describe risks or opportunities clearly.

Example Activities Example Activities Identify the risks associated with the work.

Further Explanation Identify and clearly describe risks that could negatively affect work and plans. Risk identification should consider: • • • • • • • • • • • •

Cost Schedule Work tasks Performance Achievement of business objectives Environmental concerns, e.g., weather or natural disasters, political changes, or telecommunications failures Requirements Technology Staffing Funding Suppliers Regulatory constraints

Perform risk identification and management during planning and review activities. Record the risks.

State the risk and the impact of its occurrence.

Identify opportunities.

Identify and clearly describe opportunities that could positively affect work and plans. For example: • • • • • • •

Cost Schedule Work tasks Performance Achievement of business objectives Requirements Technology

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430 Example Activities

Further Explanation • Staffing • Funding • Suppliers Perform opportunity identification and management during review and planning activities.

Record opportunities.

State the opportunity and its potential benefits.

Identify the affected stakeholders associated with each risk or opportunity.

Example Work Products Example Work Products List of identified risks or opportunities

Further Explanation Include context, conditions, and consequences of risks or benefits of opportunities.

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431

Level 2 RSK 2.1 Required Practice Information

Practice Statement Analyze identified risks or opportunities.

Value Increases the likelihood of achieving objectives by reducing the impact of risks or leveraging opportunities.

Additional Required Information Analysis of the risks includes potential impact, likelihood of occurrence, and the timeframe in which they are likely to occur. Analysis of opportunities includes potential benefits, potential costs, and the timeframe for action.

Explanatory Practice Information

Additional Explanatory Information The analysis of risks or opportunities should consider: •

Assigning mitigation or contingency to the highest priority or the most critical risks

•

Leveraging opportunities by assigning the highest priority to those with the greatest benefit

Example Activities Example Activities Analyze the identified risks.

Further Explanation Analyze risks to understand their effect on achieving the work’s objectives. Examples of risk identification and analysis techniques include: Assessments Checklists Structured interviews Brainstorming Failure Mode and Effects Analysis (FMEA) Failure Mode, Effects and Criticality Analysis (FMECA) Strength, Weakness, Opportunity, and Threat (SWOT) analysis • Poka-yoke analysis

• • • • • • •

Review the work breakdown structure, plan, and schedule for risks. Identify the impact of each risk. Identify the probability of occurrence for each risk. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

432 Example Activities

Further Explanation

Assign priorities to each risk based on the impact and probability of occurrence. Analyze the identified opportunities.

Examples of opportunity identification and analysis techniques include: • Assessments • Checklists

Review the work breakdown structure, plan, and schedule for opportunities. Identify the benefits and costs of each opportunity. Assign priorities to each opportunity based on the benefit and cost. Rank opportunity according to priorities. Review assigned opportunity priorities with affected stakeholders and get agreement. Develop the risk and opportunity analysis report.

Include a list of prioritized risks or opportunities.

Example Work Products Example Work Products Identified risks or opportunities

Further Explanation These include: • Risk impact and probability of occurrence • Opportunity benefit and cost

Risk or opportunity priorities Risk and opportunity analysis reports

RSK 2.2 Required Practice Information

Practice Statement Monitor identified risks or opportunities and communicate status to affected stakeholders.

Value Enables timely corrective or leveraging actions to maximize the likelihood of achieving objectives.

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433

Explanatory Practice Information

Additional Explanatory Information Review risks or opportunities periodically, including changing conditions. Reexamination may uncover risks or opportunities that were previously overlooked or that did not exist when the identification and priorities were last updated.

Example Activities Example Activities

Further Explanation

Periodically review risks or opportunities.

Review risks or opportunities in the context of status, circumstance, and past or planned activities.

Update risks or opportunities as additional information becomes available.

Risks or opportunities may be revised when:

Communicate the risk or opportunity status to affected stakeholders.

Examples of risk or opportunity status include a change in the:

• • • • •

• • • •

New risks or opportunities are identified Corrective or leveraging actions are taken Risks are retired Opportunities are accepted Circumstances change significantly

Probability of occurrence Costs or benefits Priority Impact on objectives

Example Work Products Example Work Products

Further Explanation

Records of risk or opportunity monitoring Updated risks or opportunities

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434

Level 3 RSK 3.1 Required Practice Information

Practice Statement Identify and use risk or opportunity categories.

Value Organizes risks or opportunities to focus attention on uncertainties that will impact the achievement of objectives.

Additional Required Information Include the name and a brief description for each category.

Explanatory Practice Information

Additional Explanatory Information The use of categories helps provide structure and efficiency for risk or opportunity identification and analysis. Identify categories over time to uncover changing circumstances that affect the ability to meet objectives. As the work progresses, identify additional categories of risks or opportunities. Categorization organizes related risks or opportunities to support the efficient and effective use of resources.

Example Activities Example Activities Identify risk or opportunity categories.

Further Explanation Consider internal and external categories, such as: Work activities Types of processes used Types of resources used Types of solutions produced Regulations and laws Work management uncertainties, e.g., related to contracts, budget, schedule, quality, resources • Technical performance uncertainties, e.g., related to quality characteristics, reliability

• • • • • •

Organize risks or opportunities according to defined categories.

Related or equivalent risks or opportunities can be organized for efficient handling.

Example Work Products Example Work Products

Further Explanation

Categories list Categorized risks or opportunities

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435

RSK 3.2 Required Practice Information

Practice Statement Define and use parameters for risk or opportunity analysis and handling.

Value Identifying high priority risks or opportunities maximizes the likelihood of cost-effectively achieving objectives.

Additional Required Information Parameters include: •

Probability of occurrence

•

Impact

•

Expected outcomes

Explanatory Practice Information

Additional Explanatory Information Use defined parameters to: •

Determine the severity of the risk

•

Estimate the benefit of the opportunity

•

Prioritize the actions required for planning

•

Select the opportunities to pursue

Parameters for evaluating, categorizing, and prioritizing include: •

Probability, e.g., likelihood of occurrence

•

Impact, e.g., consequence and severity of occurrence

•

Thresholds to trigger actions

•

Expected benefit from opportunity

•

Expected cost of opportunity

Parameters are often used in combination when prioritizing risks or opportunities. For example: •

Set priorities by multiplying probability times impact

•

Calculate an opportunity value by subtracting the expected cost from the expected return.

Example Activities Example Activities

Further Explanation

Identify a relative priority for each risk or opportunity based on assigned parameters.

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436 Example Activities

Further Explanation

Define thresholds to trigger actions for selected risks or opportunities.

Identify which thresholds require a:

Prepare and perform assessments for selected risks.

Risk assessments focus the components of the risk strategy on analyzing a specific situation and risk. Examples of risk assessments include:

• Mitigation activity • Contingency plan • Opportunity action plan

• • • • • Prepare and perform opportunity assessments.

Exploitation Malicious uses Safety Regulations and laws Cyber security

Examples of opportunity assessments include: • Cost benefit analyses • Future needs analyses

Example Work Products Example Work Products

Further Explanation

Risk or opportunity evaluation, categorization, and prioritization parameters List of risks or opportunities and their assigned priority Risk or opportunity assessment results

RSK 3.3 Required Practice Information

Practice Statement Develop and keep updated a risk or opportunity management strategy.

Value A systematic approach for risk or opportunity management avoids problems and leverages opportunities to increase the likelihood of achieving objectives.

Additional Required Information A risk or opportunity management strategy includes: •

A description of how risk or opportunity management will be performed

•

Scope

•

Methods and tools

•

Risk or opportunity categories

•

Risk or opportunity parameters

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437

•

Thresholds

•

Risk mitigation techniques

•

Opportunity leveraging techniques

•

Risk measures

•

Opportunity measures, including:

•

o

Costs

o

Benefits

Frequency of risk monitoring or reassessment

Explanatory Practice Information

Additional Explanatory Information Develop the strategy early and record it in the organization’s or project’s risk or opportunity management plan, and maintained throughout the project. The strategy is used to guide risk and opportunity management activities. The strategy may be included as part of the project plan. The risk or opportunity management strategy may also include: •

The domain of interest

•

Boundaries, inclusions, and exclusions

•

Interactions, dependencies, and relationships between the solution or work and external factors

•

Methods to be used to derive:

•

o

Risk or opportunity categories

o

Impact and likelihood of occurrence

o

Benefit and cost of the opportunity

o

Acceptance criteria

Conditions that initiate a review and potential update to the risk management strategy

Example Activities Example Activities

Further Explanation

Develop, record, and keep updated a risk or opportunity management strategy. Review the risk or opportunity management strategy with affected stakeholders.

Use the review to gather input to: • Improve the strategy • Generate acceptance

Example Work Products Example Work Products

Further Explanation

Risk or opportunity management strategy

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438

RSK 3.4 Required Practice Information

Practice Statement Develop and keep updated risk or opportunity management plans.

Value Minimizes the impact of risks and maximizes the benefits of opportunities for achieving objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Generate mitigation or contingency plans for selected risks. Mitigation plans describe how to reduce the likelihood or impact of risks. Contingency plans deal with the impact of problems that can occur despite mitigation attempts. Options for mitigating risks include: •

Avoiding

•

Controlling

•

Transferring

•

Monitoring

•

Accepting

Options for leveraging opportunities include: •

Creating

•

Exploiting

•

Transferring

•

Monitoring

•

Enhancing

•

Accepting

More than one approach to managing a risk or opportunity can be used. Mitigation and contingency plans can include: •

Rationale

•

Cost benefit analysis

•

Risk acceptance criteria

•

Schedule or period of performance for each risk management activity

•

Resource reserves to respond to disruptive events

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439

•

Lists of available backup equipment

•

Backups to key staff

•

Plans for testing emergency response systems

•

Posted procedures for emergencies

•

Distributed lists of key contacts and information resources for emergencies

•

Actions to be taken

Generate leverage plans for selected high-priority opportunities. These plans describe how to maximize the benefit of an opportunity. Leveraging involves performing actions that maximize the benefits of an opportunity without increasing the cost beyond the benefit. Typically, leveraging adds a relatively small amount of cost while yielding a relatively high level of benefit. Leveraging plans include: •

Cost benefit analyses

•

Potential for success analyses

•

Preparation activities

•

Actions required to leverage opportunity

This activity can result in the discovery of new opportunities that can require re-planning and reassessment.

Example Activities Example Activities

Further Explanation

Develop mitigation plans for selected risks and contingency plans in the event their impacts are realized. Develop leverage plans for selected opportunities to increase the likelihood that their impacts are realized. Review plans with affected stakeholders.

Use the review to gather input to: • Improve the plan • Generate acceptance

Example Work Products Example Work Products Risk management plans

Further Explanation Includes: • Mitigation • Contingencies

Opportunity leveraging plans Updated plans and status

Related Practice Areas Planning (PLAN)

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440

Context Specific Supplier Management Context Tag:

CMMI-SPM

Context:

Use processes to identify, select, and manage suppliers and their agreements.

Consider all risks in planning activities. Identify risks from multiple perspectives, e.g., acquisition, technical, management, operational, supplier agreement, industry, support, end user. Consider applicable regulatory and statutory requirements, e.g., safety and security, while identifying risks. As the work evolves, revise risks based on changed conditions. There are many risks associated with acquiring solutions through suppliers, e.g., the stability of the supplier, the ability to maintain sufficient insight into the progress of their work, the supplier’s capability to meet solution requirements, and the skills and availability of supplier resources to meet commitments. Analyze the process and solution level measures and associated thresholds to identify where the organization is at risk of not meeting thresholds. These measures are key indicators of risk.

RSK 3.5 Required Practice Information

Practice Statement Manage risks or opportunities by implementing planned risk or opportunity management activities.

Value Effective risk management reduces unforeseen occurrences that impair ability to achieve objectives and increases business value by leveraging opportunities.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information This activity is more than simply monitoring risks and opportunities. It uses analyses, plans, triggers, and thresholds to anticipate actions needed to minimize risk impact or leverage opportunities to improve project functioning.

Example Activities Example Activities Manage risks or opportunities using the risk or opportunity management plans.

Further Explanation Continue to manage risks or opportunities after mitigation, contingency, or leveraging activities have started. Measurement can provide valuable insight into the risk or opportunity management activities.

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441

Example Work Products Example Work Products Updated status

Further Explanation Includes status of mitigation, contingency, and leveraging plans.

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442

Service Delivery Management (SDM)

Required PA Information

Intent Deliver services and manage the service delivery system.

Value Increase customer satisfaction by delivering services that meet or exceed customer expectations.

Additional Required PA Information This includes: •

Delivering services in accordance with service delivery approaches and agreements

•

Managing changes to the service delivery system

•

Receiving and processing service requests

•

Maintaining service delivery performance when changes occur

Explanatory PA Information

Practice Summary Level 1 SDM 1.1

Use the service system to deliver services.

Level 2 SDM 2.1

Develop, record, keep updated, and follow service agreements.

SDM 2.2

Receive and process service requests in accordance with service agreements.

SDM 2.3

Deliver services in accordance with service agreements.

SDM 2.4

Analyze existing service agreements and service data to prepare for updated or new agreements.

SDM 2.5

Develop, record, keep updated, and follow the approach for operating and changing the service system.

SDM 2.6

Confirm the readiness of the service system to support the delivery of services.

Level 3 SDM 3.1

Develop, record, keep updated, and use organizational standard service systems and agreements.

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443

Additional PA Explanatory Information Service delivery management includes defining and establishing the relationship between the service provider and customers, including end users. This typically takes the form of a service agreement, which describes the services provided. A service agreement describes what a service provider will deliver to the customer, and includes: •

Service level and availability targets

•

Responsibilities of the service provider, customer, and end user based on their process role

•

Communications channels and feedback mechanisms

The delivery of services typically includes: •

Preparation

•

Operation and monitoring

•

Maintenance

•

Enhancements

Deliver services using a service system. A service system can be as simple as receiving a request and delivery of the service or it could be as complex as a multi-component automated system managing multiple inputs and outputs.

Related Practice Areas Incident Resolution and Prevention (IRP) Monitor and Control (MC) Planning (PLAN) Requirements Development and Management (RDM) Strategic Service Management (STSM)

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444

Level 1 SDM 1.1 Required Practice Information

Practice Statement Use the service system to deliver services.

Value Improves customer satisfaction by delivering expected services.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information This section left blank for future content.

Example Activities Example Activities

Further Explanation

Use a service system. Deliver services.

Example Work Products Example Work Products Service system

Further Explanation Components can include: • List or menu of services with prices • Customer requests • Steps to fulfill requests

Records of delivered services

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445

Level 2 SDM 2.1 Required Practice Information

Practice Statement Develop, record, keep updated, and follow service agreements.

Value Enhances customer satisfaction by aligning service delivery with their expectations.

Additional Required Information The service agreement is a recorded arrangement and can be a contract or part of a contract or a memorandum of agreement or understanding. For simple cases, it may be a printed menu of services and prices.

Explanatory Practice Information

Additional Explanatory Information Depending on the service type, market, and the nature of the service provider’s business, develop the content in the agreement. The service agreement typically covers: •

Descriptions of services

•

Terms and conditions

•

Commitments necessary for ongoing successful service delivery

•

Warranty or guarantee information

•

Communication channels

A service agreement can cover multiple services or multiple customers. Examples may include: •

Service Level Agreement (SLA)

•

Performance Work Statement (PWS)

•

Statement of Objectives (SOO)

•

Statement of Work (SOW)

•

Other types of agreements

Example Activities Example Activities Develop, record, and keep the structure and format of the service agreement updated.

Further Explanation Examples of structures to consider include: • Service based: Organize the service agreement around a service, e.g., providing corporate email; this can cover several different customers • Customer based: Organize the service agreement around a customer; this can cover several services for that customer

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446 Example Activities communicate status of the service agreement.

Further Explanation

Provide the service agreement to affected stakeholders.

Affected stakeholders may include:

Review and revise the service agreement.

Perform reviews on a periodic and event-driven basis.

• Service providers • Customers • End users

Example Work Products Example Work Products Service agreement

Further Explanation Examples of additional items in a service agreement: • • • • • • • • • • • • •

Service types, levels, and measures Service availability Service acceptance and quality criteria Risk and contingency identification Service resources and constraints Intellectual property considerations Customer and end user roles and responsibilities Customer complaint procedures Customer-supplied resources Expected cost, payment, and funding schedules Security and safety considerations Legal and regulatory requirements Record of agreement with affected stakeholders and customers

Records of service agreement reviews

Related Practice Areas Requirements Development and Management (RDM) Strategic Service Management (STSM)

SDM 2.2 Required Practice Information

Practice Statement Receive and process service requests in accordance with service agreements.

Value Enhances service delivery to better meet customer expectations.

Additional Required Information Coordinate the receipt and processing of service requests through a request management approach. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

447

Explanatory Practice Information

Additional Explanatory Information Customers can submit service requests through various methods, e.g., web forms, phone calls. Service agreements may identify requests for continuous or repeatedly scheduled services. When customers or end users identify a need for a service, they submit a service request. Either the customer or the service provider can determine the initial type of service request. Types may include: •

Simple service level-based requests

•

Continuous or scheduled requests typically specified in service agreements

•

Ad-hoc requests identified over time by customers or end users as their needs change

Record, track, and resolve service request through a request management system. This ensures the fulfillment of all service requests to meet service agreements. Examples of simple service requests include: •

A menu or catalog with prices and delivery options

•

A phone call with automated options

Examples of continuous service requests include: •

Weekly scheduled services, e.g., lawn, laundry, cleaning, maintenance

•

A call center with continuous operations and support requirements

Examples of ad-hoc requests include: •

Requesting a custom-made query on a database as part of a service system

•

Calling for a package pick up as part of a package delivery service

•

Identifying a broken component of a maintained system as part of a maintenance service

•

Requesting a health check as part of a health program

Example Activities Example Activities

Further Explanation

Receive service requests and ensure each request is within the scope of the service agreement. Record information about the service request.

Sources of service request information may include:

Determine resources required to address the service request.

Which individuals, groups, and other resources are best suited can depend on the type of service request, locations involved, and effect on the organization or customer.

• • • • •

Standard changes Service system operations Queries Complaints Feedback

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448 Example Activities Determine the actions to satisfy the service request.

Further Explanation Using the categories developed in the approach to service delivery, determine the appropriate actions to perform. In some cases, the categories themselves can have predetermined actions associated with them. Examples of actions include: • • • • •

Answering a customer inquiry Addressing a service defect Repairing items (as part of a maintenance service) Training an end user Providing new consumables or tools

Monitor the status of service requests until personnel fulfill requests described in the service agreement.

Record, track, transfer as necessary, and close the request status.

Review service request status and confirm results with affected stakeholders.

In organizations that use a help desk function, the help desk communicates the status of service requests.

Close the service request and record the actions taken and results.

Record actions to support satisfying similar service requests in the future.

Collect customer satisfaction information after delivery of services.

Example Work Products Example Work Products Service requests

Further Explanation Examples of service request information include: • Name and contact information of the person submitting the service request • Description of the service request, including changes • Service request categories • Date and time of the service request • Affected services and components • Priority

Action proposal Customer satisfaction data End user receipts confirming request fulfillment Customer satisfaction data Records of affected stakeholder reviews

Related Practice Areas Monitor and Control (MC) Verification and Validation (VV)

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449

SDM 2.3 Required Practice Information

Practice Statement Deliver services in accordance with service agreements.

Value Increases customer satisfaction by establishing a common understanding of the types and levels of service delivery.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Using service agreements to delivery services encompasses the activities necessary to deliver services based on the agreed-upon service delivery approach. Use a request management system to meet service agreements, and to track and resolve service requests more effectively.

Example Activities Example Activities

Further Explanation

Operate service system components according to service system procedures. Perform operations support activities.

These activities can include providing customer and end user training or orientation as needed.

Perform the activities needed to fulfill service requests. Use a request management system to record service requests.

The service provider records and tracks status until they close the request. Escalate service delivery issues when necessary.

Example Work Products Example Work Products List of services provided

Further Explanation Often takes the form of a service log.

Performance reports and dashboards Log of corrective actions Request management system

This may a be a database, web-based, or application-based system, or a simple list or set of paper records.

Request management system records

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450

SDM 2.4 Required Practice Information

Practice Statement Analyze existing service agreements and service data to prepare for updated or new agreements.

Value Aligns service delivery capability and customer expectations as they change over time.

Additional Required Information Perform analysis on a recurring or as-needed basis throughout the life of a service agreement.

Explanatory Practice Information

Additional Explanatory Information Analysis can cover many aspects of the service system, requests, and service agreements. Analysis may include reviews of: •

Customer needs

•

Customer complaints

•

Service provider concerns

•

Service definitions

•

Capacity and availability data

•

Performance data

•

Service levels

•

Supplier constraints

•

Service agreements

•

Service request records

•

Resource usage

Example Activities Example Activities Collect customer and end user needs and service provider concerns.

