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Project Name Here 10/12/2010

Systems Ltd, Mumbai CMMI Managed - Level 2


RM PP PMC SAM M&A PPQA CM
Specific Goal 1 % Complete 40% 25% 0% 0% 0% 67%
Specific Goal 2 % Complete 57% 0% 0% 0% 0%
Specific Goal 3 % Complete 100% 50%
Generic Goal 2 % Complete 30% 20% 10% 0% 50% 30% Color EV
Generic Goal 3 % Complete 0% 50% 50% 50% 50% 0% red 0-14
Specific Practices 5 14 10 8 4 7 yellow 15-64
Generic Practices 12 12 12 12 12 12 green 65-89
Current Status 23% 50% 15% 13% 25% 29% blue 90-100

Systems Ltd, Mumbai CMMI Defined - Level 3


RD TS PI VER VAL OPF OPD OT IPM RKM DAR
Specific Goal 1 % Complete 100% 33% 0% 0% 67% 33% 40% 50% 0% 33% 0%
Specific Goal 2 % Complete 0% 25% 0% 0% 50% 0% 100% 0% 0%
Specific Goal 3 % Complete 0% 100% 50% 0% 50% 0% 0%
Specific Goal 4 % Complete 0%
Generic Goal 3 % Complete 0% 50% 25% 0% 58% 0% 0% 67% 0% 0% 0%
Specific Practices 10 9 9 8 5 9 6 7 14 7 6
Generic Practices 12 12 12 12 12 12 12 12 12 12 12
Current Status 25% 52% 19% 0% 58% 21% 20% 72% 0% 8% 0%

Note: These percentages are artificial indicators as to whether or not the project is satisfying the goals of
a Process Area. This does not mean in an of itself that a project is "Level 2."

Process Areas (PA) Activities Legend


Enter 0 or 1 in the column specified for the SP or GP on each individual process area
PA Specific and General Practices 0 or 1
worksheet. Numbers roll into this summary worksheet in the form of % complete.
Percentage of completion is calculated using the following formula: (SUM of SP scoring for goal
Specific Goal 1 % Complete %
DIVIDED by number of practices to meet goal)
Percentage of completion is calculated using the following formula: (SUM of SP scoring for goal
Specific Goal 2 % Complete %
DIVIDED by number of practices to meet goal) - IF APPLICABLE
Percentage of completion is calculated using the following formula: (SUM of SP scoring for goal
Specific Goal 3 % Complete %
DIVIDED by number of practices to meet goal) - IF APPLICABLE
Percentage of completion is calculated using the following formula: (SUM of GP scoring for goal
Generic Goal % Complete %
DIVIDED by number of practices to meet goal)
Percentage of completion is calculated using the following formula: (SUM of GP scoring for goal
Generic Goal % Complete %
DIVIDED by number of practices to meet goal)
Specific Practices - General Practices Integer Number of specific or generic practices applicable to the process area.
Current Date - Current Status Previous Summarization of AVERAGE of Specific Goal 1, 2, 3 and both Generic Goals percentage of
Date/%
Date - Previous Status completion; historical data under previous.

Summary Worksheet CMMI-SE/SW v1.1 Level 2 Page 1 of 162


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Requirements Management
(RM)
Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)
SG 1 Requirements are managed and inconsistencies with project plans and work products are identified. 40.0%

1. Establish criteria for A list or characterization of


distinguishing appropriate requirements providers
requirements providers; 2. authorized to provide direction;
Establish objective criteria for the Defined criteria for evaluation
acceptance of requirements; Lack and acceptance of
Develop an understanding with of acceptance criteria often results requirements. Evidence of
in inadequate verification, costly clarification reviews with
the requirements providers on Requirements documents or
SP1.1 rework, or customer rejection; 3.
database.
requirements providers (e.g., 1
the meaning of the Analyze requirements to ensure analysis reports, minutes,
requirements. that the established criteria are clarifications, review logs,
met; 4. Reach an understanding of requirements updates)
the requirements with the resulting in identified
requirements provider so the requirements issues; Action
project participants can commit to items issued to track resolution
them. of requirements issues.

[No typical work products are


specified in model]·
Requirements impact
1. Assess the impact of
assessments.· Requirements
requirements on existing
change request logs, with
commitments; The impact on the
recorded commitment (e.g.,
project participants should be
signature) and estimates of
evaluated when the requirements
The impact on the project impact. · Requirements
Obtain commitment to the change or at the start of a new
participants should be database reports, with
requirement; 2. Negotiate and
SP1.2 requirements from the project record commitments. Changes to
evaluated when the attributes for 1
participants. requirements change or at the review/commitment status.·
existing commitments should be
start of a new requirement. Evidence of internal
negotiated before project
requirements reviews being
participants commit to the
held (e.g., minutes, checklists,
requirement or requirement
logs, metrics, etc.). ·
change.
Communication of
requirements to project
stakeholders, and involvement
in establishing commitment.

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· Requirements reports with


attributes indicating current
state (e.g., approval, source,
1. Capture all requirements and rationale, revision history,
requirements changes that are impact).· Change requests,
given to or generated by the notices, or proposals. (see
project; 2. Maintain the model for typical content)·
requirements change history with Version control of baselined
Manage changes to the the rationale for the changes; Requirements change request and documented requirements
Maintaining the change history logs, with recorded revisions. · Evidence of
SP1.3 requirements as they evolve helps track requirements volatility. commitment (e.g., signature) requirements change reviews 0
during the project. 3. Evaluate the impact of and estimates of impact. during which requirements
requirement changes from the changes are evaluated with
standpoint of relevant stakeholders; relevant stakeholders,
4. Make the requirements and including impact assessment.·
change data available to the Measures of requirements
project. effectiveness (e.g., volatility).·
Revisions to work products
resulting from changed
requirements.

1. Maintain requirements
· Criteria and completed
traceability to ensure that the
checklists and minutes for
source of lower level (derived)
review of requirements
requirements is documented; 2.
traceability.· Requirements
Maintain requirements traceability
tracking logs.· Revision and
Maintain bidirectional traceability from a requirement to its derived Reports or database indicating
maintenance of requirements
requirements as well as to its traceability of requirements
among the requirements and the traceability across the life
SP1.4 allocation of functions, objects, to/from project plans and work
cycle.· Listings of allocated 0
project plans and work products. people, processes, and work products, at each applicable
requirements included in
products; 3. Maintain horizontal level of system decomposition.
reviews of project plans and
traceability from function to function
work products across the
and across interfaces; 4. Generate
lifecycle.· Requirements
the requirements traceability
mappings used to support
matrix.
impact assessments.

1. Review the project's plans,


activities, and work products for Corrective action
consistency with the requirements requirements. Corrective
and the changes made to them; 2. action requests initiated as a
Identify inconsistencies between Identify the source of the Documentation of identified result of inconsistencies
inconsistency and the rationale; 3. requirements inconsistencies between requirements and
SP1.5 the project plans and work Identify changes that need to be including sources, conditions, plans/work products · 0
products and the requirements. made to the plans and work rationales. Completed checklists, forms,
products resulting from changes to logs, action items, or minutes
the requirements baseline; 4. substantiating reviews of
Initiate corrective actions. requirements consistency.

GG 2 The process is institutionalized as a managed process. 30.0%

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· Repository of policies (e.g.,


intranet web access) making
them visible and accessible to
the organization. · Mapping of
policies to CMMI process
This policy establishes
Establish and maintain an organizational expectations for · Organizational policy. ·
areas. · Organizational
process architecture, e.g.,
organizational policy for planning managing requirements and Version, date, or revision
GP2.1 CO 1 identifying inconsistencies between history indicating maintenance
linkage of policies, processes, 0
and performing the requirements procedures. · Signature of
the requirements and the project of the policies over time.
management process. plans and work products.
policies by authorized senior
manager. · Configuration
control and status data for
organizational policies. · Audit
results for implementation of
the policies.

· Documented process
descriptions, including
standards and procedures; this
may be included as part of the
plan or by reference. ·
· Documented requirements
Schedules and resources
and objectives for the process
Typically, this plan for performing (funding, people, tools)
Establish and maintain the plan (e.g., quality, cost, schedule). ·
the requirements management established for performing the
Documented plan for
GP2.2 AB 1 for performing the requirements process is a part of the project plan
performing the process. ·
process. · Measures tracking 0
management process. as described in the Project and controlling progress of the
Revisions to the requirements,
Planning process area. plan. · Evidence of review and
objectives, and plans, as
agreement to the plan by
necessary.
relevant stakeholders (e.g.,
signature, approval, meeting
minutes). Evidence that the
plan for the process is
implemented and followed.

There are no direct work


· Staffing profiles and labor
product PII types mapped to
reports showing effort spent on
GP2.3, but assessment teams
performing the process. ·
Provide adequate resources for should anticipate ·
Documented skill prerequisites
Documented process
performing the requirements Examples of resources provided descriptions and plans
for filling process roles and
responsibilities, and evidence
management process, include the following tools: (strategic or tactical) for
GP2.3 AB 2 Requirements tracking tools, performing the process, which
that assigned staff meet these 0
developing the work products, criteria. · Development
Traceability tools. include a characterization of
and providing the services of the resources needed. · Evidence
environment (hardware,
process. software, licenses, tools, etc.).
that adequate resources
· Analyses, reports, or metrics
(funding, facilities, skilled
tracking availability of
people, tools, etc.) are actually
resources vs. plan.
provided as needed.

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· Documentation assigning
responsibility for process
activities, work products, or
Assign responsibility and services; e.g., job descriptions,
or plans for performing the
authority for performing the process. · Task descriptions
process, developing the work There are no direct work and activities for defined roles.
GP2.4 AB 3 No elaboration provided by the SEI.
products for GP2.4. · Acceptance of responsibility 1
products, and providing the
by those assigned; this might
services of the requirements be documented in many ways
management process. (e.g., signature, commitment,
agreement, appearance on an
org chart, web page contacts,
etc.).

· Qualifications and criteria


defined for process tasks and
Examples of training include:
assignments. · Training waiver
Train the people performing or Application domain; Requirements · Training courses, materials,
criteria and approvals. · Skills
definition, analysis, review, and and methods. · Training
supporting the requirements matrix or database.· Training
GP2.5 AB 4 management; Requirements records (e.g., attendance,
plans, and delivery of training 0
management process as management tools; Configuration course descriptions, evaluation
according to the plan. ·
needed. management; Negotiation and forms).
Training effectiveness data
conflict resolution.
(e.g., surveys, exams,
feedback forms).

· Configuration management
life cycle for identified work
products, i.e., the point at
which products are placed
under various levels of control,
change control authority, etc. ·
Place designated work products Examples of work products placed Baselines established for
of the requirements Work products identified for
under configuration management control of work product
configuration management,
GP2.6 DI 1 management process under include the following:
and the level of configuration
development or release. · 1
appropriate levels of Requirements, Requirements Configuration management
management to be applied.
traceability matrix. processes, populated
configuration management. repository, and tools. · Change
control documentation for
revisions to designated work
products; e.g., approved
change requests, CCB
minutes and reports.

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Select relevant stakeholders from


customers, end users, developers,
producers, testers, suppliers,
· Evidence of stakeholder
marketers, maintainers, disposal
involvement as described in
personnel, and others who may be
the plan (e.g., signatures,
affected by, or may affect, the
approvals, agreements,
product as well as the process.
Identify and involve the relevant Examples of activities for List of stakeholders and
attendance lists, memos,
minutes, reports, working
stakeholders of the requirements stakeholder involvement include: corresponding level of
GP2.7 DI 2 Resolving issues on the involvement in activities
groups). · Communications 1
management process as documented with
understanding of the requirements, associated with the process.
planned. Assessing the impact of
stakeholders. · Documented
interfaces and dependencies
requirements changes,
with identified stakeholders. ·
Communicating the bidirectional
Action items to resolve
traceability, Identifying
stakeholder issues.
inconsistencies among project
plans, work products, and
requirements.

· Measures of actual
performance against plan. ·
Progress tracking reports, e.g.
status reports, financials,
graphs, analyses. · Evidence
Monitor and control the Examples of measures used in of reviews held with immediate
requirements management monitoring and controlling include level of management (e.g.
the following: Requirements (No direct generic work briefings, reports,
GP2.8 DI 3 process against the plan for volatility (percentage of products). presentations, milestones). · 0
performing the process and take requirements changed). Issues and corrective actions
appropriate corrective action. for deviations from plan (e.g.,
action items, variance reports,
change requests). · Revisions
to plans and commitments
(e.g., replanned schedule,
costs, resources).

· Identification of processes,
work products, and services to
be objectively evaluated. ·
Records of evaluations or
Examples of activities reviewed
Objectively evaluate adherence audits being performed as
include the following: Managing
· Noncompliance issues planned (e.g., reports,
of the requirements requirements; Identifying
resulting from objective checklists). · Criteria against
inconsistencies among project
management process against its evaluation of adherence to which processes and work
GP2.9 VE 1 plans, work products, and
processes, objectives, and products are evaluated. · 0
process description, standards, requirements. Examples of work
standards. · Results of process Assignment of responsibility
and procedures, and address products reviewed include the
and product evaluations. for performing objective
noncompliance. following: Requirements;
evaluations. · Revised plans,
Requirements traceability matrix.
work products, or standards
reflecting corrective action
resulting from objective
evaluations.

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· Status reports and briefings


Review the activities, status, and Proposed changes to commitments
Materials and results from provided to higher-level
results of the requirements to be made external to the
reviews held with senior management. · Action items
organization are reviewed with
GP2.10 VE 2 management process with higher level management to ensure
management, on both a and corrective action resulting 0
higher level management and periodic and event-driven from management reviews. ·
that all commitments can be
basis. Metrics and analyses
resolve issues. accomplished.
summarizing project status.

GG 3 The process is institutionalized as a defined process. 0.0%


Establish and maintain the
description of a defined (No direct generic work (No indirect generic work
GP3.1 No elaboration provided by the SEI.
products suggested). products suggested). 0
requirements management
process.

Collect work products,


measures, measurement results,
and improvement information
derived from planning and
(No direct generic work (No indirect generic work
GP3.2 performing the requirements No elaboration provided by the SEI.
products suggested). products suggested). 0
management process to support
the future use and improvement
of the organization’s processes
and process assets.

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Project Planning (PP)


Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)
SG 1 Estimates of project planning parameters are established and maintained. 25.0%

1. Develop a WBS based on the


product architecture. The WBS
provides a scheme for organizing
the project’s work around the
products that the work supports.
The WBS should permit the
identification of the following items:
Identified risks and their mitigation
tasks, Tasks for deliverables and
Task descriptions · Product
supporting activities, Tasks for skill
requirements, product
Establish a top-level work and knowledge acquisition, Tasks
roadmaps · Organizational
for development of needed support
breakdown structure (WBS) to Top-level WBS revision standard WBS template·
SP1.1 plans, such as configuration
history. Identification of work products not consistent 0
estimate the scope of the management, quality assurance,
(or components of work
project. and verification plans, Tasks for
products) that will externally
integration and management of
acquired.
non-developmental items; 2.
Identify the work packages in
sufficient detail to specify estimates
of project tasks, responsibilities,
and schedule; 3. Identify work
products (or components of work
products) that will be externally
acquired; 4. Identify work products
that will be reused.

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Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Size is the primary input to many


models used to estimate effort,
Technical approach; size and
cost, and schedule. The models
complexity of tasks and work
may also be based on inputs such
products; estimating models. ·
as connectivity, complexity, and
Estimating tools, algorithms,
structure. 1. Determine the · Estimates of the attributes of
and procedures · Operational
technical approach for the project the work products and tasks
definitions (e.g.,
Establish and maintain estimates (SEP); 2. Use appropriate methods (e.g., size) · Estimates, as
procedure/criteria) for
to determine the attributes of the appropriate, of labor,
SP1.2 of the attributes of the work work products and tasks that will be machinery, materials, and
establishing and documenting not consistent 0
products and tasks. the estimates of the attributes
used to estimate the resource methods that will be required
of the work products and
requirements; 3. Estimate the by the project. · Estimates
tasks. · Bases of Estimates
attributes of the work products and revision history.
(BOEs) · Use of validated
tasks; 4. Estimate, as appropriate,
models. · Use of models that
the labor, machinery, materials,
are calibrated with historical
and methods that will be required
data.
by the project.

The determination of a project’s


life-cycle phases provides for
planned periods of evaluation and
decision making. These are
· List of major milestones,
normally defined to support logical
Define the project life-cycle events, or decision gates ·
decision points at which significant · Relationships,
Risks and factors influencing
SP1.3 phases upon which to scope the commitments are made concerning interdependencies and
life cycle selection (e.g., 0
planning effort. resources and technical approach. sequencing of project phases
resources, schedules,
Such points provide planned
deliverables).
events at which project course
corrections and determinations of
future scope and cost can be
made.

1. Collect the models or historical


data that will be used to transform
Estimation rationale · Historical
the attributes of the work products Project effort estimates;
data or repository from
Estimate the project effort and and tasks into estimates of the Project cost estimates; ·
previously executed projects. ·
labor hours and cost; 2. Include Documented assumptions,
cost for the work products and Estimating methods (e.g.,
SP1.4 supporting infrastructure needs constraints, and rationale
Delphi), models, tools, 1
tasks based on estimation when estimating effort and cost affecting project estimates,
algorithms, and procedures ·
rationale. (e.g. critical computer resources and identify risks. · Bases of
Support needs (e.g., facilities
and/or facilities); 3. Estimate effort Estimates (BOEs).
and equipment resources).
and cost using models and/or
historical data.

SG 2 A project plan is established and maintained as the basis for managing the project. 57.1%

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Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Staffing profile · Identified


major milestones · Scheduling
1. Identify major milestones; 2.
assumptions and constraints ·
Identify schedule assumptions; 3. Project schedules; Schedule
Task dependencies · Criteria
Establish and maintain the Identify constraints; 4. Identify task dependencies; Project budget;
SP2.1 dependencies; 5. Define the budget Revision history for schedule
for corrective action based on 1
project’s budget and schedule. deviation from project plan ·
and schedule; 6. Establish and budget.
Comparisons of actual project
corrective action criteria.
performance results to
estimates (for replanning).

1. Identify risks; 2. Document the


risks; 3. Review and obtain Identified risks · List of current · Records of stakeholder
agreement with relevant project risks · Revision history involvement in risk
Identify and analyze project
SP2.2 stakeholders on the completeness of risks; Risk impacts and identification activities · Criteria 1
risks. and correctness of the documented probability of occurrence; Risk to be used to identify and
risks; 4. Revise the risks as priorities. analyze project risks.
appropriate.

Data content and format


description; Data requirements
lists for acquirers and for
suppliers; Privacy
requirements; Security
1. Establish requirements and
requirements; Security
procedures to ensure privacy and
procedures; Mechanism for
security of the data.; 2. Establish a
Plan for the management of Data management plan; data retrieval, reproduction,
SP2.3 mechanism to archive data and to
Master list of managed data. and distribution; Schedule for 0
project data. access archived data; 3. Determine
collection of project data;
the project data to be identified,
Listing of project data to be
collected, and distributed.
collected · Project data
management repository and
access mechanisms · Project
data identified, collected and
distributed.

WBS work packages; WBS


task dictionary; Staffing
1. Determine process requirements based on project
Program administration
requirements. 2. Determine staffing size and scope · Staffing plans
Plan for necessary resources to requirements list: Budget
SP2.4 requirements. 3. Determine and profiles; Critical
reviews · Long lead-time items 1
perform the project. facilities, equipment, and facilities/equipment list ·
identified early.
component requirements. Facilities plan ·
Process/workflow definitions
and diagrams.

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Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Identify the knowledge and skills


needed to perform the project. 2. Inventory of skill needs;
Assess the knowledge and skills Staffing and new hire plans ·
Plan for knowledge and skills Databases (e.g., skills and
SP2.5 available. 3. Select mechanisms Plans for providing needed
training). 0
needed to perform the project. for providing needed knowledge knowledge and skills (e.g.,
and skills. 4. Incorporate selected training plan).
mechanisms in the project plan.

Stakeholders are identified from all


phases of the project life cycle by
identifying the type of people and
functions needing representation in
the project and describing their
relevance and the degree of
· List of relevant stakeholders
interaction for specific project
for the project · Schedule for
activities. A two-dimensional matrix
stakeholder interaction · Roles
Plan the involvement with with stakeholders along one axis
and responsibilities for
SP2.6 and project activities along the Stakeholder involvement plan.
stakeholders · Defined criteria 0
identified stakeholders. other axis is a convenient format for
(e.g., procedure) used to plan
accomplishing this identification.
the involvement with identified
Relevance of the stakeholder to the
stakeholders.
activity in a particular project phase
and the amount of interaction
expected would be shown at the
intersection of the project phase
activity axis and the stakeholder
axis.

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Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

A documented plan that addresses


all relevant planning items is
necessary to achieve the mutual
understanding, commitment, and
performance of individuals, groups,
and organizations that must
execute or support the plans. The
plan generated for the project
defines all aspects of the effort,
tying together in a logical manner: · Issues and conflicts identified
Establish and maintain the project life-cycle considerations; Overall project plan · Project across subordinate plans ·
SP2.7 technical and management tasks; plan revision history. IMP, IMS, SEMP, SDP (see 1
overall project plan content.
budgets and schedules; model).
milestones; data management, risk
identification, resource and skill
requirements; and stakeholder
identification and interaction.
Infrastructure descriptions include
responsibility and authority
relationships for project staff,
management, and support
organizations.

