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Appendix E: Sample CMMI Compliance Matrix

The following table can be used to plan and track completion of artifacts and

implementation associated with CMMI process area practices and goals. See Chapter15for more information.

Appendix E: Sample CMMI Compliance Matrix


implementation associated with CMMI process area practices and goals. See Chapter

15for more information.

No.Practice or Activity Associated

Procedure/Document

Assigned

To

Date

Due

Date

Reviewed

Status

Process Area: RM

Process Area: GG2 Institutionalize a Managed Process

1 G!.1 "C#1$%&stablish an

organi'ational polic(

olic(

)*+)!+)! ,ppro-ed

! G!.! ",1$% lanthe process

lan

rocess description

Schedule

&stimates

)*+)!+)! Complete

* G!.* ",!$%

ro-ide resources

See lan

Complete

/ G!./ ",*$% ,ssignresponsibilit(

See lan

Complete

5 G!.5 ",/$% Train

people

See lan and training

materials

In progress

0 G!.0 "I1$% Manageconfigurations

T

In progress


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Procedure/Document

Assigned

To

Date

Due

Date

Reviewed

Status

2 G!.2 "I!$% Identif(and in-ol-e rele-ant

stakeholders

See Implementationlan

Complete

3 G!.3 "I*$% Monitorand control the

process

T

eferred

4 G!.4 "&1$%

#b6ecti-el( e-aluate

adherence

rocedure I5

rocedure I2

Complete

1) G!.1) "&!$%

7e-iew status with

higher8le-elmanagement

rocedure I0

Complete

Process Area: SG1: Manage Reuirements

11 S1.1% #btain an

understanding of

re9uirements

rocedure 7M1

&G

re-iew

1! S1.!% #btaincommitment to

re9uirements

rocedure 7M!

&Gre-iew

1* S1.*% Managere9uirements changes

rocedure 7M*: 7M/

rocedure CM/

ending

1/ S1./% Maintain

bidirectionaltraceabilit( of

re9uirements

rocedure 7M/

7e6ected

15 S1.5% Identif(

inconsistenciesbetween pro6ect work

rocedure 7M5

ending


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Procedure/Document

Assigned

To

Date

Due

Date

Reviewed

Status

and re9uirements

Appendix !: Sample CMM Compliance Matrix


implementation associated with CMM process area practices and goals. See Chapter 15for more information.

No.Process Area

CMM

Reference Document

Assigned

To

Date

Due/ReviewedStatus

1 Infrastructure

SI lan

! Infrastructure

Implementation lan

* Infrastructure

#rgani'ation;s Standard

Software rocess"#SS$

/ Infrastructure

S&G Charter

5 Infrastructure

S&G resentation

Template

0 Infrastructure

rocedure Template

2 Infrastructure

Training acket

Guidelines for ilots

3 7e9uirementsManagement

7M Charter

4 7e9uirementsManagement

7M ,ction lan

1) 7e9uirements 7M


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No.Process Area

CMM

Reference Document

Assigned

To

Date

Due/ReviewedStatus

Management

11 7e9uirements

Management

7M Schedule

1! 7e9uirements

Management

C#1: ,1:

,*: ,/

olic( for managing

s(stem re9uirements

allocated to software%includes establishing

responsibilit(: pro-iding

ade9uate resources and

re9uired 7M training

1* 7e9uirements

Management

,!: ,C1 rocedure for

7e9uirementsSpecification and

7e-iew

1/ 7e9uirements

Management

,!: ,C! rocedure for

completing

7e9uirements

Traceabilit( Matri="7TM$% includes use as

basis for S and workproducts

15 7e9uirements

Management

,C* rocedure for S7S and

7TM changes

10 7e9uirements

Management

M&1 rocedure for 7M

metrics

12 7e9uirements

Management

&1: &! rocedure for ro6ect

and Senior Managementre-iews

13 Softwarero6ect

lanning

S Charter


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No.Process Area

CMM

Reference Document

Assigned

To

Date

Due/ReviewedStatus

14 Softwarero6ect

lanning

S ,ction lan

!) Softwarero6ect

lanning

S


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No.Process Area

CMM

Reference Document

Assigned

To

Date

Due/ReviewedStatus

!3 Softwarero6ect

lanning

,ct84 rocedure for estimatingsi'e of software work

products

!4 Softwarero6ect

lanning

,ct81) rocedure for estimatingeffort and cost for the

software pro6ect

*) Software

ro6ect

lanning

,ct811 rocedure for estimating

critical computer

resources

*1 Software

ro6ect

lanning

,ct81! rocedure for deri-ing

software pro6ect

schedule

*! Software

ro6ectlanning

,ct81* 7isk identification and

assessment documentfor each software

pro6ect

** Softwarero6ect

lanning

,ct81/ lans for softwarefacilities and tools for

each software pro6ect

*/ Software

ro6ectlanning

,ct815 &stimates and basis for

estimates data isrecorded for each

software pro6ect

*5 Software

ro6ectlanning

M&1 Measurements are made

to determine status ofsoftware planning

acti-ities "rationale formeasurements and how

to collect and anal('e

them$

*0 Software &1 &! The acti-ities of S


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No.Process Area

CMM

Reference Document

Assigned

To

Date

Due/ReviewedStatus

ro6ectlanning

pro6ect planning arere-iewed with Senior

Management and

ro6ect Management ?

procedures for both

*2 Software

ro6ectlanning

&* S@, audit of

,cti-ities ? proceduresfor 9ualit( re-iews ?

ma( be found in S@,

A,

Appendix G: C"ec#list $or t"e Staged Representation o$ t"e CMMI

%&er&ie'

This checklist displa(s the specific goals and specific practices for each process area. Bor

process impro-ement efforts: this checklist can be used to document whether proceduresha-e been written for a practice: what stage the documentation is in: and who is

responsible. Bor appraisals: the appraisal team can use this checklist to determine whether

the practices ha-e been institutionali'ed in order to achie-e the goals for each processarea. Beel free to add columns or rows to insert comments: tasks: status indicators:

subpractices: artifacts: or an(thing else (ou feel will help structure and track (our efforts.

The process areas are arranged b( Maturit( e-els ! through 5.


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The purpose of 7e9uirements Management is to manage the re9uirements of the pro6ect;s

products and product components: and to identif( inconsistencies between those

re9uirements and the pro6ect;s plans and work products.

Specific ractices b( Specific Goal%

SG1

Manage 7e9uirements

7e9uirements are managed and inconsistencies with pro6ect plans and work products

are identified.

S1.1

#btain an Dnderstanding of 7e9uirements

e-elop an understanding with the re9uirements pro-iders on the meaning of

the re9uirements.

S1.!

#btain Commitment to 7e9uirements

#btain commitment to the re9uirements from the pro6ect participants.

S1.*

Manage 7e9uirements Changes

Manage changes to the re9uirements as the( e-ol-e during the pro6ect.

S1./

Maintain idirectional Traceabilit( of 7e9uirements

Maintain bidirectional traceabilit( among the re9uirements and the pro6ect

plans and work products.

S1.5

Identif( Inconsistencies between ro6ect


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&stablish and maintain estimates of the attributes of the work products and

tasks.

S1.*

efine ro6ect ife C(cle

efine the pro6ect life8c(cle phases upon which to scope the planning effort.

S1./

etermine &stimates of &ffort and Cost

&stimate the pro6ect effort and cost for the work products and tasks based on

estimation rationale.

SG!

e-elop a ro6ect lan

, pro6ect plan is established and maintained as the basis for managing the pro6ect.

S!.1

&stablish the udget and Schedule

&stablish and maintain the pro6ect;s budget and schedule.

S!.!Identif( ro6ect 7isks

Identif( and anal('e pro6ect risks.

S!.*

lan for ata Management

lan for the management of pro6ect data.

S!./

lan for ro6ect 7esources

lan for necessar( resources to perform the pro6ect.

S!.5

lan for Eeeded Anowledge and Skills

lan for knowledge and skills needed to perform the pro6ect.

S!.0

lan Stakeholder In-ol-ement

lan the in-ol-ement of identified stakeholders.

S!.2

&stablish the ro6ect lan

&stablish and maintain the o-erall pro6ect plan content.

SG*

#btain Commitment to the lan

Commitments to the pro6ect plan are established and maintained.

S*.17e-iew lans that ,ffect the ro6ect

7e-iew all plans that affect the pro6ect to understand pro6ect commitments.

S*.!

7econcile


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#btain commitment from rele-ant stakeholders responsible for performing

and supporting plan e=ecution.

Pro*ect Monitoring and Control

The purpose of ro6ect Monitoring and Control is to pro-ide an understanding of the

pro6ect;s progress so that appropriate correcti-e actions can be taken when the pro6ect;sperformance de-iates significantl( from the plan.