Further Explanation Sources include: • • • • • • •

Customer and end user feedback Service provider inputs Historical data Market analysis and demand SOW and related solicitation materials Support process information Service system

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451 Example Activities Analyze service requests.

Further Explanation For more complex service requests, it may be necessary to assemble a special team to analyze the request. Examples of complex service requests include: • The request has a high and broad effect on the organization or customer • The cost of addressing the service requests exceeds predefined limits • Addressing a service request will take considerable time or effort

Review and analyze existing service agreements, request management data, supplier agreements, and related service data.

This typically includes reviewing: • Requested service requirements against standard service definitions • Existing service level agreements and supplier agreements for their ability to meet identified service requirements • Historical service data including: o o o o o o

Capacity and availability Available resources Performance data Request data Delivered service levels Incidents and resolutions

• Available industry benchmarks or other published data for new service requirements

Example Work Products Example Work Products Service data analysis results

Further Explanation May include: • Recommendations of whether to update or provide new services • Assessment results determining provider capability to meet customer needs

Information for updating or developing new service agreements or request management approaches

Related Practice Areas Incident Resolution and Prevention (IRP) Managing Performance and Measurement (MPM) Strategic Service Management (STSM) Supplier Agreement Management (SAM)

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452

SDM 2.5 Required Practice Information

Practice Statement Develop, record, keep updated, and follow the approach for operating and changing the service system.

Value Increases the likelihood that services and changes to them will meet customer expectations.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information For each specific change of the service system, develop an approach that encompasses activities from developing and accepting service system components to operating the system and resolving impacts on end users and the delivery environment. This approach should identify activities and resources required for operating and changing the system. As needed, include: •

Identification of service system components ready for operations

•

Identification of changes to service system components, including the request management system

•

Deployment type, e.g., new, replacement, retirement

•

Acquisition approach

•

Request management system components

•

Installation and integration of service system components

•

Identification and resolution of warranty considerations

•

Phasing of deployment over time that satisfies operational dependencies between service system components

•

Deployment acceptance criteria

•

Resource constraints and restrictions

•

Initial provisioning of consumables

•

Rollback (or backout) procedures to “undo” the change and restore the delivery environment to its former stable operating status

•

Training of service delivery and support personnel

•

Communication of status and service changes to affected stakeholders

The depth of the approach should be appropriate for the type of change and the criticality of the components going through transition. For example, the transition of new business critical components can require detailed plans and schedules, risk assessment, deployment backout procedures, and a formal review of planning materials by affected stakeholders. Less significant 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

453

transitions, such as retirement of an outdated service, may require less detailed planning. Consider the results of their post-deployment reviews during transition planning for changes made in the past. This information can speed up the planning process and help identify and avoid recurring issues.

Example Activities Example Activities Define the approach for service system operation and each change.

Further Explanation Consider the type of change, e.g., new installation, replacement, retirement, or a combination of types, when defining an approach. Consider priorities and constraints of affected stakeholders. Define a rollback or backout strategy to restore the service system to its former state if a deployment is unsuccessful. Include criteria for what constitutes a successful deployment versus when to back out changes. If a service system is being retired, address topics such as end user notification, error handling, archival methods, demolition, and recycling.

Determine the cost, resources, and schedule required for operation of the service system and for a new change.

Schedule service system change activities in a way that balances work and available resources against customer and end user needs, including the need to have time to prepare for and conduct the change. When appropriate, use actual data from similar changes to estimate cost, resources, and schedule.

Identify affected stakeholders and review operations and change activities.

When identifying affected stakeholders and defining their roles and responsibilities, consider outsourced stakeholders.

Develop a plan for service system operations and for changes to operations.

Based on the operations, change, and deployment approach and estimates for a transition, record a plan for operations and changes to the service system.

Update the service continuity plan, if a change affects an essential function.

Example Work Products Example Work Products

Further Explanation

Service system operations and change approach Plans for service system operations and changes Records of reviews with affected stakeholders

Related Practice Areas Continuity (CONT) Incident Resolution and Prevention (IRP) Monitor and Control (MC) Planning (PLAN)

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454

SDM 2.6 Required Practice Information

Practice Statement Confirm the readiness of the service system to support the delivery of services.

Value Improves customer satisfaction by ensuring the readiness of the service system for operation.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Confirming the readiness for service delivery is not a one-time event. Perform these activities repeatedly, even when the service system is not changing. Consider implications of service system changes on readiness. For example, changes of the service system may require additional resources, procedures, user guide updates, or training.

Example Activities Example Activities Confirm that service system components and tools are operational.

Further Explanation Service system components may include: • • • •

Tools Consumables People Processes and procedures

Examples of service system tools that support operations may include: • • • • • • • • • Evaluate the results of confirming service system component readiness and determine how to address deficiencies or issues.

Monitoring tools System management tools Tracking systems Presentation tools Log files Analysis tools Online knowledge management tools Virus scanning tools Database management tools

The service provider may treat deficiencies or issues as service incidents and address them through the incident handling process.

Review the service level requirements in the service agreements and set thresholds in service system monitoring tools. Develop, review, or refine service delivery procedures.

The service provider should regularly review, tailor, and possibly supplement procedures to meet ongoing service

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455 Example Activities

Further Explanation delivery needs. Changes of service system components, e.g., archival, incorporation of new components, often require updates to procedures.

Ensure that the necessary resources are available for performing service delivery activities and tasks.

Service delivery activities and tasks can include:

Prepare and update plans and schedules for delivering services as requested.

These plans and schedules typically include:

• Operating, monitoring, and repairing service system components • Supporting users of the service system • Acquiring and replacing service system components • • • •

Detailed job execution tasks for service delivery personnel Due dates and time frames for delivery Service delivery monitoring tasks Tasks specific to transition activities, e.g., backing up data

Review the service system approach, plan, and procedures as appropriate with affect stakeholders. Provide orientation or training to incoming service delivery and support personnel.

Orient incoming personnel, e.g., new hires, at a shift change, on the current state of operations and pending transition activities to ensure uninterrupted service.

Example Work Products Example Work Products Readiness reports

Further Explanation These reports may include: • • • •

Monitoring thresholds Operating procedures Personnel Consumables

Logs of consumable acquisition and use Plans and schedules for delivering services Service delivery logs and receipts Service system orientation or training records Stakeholder review records Results from demonstrated service system operation

Related Practice Areas Incident Resolution and Prevention (IRP) Strategic Service Management (STSM)

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456

Level 3 SDM 3.1 Required Practice Information

Practice Statement Develop, record, keep updated, and use organizational standard service systems and agreements.

Value Maximizes the availability and consistency of the service system to meet customer needs efficiently and effectively.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information To provide broader and more scalable services, organizations use standardized approaches to service systems, service agreements, and their maintenance. Maintenance types include: •

Corrective maintenance, e.g., correcting and repairing components that degrade the operational capability of the service system

•

Preventive maintenance, e.g., preventing service incidents and defects from occurring through pre-planned activities

•

Adaptive maintenance, e.g., adapting the service system to a changing or different service delivery environment

•

Perfective maintenance, e.g., developing or acquiring additional or improved operational capability of the service system

Apply standardization and the resulting maintenance to any portion of a service system, on service agreements, request management systems, and their components, including consumables, processes, software, hardware, infrastructure, and people. For service system components where maintenance and availability depends on a third party vendor, include such items as: •

Cloud-based databases

•

Customer relationship management components

•

Ticket management components

Additionally, maintenance activities may include renewing service contracts, identifying and dealing with maintenance windows, and identifying and notifying affected stakeholders about vendor disruptions.

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457

Example Activities Example Activities

Further Explanation

Review and prioritize standardization and maintenance needs and requests. Analyze effect of standardization and maintenance on service delivery. Develop an approach or process to standardize or maintain service agreements, service systems, or their components. Communicate changes and notifications to affected stakeholders. Update and retain service system documentation as appropriate.

Example Work Products Example Work Products

Further Explanation

Approach or process for standardized service agreements and service systems Corrective or preventive maintenance change requests Maintenance notifications Preventive maintenance schedules Installation records Deployment artifacts Records of stakeholders Updated service system and service agreement documentation

Related Practice Areas Configuration Management (CM) Process Management (PCM) Requirements Development and Management (RDM) Strategic Service Management (STSM)

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458

Strategic Service Management (STSM)

Required PA Information

Intent Develop and deploy standard services that are compatible with strategic business needs and plans.

Value Increases likelihood of meeting business objectives by aligning standard services with customer needs.

Additional Required PA Information This section left blank for future content.

Explanatory PA Information

Practice Summary Level 1 STSM 1.1

Develop a list of current services.

Level 2 STSM 2.1

Develop, keep updated, and use descriptions of current services.

STSM 2.2

Collect, record, and analyze data about strategic needs and capabilities for service delivery.

STSM 2.3

Develop, keep updated, and follow an approach for providing new or changed services derived from strategic needs and capabilities.

Level 3 STSM 3.1

Develop, keep updated, and use the set of organizational standard services and service levels.

Additional PA Explanatory Information The management of strategic services involves: •

Analyzing capabilities and needs for services that can span multiple customers and agreements

•

Developing and keeping updated standard services, service levels, and descriptions that reflect these capabilities and needs

Strategic service management processes improve alignment between the set of standard services offered by an organization and its strategic business objectives. Develop standard services through: •

Active analysis of customer and competitor data

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459

•

Analysis of market trends and opportunities

•

Understanding service provider capabilities, strengths, and weaknesses

The objective is to get the information needed to make effective strategic decisions about the set of standard services that the organization offers and maintains. Standard services provide a basis for ensuring that a service provider’s capabilities meet their business objectives. Standard services improve service quality, opportunity development, and customer and end user satisfaction. Standard service levels are a key component of standard services. Service levels make expectations and responsibilities clear, specific, and measurable between the service provider and the customer while reducing costs, errors, and time to develop and deliver services. Service providers typically describe standard services in a service catalog oriented to the information needs of customers. Service providers should also maintain standard service descriptions oriented to their needs. While customer and end user needs may differ, both are critical when collecting and analyzing data to develop standard services and understand strategic needs and plans. Focusing on these needs and the use of current services, service providers identify requirements to improve existing services and plan for future services.

Related Practice Areas Service Delivery Management (SDM)

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460

Level 1 STSM 1.1 Required Practice Information

Practice Statement Develop a list of current services.

Value Aligns offered services with customer and stakeholder needs and expectations.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information This section left blank for future content.

Example Activities Example Activities

Further Explanation

Identify current services.

Example Work Products Example Work Products

Further Explanation

List of current services

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461

Level 2 STSM 2.1 Required Practice Information

Practice Statement Develop, keep updated, and use descriptions of current services.

Value Enables consistent service delivery that aligns with customer needs.

Additional Required Information List service descriptions in a catalog or menu accessible to users. Descriptions can be a simple list or part of a complex online repository, depending on the characteristics of the services and project.

Explanatory Practice Information

Additional Explanatory Information Develop additional materials related to the services as needed. These materials associated with the service catalog and descriptions may include: •

Delivery instructions

•

Marketing and sales materials

•

Pricing options

•

Delivery methods

Example Activities Example Activities

Further Explanation

Develop, record, and keep individual service descriptions updated.

These are based on the current list of available services.

Develop, record, and keep the service catalog updated.

The service catalog contains all the individual service descriptions and related material.

Example Work Products Example Work Products

Further Explanation

Individual service descriptions Service catalog or menu

Related Practice Areas Service Delivery Management (SDM)

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462

STSM 2.2 Required Practice Information

Practice Statement Collect, record, and analyze data about strategic needs and capabilities for service delivery.

Value Identifies which needs and objectives have the greatest effect on increasing customer satisfaction.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Strategic needs are driven by internal and external business and related factors. For example: •

Customers may need different or new services

•

Competitive offerings may change customers’ expectations

•

Current services may become obsolete based on customer needs

•

The organization may need to attract new customers

Consider the full range of needs and select which ones will be used to develop strategic business objectives. Collect, analyze, and use data related to these objectives to help plan for the services to develop and update. This data may vary for different services, market segments, and individual customers. Examples of relevant data sources include: •

Business plans

•

Market research

•

Surveys

•

Business intelligence

•

Data from service reviews and account management

•

Service use trends and patterns

•

Customer complaints and compliments

•

Service incident and request patterns

•

Breaches of service levels

•

Competitor data

•

Trade studies

•

Plans

•

Strategic planning techniques, e.g., Strengths, Weaknesses, Opportunities, and Threats (SWOT) analysis

•

Core competence analysis

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463

•

Scenario planning

Example Activities Example Activities

Further Explanation

Collect and analyze data on capabilities.

Include capabilities of:

Collect and analyze data on strategic needs.

Include external and internal factors.

• • • •

The projects or organizations offering the services Customers and end users Systems and processes used to provide services Competitors

Communicate the capabilities and strategic needs to affected stakeholders.

Example Work Products Example Work Products Analysis results

Further Explanation Include: • Capabilities • Strategic needs

Descriptions of the capabilities

Detail capabilities in terms of characteristics such as: • • • • •

Skills Abilities People Resources Tools needed

Descriptions of strategic needs

STSM 2.3 Required Practice Information

Practice Statement Develop, keep updated, and follow an approach for providing new or changed services derived from strategic needs and capabilities.

Value Focuses resources on identifying services that best anticipate and meet market needs.

Additional Required Information The approach includes plans for new or changed services. These plans typically include: •

How customer and end user needs and requirements will be met

•

Actions needed to balance capabilities and resources

•

External service supplier requirements

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Explanatory Practice Information

Additional Explanatory Information This section left blank for future content.

Example Activities Example Activities Develop, record, and confirm strategic business objectives.

Further Explanation Senior management should articulate, review, and approve strategic objectives.

Identify requirements for services based on strategic business needs, objectives, and capabilities. Record descriptions of services provided or changed.

This may include details about:

Identify changes to services offered.

These changes can include:

• Components • Resources • Service level ranges • Developing new services • Revising or improving current services to fit evolving or future needs • Retiring services that no longer fit the needs of customers or current capabilities Set priorities and decide which actions to take. New or changed services may require new or changed service systems.

Develop, keep updated, and follow plans for new or changed services. Verify that planned services are available when needed.

Analyze the provided services and ensure that they address the following factors: • Availability of personnel needed to provide the service • Required skills and experience of personnel • Capacity of available personnel to produce the expected quality of work • Ability of personnel to meet deadlines

Example Work Products Example Work Products

Further Explanation

Descriptions of strategic business objectives Service descriptions Analysis of service system needs Plans for services Plan verification results

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465

Planning (PLAN) Process Management (PCM) Verification and Validation (VV)

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466

Level 3 STSM 3.1 Required Practice Information

Practice Statement Develop, keep updated, and use the set of organizational standard services and service levels.

Value Minimizes cost and achieves faster time to market for new or changed services.

Additional Required Information Develop process descriptions for the standard services and include the needs of service providers and customers. These descriptions become part of the organization’s standard service catalog. Standard service descriptions typically include service levels.

Explanatory Practice Information

Additional Explanatory Information The organization develops standard services and associated processes to ensure standard delivery across projects, customers, service lines, and domains. If needed, use multiple standard services and service levels to address the needs of: •

Different customers

•

Organizational groups

•

Markets

•

Application domains

Example Activities Example Activities

Further Explanation

Develop, record, and keep updated standard service descriptions.

Follow organizational policies, standards, and models. Organize services into service lines as needed to ensure appropriate integration among services.

Specify the characteristics of each service.

These may include definitions of standard service levels.

Example Work Products Example Work Products Descriptions of services and their characteristics

Further Explanation Critical characteristics typically include: • • • • • • • • •

Features and benefits Available service levels and categories Capacity and availability requirements Costs Descriptions of current and intended users Service components Service delivery systems Related services List of needed service delivery materials

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467 Example Work Products Standard service catalog or menu

Further Explanation The catalog typically contains tailoring guidelines for standard services and descriptions of services lines if needed.

Related Practice Areas Process Asset Development (PAD) Process Management (PCM) Service Delivery Management (SDM)

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468

Supplier Agreement Management (SAM)

Required PA Information

Intent Establish an agreement with selected suppliers, ensure that the supplier and the acquirer perform according to the terms over the course of the agreement, and evaluate the supplier’s deliverables.

Value Provides an explicit understanding between the acquirer and supplier to maximize the success of agreed-on efforts to deliver a supplier deliverable.

Additional Required PA Information The term “supplier deliverable” is an item to be provided to an acquirer or other recipient as specified in an agreement. The item can be a document, hardware or software item, a service, or any type of solution or work product.

Explanatory PA Information

Practice Summary Level 1 SAM 1.1

Develop and record the supplier agreement.

SAM 1.2

Accept or reject the supplier deliverables.

SAM 1.3

Process supplier invoices.

Level 2 SAM 2.1

Monitor supplier as specified in the supplier agreement and keep agreement updated.

SAM 2.2

Perform activities as specified in the supplier agreement.

SAM 2.3

Verify that the supplier agreement is satisfied before accepting the acquired supplier deliverable.

SAM 2.4

Manage invoices submitted by the supplier according to the supplier agreements.

Level 3 SAM 3.1

Select technical supplier deliverables for analysis and conduct technical reviews.

SAM 3.2

Select and monitor supplier processes and deliverables based on criteria in the supplier agreement.

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469

SAM 4.1

Select measures and apply analytical techniques to quantitatively manage supplier performance to achieve quality and process performance objectives.

Additional PA Explanatory Information Supplier management activities involve: •

Establishing the supplier agreement

•

Implementing the supplier agreement

•

Monitoring supplier technical activities

•

Monitoring supplier processes

•

Accepting the delivery of acquired products

•

Managing supplier invoices

The supplier agreement provides a mutual understanding between the acquirer and supplier and serves as the basis for managing their relationship. The agreement defines the processes, roles, and responsibilities that allow the acquirer to: •

Oversee the supplier’s activities

•

Monitor evolving supplier deliverables

•

Verify compliance with supplier agreement requirements

•

Resolve issues as necessary

When the supplier’s performance, processes, or supplier deliverables fail to satisfy established criteria as outlined in the supplier agreement, the acquirer takes corrective action. The acquirer’s management team must be aware of the legal implications of actions when managing the acquisition of supplier deliverables. When monitoring supplier technical activities, the acquirer: •

Performs technical reviews of the supplier’s technical supplier deliverable

•

Analyzes the development and implementation of the supplier’s technical supplier deliverable to confirm technical progress and satisfaction of contractual requirements

Typically, these activities interactively support one another to gauge technical progress and allow effective management of technical risks. Perform different levels of detailed analysis for technical reviews to meet the acquirer’s requirements. Technical reviews with the supplier involve measuring technical progress and the effectiveness of plans and requirements. Technical reviews of the supplier should be performed with other processes, such as requirements management, risk management, configuration management, and data management. In some acquisitions, the acquirer assumes the role of overall architect or integrator for the supplier deliverable. The acquirer also needs to be involved to ensure that needed changes to requirements and supplier agreements are acceptable given the constraints of the acquisition, and to incorporate the changes into the supplier agreements.

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470

Related Practice Areas Supplier Source Selection (SSS)

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471

Level 1 SAM 1.1 Required Practice Information

Practice Statement Develop and record the supplier agreement.

Value Increases likelihood of meeting requirements when using suppliers.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information A supplier agreement is any recorded agreement between the acquirer and the supplier. Agreements can take a variety of forms, and may include: •

Contracts (or subcontract)

•

Licenses

•

Service agreements

•

Service level agreements

•

Memoranda of agreement

•

Memoranda of understanding

•

Letters of understanding

•

Electronic acknowledgements of terms and conditions

•

A combination of any of the above or other similar forms

The agreement can be either a stand-alone agreement or part of a master agreement. When part of a master agreement, the work agreement can be an addendum, work order, or service request to the master agreement.

Example Activities Example Activities

Further Explanation

Develop and record a supplier agreement. Negotiate the terms of the candidate agreement with the supplier.

Negotiation may require updates to the supplier agreement.

Reach agreement with supplier.

Example Work Products Example Work Products Supplier Agreement

Further Explanation May include:

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472 Example Work Products • • • • • • • •

Further Explanation Affected stakeholders and communication involved Statement Of Work Specifications Terms and conditions List of deliverables Schedule Budget Legal or regulatory information

SAM 1.2 Required Practice Information

Practice Statement Accept or reject the supplier deliverables.

Value Increases the likelihood the supplier provides the agreed-on supplier deliverable.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information The acquirer should ensure that the acquired supplier deliverable meets all agreed-on contractual requirements. The acquirer then decides whether to accept or reject the supplier deliverable.