SG 3 Commitments to the project plan are established and maintained. 100.0%

Plans developed within other


process areas will typically contain
information similar to that called for Record of the reviews of plans
Review all plans that affect the in the overall project plan. These that affect the project · Review · Project plan · Integrated work
plans may provide additional and signature cycle of the set plans · Evidence of project
SP3.1 project to understand project detailed guidance and should be of plans describing project plan coordination meetings 1
commitments. compatible with and support the scope, objectives, roles, and and correspondence.
overall project plan to indicate who relationships.
has the authority, responsibility,
accountability, and control.

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Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

To obtain commitment from


relevant stakeholders, it is
important to reconcile any
differences between the estimates
Revised methods and
and the available resources.
Renegotiated budgets; corresponding estimating
Reconcile the project plan to Reconciliation is typically
Revised schedules; Revised parameters (e.g., better tools,
accomplished by lowering or
SP3.2 reflect available and estimated deferring technical performance
requirements list; use of off-the-shelf 1
resources. Renegotiated stakeholder components) · Project change
requirements, negotiating more
agreements. requests · Project plan revision
resources, finding ways to increase
history.
productivity, outsourcing, adjusting
the staff skill mix, or revising all
plans that affect the project or
schedules.

1. Identify needed support and


negotiate commitments with
relevant stakeholders. 2.
Document all organizational Documented requests for
commitments, both full and commitments; Commitment
provisional, ensuring appropriate Documented commitments; review meeting minutes ·
Obtain commitment from level of signatories. 3. Review Documented commitment by Identification and
relevant stakeholders internal commitments with senior those implementing the plan. · documentation of issues ·
SP3.3 management as appropriate. 4. Documented commitments by Identified commitments on 1
responsible for performing and
Review external commitments with those responsible for providing interfaces between elements
supporting plan execution. senior management as appropriate. resources. in the project, with other
5. Identify commitments on projects, and organizational
interfaces between elements in the units.
project, and with other projects and
organizational units, so they can be
monitored.

GG 2 The process is institutionalized as a managed process. 20.0%

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Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Repository of policies (e.g.,


intranet web access) making
them visible and accessible to
the organization. · Mapping of
This policy establishes policies to CMMI process
Establish and maintain an organizational expectations for areas. · Organizational
· Organizational policy. ·
estimating the planning process architecture, e.g.,
organizational policy for planning Version, date, or revision
GP2.1 CO 1 parameters, making internal and
history indicating maintenance
linkage of policies, processes, 0
and performing the project external commitments, and procedures. · Signature of
of the policies over time.
planning process. developing the plan for managing policies by authorized senior
the project. manager. · Configuration
control and status data for
organizational policies. · Audit
results for implementation of
the policies.

This plan for performing the project


· Documented process
planning process differs from the
descriptions, including
project plan described in specific
standards and procedures; this
practices in this process area. The
may be included as part of the
plan called for in this generic
plan or by reference. ·
practice would address the · Documented requirements
Schedules and resources
comprehensive planning for all of and objectives for the process
(funding, people, tools)
Establish and maintain the plan the specific practices in this (e.g., quality, cost, schedule). ·
established for performing the
process area, from estimating the Documented plan for
GP2.2 AB 1 for performing the project scope of the project all the way to performing the process. ·
process. · Measures tracking 1
planning process. and controlling progress of the
obtaining commitment for the Revisions to the requirements,
plan. · Evidence of review and
project plan. In other words, this objectives, and plans, as
agreement to the plan by
generic practice calls for one to necessary.
relevant stakeholders (e.g.,
“plan the plan.” In contrast, the
signature, approval, meeting
project plan called for in the
minutes). Evidence that the
specific practices would address
plan for the process is
planning for the project effort itself
implemented and followed.
in a comprehensive manner.

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Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

There are no direct work


Special expertise, equipment, and · [Tools: spreadsheet
product PII types mapped to
facilities in project planning may be programs; estimating models;
GP2.3, but assessment teams
required. Special expertise in project planning and
should anticipate ·
project planning may include the scheduling packages] · [Staff:
Provide adequate resources for following: Experienced estimators;
Documented process
experienced estimators;
performing the project planning descriptions and plans
Schedulers; Technical experts in schedulers; technical experts
(strategic or tactical) for
GP2.3 AB 2 process, developing the work applicable areas (e.g., product
performing the process, which
in application domain and 1
products, and providing the domain and technology). Examples technologies] · Tools: historical
include a characterization of
of other resources provided include project performance database;
services of the process. the following tools: Spreadsheet
resources needed. · Evidence
data analysis and graphing
that adequate resources
programs; Estimating models; tools; risk database; office
(funding, facilities, skilled
Project planning and scheduling automation tools; desktop
people, tools, etc.) are actually
packages. publishing tools.
provided as needed.

· Documentation assigning
responsibility for process
activities, work products, or
Assign responsibility and services; e.g., job descriptions,
or plans for performing the
authority for performing the process. · Task descriptions
process, developing the work There are no direct work and activities for defined roles.
GP2.4 AB 3 No elaboration provided by the SEI.
products for GP2.4. · Acceptance of responsibility 0
products, and providing the
by those assigned; this might
services of the project planning be documented in many ways
process. (e.g., signature, commitment,
agreement, appearance on an
org chart, web page contacts,
etc.).

· Qualifications and criteria


defined for process tasks and
Examples of training topics include assignments. · Training waiver
· Training courses, materials,
Train the people performing or the following: Estimating; criteria and approvals. · Skills
and methods. · Training
Budgeting; Negotiating; Risk matrix or database.· Training
GP2.5 AB 4 supporting the project planning identification and analysis; Data
records (e.g., attendance,
plans, and delivery of training 0
process as needed. course descriptions, evaluation
management; Planning; according to the plan. ·
forms).
Scheduling. Training effectiveness data
(e.g., surveys, exams,
feedback forms).

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Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Configuration management
life cycle for identified work
products, i.e., the point at
which products are placed
under various levels of control,
change control authority, etc. ·
Place designated work products Baselines established for
Work products identified for
control of work product
of the project planning process configuration management,
GP2.6 DI 1 Examples of work products placed under configuration managementdevelopment
and the level of configuration
include the following:
or release.
Work 0 involvement plan.
· breakdown structure; Project plan; Data management plan; Stakeholder
under appropriate levels of Configuration management
management to be applied.
configuration management. processes, populated
repository, and tools. · Change
control documentation for
revisions to designated work
products; e.g., approved
change requests, CCB
minutes and reports.

· Evidence of stakeholder
involvement as described in
the plan (e.g., signatures,
approvals, agreements,
attendance lists, memos,
Identify and involve the relevant List of stakeholders and
minutes, reports, working
corresponding level of
GP2.7 DI 2 stakeholders of the project Examples of activities for stakeholder involvement include the following:
involvement in activities
groups).
Establishing estimates; Reviewing and resolving issues on the completeness and correctness0of the project risks; R
· Communications
planning process as planned. documented with
associated with the process.
stakeholders. · Documented
interfaces and dependencies
with identified stakeholders. ·
Action items to resolve
stakeholder issues.

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Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Measures of actual
performance against plan. ·
Progress tracking reports, e.g.
status reports, financials,
graphs, analyses. · Evidence
Monitor and control the project Examples of measures used in
of reviews held with immediate
planning process against the level of management (e.g.
monitoring and controlling include
(No direct generic work briefings, reports,
GP2.8 DI 3 plan for performing the process the following: Number of revisions
products). presentations, milestones). · 0
and take appropriate corrective to the plan; Cost, schedule, and
Issues and corrective actions
effort variance per plan revision.
action. for deviations from plan (e.g.,
action items, variance reports,
change requests). · Revisions
to plans and commitments
(e.g., replanned schedule,
costs, resources).

· Identification of processes,
work products, and services to
be objectively evaluated. ·
Records of evaluations or
audits being performed as
Objectively evaluate adherence · Noncompliance issues planned (e.g., reports,
of the project planning process resulting from objective checklists). · Criteria against
evaluation of adherence to which processes and work
GP2.9 VE 1 against its process description, Examples of activities reviewed include the following: Establishing estimates; Developing a project plan; Obtaining commitments to the project plan. Examples of work 0products reviewed in
processes, objectives, and products are evaluated. ·
standards, and procedures, and standards. · Results of process Assignment of responsibility
address noncompliance. and product evaluations. for performing objective
evaluations. · Revised plans,
work products, or standards
reflecting corrective action
resulting from objective
evaluations.

· Status reports and briefings


Review the activities, status, and Materials and results from provided to higher-level
results of the project planning reviews held with senior management. · Action items
GP2.10 VE 2 process with higher level No elaboration provided by the SEI. management, on both a and corrective action resulting 0
management and resolve periodic and event-driven from management reviews. ·
basis. Metrics and analyses
issues. summarizing project status.

GG 3 The process is institutionalized as a defined process. 50.0%


Establish and maintain the
(No direct generic work (No indirect generic work
GP3.1 description of a defined project No elaboration provided by the SEI.
products suggested). products suggested). 1
planning process.

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Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Collect work products,


measures, measurement results,
and improvement information
derived from planning and
(No direct generic work (No indirect generic work
GP3.2 performing the project planning No elaboration provided by the SEI. products suggested). products suggested). 0
process to support the future use
and improvement of the
organization’s processes and
process assets.

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Project Monitoring and


Control (PMC)
Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)
SG 1 Actual performance and progress of the project are monitored against the project plan. 0.0%

Records of project · Earned value management


1. Monitor progress against the
performance; Records of metrics · Variance reports ·
schedule. 2. Monitor the project's
significant deviations against Status reports · Relevant
cost and expended effort. 3.
plan; Performance actual project management/milestone
Monitor the actual values of the Monitor the attributes of the work
values vs. plan (e.g., schedule, progress review materials ·
products and tasks.4. Monitor
SP1.1 project planning parameters resources provided and used. 5.
cost, effort, work product Identified major milestones · 0
against the project plan. attributes, resources, Project or organizational
Monitor the knowledge and skills of
knowledge and skills) · repository for performance
project personnel. 6. Document the
Comparisons of actual Project measurements · Indications
significant deviations in the project
Project performance results to knowledge and skills of project
planning parameters.
estimates (for replanning). personnel are monitored.

Records of commitment
reviews: Status reports or
tracking minutes · PPQA audit
reports of performance against
1. Regularly review commitments cost, schedule, and technical
· Project plans, and
(both external and internal); 2. commitments documented in
Monitor commitments against commitments tracking system ·
Identify commitments that have not approved plans · Reports
Reviews of documented
SP1.2 those identified in the project been satisfied or which are at against cost account and
commitments and revisions as 0
plan. significant risk of not being earned value plans · Project
necessary (e.g.,
satisfied; 3. Document the results review records, project
presentations).
of the commitment reviews. meeting minutes, and project
presentations packages
showing planned activities are
performed per commitments
made).

1. Periodically review the


documentation of the risks in the Records of Project risk
context of the project’s current Monitoring: Periodic review
Defined criteria (e.g.,
status and circumstances; 2. and revision of risk status
Monitor risks against those procedure) used to monitor
SP1.3 Revise the documentation of the (e.g., probability, priority,
risks against those identified in 0
identified in the project plan. risks, as additional information severity) · Communications of
the Project plan.
becomes available, to incorporate risk status to relevant
changes; 3. Communicate risk stakeholders.
status to relevant stakeholders.

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Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Records of data management:


1. Periodically review data
Data management reports
management activities against their
Monitor the management of (e.g., inventory, delivery
description in the project plan; 2.
schedules and status) · Master list of managed data;
SP1.4 project data against the project Identify and document significant
Reviews/inventories/master Data management plan. 0
plan. issues and their impacts; 3.
lists or audits of project data
Document the results of data
repository status · Results of
management activity reviews.
data management reviews.

· Stakeholder meeting and


communications schedules ·
Records of stakeholder
1. Periodically review the status of Distribution lists for
involvement: Project team
stakeholder involvement; 2. Identify communication of issues ·
stakeholder reviews
Monitor stakeholder involvement and document significant issues Stakeholder correspondence
SP1.5 and their impacts; 3. Document the
(presentation materials,
with issues indicated · 0
against the project plan. minutes, action items and
results of the stakeholder Mechanisms/tools for
action item status) ·
involvement status reviews. monitoring and resolving
Stakeholder issues and status.
stakeholder issues (e.g., files
and spreadsheets)

· Collection and analyses of


project performance measures
(schedules, effort, deviations
1. Regularly communicate status
from plan) · Records of
on assigned activities and work
communications of project
products to relevant stakeholders;
status to relevant stakeholders
2. Review the results of collecting
· Records of issues, change
and analyzing measures for Documented Project review
requests, problem reports for
Periodically review the project's controlling the project; 3. Identify results: Project review
work products and processes ·
and document significant issues packages · Project review
SP1.6 progress, performance, and and deviations from the plan; 4. minutes and action items ·
Defined criteria (e.g., 0
issues. procedure) used for
Document change requests and Reviews of project monitoring
periodically reviewing the
problems identified in any of the measurements and analysis.
Project’s progress,
work products and processes; 5.
performance, and issues
Document the results of the
(including work products,
reviews; 6. Track change requests
processes,
and problem reports to closure.
schedules/intervals, and
checklists/standards for
conducting reviews).

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Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Conduct reviews at meaningful


· Milestone progress
points in the project's schedule,
performance indicators ·
such as the completion of selected
Documented milestone review Defined criteria (e.g.,
stages, with relevant stakeholders;
Review the accomplishments results: Milestone review procedure) used to review the
2. Review the commitments, plan,
packages · Milestone review accomplishments and results
SP1.7 and results of the project at status, and risks of the project; 3.
minutes and action items · of the Project at selected 0
selected project milestones. Identify and document significant
Documented issues from the Project milestones (including
issues and their impacts; 4.
reviews. definitions of milestones) ·
Document the results of the review,
Standards/formats/checklists
action items, and decisions; 5.
supporting milestone reviews.
Track action items to closure.

SG 2 Corrective actions are managed to closure when the project's performance or results deviate significantly from the plan. 0.0%

Examples of issues to be
gathered include: Issues
discovered through performing
verification and validation
activities; Significant deviations
List of issues needing in the project planning
Collect and analyze the issues corrective actions: List of parameters from the estimates
1. Gather issues for analysis; 2.
and determine the corrective issues needing corrective in the project plan;
SP2.1 Analyze issues to determine need
actions · Documented analysis Commitments (either internal 0
actions necessary to address the for corrective action.
of issues needing corrective or external) that have not been
issues. action. satisfied; Significant changes
in risk status; Data access,
collection, privacy, or security
issues; Stakeholder
representation or involvement
issues.

1. Determine and document the Corrective action plan:


appropriate actions needed to Revision to project plans and
Defined criteria (e.g.,
address the identified issues; 2. work products (SOW,
procedure) used to develop
Take corrective action on Review and get agreement with estimates, requirements,
SP2.2 relevant stakeholders on the estimates, commitments,
the corrective action plan and 0
identified issues. take corrective action on
actions to be taken; 2. Negotiate resources, processes, risks)
identified issues.
changes to internal and external incorporating the corrective
commitments. actions.

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Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Corrective action results:


1. Monitor corrective actions for
Evidence that resources have
completion; 2. Analyze results of
been applied and schedules · Review and meeting minutes
corrective actions to determine the
have been followed to take the associated with corrective
Manage corrective actions to effectiveness of the corrective
SP2.3 actions; 3. Determine and
planned corrective actions on actions · Corrective action 0
closure. identified issues · Corrective effectiveness analysis · Closed
document appropriate actions to
action status, tracking reports, corrective action requests.
correct deviations from planned
or metrics (e.g. quantity open /
results for corrective actions.
closed, trending).

GG 2 The process is institutionalized as a managed process. 10%

· Repository of policies (e.g.,


intranet web access) making
them visible and accessible to
the organization. · Mapping of
This policy establishes policies to CMMI process
Establish and maintain an organizational expectations for areas. · Organizational
· Organizational policy. ·
monitoring performance against the process architecture, e.g.,
organizational policy for planning Version, date, or revision
GP2.1 CO 1 project plan and managing
history indicating maintenance
linkage of policies, processes, 0
and performing the project corrective action to closure when procedures. · Signature of
of the policies over time.
monitoring and control process. actual performance or results policies by authorized senior
deviate significantly from the plan. manager. · Configuration
control and status data for
organizational policies. · Audit
results for implementation of
the policies.

· Documented process
descriptions, including
standards and procedures; this
may be included as part of the
plan or by reference. ·
· Documented requirements
Schedules and resources
and objectives for the process
This plan for performing the project (funding, people, tools)
EEstablish and maintain the plan (e.g., quality, cost, schedule). ·
monitoring and control process is established for performing the
Documented plan for
GP2.2 AB 1 for performing the project typically a part of the project plan,
performing the process. ·
process. · Measures tracking 0
monitoring and control process. as described in the Project and controlling progress of the
Revisions to the requirements,
Planning process area. plan. · Evidence of review and
objectives, and plans, as
agreement to the plan by
necessary.
relevant stakeholders (e.g.,
signature, approval, meeting
minutes). Evidence that the
plan for the process is
implemented and followed.

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Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· [Tools: cost tracking systems;


There are no direct work
effort reporting systems; action
product PII types mapped to
item tracking systems; project
GP2.3, but assessment teams
management and scheduling
should anticipate ·
programs] · Tools: problem
Provide adequate resources for Examples of resources provided Documented process tracking packages;
performing the project monitoring include the following tools: Cost descriptions and plans
measurement collection,
tracking systems; Effort reporting (strategic or tactical) for
GP2.3 AB 2 and control process, developing systems; Action-item-tracking performing the process, which
analysis, and reporting tools; 1
the work products, and providing systems; Project management and include a characterization of risk database; office
automation tools · Tools:
the services of the process. scheduling programs. resources needed. · Evidence
project planning and
that adequate resources
scheduling tools; estimating
(funding, facilities, skilled
models; spreadsheet
people, tools, etc.) are actually
programs; historical project
provided as needed.
performance database.

· Documentation assigning
responsibility for process
activities, work products, or
Assign responsibility and services; e.g., job descriptions,
or plans for performing the
authority for performing the process. · Task descriptions
process, developing the work There are no direct work and activities for defined roles.
GP2.4 AB 3 No elaboration provided by the SEI.
products for GP2.4. · Acceptance of responsibility 0
products, and providing the
by those assigned; this might
services of the project monitoring be documented in many ways
and control process. (e.g., signature, commitment,
agreement, appearance on an
org chart, web page contacts,
etc.).

· Qualifications and criteria


defined for process tasks and
assignments. · Training waiver
· Training courses, materials,
Train the people performing or Examples of training topics include criteria and approvals. · Skills
and methods. · Training
the following: Monitoring and matrix or database.· Training
GP2.5 AB 4 supporting the project monitoring control of projects; Risk
records (e.g., attendance,
plans, and delivery of training 0
and control process as needed. course descriptions, evaluation
management; Data management. according to the plan. ·
forms).
Training effectiveness data
(e.g., surveys, exams,
feedback forms).

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Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Configuration management
life cycle for identified work
products, i.e., the point at
which products are placed
under various levels of control,
change control authority, etc. ·
Place designated work products Baselines established for
of the project monitoring and Work products identified for
control of work product
configuration management,
GP2.6 DI 1 control process under No elaboration provided by the SEI.
and the level of configuration
development or release. · 0
appropriate levels of Configuration management
management to be applied.
processes, populated
configuration management. repository, and tools. · Change
control documentation for
revisions to designated work
products; e.g., approved
change requests, CCB
minutes and reports.

· Evidence of stakeholder
involvement as described in
Examples of activities for
the plan (e.g., signatures,
stakeholder involvement include
approvals, agreements,
the following: Assessing the project
Identify and involve the relevant attendance lists, memos,
against the plan; Reviewing List of stakeholders and
minutes, reports, working
stakeholders of the project commitments and resolving issues; corresponding level of
GP2.7 DI 2 Reviewing project risks; Reviewing involvement in activities
groups). · Communications 0
monitoring and control process documented with
data management activities; associated with the process.
as planned. Reviewing project progress;
stakeholders. · Documented
interfaces and dependencies
Managing corrective actions to
with identified stakeholders. ·
closure.
Action items to resolve
stakeholder issues.

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Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Measures of actual
performance against plan. ·
Progress tracking reports, e.g.
Examples of measures used in status reports, financials,
monitoring and controlling include graphs, analyses. · Evidence
Monitor and control the project the following: Number of open and of reviews held with immediate
monitoring and control process closed corrective actions; Project level of management (e.g.
milestone dates (e.g., planned (No direct generic work briefings, reports,
GP2.8 DI 3 against the plan for performing versus actual and slipped products). presentations, milestones). · 0
the process and take appropriate milestones); Number and types of Issues and corrective actions
corrective action. reviews performed; Review for deviations from plan (e.g.,
schedule (planned versus actual action items, variance reports,
and slipped target dates). change requests). · Revisions
to plans and commitments
(e.g., replanned schedule,
costs, resources).