SG1

Monitor ro6ect against lan

,ctual performance and progress of the pro6ect are monitored against the pro6ectplan.

S1.1Monitor ro6ect lanning arameters

Monitor the actual -alues of the pro6ect planning parameters against the

pro6ect plan.

S1.!

Monitor Commitments

Monitor commitments against those identified in the pro6ect plan.

S1.*

Monitor ro6ect 7isks

Monitor risks against those identified in the pro6ect plan.

S1./

Monitor ata Management

Monitor the management of pro6ect data against the pro6ect plan.

S1.5

Monitor Stakeholder In-ol-ement

Monitor stakeholder in-ol-ement against the pro6ect plan.

S1.0

Conduct rogress 7e-iews

eriodicall( re-iew the pro6ect;s progress: performance: and issues.

S1.2

Conduct Milestone 7e-iews

7e-iew the accomplishments and results of the pro6ect at selected pro6ectmilestones.

SG!

Manage Correcti-e ,ction to Closure

Correcti-e actions are managed to closure when the pro6ect;s performance or resultsde-iate significantl( from the plan.

S!.1

,nal('e Issues


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Collect and anal('e the issues and determine the correcti-e actions necessar(

to address the issues.

S!.!

Take Correcti-e ,ction

Take correcti-e action on identified issues.

S!.*

Manage Correcti-e ,ction

Manage correcti-e actions to closure.

Supplier Agreement Management

The purpose of Supplier ,greement Management is to manage the ac9uisition of

products from suppliers for which there e=ists a formal agreement.


SG1

&stablish Supplier ,greements

,greements with the suppliers are established and maintained.

S1.1

etermine ,c9uisition T(pe

etermine the t(pe of ac9uisition for each product or product component to be

ac9uired.

S1.!

Select Suppliers

Select suppliers based on an e-aluation of their abilit( to meet the specified

re9uirements and established criteria.

S1.*


&stablish and maintain formal agreements with the supplier.

SG!

Satisf( Supplier ,greements

,greements with the suppliers are satisfied b( both the pro6ect and the supplier.

S!.1

7e-iew C#TS roducts

7e-iew candidate C#TS products to ensure the( satisf( the specified

re9uirements that are co-ered under a supplier agreement.

S!.!

&=ecute the Supplier ,greement

erform acti-ities with the supplier as specified in the supplier agreement.

S!.*

,ccept the ,c9uired roduct

&nsure that the supplier agreement is satisfied before accepting the ac9uiredproduct.


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S!./

Transition roducts

Transition the ac9uired products from the supplier to the pro6ect.

Measurement and Anal(sis

The purpose of Measurement and ,nal(sis is to de-elop and sustain a measurement

capabilit( that is used to support management information needs.


SG1

,lign Measurement and ,nal(sis ,cti-ities

Measurement ob6ecti-es and acti-ities are aligned with identified information needs

and ob6ecti-es.

S1.1

&stablish Measurement #b6ecti-es

&stablish and maintain measurement ob6ecti-es that are deri-ed from

identified information needs and ob6ecti-es.

S1.!

Specif( Measures

Specif( measures to address the measurement ob6ecti-es.

S1.*

Specif( ata Collection and Storage rocedures

Specif( how measurement data will be obtained and stored.

S1./

Specif( ,nal(sis rocedures

Specif( how measurement data will be anal('ed and reported.

SG!

ro-ide Measurement 7esults

Measurement results that address identified information needs and ob6ecti-es are

pro-ided.

S!.1

Collect Measurement ata

#btain specified measurement data.

S!.!

,nal('e Measurement ata

,nal('e and interpret measurement data.

S!.*

Store ata and 7esults

Manage and store measurement data: measurement specifications: and

anal(sis results.

S!./

Communicate 7esults

7eport results of measurement and anal(sis acti-ities to all rele-ant


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stakeholders.

Process and Product +ualit( Assurance

The purpose of rocess and roduct @ualit( ,ssurance is to pro-ide staff andmanagement with ob6ecti-e insight into processes and associated work products.


SG1

#b6ecti-el( &-aluate rocesses and


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S1.1

Identif( Configuration Items

Identif( the configuration items: components: and related work products that

will be placed under configuration management.

S1.!

&stablish a Configuration Management S(stem

&stablish and maintain a configuration management and change management

s(stem for controlling work products.

S1.*

Create or 7elease aselines

Create or release baselines for internal use and for deli-er( to the customer.

SG!

Track and Control Changes

Changes to the work products under configuration management are tracked and

controlled.

S!.1

Track Change 7e9uests

Track change re9uests for the configuration items.

S!.!

Control Configuration Items

Control changes to the configuration items.

SG*

&stablish Integrit(

Integrit( of baselines is established and maintained.

S*.1

&stablish Configuration Management 7ecords

&stablish and maintain records describing configuration items.

S*.!

erform Configuration ,udits

erform configuration audits to maintain integrit( of the configuration

baselines.

Reuirements ,e&elopment

The purpose of 7e9uirements e-elopment is to produce and anal('e customer: product:and product8component re9uirements.


SG1

e-elop Customer 7e9uirements

Stakeholder needs: e=pectations: constraints: and interfaces are collected and

translated into customer re9uirements.


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S1.1

&licit Eeeds

&licit stakeholder needs: e=pectations: constraints: and interfaces for allphases of the product life c(cle.

The following specific practice appears in the continuous representation as S1.181:

but is subsumed in the staged representation b( S1.1: &licit Eeeds. The specific

practice is presented here in gra( onl( as informati-e material.

S1.181

Collect Stakeholder Eeeds

Identif( and collect stakeholder needs: e=pectations: constraints: and

interfaces for all phases of the product life c(cle.

S1.!

e-elop the Customer 7e9uirements

Transform stakeholder needs: e=pectations: constraints: and interfaces into

customer re9uirements.

SG!

e-elop roduct 7e9uirements

Customer re9uirements are refined and elaborated to de-elop product and product8component re9uirements.

S!.1

&stablish roduct and roduct8Component 7e9uirements

&stablish and maintain product and product8component re9uirements:

which are based on the customer re9uirements.

S!.!

,llocate roduct8Component 7e9uirements

,llocate the re9uirements for each product component.

S!.*

Identif( Interface 7e9uirements

Identif( interface re9uirements.

SG*

,nal('e and alidate 7e9uirements

The re9uirements are anal('ed and -alidated: and a definition of re9uired

functionalit( is de-eloped.

S*.1

&stablish #perational Concepts and Scenarios

&stablish and maintain operational concepts and associated scenarios.

S*.!

&stablish a efinition of 7e9uired Bunctionalit(

&stablish and maintain a definition of re9uired functionalit(.

S*.*

,nal('e 7e9uirements


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,nal('e re9uirements to ensure that the( are necessar( and sufficient.

S*./

,nal('e 7e9uirements to ,chie-e alance

,nal('e re9uirements to balance stakeholder needs and constraints.

S*.5

alidate 7e9uirements with Comprehensi-e Methods

alidate re9uirements to ensure the resulting product will perform as

intended in the user;s en-ironment using multiple techni9ues asappropriate.

The following specific practice appears in the continuous representation as S*.581:but is subsumed in the staged representation b( S*.5: alidate 7e9uirements with

Comprehensi-e Methods. The specific practice is presented here in gra( onl( as

informati-e material.

S*.581

alidate 7e9uirements

alidate re9uirements to ensure the resulting product will perform

appropriatel( in its intended8use en-ironment.

-ec"nical Solution

The purpose of Technical Solution is to design: de-elop: and implement solutions tore9uirements. Solutions: designs: and implementations encompass products: product

components: and product8related life8c(cle processes either singl( or in combinations: as

appropriate.


SG1

Select roduct8Component Solutions

roduct or product8component solutions are selected from alternati-e solutions.

S1.1

e-elop etailed ,lternati-e Solutions and Selection Criteria

e-elop detailed alternati-e solutions and selection criteria.

The following specific practice appears in the continuous representation as S1.181:but is subsumed in the staged representation b( S1.1: e-elop etailed ,lternati-eSolutions and Selection Criteria. The specific practice is presented here in gra( onl(

as informati-e material.

S1.181

e-elop ,lternati-e Solutions and Selection Criteria

e-elop alternati-e solutions and selection criteria.


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S1.!

&-ol-e #perational Concepts and Scenarios

&-ol-e the operational concept: scenarios: and en-ironments to describe the

conditions: operating modes: and operating states specific to each productcomponent.

S1.*Select roduct8Component Solutions

Select the product8component solutions that best satisf( the criteria

established.

SG!

e-elop the esign

roduct or product8component designs are de-eloped.

S!.1

esign the roduct or roduct Component

e-elop a design for the product or product component.

S!.!

&stablish a Technical ata ackage

&stablish and maintain a technical data package.

S!.*

esign Interfaces Dsing Criteria

esign comprehensi-e product8component interfaces in terms of

established and maintained criteria.