Example Activities Example Activities

Further Explanation

Accept or reject the supplier deliverable based on the extent that the agreed-on supplier deliverable meets contractual requirements.

Example Work Products Example Work Products

Further Explanation

Deliverables per the supplier agreement

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473

SAM 1.3 Required Practice Information

Practice Statement Process supplier invoices.

Value Maintains a good working relationship with suppliers while meeting agreements.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Processing supplier invoices may include: •

Paying the invoice, e.g., check, money order, credit card, electronic transfer of funds to supplier

•

Trading goods or services

•

Rejecting the invoice for revision

•

Acknowledging the agreement has been met

A specific function, e.g., contracting office, accounts payable, or purchasing department, may process invoices.

Example Activities Example Activities

Further Explanation

Process supplier invoices in accordance with agreements.

Example Work Products Example Work Products

Further Explanation

Records of supplier invoices

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474

Level 2 SAM 2.1 Required Practice Information

Practice Statement Monitor supplier as specified in the supplier agreement and keep agreement updated.

Value Improves the likelihood that the supplier provides the right supplier deliverable.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Monitor and update the supplier agreement based on the supplier selection decision and based on actual results. The acquirer, supplier, and affected stakeholders should review agreement requirements to ensure that a common understanding is kept up-to-date through the life of the agreement. After establishing the supplier agreement, requirements may change, based on factors such as: •

Applicability of requirements

•

Availability of new technology

•

Reduction of overly burdensome reporting

•

Organization changes, e.g., merger or acquisition

•

Legal or regulatory changes

The supplier agreement and work documents should be revised to reflect changes in conditions. This includes updating cost, schedule, and budget as needed. Legal or contract advisors often are responsible for reviewing supplier agreements among independent legal entities prior to approval. The content of the supplier agreement should specify how the agreement will be monitored and revised as required. This should be done in a way that is appropriate to the acquisition or supplier deliverable being acquired.

Example Activities Example Activities Record the supplier agreement and keep it updated.

Further Explanation This typically includes: • Recording all changes formally approved by both the acquirer and supplier • Developing, recording, and keeping the requirements updated, e.g., supplier deliverable requirements, service level agreements

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475 Example Activities

Further Explanation • Periodically reviewing the supplier agreement to ensure it accurately reflects current plans, processes, risks, and market conditions • Ensuring that the agreement, and data related to it, are stored and managed for future use • Performing impact assessments across technical and commercial aspects of the agreement • Assessing all alternatives associated with the change

Verify that the acquirer and supplier understand and agree to all requirements by approving the supplier agreement.

Approval may take different forms, such as:

Communicate the supplier agreement within the acquiring organization as required.

Ensure that all affected stakeholders are aware of the agreement.

• • • •

Signature Electronic approval or acknowledgement Stamp or record of corporate/company approval Other legally-binding acceptance

Example Work Products Example Work Products Supplier agreement

Further Explanation May include: • A description of required reporting data to allow the acquirer to evaluate and analyze acquired supplier deliverables • The acquirer and supplier representatives who are responsible and authorized to make changes to the supplier agreement • Planned reviews and interactions between the acquirer and supplier • The mechanism for how changes to the requirements and the supplier agreement are determined, communicated, and addressed • Applicable standards, procedures, tools, and methods • Critical dependencies between the acquirer and supplier • A list of what the acquirer provides to the supplier, e.g., facilities, access, tools, software, documentation, services • Analysis methods and acceptance criteria for designated supplier deliverables • The types of reviews to be conducted with the supplier • Payment or compensation terms and conditions • Non-hire and non-compete clauses • Confidentiality, non-disclosure, and intellectual capital clauses • The supplier’s responsibilities for preparing the site and providing training • The supplier’s responsibilities for ongoing maintenance and support of acquired supplier deliverables

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476 Example Work Products Records of communication and interactions between the acquirer and supplier

Further Explanation May include: • • • •

Issue and action item list Meeting minutes People assigned corrective actions Due date for actions

Related Practice Areas Configuration Management (CM) Monitor and Control (MC) Requirements Development and Management (RDM)

SAM 2.2 Required Practice Information

Practice Statement Perform activities as specified in the supplier agreement.

Value Improves the acquirer’s confidence in the ability of the supplier to deliver the right supplier deliverable with the right quality.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information The acquirer monitors the supplier’s progress against the agreement to identify and resolve issues. Monitoring includes internal and external communication as well as the use of information by the acquirer and supplier regarding the relationship, performance, results, and impact to the business. Agreement, management, technical, and other reviews may be conducted together or separately.

Example Activities Example Activities Monitor supplier progress and performance, e.g., schedule, effort, cost, technical, as defined in the supplier agreement.

Further Explanation Monitoring can be conducted during agreement, technical, and management reviews. Reviews can include both planned and as-needed interactions. Reviews cover both formal and informal reviews and include the following steps: • • • •

Preparing for the review Ensuring that affected stakeholders participate Conducting the review Preparing, distributing, or making a summary report available to the affected stakeholders

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477 Example Activities

Conduct agreement reviews with the supplier as specified in the supplier agreement.

Further Explanation • Identifying issues and determining corrective actions necessary to resolve and track the issues to closure • Monitoring risks involving the supplier and mitigating them as necessary May include: • Agreement changes or updates • Stakeholder reassignment • Interpretation and clarification of terms, conditions, and deliverables • Positive or negative feedback on contractual requirements

Conduct technical reviews with the supplier as defined in the supplier agreement.

Technical reviews typically include:

Conduct management reviews with the supplier as specified in the supplier agreement.

This typically includes reviewing:

• Providing the supplier with visibility into the needs and preferences of the customers and end users as appropriate • Reviewing the supplier’s technical activities and verifying that the supplier’s interpretation and implementation of the requirements are consistent with the acquirer’s interpretation • Ensuring that technical commitments are being met and that technical issues are communicated and resolved in a timely manner • Obtaining technical information about the supplier’s deliverables • Providing appropriate technical information and support to the supplier • • • •

Critical dependencies Risks involving the supplier Schedule and budget The supplier’s compliance with legal and regulatory requirements

Unresolved issues escalate through the appropriate management chain according to a project’s or organization’s issue resolution process. Record results of the reviews and interactions.

Use the results of reviews to improve the supplier’s performance and to establish and nurture long-term relationships with preferred suppliers.

Example Work Products Example Work Products Agreement updates, progress reports

Further Explanation May include: • • • •

Issue and action item list Meeting minutes People assigned corrective actions Due date for actions

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478 Example Work Products

Further Explanation

Supplier progress and performance reports Issue, risk, and action item lists

May include: • Description of risk, issues, or action items • People assigned corrective actions • Due date for actions

Records of the submission and acceptance of the supplier deliverable and other deliverables

Related Practice Areas Monitor and Control (MC) Planning (PLAN) Risk and Opportunity Management (RSK)

SAM 2.3 Required Practice Information

Practice Statement Verify that the supplier agreement is satisfied before accepting the acquired supplier deliverable.

Value Decreases risk of accepting an unsatisfactory supplier deliverable and ensures the supplier agreement is satisfied before acceptance.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information The acquirer ensures that all recorded acceptance criteria have been satisfied and all issues affecting satisfaction of the agreement have been addressed. Requirements for deliverable acceptance and how to address non-conforming deliverables are usually defined in the supplier agreement. The acquirer should be prepared to take appropriate action as per the agreement if the supplier fails to perform. This may include invoking any contractual penalties or conditions. The acquirer provides the supplier with notice that supplier deliverables have been accepted or rejected. Typically, an authorized representative of the acquirer assumes ownership of identified supplier deliverables as partial or complete satisfaction of the supplier agreement.

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479

Acceptance reviews should be completed before accepting the supplier deliverables as defined in the supplier agreement. Once accepted, the acquirer monitors the transition of the supplier deliverables to the project or operations.

Example Activities Example Activities Refine, update or add, and use acceptance criteria and procedures to verify that the supplier agreement is satisfied.

Further Explanation This activity is typically performed by the acquirer on the supplier deliverables.

Review and obtain agreement from affected stakeholders on the acceptance procedures before the acceptance review. Following acceptance criteria and procedures, verify that the acquired supplier deliverable satisfies the supplier agreement.

From the supplier, this may include review of supplier deliverable verification results, including: • Reports, logs, and issues • Testing results • Known errors or defects For the acquirer, this may include reviewing results of supplier-performed acceptance reviews and tests.

Confirm that all agreed-on contractual requirements for the acquired supplier deliverable are satisfied.

May include the following items that demonstrate that the agreed-on requirements have been met:

Communicate to affected stakeholders that the supplier agreement has been satisfied.

The acquirer provides the supplier with notice that the supplier agreement has been satisfied, including readiness for transition to operations and support, so the supplier can be paid, and the supplier agreement closed.

• • • • • •

License Warranty Ownership Usage Support, service, or maintenance agreements Other supporting materials, e.g., end-use, operations or support, and maintenance documentation

Example Work Products Example Work Products

Further Explanation

Acceptance procedures Discrepancy reports or corrective action plans Acceptance review report with recorded approval Formal acceptance notifications

Notifications should be communicated to the supplier and affected stakeholders.

A record that all agreement requirements have been met

Approval may take different forms, such as through: • Signature

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480 Example Work Products

Further Explanation • Electronic approval or acknowledgement • Stamp or record of corporate/company approval • Other legally-binding acceptance

Related Practice Areas Monitor and Control (MC) Planning (PLAN) Verification and Validation (VV)

SAM 2.4 Required Practice Information

Practice Statement Manage invoices submitted by the supplier according to the supplier agreements.

Value Maintains a good business relationship between the acquirer and supplier.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Ensure that payment terms defined in the supplier agreement are met and that processing of supplier compensation is linked to supplier progress and results, as defined in the supplier agreement. This practice covers invoices for any type of charge, e.g., one-time, monthly, deliverable-based, pass-through. It covers invoice errors or issues, changes to invoices, and withholding disputed charges consistent with the terms and conditions of the supplier agreement. The acquirer should also ensure that appropriate financial and invoice management controls are in place. When accepting supplier deliverables, the acquirer should not process final payment to the supplier until all supplier deliverables meet contractual requirements and all acceptance criteria have been satisfied.

Example Activities Example Activities

Further Explanation

Receive invoices. Review invoices and related supporting material with authorized representatives for accuracy.

Examples of areas of review for invoices and related support material include: • Variable charges • Applicable taxes • Purchases made by the supplier on behalf of the acquirer

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481 Example Activities

Further Explanation • Formal acceptance signoff from receiving project team or authorized representative

Resolve errors and manage issues with the supplier as required. Approve and pay invoices. Archive and store invoices and payment records.

Example Work Products Example Work Products

Further Explanation

Invoices approved for payment Record or receipt of payment

Payment per the supplier agreement, e.g., check, money order, credit card, electronic transfer of funds to supplier

Archived invoice and payment records

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482

Level 3 SAM 3.1 Required Practice Information

Practice Statement Select technical supplier deliverables for analysis and conduct technical reviews.

Value Improves the acquirer’s confidence in the ability of the supplier to provide the right supplier deliverable at the right time with the right quality.

Additional Required Information This requires that organizational standards and processes are in place and followed.

Explanatory Practice Information

Additional Explanatory Information Technical reviews are used by the acquirer to confirm that supplier deliverables being developed or produced by suppliers meet requirements. Technical reviews are conducted: •

When the technical supplier deliverable under development meets the criteria specified in the supplier agreement

•

At the transition from one acquisition phase to the next and at major transition points of technical effort

The supplier is responsible for managing the requirements and interfaces or connections of the supplier deliverable it is developing. However, the acquirer identifies interfaces or connections that it manages as well, particularly external interfaces or connections. The interfaces or connections being considered for selection should include other supplier deliverables in the operations, support, verification, and validation environments. The acquirer should review all supplier interface or connection data for completeness. In addition to interfaces or connections, the acquirer should consider the following criteria when selecting supplier deliverables for analysis and review: •

Performance

•

Recovery

•

Safety

•

Security

•

Mean Time to Failure (MTTF)

•

Mean Time Between Failure (MTBF)

•

Maintainability

•

Serviceability

•

Updateability

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483

•

Modularity

Example Activities Example Activities

Further Explanation

Develop criteria for determining which technical supplier deliverable to analyze. Identify technical supplier deliverables for analysis.

Technical supplier deliverables that are typically analyzed by the acquirer may include: • Supplier derived deliverable and component requirements, architectures, and designs • Deliverable interface or connection descriptions • Deliverables and deliverable components

Identify the functional and quality attribute requirements to be satisfied by each selected technical supplier deliverable.

A traceability matrix is a useful tool for identifying requirements for each selected technical solution, as it typically includes information that relates requirements to work products. When identifying requirements for each selected technical supplier deliverable, consult the appropriate traceability matrix.

Identify the analysis methods to be used for each selected technical supplier deliverable.

Examples of techniques used for analysis include: • • • • •

Simulations Prototyping Architecture evaluation Demonstrations Peer Reviews

Include analysis methods and review activities in the work plan. Confirm that the selected technical supplier deliverable adheres to applicable standards and criteria. Confirm that the selected technical supplier deliverable adheres to allocated functional and quality attribute requirements. Use analysis results to compare actual performance measurements to specified thresholds of technical performance measures. Review critical verification results and data from verifications performed by the supplier. Identify interfaces or connections that are candidates for acquirer management.

Example criteria for interfaces or connections include: • • • • •

Spans organizational boundaries Mission critical Difficult or complex to manage Key quality attributes Multiple acquisition projects

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484 Example Activities

Further Explanation

Review identified interfaces or connections against the selection criteria and include in the work plan. Confirm the compatibility of selected interfaces or connections throughout the life of the solution.

Confirm that interface or connection descriptions adhere to applicable standards, criteria, and connection requirements between the supplier’s supplier deliverable and acquirer’s intended environment.

Verify that interfaces or connections have been sufficiently tested by the supplier. Verify that issues identified during testing have been resolved appropriately, with deliverable revisions, if necessary. Resolve conflict, noncompliance, and change issues for the selected interfaces or connections.

Example Work Products Example Work Products

Further Explanation

Activity reports Discrepancy reports Criteria used to select technical supplier deliverables for analysis Lists of supplier requirements and technical supplier deliverables selected for analysis Analysis methods for each selected supplier deliverable Record of analysis results

May include: • • • •

Issue and action item list Meeting minutes People assigned corrective actions Due date for actions

Criteria to be used in selecting acquirer managed interfaces or connections

Related Practice Areas Configuration Management (CM) Decision Analysis and Resolution (DAR) Managing Performance and Measurement (MPM) Planning (PLAN) 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

485

Requirements Development and Management (RDM) Risk and Opportunity Management (RSK) Verification and Validation (VV)

Context Specific Development Context Tag:

CMMI-DEV

Context:

Use processes to develop quality products and services to meet the needs of customers and end users.

Perform technical reviews throughout the work lifecycle to gain confidence that the requirements, architecture, and technical supplier deliverables provide the required capability. These reviews should be integrated with risk management activities. Types of technical reviews that can be conducted include: •

Integrated Baseline Review (IBR)

•

Technology Readiness Assessment (TRA)

•

System Requirements Review (SRR)

•

Preliminary Design Review (PDR)

•

Critical Design Review (CDR)

•

Test Readiness Review (TRR)

•

Production Readiness Review (PRR)

•

Operational Test Readiness Review (OTRR)

Depending on where in the acquisition lifecycle the highest risks occur, the acquirer selects technical supplier deliverables for analysis to reduce those risks. Select analysis methods based on the type of technical solution being analyzed and the nature of the risk. For example: •

In the design phases of the solution, quality attribute models, simulations, prototypes, or pilots can be used to provide additional information about the properties of the potential design solutions to aid in their evaluation and selection. Simulations can be particularly useful for complex systems.

•

In the implementation phase, the acquirer can examine a supplier deliverable to determine if it is ready for production and if the supplier has accomplished adequate production planning. The analysis determines if production or production preparations pose unacceptable risks that might compromise cost, schedule, performance, or other established objectives. The acquirer might evaluate the full production configured supplier deliverable to determine if it correctly and completely implements all contractual requirements. The acquirer could also determine whether the traceability of the final contractual requirements to the final production configured solution has been maintained.

The acquirer should select a supplier’s design to analyze the adequacy and completeness of that design. The acquirer may also confirm that: •

The selected design adheres to applicable design standards and criteria

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486

•

The design adheres to allocated functional and quality attribute requirements

•

The resulting supplier deliverable will perform appropriately in its target environment

•

The solution baseline enables hardware fabrication and software coding to proceed with proper configuration management

•

Adequate production processes and measures are in place for the work to succeed

•

The design can be implemented within the production budget

During implementation, the supplier implements the design reviewed and analyzed by the acquirer by developing supplier deliverable components, integrating those components, performing unit and integration testing of the solution, and developing operational and end user documentation. The acquirer can require delivery of verification results from the supplier of the technical solution, as applicable. The suppliers can perform verifications in an iterative fashion, concurrently with the acquirer’s technical analyses, or the supplier can be required to perform follow-on verifications of technical solutions. Typical expectations for verification addressed by the supplier agreement may include: •

List of deliverables and other work products that must be verified by the supplier

•

Applicable standards, procedures, methods, and tools

•

Criteria for verification of supplier work products

•

Measurements to be collected and provided by the supplier with regard to verification activities

•

Reviews of supplier verification results and corrective actions with the acquirer

Examples of considerations for follow up verifications of technical solutions include if: •

During the production stage of the work, there are changes in either materials or manufacturing processes

•

Production re-starts after a significant shutdown period

•

Production starts up with a new supplier

•

A manufacturing site has relocated

The acquirer can determine if the supplier’s implementation is successful by analyzing if the: •

Supplier deliverable is ready to be brought into the acquirer environment for further integration and acceptance testing

•

Production capability is satisfactory enough to perform pilot studies or move to full-rate production

•

Requirements are fully met in the final production configuration

The acquirer should also confirm that sufficient end user documentation has been developed and is aligned with the tested implementation. The supplier can develop preliminary versions of the installation, operations, and maintenance documentation in early phases of the work lifecycle for review by the acquirer and affected stakeholders.

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487

SAM 3.2 Required Practice Information

Practice Statement Select and monitor supplier processes and deliverables based on criteria in the supplier agreement.

Value Provides better visibility into supplier capability and performance to minimize risk.

Additional Required Information This requires that organizational standards and processes are in place and followed.

Explanatory Practice Information

Additional Explanatory Information When close alignment between supplier and acquirer processes is critical to the success of the project, the acquirer should monitor these processes to help prevent problems. Selecting processes for monitoring involves considering the impact of the supplier’s processes on the project. On larger projects with significant subcontracts with critical supplier deliverables or solution components, monitoring key processes may be needed. The acquirer decides on the necessary level of monitoring depending on the level of risk incurred when the supplier’s process is not performed correctly. Monitoring processes can range from reviewing supplier-produced process data to conducting on-site appraisals of the supplier’s processes. Analyzing selected processes involves compiling and analyzing supplier process data to determine whether there are serious risks or issues.

Example Activities Example Activities

Further Explanation

Select and monitor processes used by the supplier as defined in the supplier agreement.

Supplier processes that are critical to the success of the project should be monitored. When selecting processes to monitor, consider the impact on the supplier.

Analyze processes used by the supplier as defined in the supplier agreement and communicate with affected stakeholders.

Analyze results of monitoring selected processes to detect issues as early as possible that may affect the supplier’s ability to satisfy requirements of the supplier agreement. Trend analysis may be performed and can rely on internal and external data.

Example Work Products Example Work Products

Further Explanation

List of processes selected for monitoring and rationale for selection Reports from monitoring

May include: • Process performance reports • Discrepancy reports • Action items and risks

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488 Example Work Products

Further Explanation

Record results of analysis

Related Practice Areas Decision Analysis and Resolution (DAR) Managing Performance and Measurement (MPM) Monitor and Control (MC) Planning (PLAN)

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489

Level 4 SAM 4.1 Required Practice Information

Practice Statement Select measures and apply analytical techniques to quantitatively manage supplier performance to achieve quality and process performance objectives.

Value Focuses measurement and management attention and activities to more effectively meet performance objectives.

Additional Required Information The acquirer establishes and assigns performance measurement objectives and specifications for suppliers. Accordingly, the acquirer must quantitatively manage the supplier against those measurement objectives and specifications. In situations where the acquirer’s quality and process performance objectives are impacted by the supplier processes or product performance, the acquirer must statistically manage the relevant supplier processes and products.

Explanatory Practice Information

Additional Explanatory Information Appropriate analytical techniques can enable the acquirer to recognize significant deviations from performance objectives as specified in the supplier agreement, in order to take corrective action. This enables the acquirer to identify areas for potential corrective action with suppliers.