· Identification of processes,
work products, and services to
be objectively evaluated. ·
Records of evaluations or
Objectively evaluate adherence Examples of activities and work audits being performed as
products reviewed include the · Noncompliance issues planned (e.g., reports,
of the project monitoring and following: Monitoring project resulting from objective checklists). · Criteria against
control process against its performance against the project evaluation of adherence to which processes and work
GP2.9 VE 1 plan; Managing corrective actions processes, objectives, and products are evaluated. · 0
process description, standards,
to closure; Records of project standards. · Results of process Assignment of responsibility
and procedures, and address performance; Project review and product evaluations. for performing objective
noncompliance. results. evaluations. · Revised plans,
work products, or standards
reflecting corrective action
resulting from objective
evaluations.

· Status reports and briefings


Review the activities, status, and Materials and results from provided to higher-level
results of the project monitoring reviews held with senior management. · Action items
GP2.10 VE 2 and control process with higher No elaboration provided by the SEI. management, on both a and corrective action resulting 0
level management and resolve periodic and event-driven from management reviews. ·
basis. Metrics and analyses
issues. summarizing project status.

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Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)
GG 3 The process is institutionalized as a defined process. 50.0%

Establish and maintain the


(No direct generic work (No indirect generic work
GP3.1 description of a defined project No elaboration provided by the SEI. products suggested). products suggested). 1
monitoring and control process.

Collect work products,


measures, measurement results,
and improvement information
derived from planning and
(No direct generic work (No indirect generic work
GP3.2 performing the project monitoring No elaboration provided by the SEI. products suggested). products suggested). 0
and control process to support
the future use and improvement
of the organization’s processes
and process assets.

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Supplier Agreement
Management (SAM)
Information Content in Points
Goals and Common SEI PII Indirect Process Description at Organization's
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts the Organizational Project Artifacts Earned
Features Artifacts Organizational level Suggested Artifacts
Process referred (0 or 1)
SG 1 Agreements with the suppliers are established and maintained. 66.7%

· Make/buy analysis or trade


There are many different types of study with product acquisition
acquisition that can be used to options · Management
acquire products and product authorization to proceed with
Determine the type of acquisition List of the acquisition types
components that will be used by acquisition of a product or
that will be used for all
SP1.1 for each product or product the project. Examples of types of
products and product
service · System 0
component to be acquired. acquisition include COTS, architecture/design
components to be acquired.
contractual agreement, in-house documentation identifying
vendors, product from customer, or products or components to be
combinations. acquired (e.g., non-
developmental items).

List of candidate suppliers;


Preferred supplier list;
Advantages and
1. Establish and document criteria
disadvantages of candidate
for evaluating potential suppliers. 2.
suppliers; Solicitation materials
Identify potential suppliers and
and requirements:
Select suppliers based on an distribute solicitation material and
Requirements allocation to the
evaluation of their ability to meet requirements to them. 3. Evaluate Rationale for selection of
product to be acquired ·
SP1.2 proposals according to evaluation suppliers; Evaluation criteria;
Procurement documentation 1
the specified requirements and criteria. 4. Evaluate risks Supplier evaluation results.
(e.g., tech spec, SOW,
established criteria. associated with each proposed
interfaces, solicitation,
supplier. 5. Evaluate proposed
proposals, etc.) · Supplier
suppliers' ability to perform the
surveys · Analysis of
work. 6. Select the supplier.
acquisition risks and best
value supplier · Source
selection decision.

· Negotiated contractual terms,


conditions, and constraints
(e.g., deliverables,
requirements, schedule,
budget, standards, facilities,
1. Revise the requirements to be acceptance criteria) · Defined
fulfilled by the supplier to reflect parameters, criteria, and
negotiations with the supplier when objectives for evaluating
necessary. 2. Document what the supplier performance ·
project will provide to the supplier. Documented formal supplier Acquirer plans to monitor
3. Document the supplier agreement, with approved supplier progress and product
agreement. 4. Ensure all parties to revisions as necessary; quality (e.g., quality plans,
Establish and maintain formal
SP1.3 the agreement understand and Statements of Work; IV&V plans) · Integration of 1
agreements with the supplier. agree to all requirements before Contracts; Memoranda of supplier products and
implementing the agreement. 5. agreement; Licensing schedules into acquirer plans
Revise the supplier agreement as agreement. (e.g., milestones, interfaces,
necessary. 6. Revise the project’s dependencies, environment,
plans and commitments as testing, etc.) · Acquirer impact
necessary to reflect the supplier assessment and revision to
agreement. project plans, as necessary ·
Supplier Work Breakdown
Structure · Issues or action
items relating to definition or
revision of the supplier
agreement.

SG 2 Agreements with the suppliers are satisfied by both the project and the supplier. 50.0%

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Project Name Here 10/12/2010

Information Content in Points


Goals and Common SEI PII Indirect Process Description at Organization's
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts the Organizational Project Artifacts Earned
Features Artifacts Organizational level Suggested Artifacts
Process referred (0 or 1)

1. Develop criteria for evaluating


COTS products. 2. Evaluate
Trade studies; Price lists;
candidate COTS products against
Evaluation criteria; Supplier
the associated requirements and
performance reports:
criteria. 3. Evaluate the impact of
Review candidate COTS candidate COTS products on the
Negotiated licenses or
products to ensure they satisfy Reviews of COTS products; agreements for purchase of
project's plans and commitments.
Identification of selected COTS COTS products ·
SP2.1 the specified requirements that 4. Assess the suppliers'
products with rationale for Requirements allocation to 0
are covered under a supplier performance and ability to deliver.
selection. COTS products or components
5. Identify risks associated with the
agreement. selected COTS product and the
· Checklists, criteria, risk
assessments, or trade studies
supplier agreement. 6. Select the
for evaluation and selection of
COTS product to be acquired. 7.
COTS products.
Plan for the maintenance of the
COTS product.

1. Monitor supplier progress and


performance (schedule, effort, cost,
and technical performance) as
defined in the supplier agreement.
2. Monitor selected supplier
processes and take corrective
action when necessary. 3. Conduct
No single work product here;
reviews with the supplier as
all products specified in the
specified in the supplier agreement. Action items tracked to closure
supplier agreement must be
4. Conduct technical reviews with · Audits, corrective action
considered in assessing this
Perform activities with the the supplier as defined in the requests, and plans to improve
practice. Supplier progress
supplier agreement. 5. Conduct supplier performance ·
SP2.2 supplier as specified in the management reviews with the
reports and performance
Supporting evidence of 1
supplier agreement. measures; Supplier review
supplier as defined in the supplier supplier technical and
materials and reports;
agreement. 6. Use the results of management reviews (agenda,
Documentation of work
reviews to improve the supplier's minutes, etc.).
product and document
performance and to establish and
deliveries.
nurture long-term relationships with
preferred suppliers. 7. Monitor risks
involving the supplier and take
corrective action as necessary. 8.
Revise the supplier agreement and
project plans and schedules as
necessary.

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Project Name Here 10/12/2010

Information Content in Points


Goals and Common SEI PII Indirect Process Description at Organization's
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts the Organizational Project Artifacts Earned
Features Artifacts Organizational level Suggested Artifacts
Process referred (0 or 1)

1. Define the acceptance


procedures. 2. Review and obtain
agreement with relevant Acceptance test procedures;
stakeholders on the acceptance Discrepancy reports or
procedures before the acceptance corrective action plans ·
review or test. 3. Verify that the Configuration audit results ·
acquired products satisfy their Traceability reports indicating
requirements. 4. Confirm that the coverage of requirements for
Ensure that the supplier nontechnical commitments the acquired product by
SP2.3 agreement is satisfied before associated with the acquired work Acceptance test results. acceptance test procedures. · 1
accepting the acquired product. product are satisfied. 5. Document Verification of functional
the results of the acceptance performance, configuration,
review or test. 6. Establish and and adherence to defined
obtain supplier agreement on an requirements and
action plan for any acquired work commitments · Closure or
products that do not pass their termination of supplier
acceptance review or test. 7. agreement.
Identify, document, and track action
items to closure.

Training reports; Support and


maintenancereports · CM
reports indicating control,
Transition plans · Records auditing, and maintenance of
Transition the acquired products
SP2.4 1. Ensure that there are appropriate facilities
reflectingtoimplementation
receive, store, use,
of and
acquired
maintain
products
the acquired
· Records 0 3. Ensure that storing
products. 3. Ensure that appropriate training is provided for those involved in receiving, storing, using, and maintaining the acquired products.
from the supplier to the project. transition plans. indicating integration of the
acquired product into the
project · Vendor maintenance
agreements.

GG 2 The process is institutionalized as a managed process. 30.0%

· Repository of policies (e.g.,


intranet web access) making
them visible and accessible to
the organization. · Mapping of
policies to CMMI process
Establish and maintain an areas. · Organizational
organizational policy for planning This policy establishes · Organizational policy. ·
process architecture, e.g.,
organizational expectations for Version, date, or revision
GP2.1 CO 1 and performing the supplier establishing, maintaining, and history indicating maintenance
linkage of policies, processes, 0
agreement management procedures. · Signature of
satisfying supplier agreements. of the policies over time.
policies by authorized senior
process. manager. · Configuration
control and status data for
organizational policies. · Audit
results for implementation of
the policies.

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Project Name Here 10/12/2010

Information Content in Points


Goals and Common SEI PII Indirect Process Description at Organization's
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts the Organizational Project Artifacts Earned
Features Artifacts Organizational level Suggested Artifacts
Process referred (0 or 1)

· Documented process
descriptions, including
standards and procedures; this
may be included as part of the
plan or by reference. ·
· Documented requirements
Schedules and resources
and objectives for the process
Establish and maintain the plan (funding, people, tools)
(e.g., quality, cost, schedule). ·
established for performing the
for performing the supplier Documented plan for
GP2.2 AB 1 Typically, portions of this plan for performing the supplier agreement process.
performing the process. ·
management· Measures
processtracking 0 project with an indepen
are a part of the project plan as described in the Project Planning process area. Often, however, some portions of the plan reside outside of the
agreement management and controlling progress of the
Revisions to the requirements,
process. objectives, and plans, as
plan. · Evidence of review and
agreement to the plan by
necessary.
relevant stakeholders (e.g.,
signature, approval, meeting
minutes). Evidence that the
plan for the process is
implemented and followed.

There are no direct work Tools: preferred supplier lists;


product PII types mapped to requirements tracking
GP2.3, but assessment teams programs; project
Provide adequate resources for should anticipate · management and scheduling
Documented process programs · Facilities: secure
performing the supplier descriptions and plans repositories for limited access
agreement management (strategic or tactical) for to source selection data ·
GP2.3 AB 2 Examples of resources provided include the following tools: Preferred supplier lists; Requirements tracking programs; Project management and scheduling programs.
performing the process, which Tools: research and reference 1
process, developing the work
include a characterization of libraries of vendors and COTS
products, and providing the resources needed. · Evidence products; supplier database;
services of the process. that adequate resources COTS product licenses; action
(funding, facilities, skilled item database · Staff: domain
people, tools, etc.) are actually experts in applications and
provided as needed. technologies being acquired.

· Documentation assigning
responsibility for process
activities, work products, or
Assign responsibility and services; e.g., job descriptions,
authority for performing the or plans for performing the
process, developing the work process. · Task descriptions
There are no direct work and activities for defined roles.
GP2.4 AB 3 products, and providing the No elaboration provided by the SEI.
products for GP2.4. · Acceptance of responsibility 1
services of the supplier by those assigned; this might
agreement management be documented in many ways
process. (e.g., signature, commitment,
agreement, appearance on an
org chart, web page contacts,
etc.).

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Project Name Here 10/12/2010

Information Content in Points


Goals and Common SEI PII Indirect Process Description at Organization's
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts the Organizational Project Artifacts Earned
Features Artifacts Organizational level Suggested Artifacts
Process referred (0 or 1)

Examples of training topics include


the following: Regulations and
· Qualifications and criteria
business practices related to
defined for process tasks and
negotiating and working with
assignments. · Training waiver
Train the people performing or suppliers; Acquisition planning and · Training courses, materials,
criteria and approvals. · Skills
preparation; COTS products and methods. · Training
supporting the supplier matrix or database.· Training
GP2.5 AB 4 acquisition; Supplier evaluation and records (e.g., attendance,
plans, and delivery of training 0
agreement management selection; Negotiation and conflict course descriptions, evaluation
according to the plan. ·
process as needed. resolution; Supplier management; forms).
Training effectiveness data
Testing and transitioning of
(e.g., surveys, exams,
acquired products; Receiving,
feedback forms).
storing, using, and maintaining
acquired products.

· Configuration management
life cycle for identified work
products, i.e., the point at
which products are placed
under various levels of control,
Examples of work products placed change control authority, etc. ·
Place designated work products under configuration management Baselines established for
of the supplier agreement Work products identified for
include the following: Statements of control of work product
configuration management,
GP2.6 DI 1 management process under work; Supplier agreements;
and the level of configuration
development or release. · 0
appropriate levels of Memoranda of agreement; Configuration management
management to be applied.
Subcontracts; Preferred supplier processes, populated
configuration management. lists. repository, and tools. · Change
control documentation for
revisions to designated work
products; e.g., approved
change requests, CCB
minutes and reports.

· Evidence of stakeholder
involvement as described in
the plan (e.g., signatures,
Examples of activities for
approvals, agreements,
stakeholder involvement include
Identify and involve the relevant attendance lists, memos,
the following: Establishing criteria List of stakeholders and
stakeholders of the supplier minutes, reports, working
for evaluation of potential suppliers; corresponding level of
GP2.7 DI 2 Reviewing potential suppliers; involvement in activities
groups). · Communications 1
agreement management documented with
Establishing supplier agreements; associated with the process.
process as planned. Resolving issues with suppliers;
stakeholders. · Documented
interfaces and dependencies
Reviewing supplier performance.
with identified stakeholders. ·
Action items to resolve
stakeholder issues.

· Measures of actual
performance against plan. ·
Progress tracking reports, e.g.
status reports, financials,
graphs, analyses. · Evidence
Monitor and control the supplier Examples of measures used in of reviews held with immediate
agreement management monitoring and controlling include level of management (e.g.
the following: Number of changes (No direct generic work briefings, reports,
GP2.8 DI 3 process against the plan for made to the requirements for the products). presentations, milestones). · 0
performing the process and take supplier; Cost and schedule Issues and corrective actions
appropriate corrective action. variance per supplier agreement. for deviations from plan (e.g.,
action items, variance reports,
change requests). · Revisions
to plans and commitments
(e.g., replanned schedule,
costs, resources).

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Project Name Here 10/12/2010

Information Content in Points


Goals and Common SEI PII Indirect Process Description at Organization's
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts the Organizational Project Artifacts Earned
Features Artifacts Organizational level Suggested Artifacts
Process referred (0 or 1)

· Identification of processes,
work products, and services to
be objectively evaluated. ·
Records of evaluations or
Examples of activities reviewed
Objectively evaluate adherence audits being performed as
include the following: Establishing
· Noncompliance issues planned (e.g., reports,
of the supplier agreement and maintaining supplier
resulting from objective checklists). · Criteria against
agreements; Satisfying supplier
management process against its evaluation of adherence to which processes and work
GP2.9 VE 1 agreements. Examples of work
processes, objectives, and products are evaluated. · 0
process description, standards, products reviewed include the
standards. · Results of process Assignment of responsibility
and procedures, and address following: Plan for Supplier
and product evaluations. for performing objective
noncompliance. Agreement Management; Supplier
evaluations. · Revised plans,
agreements.
work products, or standards
reflecting corrective action
resulting from objective
evaluations.

· Status reports and briefings


Review the activities, status, and Materials and results from provided to higher-level
results of the supplier agreement reviews held with senior management. · Action items
GP2.10 VE 2 management process with No elaboration provided by the SEI. management, on both a and corrective action resulting 0
higher level management and periodic and event-driven from management reviews. ·
basis. Metrics and analyses
resolve issues. summarizing project status.

GG 3 The process is institutionalized as a defined process. 50.0%


Establish and maintain the
description of a defined supplier No elaboration provided by the SEI. (No direct generic work (No indirect generic work
GP3.1 products suggested). products suggested). 1
agreement management
process.

Collect work products,


measures, measurement results,
and improvement information
derived from planning and
performing the supplier (No direct generic work (No indirect generic work
GP3.2 No elaboration provided by the SEI.
products suggested). products suggested). 0
agreement management
process to support the future use
and improvement of the
organization’s processes and
process assets.

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Measurement and Analysis


(M&A)
Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)
SG 1 Measurement objectives and activities are aligned with identified information needs and objectives. 0.0%

· Alignment between business


goals, measurement
1. Document information needs
objectives/goals, information
and objectives. 2. Prioritize
needs/objectives (questions) ·
information needs and objectives.
Identified information needs
Establish and maintain 3. Document, review, and update
and objectives · Documented
measurement objectives that are measurement objectives. 4.
Documented measurement sources of information needs
Provide feedback for refining and
SP1.1 derived from identified clarifying information needs and
objectives; Revisions to (see model, e.g., strategic 0
information needs and measurement objectives. plans, process improvement
objectives as necessary. 5.
plans, management
objectives. Maintain traceability of the
interviews) · Reviews of
measurement objectives to the
measurement objectives with
identified information needs and
affected stakeholders (e.g.,
objectives.
management, providers,
users).

· Linkage between measures


and project/organization
measurement objectives and
1. Identify candidate measures information needs ·
based on documented Algorithms, templates,
measurement objectives. 2. Identify checklists, procedures, ways
existing measures that already of consistently collecting and
Specify measures to address the Documented specifications of
SP1.2 address the measurement
base and derived measures.
recording measures for the 0
measurement objectives. objectives. 3. Specify operational product, project and process
definitions for the measures. 4. attributes identified · Evidence
Prioritize, review, and update of review of proposed
measures. specifications with
stakeholders and other end
users · List of prioritized
measures.

1. Identify existing sources of data


that are generated from current
work products, processes, or
transactions. 2. Identify measures
Data collection tools: Data
for which data are needed, but are
Documented data collection collection mechanisms and
not currently available. 3. Specify
and storage procedures: supporting tools (automatic or
how to collect and store the data for
Explicit data collection manual) · Raw data collected,
each required measure. 4. Create
Specify how measurement data descriptions, including who time tagged, and stored ·
SP1.3 data collection mechanisms and
(responsibilities), how Analysis reports and trending 0
will be obtained and stored. process guidance. 5. Support
(procedures and tools), when indicating completeness of
automatic collection of the data
(frequency), where collected data · Measurement
where appropriate and feasible. 6.
(repository). repository · Reports of invalid
Prioritize, review, and update data
or discarded data.
collection and storage procedures.
Measurement and Analysis Worksheet 7. Update measures and CMMI-SE/SW v1.1 Level 2 Page 33 of 162
measurement objectives as
necessary.
Project Name Here 10/12/2010

Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Identify existing sources of data


that are generated from current
work products, processes, or
transactions. 2. Identify measures
Data collection tools: Data
for which data are needed, but are
Documented data collection collection mechanisms and
not currently available. 3. Specify
and storage procedures: supporting tools (automatic or
how to collect and store the data for
Explicit data collection manual) · Raw data collected,
Specify how measurement data each required measure. 4. Create
descriptions, including who time tagged, and stored ·
SP1.3 data collection mechanisms and
(responsibilities), how Analysis reports and trending 0
will be obtained and stored. process guidance. 5. Support
(procedures and tools), when indicating completeness of
automatic collection of the data
(frequency), where collected data · Measurement
where appropriate and feasible. 6.
(repository). repository · Reports of invalid
Prioritize, review, and update data
or discarded data.
collection and storage procedures.
7. Update measures and
measurement objectives as
necessary.

1. Specify and prioritize the


analyses that will be conducted and Data analysis tools: Results of
the reports that will be prepared. 2. data analyses (e.g., graphs,
Select appropriate data analysis reports) · Alignment of data
methods and tools. 3. Specify Documented analysis analyses with measurement
administrative procedures for specification and procedures: objectives (e.g., traceability to
analyzing the data and Explicit analysis descriptions, information needs and
communicating the results. 4. including who decision making) · Evidence of
Specify how measurement data
SP1.4 Review and update the proposed (responsibilities), how evaluations or meetings held 0
will be analyzed and reported. content and format of the specified (procedures and tools), when to review measurement
analyses and reports. 5. Update (frequency), where analyses (minutes, action
measures and measurement (repository), and how the items, etc.) · Criteria for
objectives as necessary. 6. Specify results will be used. evaluating the utility of
criteria for evaluating the utility of measurement and analysis
the analysis results, and of the data · Revisions to measures
conduct of the measurement and and measurement objectives.
analysis activities.

SG 2 Measurement results that address identified information needs and objectives are provided. 0%

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Project Name Here 10/12/2010

Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Results of data integrity tests ·


Base and derived Measurement repository
measurement data sets · Raw populated with the specified
1. Obtain the data for base
data collected, time tagged, measures · Analysis reports
measures. 2. Generate the data for
Obtain specified measurement and stored in accordance with and trending indicating
SP2.1 derived measures. 3. Perform data
defined data collection completeness of collected data 0
data. integrity checks as close to the
procedures · Derived · Results of integrity checks
source of the data as possible.
measures calculated from (e.g., tools, forms, reviews);
collected base measures. reports of invalid or discarded
data.