The following specific practice appears in the continuous representation as S!.*81:but is subsumed in the staged representation b( S!.*: esign Interfaces Dsing

Criteria. The specific practice is presented here in gra( onl( as informati-e material.

S!.*81

&stablish Interface escriptions

&stablish and maintain the solution for product8component interfaces.

S!./

erform Make: u(: or 7euse ,nal(ses

&-aluate whether the product components should be de-eloped: purchased:

or reused based on established criteria.

SG*

Implement the roduct esign

roduct components and associated support documentation are implemented fromtheir designs.

S*.1Implement the esign

Implement the designs of the product components.

S*.!

e-elop roduct Support ocumentation

e-elop and maintain the end8use documentation.

Product Integration


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The purpose of roduct Integration is to assemble the product from the product

components: ensure that the product: as integrated: functions properl(: and deli-er the

product.


SG1

repare for roduct Integration

reparation for product integration is conducted.

S1.1

etermine Integration Se9uence

etermine the product8component integration se9uence.

S1.!

&stablish the roduct Integration &n-ironment

&stablish and maintain the en-ironment needed to support the integration of

the product components.

S1.*&stablish roduct Integration rocedures and Criteria

&stablish and maintain procedures and criteria for integration of the productcomponents.

SG!

&nsure Interface Compatibilit(

The product8component interfaces: both internal and e=ternal: are compatible.

S!.1

7e-iew Interface escriptions for Completeness

7e-iew interface descriptions for co-erage and completeness.

S!.!

Manage Interfaces

Manage internal and e=ternal interface definitions: designs: and changes for

products and product components.

SG*

,ssemble roduct Components and eli-er the roduct

erified product components are assembled and the integrated: -erified: and

-alidated product is deli-ered.

S*.1

Confirm 7eadiness of roduct Components for Integration

Confirm: prior to assembl(: that each product component re9uired to assemble

the product has been properl( identified: functions according to itsdescription: and that the product8component interfaces compl( with the

interface descriptions.

S*.!

,ssemble roduct Components

,ssemble product components according to the product integration se9uence

and a-ailable procedures.


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S*.*

&-aluate ,ssembled roduct Components

&-aluate assembled product components for interface compatibilit(.

S*./

ackage and eli-er the roduct or roduct Component

ackage the assembled product or product component and deli-er it to theappropriate customer.

.eri$ication

The purpose of erification is to ensure that selected work products meet their specified

re9uirements.


SG1

repare for erification

reparation for -erification is conducted.

S1.1

Select


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S*.1

erform erification

erform -erification on the selected work products.

S*.!

,nal('e erification 7esults and Identif( Correcti-e ,ction

,nal('e the results of all -erification acti-ities and identif( correcti-e action.

.alidation

The purpose of alidation is to demonstrate that a product or product component fulfills

its intended use when placed in its intended en-ironment.


SG1

repare for alidation

reparation for -alidation is conducted.

S1.1

Select roducts for alidation

Select products and product components to be -alidated and the -alidation

methods that will be used for each.

S1.!

&stablish the alidation &n-ironment

&stablish and maintain the en-ironment needed to support -alidation.

S1.*

&stablish alidation rocedures and Criteria

&stablish and maintain procedures and criteria for -alidation.

SG!

alidate roduct or roduct Components

The product or product components are -alidated to ensure that the( are suitable foruse in their intended operating en-ironment.

S!.1

erform alidation

erform -alidation on the selected products and product components.

S!.!

,nal('e alidation 7esults

,nal('e the results of the -alidation acti-ities and identif( issues.

%rganizational Process !ocus

The purpose of #rgani'ational rocess Bocus is to plan and implement organi'ationalprocess impro-ement based on a thorough understanding of the current strengths and

weaknesses of the organi'ation;s processes and process assets.



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SG1

etermine rocess8Impro-ement #pportunities

Strengths: weaknesses: and impro-ement opportunities for the organi'ation;s

processes are identified periodicall( and as needed.

S1.1

&stablish #rgani'ational rocess Eeeds

&stablish and maintain the description of the process needs and ob6ecti-es for

the organi'ation.

S1.!

,ppraise the #rgani'ation;s rocesses

,ppraise the processes of the organi'ation periodicall( and as needed tomaintain an understanding of their strengths and weaknesses.

S1.*

Identif( the #rgani'ation;s rocess Impro-ements

Identif( impro-ements to the organi'ation;s processes and process assets.

SG!

lan and Implement rocess8Impro-ement ,cti-ities

Impro-ements are planned and implemented: organi'ational process assets are

deplo(ed: and process8related e=periences are incorporated into the organi'ational

process assets.

S!.1

&stablish rocess ,ction lans

&stablish and maintain process action plans to address impro-ements to theorgani'ation;s processes and process assets.

S!.!

Implement rocess ,ction lans

Implement process action plans across the organi'ation.

S!.*

eplo( #rgani'ational rocess ,ssets

eplo( organi'ational process assets across the organi'ation.

S!./

Incorporate rocess87elated &=periences into the #rgani'ational rocess

,ssets

Incorporate process8related work products: measures: and impro-ementinformation deri-ed from planning and performing the process into the

organi'ational process assets.

%rganizational Process ,e$inition

The purpose of #rgani'ational rocess efinition is to establish and maintain a usable set

of organi'ational process assets.



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SG1

&stablish #rgani'ational rocess ,ssets

, set of organi'ational process assets is established and maintained.

S1.1

&stablish Standard rocesses

&stablish and maintain the organi'ation;s set of standard processes.

S1.!

&stablish ife8C(cle Model escriptions

&stablish and maintain descriptions of the life8c(cle models appro-ed for use

in the organi'ation.

S1.*

&stablish Tailoring Criteria and Guidelines

&stablish and maintain the tailoring criteria and guidelines for the

organi'ation;s set of standard processes.

S1./

&stablish the #rgani'ation;s Measurement 7epositor(

&stablish and maintain the organi'ation;s measurement repositor(.

S1.5

&stablish the #rgani'ation;s rocess ,sset ibrar(

&stablish and maintain the organi'ation;s process asset librar(.

%rganizational -raining

The purpose of #rgani'ational Training is to de-elop the skills and knowledge of people

so the( can perform their roles effecti-el( and efficientl(.


SG1

&stablish an #rgani'ational Training Capabilit(

, training capabilit( that supports the organi'ation;s management and technical roles

is established and maintained.

S1.1

&stablish the Strategic Training Eeeds

&stablish and maintain the strategic training needs of the organi'ation.

S1.!

etermine


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needs.

SG!

ro-ide Eecessar( Training

Training necessar( for indi-iduals to perform their roles effecti-el( is pro-ided.

S!.1eli-er Training

eli-er the training following the organi'ational training tactical plan.

S!.!

&stablish Training 7ecords

&stablish and maintain records of the organi'ational training.

S!.*

,ssess Training &ffecti-eness

,ssess the effecti-eness of the organi'ation;s training program.

Integrated Pro*ect Management $or IPP,

The purpose of Integrated ro6ect Management is to establish and manage the pro6ect andthe in-ol-ement of the rele-ant stakeholders according to an integrated and defined

process that is tailored from the organi'ation;s set of standard processes.

Bor Integrated roduct and rocess e-elopment: Integrated ro6ect Management also

co-ers the establishment of a shared -ision for the pro6ect and a team structure forintegrated teams that will carr( out the ob6ecti-es of the pro6ect.


SG1Dse the ro6ect;s efined rocess

The pro6ect is conducted using a defined process that is tailored from theorgani'ation;s set of standard processes.

S1.1

&stablish the ro6ect;s efined rocess

&stablish and maintain the pro6ect;s defined process.

S1.!

Dse #rgani'ational rocess ,ssets for lanning ro6ect ,cti-ities

Dse the organi'ational process assets and measurement repositor( forestimating and planning the pro6ect;s acti-ities.

S1.*

Integrate lans

Integrate the pro6ect plan and the other plans that affect the pro6ect to describe

the pro6ect;s defined process.

S1./

Manage the ro6ect Dsing the Integrated lans

Manage the pro6ect using the pro6ect plan: the other plans that affect the


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pro6ect: and the pro6ect;s defined process.

S1.5

Contribute to the #rgani'ational rocess ,ssets

Contribute work products: measures: and documented e=periences to the


SG!

Coordinate and Collaborate with 7ele-ant Stakeholders

Coordination and collaboration of the pro6ect with rele-ant stakeholders is

conducted.

S!.1

Manage Stakeholder In-ol-ement

Manage the in-ol-ement of the rele-ant stakeholders in the pro6ect.

S!.!

Manage ependencies

articipate with rele-ant stakeholders to identif(: negotiate: and track critical

dependencies.

S!.*

7esol-e Coordination Issues

7esol-e issues with rele-ant stakeholders.