Example Activities Example Activities

Further Explanation

Identify key acquirer quality and process performance objectives. Establish a performance measurement specification to monitor supplier progress and performance using quantitative or statistical techniques.

This should be included in the supplier agreement and be traceable to the acquirer’s quality and process performance objectives. Trace key measures to the performance measurement specifications and the quality and process performance objectives. Selection should not be limited to supplier deliverable, progress, or performance measures only. Measures can be used to develop analysis, process, and success indicators which provide better insight into supplier performance. Identify any data quality requirements.

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490 Example Activities

Further Explanation

Identify corrective action with the supplier. Monitor corrective action to closure.

Example Work Products Example Work Products

Further Explanation

Performance measurement specifications List of selected measures

Measures may include: • Operational definitions suitable to support statistical and other quantitative management • Identified statistical and other quantitative techniques to analyze the measures • Representations of data and analysis results • Identified key performance objectives • Supplier process data

Results of the analyses against their targets

Trace to objectives as defined in the supplier agreement.

Action item list

Include corrective actions and status.

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491

Supplier Source Selection (SSS)

Required PA Information

Intent Develop and keep updated a package of materials used to seek proposals from potential suppliers and select one or more suppliers to deliver the solution.

Value Improves the ability to select the most qualified suppliers to deliver solutions.

Additional Required PA Information This section left blank for future content.

Explanatory PA Information

Practice Summary Level 1 SSS 1.1

Determine the type of acquisition.

SSS 1.2

Identify potential suppliers and distribute requests for proposals.

SSS 1.3

Evaluate proposals and select suppliers.

Level 2 SSS 2.1

Develop a solicitation package and keep it updated.

SSS 2.2

Identify qualified potential suppliers and distribute the solicitation package for their response.

SSS 2.3

Evaluate proposed solutions according to recorded evaluation criteria and select suppliers.

Level 3 SSS 3.1

Develop, keep updated, and follow negotiation approaches for soliciting, evaluating, and selecting suppliers.

Additional PA Explanatory Information The purpose of Supplier Source Selection is to prepare a solicitation package and select one or more suppliers to deliver the solution. The acquirer is responsible for defining and keeping updated ground rules for initial communication and interaction with potential suppliers. Define and use the roles and responsibilities of affected stakeholders and potential suppliers. Supplier Source Selection involves: •

Identifying potential suppliers

•

Developing and distributing the solicitation package

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492

•

Developing supplier qualification criteria

•

Developing proposal evaluation criteria

•

Evaluating potential suppliers’ proposals

•

Negotiating with potential suppliers

•

Selecting suppliers that best meet the evaluation criteria

Develop the solicitation package using: •

Technical and contractual requirements

•

Performance specifications

•

Acceptance criteria

Related Practice Areas Decision Analysis and Resolution (DAR) Managing Performance and Measurement (MPM) Requirements Development and Management (RDM) Supplier Agreement Management (SAM)

Level 1 SSS 1.1 Required Practice Information

Practice Statement Determine the type of acquisition.

Value Aligns the acquisition type to satisfy the project needs, requirements, and constraints.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information The acquirer may use different types of acquisitions to acquire solutions based on technical, regulatory, or customer requirements. The acquirer may use a competitive bid process for selecting suppliers or they may choose to pursue a sole source acquisition.

Example Activities Example Activities Review possible acquisition types.

Further Explanation Examples of acquisition types include:

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493 Example Activities

Select the type of acquisition to use.

Further Explanation • Purchasing Commercial Off-The-Shelf (COTS) solutions • Obtaining solutions from an external supplier • Obtaining solutions from an in-house supplier, e.g., from within the same organization, but from outside the project • Obtaining solutions from the customer • Obtaining solutions from a preferred supplier • Purchasing supplier labor hours • Combining some of the above, e.g., a COTS solution that an external supplier must customize to fully meet requirements Different parts of a single solution may require selecting multiple acquisition types.

Example Work Products Example Work Products

Further Explanation

List of possible acquisition types Acquisition type selected for the solution

Related Practice Areas Requirements Development and Management (RDM)

SSS 1.2 Required Practice Information

Practice Statement Identify potential suppliers and distribute requests for proposals.

Value Maximizes the opportunity to receive responses from potential suppliers.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information The acquirer identifies potential suppliers to receive the request for proposal (RFP). Acquirers may request proposals from a limited number of suppliers to reduce the cost and effort for the solicitation. Acquirers should ensure they include suppliers who can meet the requirements and enough suppliers to provide a competitive environment.

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494

Example Activities Example Activities

Further Explanation

Identify a list of potential suppliers. Develop an RFP.

May include: • Requirements o Technical o Non-technical o Contractual • List of deliverables • Time constraints

Distribute the RFP to potential suppliers.

Consider local regulatory requirements.

Example Work Products Example Work Products

Further Explanation

List of potential suppliers Request for proposals

SSS 1.3 Required Practice Information

Practice Statement Evaluate proposals and select suppliers.

Value Increases likelihood of project success.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Consider the advantages and disadvantages of each proposed solution prior to making a supplier selection. Use proposal evaluation results to select suppliers. Retain notes related to the supplier selection for future reference.

Example Activities Example Activities Evaluate supplier proposals.

Further Explanation The acquirer typically evaluates proposals against: • Requirements o Technical o Non-technical o Contractual

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495 Example Activities

Further Explanation o Regulatory • Time constraints • Cost estimates • Other identified proposal criteria

Select suppliers.

Example Work Products Example Work Products

Further Explanation

Results of proposal evaluation Official selection notice

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496

Level 2 SSS 2.1 Required Practice Information

Practice Statement Develop a solicitation package and keep it updated.

Value

Maintains the integrity of the solicitation package for the objective comparison and evaluation of proposals.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Use solicitation packages to seek proposals from potential suppliers. Solicitation packages typically include: •

Technical requirements to be satisfied by the solution

•

The Statement of Work (SOW) for the supplier

•

A description of the process and criteria to evaluate proposals

•

Required proposal contents

•

Terms and conditions to include in the supplier agreement

•

Guidance on how potential suppliers are to respond to the solicitation package

•

The schedule for completing the solicitation process for both the supplier and the acquirer

•

Procedures for addressing questions and points of contact

The acquirer structures the solicitation package to facilitate a consistent, accurate, and complete response from each potential supplier. This enables the acquirer to effectively and objectively compare and evaluate submitted proposals. The complexity and level of detail of the solicitation package should be consistent with the value of, and risk associated with, the planned acquisition.

Example Activities Example Activities Develop the SOW for the supplier.

Further Explanation The SOW typically includes: • Project objectives • An overview of the project with sufficient information for the supplier to understand the project environment and risks • Requirements (including period of performance; milestones; work location; legal, statutory, and regulatory

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497 Example Activities • • • • • • • •

• • • •

Further Explanation requirements; delivery format; quantities; content requirements) Design constraints Deliverables, e.g., work breakdown structure (WBS) or list of tasks and activities for the supplier’s work, detailed design, test results Ownership, intellectual property, data, and proprietary rights Specifications for the supplier’s transition of the product to operations and support Requirements for performance including measures of quality, process, product, and service level Required reports that provide the acquirer visibility into supplier progress and performance Additional services required related to the acquired solution, e.g., study reports, development of training materials, delivery of training to end users Acquirer specified processes for the project, e.g., configuration management, quality assurance, issue escalation and resolution, corrective action for noncompliance, change management Reviews conducted with the supplier and their frequency Communication mechanisms Solution acceptance criteria and required supplier involvement in the acquirer’s validation and acceptance activities Post-project support

The acquirer can revise and refine the SOW for the supplier as it moves through the solicitation, negotiation, and supplier agreement development processes until finally incorporating it into a signed supplier agreement. Develop and record the required proposal contents.

Required proposal content requirements typically include: • Company overview, experience, and references • Evidence of the supplier’s processes, including commitment to execute processes to provide the solution • Description of the solution the supplier will provide to meet customer requirements • Plan describing how the supplier will provide the required solution • Risk management plan describing how the supplier will manage risks • Supplier pricing methodology including: o o o o o

Calculation of charges, taxes, and credits Foreign currency exchange rates License fees Pass-through costs Travel reimbursements

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498 Example Activities

Develop proposal evaluation criteria.

Further Explanation • Acquirer invoicing requirements including frequency, term, and pricing type, e.g., fixed price, lump sum, time and materials • Compliance with legal, regulatory, certification or other requirements • Supplier’s approach to assuring the quality of the solution • Approach for the escalation and resolution of issues • Information about ownership, intellectual property, data, and proprietary rights • Plan for retention of critical team members during the project • Identification of work subcontractors will perform Develop and use evaluation criteria to rate or score suppliers and their proposals. The evaluation criteria used should be consistent with the requirements and complexity of the acquired solution. Examples of criteria used to evaluate a potential supplier’s ability and proposal include: • Response to all stated requirements contained in the solicitation package • Experience with similar solutions or services • Technical capability, including: o Technical methodologies and techniques o Solutions o Services • Familiarity with acquirer processes, the technical environment, and the core business • Total ownership and lifecycle costs • Management, development, and delivery processes and procedures • Financial capability • Resource capacity, e.g., personnel available, facilities available • Business size and type • Intellectual property and proprietary rights • Compliance with regulatory requirements Include evaluation processes and associated criteria in the solicitation package.

Develop terms and conditions and additional information.

Terms and conditions may include: • • • • • • •

Recitals or demonstrations of proposals Deliverables and rights Compensation and payments Confidentiality Privacy or non-disclosure statements Legal, regulatory, certification or other requirements Exclusive services, key personnel, supplier personnel at acquirer sites

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499 Example Activities

Further Explanation • Ownership, intellectual property, data, and proprietary rights • Force majeure • Termination for insolvency, breach, non-performance, convenience, etc. • Termination assistance • Term (length of the agreement) • Renewal period • Indemnification • Insurance • Right to audit • Notices Additional information to help the supplier when responding to the solicitation package may include: • Submission of intent to submit proposal • Submission due date, time, and destination • Number of proposal response copies the supplier must submit • Proposal format • Non-complying proposals • Proposal ownership • Bidder inquiries • Key dates and activities • Discretionary selection and potential modifications of the solicitation process • Statements that: o The solicitation itself is not an implied contract o The response is not an obligation to do the work • • • • • • • • •

Confidentiality of information Publicity Use of subcontractors Due diligence Incurred costs Language requirements Statutory units Warranty provisions Licensing provisions

Review the solicitation package with affected stakeholders prior to distribution.

Affected stakeholders may include potential suppliers and other industry representatives.

Obtain stakeholder commitment to the solicitation package.

Commitment to the solicitation package reflects that stakeholders understand and support the contents.

Example Work Products Example Work Products

Further Explanation

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500 Example Work Products

Further Explanation

Records of stakeholder commitment to the solicitation package Supplier and proposal evaluation criteria Finalized solicitation package

Related Practice Areas Decision Analysis and Resolution (DAR) Peer Reviews (PR) Process Asset Development (PAD)

SSS 2.2 Required Practice Information

Practice Statement Identify qualified potential suppliers and distribute the solicitation package for their response.

Value Increases the likelihood that the most qualified suppliers respond.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information The acquirer identifies qualified suppliers to receive the solicitation based on: •

Project scope and requirements

•

Acquisition strategy

•

Internal organizational policy

•

Regulatory requirements

The acquirer can identify suppliers from a variety of sources, e.g., trade studies, market analysis, existing lists of preferred suppliers. For competitive bids, acquirers should identify a sufficient number of suppliers to guarantee competition. In some cases, the organization can prequalify suppliers from a preferred list based on characteristics such as experience, expertise, past performance, etc. Choosing from preferred suppliers can greatly reduce the effort and time required for solicitation. Depending on applicable regulations and work characteristics, the acquirer can decide to pursue a sole source acquisition rather than a competitive bid. Acquirers should record the rationale for determining potential suppliers, particularly in the case of a sole source selection. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

501

Example Activities Example Activities Develop a list of qualified suppliers.

Further Explanation The acquirer may consider: • Suppliers who have experience with similar systems or projects • Performance of suppliers on previous projects • Suppliers who are likely to provide the capabilities needed for the work • Availability of critical resources to staff and support the work • Suppliers’ financial capabilities, e.g., credit worthiness, financial stability, and access to capital

Communicate with qualified suppliers concerning the solicitation.

Typical communication to suppliers includes: • • • • • • • •

Anticipated scope of the solicitation Schedule for release of the solicitation package Overall project schedule Approach and procedures to use throughout the solicitation process High-level criteria for evaluating proposals Required supplier qualifications Schedule for the return of proposals Date when the supplier must indicate if they plan to respond to the solicitation

Finalize a list of qualified suppliers. Distribute the solicitation package to qualified suppliers.

Distribute the package in accordance with approved acquirer solicitation policies and procedures.

Record and respond to supplier questions.

Verify that all potential suppliers have equal access and opportunity to provide feedback on the solicitation package. Provide the opportunity for selected potential suppliers and stakeholders to clarify ambiguity and address concerns with requirements.

Acknowledge the receipt of supplier proposals. Keep the package updated throughout the solicitation. Communicate changes to the solicitation package.

Include all affected stakeholders and potential suppliers.

Example Work Products Example Work Products

Further Explanation

List of qualified suppliers Notice to potential suppliers about the solicitation or any changes to the solicitation

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502 Example Work Products

Further Explanation

Supplier questions and requests for clarification Responses to supplier questions and requests for clarification Changes to the solicitation package

SSS 2.3 Required Practice Information

Practice Statement Evaluate proposed solutions according to recorded evaluation criteria and select suppliers.

Value Matches selection of the best solution and supplier for meeting contractual requirements.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Evaluate proposals submitted in response to solicitation packages in accordance with a defined timeline. Use proposal evaluation criteria to evaluate potential supplier responses to the solicitation. Record evaluation results and decision-making notes, e.g., advantages and disadvantages of potential suppliers, scoring against criteria; and keep current. Select suppliers based on an evaluation of their ability to meet specified requirements against defined criteria. Criteria should address factors that are important to the work. Factors that can be important to the work include: •

Supplier’s geographical location

•

Engineering capabilities

•

People and facilities available to perform the work

•

Prior experience in similar situations

•

Supplier’s past performance on similar work

•

Customer satisfaction with similar solutions delivered by the supplier

Use proposal evaluation results to finalize the supplier selection. Negotiations enable the acquirer to select the best supplier for the work. In some cases, the acquirer can take the top proposals and use negotiations to make the final selection decision. Evaluation results and negotiation results support the selection decision or may cause the acquirer to take other actions as appropriate. If the return on investment (ROI) is not sufficient, the acquirer can decide to defer or cancel the solicitation. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

503

Example Activities Example Activities Verify conformance to requirements and completeness of supplier responses.

Further Explanation Contact the suppliers for corrective action if the response is non-conforming or incomplete.

Distribute supplier proposals to individuals performing the evaluation. Conduct initial review of supplier proposals.

Use this review to consolidate questions, concerns, and issues with the supplier proposals.

Schedule and hold supplier presentations.

Use presentations to ensure a mutual understanding of the SOW.

Perform due diligence.

Due diligence provides an opportunity for the acquirer to further clarify requirements, particularly those related to the acquirer’s existing environment and solutions in use. Potential suppliers ask questions and gain understanding, which enables them to make realistic proposals. It also enables the acquirer to gain insight into the capability of the potential suppliers’ proposed solutions to meet requirements. Due diligence helps to: • Eliminate assumptions and replace them with facts • Identify and record risks and their mitigation plans • List issues and dependencies between the acquirer and supplier to include in the agreement Examples of typical due diligence activities include: • Reviews of requirements with the current supplier or acquirer resources responsible for maintaining the solutions or providing the services • Reviews of solution interfaces or connections with existing systems maintained by the acquirer • Reviews and validation of supplier references • Reviews of the operating environment’s facilities and capabilities • Reviews of regulatory and security requirements • Reviews of supplier’s capabilities • Reviews of cost and schedule estimates for the supplier’s work • Share clarification communications with all competitors

Evaluate supplier proposals according to evaluation criteria.

This includes an evaluation of past performance based on a review of: • • • • • • •

Supplier’s references Any previous experience with the supplier Prior performance on similar work Supplier management capabilities Personnel available to perform the work Available facilities and resources The project’s ability to work with the proposed supplier

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504 Example Activities

Negotiate with suppliers.

Further Explanation This also includes evaluating the risks associated with each proposed supplier. Negotiate with the selected supplier or candidate suppliers to resolve issues identified during due diligence and to address remaining issues with requirements. As appropriate, revise requirements that the supplier must fulfill.

Select a supplier. Record the selection and rationale.

Example Work Products Example Work Products

Further Explanation

Supplier proposals List of candidate suppliers Clarification correspondence between the acquirer and potential suppliers Evaluation results and rationale

May include: • • • • •

Evaluation reports Market studies Trade studies Evaluation criteria Advantages and disadvantages of candidate suppliers

Revisions due to negotiations Supplier selection decision Supplier deliverables

Examples include: • Supplier documentation of their approach, their capabilities, and a preliminary technical solution • Proposal revisions based on clarifications

Related Practice Areas Decision Analysis and Resolution (DAR) Risk and Opportunity Management (RSK)

Level 3 SSS 3.1 Required Practice Information

Practice Statement Develop, keep updated, and follow negotiation approaches for soliciting, evaluating, and selecting suppliers. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

505

Value Improves the ability to select the best qualified suppliers while meeting business objectives.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information The acquirer develops and refines a negotiation plan for each of the candidate suppliers based on the evaluation of the suppliers and their proposals. The negotiation team size depends on the size and complexity of the work. Typically, the team lead is an acquisition professional and the team includes individuals with detailed knowledge of the SOW included in the solicitation package. People that support the negotiation team typically include a legal professional, a financial analyst, a purchasing or contracting agent, and a project manager. Regulations can restrict negotiations between acquirers and suppliers. Review all regulations before entering negotiations with a supplier.

Example Activities Example Activities

Further Explanation

Identify participants in supplier negotiations. Develop and keep updated negotiation plans and approaches.

Example Work Products Example Work Products Negotiation plan for each candidate supplier

Further Explanation Examples of items included in a negotiation plan include: • • • • • • • • • • •

Negotiation personnel roles and responsibilities Key issues to negotiate from supplier responses Negotiation “levers,” and where and when to use them The sequence of events to negotiate issues Fall-back or compromise positions as necessary on given issues (includes possible concessions and tradeoffs) List of non-negotiable items External factors that could influence negotiations, e.g., other pending deals and strategic plans Prior experiences with negotiation to leverage previous positions and issues Supplier negotiation meeting schedule Objectives for each negotiating session Risks, consequences, and mitigation alternatives

Related Practice Areas Supplier Agreement Management (SAM)

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506

Technical Solution (TS)

Required PA Information

Intent Design and build solutions that meet customer requirements.

Value Provides a cost-effective design and solution that meets customer requirements and reduces rework.

Additional Required PA Information This section left blank for future content.

Explanatory PA Information

Practice Summary Level 1 TS 1.1

Build a solution to meet requirements.

Level 2 TS 2.1

Design and build a solution to meet requirements.

TS 2.2

Evaluate the design and address identified issues.

TS 2.3

Provide guidance on use of the solution.

Level 3 TS 3.1

Develop criteria for design decisions.

TS 3.2

Develop alternative solutions for selected components.

TS 3.3

Perform a build, buy, or reuse analysis.

TS 3.4

Select solutions based on design criteria.

TS 3.5

Develop, keep updated, and use information needed to implement the design.

TS 3.6

Design solution interfaces or connections using established criteria.

Additional PA Explanatory Information Activities for designing and building solutions can be applied: •

To products or product components

•

To services, service systems, and service components

•

At any level of the product or service architecture

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507

•

Developing, evaluating, and selecting cost-effective design solutions. These selected design solutions can be called design approaches, design concepts, or preliminary designs.

•

Developing designs detailed enough to support implementation of the selected design solutions.

•

Implementing the designs as a product, service, or component.

Related Practice Areas Product Integration (PI)

Context Specific Agile with Scrum Guidance Context Tag:

Agile with Scrum

Context:

Use processes to adapt agile with Scrum techniques.

Agile teams using Scrum typically build design incrementally, “emergent design” after building functionality during each sprint. Some teams record the design as it emerges, some teams do not. Emergent design can introduce risk when developing critical, complex, or large systems since design defects introduced early can be expensive to correct later. Shorter, more focused sprints are often used to help mitigate these risks. It is typical for agile teams using Scrum to demonstrate less definition, clarity, and recording of designs as compared to more traditional software development teams. Extensive use of white boards, cameras, and other temporary mediums are common among agile teams. Example design components include architecture, interfaces or data connections, data, and algorithms. Technical Solution activities provide a foundation to ensure that the design is performed, usually incrementally, prior to implementation, and the results are recorded to: •

Efficiently share technical information with stakeholders

•

Mitigate technical risks

•

Peer review to find defects early

•

Support maintenance

Table TS-1 shows where Technical Solution activities can augment a typical agile project using Scrum.