Representations for analysis


1. Conduct initial analyses, results (e.g., tables, charts,
interpret the results, and draw histograms) · Evidence of
preliminary conclusions. 2. Conduct Analysis results and draft evaluations or meetings held
additional measurement and reports: Analysis results (e.g., to review measurement
Analyze and interpret
SP2.2 analysis as necessary, and prepare graphs, reports) and analyses (briefings, minutes, 0
measurement data. results for presentation. 3. Review conclusions (preliminary or action items, etc.) · Follow-up
the initial results with relevant final). analyses performed to address
stakeholders. 4. Refine criteria for areas of concern, if necessary
future analyses. · Revisions of criteria for future
analysis.

1. Review the data to ensure their Contextual information for


Manage and store measurement completeness, integrity, accuracy, understanding and interpreting
and currency; 2. Make the stored Stored data inventory · the measures, and assessing
data, measurement
SP2.3 contents available for use only by Measurement repository with them for reasonableness and 0
specifications, and analysis appropriate groups and personnel; historical data and results. applicability · Measurement
results. 3. Prevent the stored information repository, with access
from being used inappropriately. restriction to the stored data.

Contextual data or guidance to


aid in interpretation of analysis
results · Presentations of data
1. Keep relevant stakeholders analyses and reports ·
Report results of measurement apprised of measurement results Measurement indicator
Delivered reports and related
SP2.4 and analysis activities to all on a timely basis. 2. Assist relevant
analysis results.
templates · Distribution lists or 0
relevant stakeholders. stakeholders in understanding the web pages for communicating
results. measurement results ·
Alignment maintained between
measures, analyses, and
business objectives.

GG 2 The process is institutionalized as a managed process. 0.0%

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Project Name Here 10/12/2010

Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Repository of policies (e.g.,


intranet web access) making
them visible and accessible to
the organization. · Mapping of
This policy establishes policies to CMMI process
Establish and maintain an organizational expectations for areas. · Organizational
organizational policy for planning · Organizational policy. ·
aligning measurement objectives process architecture, e.g.,
Version, date, or revision
GP2.1 CO 1 and performing the and activities with identified
history indicating maintenance
linkage of policies, processes, 0
measurement and analysis information needs and objectives procedures. · Signature of
of the policies over time.
and for providing measurement policies by authorized senior
process. results. manager. · Configuration
control and status data for
organizational policies. · Audit
results for implementation of
the policies.

· Documented process
descriptions, including
standards and procedures; this
may be included as part of the
plan or by reference. ·
· Documented requirements
Schedules and resources
Typically, this plan for performing and objectives for the process
(funding, people, tools)
Establish and maintain the plan the measurement and analysis (e.g., quality, cost, schedule). ·
established for performing the
process is included in (or Documented plan for
GP2.2 AB 1 for performing the measurement referenced by) the project plan, performing the process. ·
process. · Measures tracking 0
and analysis process. and controlling progress of the
which is described in the Project Revisions to the requirements,
plan. · Evidence of review and
Planning process area. objectives, and plans, as
agreement to the plan by
necessary.
relevant stakeholders (e.g.,
signature, approval, meeting
minutes). Evidence that the
plan for the process is
implemented and followed.

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Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

There are no direct work


product PII types mapped to
GP2.3, but assessment teams
Provide adequate resources for should anticipate ·
Documented process
performing the measurement Examples of other resources
descriptions and plans
provided include the following:
and analysis process, (strategic or tactical) for Additional information not
GP2.3 AB 2 Statistical packages; Packages that
performing the process, which provided in PII. 0
developing the work products, support data collection over
include a characterization of
and providing the services of the networks.
resources needed. · Evidence
process. that adequate resources
(funding, facilities, skilled
people, tools, etc.) are actually
provided as needed.

· Documentation assigning
responsibility for process
activities, work products, or
Assign responsibility and services; e.g., job descriptions,
or plans for performing the
authority for performing the process. · Task descriptions
process, developing the work There are no direct work and activities for defined roles.
GP2.4 AB 3 No elaboration provided by the SEI.
products for GP2.4. · Acceptance of responsibility 0
products, and providing the
by those assigned; this might
services of the measurement be documented in many ways
and analysis process. (e.g., signature, commitment,
agreement, appearance on an
org chart, web page contacts,
etc.).

· Qualifications and criteria


defined for process tasks and
Examples of training topics include assignments. · Training waiver
Train the people performing or · Training courses, materials,
the following: Statistical techniques; criteria and approvals. · Skills
and methods. · Training
supporting the measurement Data collection, analysis, and matrix or database.· Training
GP2.5 AB 4 reporting processes; Development
records (e.g., attendance,
plans, and delivery of training 0
and analysis process as needed. course descriptions, evaluation
of goal-related measurements according to the plan. ·
forms).
(e.g., Goal Question Metric). Training effectiveness data
(e.g., surveys, exams,
feedback forms).

Measurement and Analysis Worksheet CMMI-SE/SW v1.1 Level 2 Page 37 of 162


Project Name Here 10/12/2010

Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Configuration management
life cycle for identified work
products, i.e., the point at
which products are placed
Examples of work products placed under various levels of control,
under configuration management change control authority, etc. ·
Place designated work products include the following: Specifications Baselines established for
of the measurement and Work products identified for
of base and derived measures; control of work product
configuration management,
GP2.6 DI 1 analysis process under Data collection and storage
and the level of configuration
development or release. · 0
appropriate levels of procedures; Base and derived Configuration management
management to be applied.
measurement data sets; Analysis processes, populated
configuration management. results and draft reports; Data repository, and tools. · Change
analysis tools. control documentation for
revisions to designated work
products; e.g., approved
change requests, CCB
minutes and reports.

· Evidence of stakeholder
involvement as described in
Examples of activities for
the plan (e.g., signatures,
stakeholder involvement include
approvals, agreements,
the following: Establishing
Identify and involve the relevant measurement objectives and List of stakeholders and
attendance lists, memos,
minutes, reports, working
stakeholders of the procedures; Assessing corresponding level of
GP2.7 DI 2 measurement data; Providing involvement in activities
groups). · Communications 0
measurement and analysis documented with
meaningful feedback to those associated with the process.
process as planned. responsible for providing the raw
stakeholders. · Documented
interfaces and dependencies
data on which the analysis and
with identified stakeholders. ·
results depend.
Action items to resolve
stakeholder issues.

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Project Name Here 10/12/2010

Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Measures of actual
performance against plan. ·
Progress tracking reports, e.g.
status reports, financials,
graphs, analyses. · Evidence
Examples of measures used in
Monitor and control the monitoring and controlling include
of reviews held with immediate
measurement and analysis level of management (e.g.
the following: Percentage of
(No direct generic work briefings, reports,
GP2.8 DI 3 process against the plan for projects using progress and
products). presentations, milestones). · 0
performing the process and take performance measures;
Issues and corrective actions
Percentage of measurement
appropriate corrective action. objectives addressed.
for deviations from plan (e.g.,
action items, variance reports,
change requests). · Revisions
to plans and commitments
(e.g., replanned schedule,
costs, resources).

· Identification of processes,
work products, and services to
be objectively evaluated. ·
Records of evaluations or
Examples of activities and work
Objectively evaluate adherence audits being performed as
products reviewed include the
· Noncompliance issues planned (e.g., reports,
of the measurement and following: Aligning measurement
resulting from objective checklists). · Criteria against
and analysis activities; Providing
analysis process against its evaluation of adherence to which processes and work
GP2.9 VE 1 measurement results;
processes, objectives, and products are evaluated. · 0
process description, standards, Specifications of base and derived
standards. · Results of process Assignment of responsibility
and procedures, and address measures; Data collection and
and product evaluations. for performing objective
noncompliance. storage procedures; Analysis
evaluations. · Revised plans,
results and draft reports.
work products, or standards
reflecting corrective action
resulting from objective
evaluations.

· Status reports and briefings


Review the activities, status, and Materials and results from provided to higher-level
results of the measurement and reviews held with senior management. · Action items
GP2.10 VE 2 analysis process with higher No elaboration provided by the SEI. management, on both a and corrective action resulting 0
level management and resolve periodic and event-driven from management reviews. ·
basis. Metrics and analyses
issues. summarizing project status.

GG 3 The process is institutionalized as a defined process. 50.0%

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Project Name Here 10/12/2010

Points
Goals and Common SEI PII Indirect Catalytic
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)
Establish and maintain the
description of a defined (No direct generic work (No indirect generic work
GP3.1 No elaboration provided by the SEI.
products suggested). products suggested). 1
measurement and analysis
process.

Collect work products,


measures, measurement results,
and improvement information
derived from planning and
(No direct generic work (No indirect generic work
GP3.2 performing the measurement No elaboration provided by the SEI.
products suggested). products suggested). 0
and analysis process to support
the future use and improvement
of the organization’s processes
and process assets.

Measurement and Analysis Worksheet CMMI-SE/SW v1.1 Level 2 Page 40 of 162


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PROCESS AND PRODUCT


QUALITY ASSURANCE
(PPQA)
Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Adherence of the performed process and associated work products and services to applicable process descriptions, standards, and procedures is
SG 1 0.0%
objectively evaluated.

Corrective actions: Quality


assurance plan, identifying the
processes subject to
evaluation, and procedures for
performing evaluations ·
1. Promote an environment Applicable process
(created as part of project descriptions, standards, and
management) that encourages procedures · Action items for
employee participation in noncompliance issues, tracked
identifying and reporting quality to closure · Criteria and
issues. 2. Establish and maintain checklists used for work
Objectively evaluate the clearly stated criteria for the product evaluations (e.g. what,
designated performed processes evaluations. 3. Use the stated when, how, who) · Schedule
Audit reports; Noncompliance
SP1.1 against the applicable process criteria to evaluate performed
reports.
for performing process 0
descriptions, standards, and processes for adherence to evaluations (planned, actual)
process descriptions, standards, at selected milestones
procedures. and procedures. 4. Identify each throughout the product
noncompliance found during the development life cycle · Org
evaluation. 5. Identify lessons chart or description identifying
learned that could improve responsibility, objectivity, and
processes for future products and reporting chain of the QA
services. function · Quality assurance
records, reports, or database ·
Records of reviews or events
indicating QA involvement
(e.g. attendance lists,
signature).

Corrective actions: Quality


assurance plan, identifying the
1. Select work products to be work products and services
evaluated, based on documented subject to evaluation, and
sampling criteria if sampling is procedures for performing
used. 2. Establish and maintain evaluations · Action items for
clearly stated criteria for the noncompliance issues, tracked
evaluation of work products. 3. Use to closure · Criteria and
the stated criteria during the checklists used for work
evaluations of work products. 4. product evaluations (e.g. what,
Objectively evaluate the Evaluate work products before they when, how, who); may include
designated work products and are delivered to the customer. 5. sampling criteria · Schedule for
Evaluate work products at selected Audit reports; Noncompliance performing work product
SP1.2 services against the applicable milestones in their development. 6. reports. evaluations (planned, actual) 0
process descriptions, standards, Perform in-progress or incremental at selected milestones
Process and Productand
Quality Assurance Worksheet
procedures. evaluations of work products and CMMI-SE/SW v1.1 Level 2 throughout the product Page 41 of 162
services against process development life cycle · Org
descriptions, standards, and chart or description identifying
procedures. 7. Identify each case of responsibility, objectivity, and
noncompliance found during the reporting chain of the QA
evaluations. 8. Identify lessons function · Quality assurance
Project Name Here 10/12/2010

Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features CorrectiveArtifacts
actions: Quality Suggested Artifacts
assurance plan, identifying the
(0 or 1)
1. Select work products to be work products and services
evaluated, based on documented subject to evaluation, and
sampling criteria if sampling is procedures for performing
used. 2. Establish and maintain evaluations · Action items for
clearly stated criteria for the noncompliance issues, tracked
evaluation of work products. 3. Use to closure · Criteria and
the stated criteria during the checklists used for work
evaluations of work products. 4. product evaluations (e.g. what,
Objectively evaluate the Evaluate work products before they when, how, who); may include
designated work products and are delivered to the customer. 5. sampling criteria · Schedule for
Evaluate work products at selected Audit reports; Noncompliance performing work product
SP1.2 services against the applicable milestones in their development. 6. reports. evaluations (planned, actual) 0
process descriptions, standards, Perform in-progress or incremental at selected milestones
and procedures. evaluations of work products and throughout the product
services against process development life cycle · Org
descriptions, standards, and chart or description identifying
procedures. 7. Identify each case of responsibility, objectivity, and
noncompliance found during the reporting chain of the QA
evaluations. 8. Identify lessons function · Quality assurance
learned that could improve records, reports, or database ·
processes for future products and Records of reviews or events
services. indicating QA involvement
(e.g. attendance lists,
signature)

SG 2 Noncompliance issues are objectively tracked and communicated, and resolution is ensured. 0.0%

Process and Product Quality Assurance Worksheet CMMI-SE/SW v1.1 Level 2 Page 42 of 162
Project Name Here 10/12/2010

Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Resolve each noncompliance


with the appropriate members of
the staff where possible. 2.
Document noncompliance issues
when they cannot be resolved Quality trends: Action items for
within the project. 3. Escalate noncompliance issues, tracked
noncompliance issues that cannot to closure · Revised work
be resolved within the project to the products, standards and
appropriate level of management procedures, or waivers issued
designated to receive and act on to resolve noncompliance
Communicate quality issues and noncompliance issues; 4. Analyze issues · Reports or briefings
ensure resolution of the noncompliance issues to see if Corrective action reports; Audit communicating noncompliance
SP2.1 there are any quality trends that reports. issues to relevant stakeholders 0
noncompliance issues with the
can be identified and addressed; 5. · Evidence of reviews held
staff and managers. Ensure that relevant stakeholders periodically to receive and act
are aware of the results of upon noncompliance issues ·
evaluations and the quality trends Quality metrics and trend
in a timely manner; 6. Periodically analyses · Tracking system or
review open noncompliance issues database for noncompliance
and trends with the manager issues.
designated to receive and act on
noncompliance issues; 7. Track
noncompliance issues to
resolution.

Status of corrective actions;


Quality trends: ·
Noncompliance actions,
reports, logs, or database ·
Completed evaluation
1. Record process and product
checklists · Schedule for
Establish and maintain records quality assurance activities in
Audit logs; Quality assurance performing process and
sufficient detail such that status and
SP2.2 of the quality assurance results are known; 2. Revise the
reports; Records of quality product evaluations (planned, 0
activities. assurance activities. actual) · Records of reviews or
status and history of the quality
events indicating QA
assurance activities as necessary.
involvement (e.g. attendance
lists, signature) · Metrics or
analyses used for quality
assurance of processes and
work products.

GG 2 The process is institutionalized as a managed process. 50.0%

Process and Product Quality Assurance Worksheet CMMI-SE/SW v1.1 Level 2 Page 43 of 162
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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

This policy establishes


organizational expectations for
· Repository of policies (e.g.,
objectively evaluating whether
intranet web access) making
processes and associated work
them visible and accessible to
products adhere to the applicable
the organization. · Mapping of
process descriptions, standards,
policies to CMMI process
Establish and maintain an and procedures, and ensuring that
areas. · Organizational
organizational policy for planning noncompliance is addressed. This · Organizational policy. ·
process architecture, e.g.,
policy also establishes Version, date, or revision
GP2.1 CO 1 and performing the process and organizational expectations for history indicating maintenance
linkage of policies, processes, 1
product quality assurance procedures. · Signature of
process and product quality of the policies over time.
policies by authorized senior
process. assurance being in place for all
manager. · Configuration
projects. Process and product
control and status data for
quality assurance must possess
organizational policies. · Audit
sufficient independence from
results for implementation of
project management to provide
the policies.
objectivity in identifying and
reporting noncompliance issues.

· Documented process
descriptions, including
standards and procedures; this
may be included as part of the
plan or by reference. ·
· Documented requirements
Schedules and resources
This plan for performing the and objectives for the process
Establish and maintain the plan process and product quality (e.g., quality, cost, schedule). ·
(funding, people, tools)
established for performing the
for performing the process and assurance process may be Documented plan for
GP2.2 AB 1 included in (or referenced by) the performing the process. ·
process. · Measures tracking 1
product quality assurance and controlling progress of the
project plan, which is described in Revisions to the requirements,
process. the Project Planning process area. objectives, and plans, as
plan. · Evidence of review and
agreement to the plan by
necessary.
relevant stakeholders (e.g.,
signature, approval, meeting
minutes). Evidence that the
plan for the process is
implemented and followed.

Process and Product Quality Assurance Worksheet CMMI-SE/SW v1.1 Level 2 Page 44 of 162
Project Name Here 10/12/2010

Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

There are no direct work


product PII types mapped to
GP2.3, but assessment teams
Provide adequate resources for should anticipate ·
Documented process
performing the process and Examples of resources provided descriptions and plans
product quality assurance include the following tools: (strategic or tactical) for Additional information not
GP2.3 AB 2 Evaluation tools; Noncompliance performing the process, which provided in PII. 1
process, developing the work
tracking tool. include a characterization of
products, and providing the resources needed. · Evidence
services of the process. that adequate resources
(funding, facilities, skilled
people, tools, etc.) are actually
provided as needed.

· Documentation assigning
responsibility for process
activities, work products, or
Assign responsibility and services; e.g., job descriptions,
To guard against subjectivity or
authority for performing the bias, ensure that those people
or plans for performing the
process, developing the work process. · Task descriptions
assigned responsibility and
There are no direct work and activities for defined roles.
GP2.4 AB 3 products, and providing the authority for process and product
products for GP2.4. · Acceptance of responsibility 1
services of the process and quality assurance can perform their
by those assigned; this might
evaluations with sufficient
product quality assurance independence and objectivity.
be documented in many ways
process. (e.g., signature, commitment,
agreement, appearance on an
org chart, web page contacts,
etc.).

· Qualifications and criteria


Examples of training topics include
defined for process tasks and
the following: Application domain;
assignments. · Training waiver
Train the people performing or Customer relations; Process · Training courses, materials,
criteria and approvals. · Skills
descriptions, standards, and methods. · Training
supporting the process and matrix or database.· Training
GP2.5 AB 4 procedures, and methods for the records (e.g., attendance,
plans, and delivery of training 0
product quality assurance project; Quality assurance course descriptions, evaluation
according to the plan. ·
process as needed. objectives, process descriptions, forms).
Training effectiveness data
standards, procedures, methods,
(e.g., surveys, exams,
and tools.
feedback forms).

Process and Product Quality Assurance Worksheet CMMI-SE/SW v1.1 Level 2 Page 45 of 162
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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Configuration management
life cycle for identified work
products, i.e., the point at
which products are placed
under various levels of control,
change control authority, etc. ·
Place designated work products Examples of work products placed Baselines established for
of the process and product Work products identified for
under configuration management control of work product
configuration management,
GP2.6 DI 1 quality assurance process under include the following:
and the level of configuration
development or release. · 0
appropriate levels of Noncompliance reports; Evaluation Configuration management
management to be applied.
logs and reports. processes, populated
configuration management. repository, and tools. · Change
control documentation for
revisions to designated work
products; e.g., approved
change requests, CCB
minutes and reports.

· Evidence of stakeholder
involvement as described in
Examples of activities for the plan (e.g., signatures,
stakeholder involvement include approvals, agreements,
Identify and involve the relevant the following: Establishing criteria attendance lists, memos,
List of stakeholders and
for the objective evaluations of minutes, reports, working
stakeholders of the process and corresponding level of
GP2.7 DI 2 processes and work products;
involvement in activities
groups). · Communications 0
product quality assurance Evaluating processes and work documented with
associated with the process.
process as planned. products; Resolving noncompliance stakeholders. · Documented
issues; Tracking noncompliance interfaces and dependencies
issues to closure. with identified stakeholders. ·
Action items to resolve
stakeholder issues.

Process and Product Quality Assurance Worksheet CMMI-SE/SW v1.1 Level 2 Page 46 of 162
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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Measures of actual
performance against plan. ·
Progress tracking reports, e.g.
status reports, financials,
graphs, analyses. · Evidence
Examples of measures used in
Monitor and control the process monitoring and controlling include
of reviews held with immediate
and product quality assurance level of management (e.g.
the following: Variance of objective
(No direct generic work briefings, reports,
GP2.8 DI 3 process against the plan for process evaluations planned and
products). presentations, milestones). · 0
performing the process and take performed; Variance of objective
Issues and corrective actions
work product evaluations planned
appropriate corrective action. and performed.
for deviations from plan (e.g.,
action items, variance reports,
change requests). · Revisions
to plans and commitments
(e.g., replanned schedule,
costs, resources).

· Identification of processes,
work products, and services to
be objectively evaluated. ·
Records of evaluations or
Examples of activities reviewed
Objectively evaluate adherence audits being performed as
include the following: Objectively
· Noncompliance issues planned (e.g., reports,
of the process and product evaluating processes and work
resulting from objective checklists). · Criteria against
products; Tracking and
quality assurance process evaluation of adherence to which processes and work
GP2.9 VE 1 communicating noncompliance
processes, objectives, and products are evaluated. · 0
against its process description, issues. Examples of work products
standards. · Results of process Assignment of responsibility
standards, and procedures, and reviewed include the following:
and product evaluations. for performing objective
address noncompliance. Noncompliance reports; Evaluation
evaluations. · Revised plans,
logs and reports.
work products, or standards
reflecting corrective action
resulting from objective
evaluations.

Review the activities, status, and · Status reports and briefings


results of the process and Materials and results from provided to higher-level
reviews held with senior management. · Action items
product quality assurance
GP2.10 VE 2 No elaboration provided by the SEI. management, on both a and corrective action resulting 1
process with higher level periodic and event-driven from management reviews. ·
management and resolve basis. Metrics and analyses
issues. summarizing project status.