SG*

Dse the ro6ect;s Shared ision for I

The pro6ect is conducted using the pro6ect;s shared -ision.

S*.1

efine ro6ect;s Shared8ision Conte=t

Identif( e=pectations: constraints: interfaces: and operational conditionsapplicable to the pro6ect;s shared -ision.

S*.!

&stablish the ro6ect;s Shared ision

&stablish and maintain a shared -ision for the pro6ect.

SG/

#rgani'e Integrated Teams for I

The integrated teams needed to e=ecute the pro6ect are identified: defined: structured:and tasked.

S/.1

etermine Integrated Team Structure for the ro6ect

etermine the integrated team structure that will best meet the pro6ect

ob6ecti-es and constraints.

S/.!

e-elop a reliminar( istribution of 7e9uirements to Integrated Teams

e-elop a preliminar( distribution of re9uirements: responsibilities:

authorities: tasks: and interfaces to teams in the selected integrated team

structure.

S/.*

&stablish Integrated Teams


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&stablish and maintain teams in the integrated team structure.

Ris# Management

The purpose of 7isk Management is to identif( potential problems before the( occur: sothat risk8handling acti-ities ma( be planned and in-oked as needed across the life of the

product or pro6ect to mitigate ad-erse impacts on achie-ing ob6ecti-es.


SG1

repare for 7isk Management

reparation for risk management is conducted.

S1.1

etermine 7isk Sources and Categories

etermine risk sources and categories.

S1.!

efine 7isk arameters

efine the parameters used to anal('e and categori'e risks: and the parameters

used to control the risk management effort.

S1.*

&stablish a 7isk Management Strateg(

&stablish and maintain the strateg( to be used for risk management.

SG!

Identif( and ,nal('e 7isks

7isks are identified and anal('ed to determine their relati-e importance.

S!.1

Identif( 7isks

Identif( and document the risks.

S!.!

&-aluate: Categori'e: and rioriti'e 7isks

&-aluate and categori'e each identified risk using the defined risk categories

and parameters: and determine its relati-e priorit(.

SG*

Mitigate 7isks

7isks are handled and mitigated: where appropriate: to reduce ad-erse impacts on

achie-ing ob6ecti-es.

S*.1

e-elop 7isk Mitigation lans

e-elop a risk mitigation plan for the most important risks to the pro6ect: as

defined b( the risk management strateg(.

S*.!

Implement 7isk Mitigation lans

Monitor the status of each risk periodicall( and implement the risk mitigation


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plan as appropriate.

Integrated -eaming

The purpose of Integrated Teaming is to form and sustain an integrated team for thede-elopment of work products.


SG1

&stablish Team Composition

, team composition that pro-ides the knowledge and skills re9uired to deli-er the

team;s product is established and maintained.

S1.1

Identif( Team Tasks

Identif( and define the team;s specific internal tasks to generate the team;se=pected output.

S1.!

Identif( Eeeded Anowledge and Skills

Identif( the knowledge: skills: and functional e=pertise needed to perform

team tasks.

S1.*

,ssign ,ppropriate Team Members

,ssign the appropriate personnel to be team members based on re9uired

knowledge and skills.

SG!

Go-ern Team #peration

#peration of the integrated team is go-erned according to established principles.

S!.1

&stablish a Shared ision

&stablish and maintain a shared -ision for the integrated team that is aligned

with an( o-erarching or higher8le-el -ision.

S!.!

&stablish a Team Charter

&stablish and maintain a team charter based on the integrated team;s shared-ision and o-erall team ob6ecti-es.

S!.* efine 7oles and 7esponsibilities

Clearl( define and maintain each team member;s roles and responsibilities.

S!./

&stablish #perating rocedures

&stablish and maintain integrated team operating procedures.

S!.5

Collaborate among Interfacing Teams


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&stablish and maintain collaboration among interfacing teams.

Integrated Supplier Management

The purpose of Integrated Supplier Management is to proacti-el( identif( sources ofproducts that ma( be used to satisf( the pro6ect;s re9uirements and to manage selected

suppliers while maintaining a cooperati-e pro6ect8supplier relationship.


SG1

,nal('e and Select Sources of roducts

otential sources of products that best fit the needs of the pro6ect are identified:

anal('ed: and selected.

S1.1

,nal('e otential Sources of roducts

Identif( and anal('e potential sources of products that can be used to satisf(

the pro6ect;s re9uirements.

S1.!

&-aluate and etermine Sources of roducts

Dse a formal e-aluation process to determine which sources of custom8madeand off8the8shelf products to use.

SG!

Coordinate


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SG1

&-aluate ,lternati-es

ecisions are based on an e-aluation of alternati-es using established criteria.

S1.1

&stablish Guidelines for ecision ,nal(sis

&stablish and maintain guidelines to determine which issues are sub6ect to aformal e-aluation process.

S1.!

&stablish &-aluation Criteria

&stablish and maintain the criteria for e-aluating alternati-es: and the relati-e

ranking of these criteria.

S1.*

Identif( ,lternati-e Solutions

Identif( alternati-e solutions to address issues.

S1./

Select &-aluation Methods

Select the e-aluation methods.

S1.5


&-aluate alternati-e solutions using the established criteria and methods.

S1.0

Select Solutions

Select solutions from the alternati-es based on the e-aluation criteria.

%rganizational En&ironment $or Integration

The purpose of #rgani'ational &n-ironment for Integration is to pro-ide an Integrated

roduct and rocess e-elopment "I$ infrastructure and manage people forintegration.


SG1

ro-ide I Infrastructure

,n infrastructure that ma=imi'es the producti-it( of people and affects the

collaboration necessar( for integration is pro-ided.

S1.1

&stablish the #rgani'ation;s Shared ision

&stablish and maintain a shared -ision for the organi'ation.

S1.!

&stablish an Integrated


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Identif( the uni9ue skills needed to support the I en-ironment.

SG!

Manage eople for Integration

eople are managed to nurture the integrati-e and collaborati-e beha-iors of an

I en-ironment.

S!.1

&stablish eadership Mechanisms

&stablish and maintain leadership mechanisms to enable timel( collaboration.

S!.!

&stablish Incenti-es for Integration

&stablish and maintain incenti-es for adopting and demonstrating integrati-eand collaborati-e beha-iors at all le-els of the organi'ation.

S!.*

&stablish Mechanisms to alance Team and Fome #rgani'ation

7esponsibilities

&stablish and maintain organi'ational guidelines to balance team and homeorgani'ation responsibilities.

Maturit( )e&el /

%rganizational Process Per$ormance

The purpose of #rgani'ational rocess erformance is to establish and maintain a

9uantitati-e understanding of the performance of the organi'ation;s set of standard

processes in support of 9ualit( and process8performance ob6ecti-es: and to pro-ide theprocess performance data: baselines: and models to 9uantitati-el( manage the

organi'ation;s pro6ects.


SG1

&stablish erformance aselines and Models

aselines and models that characteri'e the e=pected process performance of theorgani'ation;s set of standard processes are established and maintained.

S1.1

Select rocesses

Select the processes or process elements in the organi'ation;s set of standard

processes that are to be included in the organi'ation;s process performanceanal(ses.

S1.!

&stablish rocess erformance Measures

&stablish and maintain definitions of the measures that are to be included in

the organi'ation;s process performance anal(ses.


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S1.*

&stablish @ualit( and rocess8erformance #b6ecti-es

&stablish and maintain 9uantitati-e ob6ecti-es for 9ualit( and process

performance for the organi'ation.

S1./

&stablish rocess erformance aselines

&stablish and maintain the organi'ation;s process performance baselines.

S1.5

&stablish rocess erformance Models

&stablish and maintain the process performance models for the organi'ation;s

set of standard processes.

+uantitati&e Pro*ect Management

The purpose of the @uantitati-e ro6ect Management process area is to 9uantitati-el(

manage the pro6ect;s defined process to achie-e the pro6ect;s established 9ualit( and

process8performance ob6ecti-es.


SG1

@uantitati-el( Manage the ro6ect

The pro6ect is 9uantitati-el( managed using 9ualit( and process8performance

ob6ecti-es.

S1.1

&stablish the ro6ect;s #b6ecti-es

&stablish and maintain the pro6ect;s 9ualit( and process8performance

ob6ecti-es.

S1.!

Compose the efined rocess

Select the subprocesses that compose the pro6ect;s defined process: based on

historical stabilit( and capabilit( data.

S1.*

Select the Subprocesses that


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S!.1

Select Measures and ,nal(tic Techni9ues

Select the measures and anal(tic techni9ues to be used in statisticall(

managing the selected subprocesses.

S!.!

,ppl( Statistical Methods to Dnderstand ariation

&stablish and maintain an understanding of the -ariation of the selected

subprocesses using the selected measures and anal(tic techni9ues.