Table TS-1: Technical Solution Activities in an Agile Project Using Scrum Agile with Scrum

Technical Solution

Release planning

Earlier and more complete understanding of the end solution and completion risks.

Backlog grooming/review

Allocation of requirements to design components to be developed for known user stories during this sprint. This helps to identify additional requirements that may have been missed.

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508 Agile with Scrum

Technical Solution

Sprint planning

Broader understanding for context of designs and interfaces or connections for the upcoming sprint

Sprint execution

More of the execution is spent developing a working solution vs. refactoring.

Sprint review

Enables a more thorough understanding of what has been accomplished during the sprint.

Sprint retrospective

Provides a comprehensive understanding of what design components remain.

Technical Solution activities can be performed iteratively to improve any agile project during sprint execution. Time can be allocated to each sprint to perform design practices. Design documentation can be in the form of a picture and bulleted design notes stored in the same tools used to store user stories or epics and other project data. Services Context Tag:

CMMI-SVC

Context:

Use processes to deliver, manage, and improve services to meet customer needs.

It is important to remember that in some simple service systems the components are just the people and the processes they perform. Service system development focuses on the following activities: •

Collecting, coordinating, analyzing, validating, and allocating stakeholder requirements for service systems

•

Evaluating and selecting from alternative service system solutions that meet requirements

•

Designing, building or composing (as needed), integrating, and recording service systems that meet requirements

•

Verifying and validating service systems to confirm satisfaction with intended requirements and satisfaction with customer and end user expectations during actual service delivery

The service organization chooses to develop the service system from a wide range of options, from internal development to outsourcing to commercial product integration. Most service organizations engage a development team to build a service system. Choose the development method(s) based on the requirements to fulfill and the service system components to develop. When service system components comprise product components, develop requirements, as well as operational concepts and scenarios for the system, that consider the objectives of the service system, business needs, customer needs, user needs, and the needs of other affected stakeholders.

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509

Level 1 TS 1.1 Required Practice Information

Practice Statement Build a solution to meet requirements.

Value Provides the customer with a solution that implements the requirements and reduces the cost of rework.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information This section left blank for future content.

Example Activities Example Activities Build a solution.

Further Explanation Examples of building a solution include: • • • • • • •

Software is coded Data are recorded Services are provided Parts are fabricated Manufacturing processes are put into operation Facilities are constructed Materials are produced

Example Work Products Example Work Products

Further Explanation

Product or service

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510

Level 2 TS 2.1 Required Practice Information

Practice Statement Design and build a solution to meet requirements.

Value Provides a structure to guide the implementation of a cost-effective solution that meets requirements and avoids rework.

Additional Required Information The design describes solution structure, interfaces or connections, and functionality.

Explanatory Practice Information

Additional Explanatory Information The two main types of design are preliminary design and detailed design. The preliminary design defines the solution and the architecture. The detailed design describes solution component structure and functionality. The design is detailed enough to allow the solution component to be implemented, fabricated, or acquired. The level of detail required is typically set in the architecture’s standards and design rules. The activities involved in these two designs may be iterative and overlap.

Example Activities Example Activities Define the architecture.

Further Explanation May include: • Developing the structural relationships and interface or connection rules between elements • Developing the structure that will support and integrate the solution components needed to meet the requirements • Identifying major internal and external interfaces or connections • Defining component behavior and interaction • Recording definitions using an architecture description language • Developing infrastructure capabilities and services • Developing solution component templates, classes, or frameworks • Developing design rules and authority for making decisions • Defining a process or thread model • Identifying major reuse approaches and sources • Ensuring traceability to requirements

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511 Example Activities

Further Explanation

Identify, develop, or acquire effective design methods or tools for the solution.

Examples of effective design techniques and methods include:

Evaluate commercial off-the-shelf (COTS) products.

Care in evaluating and selecting COTS products and the supplier can be critical to the project if the COTS product:

• • • • • • •

Prototypes and associated design lessons Structural models Object-oriented design Essential systems analysis Entity relationship models Design reuse Design patterns

• Is a significant part of the project or solution • Represents significant risk Aspects to consider in the selection decision include proprietary issues and the availability of the products. Develop a preliminary design.

The preliminary design is the foundation for the solution and the architecture, and may include: • • • • • • •

Develop a detailed design.

Architectural styles and patterns Component identification System states and modes Major component interfaces or connections External product interfaces or connections Algorithms to be employed Data definition

May include: • Finalizing the architecture • Completing component and interfaces or connection descriptions • Optimizing design • Selecting legacy or commercial components • Verifying and validating requirements

Track requirements against design to ensure they are satisfied.

As the design matures, track the requirements assigned to lower level solution components and verify that those requirements are satisfied.

Build the solution.

Includes the allocation, refinement, and verification of each product component. It also involves the coordination between the various product component development efforts. Steps to build the solution may include: • Using effective methods to build the solution. For example: o o o o o o

Structured programming Automatic code generation Software code reuse Fabrication methods Computer aided design drawing Simulation

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512 Example Activities

Further Explanation • Adhering to applicable standards. For example: o o o o o o

Language standards Drawing requirements Manufactured parts Process and quality standards Construction regulations Legal regulations

• Adhering to applicable criteria. For example: o o o o o o

Modularity Clarity Scalability Reliability Safety Maintainability

Example Work Products Example Work Products Architecture

Further Explanation The architecture defines the design structure needed to meet the requirements. Architectures should: • Adhere to design standards and best practices • Provide a foundation for developing solution components and interfaces or connections • Include input from operational concepts and scenarios • Be traceable to requirements

Component design

The design provides a specification of the solution, defining how functional interface or connection quality requirements will be met, and includes traceability to requirements.

Completed solution

Related Practice Areas Decision Analysis and Resolution (DAR) Requirements Development and Management (RDM)

TS 2.2 Required Practice Information

Practice Statement Evaluate the design and address identified issues.

Value Reduces cost by minimizing defects and ensuring that the solution meets requirements.

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513

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Verify that the design meets requirements. Operational concepts and scenarios can be used during design reviews to evaluate how well the design meets its intended purpose.

Example Activities Example Activities Determine what types of reviews to perform.

Further Explanation To evaluate the design, complete a technical review of the solution and identify deficiencies or potential improvements. Types of evaluations include: • Structured design walkthroughs • Inspections

Identify review participants.

Participants can include: • • • •

Authors Technical team members Project managers Subject matter experts (SMEs)

Send draft designs to reviewers.

Send these in advance so participants have enough time to review them.

Conduct a technical review.

Develop a review checklist to be available during the review. Use technical reviews to: • Present the design to affected stakeholders to develop a common understanding and gather input regarding the solution being considered • Decide the validity of the solution • Identify issues and concerns with the solution • Verify that the technical concepts are: o Correct o Consistently and correctly used and represented o Providing value to the solution

Record decisions, issues, and concerns. Identify potential fixes. Communicate issues and decisions to affected stakeholders.

Include the role of stakeholders.

Update the design to address identified issues.

Assign corrective action to the appropriate stakeholders.

Review the solution.

May include: • Conducting peer reviews of selected components • Performing verification of the components as appropriate

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514 Example Activities

Further Explanation

Revise the component as necessary.

Example Work Products Example Work Products Design evaluation issues

Further Explanation Identified deficiency or improvement with the design.

Design review meeting minutes Updated design Updated solution

Related Practice Areas Peer Reviews (PR) Requirements Development and Management (RDM) Verification and Validation (VV)

TS 2.3 Required Practice Information

Practice Statement Provide guidance on use of the solution.

Value Helps to ensure that the solution is usable and maintainable.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information This section left blank for future content.

Example Activities Example Activities

Further Explanation

Develop and provide guidance materials.

Example Work Products Example Work Products Guidance material

Further Explanation Guidance material may include: • User manual • Maintenance manual

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515 Example Work Products • • • •

Further Explanation Installation manual Operations manual Online help Training materials

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516

Level 3 TS 3.1 Required Practice Information

Practice Statement Develop criteria for design decisions.

Value Increases the likelihood of producing a robust design that meets customer requirements and constraints.

Additional Required Information Record the name and detailed description for each criterion.

Explanatory Practice Information

Additional Explanatory Information The criteria used to select solutions should provide a balanced approach to cost, requirements, benefits, and risks. Note that identified criteria may lead to the conclusion that no alternative solutions are necessary. Developing design criteria is often an iterative process. Design criteria may be different based on the domain and design activities.

Example Activities Example Activities

Further Explanation

Analyze, develop, evaluate, use, and keep updated design criteria. Review and revise the design criteria with affected stakeholders as needed.

Revise criteria when requirements, budget, technology, or resources change or when a defect is discovered.

Example Work Products Example Work Products Design criteria

Further Explanation Examples of criteria include: • Complexity • Cost of: o o o o o • • • • • • • •

Development Manufacturing Procurement Maintenance Support

Time to implement Technology availability and limitations Resources needed Performance Robustness Requirements and technology evolution End use and operator capabilities Rationale why alternative solutions are not required

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517 Example Work Products

Further Explanation • Whether the solution needs to be: o o o o o o o o o o o

Modular Clear Simple Maintainable Verifiable Portable Reliable Accurate Secure Scalable Usable

TS 3.2 Required Practice Information

Practice Statement Develop alternative solutions for selected components.

Value Ensures that the most beneficial solution is identified and selected.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Any feasible solution that aligns with the customer’s requirements can be an alternative solution. Alternative solutions can include developing new technologies or identifying and applying current technologies in different ways. Solutions can be based on past designs. Consider alternatives that address and perform the same necessary functions in different ways.

Example Activities Example Activities Develop, identify, and record alternative solutions.

Further Explanation May include: • New and currently in use product technologies • Reusable solutions or solution components • Externally-provided solutions o Commercially available o Customer provided o Publicly or community available

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518 Example Activities

Further Explanation • Functionality and quality attributes • Terms and conditions of warranties for the products

Record the requirements allocation for each alternative. Communicate results.

Example Work Products Example Work Products

Further Explanation

Alternative solutions

TS 3.3 Required Practice Information

Practice Statement Perform a build, buy, or reuse analysis.

Value Ensures that the most effective way to implement the design has been chosen.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information A “build, buy, or reuse analysis” or a “trade study” is typically used to ensure that the most beneficial, technically viable option is selected to implement the solution. It is based on an analysis of the needs of the project. Start the analysis early in the project, continue it during the design process, and complete it with a decision on how to proceed.

Example Activities Example Activities Perform a build, buy, or reuse analysis.

Further Explanation A decision analysis and resolution method or approach may be used to address the design criteria and provide the rationale for making the decision.

Record analysis and communicate results.

Example Work Products Example Work Products Build, buy, or reuse analysis

Further Explanation Factors affecting a build, buy, or reuse analysis can include: • Functions the solutions will provide • Available project resources and skills

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519 Example Work Products • • • • • • • • • •

Further Explanation Costs of acquiring versus developing internally Critical delivery and integration dates Market research of available products Functionality and quality of available solutions Skills and capabilities of potential suppliers Licenses, warranties, responsibilities, and limitations associated with solutions being acquired Availability Proprietary issues Regulatory or legal issues Risk reduction

Related Practice Areas Decision Analysis and Resolution (DAR)

TS 3.4 Required Practice Information

Practice Statement Select solutions based on design criteria.

Value Ensures the most efficient and effective solution is selected to meet the customer’s requirements within cost, schedule, and performance constraints.

Additional Required Information Include the rationale for selecting the solution.

Explanatory Practice Information

Additional Explanatory Information Record solution descriptions and rationale for selection or rejection. Update the record throughout development as solutions and detailed designs are developed and implemented. Maintain a record of rationale to aid future decision making. Records prevent rework, rehashing decisions, and provide insights for applying new technology as it becomes available.

Example Activities Example Activities Evaluate each alternative solution against the selection criteria.

Further Explanation Identify and resolve issues with the alternative solutions and requirements. High-risk situations may use simulations, prototypes, or pilots to assist in the evaluation.

Select the solutions that satisfy the established criteria.

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520 Example Activities Based on evaluation of alternatives, reassess and update selection criteria when necessary.

Further Explanation Update criteria if additional derived requirements or criteria are discovered.

Develop, use, and keep updated records of solutions, evaluations, and rationale.

Example Work Products Example Work Products Recorded solutions, evaluations, and rationale

Further Explanation Includes rationale for selection or rejection.

Related Practice Areas Decision Analysis and Resolution (DAR)

TS 3.5 Required Practice Information

Practice Statement Develop, keep updated, and use information needed to implement the design.

Value Avoids rework by ensuring that solution implementers have the information they need to develop a solution that meets the customer’s requirements.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information This section left blank for future content.

Example Activities Example Activities Record the information needed to implement the solution.

Further Explanation The technical description defines the required design configuration and procedures to ensure the performance of the item is adequate. Provide a technical description of the solution that addresses such aspects as: • • • • • •

Development Production Logistics Maintenance Operations and support Solution lifecycle states and changes

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521 Example Activities Revise the information needed to implement the solution, as needed.

Further Explanation Revise information as scope, requirements, or criteria change.

Example Work Products Example Work Products Technical data package

Further Explanation Commonly used to implement the design when the implementation is complex or broken into multiple parts, e.g., subsystems, internal or external team or supplier. Package information to implement the design may include: • • • • • • • • • • •

Product definition data Engineering drawings Specifications Standards Performance requirements Reliability data Packaging details Modeling data Version control information Verification and validation criteria Any other information needed by the solution implementers

Requirements, design, test, and traceability information

TS 3.6 Required Practice Information

Practice Statement Design solution interfaces or connections using established criteria.

Value Reduces the likelihood of failures and rework during testing and operations and maximizes performance.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information This section left blank for future content.

Example Activities Example Activities

Further Explanation

Define interface or connection criteria.

When defining criteria for interfaces or connections, define or investigate critical parameters to determine if they are

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522 Example Activities

Further Explanation applicable. These parameters are often specific to a given type of system and are often associated with quality attribute requirements, e.g., safety, security, durability, and mission critical characteristics.

Develop interface or connection design alternatives using established criteria. Identify interfaces or connections, both internal and external. Identify interfaces or connections between components and related processes.

For example:

Identify user interfaces or connections.

Examples of users include:

• Interfaces or connections between fabricated components and the fixtures used during the manufacturing process • Interfaces or connections to test beds for software testing • • • •

Developers Testers Operators Users

Each may have their own needs, norms, and perspectives that may influence how they interact with the solution. Record, keep updated, use, and communicate selected interface or connection criteria, design, and selection rationale.

Example Work Products Example Work Products

Further Explanation

Interface or connection specification criteria

May include:

Interface or connection design specification

Consistently and correctly designed interfaces or connections, can include:

• • • • •

Safety Security Performance Standards Capacity

Origin Destination Sequencing constraints or protocols Resources needed or consumed Exception or error handling behavior for inputs that are erroneous or out of specified limits • Electrical, mechanical, and functional characteristics • Interfaces or connections between solutions • Interfaces or connections with users, operators, and maintainers of the solution

• • • • •

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523 Example Work Products

Further Explanation

Interface or connection control documents Rationale for selected interface or connection design

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Verification and Validation (VV)

Required PA Information

Intent Verification and validation includes activities that: •

Confirm selected solutions and components meet their requirements

•

Demonstrate selected solutions and components fulfill their intended use in their target environment

Value Verification and validation of selected solutions and components throughout the project increases the likelihood that the solution will satisfy the customer.

Additional Required PA Information This section left blank for future content.

Explanatory PA Information

Practice Summary Level 1 VV 1.1

Perform verification to ensure the requirements are implemented and record and communicate results.

VV 1.2

Perform validation to ensure the solution will function as intended in its target environment and record and communicate results.

Level 2 VV 2.1

Select components and methods for verification and validation.

VV 2.2

Develop, keep updated, and use the environment needed to support verification and validation.

VV 2.3

Develop, keep updated, and follow procedures for verification and validation.

Level 3 VV 3.1

Develop, keep updated, and use criteria for verification and validation.

VV 3.2

Analyze and communicate verification and validation results.

Additional PA Explanatory Information Verification and validation activities include identifying corrective actions from verification and validation activities and tracking them to closure. Verification and validation address different perspectives: 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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•

Verification addresses whether the work product and solution properly reflect the specified requirements, i.e., “you are building it right.”

•

Validation demonstrates that the solution will fulfill its intended use in its target environment, i.e., “you are building the right thing.”

Verification and validation activities typically include incremental, iterative, or concurrent processes that: •

Begin with requirements

•

Continue through developing work products and the completed solution

•

End with transitions to operations and sustainment

Validation activities can be applied to all aspects of the solution in any of its target environments, including: •

Development

•

Testing

•

Operations

•

Training

•

Manufacturing

•

Maintenance

•

Support

Validation activities use approaches like verification, e.g., test, analysis, inspection, demonstration, simulation. Typically, end users and other affected stakeholders are involved in the project’s validation activities.

Related Practice Areas Requirements Development and Management (RDM)

Context Specific Agile with Scrum Guidance Context Tag:

Agile with Scrum

Context:

Use processes to adapt agile with Scrum techniques.

Figure VV-1 states where verification and validation activities are performed in an agile project using Scrum project. Table VV-1 shows example criteria and results. Agile teams using Scrum typically define a definition of done for each user story or requirement. Work is performed until the definition of done is met for each User Story. Acceptance from the product owner is obtained during the sprint review. The differences between a typical agile project using Scrum and one using verification and validation practices are the: •

Degree of clarity regarding the procedures used

•

Definition of the expected operating environment

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•

Recording and analyzing of the results

For example, an agile team using Scrum would need to ensure that testing and demonstrations consider and address how the user will use the solution in the intended environment. Recorded results show the status of verification and validation activities and provide an opportunity for analysis.

Figure VV-1: VV in an Agile Framework

Table VV-1: VV Information

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Level 1 VV 1.1 Required Practice Information

Practice Statement Perform verification to ensure the requirements are implemented and record and communicate results.

Value Early detection of requirements issues reduces the cost of addressing them and increases customer satisfaction.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Verification throughout the lifecycle helps to ensure that requirements are implemented correctly and issues are identified early.

Example Activities Example Activities

Further Explanation

Perform the verification of selected work products and solutions against their requirements. Record and communicate the results of verification activities. Identify action items resulting from verification.

Example Work Products Example Work Products

Further Explanation

Verification results Action items

VV 1.2 Required Practice Information

Practice Statement Perform validation to ensure the solution will function as intended in its target environment and record and communicate results.

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Value Validation activities increase the likelihood that the result will provide the right solution to meet customer expectations.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information This section left blank for future content.

Example Activities Example Activities

Further Explanation

Validate selected work products and solutions with stakeholders throughout the lifecycle to ensure they function as intended in their target environment. Analyze and communicate the results of validation activities.

Example Work Products Example Work Products

Further Explanation

Validation results Analysis results

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Level 2 VV 2.1 Required Practice Information

Practice Statement Select components and methods for verification and validation.

Value Produces solutions that meet or exceed customer expectations and needs.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Selecting work products for verification and validation enables early: •

Identification and resolution of defects

•

Requirements refinement

•

Indication of whether the proposed solution will work in the target environment

•

Assessment of the proposed solution’s fitness for use

•

Confidence that the proposed solution will meet customers’ needs and expectations

•

Understanding of the solution among stakeholders

Verification and validation activities may result in derived requirements. Ensure the derived requirements are included in the requirements set.

Example Activities Example Activities Select solution components for verification and validation.

Further Explanation Select solution components based on their contribution to meeting objectives for the solution. For each solution component, determine the: • Scope of the verification and validation activities • Requirements to be satisfied • Methods or tools to be used Solution components that can be verified and validated include: • • • • • •

Identify requirements to be satisfied by each selected work product.

Requirements, designs, and constraints Acquired and developed solutions and related components User interfaces or connections User and operational manuals Training materials Process documentation

When identifying requirements for each selected work product, consult the traceability matrix (or other

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530 Example Activities

Further Explanation requirements traceability information) maintained as part of managing requirements for the work.

Determine which customer requirements and end user needs will be validated.

Target environments may include:

Define, record, and keep updated verification and validation methods to be used for each selected solution.

Examples of verification methods include:

• • • • • • • • • •

Testing Operations Maintenance Training Support services Requirements inspection Demonstration Load, stress, and performance testing Functional, interface or connection, and integration testing Prototyping, modeling, and simulation

Examples of validation methods include: • • • • •

Reviews with end users Prototype demonstrations Functional demonstrations Pilots Tests of solution components by end users and other affected stakeholders

Attributes to consider for verification and validation may include: • • • •

Quality Functionality Maintainability Reliability

Review the validation selection, roles, responsibilities, constraints, and methods with affected stakeholders.