GG 3 The process is institutionalized as a defined process. 50.0%

Process and Product Quality Assurance Worksheet CMMI-SE/SW v1.1 Level 2 Page 47 of 162
Project Name Here 10/12/2010

Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)
Establish and maintain the
description of a defined process No elaboration provided by the SEI. (No direct generic work (No indirect generic work
GP3.1 products suggested). products suggested). 1
and product quality assurance
process.

Collect work products,


measures, measurement results,
and improvement information
derived from planning and
performing the process and (No direct generic work (No indirect generic work
GP3.2 No elaboration provided by the SEI.
products suggested). products suggested). 0
product quality assurance
process to support the future use
and improvement of the
organization’s processes and
process assets.

Process and Product Quality Assurance Worksheet CMMI-SE/SW v1.1 Level 2 Page 48 of 162
Project Name Here 10/12/2010

Configuration Management
(CM)
Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)
SG 1 Baselines of identified work products are established. 66.7%

1. Select the configuration items


and the work products that
compose them based on
Identify the configuration items, documented criteria. 2. Assign Identified configuration items · Configuration management
components, and related work unique identifiers to configuration Configuration management plan · Configuration item
items. 3. Specify the important lifecycle for controlled items identifiers, attributes and
SP1.1 products that will be placed characteristics of each (e.g., owner, point at which characteristics · Documented 0
under configuration configuration item. 4. Specify when placed under control, degree criteria for selecting
management. each configuration item is placed of control, change approval). configuration items.
under configuration management.
5. Identify the owner responsible
for each configuration item.

1. Establish a mechanism to
manage multiple control levels of
configuration management. 2.
Configuration management
Store and retrieve configuration
system access control
items in the configuration
procedures · CM library
management system. 3. Share and
records and reports (e.g.
transfer configuration items
baseline contents, level of
between control levels within the
Configuration management controlled items, audit reports)
Establish and maintain a configuration management system.
system with controlled work · Change management
4. Store and recover archived
configuration management and products; Change request database reports· CM plan,
SP1.2 versions of configuration items. 5.
database; Configuration describing tools and 1
change management system for Store, update, and retrieve
management and change mechanisms for storage,
controlling work products. configuration management records.
management procedures. retrieval, multiple levels of
6. Create configuration
control · Records of the
management reports from the
revision of the configuration
configuration management system.
management structure, as
7. Preserve the contents of the
necessary · CM backup and
configuration management system.
archive media.
8. Revise the configuration
management structure as
necessary.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Obtain authorization from the Configuration management


configuration control board (CCB) records and reports · CCB
before creating or releasing meeting minutes · Change
baselines of configuration items. 2. documentation and version
Create or release baselines for Create or release baselines only Baselines; Descriptions of control associated with a
from configuration items in the baselines · Baseline identifiers baseline · Baseline
SP1.3 internal use and for delivery to configuration management system. with defined and controlled generation/release 1
the customer. 3. Document the set of contents (configuration items). procedures, scripts, transmittal
configuration items that are documents · CM tool or
contained in a baseline. 4. Make repository demo (e.g.,
the current set of baselines readily baselines, items, nodes,
available. branches).

SG 2 Changes to the work products under configuration management are tracked and controlled. 0.0%

1. Initiate and record change


requests in the change request
Change requests · Change Change request impact
database. 2. Analyze the impact of
request tracking products analyses · Change request
Changes to the work products changes and fixes proposed in the
(e.g., reports, logs, closure lifecycle or workflow
change requests. 3. Review
under configuration status, metrics) · Recorded descriptions · CCB/stakeholder
SP2.1 change requests that will be
evaluation and disposition of review records (e.g., logs, 0
management are tracked and addressed in the next baseline with
change requests (e.g., review, meeting minutes) ·
controlled. those who will be affected by the
authorization, approval of Configuration item revision
changes and get their agreement.
changes). history.
4. Track the status of change
requests to closure.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Control changes to configuration


items throughout the life of the Archived baseline ·
product. 2. Obtain appropriate Configuration management
authorization before changed records and reports describing
configuration items are entered into the revision status of baselines
the configuration management and configuration items ·
system. 3. Check in and check out Impact analyses, reviews, or
configuration items from the regression tests to ensure the
configuration management system Revision history of integrity of baseline revisions ·
for incorporation of changes in a configuration items · Revised Change request review and
Control changes to the manner that maintains the configuration items and tracking products (e.g.,
SP2.2 correctness and integrity of the baselines incorporating checklists, evaluation criteria, 0
configuration items.
configuration items. 4. Perform approved changes (e.g., CCB reports, logs, closure status,
reviews to ensure that changes approval). metrics) · Recorded evaluation
have not caused unintended effects and disposition of change
on the baselines (e.g., ensure that requests (e.g., review,
the changes have not authorization, approval of
compromised the safety and/or changes) · Check-in/check-out
security of the system). 5. Record procedures from the
changes to configuration items and configuration management
the reasons for the changes as system.
appropriate.

SG 3 Integrity of baselines is established and maintained. 50.0%

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Record configuration
management actions in sufficient
detail so the content and status of
each configuration item is known
and previous versions can be
Records describing content,
recovered. 2. Ensure that relevant
status, and version of Revision history of
stakeholders have access to and
configuration items and configuration items; Change
knowledge of the configuration
baselines · Reports describing log · Change request logs or
Establish and maintain records status of the configuration items. 3.
SP3.1 Specify the latest version of the
configuration item status, database; Status of 0
describing configuration items. available to affected configuration items;
baselines. 4. Identify the version of
individuals and groups (e.g., Differences between
configuration items that constitute a
CM library reports, baseline baselines.
particular baseline. 5. Describe the
access).
differences between successive
baselines. 6. Revise the status and
history (i.e., changes and other
actions) of each configuration item
as necessary.

1. Assess the integrity of the


baselines. 2. Confirm that the Action items for discrepancies
configuration records correctly determined as a result of
identify the configuration of the configuration audits: Criteria
configuration items. 3. Review the and checklists used to conduct
structure and integrity of the items configuration audits ·
Perform configuration audits to in the configuration management Configuration management
system. 4. Confirm the system or libraries · Change
SP3.2 maintain integrity of the completeness and correctness of
Configuration audit results.
request logs or database · 1
configuration baselines. the items in the configuration Records describing content,
management system. 5. Confirm status, and version of
compliance with applicable configuration items and
configuration management baselines · Reports describing
standards and procedures. 6. Track status of configuration items ·
action items from the audit to Quality inspection records.
closure.

GG 2 The process is institutionalized as a managed process. 30.0%

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Repository of policies (e.g.,


intranet web access) making
them visible and accessible to
the organization. · Mapping of
This policy establishes
policies to CMMI process
organizational expectations for
areas. · Organizational
Establish and maintain the plan establishing and maintaining · Organizational policy. ·
process architecture, e.g.,
baselines, tracking and controlling Version, date, or revision
GP2.1 CO 1 for performing the configuration changes to the work products history indicating maintenance
linkage of policies, processes, 0
management process. procedures. · Signature of
(under configuration management), of the policies over time.
policies by authorized senior
and establishing and maintaining
manager. · Configuration
integrity of the baselines.
control and status data for
organizational policies. · Audit
results for implementation of
the policies.

· Documented process
descriptions, including
standards and procedures; this
may be included as part of the
plan or by reference. ·
· Documented requirements
Schedules and resources
Establish and maintain the This plan for performing the and objectives for the process
(funding, people, tools)
requirements and objectives, configuration management process (e.g., quality, cost, schedule). ·
established for performing the
can be included in (or referenced Documented plan for
GP2.2 AB 1 and plans for performing the by) the project plan, which is performing the process. ·
process. · Measures tracking 0
configuration management and controlling progress of the
described in the Project Planning Revisions to the requirements,
plan. · Evidence of review and
process. process area. objectives, and plans, as
agreement to the plan by
necessary.
relevant stakeholders (e.g.,
signature, approval, meeting
minutes). Evidence that the
plan for the process is
implemented and followed.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

There are no direct work


product PII types mapped to
GP2.3, but assessment teams
Provide adequate resources for should anticipate ·
Examples of resources provided Documented process
performing the configuration include the following tools: descriptions and plans
management process, Configuration management tools; (strategic or tactical) for Additional information not
GP2.3 AB 2 Data management tools; Archiving performing the process, which provided in PII. 1
developing the work products,
and reproduction tools; Database include a characterization of
and providing the services of the programs. resources needed. · Evidence
process. that adequate resources
(funding, facilities, skilled
people, tools, etc.) are actually
provided as needed.

· Documentation assigning
responsibility for process
activities, work products, or
Assign responsibility and services; e.g., job descriptions,
or plans for performing the
authority for performing the process. · Task descriptions
process, developing the work There are no direct work and activities for defined roles.
GP2.4 AB 3 No elaboration provided by the SEI.
products for GP2.4. · Acceptance of responsibility 1
products, and providing the
by those assigned; this might
services of the configuration be documented in many ways
management process. (e.g., signature, commitment,
agreement, appearance on an
org chart, web page contacts,
etc.).

· Qualifications and criteria


Examples of training topics include defined for process tasks and
the following: Roles, assignments. · Training waiver
Train the people performing or responsibilities, and authority of the
· Training courses, materials,
criteria and approvals. · Skills
and methods. · Training
supporting the configuration configuration management staff; matrix or database.· Training
GP2.5 AB 4 Configuration management
records (e.g., attendance,
plans, and delivery of training 0
management process as course descriptions, evaluation
standards, procedures, and according to the plan. ·
needed. methods; Configuration library
forms).
Training effectiveness data
system. (e.g., surveys, exams,
feedback forms).

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Configuration management
life cycle for identified work
products, i.e., the point at
which products are placed
under various levels of control,
change control authority, etc. ·
Examples of work products placed
Place designated work products under configuration management Baselines established for
Work products identified for
control of work product
of the configuration management include the following: Access lists; configuration management,
GP2.6 DI 1 development or release. · 0
process under appropriate levels Change status reports; Change and the level of configuration
Configuration management
request database; CCB meeting management to be applied.
of configuration management. minutes; Archived baselines.
processes, populated
repository, and tools. · Change
control documentation for
revisions to designated work
products; e.g., approved
change requests, CCB
minutes and reports.

· Evidence of stakeholder
Examples of activities for involvement as described in
stakeholder involvement include the plan (e.g., signatures,
the following: Establishing approvals, agreements,
Identify and involve the relevant baselines; Reviewing configuration attendance lists, memos,
List of stakeholders and
management system reports and minutes, reports, working
stakeholders of the configuration corresponding level of
GP2.7 DI 2 resolving issues; Assessing the
involvement in activities
groups). · Communications 1
management process as impact of changes for the documented with
associated with the process.
planned. configuration items; Performing stakeholders. · Documented
configuration audits; Reviewing the interfaces and dependencies
results of configuration with identified stakeholders. ·
management audits. Action items to resolve
stakeholder issues.

· Measures of actual
performance against plan. ·
Progress tracking reports, e.g.
status reports, financials,
graphs, analyses. · Evidence
Monitor and control the Examples of measures used in
of reviews held with immediate
configuration management level of management (e.g.
monitoring and controlling include
(No direct generic work briefings, reports,
GP2.8 DI 3 process against the plan for the following: Number of changes
products). presentations, milestones). · 0
performing the process and take to configuration items; Number of
Issues and corrective actions
configuration audits conducted.
appropriate corrective action. for deviations from plan (e.g.,
action items, variance reports,
change requests). · Revisions
to plans and commitments
(e.g., replanned schedule,
costs, resources).

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts · Measures of actual Project Artifacts Earned
Features Artifacts Suggested Artifacts
performance against plan. · (0 or 1)
Progress tracking reports, e.g.
status reports, financials,
graphs, analyses. · Evidence
Monitor and control the Examples of measures used in
of reviews held with immediate
configuration management level of management (e.g.
monitoring and controlling include
(No direct generic work briefings, reports,
GP2.8 DI 3 process against the plan for the following: Number of changes
products). presentations, milestones). · 0
performing the process and take to configuration items; Number of
Issues and corrective actions
configuration audits conducted.
appropriate corrective action. for deviations from plan (e.g.,
action items, variance reports,
change requests). · Revisions
to plans and commitments
(e.g., replanned schedule,
costs, resources).

· Identification of processes,
work products, and services to
be objectively evaluated. ·
Records of evaluations or
Examples of activities reviewed
Objectively evaluate adherence include the following: Establishing · Noncompliance issues audits being performed as
planned (e.g., reports,
of the configuration management baselines; Tracking and controlling resulting from objective checklists). · Criteria against
changes; Establishing and
process against its process evaluation of adherence to which processes and work
GP2.9 VE 1 maintaining integrity of baselines.
processes, objectives, and products are evaluated. · 0
description, standards, and Examples of work products
standards. · Results of process Assignment of responsibility
procedures, and address reviewed include the following:
and product evaluations. for performing objective
noncompliance. Archives of the baselines; Change
evaluations. · Revised plans,
request database.
work products, or standards
reflecting corrective action
resulting from objective
evaluations.

· Status reports and briefings


Review the activities, status, and Materials and results from provided to higher-level
results of the configuration reviews held with senior management. · Action items
GP2.10 VE 2 management process with No elaboration provided by the SEI. management, on both a and corrective action resulting 0
higher level management and periodic and event-driven from management reviews. ·
basis. Metrics and analyses
resolve issues. summarizing project status.

GG 3 The process is institutionalized as a defined process. 0.0%


Establish and maintain the
description of a defined (No direct generic work (No indirect generic work
GP3.1 No elaboration provided by the SEI.
products suggested). products suggested). 0
configuration management
process.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Collect work products,


measures, measurement results,
and improvement information
derived from planning and
(No direct generic work (No indirect generic work
GP3.2 performing the configuration No elaboration provided by the SEI.
products suggested). products suggested). 0
management process to support
the future use and improvement
of the organization’s processes
and process assets.

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Requirements Development
(RD)
Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)
SG 1 Stakeholder needs, expectations, constraints, and interfaces are collected and translated into customer requirements. 100.0%

1. Engage relevant stakeholders


using methods for eliciting needs,
expectations, constraints, and
external interfaces. Eliciting goes
beyond collecting requirements by
proactively identifying additional
requirements not explicitly provided
by customers. Additional Results of requirements
requirements should address the collection methods (e.g.,
Elicit stakeholder needs, various product life-cycle activities
Artifacts indicating stakeholder
Interviews, prototypes,
and their impact on the product. requirements analyses, market
expectations, constraints, and needs, expectations, and
SP1.1 Examples of techniques to elicit
constraints (implicit and
surveys, use cases, product 1
interfaces for all phases of the needs include demonstrations, domain analysis) · Evidence of
explicit)
product life cycle. working groups, project reviews, customer interaction · Results
questionnaires, interviews, and of requirements reviews to
operational scenarios obtained remove conflicts.
from end users, prototypes and
models, brainstorming, beta
testing, extraction from sources
such as documents, standards, or
specifications, use cases, and
reverse engineering (for legacy
products).

1. Translate the stakeholder needs,


expectations, constraints, and
interfaces into documented
customer requirements. 2. Define
constraints for verification and
validation. Relevant stakeholders
representing all phases of the
Transform stakeholder needs, product’s life cycle should include
Customer Requirements;
business as well as technical Test cases and expected
expectations, constraints, and Requirements for verification
SP1.2 functions. The various inputs from
process; Requirements for
results · Interface definitions · 1
interfaces into customer the customer must be consolidated, Constraints.
validation process.
requirements. missing information must be
obtained, and conflicts must be
resolved in documenting the
recognized set of customer
requirements. The customer
requirements may include needs,
expectations, and constraints with
regard to verification and validation.

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Points
Goals and Common 1. Translate the stakeholder needs, SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying
expectations, Information
constraints, and SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
interfaces into documented (0 or 1)
customer requirements. 2. Define
constraints for verification and
validation. Relevant stakeholders
representing all phases of the
Transform stakeholder needs, product’s life cycle should include
Customer Requirements;
business as well as technical Test cases and expected
expectations, constraints, and Requirements for verification
SP1.2 functions. The various inputs from
process; Requirements for
results · Interface definitions · 1
interfaces into customer the customer must be consolidated, Constraints.
validation process.
requirements. missing information must be
obtained, and conflicts must be
resolved in documenting the
recognized set of customer
requirements. The customer
requirements may include needs,
expectations, and constraints with
regard to verification and validation.

SG 2 Customer requirements are refined and elaborated to develop product and product-component requirements. 0.0%

1. Develop requirements in
technical terms necessary for
product and product-component
design. Develop architecture
requirements addressing critical
product qualities and performance Derived requirements; Product
necessary for product architecture requirements; Product
design. 2. Derive requirements that component requirements: §
Establish and maintain product § Analysis of cost performance
result from design decisions. Results of methods (e.g.,
tradeoffs of requirements and
and product-component Selection of a technology brings House of quality) used to
SP2.1 with it additional requirements. For translate customer needs into
of lifecycle phases considering
requirements, which are based business objectives §
instance, use of electronics technical parameters §
on the customer requirements. requires additional technology- Requirements traceability
Performance modeling results.
specific requirements such as matrix § Revision histories of
electromagnetic interference limits. requirements.
3. Establish and maintain
relationships between requirements
for consideration during change
management and requirements
allocation.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Allocate requirements to
functions. 2. Allocate requirements
to product components. 3. Allocate Requirement allocation sheets; Design constraints · Indication
design constraints to product Provisional requirement of allocated requirements
Allocate the requirements for components. 4. Document allocations; Derived traceability · Include allocation
SP2.2 relationships among allocated requirements; Relationships of product performance,
each product component.
requirements. Relationships between derived requirements; design constraints, and fit,
include dependencies in which a Specifications. form, and function.
change in one requirement may
affect other requirements.

1. Identify interfaces both external


to the product and internal to the
product (i.e., between functional
partitions or objects). As the design
progresses, the product
architecture will be altered by
technical solution processes,
creating new interfaces between
product components and
components external to the
product. Examples include · Architecture documents ·
SP2.3 Identify interface requirements. interfaces with test equipment,
Interface requirements.
Integration test plans.
transportation systems, support
systems, and manufacturing
facilities. 2. Develop the
requirements for the identified
interfaces. Requirements for
interfaces are defined in terms of
origination, destination, stimulus,
data characteristics for software,
and electrical and mechanical
characteristics for hardware.

SG 3 The requirements are analyzed and validated, and a definition of required functionality is developed. 0.0%

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Develop operational concepts


and scenarios that include
functionality, performance,
maintenance, support, and disposal
as appropriate. Identify and
develop scenarios, consistent with
the level of detail in the stakeholder
needs, expectations, and
constraints, in which the proposed
product is expected to operate. 2. Operational concept; Product
Define the environment the product installation, operational,
Establish and maintain will operate in, including maintenance and support
SP3.1 operational concepts and boundaries and constraints. 3. concepts; Disposal concepts; New requirements.
associated scenarios. Review operational concepts and Scenarios (e.g.use cases,
scenarios to refine and discover timeline scenarios, and
requirements. The review may be revision histories).
in the form of a walkthrough. 4.
Develop a detailed operational
concept, as products and product
components are selected, that
defines the interaction of the
product, the end user, and the
environment, and that satisfies the
operational, maintenance, support,
and disposal needs.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Analyze and quantify


functionality required by end users.
2. Analyze requirements to identify
logical or functional partitions (e.g.,
subfunctions). 3. Partition
requirements into groups, based on
Activity diagrams and use
established criteria (e.g., similar
cases; Object oriented
functionality, performance, or
analysis with services
coupling), to facilitate and focus the
Establish and maintain a identified; Results of analysis
requirements analysis. 4. Consider
Functional architecture of requirements for
SP3.2 definition of required the sequencing of time-critical
(Functional requirements) subfunctions that identify
functionality. functions both initially and
logical or functional partitions
subsequently during product-
of requirements; Traceability of
component development. 5.
functional requirements that
Allocate customer requirements to
relate to product operation.
functional partitions, objects,
people, or support elements to
support the synthesis of solutions.
6. Allocate functional and
performance requirements to
functions and subfunctions.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Analyze stakeholder needs,


expectations, constraints, and
external interfaces to remove
conflicts and to organize into
related subjects. 2. Analyze
requirements to determine whether
they satisfy the objectives of higher
level requirements. 3. Analyze
requirements to ensure that they
are complete, feasible, realizable,
and verifiable. While design
Analyze requirements to ensure determines the feasibility of a Proposed requirements
particular solution, this subpractice Requirements defects reports; changes to resolve defects;
SP3.3 that they are necessary and addresses knowing which Key requirements. Technical performance
sufficient. requirements affect feasibility. 4. measures.
Identify key requirements that have
a strong influence on cost,
schedule, functionality, risk, or
performance. 5. Identify technical
performance measures that will be
tracked during the development
effort. 6. Analyze operational
concepts and scenarios to refine
the customer needs, constraints,
and interfaces and to discover new
requirements.