S!.*

Monitor erformance of the Selected Subprocesses

Monitor the performance of the selected subprocesses to determine theircapabilit( to satisf( their 9ualit( and process8performance ob6ecti-es: and

identif( correcti-e action as necessar(.

S!./

7ecord Statistical Management ata

7ecord statistical and 9ualit( management data in the organi'ation;s

measurement repositor(.

Maturit( )e&el 0

%rganizational Inno&ation and ,eplo(ment

The purpose of #rgani'ational Inno-ation and eplo(ment is to select and deplo(

incremental and inno-ati-e impro-ements that measurabl( impro-e the organi'ation;sprocesses and technologies. The impro-ements support the organi'ation;s 9ualit( and

process8performance ob6ecti-es as deri-ed from the organi'ation;s business ob6ecti-es.


SG1

Select Impro-ements

rocess and technolog( impro-ements that contribute to meeting 9ualit( andprocess8performance ob6ecti-es are selected.

S1.1

Collect and ,nal('e Impro-ement roposals

Collect and anal('e process8 and technolog(8impro-ement proposals.

S1.!

Identif( and ,nal('e Inno-ations

Identif( and anal('e inno-ati-e impro-ements that could increase theorgani'ation;s 9ualit( and process performance.

S1.*

ilot Impro-ements

ilot process and technolog( impro-ements to select which ones to

implement.


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S1./

Select Impro-ements for eplo(ment

Select process8 and technolog(8impro-ement proposals for deplo(ment across

the organi'ation.

SG!

eplo( Impro-ements

Measurable impro-ements to the organi'ation;s processes and technologies are

continuall( and s(stematicall( deplo(ed.

S!.1

lan the eplo(ment

&stablish and maintain the plans for deplo(ing the selected process andtechnolog( impro-ements.

S!.!

Manage the eplo(ment

Manage the deplo(ment of the selected process and technolog( impro-ements.

S!.*

Measure Impro-ement &ffects

Measure the effects of the deplo(ed process and technolog( impro-ements.

Causal Anal(sis and Resolution

The purpose of Causal ,nal(sis and 7esolution is to identif( causes of defects and other

problems and take action to pre-ent them from occurring in the future.


SG1

etermine Causes of efects

7oot causes of defects and other problems are s(stematicall( determined.

S1.1

Select efect ata for ,nal(sis

Select the defects and other problems for anal(sis.

S1.!

,nal('e Causes

erform causal anal(sis of selected defects and other problems and propose

actions to address them.

SG!

,ddress Causes of efects

7oot causes of defects and other problems are s(stematicall( addressed to pre-ent

their future occurrence.

S!.1

Implement the ,ction roposals

Implement the selected action proposals that were de-eloped in causal

anal(sis.


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S!.!

&-aluate the &ffect of Changes

&-aluate the effect of changes on process performance.

S!.*

7ecord ata

7ecord causal anal(sis and resolution data for use across the pro6ect andorgani'ation.

Generic Practices ( Generic Goal

GG!

Institutionali'e a Managed rocess

The process is institutionali'ed as a managed process.

Commitment to Per$orm

G!.1 "C#1$&stablish an #rgani'ational olic(

&stablish and maintain an organi'ational polic( for planning andperforming the "process area name$ process.

Ailit( to Per$orm

G!.! ",1$

lan the rocess

&stablish and maintain the plan for performing the "process area name$

process.

G!.* ",!$ro-ide 7esources

ro-ide ade9uate resources for performing the "process area name$ process:

de-eloping the work products: and pro-iding the ser-ices of the "process

area name$ process.

G!./ ",*$

,ssign 7esponsibilit(

,ssign responsibilit( and authorit( for performing the process: de-eloping

the work products: and pro-iding the ser-ices of the "process area name$

process.

G!.5 ",/$

Train eople

Train the people performing or supporting the "process area name$ process

as needed.

,irecting Implementation


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G!.0 "I1$

Manage Configurations

lace designated work products of the "process area name$ process under

appropriate le-els of configuration management.

G!.2 "I!$

Identif( and In-ol-e 7ele-ant Stakeholders

Identif( and in-ol-e the rele-ant stakeholders of the "process area name$

process as planned.

G!.3 "I*$

Monitor and Control the rocess

Monitor and control the "process area name$ process against the plan forperforming the process and take appropriate correcti-e action.

.eri$(ing Implementation

G!.4 "&1$

#b6ecti-el( &-aluate ,dherence

#b6ecti-el( e-aluate adherence of the "process area name$ process against

its process description: standards: and procedures: and addressnoncompliance.

G!.1) "&!$

7e-iew Status with Figher8e-el Management

7e-iew the acti-ities: status: and results of the "process area name$ process

with higher8le-el management and resol-e issues.

Generic Practices ( Generic Goal

GG*Institutionali'e a efined rocess

The process is institutionali'ed as a defined process.

Ailit( to Per$orm

G*.1 ",1$

&stablish a efined rocess

&stablish and maintain the description of a defined "process area name$

process.

,irecting Implementation

G*.! "I/$

Collect Impro-ement Information

Collect work products: measures: measurement results: and impro-ement

information deri-ed from planning and performing the "process area name$

process to support the future use and impro-ement


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Appendix : C"ec#list $or t"e Continuous Representation o$ t"e CMMI

%&er&ie'

This checklist displa(s the specific goals and specific practices for each process area. Borprocess impro-ement efforts: this checklist can be used to document if procedures ha-ebeen written for a practice: what stage the documentation is in: and who is responsible.

Bor appraisals: the appraisal team can use this checklist to determine if the practices ha-e

been institutionali'ed in order to achie-e the goals for each process area. Beel free to add

columns or rows to insert comments: tasks: status indicators: subpractices: artifacts: oran(thing else (ou feel will help structure and track (our efforts.

The process areas are arranged b( categor(: to include%

rocess Management

ro6ect Management

&ngineering

Support


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SG1

etermine rocess8Impro-ement #pportunities

Strengths: weaknesses: and impro-ement opportunities for the organi'ation;s

processes are identified periodicall( and as needed.

S1.181

&stablish #rgani'ational rocess Eeeds

&stablish and maintain the description of the process needs and ob6ecti-es

for the organi'ation.

S1.!8

1

,ppraise the #rgani'ation;s rocesses

,ppraise the processes of the organi'ation periodicall( and as needed tomaintain an understanding of their strengths and weaknesses.

S1.*8

1

Identif( the #rgani'ation;s rocess Impro-ements

Identif( impro-ements to the organi'ation;s processes and process assets.

SG!

lan and Implement rocess8Impro-ement ,cti-ities

Impro-ements are planned and implemented: organi'ational process assets are

deplo(ed: and process8related e=periences are incorporated into the organi'ational

process assets.

S!.18

1

&stablish rocess ,ction lans

&stablish and maintain process action plans to address impro-ements to theorgani'ation;s processes and process assets.

S!.!8

1

Implement rocess ,ction

lans Implement process action plans across the organi'ation.

S!.*81

eplo( #rgani'ational rocess ,ssets

eplo( organi'ational process assets across the organi'ation.

S!./8

1

Incorporate rocess87elated &=periences into the #rgani'ational rocess

,ssets

Incorporate process8related work products: measures: and impro-ementinformation deri-ed from planning and performing the process into the


%rganizational Process ,e$inition

The purpose of #rgani'ational rocess efinition is to establish and maintain a usable set

of organi'ational process assets.



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needs.

SG!

ro-ide Eecessar( Training

Training necessar( for indi-iduals to perform their roles effecti-el( is pro-ided.

S!.181

eli-er Training

eli-er the training following the organi'ational training tactical plan.

S!.!8

1

&stablish Training 7ecords

&stablish and maintain records of the organi'ational training.

S!.*8

1

,ssess Training &ffecti-eness

,ssess the effecti-eness of the organi'ation;s training program.

%rganizational Process Per$ormance

The purpose of #rgani'ational rocess erformance is to establish and maintain a9uantitati-e understanding of the performance of the organi'ation;s set of standard

processes in support of 9ualit( and process8performance ob6ecti-es: and to pro-ide the

process performance data: baselines: and models to 9uantitati-el( manage theorgani'ation;s pro6ects.


SG1

&stablish erformance aselines and Models

aselines and models that characteri'e the e=pected process performance of theorgani'ation;s set of standard processes are established and maintained.

S1.18

1

Select rocesses

Select the processes or process elements in the organi'ation;s set of standard

processes that are to be included in the organi'ation;s process performance

anal(ses.

S1.!81

&stablish rocess erformance Measures

&stablish and maintain definitions of the measures that are to be included in

the organi'ation;s process performance anal(ses.

S1.*8

1

&stablish @ualit( and rocess erformance #b6ecti-es

&stablish and maintain 9uantitati-e ob6ecti-es for 9ualit( and processperformance for the organi'ation.