Example Work Products Example Work Products

Further Explanation

Lists of solution components selected for verification and validation Verification and validation methods for each selected solution component List of requirements to be verified and validated

Related Practice Areas Decision Analysis and Resolution (DAR) Requirements Development and Management (RDM)

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Context Specific Development Context Tag:

CMMI-DEV

Context:

Use processes to develop quality products and services to meet the needs of customers and end users.

Verification and validation for hardware engineering typically considers: •

Environmental conditions, e.g., pressure, temperature, vibration, humidity

•

Input ranges, e.g., input power could be rated at 20V to 32V for a planned nominal of 28V

•

Variations induced from part to part tolerance issues

Hardware verification normally tests most variables separately except when problematic interactions are suspected. Hardware verification and validation methods include: •

Modeling to validate form, fit, and function of mechanical designs

•

Thermal modeling

•

Maintainability and reliability analysis

•

Timeline demonstrations

•

Simulations

Verification and validation for software engineering typically includes: •

Simulation

•

Traceability studies

•

Functional reviews or audits

•

Physical reviews or audits

•

Peer reviews

•

Demonstrations

•

Prototypes

•

Formal reviews

•

Module, regression, and system integration testing

VV 2.2 Required Practice Information

Practice Statement Develop, keep updated, and use the environment needed to support verification and validation.

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Value Project delays are minimized by ensuring that verification and validation environments are ready when needed.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information The requirements for verification and validation environments are driven by the: •

Selected solution or solution components

•

Type of work products, e.g., design, prototype, final version

•

Methods or tools used for verification and validation

•

Physical constraints, e.g., temperature, pressure, humidity

Elements in a verification or validation environment include: •

Test tools that work with the solution or solution components being verified or validated

•

Embedded test equipment or software

•

Simulated subsystems or components and their interfaces or connections

•

Interfaces or connections to the operational environment

•

Facilities and customer supplied products

•

End users and operators

•

Scenarios

•

Actual or targeted physical environments, e.g., weather conditions, space, vacuum

Using these requirements and elements, the verification and validation environments can be acquired, developed, reused, modified, or obtained depending on the needs of the solution.

Example Activities Example Activities

Further Explanation

Identify requirements for the verification and validation environment. Identify customer-supplied solutions and components.

This is typically done in the validation environment if the customer has existing facilities or components that will be part of the intended environment.

Identify verification and validation resources, equipment, and tools.

Identify verification and validation resources that are available for reuse and modification.

Develop or acquire and keep the verification and validation environments updated.

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Example Work Products Example Work Products

Further Explanation

Verification environment Validation environment

VV 2.3 Required Practice Information

Practice Statement Develop, keep updated, and follow procedures for verification and validation.

Value Following verification and validation procedures reduces costs for performing the activities and ensures more predictable performance.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Verification procedures ensure that work products meet their requirements. Validation procedures ensure that the solution or solution component will fulfill its intended use when placed in its target environment.

Example Activities Example Activities

Further Explanation

Identify criteria for selecting work products and activities for verification and validation. Develop and keep updated procedures for verification and validation.

Procedures may cover: • Maintenance • Set up and support of test and evaluation facilities • Training

Perform verification and validation in accordance with the procedures.

Example Work Products Example Work Products

Further Explanation

Verification procedures Validation procedures Verification and validation results

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Level 3 VV 3.1 Required Practice Information

Practice Statement Develop, keep updated, and use criteria for verification and validation.

Value Using criteria minimizes waste by ensuring the verification and validation activities focus on critical needs.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Examples of sources for verification and validation criteria include: •

Solution or solution component requirements

•

Business process descriptions

•

Standards, regulatory and legal requirements

•

Customer requirements

•

Customer acceptance criteria

•

Solution performance

•

Contracts and agreements

Example Activities Example Activities Develop verification and validation criteria and refine them as work progresses.

Further Explanation Criteria may include: • Specification of test inputs and outputs • Description of expected results • Description of acceptable results

Example Work Products Example Work Products

Further Explanation

Verification criteria Validation criteria

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VV 3.2 Required Practice Information

Practice Statement Analyze and communicate verification and validation results.

Value Analysis and communication of results helps to improve verification and validation effectiveness over time.

Additional Required Information This section left blank for future content.

Explanatory Practice Information

Additional Explanatory Information Analysis and communication of verification and validation results ensure that issues receive the appropriate attention from stakeholders and management.

Example Activities Example Activities

Further Explanation

Compare actual results to expected results. Identify the results that do not meet established criteria for verification. Identify the results that do not meet established criteria for validation. Analyze verification and validation results that do not meet established criteria and determine corrective actions.

Results may include defect, error, or issue analysis.

Submit improvement proposals where improvements to verification and validation process are identified. Record and communicate analysis results and corrective actions to affected stakeholders.

Example Work Products Example Work Products

Further Explanation

Results of actual to expected comparisons for verification and validation Analysis results Corrective actions Improvement proposals

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Appendices

Part Six: Appendices Appendix A: Core Practice Areas, Categories, and Capability Areas The following section is a high-level description of the current predefined core Practice Areas, Categories, and Capability Areas (CAs) with their associated Practice Areas. In addition to aiding in training, adoption, and understanding, these views are also intended for use in appraisals. Figure 22 shows the core Practices Areas, and Figure 23 shows the Practice Areas aligned by domain. Figure 24 shows the full list of current predefined Categories and their CAs. The breakdown of each Category by CA and then by current and future PAs follows Figure 24. Planned future CAs and PAs are marked as (FUTURE).

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Figure 22. Core Practice Areas

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Figure 23. Practice Areas by Domain

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Figure 24. Categories and Capability Areas

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Category: Doing This Category includes CAs for producing, buying, and delivering quality solutions.

Capability Area: Ensuring Quality This CA area includes PAs important to both quality assurance and quality control. The Ensuring Quality CA includes the following PAs: Requirements Development and Management enables developing and keeping updated a common understanding of needs and expectations for the solution.

Process Quality Assurance ensures the process is followed, and quality solutions are produced.

Verification and Validation ensures requirements are met and the solution functions as intended in the target environment.

Peer Reviews identify solution defects or issues.

Capability Area: Engineering and Developing Products

This CA focuses on engineering, developing, and delivering products and product components.

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Technical Solution focuses on designing and building products and product components.

Product Integration covers the assembly of the products and product components and their delivery to the customer and ensures inclusion of required functionality and quality characteristics.

Capability Area: Delivering and Managing Services This CA focuses on developing the capability to deliver agreed upon services, deploying new or modified services, and establishing a portfolio of services.

Service Delivery Management includes delivering services in accordance with the established service level agreements.

Strategic Service Management includes developing and keeping a portfolio of updated standard services that are compatible with strategic needs and plans.

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Capability Area: Selecting and Managing Suppliers This CA establishes the buyer and supplier partnership to ensure that quality solutions are delivered to the customer and end user. Supplier Source Selection involves: •

Selecting one or more suppliers to deliver the solution

•

Preparing a solicitation package

•

Evaluating the supplier’s solution and managing selected connections of that solution

Supplier Agreement Management involves: •

Developing and keeping updated the supplier agreement

•

Ensuring that the supplier and the buyer perform according to the terms of the supplier agreement

Category: Managing This category includes CAs for planning and managing work and the workforce.

Capability Area: Planning and Managing Work

This CA involves determining the amount of work that needs to be done, planning and scheduling the work, and then ensuring the work is being done in accordance with the plans and schedules. It also ensures that resources are adequate to meet the plan and schedule.

Estimating includes forecasting the size, effort, and cost for the work required to develop, acquire, or deliver the solution.

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Planning involves: •

Using the estimates to develop a work plan, schedule, and budget

•

Determining the necessary resources to accomplish the plan, within schedule and budget

•

Obtaining commitment to the work plan from stakeholders

Monitor and Control provides an understanding of progress so appropriate corrective actions can be taken when performance deviates significantly from the plan, schedule, and budget.

Capability Area: Managing Business Resilience This CA addresses the ability to anticipate, prepare for, and respond to interruptions in order to continue operations. It involves identifying, evaluating, prioritizing, and handling risks. It ensures timely and effective resolution and prevention of interruptions to minimize the impact on business operations and ensures the best possible level of service quality. It addresses defining a minimum set of critical functions that must continue in the event of significant interruption of normal operations. Risk and Opportunity Management includes: •

Identifying threats and opportunities

•

Evaluating their likelihood of occurrence and impact

•

Mitigating potential threats

•

Leveraging potential opportunities

Incident Resolution and Prevention includes: •

Identifying actual and potential incidents that may impact delivery

•

Establishing the approach for addressing incidents as they occur

•

Analyzing incidents to prevent recurrence

Continuity plans and validates the critical set of functions and resources needed to continue operations when a significant or catastrophic event occurs.

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Capability Area: Managing the Workforce

This CA addresses the way an organization develops and retains the human resources needed to perform current and future work.

(FUTURE) Compensation and Rewards involves providing individuals with wages and benefits based on their contribution and value to the organization.

(FUTURE) Staffing and Workforce Management develops a formal process to align work with resources and to recruit, select, and transition qualified individuals to assignments.

(FUTURE) Career and Competency Development enhances the knowledge, skills, and performance of individuals in the workforce through mentoring and other professional development techniques.

Organizational Training provides a strategy and capability for training to support the organization’s strategic business objectives, meet common tactical needs, and deliver training across the organization.

(FUTURE) Empowered Workgroups builds teams with the skills and experience needed to accomplish a set of objectives that have clear goals and well-defined tasks.

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Category: Enabling This category focuses on analyzing causes, making decisions, maintaining integrity of work products, and communicating to stakeholders.

Capability Area: Supporting Implementation This CA involves identifying and addressing the causes of selected outcomes, creating a decision-making approach and structure, maintaining the integrity of work products, and fostering communication and coordination among stakeholders.

Causal Analysis and Resolution identifies causes of selected outcomes and acts to either prevent reoccurrence of undesirable outcomes or ensure reoccurrence of positive outcomes.

Decision Analysis and Resolution aids in making decisions using criteriabased evaluation of alternatives and recording the results.

Configuration Management establishes and maintains the integrity of work products using configuration identification, control, and audits.

(FUTURE) Communication and Coordination promotes timely communication and ensures the workforce has the skills to share information and coordinate activities efficiently.

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(FUTURE) Capability Area: Managing Safety

This CA ensures that safety business objectives and expectations translate into safety policies that define clear, tangible directives to the organization. Managing safety involves ensuring that safety is adequately addressed throughout all stages of the solution lifecycle.

(FUTURE) Managing and Planning Safety addresses approaches useful in the management of environmental, safety, and health mishap risks encountered in the development, test, production, use, and disposal of solutions, systems, subsystems, equipment, and facilities.

(FUTURE) Ensuring Safety includes identifying criteria and techniques for avoiding accidents, minimizing and mitigating safety mishap risks; within the constraints of operational effectiveness, time, and cost throughout all phases of the solution lifecycle.

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(FUTURE) Capability Area: Managing Security This CA ensures security related policies define clear expectations from translating business objectives into tangible security directives.

(FUTURE) Managing and Planning Security identifies security business objectives, processes, and assets for secure solution development that satisfy the needs and objectives of the organization.

(FUTURE) Developing Secure Solutions includes performing security activities that produce secure solutions.

(FUTURE) Managing Security Threats and Vulnerabilities helps identify the security threats that could compromise the security objectives of the solution, analyze the resulting level of risk, and define adequate security measures and risk handling.

(FUTURE) Managing Supplier Security describes the selection and management of suppliers to identify threats and vulnerabilities before final solution integration.

(FUTURE) Planning and Supporting Security in Work includes information to systematically develop planning and support activities to achieve security objectives.

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Category: Improving This category involves developing, managing, and improving processes and their related assets with a primary focus on improving organizational performance.

Capability Area: Improving Performance This CA focuses on measuring, analyzing and understanding an organization’s or project’s capability and performance along with their process improvement priorities and infrastructure needs. Once this is understood, the organization or project can identify performance and process improvement actions and assets needed to continually improve capability and performance.

Process Management develops capabilities and improves performance though planning, implementing, and deploying improvements based on a thorough understanding of the current strengths and weaknesses of the organization’s processes and process assets.

Process Asset Development develops and keeps updated a usable set of organizational processes and process assets for performing the work.

Managing Performance and Measurement involves: •

Ensuring that benefits and business objectives are the leading factors driving performance and improvement

•

Changing the paradigm:

•

o

From: process improvement leads to performance improvement

o

To: performance needs are the primary drivers of process

improvements

Using the results of measurement and analysis to manage and control performance at various work and business levels

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Capability Area: Sustaining Habit and Persistence

This CA ensures that processes are persistent and habitually performed and sustained throughout the organization and effectively contribute to meeting business performance objectives.

Governance provides guidance to senior management on their role in ensuring that work is performed in a way that is relevant and important to the business and organization.

Implementation Infrastructure provides a framework that ensures the processes of an organization are persistently used and improved.

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Appendix B: Predefined Model Views – Maturity and Capability Levels Required and Explanatory Information As noted in the Overview, both Practice Areas (PAs) and Practices contain required and explanatory information. In both cases, Required Information is used for verifying that either the PA or practice intent is being achieved during appraisals. For PA, in order to correctly interpret and verify that the intent of the PA is met, the following must be looked at collectively: • Intent statement • Value statement • Additional Required Information For practices, in order to correctly interpret and verify that the intent of the practice is met, the following must be looked at collectively: • Practice statement • Value statement • Additional Required Information Everything other than the required information is informative material. The informative material of the model cannot be ignored; it is needed to understand the meaning of the required information of the model. The terms “required” and “informative” in the model are specifically relevant in the context of appraisals. When adopting CMMI, all model content is critical to achieving performance and process improvement. For more information on appraisals, reference the appropriate appraisal requirements, such as the Method Definition Document (MDD). Figure 25 shows the similarities and differences between PAs and Practices.

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Figure 25. Practice Area vs. Practice Structure

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Capability Levels Capability levels apply to an organization’s performance and process improvement achievements in individual practice areas. Within PAs, the practices are organized into a set of evolutionary levels labeled Level 0 to Level 5 which provide a path to performance improvement. Each evolutionary level builds on the previous levels by adding new functionality or sophistication resulting in increased capability. Capability levels are represented graphically by a two-axis bar chart, where one axis is the PA and the other axis is the capability level (i.e., 0-3) achieved for that PA. Figure 26 shows the evolutional characteristics of the capability level for practices.

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Figure 26. Evolutionary View of Practice Group Levels in Practices

All capability level ratings must include II and GOV. The maximum level a PA can achieve is Capability Level 3. Capability levels can be benchmarked to a single PA, if II and GOV are 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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included. For example, an organization could achieve a Capability Level 3 for the PLAN PA if the capability levels for the practices in the PLAN, II, and GOV PAs up to Capability Level 3 are achieved. Figure 27 shows the required Practice Groups (PG) needed for the CM PA to achieve Capability Level 3. For more information on determining capability levels and ratings, refer to the MDD.

Figure 27. Capability Level Rating Progression – CM Example

Maturity Levels Maturity levels apply to an organization’s performance and process improvement achievements in a predefined set of PAs. Within each maturity level, the predefined set of PAs also provide a path to performance improvement. Figure 28 shows the names of each maturity level, along with their characteristics and their evolutionary performance path.

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Figure 28. Maturity Levels Summary

Within each maturity level, performance has been built in to allow organizations to easily identify performance improvement needs, and then use the model practices to improve. Like capability levels, maturity levels build on each other and cannot be skipped. The following list contains a brief description on how maturity levels build on each other. • Maturity Level 0: the intent of all predefined PAs is not achieved • Maturity Level 1: the intent of all predefined PAs up to and including Level 1 practices is achieved at Practice Group Level 1 • Maturity Level 2: the intent of all predefined PAs up to and including Level 2 practices is achieved at Practice Group Level 2 • Maturity Level 3: the intent of all predefined PAs up to and including Level 3 practices is achieved at Practice Group 3 • Maturity Level 4: the intent of all predefined PAs up to and including Level 4 practices is achieved at Practice Group 4 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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• Maturity Level 5: the intent of all predefined PAs up to and including Level 5 practices is achieved at Practice Group 5 The CMMI is an integrated set of best practices that improve performance and key capabilities for the following current and potential CMMI Institute predefined model views: • CMMI Development (CMMI-DEV), based in part, on the CMMI for Development v1.3 model, for improving processes and performance for developing better products and services. • CMMI Services (CMMI-SVC), based in part, on the CMMI for Services v1.3 model, for improving capabilities and processes for providing better service performance • CMMI Supplier Management (CMMI-SPM), based in part, on the CMMI for Acquisition v1.3 model, for improving processes and performance for optimizing the supply chain • (FUTURE) CMMI People Management (CMMI-PPL), based in part, on the People CMM v2 model for Improving processes and performance for managing people The following tables in Figure 29 through Figure 32 show the organization of the PAs in Maturity Levels 2-5 for each of the CMMI Institute predefined model views.

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Figure 29. CMMI Development, Maturity Levels 2-5

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Figure 30. CMMI Services, Maturity Levels 2-5

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Figure 31. CMMI Supplier Management, Maturity Levels 2-5

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Creating Customized Views In the future, customized views can also be created and used to address any given challenge, issue or improvement opportunity. Below are two customized view examples: Example 1: For a very small development organization just starting out on their performance and process improvement journey, the following PAs could address their critical problems: • Estimating (EST) • Planning (PLAN) • Monitor and Control (MC) • Technical Solution (TS) • Product Integration (PI) Example 2: For a technical division in an organization that manages development, services, and suppliers, the following PAs could address their performance improvement needs: • Incident Resolution and Prevention (IRP) • Continuity (CONT) • Strategic Service Management (STSM) • Technical Solution (TS) • Product Integration (PI) • Managing Performance and Measurement (MPM) • Service Delivery Management (SDM) • Supplier Source Selection (SSS) • Supplier Agreement Management (SAM) • Requirements Development and Management (RDM) • Governance (GOV) • Implementation Infrastructure (II) A key aspect of creating customized views is to: • Identify the problems • Determine root causes • Identify potential process focal points

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Figure 32. Development and Multi-Model Capability Area View Examples

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Appendix C: CMMI Adoption and Transition Resources

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Appendix D: Common CMMI Misperceptions The following list contains some of the most common misperceptions of the CMMI, as compared to reality.

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Appendix E: Glossary Glossary Terminology Context Certain words in the CMMI product suite have special meaning. When applicable, that term is included in the glossary. Otherwise the common English meaning of words, e.g. Webster or Oxford dictionary, applies. Terms appearing in the CMMI glossary take on the characteristics of the content where they appear in the model or Method Definition Document (MDD). For example, if a term is used in required information, it is required in that context, or if it appears in the explanatory information, it is an explanatory term in that context. 5-Whys A technique used to determine an issue's root causes. This technique involves asking the question "Why?" repeatedly until the root cause is identified. acceptance criteria Criteria that a solution must satisfy to be accepted by customers. acceptance testing Testing performed to determine whether a customer, acquirer, user, or their designee should accept a solution. acquirer The stakeholder who obtains a solution from a supplier. (Refer to “affected stakeholder.”) acquisition Obtaining solutions by establishing and executing supplier agreements. (Refer to “supplier agreement.”) affected stakeholders People impacted by a process, activity, work product, or decision. agile An approach to project management or delivery methodology in which the customer is intimately involved in the project, tasks are divided into short phases of work, and there is frequent reassessment and adaptation of plans. agile with Scrum This is a CMMI context-specific tag reserved for identifying unique information for agile projects using Scrum. It is a framework for managing work with an emphasis on software development. It is designed for small teams of developers who break their work into actions that can be completed within time-boxed iterations, called sprints, e.g., two-weeks; and track progress and re-plan in 15-minute stand-up meetings, called daily scrums. (Refer to “agile.”)