1. Use proven models, simulations,


and prototyping to analyze the
balance of stakeholder needs and
constraints. Results of the analyses
Assessment of risks related to
Analyze requirements to balance can be used to reduce the cost of
requirements; Results of
the product and the risk in · Risk mitigation plan · Project
SP3.4 stakeholder needs and developing the product. 2. Perform
requirements analysis
Management plan.
constraints. indicating impact on cost and
a risk assessment on the
schedule.
requirements and functional
architecture. 3. Examine product
life-cycle concepts for impacts of
requirements on risks.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Analyze the requirements to


determine the risk that the resulting
product will not perform
appropriately in its intended-use
environment. 2. Explore the
Requirements traceability
adequacy and completeness of
matrix · Requirements
Validate requirements to ensure requirements by developing
specification · Requirements
the resulting product will perform product representations (e.g.,
Record of analysis methods changes · Results of
prototypes, simulations, models,
SP3.5 as intended in the user's scenarios, and storyboards) and by
and results; Validation techniques to demonstrate
environment using multiple methodology. requirements functionality
obtaining feedback about them
(e.g., prototypes, simulations,
techniques as appropriate. from relevant stakeholders. 3.
analyses, scenarios, and
Assess the design as it matures in
storyboards).
the context of the requirements
validation environment to identify
validation issues and expose
unstated needs and customer
requirements.

GG 3 The process is institutionalized as a defined process. 0.0%

· Repository of policies (e.g.,


intranet web access) making
them visible and accessible to
the organization. · Mapping of
This policy establishes policies to CMMI process
Establish and maintain an organizational expectations for
· Organizational policy. ·
areas. · Organizational
collecting stakeholder needs, process architecture, e.g.,
organizational policy for planning Version, date, or revision
GP2.1 CO 1 formulating product and product-
history indicating maintenance
linkage of policies, processes, 0
and performing the requirements component requirements, and procedures. · Signature of
of the policies over time.
development process. analyzing and validating those policies by authorized senior
requirements. manager. · Configuration
control and status data for
organizational policies. · Audit
results for implementation of
the policies.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Establish and maintain the


description of a defined (No direct generic work (No indirect generic work
GP3.1 AB 1 No elaboration provided by the SEI.
products suggested). products suggested). 0
requirements development
process.

· Documented process
descriptions, including
standards and procedures; this
may be included as part of the
plan or by reference. ·
· Documented requirements
Schedules and resources
and objectives for the process
Typically, this plan for performing (funding, people, tools)
Establish and maintain the plan (e.g., quality, cost, schedule). ·
the requirements development established for performing the
Documented plan for
GP2.2 AB 2 for performing the requirements process is a part of the project plan
performing the process. ·
process. · Measures tracking 0
development process. as described in the Project and controlling progress of the
Revisions to the requirements,
Planning process area. plan. · Evidence of review and
objectives, and plans, as
agreement to the plan by
necessary.
relevant stakeholders (e.g.,
signature, approval, meeting
minutes). Evidence that the
plan for the process is
implemented and followed.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Special expertise in the application There are no direct work


domain, methods for eliciting product PII types mapped to
stakeholder needs, and methods GP2.3, but assessment teams
Provide adequate resources for and tools for specifying and should anticipate ·
analyzing customer, product, and Documented process
performing the requirements product-component requirements descriptions and plans
development process, may be required. Examples of (strategic or tactical) for Additional information not
GP2.3 AB 3 other resources provided include performing the process, which provided in PII. 0
developing the work products,
the following tools: Requirements include a characterization of
and providing the services of the specification tools; Simulators and resources needed. · Evidence
process. modeling tools; Prototyping tools; that adequate resources
Scenario definition and (funding, facilities, skilled
management tools; Requirements people, tools, etc.) are actually
tracking tools. provided as needed.

· Documentation assigning
responsibility for process
activities, work products, or
Assign responsibility and services; e.g., job descriptions,
or plans for performing the
authority for performing the process. · Task descriptions
process, developing the work There are no direct work and activities for defined roles.
GP2.4 AB 4 No elaboration provided by the SEI.
products for GP2.4. · Acceptance of responsibility 0
products, and providing the
by those assigned; this might
services of the requirements be documented in many ways
development process. (e.g., signature, commitment,
agreement, appearance on an
org chart, web page contacts,
etc.).

· Qualifications and criteria


defined for process tasks and
Examples of training topics include assignments. · Training waiver
Train the people performing or · Training courses, materials,
the following: Application domain; criteria and approvals. · Skills
and methods. · Training
supporting the requirements Requirements definition and matrix or database.· Training
GP2.5 AB 5 analysis; Requirements elicitation;
records (e.g., attendance,
plans, and delivery of training 0
development process as course descriptions, evaluation
Requirements specification and according to the plan. ·
needed. modeling; Requirements tracking.
forms).
Training effectiveness data
(e.g., surveys, exams,
feedback forms).

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Configuration management
life cycle for identified work
products, i.e., the point at
which products are placed
under various levels of control,
Examples of work products placed change control authority, etc. ·
Place designated work products under configuration management Work products identified for
Baselines established for
of the requirements development include the following: Customer
configuration management,
control of work product
GP2.6 DI 1 requirements; Functional
and the level of configuration
development or release. · 0
process under appropriate levels architecture; Product and product- Configuration management
management to be applied.
of configuration management. component requirements; Interface processes, populated
requirements. repository, and tools. · Change
control documentation for
revisions to designated work
products; e.g., approved
change requests, CCB
minutes and reports.

Select relevant stakeholders from


customers, end users, developers,
producers, testers, suppliers,
marketers, maintainers, disposal
· Evidence of stakeholder
personnel, and others who may be
involvement as described in
affected by, or may affect, the
the plan (e.g., signatures,
product as well as the process.
approvals, agreements,
Examples of activities for
Identify and involve the relevant stakeholder involvement include List of stakeholders and
attendance lists, memos,
minutes, reports, working
stakeholders of the requirements the following: Reviewing the corresponding level of
GP2.7 DI 2 adequacy of requirements in involvement in activities
groups). · Communications 0
development process as documented with
meeting needs, expectations, associated with the process.
planned. constraints, and interfaces;
stakeholders. · Documented
interfaces and dependencies
Establishing operational concepts
with identified stakeholders. ·
and scenarios; Assessing the
Action items to resolve
adequacy of requirements;
stakeholder issues.
Establishing product and product-
component requirements;
Assessing product cost, schedule,
and risk.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Measures of actual
performance against plan. ·
Progress tracking reports, e.g.
status reports, financials,
graphs, analyses. · Evidence
Monitor and control the Examples of measures used in of reviews held with immediate
requirements development monitoring and controlling include level of management (e.g.
the following: Cost, schedule, and (No direct generic work briefings, reports,
GP2.8 DI 3 process against the plan for effort expended for rework; Defect products). presentations, milestones). · 0
performing the process and take density of requirements Issues and corrective actions
appropriate corrective action. specifications. for deviations from plan (e.g.,
action items, variance reports,
change requests). · Revisions
to plans and commitments
(e.g., replanned schedule,
costs, resources).

Collect work products,


measures, measurement results,
and improvement information
derived from planning and
(No direct generic work (No direct generic work
GP3.2 DI 4 performing the requirements No elaboration provided by the SEI.
products suggested). products suggested). 0
development process to support
the future use and improvement
of the organization’s processes
and process assets.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Identification of processes,
work products, and services to
Examples of activities reviewed
be objectively evaluated. ·
include the following: Collecting
Records of evaluations or
stakeholder needs; Formulating
Objectively evaluate adherence audits being performed as
product and product-component
· Noncompliance issues planned (e.g., reports,
of the requirements development requirements; Analyzing and
resulting from objective checklists). · Criteria against
process against its process validating product and product-
evaluation of adherence to which processes and work
GP2.9 VE 1 component requirements.
processes, objectives, and products are evaluated. · 0
description, standards, and Examples of work products
standards. · Results of process Assignment of responsibility
procedures, and address reviewed include the following:
and product evaluations. for performing objective
noncompliance. Product requirements; Product-
evaluations. · Revised plans,
component requirements; Interface
work products, or standards
requirements; Functional
reflecting corrective action
architecture.
resulting from objective
evaluations.

· Status reports and briefings


Review the activities, status, and Materials and results from provided to higher-level
results of the requirements reviews held with senior management. · Action items
GP2.10 VE 2 development process with higher No elaboration provided by the SEI. management, on both a and corrective action resulting 0
level management and resolve periodic and event-driven from management reviews. ·
basis. Metrics and analyses
issues. summarizing project status.

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Technical Solution (TS)

Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)
SG 1 Product or product-component solutions are selected from alternative solutions. 33.3%

1. Identify screening criteria to


select a set of alternative solutions
for consideration. 2. Identify
technologies currently in use and
new product technologies for
competitive advantage. 3.
Evaluations of new
Generate alternative solutions. 4.
technologies; Checklists for
Obtain a complete requirements
alternative solution screening
allocation for each alternative. 5.
criteria; Evaluation of solutions
Develop the criteria for selecting
and technologies (new or
the best alternative solution.
legacy); Requirements
Develop detailed alternative Criteria should be included that Alternative solutions; Selection
SP1.1 address design issues for the life of criteria.
allocation for each alternative 0
solutions and selection criteria. and their associated cost;
the product, such as provisions for
Design issues; A process or
more easily inserting new
processes for identifying
technologies or the ability to better
solution alternatives, selection
exploit commercial products.
criteria, and design issues;
Examples include criteria related to
COTS evaluations.
open design or open architecture
concepts for the alternatives being
evaluated. 6. Develop timeline
scenarios for product operation and
user interaction for each alternative
solution.

1. Evolve the operational concepts


Product component Timeline analyses of product
Evolve the operational concept, and scenarios to a degree of detail
operational concepts, component interactions; Event
appropriate for the product
scenarios, and environments to scenarios, and environments trace diagrams; Use cases for
component. 2. Evolve the
for all pertinent life-cycle each component; Criteria and
describe the conditions, operational environments for the
SP1.2 product components. The
processes (operations, checklists used for describing 0
operating modes, and operating support, training, the conditions, operating
environments may include thermal,
states specific to each product stress, and electromagnetic and
manufacturing, verification, modes, and operating states of
component. deployment/fielding/delivery/di each component; Change
other elements that need to be
sposal) requests.
documented.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Evolve the operational concepts


Product component Timeline analyses of product
Evolve the operational concept, and scenarios to a degree of detail
operational concepts, component interactions; Event
appropriate for the product
scenarios, and environments to component. 2. Evolve the
scenarios, and environments trace diagrams; Use cases for
for all pertinent life-cycle each component; Criteria and
describe the conditions, operational environments for the
SP1.2 product components. The
processes (operations, checklists used for describing 0
operating modes, and operating support, training, the conditions, operating
environments may include thermal,
states specific to each product stress, and electromagnetic and
manufacturing, verification, modes, and operating states of
component. deployment/fielding/delivery/di each component; Change
other elements that need to be
sposal) requests.
documented.

1. Evaluate each alternative


solution/set of solutions against the Documented relationships
selection criteria established in the between requirements and
context of the operating concepts, product components; Initial
operating modes, and operating product component technical
states. 2. Based on the evaluation data package; Alternative
of alternatives, assess the solutions under consideration
adequacy of the selection criteria and selection criteria;
and update these criteria as Operating concepts, modes,
necessary. 3. Identify and resolve and states; Technical memos;
Select the product-component issues with the alternative solutions Requirements allocated to
and requirements. 4. Select the Product component selection product components;
SP1.3 solutions that best satisfy the best set of alternative solutions that decisions and rationale. Resolution of issues for 1
criteria established. satisfy the established selection selection of best alternative
criteria. 5. Establish the solution using the functional
requirements associated with the requirements as a parameter;
selected set of alternatives as the Documentation of selected
set of allocated requirements to solutions using the allocated
those product components. 6. requirements and selected
Identify the product-component product components;
solutions that will be reused or Processes and procedures for
acquired. 7. Establish and maintain selection of product
the documentation of the solutions, component solutions.
evaluations, and rationale.

SG 2 Product or product-component designs are developed. 25.0%

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Criteria for design methods;


Criteria for selection of the
design method; Design tools;
Design process/activities;
1. Establish and maintain criteria
Guidance for appropriate
against which the design can be
selection from the approved
evaluated. 2. Identify, develop, or
set of supported design
acquire the design methods Design methods;
methods; Set of approved
Develop a design for the product appropriate for the product. 3. Organizational and project
SP2.1 Ensure that the design adheres to design standards, activities,
design tools, with guidance on 1
or product component. their role and usage in the
applicable design standards and and tools.
design process; Criteria and
criteria. 4. Ensure that the design
completed evaluations (e.g.
adheres to allocated requirements.
checklists) of design
5. Document the design.
effectiveness standards;
Documented design criteria
attributes (modularity, clarity,
reliability, accuracy).

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Description and rationale for


the design solution decisions
chosen for implementation. ·
Drawings, lists, specifications,
standards, performance
requirements, QA provisions,
packaging details associated
with the component. ·
1. Determine the number of levels
Documentation or materials
of design and the appropriate level
from design reviews at which
of documentation for each design
the technical data package or
level. 2. Base detailed design
its components were reviewed.
descriptions on the allocated
· Product component
product-component requirements,
requirements specifications
architecture, and higher level
Establish and maintain a Complete technical data and related processes. ·
SP2.2 designs. 3. Document the design in
package. Interface requirements. · 0
technical data package. the technical data package. 4.
Revisions to work products,
Document the rationale for key (i.e.,
standards and procedures
significant effect on cost, schedule,
reflecting iteration in the
or technical performance) decisions
product implementation or
made or defined. 5. Revise the
corrective action. · Functional
technical data package as
descriptions and usage
necessary.
scenarios (e.g., states, modes,
support, training,
manufacturing, disposal,
verifications). · Verification
criteria · Multiple views of the
design hierarchy (customer
view, functional view, data
view, etc.).

Interface specifications;
Interface control documents;
Interface requirements –
Design comprehensive product- 1. Define interface criteria. 2. Apply Interface specification criteria
internal and external to the
the criteria to the interface design and templates; Updates to
component interfaces in terms of product. · Interface control
SP2.3 alternatives. 3. Document the interface specification
and design documents. · 0
established and maintained selected interface designs and the templates; Revision history
Interface specification criteria,
criteria. rationale for the selection. and descriptions of changes
templates, and checklists.
incorporated to controlled
interfaces.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Supplier agreements · Reuse


component libraries, guidance,
1. Develop criteria for the reuse of and criteria for reuse of non-
product-component designs. 2. developmental items (NDI). ·
Analyze designs to determine if Evaluation criteria, rationale,
Evaluate whether the product product components should be and reports for make-buy
Criteria for design and
components should be developed, reused, or purchased. analyses and product
SP2.4 component reuse; Make or 0
developed, purchased, or reused 3. When purchased or non- buy analyses.
component selection. · Plans
developmental (COTS, government for maintenance, support, and
based on established criteria. off the shelf, and reuse) items are transition of COTS/NDI
selected, plan for their components. · Product
maintenance. acceptance criteria. · Product
operational, maintenance and
support concepts.

SG 3 Product components, and associated support documentation, are implemented from their designs. 100.0%

· Product component
construction methods (e.g.
1. Use effective methods to coding, fabrication). ·
implement the product Implemented design · Product Standards, criteria, and
components. 2. Adhere to component implementation checklists for constructed
applicable standards and criteria. and support data (e.g., source product components. · Results
Implement the designs of the 3. Conduct peer reviews of the code, documented data and of peer reviews, inspections,
SP3.1 selected product components. 4. services, fabricated parts, or verifications performed on 1
product components.
Perform unit testing of the product deployed manufacturing constructed components. · Unit
component as appropriate. 5. processes, facilities, test plans, procedures, results,
Revise the product component as materials). and acceptance criteria. ·
necessary. Configuration and change
control data for revision to
product components.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Review the requirements,


design, product, and test results to
ensure that issues affecting the
installation, operation, and
maintenance documentation are
identified and resolved. 2. Use
effective methods to develop the
installation, operation, and Product training materials;
On-line help · Documentation
maintenance documentation. User’s manual; Operator’s
processes, standards, criteria,
3. Adhere to the applicable manual; Maintenance manual;
and checklists. · Help desk
documentation standards. 4. Documentation for installation,
Develop and maintain the end- support. · Artifacts related to
SP3.2 Develop preliminary versions of the operation, use, maintenance
peer review of applicable 1
use documentation. installation, operation, and and support of product
documentation. · Site
maintenance documentation in components; Revision history
installation, training, and
early phases of the project life cycle and maintenance of product
maintenance records.
for review by the relevant documentation.
stakeholders. 5. Conduct peer
reviews of the installation,
operation, and maintenance
documentation. 6. Revise the
installation, operation, and
maintenance documentation as
necessary.

GG 3 The process is institutionalized as a defined process. 50.0%

· Repository of policies (e.g.,


intranet web access) making
them visible and accessible to
the organization. · Mapping of
This policy establishes
policies to CMMI process
organizational expectations for
Establish and maintain an areas. · Organizational
addressing the iterative cycle in · Organizational policy. ·
process architecture, e.g.,
organizational policy for planning which product-component solutions Version, date, or revision
GP2.1 CO 1 are selected, product and product- history indicating maintenance
linkage of policies, processes, 0
and performing the technical procedures. · Signature of
component designs are developed, of the policies over time.
solution process. and the product-component
policies by authorized senior
manager. · Configuration
designs are implemented.
control and status data for
organizational policies. · Audit
results for implementation of
the policies.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Establish and maintain the Design Prc exists; but


(No direct generic work (No indirect generic work
GP3.1 AB 1 description of a defined technical No elaboration provided by the SEI. products suggested). products suggested). needs to be enhanced 1
solution process. to cover DEV activities

· Documented process
descriptions, including
standards and procedures; this
may be included as part of the
plan or by reference. ·
· Documented requirements
Schedules and resources
and objectives for the process
Typically, this plan for performing (funding, people, tools)
Establish and maintain the plan the technical solution process is a (e.g., quality, cost, schedule). ·
established for performing the
Documented plan for
GP2.2 AB 2 for performing the technical part of the project plan as
performing the process. ·
process. · Measures tracking 0
solution process. described in the Project Planning and controlling progress of the
Revisions to the requirements,
process area. plan. · Evidence of review and
objectives, and plans, as
agreement to the plan by
necessary.
relevant stakeholders (e.g.,
signature, approval, meeting
minutes). Evidence that the
plan for the process is
implemented and followed.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Special facilities may be required


There are no direct work
for developing, designing, and
product PII types mapped to
implementing solutions to
GP2.3, but assessment teams
requirements. When necessary, the
should anticipate ·
facilities required for the activities in
Provide adequate resources for the Technical Solution process
Documented process
performing the technical solution descriptions and plans
area are developed or purchased.
(strategic or tactical) for Additional information not
GP2.3 AB 3 process, developing the work Examples of other resources
performing the process, which provided in PII. 0
products, and providing the provided include the following tools:
include a characterization of
Design specification tools;
services of the process. Simulators and modeling tools;
resources needed. · Evidence
that adequate resources
Prototyping tools; Scenario
(funding, facilities, skilled
definition and management tools;
people, tools, etc.) are actually
Requirements tracking tools;
provided as needed.
Interactive documentation tools.

· Documentation assigning
responsibility for process
activities, work products, or
Assign responsibility and services; e.g., job descriptions,
or plans for performing the
authority for performing the process. · Task descriptions
process, developing the work There are no direct work and activities for defined roles.
GP2.4 AB 4 No elaboration provided by the SEI.
products for GP2.4. · Acceptance of responsibility 1
products, and providing the
by those assigned; this might
services of the technical solution be documented in many ways
process. (e.g., signature, commitment,
agreement, appearance on an
org chart, web page contacts,
etc.).

· Qualifications and criteria


Examples of training topics include defined for process tasks and
the following: Application domain of assignments. · Training waiver
· Training courses, materials,
Train the people performing or the product and product criteria and approvals. · Skills
and methods. · Training
components; Design methods; matrix or database.· Training
GP2.5 AB 5 supporting the technical solution Interface design; Unit testing
records (e.g., attendance,
plans, and delivery of training 1
process as needed. course descriptions, evaluation
techniques; Standards (e.g., according to the plan. ·
forms).
product, safety, human factors, Training effectiveness data
environmental). (e.g., surveys, exams,
feedback forms).

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Configuration management
life cycle for identified work
Examples of work products placed products, i.e., the point at
under configuration management which products are placed
include the following: Product, under various levels of control,
product component, process, change control authority, etc. ·
Place designated work products service, and interface designs;
Work products identified for
Baselines established for
of the technical solution process Technical data packages; Interface control of work product
configuration management,
GP2.6 DI 1 design documents; Criteria for
and the level of configuration
development or release. · 1
under appropriate levels of design and product-component Configuration management
management to be applied.
configuration management. reuse; Implemented designs (e.g., processes, populated
software code, fabricated product repository, and tools. · Change
components); User, installation, control documentation for
operation, and maintenance revisions to designated work
documentation. products; e.g., approved
change requests, CCB
minutes and reports.