S1./8

1

&stablish rocess erformance aselines

&stablish and maintain the organi'ation;s process performance baselines.


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S1.58

1

&stablish rocess erformance Models

&stablish and maintain the process performance models for the organi'ation;s

set of standard processes.

%rganizational Inno&ation and ,eplo(ment

The purpose of #rgani'ational Inno-ation and eplo(ment is to select and deplo(incremental and inno-ati-e impro-ements that measurabl( impro-e the organi'ation;s

processes and technologies. The impro-ements support the organi'ation;s 9ualit( and

process8performance ob6ecti-es as deri-ed from the organi'ation;s business ob6ecti-es.


SG1

Select Impro-ements

rocess and technolog( impro-ements that contribute to meeting 9ualit( andprocess8performance ob6ecti-es are selected.

S1.181

Collect and ,nal('e Impro-ement roposals

Collect and anal('e process8and technolog(8impro-ement proposals.

S1.!8

1

Identif( and ,nal('e Inno-ations

Identif( and anal('e inno-ati-e impro-ements that could increase the

organi'ation;s 9ualit( and process performance.

S1.*8

1

ilot Impro-ements

ilot process and technolog( impro-ements to select which ones toimplement.

S1./8

1

Select Impro-ements for eplo(ment

Select process8and technolog(8impro-ement proposals for deplo(mentacross the organi'ation.

SG!

eplo( Impro-ements

Measurable impro-ements to the organi'ation;s processes and technologies are

continuall( and s(stematicall( deplo(ed.

S!.181

lan the eplo(ment

&stablish and maintain the plans for deplo(ing the selected process and

technolog( impro-ements.

S!.!8

1

Manage the eplo(ment

Manage the deplo(ment of the selected process and technolog(impro-ements.


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S!.*8

1

Measure Impro-ement &ffects

Pro*ect Management

Pro*ect Planning

The purpose of ro6ect lanning is to establish and maintain plans that define pro6ectacti-ities.


SG1

&stablish &stimates

&stimates of pro6ect planning parameters are established and maintained.

S1.18

1

&stimate the Scope of the ro6ect

&stablish a top8le-el work breakdown structure "


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1 lan for necessar( resources to perform the pro6ect.

S!.58

1

lan for Eeeded Anowledge and Skills

lan for knowledge and skills needed to perform the pro6ect.

S!.081

lan Stakeholder In-ol-ement

lan the in-ol-ement of identified stakeholders.

S!.28

1

&stablish the ro6ect lan

&stablish and maintain the o-erall pro6ect plan content.

SG* #btain Commitment to the lan Commitments to the pro6ect plan are established and

maintained.

S*.18

1

7e-iew lans that ,ffect the ro6ect

7e-iew all plans that affect the pro6ect to understand pro6ect commitments.

S*.!8

1

7econcile


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Monitor risks against those identified in the pro6ect plan.

S1./81

Monitor ata Management

Monitor the management of pro6ect data against the pro6ect plan.

S1.581Monitor Stakeholder In-ol-ement

Monitor stakeholder in-ol-ement against the pro6ect plan.

S1.081

Conduct rogress 7e-iews

eriodicall( re-iew the pro6ect;s progress: performance: and issues.

S1.281

Conduct Milestone 7e-iews

7e-iew the accomplishments and results of the pro6ect at selected pro6ectmilestones.

SG!

Manage Correcti-e ,ction to Closure

Correcti-e actions are managed to closure when the pro6ect;s performance or results

de-iate significantl( from the plan.

S!.181

,nal('e Issues

Collect and anal('e the issues and determine the correcti-e actions

necessar( to address the issues.

S!.!81

Take Correcti-e ,ction

Take correcti-e action on identified issues.

S!.*81 Manage Correcti-e ,ction

Manage correcti-e actions to closure.

Supplier Agreement Management

The purpose of Supplier ,greement Management is to manage the ac9uisition of

products from suppliers for which there e=ists a formal agreement.


SG1 &stablish Supplier ,greements

,greements with the suppliers are established and maintained.

S1.18

1

etermine ,c9uisition T(pe

etermine the t(pe of ac9uisition for each product or product component to

be ac9uired.


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S1.!8

1

Select Suppliers

Select suppliers based on an e-aluation of their abilit( to meet the specified

re9uirements and established criteria.

S1.*81


&stablish and maintain formal agreements with the supplier.

SG!

Satisf( Supplier ,greements

,greements with the suppliers are satisfied b( both the pro6ect and the supplier.

S!.181

7e-iew C#TS roducts

7e-iew candidate C#TS products to ensure the( satisf( the specified

re9uirements that are co-ered under a supplier agreement.

S!.!8

1

&=ecute the Supplier ,greement

erform acti-ities with the supplier as specified in the supplier agreement.

S!.*81

,ccept the ,c9uired roduct

&nsure that the supplier agreement is satisfied before accepting the ac9uired

product.

S!./8

1

Transition roducts

Transition the ac9uired products from the supplier to the pro6ect.

Integrated Pro*ect Management $or IPP,

The purpose of Integrated ro6ect Management is to establish and manage the pro6ect andthe in-ol-ement of the rele-ant stakeholders according to an integrated and defined

process that is tailored from the organi'ation;s set of standard processes.

Bor Integrated roduct and rocess e-elopment: Integrated ro6ect Management also

co-ers the establishment of a shared -ision for the pro6ect and a team structure forintegrated teams that will carr( out the ob6ecti-es of the pro6ect.


SG1

Dse the ro6ect;s efined rocess

The pro6ect is conducted using a defined process that is tailored from theorgani'ation;s set of standard processes.

S1.18

1

&stablish the ro6ect;s efined rocess

&stablish and maintain the pro6ect;s defined process.


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S1.!8

1

Dse #rgani'ational rocess ,ssets for lanning ro6ect ,cti-ities

Dse the organi'ational process assets and measurement repositor( for

estimating and planning the pro6ect;s acti-ities.

S1.*81

Integrate lans

Integrate the pro6ect plan and the other plans that affect the pro6ect to

describe the pro6ect;s defined process.

S1./8

1

Manage the ro6ect Dsing the Integrated lans

Manage the pro6ect using the pro6ect plan: the other plans that affect thepro6ect: and the pro6ect;s defined process.

S1.58

1

Contribute to the #rgani'ational rocess ,ssets

Contribute work products: measures: and documented e=periences to the


SG!Coordinate and Collaborate with 7ele-ant Stakeholders

Coordination and collaboration of the pro6ect with rele-ant stakeholders is

conducted.

S!.18

1

Manage Stakeholder In-ol-ement

Manage the in-ol-ement of the rele-ant stakeholders in the pro6ect.

S!.!8

1

Manage ependencies

articipate with rele-ant stakeholders to identif(: negotiate: and track critical

dependencies.

S!.*81

7esol-e Coordination Issues

7esol-e issues with rele-ant stakeholders.

SG*

Dse the ro6ect;s Shared ision for I

The pro6ect is conducted using the pro6ect;s shared -ision.

S*.18

1

efine ro6ect;s Shared8ision Conte=t

Identif( e=pectations: constraints: interfaces: and operational conditionsapplicable to the pro6ect;s shared -ision.

S*.!8

1

&stablish the ro6ect;s Shared ision

&stablish and maintain a shared -ision for the pro6ect.

SG/

#rgani'e Integrated Teams for I

The integrated teams needed to e=ecute the pro6ect are identified: defined: structured:and tasked.


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S/.18

1

etermine Integrated Team Structure for the ro6ect

etermine the integrated team structure that will best meet the pro6ect

ob6ecti-es and constraints.

S/.!81

e-elop a reliminar( istribution of 7e9uirements to Integrated Teams

e-elop a preliminar( distribution of re9uirements: responsibilities:

authorities: tasks: and interfaces to teams in the selected integrated team

structure.

S/.*81

&stablish Integrated Teams

&stablish and maintain teams in the integrated team structure.

Ris# Management

The purpose of 7isk Management is to identif( potential problems before the( occur: so

that risk8handling acti-ities ma( be planned and in-oked as needed across the life of theproduct or pro6ect to mitigate ad-erse impacts on achie-ing ob6ecti-es.


SG1

repare for 7isk Management

reparation for risk management is conducted.

S1.18

1

etermine 7isk Sources and Categories

etermine risk sources and categories.

S1.!81

efine 7isk arameters

efine the parameters used to anal('e and categori'e risks: and the

parameters used to control the risk management effort.

S1.*8

1

&stablish a 7isk Management Strateg(

&stablish and maintain the strateg( to be used for risk management.

SG!

Identif( and ,nal('e 7isks

7isks are identified and anal('ed to determine their relati-e importance.

S!.18

1

Identif( 7isks

Identif( and document the risks.

S!.!81

&-aluate: Categori'e: and rioriti'e 7isks

&-aluate and categori'e each identified risk using the defined risk categories

and parameters: and determine its relati-e priorit(.