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allocated requirement Requirement that results from levying all or part of a higher-level requirement on a solution's lower-level design component. Requirements can be assigned to logical or physical components including people, consumables, delivery increments, or the architecture. appraisal An examination of one or more processes by a trained team using a reference model as the basis for determining, at a minimum, strengths and weaknesses. architecture The set of structures that need to be considered to establish a solution. These structures are comprised of smaller components or elements, relationships among those structures and elements, and the properties of both. (Refer to "functional architecture.”) assignable cause of process variation An extraordinary event outside the bounds of the usual steps following the process. base measure A base measure is functionally independent of other measures, and cannot be expressed in other terms. A base measure is defined in terms of an attribute and the method for quantifying it. (Refer to “derived measure.”) baseline A set of specifications or work products that: • has been formally reviewed and agreed on, • serves as the basis for further work or change, and • can be changed only through change control procedures. (Refer to “configuration baseline” and “product baseline.”) Benchmark Model View A logical grouping of CMMI Institute predefined CMMI model components used to define the appraisal model view scope. • For maturity levels, the Benchmark Model View is a set of Practice Areas, and their levels, predefined by CMMI Institute for the purposes of conducting Benchmark appraisals or Sustainment appraisals. • For capability levels, the Benchmark Model View may either be a predefined view, or a selection of Practice Areas or Capability Areas and their levels that meet the organization’s business needs and performance objectives. bidirectional traceability An association that enables the ability to trace in either direction between logical entities, e.g., from requirements to design to code to test to the end solution, or from customer requirements to product component requirements. (Refer to “requirements traceability” and “traceability.”)

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business performance The accomplishment of a given capability or task measured against preset known objectives, including, but not limited to, quality, cost, speed, accuracy, and completeness for delivery of a solution to a customer. In the CMMI, the term "business performance" refers to performance at the business or organizational level; it can be both organizational-specific or aggregated from the project level. For example, collect measurement and performance data at the project level and aggregate data to enable organizational performance analysis at the business level. (Refer to “process performance.”) capability Capabilities are typically organizational level skills, abilities, and knowledge embedded in people, processes, infrastructure, and technology. Capabilities are what an organization needs to implement its business model or fulfill its mission and achieve measurable business results. Capability Area (CA) A group of related Practice Areas that can provide improved performance in the skills and activities of an organization or project. Capability Areas are a type of view. capability level The highest practice group level for a given Practice Area at which the intent of all practices is met. Capability levels are cumulative and for each practice group level met, all lower level practice groups must also be met. Capability Maturity Model Integration (CMMI) An integrated model of best practices that enable businesses to improve performance by improving their processes. Product teams developed the model with global members from across industry and from CMMI Institute. The CMMI provides a best-practice framework for building, improving, and sustaining process capability. (Refer to “CMMI product suite.”) capable process A stable process able to meet the quality and process performance objectives set for it. The process variation is within set specification limits. (Refer to “stable process.”) category Categories are logical groups or types of views of related capability areas that address common problems encountered by businesses when producing or delivering solutions. causal analysis A method of searching for the origination of certain effects. (Refer to “root cause.”) change management A methodical approach for controlling and implementing changes in a planned and structured manner. CMMI product suite The integrated set of components that comprise CMMI. The product suite components include the model, appraisal method, training and certification, adoption guidance, and systems and tools. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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Commercial Off-The-Shelf (COTS) Describes items that can be purchased from a commercial supplier and used without tailoring. common cause of variation The variation of a process that exists because of normal and expected interactions among components of a process. Also referred to as “inherent cause” of variation. (Refer to “special cause of variation.”) configuration audit An audit conducted to verify that a configuration item or a collection of configuration items in a baseline conforms to a baseline description. (Refer to “audit” and “configuration item.”) configuration baseline The configuration information formally designated at a specific time during a solution or solution component’s life. Configuration baselines plus approved changes from those baselines constitute the current configuration information. (Refer to “product lifecycle.”) configuration control The process of managing changes to a formal configuration baseline. The process consists of evaluating the change, coordinating any effects, approving or disapproving the change, and implementing the changes to configuration items in the baseline. (Refer to, "configuration identification”, "configuration item”, and "configuration management.”) configuration control board A group of people responsible for evaluating and approving or disapproving proposed changes to configuration items and for ensuring implementation of approved changes. Configuration control boards are also known as “change control boards”. (Refer to “configuration item.”) configuration identification A configuration management activity that involves selecting a product’s configuration items, assigning them unique identifiers, and recording their functional and physical characteristics in technical documentation. (Refer to “configuration item” and “configuration management.”) configuration item Work products designated for configuration management and treated as a single entity in the configuration management process. (Refer to “configuration management.”) configuration management The process of managing the integrity of work products using configuration identification, version control, change control, and audits. (Refer to “configuration identification”, “configuration item”, “configuration audit”, and “version control.”) contractual requirements Result of analysis and refinement of customer requirements into a set of requirements suitable for inclusion in solicitation packages or supplier agreements. Contractual requirements include technical and nontechnical requirements necessary to acquire a solution. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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(Refer to “acquirer”, “customer requirement”, and “supplier agreement.”) core assets Assets essential to a solution and may include: • Components • Domain models • Requirements • Performance models • Estimates and plans • Test plans and test descriptions • Process descriptions customer The party responsible for buying or accepting a solution or for authorizing payment for a solution. Customers may also be end users. customer requirement The result of eliciting and consolidating needs, and resolving conflicts among those needs, expectations, constraints, and interfaces to clarify and define the solutions with affected stakeholders in a way that is acceptable to them. (Refer to “customer.”) data Qualitative or quantitative-based information that can be recorded, communicated, and analyzed. defect density Number of defects per unit of solution size. An example is the number of bugs per thousand lines of code. defined process The subset of organizational process assets that are essential for any tailored and managed process. A fully defined process has enough detail that it can be consistently performed by trained and skilled people and is both persistent and habitual. A defined process is necessary at the practice group evolutionary level 3 in the CMMI practice areas (Refer to “managed process.”) deliverable An item to be provided to an acquirer or other designated recipient as specified in an agreement. This item can be a document, hardware item, software item, service, or any type of work product. (Refer to “acquirer.”) derived measure Measure defined as a function of two or more base measures. Derived measures are often expressed as ratios, composite indices, or other aggregate summary measures. (Refer to “base measure.”) 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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derived requirements Requirements that are not explicitly stated in customer requirements, but are inferred and developed from: • contextual requirements, e.g., applicable standards, laws, policies, common practices, management decisions; or • requirements needed to specify a solution component. Derived requirements can also arise during analysis and design of solution components. (Refer to “product component requirements.”) design review A formal, recorded, comprehensive, and systematic examination of a solution or component design to determine if the design meets applicable requirements, identify problems, and propose solutions. develop, use, and keep updated This phrase is a fundamental principle in CMMI: work products resulting from projects’ and organizational processes must be used and useful to the work and enable performance. The work products should be kept current to reflect how work is performed or improved. development To create a solution by deliberate effort. In some contexts, development can include maintenance of the developed product or service system. In the CMMI product suite, when this term is used with the phrase “Development context specific”, it is referring to this definition. DevOps A combination of the terms: “development” and “operations”. This is an enterprise software development phrase used to mean a type of agile relationship between development and Information Technology (IT) operations. The goal of DevOps is to change and improve the relationship between development and operations by advocating better communication and collaboration between these two business units. document A collection of information and data, regardless of the medium, that generally has permanence and can be read by humans or machines. Documents can be work products reflecting the implementation of processes that meet the intent of one or more model practices. Documents may be embedded within an automated, robotic, or online system. Documents can be hardcopies, softcopies, or accessible via hyperlinks in a web-based environment or application. Documents are used and kept updated. (Refer to “artifact” and “record.”) entry criteria Conditions that must be met before an effort can begin successfully. (Refer to “exit criteria.”) example activities Possible actions that may be taken when implementing processes that meet the intent of a practice. The intent of "Example Activities" is to serve as guidance and suggestions, not as required activities. It is not intended to be a comprehensive list. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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example work products Possible outputs of implementing processes that meet the intent of a practice. The intent of "Example Work Products" is to serve as guidance and suggestions, not as required work products. It is not intended to be a comprehensive list. exit criteria Conditions that must be met before successful completion of an effort. (Refer to “entry criteria.”) functional analysis An examination of functions of the solution or solution components to broaden and deepen understanding. functional architecture The conceptual structure and logical arrangement of functions. This may include internal and external interface functions. (Refer to “architecture” and “functional analysis.”) gemba walk The term used to describe personal observation of work – where the work is happening. The original Japanese term comes from gembutsu, which means “real thing”. (Also known as “genba walk.”) hardware engineering The application of a systematic, disciplined, and measurable approach to transforming a set of requirements, using documented techniques and technology to design, implement, and maintain a tangible solution. In CMMI, hardware engineering represents all technical fields, e.g., electrical, mechanical; that transform requirements and ideas into tangible solutions. (Refer to “software engineering” and “systems engineering.”) High Maturity CMMI Model practice group levels (and their associated practices) of 4 or 5 are considered High Maturity practices and levels. High Maturity organizations and projects use quantitative and statistical analysis to determine, identify, and manage central tendency and dispersion and understand and address process stability and capability and how these impact the achievement quality and process performance objectives. informative material Includes everything other than the required information. Explanatory information in practices are part of the informative material. Informative material also includes the overview and appendices, e.g. glossary, index. Informative material must not be ignored, it is needed to correctly understand and adopt the model. External links can be added to the informative material. These are links to external assets such as: • Additional informative material • Adoption examples 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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• Transition and adoption guidance from one model or standard to others • Templates • Training materials integration environment The configuration of processes, systems, tools, people, and associated infrastructure used when combining components to develop a solution. interface data Information describing interfaces or connections. interface or connection A shared boundary across components, humans, services, hardware, or software that needs or exchanges information or data. Either term “interface” or “connection” may be used to describe this boundary. interface or connection description A description of the functional and physical characteristics of a component and its boundaries, e.g. user, system, that describes its interaction with another component. lifecycle model A representation or description of the steps and activities for the development and updating of a solution communicated to stakeholders and followed by a project or organization. This description may include: • Phases • Sequence • Interrelationships • Inputs • Outputs • Decisions points • Roles and responsibilities managed process A performed process that is recorded, followed, updated, and made persistent and habitual in its use. A managed process is necessary at the Practice Group evolutionary level 2 in the CMMI Practice Areas (Refer to “performed process.”) maturity level A rating that describes the degree to which processes in an Organizational Unit meet the intents of a predefined set of Practice Areas. The rating is based on the achievement of a specified set of practice group levels within the predefined set of Practice Areas.

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measurement and performance objectives Used to describe quantitative or qualitative objectives that do not require the additional rigor of statistical or quantitative analysis. measurement-based Numerical data obtained by performing measurements, but not based on statistical and quantitative management. memorandum of agreement A record of expectations and arrangements between two or more parties also known as a “memorandum of understanding”. (Refer to “Statement Of Work.”) model component Any of the five main architectural elements or parts that compose the CMMI model. These include the view, practice area, practice group, practice, and informative material. (Refer to “informative material”, “practice”, “practice area”, “practice group”, and “view.”) natural bounds The inherent range of variation in a process, as determined by process performance measures. Natural bounds are sometimes referred to as “control limits” or the “voice of the process”. objectively evaluate To review activities and work products against criteria that minimize subjectivity and bias by the reviewer. operational concept A general description of the way in which a component or solution is used or operates. An operational concept may also be referred to a “concept of operations.” operational scenario A description of a potential sequence of events that includes the interaction of a component or solution with its environment and users, and with other solution components. Operational scenarios are used to evaluate the requirements and design of the system and to verify and validate the system. opportunity An uncertain event that may positively impact meeting objectives. optimizing process A quantitatively managed process that is continually improved to increase its capability. These continuous improvements can be made through both incremental and innovative improvements. An optimizing process is necessary at the practice group evolutionary level 5 in the CMMI Practice Areas. (Refer to “quantitatively managed process” and “defined process” for contrast.) or The use of “or” in the CMMI model means either “and” or “or.”

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organization’s business objectives Developed by senior management to improve performance, build and improve capability, and enhance profitability, market share, and other factors that influence the organization’s success. organization’s measurement repository A specific location or locations where measurement-based information is stored. The purpose is to collect and make measurement results available throughout the organization. This repository contains or references actual measurement results and related information needed to understand and analyze measurement results typically described as part of the organizational process assets. (Refer to “organization’s process assets” and “organization’s set of standard processes.”) organization’s process assets Process-related documentation, records, and information such as policies, an organization’s set of standard processes, tailoring guidelines, checklists, lessons learned, templates, standards, procedures, plans, training materials, etc. (Refer to “process description” and “organization’s process asset library.”) organization’s process asset library A specific location or locations where information is stored to make process assets available that are useful to those who are defining, implementing, managing, and following processes in the organization. (Refer to “organization’s process assets.”) organization’s set of standard processes A collection of process descriptions that guide consistent process implementation across an organization. These process descriptions cover the fundamental process elements and their relationships to each other such as ordering and interfaces that should be incorporated into the defined processes that are implemented in work groups across the organization. A standard process is essential for long-term stability and improvement. (Refer to “process description” and “process element.”) organizational directives Expectations established by senior management that are adopted by an organization to influence and determine decisions, may also be referred to as “organizational policies.” peer reviews The examination of work products performed by similarly skilled personnel during the development of work products to identify defects for removal. Peer reviews are sometimes called work product inspections. (Refer to “work product.”) performance parameters Measurable criteria used to monitor progress towards quantitative objectives. Collectively, performance parameters provide a metric for determining success for the business or project.

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Performance Work Statement (PWS) A Statement of Work (SOW) for performance-based acquisitions that clearly describes the performance objectives and standards that are expected of the contractor. When a contract is awarded, the PWS is a legally binding document upon the contractor. (Refer to “SOW.”) performed process A simple approach or set of steps that produces solutions or work products. A performed process is characteristic of practice group evolutionary level 1 in the CMMI Practice Areas. persistent and habitual The routine way of doing business and following and improving process that an organization follows as part of its culture. practice A practice consists of two parts: • Required practice information: Information required to understand the full intent and value of the practice, which includes the practice statement, the value statement, and the additional required information • Explanatory practice information: Remaining parts of the practice, including example activities and work products, which are important and useful to better understand the meaning and intent of the required information, including the practice statement, value, and additional required information Practice Area (PA) A collection of similar practices that together achieve the defined intent, value, and required information described in that Practice Area. Practice Area (PA) Required Information The intent, value, and any additional required information for a Practice Area. practice group The organizing structure for practices within a Practice Area to aid understanding and adoption and provides a path for performance improvement. Currently, the practice groups defined for CMMI are evolutionary levels. process A set of interrelated activities, which transform inputs into outputs to achieve a given purpose. (Refer to “process element.”) process action team A team with responsibility for developing and implementing process improvement activities for an organization. (Refer to “process group.”) process architecture The ordering, interfaces, interdependencies, and other relationships among the process elements in a standard process, or standard processes. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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process capability A recorded range of expected results that can be achieved by following a process. process description A record for a specific process. Process descriptions may be documents, embedded or automated steps or instructions in a robot, component, system or tool, or graphical representations, etc. process element The fundamental unit of a process that cannot be further broken down. process group The people or team who hold a process role and are responsible for developing, deploying, and updating the organization's process assets. (Refer to “process role.”) process improvement Tasks and activities planned, performed and used to improve an organization's process capability and performance to achieve business objectives more effectively. (Refer to “organization’s business objectives.”) process improvement objectives A set of measurement objectives established to focus process improvement in a specific, measurable way that improves performance to achieve an organization’s business objectives and build or improve capability. (Refer to “measurement and performance objective”, “organization’s business objectives”, and “quantitative objective.”) process improvement plan A process improvement plan records the objectives, activities, resources, oversight, schedules, and associated risks to improve processes. process measurement Activities performed to collect information and assign numeric values related to the activities, steps, and outputs of following a process. This information is analyzed to determine the effectiveness and efficiency of a process. (Refer to “measurement” and "process performance.”) process owner The person or team responsible for developing, updating or following a process. An organization or project can have multiple owners at different levels of responsibility for: • organization’s set of standard processes • project-specific and project-defined processes process performance A measure of results achieved by following a process. Process performance may be characterized by both process measures, e.g., effort, cycle time, defect removal efficiency, and solution measures, e.g., reliability, defect density, response time. (Refer to “business performance.”) 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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process performance baseline A record and description of historical process performance resulting from following a defined process, which can include central tendency, e.g., mean, medium, mode, variation, and reflects how the process is being performed. Process performance baselines can be used as benchmarks for comparing actual process performance to expected process performance and can be used in process performance models to predict future process performance. (Refer to “process performance” and “process performance model.”) process performance model A predictive analytical tool that identifies the controllable factors and describes the relationships between measurable attributes of one or more processes, subprocesses, process elements, or work products. (Refer to “process performance baseline” and “quality and process performance objectives.”) process role A description of the roles of people who develop, use, or follow a process in an organization. This role is typically recorded in a process description or related artifact, e.g., a roles and responsibility table or matrix. People in these roles provide objective evidence OE showing and explaining their roles and responsibilities and how they participate in the processes. product component A work product that is a building block of the product, or solution. Integrate product components to produce the final product, or solution. There can be multiple levels of components. product lifecycle A representation of the set of steps or activities, consisting of phases, that begins at conception of a product or service and ends when the product or service is no longer available for use. For example, a product lifecycle could consist of the following phases: • concept and vision • feasibility • design/development • production • delivery • phase out, retire, or sunset Organizations can produce multiple products or services for multiple customers, and so may define multiple product lifecycles. These lifecycles may be adapted from published literature for use in an organization. product line A group of products: • sharing a common, managed set of features • satisfying specific needs of a selected market or mission 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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• developed from a common set of core assets in a prescribed way project A managed set of interrelated activities and resources, including people, that delivers one or more solutions to a customer or end user. A project typically has an intended beginning (i.e., project startup) and end, but also may be continuous. Projects typically operate according to a plan and set of requirements. The term “project” includes where and how the work gets done, whether developing a product, providing a service, performing an organizational function, or acquiring and managing suppliers, etc. (Refer to “process role” and “organizational and in-scope projects.”) project plan A plan that provides the basis for performing and controlling project activities, and addresses commitments to the customer. A project plan is based on estimating the attributes of work products and tasks, determining the resources needed, negotiating commitments, producing a schedule, and identifying and analyzing risks. Iterating through these activities can be necessary to establish the project plan. project startup Initial time period when a project begins. (Refer to “project.”) quality and process performance objectives Quantitative objectives and performance requirements for solution quality and process performance. These objectives include the use of statistical and quantitative analysis on the related data. (Refer to “measurement and performance objectives.”) quality attribute Property of a solution by which affected stakeholders will judge its quality. Quality attributes are: • "Non-functional” • Significantly influence architecture • Characterized by one or more measures Quality attribute examples: • Availability • Maintainability • Modifiability • Reliability • Responsiveness • Scalability • Security • Timeliness • Throughput 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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• Usability quantitative management Managing a project using quantitative techniques to understand actual or predicted process performance relative to quality and process performance objectives, variation, and identifying corrective action needed to meet the objectives. quantitative objective Desired target value expressed using measures. (Refer to “measure”, “process improvement objectives”, and “quality and process performance objectives.”) quantitatively managed process A defined process evaluated and controlled using statistical and other quantitative techniques. A quantitatively managed process is necessary at the practice group evolutionary level 4 in the CMMI Practice Areas. reference model A defined model describing practices and activities that is used for improving performance or as a benchmark for measuring capability or maturity. requirement A recorded description of an aspect, performance, or capability required by a user or customer. requirements analysis Tasks that determine the needs or conditions to meet a new or altered solution, accounting for multiple perspectives, e.g., balancing stakeholder needs and constraints, allocation of requirements to components, breaking down complex requirements to lower level requirements. requirements elicitation A technique used to gather knowledge or information to proactively identify and record customer and end user needs. requirements management The process of documenting, analyzing, tracing, prioritizing and agreeing on requirements and then controlling change and communicating to relevant stakeholders. It is a continuous process throughout a project. requirements traceability A record of the relationships between requirements and related requirements, implementations, and verifications. (Refer to “bidirectional traceability.”) Return On Investment (ROI) The ratio of benefit of a process or solution improvement to implementation costs to determine the value. risk A potential uncertain event that may be harmful or may negatively impact achieving objectives. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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risk mitigation A set of planned activities, which if performed, may minimize the probability or impact of the risk. root cause The underlying source of a defect or problem. senior management The person or persons who provide the policy and overall guidance for the process, but do not typically provide the direct day-to-day monitoring and controlling of the process. A senior manager has authority to direct the allocation or reallocation of resources in support of organizational process improvement effectiveness. A senior manager can be any manager who satisfies this description, including the head of the organization. Service Level Agreement (SLA) A contract between a service provider, either internal or external, and the customer or end user that defines the level of service expected from the service provider. SLAs are output-based in that their purpose is specifically to define what the customer will receive. SLAs do not define how the service itself is provided or delivered. service system An integrated and interdependent combination of components that satisfies stakeholder requirements. service system component A process, work product, person, consumable, customer, or other resource required for a service system to deliver value. Service system components can include components owned by the customer or a third party. service system consumable An item used by the service system that ceases to be available or becomes permanently changed by its use during the delivery of a service. shared vision A common understanding of guiding principles, including mission, objectives, expected behavior, values, and final outcomes, developed and used by a project or work group. size Number of items, or volume of work effort or work products being produced, such as activities, pages, requirements, number of components, solutions. Use size as a basis for scoping when producing estimates and plans. solution A product, product component, service, service system, service system component, or delivered or acquired product or service.