Select relevant stakeholders from


customers, end users, developers,
producers, testers, suppliers,
marketers, maintainers, disposal
personnel, and others who may be · Evidence of stakeholder
affected by, or may affect, the involvement as described in
product as well as the process. the plan (e.g., signatures,
Examples of activities for approvals, agreements,
stakeholder involvement include attendance lists, memos,
Identify and involve the relevant List of stakeholders and
the following: Developing minutes, reports, working
corresponding level of
GP2.7 DI 2 stakeholders of the technical alternative solutions and selection
involvement in activities
groups). · Communications 1
solution process as planned. criteria; Evolving operational documented with
associated with the process.
concept and scenarios; Obtaining stakeholders. · Documented
approval on external interface interfaces and dependencies
specifications and design with identified stakeholders. ·
descriptions; Developing the Action items to resolve
technical data package; Assessing stakeholder issues.
the make, buy, or reuse
alternatives for product
components; Implementing the
design.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Measures of actual
performance against plan. ·
Examples of measures used in Progress tracking reports, e.g.
monitoring and controlling include status reports, financials,
the following: Cost, schedule, and graphs, analyses. · Evidence
Monitor and control the technical effort expended for rework; of reviews held with immediate
solution process against the plan Percentage of requirements level of management (e.g.
addressed in the product or (No direct generic work briefings, reports,
GP2.8 DI 3 for performing the process and product-component design; Size products). presentations, milestones). · 1
take appropriate corrective and complexity of the product, Issues and corrective actions
action. product components, interfaces, for deviations from plan (e.g.,
and documentation; Defect density action items, variance reports,
of technical solutions work change requests). · Revisions
products. to plans and commitments
(e.g., replanned schedule,
costs, resources).

Collect work products,


measures, measurement results,
and improvement information
derived from planning and
(No direct generic work (No direct generic work
GP3.2 DI 4 performing the technical solution No elaboration provided by the SEI. products suggested). products suggested). 0
process to support the future use
and improvement of the
organization’s processes and
process assets.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Identification of processes,
Examples of activities reviewed
work products, and services to
include the following: Selecting
be objectively evaluated. ·
product-component solutions;
Records of evaluations or
Developing product and product-
audits being performed as
component designs; Implementing
Objectively evaluate adherence product-component designs.
· Noncompliance issues planned (e.g., reports,
of the technical solution process resulting from objective checklists). · Criteria against
Examples of work products
evaluation of adherence to which processes and work
GP2.9 VE 1 against its process description, reviewed include the following:
processes, objectives, and products are evaluated. · 0
standards, and procedures, and Technical data packages; Product,
standards. · Results of process Assignment of responsibility
product-component, and interface
address noncompliance. designs; Implemented designs
and product evaluations. for performing objective
evaluations. · Revised plans,
(e.g., software code, fabricated
work products, or standards
product components); User,
reflecting corrective action
installation, operation, and
resulting from objective
maintenance documentation.
evaluations.

· Status reports and briefings


Review the activities, status, and Materials and results from provided to higher-level
results of the technical solution reviews held with senior management. · Action items
GP2.10 VE 2 process with higher level No elaboration provided by the SEI. management, on both a and corrective action resulting 0
management and resolve periodic and event-driven from management reviews. ·
basis. Metrics and analyses
issues. summarizing project status.

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Product Integration (PI)

Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)
SG 1 Preparation for product integration is conducted. 0.0%

1. Identify the product components


to be integrated. 2. Identify the
product integration verifications to
be performed using the definition of
the interfaces between the product
components. 3. Identify alternative
product-component integration
sequences. This can include Rationale for selecting or
defining the specific tools and test rejecting integration
equipment to support the product sequences · List of
Determine the product- integration. 4. Select the best components to be integrated ·
Product integration sequence;
SP1.1 component integration integration sequence. 5.
Product integration plan.
Integration schedules and 0
sequence. Periodically review the product dependencies · Meetings or
integration sequence and revise as presentations at which the
needed. Assess the product plans for product integration
integration sequence to ensure that are reviewed.
variations in production and
delivery schedules have not had an
adverse impact on the sequence or
compromised the factors upon
which earlier decisions were made.
6. Record the rationale for
decisions made and deferred.

1. Identify the requirements for the


product integration environment. 2.
Identify verification criteria and
procedures for the product
integration environment. 3. Decide
whether to make or buy the needed
product integration environment. 4.
Develop an integration environment
Verified environment for Support documentation for the
if a suitable environment cannot be
Establish and maintain the product integration · product integration
acquired. For unprecedented,
Descriptions or configuration environment · Product
environment needed to support complex projects, the product
SP1.2 integration environment can be a
of the verified environment for integration plan · Product 0
the integration of the product product integration, revised integration test bed (e.g., test
major development. As such, it
components. would involve project planning,
and maintained throughout the equipment, simulators, HW
project. equipment, recording devices).
requirements development,
technical solutions, verification,
validation, and risk management. 5.
Maintain the product integration
environment throughout the project.
6. Dispose of those portions of the
environment that are no longer
useful.

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1. Identify the requirements for the


product integration environment. 2. Points
Goals and Common Identify verificationInformation
criteria and SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying SEI PII Direct Artifacts Project Artifacts Earned
Features procedures for the product Artifacts Suggested Artifacts
integration environment. 3. Decide (0 or 1)
whether to make or buy the needed
product integration environment. 4.
Develop an integration environment
Verified environment for Support documentation for the
if a suitable environment cannot be
Establish and maintain the acquired. For unprecedented,
product integration · product integration
Descriptions or configuration environment · Product
environment needed to support complex projects, the product
SP1.2 integration environment can be a
of the verified environment for integration plan · Product 0
the integration of the product product integration, revised integration test bed (e.g., test
major development. As such, it
components. would involve project planning,
and maintained throughout the equipment, simulators, HW
project. equipment, recording devices).
requirements development,
technical solutions, verification,
validation, and risk management. 5.
Maintain the product integration
environment throughout the project.
6. Dispose of those portions of the
environment that are no longer
useful.

Criteria and checklists for


product-component readiness,
integration, and evaluation ·
1. Establish and maintain product Criteria and checklists for
Product integration
integration procedures for the validation, and delivery of the
Establish and maintain procedures; Product
product components. 2. Establish integrated product · Product
integration criteria; Revision
procedures and criteria for and maintain criteria for product- integration inputs, outputs,
SP1.3 component integration and
history of integration
expected results, and progress 0
integration of the product procedures and criteria,
evaluation. 3. Establish and criteria · Incremental
components. maintain criteria for validation and
maintained throughout the
build/integration plan and
project.
delivery of the integrated product. procedures · Reviews or
presentations of integration
plans, procedures, and criteria
· Test readiness reviews.

SG 2 The product-component interfaces, both internal and external, are compatible. 0.0%

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Categories of interfaces (e.g.,


environmental, physical,
functional, mechanical); List of
interfaces per category;
Mapping of the interfaces to
the product components and
product integration
1. Review interface data for
environment · Interface
completeness and ensure complete
specifications, Interface control
coverage of all interfaces. 2.
documents (ICDs), Interface
Ensure that product components
design documents (IDDs) ·
Review interface descriptions for and interfaces are marked to Reviewed interface
SP2.1 ensure easy and correct descriptions.
Criteria and checklists for 0
coverage and completeness. interface reviews · Result of
connection to the joining product
interface reviews (e.g., peer
component. 3. Periodically review
reviews, quality assurance
the adequacy of interface
inspections, design reviews,
descriptions.
interface control working
groups, CCBs, action items to
resolve interface issues) ·
Interface connection markings
· Traceability matrices
between requirements and
interfaces.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Table of relationships between


the product components and
the external environment (e.g.,
main power supply, fastening
product, computer bus
system); Table of relationships
List of agreed-to interfaces
between the different product
defined for each pair of
1. Ensure the compatibility of the components; Reports from the
product components, when
interfaces throughout the life of the interface control working group
Manage internal and external product. 2. Resolve conflict,
applicable; Updated interface
meetings; Action items for
description or agreement ·
interface definitions, designs, noncompliance, and change updating interfaces;
SP2.2 issues. 3. Maintain a repository for
Interface descriptions and
Application Program Interface 0
and changes for products and relationships among product
interface data accessible to project (API) · Result of interface
product components. participants.
components · Interface
reviews (e.g., peer reviews,
specifications, Interface control
quality assurance inspections,
documents (ICDs), Interface
design reviews, interface
design documents (IDDs).
control working groups, CCBs,
action items to resolve
interface issues) · Repository
of interface data (e.g. interface
data base). · Change requests
for revision to interfaces.

SG 3 Verified product components are assembled and the integrated, verified, and validated product is delivered. 50.0%

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Track the status of all product


components as soon as they
become available for integration. 2.
Ensure that product components
are delivered to the product
Delivery receipts; Checked
Confirm, prior to assembly, that integration environment in packing lists; Exception
each product component accordance with the product
Acceptance documents for reports; Waivers ·
integration sequence and available
required to assemble the product procedures. 3. Confirm the receipt received product components · Configuration status reports for
has been properly identified, Verified acceptance test product components · Product
of each properly identified product
SP3.1 component. 4. Ensure that each
results or inspection report for integration plans and 0
functions according to its product components· procedures · Criteria and
description, and that the product- received product component meets
its description. 5. Check the
Discrepancies identified in checklists for product
component interfaces comply received product components. component readiness,
configuration status against the
delivery, integration, and
with the interface descriptions. expected configuration. 6. Perform evaluation.
pre-check (for example, by a visual
inspection and using basic
measures) of all the physical
interfaces before connecting
product components together.

Product integration sequence ·


Product integration procedures
and criteria · Records
1. Ensure the readiness of the indicating performance of the
product integration environment. 2. product integration sequence
Ensure that the assembly and procedures (e.g.,
sequence is properly performed. integration reports, completed
Assemble product components Record all appropriate information checklists, configuration
according to the product (e.g., configuration status, serial Assembled product or product audits) · Recorded
SP3.2 numbers of the product components. configuration and assembly 1
integration sequence and
components, types, and calibration information (e.g., identification,
available procedures. date of the meters). 3. Revise the configuration status,
product integration sequence and calibration data). · Integration
available procedures as status and schedule reports
appropriate. (e.g., planned vs. actual
components integrated) ·
Revisions to the integration
plans or procedures.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Conduct the evaluation of


assembled product components
Evaluation results (e.g.
following the product integration Exception reports; Interface
adaptations, configuration,
sequence and available evaluation reports; Product
deviations) · Logbook of
Evaluate assembled product procedures. 2. Record the integration summary reports ·
product component issues or
evaluation results. Example results Discrepancies detected during
SP3.3 components for interface include the following: Any checkout of product
parameters. · Product 0
compatibility. integration sequence · Product
adaptation required to the components · Milestones for
integration procedures and
integration procedure; Any change completion of integration
criteria · Regression testing
to the product configuration (spare activities.
procedures and results.
parts, new release); Evaluation
procedure deviations.

1. Review the requirements,


design, product, verification results,
and documentation to ensure that
issues affecting the packaging and
delivery of the product are
identified and resolved. 2. Use
effective methods to package and
Packaging procedures ·
deliver the assembled product. 3.
Package the assembled product Satisfy the applicable requirements
Transportation and delivery
or product component and Packaged product or product procedures · Packing list ·
and standards for packaging and
SP3.4 delivering the product. 4. Prepare
components; Delivery Certification for readiness of 1
deliver it to the appropriate documentation. the operation site · Site
the operational site for installation
customer. of the product. Preparing the
installation surveys and
procedures.
operational site may be the
responsibility of the customer or
end users. 5. Deliver the product
and related documentation and
confirm receipt. 6. Install the
product at the operational site and
confirm correct operation.

GG 3 The process is institutionalized as a defined process. 25.0%

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Project Name Here 10/12/2010

Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Repository of policies (e.g.,


intranet web access) making
them visible and accessible to
This policy establishes
the organization. · Mapping of
organizational expectations for
policies to CMMI process
developing product integration
Establish and maintain an areas. · Organizational
sequences, procedures, and an · Organizational policy. ·
process architecture, e.g.,
organizational policy for planning environment, ensuring interface Version, date, or revision
GP2.1 CO 1 compatibility among product history indicating maintenance
linkage of policies, processes, 0
and performing the product procedures. · Signature of
components, assembling the of the policies over time.
integration process. product components, and
policies by authorized senior
manager. · Configuration
delivering the product and product
control and status data for
components.
organizational policies. · Audit
results for implementation of
the policies.

Establish and maintain the


(No direct generic work (No indirect generic work
GP3.1 AB 1 description of a defined product No elaboration provided by the SEI. products suggested). products suggested). 1
integration process.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Documented process
descriptions, including
standards and procedures; this
may be included as part of the
plan or by reference. ·
This plan for performing the · Documented requirements
Schedules and resources
product integration process and objectives for the process
(funding, people, tools)
Establish and maintain the plan addresses the comprehensive (e.g., quality, cost, schedule). ·
established for performing the
planning for all of the specific Documented plan for
GP2.2 AB 2 for performing the product practices in this process area, from performing the process. ·
process. · Measures tracking 0
integration process. and controlling progress of the
the preparation for product Revisions to the requirements,
plan. · Evidence of review and
integration all the way through to objectives, and plans, as
agreement to the plan by
the delivery of the final product. necessary.
relevant stakeholders (e.g.,
signature, approval, meeting
minutes). Evidence that the
plan for the process is
implemented and followed.

Product-component interface
coordination may be accomplished
with an Interface Control Working
Group consisting of people who
There are no direct work
represent external and internal
product PII types mapped to
interfaces. Such groups can be
GP2.3, but assessment teams
used to elicit needs for interface
should anticipate ·
requirements development. Special
Provide adequate resources for facilities may be required for
Documented process
performing the product descriptions and plans
assembling and delivering the
(strategic or tactical) for Additional information not
GP2.3 AB 3 integration process, developing product. When necessary, the
performing the process, which provided in PII. 0
the work products, and providing facilities required for the activities in
include a characterization of
the Product Integration process
the services of the process. area are developed or purchased.
resources needed. · Evidence
that adequate resources
Examples of other resources
(funding, facilities, skilled
provided include the following tools:
people, tools, etc.) are actually
Prototyping tools; Analysis tools;
provided as needed.
Simulation tools; Interface
management tools; Assembly tools
(e.g., compilers, make files, joining
tools, jigs and fixtures).

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Documentation assigning
responsibility for process
activities, work products, or
Assign responsibility and services; e.g., job descriptions,
or plans for performing the
authority for performing the process. · Task descriptions
process, developing the work There are no direct work and activities for defined roles.
GP2.4 AB 4 No elaboration provided by the SEI.
products for GP2.4. · Acceptance of responsibility 0
products, and providing the
by those assigned; this might
services of the product be documented in many ways
integration process. (e.g., signature, commitment,
agreement, appearance on an
org chart, web page contacts,
etc.).

· Qualifications and criteria


defined for process tasks and
Examples of training topics include
assignments. · Training waiver
the following: Application domain; · Training courses, materials,
Train the people performing or criteria and approvals. · Skills
Product integration procedures and and methods. · Training
matrix or database.· Training
GP2.5 AB 5 supporting the product criteria; Organization's facilities for records (e.g., attendance,
plans, and delivery of training 0
integration process as needed. integration and assembly; course descriptions, evaluation
according to the plan. ·
Assembly methods; Packaging forms).
Training effectiveness data
standards.
(e.g., surveys, exams,
feedback forms).

· Configuration management
life cycle for identified work
products, i.e., the point at
which products are placed
Examples of work products placed
under various levels of control,
under configuration management
change control authority, etc. ·
include the following: Acceptance
Place designated work products documents for the received product Work products identified for
Baselines established for
control of work product
of the product integration components; Evaluated assembled configuration management,
GP2.6 DI 1 product and product components; and the level of configuration
development or release. · 1
process under appropriate levels Configuration management
Product integration sequence; management to be applied.
of configuration management. Product integration procedures and
processes, populated
repository, and tools. · Change
criteria; Updated interface
control documentation for
description or agreement.
revisions to designated work
products; e.g., approved
change requests, CCB
minutes and reports.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Select relevant stakeholders from


customers, end users, developers,
producers, testers, suppliers,
marketers, maintainers, disposal
personnel, and others who may be
· Evidence of stakeholder
affected by, or may affect, the
involvement as described in
product as well as the process.
the plan (e.g., signatures,
Examples of activities for
approvals, agreements,
stakeholder involvement include
attendance lists, memos,
Identify and involve the relevant the following: Reviewing interface List of stakeholders and
minutes, reports, working
descriptions for completeness; corresponding level of
GP2.7 DI 2 stakeholders of the product Establishing the product integration involvement in activities
groups). · Communications 1
integration process as planned. documented with
sequence; Establishing the product associated with the process.
stakeholders. · Documented
integration procedures and criteria;
interfaces and dependencies
Assembling and delivering the
with identified stakeholders. ·
product and product components;
Action items to resolve
Communicating the results after
stakeholder issues.
evaluation; Communicating new,
effective product integration
processes to give affected people
the opportunity to improve their
performance.

· Measures of actual
performance against plan. ·
Examples of measures used in
Progress tracking reports, e.g.
monitoring and controlling include
status reports, financials,
the following: Product-component
graphs, analyses. · Evidence
integration profile (e.g., product-
Monitor and control the product component assemblies planned
of reviews held with immediate
integration process against the level of management (e.g.
and performed, and number of
(No direct generic work briefings, reports,
GP2.8 DI 3 plan for performing the process exceptions found); Integration
products). presentations, milestones). · 0
and take appropriate corrective evaluation problem report trends
Issues and corrective actions
(e.g., number written and number
action. closed); Integration evaluation
for deviations from plan (e.g.,
action items, variance reports,
problem report aging (i.e., how long
change requests). · Revisions
each problem report has been
to plans and commitments
open).
(e.g., replanned schedule,
costs, resources).

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Collect work products,


measures, measurement results,
and improvement information
derived from planning and
(No direct generic work (No direct generic work
GP3.2 DI 4 performing the product No elaboration provided by the SEI.
products suggested). products suggested). 0
integration process to support
the future use and improvement
of the organization’s processes
and process assets.

· Identification of processes,
Examples of activities reviewed
work products, and services to
include the following: Establishing
be objectively evaluated. ·
and maintaining a product
Records of evaluations or
integration sequence; Ensuring
Objectively evaluate adherence audits being performed as
interface compatibility; Assembling
· Noncompliance issues planned (e.g., reports,
of the product integration product components and delivering
resulting from objective checklists). · Criteria against
the product. Examples of work
process against its process evaluation of adherence to which processes and work
GP2.9 VE 1 products reviewed include the
processes, objectives, and products are evaluated. · 0
description, standards, and following: Product integration
standards. · Results of process Assignment of responsibility
procedures, and address sequence; Product integration
and product evaluations. for performing objective
noncompliance. procedures and criteria;
evaluations. · Revised plans,
Acceptance documents for the
work products, or standards
received product components;
reflecting corrective action
Assembled product and product
resulting from objective
components.
evaluations.

· Status reports and briefings


Review the activities, status, and Materials and results from provided to higher-level
results of the product integration reviews held with senior management. · Action items
GP2.10 VE 2 process with higher level No elaboration provided by the SEI. management, on both a and corrective action resulting 0
management and resolve periodic and event-driven from management reviews. ·
basis. Metrics and analyses
issues. summarizing project status.

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Verification (VER)

Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)
SG 1 Preparation for verification is conducted. 0.0%

Commercial off the shelf


1. Identify work products for (COTS) verification strategy. ·
verification. 2. Identify the List of approved verification
requirements to be satisfied by methods and processes (e.g.,
each selected work product. 3. inspections, peer reviews,
Select the work products to be Identify the verification methods
Verification strategy · Project
analyses, testing) ·
that are available for use. 4. Define Requirements verification
verified and the verification verification plan · Revisions to
SP1.1 the verification methods to be used
verification strategy and plan ·
methods and verification 0
methods that will be used for for each selected work product. 5. criteria · Verification
Revision history.
each. Submit for integration with the environment requirements and
project plan the identification of support tools; Verification
work products to be verified, the procedures; Verification
requirements to be satisfied, and criteria · Verification criteria
the methods to be used. such as accuracy, precision,
throughput, size, etc.

1. Identify verification environment · Purchase orders of capital


requirements. 2. Identify verification equipment, resource plans
resources that are available for including hardware and
Establish and maintain the reuse and modification. 3. Identify Verification support software (simulators,
SP1.2 environment needed to support verification equipment and tools. 4. equipment; Verification emulators, data reduction 0
verification. Acquire verification support environment. tools, interfaces with other
equipment and an environment, systems, etc.). · Identification
such as test equipment and of reused and modified
software. resources.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Generate the set of


comprehensive, integrated
verification procedures for work
products and any commercial off- List of work products and
the-shelf products, as necessary. 2. COTS products subject to
Establish and maintain Develop and refine the verification verification · Verification
Verification plan, with detailed
verification procedures and criteria when necessary. 3. Identify criteria · Verification
SP1.3 the expected results, any
activities, schedules,
procedures · Expected results 0
criteria for the selected work resources.
tolerances allowed in observation, and tolerances identified ·
products. and other criteria for satisfying the Equipment and environmental
requirements. 4. Identify any components identified.
equipment and environmental
components needed to support
verification.