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SG*

Mitigate 7isks

7isks are handled and mitigated: where appropriate: to reduce ad-erse impacts on

achie-ing ob6ecti-es.

S*.181

e-elop 7isk Mitigation lans

e-elop a risk mitigation plan for the most important risks to the pro6ect: as

defined b( the risk management strateg(.

S*.!8

1

Implement 7isk Mitigation lans

Monitor the status of each risk periodicall( and implement the riskmitigation plan as appropriate.

Integrated -eaming

The purpose of Integrated Teaming is to form and sustain an integrated team for the

de-elopment of work products.


SG1

&stablish Team Composition

, team composition that pro-ides the knowledge and skills re9uired to deli-er the

team;s product is established and maintained.

S1.18

1

Identif( Team Tasks

Identif( and define the team;s specific internal tasks to generate the team;s

e=pected output.

S1.!8

1

Identif( Eeeded Anowledge and Skills

Identif( the knowledge: skills: and functional e=pertise needed to perform

team tasks.

S1.*81

,ssign ,ppropriate Team Members

,ssign the appropriate personnel to be team members based on re9uired

knowledge and skills.

SG!

Go-ern Team #peration

#peration of the integrated team is go-erned according to established principles.

S!.181

&stablish a Shared ision

&stablish and maintain a shared -ision for the integrated team that is aligned

with an( o-erarching or higher8le-el -ision.

S!.!8

&stablish a Team Charter


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1 &stablish and maintain a team charter based on the integrated team;s shared

-ision and o-erall team ob6ecti-es.

S!.*8

1

efine 7oles and 7esponsibilities

Clearl( define and maintain each team member;s roles and responsibilities.

S!./8

1

&stablish #perating rocedures

&stablish and maintain integrated team operating procedures.

S!.58

1

Collaborate among Interfacing Teams

&stablish and maintain collaboration among interfacing teams.

Integrated Supplier Management

The purpose of Integrated Supplier Management is to proacti-el( identif( sources of

products that ma( be used to satisf( the pro6ect;s re9uirements and to manage selectedsuppliers while maintaining a cooperati-e pro6ect8supplier relationship.


SG1

,nal('e and Select Sources of roducts

otential sources of products that best fit the needs of the pro6ect are identified:anal('ed: and selected.

S1.18

1

,nal('e otential Sources of roducts

Identif( and anal('e potential sources of products that can be used to satisf(the pro6ect;s re9uirements.

S1.!8

1

&-aluate and etermine Sources of roducts

Dse a formal e-aluation process to determine which sources of custom8made

and off8the8shelf products to use.

SG!

Coordinate


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1 7e-ise the supplier agreement or relationship: as appropriate: to reflect

changes in conditions.

+uantitati&e Pro*ect Management

The purpose of the @uantitati-e ro6ect Management process area is to 9uantitati-el(

manage the pro6ect;s defined process to achie-e the pro6ect;s established 9ualit( andprocess8performance ob6ecti-es.


SG1

@uantitati-el( Manage the ro6ect

The pro6ect is 9uantitati-el( managed using 9ualit( and process8performanceob6ecti-es.

S1.18

1

&stablish the ro6ect;s #b6ecti-es

&stablish and maintain the pro6ect;s 9ualit( and process8performance

ob6ecti-es.

S1.!81

Compose the efined rocess

Select the subprocesses that compose the pro6ect;s defined process based on

historical stabilit( and capabilit( data.

S1.*8

1

Select the Subprocesses that


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S!.*8

1

Monitor erformance of the Selected Subprocesses

Monitor the performance of the selected subprocesses to determine their

capabilit( to satisf( their 9ualit( and process8performance ob6ecti-es: andidentif( correcti-e action as necessar(.

S!./8

1

7ecord Statistical Management ata

7ecord statistical and 9ualit( management data in the organi'ation;s

measurement repositor(.

Engineering

Reuirements Management

The purpose of 7e9uirements Management is to manage the re9uirements of the pro6ect;s

products and product components: and to identif( inconsistencies between those

re9uirements and the pro6ect;s plans and work products.


SG1

Manage 7e9uirements

7e9uirements are managed: and inconsistencies with pro6ect plans and work

products are identified.

S1.18

1

#btain an Dnderstanding of 7e9uirements

e-elop an understanding with the re9uirements pro-iders on the meaning

of the re9uirements.

S1.!8

!

#btain Commitment to 7e9uirements

#btain commitment to the re9uirements from the pro6ect participants.

S1.*8

1

Manage 7e9uirements Changes

Manage changes to the re9uirements as the( e-ol-e during the pro6ect.

S1./8

!

Maintain idirectional Traceabilit( of 7e9uirements

Maintain bidirectional traceabilit( among the re9uirements and the pro6ect

plans and work products.

S1.581

Identif( Inconsistencies between ro6ect


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The purpose of 7e9uirements e-elopment is to produce and anal('e customer: product:

and product8component re9uirements.


SG1e-elop Customer 7e9uirements

Stakeholder needs: e=pectations: constraints: and interfaces are collected and

translated into customer re9uirements.

S1.181

Collect Stakeholder Eeeds

Identif( and collect stakeholder needs: e=pectations: constraints: andinterfaces for all phases of the product life c(cle.

In the staged representation: this specific practice is onl( included as informati-e

material and appears after the &licit Eeeds specific practice.

S1.18!

&licit Eeeds

&licit stakeholder needs: e=pectations: constraints: and interfaces for all

phases of the product life c(cle.

In the staged representation: this specific practice takes the place of the CollectStakeholder Eeeds specific practice.

S1.!81

e-elop the Customer 7e9uirements

Transform stakeholder needs: e=pectations: constraints: and interfaces intocustomer re9uirements.

SG!

e-elop roduct 7e9uirements

Customer re9uirements are refined and elaborated to de-elop product and product8

component re9uirements.

S!.181

&stablish roduct and roduct8Component 7e9uirements

&stablish and maintain product and product8component re9uirements: whichare based on the customer re9uirements.

S!.!81 ,llocate roduct8Component 7e9uirements

,llocate the re9uirements for each product component.

S!.*81

Identif( Interface 7e9uirements

Identif( interface re9uirements.


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SG*

,nal('e and alidate 7e9uirements

The re9uirements are anal('ed and -alidated: and a definition of re9uiredfunctionalit( is de-eloped.

S*.181

&stablish #perational Concepts and Scenarios

&stablish and maintain operational concepts and associated scenarios.

S*.!81

&stablish a efinition of 7e9uired Bunctionalit(

&stablish and maintain a definition of re9uired functionalit(.

S*.*81

,nal('e 7e9uirements

,nal('e re9uirements to ensure that the( are necessar( and sufficient.

S*./8*

,nal('e 7e9uirements to ,chie-e alance

,nal('e re9uirements to balance stakeholder needs and constraints.

S*.581

alidate 7e9uirements

alidate re9uirements to ensure that the resulting product will perform

appropriatel( in its intended8use en-ironment.

In the staged representation: this specific practice is onl( included as informati-ematerial and appears after the alidate 7e9uirements with Comprehensi-e Methods

specific practice.

S*.58!

alidate 7e9uirements with Comprehensi-e Methods

alidate re9uirements to ensure the resulting product will perform as

intended in the user;s en-ironment using multiple techni9ues as appropriate.

In the staged representation: this specific practice takes the place of the alidate

7e9uirements specific practice.

-ec"nical Solution

The purpose of Technical Solution is to design: de-elop: and implement solutions to

re9uirements. Solutions: designs: and implementations encompass products: productcomponents: and product8related life8c(cle processes either singl( or in combinations as

appropriate.



53/68

SG1


roduct or product8component solutions are selected from alternati-e solutions.

S1.18

1

e-elop ,lternati-e Solutions and Selection Criteria

e-elop alternati-e solutions and selection criteria.


material and appears after the e-elop etailed ,lternati-e Solutions and Selection

Criteria specific practice.

S1.18!

e-elop etailed ,lternati-e Solutions and Selection Criteria

e-elop detailed alternati-e solutions and selection criteria.

In the staged representation: this specific practice takes the place of the e-elop

,lternati-e Solutions and Selection Criteria specific practice.

S1.!8

!

&-ol-e #perational Concepts and Scenarios

&-ol-e the operational concept: scenarios: and en-ironments to describe theconditions: operating modes: and operating states specific to each product

component.

S1.*8

1


Select the product8component solutions that best satisf( the criteriaestablished.

SG!

e-elop the esign

roduct or product8component designs are de-eloped.

S!.18

1

esign the roduct or roduct Component

e-elop a design for the product or product component.

S!.!8*

&stablish a Technical ata ackage

&stablish and maintain a technical data package.