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solution component A work product that is a building block of the solution. Solution components are integrated to produce the solution. There can be multiple levels of solution components. (Refer to “product component.”) special cause of variation A cause of process variation that is a result of a known factor that results in a non-random distribution of output. Also referred to as “exceptional” or “assignable” cause variation and is temporary in nature and not an inherent part of the process. (Refer to “common cause of variation.”) stable process The state in which special causes of process variation have been removed from the process and prevented from recurring. In a stable process, only common cause variation of the process remains. (Refer to “capable process”, “common cause of variation”, and “special cause of variation.”) Statement Of Objectives (SOO) The recorded top-level objectives of an acquisition or procurement, used to guide discussions and negotiations between the acquirer and the supplier. Statement Of Work (SOW) A description of work to be performed and their respective groupings of tasks or activities. (Refer to “memorandum of agreement.”) statistical and other quantitative techniques The term “statistical and other quantitative techniques” is used to acknowledge that while statistical techniques are required, other quantitative techniques can also be used effectively. Analytic techniques that allow parameters describing a task or work product to be quantified. Use statistical and other quantitative techniques to: • Analyze variation in process performance • Monitor the selected processes that drive achieving quality and process performance objectives This term is used at levels 4 and 5 where practices describe how statistical and other quantitative techniques are used to improve understanding of work group and organizational processes and performance. (Refer to “statistical techniques” and “quantitative management.”) statistical process control Statistical analysis that identifies common and special causes of process variation and seeks to maintain process performance within limits. (Refer to “common cause of variation”, “special cause of variation”, and “statistical techniques.”) statistical techniques Mathematical techniques used with the collection, analysis, interpretation, and presentation of masses of numerical data to understand process variation and predict process performance. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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Examples include sampling techniques, analysis of variance, chi-squared tests, regression analysis, and process control charts. subprocess A process that is part of a larger process. Subprocesses can be further decomposed into subprocesses and/or process elements. (Refer to "process”, "process description”, and "process element.”) supplier An entity having an agreement with an acquirer to design, develop, manufacture, maintain, modify, deliver, or supply solutions under terms of an agreement. Examples include individuals, partnerships, companies, corporations, and associations. (Refer to “acquirer.”) supplier deliverable An item to be provided to an acquirer or other recipient as specified in an agreement. The item can be a document, hardware or software item, a service, a solution, or any type of work product. systems engineering Interdisciplinary approach governing technical and managerial effort required to transform a set of customer needs, expectations, and constraints into solutions and to support solutions throughout their lifecycle. tailoring Developing or adapting a process description or work product according to organizational defined standard guidelines to achieve a result. For example, a project develops its tailored process from the organization’s set of standard processes to meet objectives, constraints within the project environment. (Refer to “organization’s set of standard processes” and “process description.”) tailoring guidelines Organizational guidelines that enable individuals, projects, and organizational functions to appropriately adapt standard processes for their use. Tailoring guidelines may allow additional flexibility when dealing with less critical processes or those that only indirectly affect business objectives. (Refer to “organization’s set of standard processes” and “tailoring.”) technical data package A set of work products and information used to implement the design, e.g., coding standards, version control information, and engineering drawings. technical performance Characteristic of a process or solution generally defined by a functional or technical requirement that is often recorded in a contract or Statement Of Work. trade study An evaluation of alternatives, based on criteria and systematic analysis, to select the best alternative for attaining determined objectives. 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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unit testing Testing of individual hardware or software units. version control Identifies the correct versions of work products and ensures the right versions are available for use or for restoring to a previous version. Also includes the establishment and maintenance of baselines and the identification of changes to baselines to obtain previous baselines. Work Breakdown Structure (WBS) A list of tasks and activities, related work elements and their relationship to each other and to the end product or service. work product An output from a process, activity, or task and may be a stand-alone output, or part of a solution. work product and task attributes Characteristics of solutions and tasks used to estimate work. These characteristics often include size, complexity, weight, form, fit, and function. Characteristics are typically used as one input to deriving other resource estimates, e.g., effort, cost, schedule. (Refer to “work product.”)

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Appendix F: Abbreviations Abbreviation

Term

CA

Capability Area

CAR

Causal Analysis and Resolution

CCB

Change or Configuration Control Board

CCD

Career and Competency Development

CDR

Critical Design Review

CL

Capability Level

CM

Configuration Management

CMM

Capability Maturity Model

CMMI

Capability Maturity Model Integration

CMMI-DEV

CMMI for Development

CMMI-PPL

CMMI for People Management

CMMI-SPM

CMMI for Supplier Management

CMMI-SVC

CMMI for Services

COCO

Communication and Coordination

COMP

Compensation and Rewards

CONT

Continuity

COOP

Continuity Of Operations

COTS

Commercial Off-The-Shelf

CPM

Critical Path Method

DAR

Decision Analysis and Resolution

DEV

Development

DSS

Develop Secure Solutions

ES

Ensuring Safety

EST

Estimating

EVMS

Earned Value Management System

EWG

Empowered Workgroups

FMEA

Failure Mode and Effects Analysis

FMECA

Failure Mode, Effects, and Criticality Analysis

GOV

Governance

GQM

Goal Question Metric

IBR

Integrated Baseline Review

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594 Abbreviation

Term

II

Implementation Infrastructure

IMS

Integrated Master Schedule

IRP

Incident Resolution and Prevention

IT

Information Technology

IV&V

Independent Verification and Validation

MC

Monitor and Control

MDD

Method Definition Document

ML

Maturity Level

MPM

Managing Performance and Measurement

MPS

Managing and Planning Security

MPSF

Managing and Planning Safety

MSS

Managing Secure Suppliers

MST

Managing Security Threats and Vulnerabilities

MTBF

Mean Time Between Failures

MTTF

Mean Time to Failure

OT

Organizational Training

OTRR

Operational Test Readiness Review

PA

Practice Area

PAD

Process Asset Development

PAL

Process Asset Library

PCM

Process Management

P-CMM

People-CMM

PDR

Preliminary Design Review

PERT

Program Evaluation and Review Technique

PG

Practice Groups

PI

Product Integration

PLAN

Planning

PPL

People Management

PQA

Process Quality Assurance

PR

Peer Reviews

PRR

Production Readiness Review

PSSW

Planning and Supporting Security in Work

PWS

Performance Work Statement

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595 Abbreviation

Term

QPPO

Quality and Process Performance Objectives

RASCI

Responsible, Accountable, Support, Consulted, Informed

RDM

Requirements Development and Management

RFP

Request For Proposal

ROI

Return on Investment

RSK

Risk and Opportunity Management

SAM

Supplier Agreement Management

SCAMPI

Standard CMMI Appraisal Method for Process Improvement

SDM

Service Delivery Management

SEI

Software Engineering Institute

SHP

Sustaining Habit and Persistence

SLA

Service Level Agreement

SME

Subject Matter Experts

SOO

Statement Of Objectives

SOP

Standard Operating Procedure

SOW

Statement Of Work

SPM

Supplier Management

SRR

System Requirements Review

SSS

Supplier Source Selection

STSM

Strategic Service Management

SVC

Services

SW-CMM

Software CMM

SWM

Staffing and Workforce Management

SWOT

Strength, Weakness, Opportunity, and Threat

TRA

Technology Readiness Assessment

TRR

Test Readiness Review

TS

Technical Solution

VV

Verification and Validation

WBS

Work Breakdown Structure

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Appendix G: CMMI Development History The Capability Maturity Model (CMM) was developed in the late 1980s/early1990s and version 1.0 was released in 1991. CMMI originally was a combination of software and systems engineering CMMs along with product line and supplier sourcing models first released in 2000. The release timeline is listed below: • 1984 Carnegie Mellon University awarded funding to establish the Software Engineering Institute (SEI) • 1987 SEI releases a software process maturity framework and maturity questionnaire to support organizations in improving their software process. • 1991 Software CMMI (SW-CMM) V1.0 • 1993 SW-CMM V1.1 • 1995 People CMM (P-CMM) V1.0 • 1997 SW-CMM work on CMM V1.2 stopped • 1999 Undersecretary of Defense (J. Gansler) Memo – SW-CMM ML3 Required for ACAT 1 programs • 2000 CMMI V1.02 • 2002 CMMI V1.1 • 2004 CMMI-ACQ V1.0 • 2005 CMMI-ACQ V1.1 • 2006 CMMI V1.2 (Included CMMI-DEV) • 2007 CMMI-ACQ V1.2 • 2009 CMMI-SVC V1.2 (First release to stay in sync with CMM-DEV version numbering) • 2009 P-CMM V2.0 Second Edition • 2010 CMMI V1.3 (Included CMMI-DEV, -SVC and –ACQ) • 2018 CMMI V2.0 Product Suite, including views for Development, Services, Supplier Management

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Appendix H: References CMMI Institute. CMMI for Acquisition, Version 1.3, Pittsburgh, PA: November 2010. http://cmmiinstitute.com/cmmi-models CMMI Institute. CMMI for Development, Version 1.3. Pittsburgh, PA, August 2006. http://cmmiinstitute.com/cmmi-models CMMI Institute. CMMI for Services, Version 1.3. Pittsburgh, PA: November 2010. http://cmmiinstitute.com/cmmi-models CMMI Institute. Data Management Maturity Model, Version 1.3. Pittsburgh, PA: 2011. http://cmmiinstitute.com/cmmi-models CMMI Institute. People CMM, Version 2.0. Pittsburgh, PA: November 2010. http://cmmiinstitute.com/cmmi-models CMMI Institute. Standard CMMI Appraisal Method for Process Improvement (SCAMPI) A, Version 1.3, Pittsburgh, PA: 2011. http://cmmiinstitute.com/cmmi-models Crosby, Philip B. Quality Is Free: The Art of Making Quality Certain. New York: McGraw-Hill, 1979. Deming, W. Edwards. Out of the Crisis. Cambridge, MA: MIT Center for Advanced Engineering, 1986. Humphrey, Watts S. Managing the Software Process. Reading, MA: Addison-Wesley, 1989. Institute of Electrical and Electronics Engineers. Multiple Standards. New York: IEEE, 2017. https://www.ieee.org/standards/index.html International Organization for Standardization. ISO 9001:2015 Quality management systems Requirements. ISO, 2015. http://www.iso.org/iso/iso_catalogue/. ISACA, COBIT 5.0. Rolling Meadows, IL: ISACA, 2012.http://www.isaca.org/COBIT/Pages/COBIT-5-Framework-product-page.aspx Juran, Joseph M. Juran on Planning for Quality. New York: Macmillan, 1988. SAE International/Electronic Industries Alliance standard ANSI/EIA-748, Earned Value Management Systems (EVMS), Version C, Warrendale, PA, April 2014. Shewhart, Walter A. Economic Control of Quality of Manufactured Product. New York: Van Nostrand, 1931. Wheeler, Donald J. Understanding Variation The Key to Managing Chaos. SPC Press, Knoxville, TN: 2000.

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Appendix I: Acknowledgements Corporate Sponsors CMMI Institute is grateful to the organizations who sponsored the development of the CMMI V2.0 Product Suite. These organizations provided crucial input, direction, and resources that made the leap to the CMMI V2.0 Product Suite possible. “CMMI V2.0’s benchmark appraisal method has improved our confidence in the results and lowered the overall lifecycle cost of our appraisals. In addition, using the sustainment appraisal approach with brief mid-cycle evaluations has increased our focus on both process implementation and improvement.” -Allan McQuarrie, Deputy Vice President/General Manager, Technology Solutions, BAE Systems

“We are very proud that Siemens as a thought leader contributed to the CMMI V2.0. Topics such as Agile, Lean, Security, and Performance Management are essential for our business. We are welcoming very much that these are now strengthened in the new CMMI.” -Jürgen Kirsch, Vice President CD C PLM Consulting, Siemens

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CMMI V2.0 Product Suite Leadership Team The CMMI V2.0 Project was led by a committed team made up of individuals from sponsor organizations and the CMMI Institute. This team used the insights from market research to build a product suite and strategy to meet the needs of industry today, while creating a platform that will grow and change for the needs of the future. Thank you to the CMMI V2.0 Leadership Team! • Kirk Botula, CEO, CMMI Institute • Joe Callahan, Director of Marketing, CMMI Institute • Timothy Crumbley, NASA Software Engineering Program Executive, NASA • Ryan Fulmer, Project Manager, CMMI Institute • Sally Godfrey, Emeritus, NASA • Craig Hollenbach, Technical Fellow; Manager of Performance and Governance, Engineering Center of Excellence, Northrop Grumman Corporation • Michael LaBarge, Consultant, Performance and Methods Consulting • Ron Lear, Architect of CMMI Institute Products, CMMI Institute • Lisa McConihe, Senior Principal Engineer, BAE Systems • Darlene Moore, Quality Manager, CMMI Institute • Sheela Nath, Business Writer, CMMI Institute • Lynn Penn, President, Performance and Methods Consulting • Winfried Russwurm, Principal Consultant, Siemens AG • Prabhakar Sundar, Director - Global, Honeywell International • Reewa Saluja, Director, CMMI Product Solutions, CMMI Institute • Kevin Schaaff, CMMI Practice Leader, CMMI Institute • Alexander Stall, CMMI Practice Leader, CMMI Institute • Katie Tarara, Manager of Partner and Client Services, CMMI Institute • Kathryn Tate, Training Development Manager, CMMI Institute • Dan Torrens, COO, CMMI Institute • Sean Ways, IT Manager, CMMI Institute • Rusty Young, CMMI Architect - Emeritus, CMMI Institute

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CMMI V2.0 Product Suite Developers These Product Developers worked together with the Leadership Team to build the content, materials, and systems for CMMI V2.0. Thank you to the Development team of Product Developers! • Madison Borgmann, UX Designer, CMMI Institute • Tony Destro, Senior Web Developer, CMMI Institute • Kieran Doyle, President, Excellence in Measurement Technology • Adrian Gill, Founder, Gillpage Associates • Jason Godesky, UI/UX Engineer, CMMI Institute • Fred Haigh, VP, COO, Haigh Group • Mary Anne Herndon, Consultant, Transdyne Corporation • Paul Kimmerly, Consultant, Double Play Process Diagnostics • Michele Lamptey-Uhrich, Manager, Process Initiatives, Northrop Grumman Corporation • Brian Mack, Senior QA Analyst, CMMI Institute • Winifred Menezes, Consultant, Freya Consulting • Rajesh Naik, Founder Partner, QAI India • Heather Oppenheimer, Senior Partner, Oppenheimer Partners • Guido Paolano, Principal Engineer, CMMI Institute • Madhumita Poddar Sen, Madhumita • Neil Potter, Consultant, The Process Group • Enrique Roman, Consultant, Innevo • Thomas Seckel, Principal Engineer, Northrop Grumman Corporation • Agapi Svolou, Owner, Alexanna • Richard Waina, Principal Consultant, Multi-Dimensional Maturity

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Contributors to CMMI V2.0 Product Suite Many individual contributors volunteered their time and expertise to make CMMI V2.0 possible. They provided insight from their years of experience and helped the developers create better products. Thank you to these CMMI V2.0 contributors! • Peter Barletto, Global Process Solutions • Richard Bechtold, Abridge Technology • Scott Bender, Aetna • William Bettesworth, Honeywell International • Bradley Bittorf, Raytheon • Daniel Blazer, Leidos • Petr Bohacek, Honeywell International • Antonio Braga, Crest Consulting • Glyn Davies, BAE Systems • Juliet Davis, Boeing • Jeff Dotseth, General Dynamics • John Ekas, CMMI Institute • Valeria Franzitta, Robert Bosch GmbH • Maggie Glover, Excellence in Measurement Technology • Luciano Guerrero, Procesix • Jean-Yves Guilbaud, Inspearit • Satinder Kaur, CMMI Institute • Ravindra Khetan, RH Process Consulting • Randy Kitano, ESPN • Gary Lunsford, Gary Lunsford Consulting • Monika Maidl, Siemens AG • Diane McDonald, StepUp Solutions • Amanda Parrotte, CMMI Institute • Dan Payne, ABI Consultants LLC • David Quinn, MOSAIC Technologies Group • Siva Ravuri, Wabtec • John Ryskowski, John F Ryskowski Consulting • Mary Segnit, Harris Corporation • Anandkumar K. Shelat, KPMG • Marian Tadros, TRI EXL 2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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• Geoff Terrell, CMMI Institute • Kerry Trujillo, Raytheon • Dean Venable, Lockheed Martin Corporation • David Walker, David Walker SPCS • Beth Wise, Boeing • Sreeramamurthy Yellayi, SPA Business Services • Christian Zion, Thales

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Reviewers for CMMI V2.0 Product Suite Over 100 people with years of experience using CMMI reviewed the various pieces of the CMMI V2.0 Product Suite and provided their input and feedback. Their comments—thousands of them—greatly strengthened the final product. Thank you to the CMMI V2.0 reviewers! • Ahmed Abd El Aziz

• Inigo Garro

• Fei Li

• Drew Allison

• Yasser Ghanim

• Binshan Liao

• Délio Almeida

• Aditya Goel

• Mirko Lovo

• Lemis Altan

• Sharonlyne Graves

• Mukul Madan

• Naoya Anada

• David Greer

• Gururaj Managuli

• Shane Atkinson

• César Pablo Gutiérrez Martinez

• Kaliappan Marappa

• Joachim Bauchrowitz • Yan Bello • Bonnie Bollinger • Eileen Bozzolo • Paul Byrnes • Maria Eugenia Caetano • Arnaud Chivard • Po-Ching (Antoine) Chuang • PJ Corum • Claudio Costa • Mira Culley • Jeff Dalton • Sundar Gopal Das • David Dayton • Christophe Debou • Huey Der Chu • Sankararaman Dhandapani • Yasser Dakroury • Saswata Dutta • Emily Finnegan • Livia Franzitta • Kathy Gallucci • Roger Gamage • Sam Gao

• Michael Hallinan • Kileen Harrison • Zhou Heng • Casimiro Hernandez Parro • Yanjun (Jim) Hu • Shu-Min Hwang • Nevine Iskandar • Seongkyu Jeong • Kent Johnson • Ho-Won Jung • Himanshu Karkhanis • Mangesh Katalkar • Muhammad Furqan Khan • Takami Kihara • Sungil Kim • Denise Kirkham • Ralf Kneuper • Galina Knopman • Alexander Kondakov • Krishnamurthy Kothandaraman • Moustanir Lamnabhi • Beth Layman • Peter Leeson

• Don Marohl • Larry McCarthy • Eugene McGuire • Karen McKeown • Takeshige Miyoshi • Deke Moellerd • Jyoti Mohile • Cecilia Montero • Enrique Morey • Manpreet Mudahar • Boris Mutafelija • Raghavan Nandyal • Hasan Syed Niaz • Gary Norausky • Yoetsu Otaki • Pat O'Toole • Francois Ouellette • Dilek Ozdemirci • Geetha Parthasarathy • Malcom Patrick • Rich Pavlik • Mariana Perez-Vargas • Erwin Petry • Marilyn Phillips

2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.

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• William Pierce

• Hitesh Sanghavi

• Valter Tozzetti

• Louis Poulin

• Giuseppe Satriani

• Michael Trombley

• Shawn Presson

• Vladimir Savin

• Srinivasa Rao Tumu

• Teenu Puri

• Henry Schneider

• Pieter van Zyl

• Kris Puthucode

• Joe Schofield

• Sankaran Venkataramani

• Pascal Rabbath

• Pamela Schoppert

• Seshadri Venkatesan

• Parthasarathy Ramachandran

• Balaji Selvaraju

• Richard Waina

• Prabhuu Sinha

• Melvyn Wahlberg

• Samiya Slim

• Edward Weller

• Kathy Smith

• Mingqing Xu

• Daniele Sorrentino

• Atsushi Yamada

• Srijith Sreenivasan

• Xuefeng (James) Yin

• Sanjay Srinivasan

• Vincent Yip

• Kimberly Stewart

• Bo (Brian) Yu

• Beril Tasdemir

• Wei (Clark) Zhou

• Puthucode Ratnagiri Ganesh • Aihua Ren • Jialin (Dylan) Ren • Leigh Riley • Paul Riviere • Viviana Rubinstein • Jesús Sánchez

2019-08-06 17:35:49 This copy is licensed solely to Solangel Rico, who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written permission by CMMI® Institute. Usage by others is prohibited.