SG 2 Peer reviews are performed on selected work products. 0.0%

1. Determine what type of peer


review will be conducted. 2. Define
requirements for collecting data
during the peer review. 3.
Establish and maintain entry and
exit criteria for the peer review. 4.
Establish and maintain criteria for
requiring another peer review. 5.
Establish and maintain checklists to
ensure that the work products are
Peer review checklis; Entry
reviewed consistently. 6. Develop a
and exit criteria for work
detailed peer review schedule,
Peer review schedule; Re- products; Peer review training
including the dates for peer review
review criteria; Selected work material · Description of
Prepare for peer reviews of training and for when materials for
SP2.1 peer reviews will be available. 7.
products to be reviewed · Peer method chosen for the peer 0
selected work products. review plans, processes, and review such as inspections,
Ensure that the work product
schedules. walkthroughs, etc. · Peer
satisfies the peer review entry
review data package · Peer
criteria prior to distribution. 8.
review process.
Distribute the work product to be
reviewed and its related information
to the participants early enough to
enable participants to adequately
prepare for the peer review. 9.
Assign roles for the peer review as
appropriate. 10. Prepare for the
peer review by reviewing the work
product prior to conducting the peer
review.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Perform the assigned roles in the


peer review. 2. Identify and
document defects and other issues
in the work product. 3. Record the
Peer review results. · Identified
Conduct peer reviews on results of the peer review, including
defects; Peer review issues. ·
· Schedules showing peer
the action items. 4. Collect peer reviews and re-review. · Peer
selected work products and Action items; Peer review data.
SP2.2 review data. 5. Identify action items
· Data summarizing the
review data repository · 0
identify issues resulting from the and communicate the issues to Completed peer review
conduct and results of the peer
peer review. relevant stakeholders. 6. Conduct
review.
checklists.
an additional peer review if the
defined criteria indicate the need.
7. Ensure that the exit criteria for
the peer review are satisfied.

1. Record data related to the


preparation, conduct, and results of
the peer reviews. 2. Store the data
for future reference and analysis. Peer review data; Data
Peer review action items; Peer
Analyze data about preparation, 3. Protect the data to ensure that recorded to reflect the conduct
review data repository · Peer
peer review data are not used of the review (preparation,
SP2.3 conduct, and results of the peer inappropriately. Examples of conduct and results) ·
review metrics and analysis · 0
reviews. List of action items produced
inappropriate use of peer review Documented peer review
during peer reviews.
data include using data to evaluate analysis results.
the performance of people and
using data for attribution. 4.
Analyze the peer review data.

SG 3 Selected work products are verified against their specified requirements. 0.0%

1. Perform verification of selected


work products against their
Verification results; Verification
requirements. 2. Record the results
results such as · Test results·
of verification activities. 3. Identify
Peer review results;
Perform verification on the action items resulting from Demonstrations · Action items
SP3.1 verification of work products. 4.
Verification reports · (trouble
identified · Requirements. 0
selected work products. reports, corrective action
Document the “as-run” verification
reports, presentations, etc.;
method and the deviations from the
“As Verified” procedures log.
available methods and procedures
discovered during its performance.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Compare actual results to


expected results. 2. Based on the
established verification criteria,
identify products that have not met
their requirements or identify
problems with the methods, Analysis report (such as
procedures, criteria, and statistics on performances,
verification environment. 3. Analyze causal analysis of non-
Analyze the results of all the verification data on defects. 4. conformances, comparison of Trouble reports; Method,
SP3.2 verification activities and identify Record all results of the analysis in the behavior between the criteria, and infrastructure 0
corrective action. a report. 5. Use verification results product and models, trends, change requests.
to compare actual measurements etc.; Corrective actions to
and performance to technical verification methods, criteria,
performance parameters. 6. and/or infrastructure.
Provide information on how defects
may be resolved (including
verification methods, criteria, and
verification environment) and
formalize it in a plan.

GG 3 The process is institutionalized as a defined process. 0.0%

· Repository of policies (e.g.,


intranet web access) making
them visible and accessible to
the organization. · Mapping of
This policy establishes policies to CMMI process
Establish and maintain an organizational expectations for
· Organizational policy. ·
areas. · Organizational
organizational policy for planning establishing and maintaining process architecture, e.g.,
Version, date, or revision
GP2.1 CO 1 verification methods, procedures,
history indicating maintenance
linkage of policies, processes, 0
and performing the verification criteria, verification environment, procedures. · Signature of
of the policies over time.
process. performing peer reviews, and policies by authorized senior
verifying selected work products. manager. · Configuration
control and status data for
organizational policies. · Audit
results for implementation of
the policies.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Establish and maintain the


(No direct generic work (No indirect generic work
GP3.1 AB 1 description of a defined No elaboration provided by the SEI.
products suggested). products suggested). 0
verification process.

· Documented process
descriptions, including
standards and procedures; this
may be included as part of the
plan or by reference. ·
· Documented requirements
Schedules and resources
and objectives for the process
Typically, this plan for performing (funding, people, tools)
Establish and maintain the plan (e.g., quality, cost, schedule). ·
the verification process is included established for performing the
Documented plan for
GP2.2 AB 2 for performing the verification in (or referenced by) the project
performing the process. ·
process. · Measures tracking 0
process. plan, which is described in the and controlling progress of the
Revisions to the requirements,
Project Planning process area. plan. · Evidence of review and
objectives, and plans, as
agreement to the plan by
necessary.
relevant stakeholders (e.g.,
signature, approval, meeting
minutes). Evidence that the
plan for the process is
implemented and followed.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Special facilities may be required


for verifying selected work
products. When necessary, the
There are no direct work
facilities required for the activities in
product PII types mapped to
the Verification process area are
GP2.3, but assessment teams
developed or purchased. Certain
should anticipate ·
verification methods may require
Provide adequate resources for special tools, equipment, facilities,
Documented process
performing the verification descriptions and plans
and training (e.g., peer reviews
(strategic or tactical) for Additional information not
GP2.3 AB 3 process, developing the work may require meeting rooms and
performing the process, which provided in PII. 0
products, and providing the trained moderators; certain
include a characterization of
verification tests may require
services of the process. special test equipment and people
resources needed. · Evidence
that adequate resources
skilled in the use of the equipment).
(funding, facilities, skilled
Examples of other resources
people, tools, etc.) are actually
provided include the following tools:
provided as needed.
Test management tools; Test-case
generators; Test-coverage
analyzers; Simulators.

· Documentation assigning
responsibility for process
activities, work products, or
Assign responsibility and services; e.g., job descriptions,
or plans for performing the
authority for performing the process. · Task descriptions
process, developing the work There are no direct work and activities for defined roles.
GP2.4 AB 4 No elaboration provided by the SEI.
products for GP2.4. · Acceptance of responsibility 0
products, and providing the
by those assigned; this might
services of the verification be documented in many ways
process. (e.g., signature, commitment,
agreement, appearance on an
org chart, web page contacts,
etc.).

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Qualifications and criteria


Examples of training topics include defined for process tasks and
the following: Application domain; assignments. · Training waiver
· Training courses, materials,
Train the people performing or Verification principles, standards, criteria and approvals. · Skills
and methods. · Training
and methods (e.g., analysis, matrix or database.· Training
GP2.5 AB 5 supporting the verification demonstration, inspection, test);
records (e.g., attendance,
plans, and delivery of training 0
process as needed. course descriptions, evaluation
Verification tools and facilities; Peer according to the plan. ·
forms).
review preparation and procedures; Training effectiveness data
Meeting facilitation. (e.g., surveys, exams,
feedback forms).

· Configuration management
life cycle for identified work
products, i.e., the point at
which products are placed
under various levels of control,
change control authority, etc. ·
Examples of work products placed
Place designated work products under configuration management Work products identified for
Baselines established for
control of work product
of the verification process under include the following: Verification configuration management,
GP2.6 DI 1 procedures and criteria; Peer and the level of configuration
development or release. · 0
appropriate levels of Configuration management
review training material; Peer management to be applied.
configuration management. review data; Verification reports.
processes, populated
repository, and tools. · Change
control documentation for
revisions to designated work
products; e.g., approved
change requests, CCB
minutes and reports.

Select relevant stakeholders from


customers, end users, developers,
· Evidence of stakeholder
producers, testers, suppliers,
involvement as described in
marketers, maintainers, disposal
the plan (e.g., signatures,
personnel, and others who may be
approvals, agreements,
affected by, or may affect, the
attendance lists, memos,
Identify and involve the relevant product as well as the process. List of stakeholders and
minutes, reports, working
Examples of activities for corresponding level of
GP2.7 DI 2 stakeholders of the verification stakeholder involvement include involvement in activities
groups). · Communications 0
process as planned. documented with
the following: Selecting work associated with the process.
stakeholders. · Documented
products and methods for
interfaces and dependencies
verification; Establishing verification
with identified stakeholders. ·
procedures and criteria;
Action items to resolve
Conducting peer reviews;
stakeholder issues.
Assessing verification results and
identifying corrective action.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Select relevant stakeholders from


customers, end users, developers,
· Evidence of stakeholder
producers, testers, suppliers,
involvement as described in
marketers, maintainers, disposal
the plan (e.g., signatures,
personnel, and others who may be
approvals, agreements,
affected by, or may affect, the
attendance lists, memos,
Identify and involve the relevant product as well as the process. List of stakeholders and
minutes, reports, working
Examples of activities for corresponding level of
GP2.7 DI 2 stakeholders of the verification stakeholder involvement include involvement in activities
groups). · Communications 0
process as planned. documented with
the following: Selecting work associated with the process.
stakeholders. · Documented
products and methods for
interfaces and dependencies
verification; Establishing verification
with identified stakeholders. ·
procedures and criteria;
Action items to resolve
Conducting peer reviews;
stakeholder issues.
Assessing verification results and
identifying corrective action.

· Measures of actual
Examples of measures used in performance against plan. ·
monitoring and controlling include Progress tracking reports, e.g.
the following: Verification profile status reports, financials,
(e.g., the number of verifications graphs, analyses. · Evidence
Monitor and control the planned and performed, and the of reviews held with immediate
verification process against the defects found; perhaps categorized level of management (e.g.
by verification method or type); (No direct generic work briefings, reports,
GP2.8 DI 3 plan for performing the process Number of defects detected by products). presentations, milestones). · 0
and take appropriate corrective defect category; Verification Issues and corrective actions
action. problem report trends (e.g., number for deviations from plan (e.g.,
written and number closed); action items, variance reports,
Verification problem report status change requests). · Revisions
(i.e., how long each problem report to plans and commitments
has been open). (e.g., replanned schedule,
costs, resources).

Collect work products,


measures, measurement results,
and improvement information
derived from planning and
(No direct generic work (No direct generic work
GP3.2 DI 4 performing the verification No elaboration provided by the SEI.
products suggested). products suggested). 0
process to support the future use
and improvement of the
organization’s processes and
process assets.
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Collect work products, Points


Goals and Common measures, measurement results, SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features and improvement information Artifacts Suggested Artifacts
(0 or 1)
derived from planning and
(No direct generic work (No direct generic work
GP3.2 DI 4 performing the verification No elaboration provided by the SEI.
products suggested). products suggested). 0
process to support the future use
and improvement of the
organization’s processes and
process assets.

· Identification of processes,
work products, and services to
Examples of activities reviewed be objectively evaluated. ·
include the following: Selecting Records of evaluations or
work products for verification; audits being performed as
Objectively evaluate adherence Establishing and maintaining · Noncompliance issues planned (e.g., reports,
of the verification process verification procedures and criteria; resulting from objective checklists). · Criteria against
Performing peer reviews; Verifying evaluation of adherence to which processes and work
GP2.9 VE 1 against its process description, selected work products. Examples processes, objectives, and products are evaluated. · 0
standards, and procedures, and of work products reviewed include standards. · Results of process Assignment of responsibility
address noncompliance. the following: Verification and product evaluations. for performing objective
procedures and criteria; Peer evaluations. · Revised plans,
review checklists; Verification work products, or standards
reports. reflecting corrective action
resulting from objective
evaluations.

· Status reports and briefings


Review the activities, status, and Materials and results from provided to higher-level
results of the verification process No elaboration provided by the SEI. reviews held with senior management. · Action items
GP2.10 VE 2 management, on both a and corrective action resulting 0
with higher level management periodic and event-driven from management reviews. ·
and resolve issues. basis. Metrics and analyses
summarizing project status.

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Validation (VAL)

Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)
SG 1 Preparation for validation is conducted. 66.7%

1. Identify the key principles,


features, and phases for product or
product-component validation
throughout the life of the project. 2. Requirements defined for a
Determine which categories of user realistic validation environment
Select products and product needs (operational, maintenance, (includes operation,
training, or support) are to be maintenance, training and
components to be validated and Validation strategy · Revisions
SP1.1 validated. 3. Select the product and
to validation strategy.
support delivered with product) 0
the validation methods that will product components to be · Evaluation criteria defined. ·
be used for each. validated. 4. Select the evaluation Stakeholder reviews
methods for product or product- conducted · Validation plans
component validation. 5. Review and procedures.
the validation selection, constraints,
and methods with relevant
stakeholders.

Purchase orders of capital


equipment, resource plans
including hardware and
1. Identify validation environment
software (test tools, simulators,
requirements. 2. Identify customer-
temporary software, recording
Establish and maintain the supplied products. 3. Identify reuse
tools, interfaces with other
items. 4. Identify test equipment Validation environment; Separate test
SP1.2 environment needed to support and tools. 5. Identify validation Revision history.
systems, computing 1
environments, customer- environement exists
validation. resources that are available for
supplied products, etc.). ·
reuse and modification. 6. Plan the
Resource plan, including reuse
availability of resources in detail.
of existing resources. ·
Validation procedures ·
Validation criteria.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Review the product requirements


to ensure that issues affecting
validation of the product or product Test and evaluation
component are identified and procedures for maintenance,
resolved. 2. Document the training, and support; Product
Establish and maintain environment, operational scenario, requirements · Acceptance test
Validation procedures;
SP1.3 procedures and criteria for procedures, inputs, outputs, and
Validation criteria.
cases · Documented 1
validation. criteria for the validation of the environment, operational
selected product or product scenario, inputs, outputs and
component. 3. Assess the design expected results. · Design
as it matures in the context of the revisions.
validation environment to identify
validation issues.

SG 2 The product or product components are validated to ensure that they are suitable for use in their intended operating environment. 50.0%

To be acceptable to users, a
product or product component must
perform as expected in its intended
operational environment. Validation cross-reference
Validation activities are performed matrix; Operational
Perform validation on the and the resulting data are collected demonstrations; Documented
Validation reports; Validation
SP2.1 selected products and product according to the established
results; As-run procedures log.
validation environment · Data 1
components. methods, procedures, and criteria. collected from performing
The as-run validation procedures validation procedures · List of
should be documented and the deviations encountered.
deviations occurring during the
execution should be noted, as
appropriate.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

1. Compare actual results to


expected results. 2. Based on the
established validation criteria,
identify products and product
components that do not perform
Procedure change request ·
suitably in their intended operating
Analyze the results of the Validation evaluation criteria ·
environments, or identify problems Validation deficiency reports;
Comparison of actual vs.
SP2.2 validation activities and identify with the methods, criteria, and/or Validation issues · Analysis
expected results (e.g., 0
issues. environment. 3. Analyze the reports · Validation results.
measurements and
validation data for defects. 4.
performance data).
Record the results of the analysis
and identify issues. 5. Use
validation results to compare actual
measurements and performance to
intended use or operational need.

GG 3 The process is institutionalized as a defined process. 58.3%

· Repository of policies (e.g.,


intranet web access) making
This policy establishes them visible and accessible to
organizational expectations for the organization. · Mapping of
selecting products and product policies to CMMI process
Establish and maintain an components for validation; for areas. · Organizational
· Organizational policy. ·
selecting validation methods; and process architecture, e.g.,
organizational policy for planning Version, date, or revision
GP2.1 CO 1 for establishing and maintaining
history indicating maintenance
linkage of policies, processes, 1
and performing the validation validation procedures, criteria, and procedures. · Signature of
of the policies over time.
process. environments that ensure the policies by authorized senior
products and product components manager. · Configuration
satisfy user needs in their intended control and status data for
operating environment. organizational policies. · Audit
results for implementation of
the policies.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

Establish and maintain the


(No direct generic work (No indirect generic work
GP3.1 AB 1 description of a defined No elaboration provided by the SEI.
products suggested). products suggested). 1
validation process.

· Documented process
descriptions, including
standards and procedures; this
may be included as part of the
plan or by reference. ·
· Documented requirements
Schedules and resources
and objectives for the process
Typically, this plan for performing (funding, people, tools)
Establish and maintain the plan (e.g., quality, cost, schedule). ·
the validation process is included in established for performing the
Documented plan for
GP2.2 AB 2 for performing the validation (or referenced by) the project plan,
performing the process. ·
process. · Measures tracking 0
process. which is described in the Project and controlling progress of the
Revisions to the requirements,
Planning process area. plan. · Evidence of review and
objectives, and plans, as
agreement to the plan by
necessary.
relevant stakeholders (e.g.,
signature, approval, meeting
minutes). Evidence that the
plan for the process is
implemented and followed.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

There are no direct work


product PII types mapped to
Special facilities may be required
GP2.3, but assessment teams
for validating the product or product
should anticipate ·
components. When necessary, the
Provide adequate resources for facilities required for validation are
Documented process
performing the validation descriptions and plans
developed or purchased. Examples
(strategic or tactical) for Additional information not
GP2.3 AB 3 process, developing the work of other resources provided include
performing the process, which provided in PII. 1
products, and providing the the following tools: Test
include a characterization of
management tools; Test-case
services of the process. generators; Test-coverage
resources needed. · Evidence
that adequate resources
analyzers; Simulators; Load, stress,
(funding, facilities, skilled
and performance tools.
people, tools, etc.) are actually
provided as needed.

· Documentation assigning
responsibility for process
activities, work products, or
Assign responsibility and services; e.g., job descriptions,
or plans for performing the
authority for performing the process. · Task descriptions
process, developing the work There are no direct work and activities for defined roles.
GP2.4 AB 4 No elaboration provided by the SEI.
products for GP2.4. · Acceptance of responsibility 1
products, and providing the
by those assigned; this might
services of the validation be documented in many ways
process. (e.g., signature, commitment,
agreement, appearance on an
org chart, web page contacts,
etc.).

· Qualifications and criteria


defined for process tasks and
assignments. · Training waiver
Examples of training topics include · Training courses, materials,
Train the people performing or criteria and approvals. · Skills
the following: Application domain; and methods. · Training
matrix or database.· Training
GP2.5 AB 5 supporting the validation process Validation principles, standards, records (e.g., attendance,
plans, and delivery of training 0
as needed. and methods; Intended-use course descriptions, evaluation
according to the plan. ·
environment. forms).
Training effectiveness data
(e.g., surveys, exams,
feedback forms).

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Configuration management
life cycle for identified work
products, i.e., the point at
which products are placed
under various levels of control,
Examples of work products placed change control authority, etc. ·
Place designated work products under configuration management
Work products identified for
Baselines established for
of the validation process under include the following: Lists of control of work product
configuration management,
GP2.6 DI 1 products and product components
and the level of configuration
development or release. · 1
appropriate levels of selected for validation; Validation Configuration management
management to be applied.
configuration management. methods, procedures, and criteria; processes, populated
Validation reports. repository, and tools. · Change
control documentation for
revisions to designated work
products; e.g., approved
change requests, CCB
minutes and reports.

Select relevant stakeholders from


customers, end users, developers,
producers, testers, suppliers,
marketers, maintainers, disposal
personnel, and others who may be
affected by, or may affect, the
product as well as the process.
Examples of activities for
stakeholder involvement include · Evidence of stakeholder
Selecting the products and product involvement as described in
components to be validated; the plan (e.g., signatures,
Establishing the validation approvals, agreements,
methods, procedures, and criteria; attendance lists, memos,
Identify and involve the relevant List of stakeholders and
Reviewing results of product and minutes, reports, working
corresponding level of
GP2.7 DI 2 stakeholders of the validation product-component validation and
involvement in activities
groups). · Communications 1
process as planned. resolving issues; Resolving issues documented with
associated with the process.
with the customers or end users. stakeholders. · Documented
Issues with the customers or end interfaces and dependencies
users are resolved particularly with identified stakeholders. ·
when there are significant Action items to resolve
deviations from their baseline stakeholder issues.
needs for the following: Waivers on
the contract or agreement (what,
when, and for which products,
services, or manufactured
products); Additional in-depth
studies, trials, tests, or evaluations;
Possible changes in the contracts
or agreements.

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Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features Artifacts Suggested Artifacts
(0 or 1)

· Measures of actual
performance against plan. ·
Progress tracking reports, e.g.
Examples of measures used in status reports, financials,
monitoring and controlling include graphs, analyses. · Evidence
Monitor and control the the following: Number of validation of reviews held with immediate
validation process against the activities completed (planned level of management (e.g.
versus actual); Validation problem (No direct generic work briefings, reports,
GP2.8 DI 3 plan for performing the process report trends (e.g., number written products). presentations, milestones). · 1
and take appropriate corrective and number closed); Validation Issues and corrective actions
action. problem report aging (i.e., how long for deviations from plan (e.g.,
each problem report has been action items, variance reports,
open). change requests). · Revisions
to plans and commitments
(e.g., replanned schedule,
costs, resources).

Collect work products,


measures, measurement results,
and improvement information
derived from planning and
(No direct generic work (No direct generic work
GP3.2 DI 4 performing the validation No elaboration provided by the SEI.
products suggested). products suggested). 0
process to support the future use
and improvement of the
organization’s processes and
process assets.

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Project Name Here 10/12/2010

Points
Goals and Common SEI PII Indirect Organization
Practices
Goal or Practice Statement Amplifying Information SEI PII Direct Artifacts Project Artifacts Earned
Features