S!.*8

1

&stablish Interface escriptions

&stablish and maintain the solution for product8component interfaces.


material and appears after the design interfaces using criteria specific practice.

S!.*8

*

esign Interfaces Dsing Criteria

esign comprehensi-e product8component interfaces in terms of established

and maintained criteria.


54/68

In the staged representation: this specific practice takes the place of the &stablish

Interface escriptions specific practice.

S!./8

*

erform Make: u(: or 7euse ,nal(ses

&-aluate whether the product components should be de-eloped: purchased:or reused based on established criteria.

SG*

Implement the roduct esign

roduct components: and associated support documentation are implemented from

their designs.

S*.18

1

Implement the esign

Implement the designs of the product components.

S*.!8

1

e-elop roduct Support ocumentation

e-elop and maintain the end8use documentation.

Product Integration

The purpose of roduct Integration is to assemble the product from the productcomponents: ensure that the product: as integrated: functions properl(: and deli-er the

product.


SG1

repare for roduct Integration

reparation for product integration is conducted.

S1.18

1

etermine Integration Se9uence

etermine the product8component integration se9uence.

S1.!8

!

&stablish the roduct Integration &n-ironment &stablish

and maintain the en-ironment needed to support the integration of the

product components.

S1.*8*

&stablish roduct Integration rocedures and Criteria

&stablish and maintain procedures and criteria for integration of the product

components.

SG!

&nsure Interface Compatibilit(

The product8component interfaces: both internal and e=ternal: are compatible.

S!.18

7e-iew Interface escriptions for Completeness


55/68

1 7e-iew interface descriptions for co-erage and completeness.

S!.!8

1

Manage Interfaces

Manage internal and e=ternal interface definitions: designs: and changes for

products and product components.

SG*

,ssemble roduct Components and eli-er the roduct

erified product components are assembled and the integrated: -erified: and

-alidated product is deli-ered.

S*.181

Confirm 7eadiness of roduct Components for Integration

Confirm: prior to assembl(: that each product component re9uired to

assemble the product has been properl( identified: functions according to its

description: and that the product8component interfaces compl( with the

interface descriptions.

S*.!8

1

,ssemble roduct Components

,ssemble product components according to the product integration se9uence

and a-ailable procedures.

S*.*8

1

&-aluate ,ssembled roduct Components

&-aluate assembled product components for interface compatibilit(.

S*./8

1

ackage and eli-er the roduct or roduct Component

ackage the assembled product or product component and deli-er it to the

appropriate customer.

.eri$ication

The purpose of erification is to ensure that selected work products meet their specifiedre9uirements.


SG1

repare for erification

reparation for -erification is conducted.

S1.18

1

Select


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S1.*8

*

&stablish erification rocedures and Criteria

&stablish and maintain -erification procedures and criteria for the selected

work products.

SG!

erform eer 7e-iews

eer re-iews are performed on selected work products.

S!.18

1

repare for eer 7e-iews

repare for peer re-iews of selected work products.

S!.!81

Conduct eer 7e-iews

Conduct peer re-iews on selected work products and identif( issues

resulting from the peer re-iew.

S!.*8

!

,nal('e eer 7e-iew ata

,nal('e data about preparation: conduct: and results of the peer re-iews.

SG*

erif( Selected


57/68


58/68

S!.!8

1

Control Configuration Items

Control changes to the configuration items.

SG*

&stablish Integrit(

Integrit( of baselines is established and maintained.

S*.18

1

&stablish Configuration Management 7ecords

&stablish and maintain records describing configuration items.

S*.!8

1

erform Configuration ,udits

erform configuration audits to maintain integrit( of the configurationbaselines.

Process and Product +ualit( Assurance

The purpose of rocess and roduct @ualit( ,ssurance is to pro-ide staff andmanagement with ob6ecti-e insight into processes and associated work products.


SG1

#b6ecti-el( &-aluate rocesses and


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Measurement and Anal(sis

The purpose of Measurement and ,nal(sis is to de-elop and sustain a measurement

capabilit( that is used to support management information needs.


SG1

,lign Measurement and ,nal(sis ,cti-ities

Measurement ob6ecti-es and acti-ities are aligned with identified information needs

and ob6ecti-es.

S1.18

1

&stablish Measurement #b6ecti-es

&stablish and maintain measurement ob6ecti-es that are deri-ed fromidentified information needs and ob6ecti-es.

S1.!81

Specif( Measures

Specif( measures to address the measurement ob6ecti-es.

S1.*81

Specif( ata Collection and Storage rocedures

Specif( how measurement data will be obtained and stored.

S1./8

1

Specif( ,nal(sis rocedures

Specif( how measurement data will be anal('ed and reported.

SG!

ro-ide Measurement 7esults

Measurement results that address identified information needs and ob6ecti-es are

pro-ided.

S!.18

1

Collect Measurement ata

#btain specified measurement data.

S!.!8

1

,nal('e Measurement ata

,nal('e and interpret measurement data.

S!.*81

Store ata and 7esults

Manage and store measurement data: measurement specifications: and

anal(sis results.

S!./8

1

Communicate 7esults

7eport results of measurement and anal(sis acti-ities to all rele-antstakeholders.

,ecision Anal(sis and Resolution


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The purpose of ecision ,nal(sis and 7esolution is to anal('e possible decisions using a

formal e-aluation process that e-aluates identified alternati-es against established

criteria.


SG1


ecisions are based on an e-aluation of alternati-es using established criteria.

S1.18

1

&stablish Guidelines for ecision ,nal(sis

&stablish and maintain guidelines to determine which issues are sub6ect to aformal e-aluation process.

S1.!8

1

&stablish &-aluation Criteria

&stablish and maintain the criteria for e-aluating alternati-es: and the

relati-e ranking of these criteria.

S1.*81

Identif( ,lternati-e Solutions

Identif( alternati-e solutions to address issues.

S1./8

1

Select &-aluation Methods

Select the e-aluation methods.

S1.58

1


&-aluate alternati-e solutions using the established criteria and methods.

S1.08

1

Select Solutions

Select solutions from the alternati-es based on the e-aluation criteria.

%rganizational En&ironment $or Integration

The purpose of #rgani'ational &n-ironment for Integration is to pro-ide an Integrated

roduct and rocess e-elopment "I$ infrastructure and manage people forintegration.


SG1

ro-ide I Infrastructure

,n infrastructure that ma=imi'es the producti-it( of people and affects the

collaboration necessar( for integration is pro-ided.

S1.181

&stablish the #rgani'ation;s Shared ision

&stablish and maintain a shared -ision for the organi'ation.


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S1.!8

1

&stablish an Integrated


62/68

their future occurrence.

S!.18

1

Implement the ,ction roposals

Implement the selected action proposals that were de-eloped in causal

anal(sis.

S!.!8

1

&-aluate the &ffect of Changes

&-aluate the effect of changes on process performance.

S!.*8

1

7ecord ata

7ecord causal anal(sis and resolution data for use across the pro6ect andorgani'ation.

Generic Goals and Generic Practices

GG1,chie-e Specific Goals

The process supports and enables achie-ement of the specific goals of the process

area b( transforming identifiable input work products to produce identifiable output

work products.

G1.1

erform ase ractices

erform the base practices of the process area to de-elop work products and

pro-ide ser-ices to achie-e the specific goals of the process area.

GG!

Institutionali'e a Managed rocess

The process is institutionali'ed as a managed process.

G!.1

&stablish an #rgani'ational olic(

&stablish and maintain an organi'ational polic( for planning and performing

the process.

G!.!

lan the rocess

&stablish and maintain the plan for performing the process.

G!.*

ro-ide 7esources

ro-ide ade9uate resources for performing the process: de-eloping the workproducts: and pro-iding the ser-ices of the process.

G!./

,ssign 7esponsibilit(

,ssign responsibilit( and authorit( for performing the process: de-eloping

the work products: and pro-iding the ser-ices of the process.

G!.5

Train eople


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Train the people performing or supporting the process as needed.

G!.0

Manage Configurations

lace designated work products of the process under appropriate le-els of

configuration management.

G!.2

Identif( and In-ol-e 7ele-ant Stakeholders

Identif( and in-ol-e the rele-ant stakeholders as planned.

G!.3

Monitor and Control the rocess

Monitor and control the process against the plan for performing the processand take appropriate correcti-e action.

G!.4

#b6ecti-el( &-aluate ,dherence

#b6ecti-el( e-aluate adherence of the process against its process

description: standards: and procedures: and address noncompliance.

G!.1)

7e-iew Status with Figher8e-el Management

7e-iew the acti-ities: status: and results of the process with higher8le-el

management and resol-e issues.

GG*

Institutionali'e a efined rocess

The process is institutionali'ed as a defined process.

G*.1

&stablish a efined rocess

&stablish and maintain the description of a defined process.

G*.!

Collect Impro-ement Information

Collect work products: measures: measurement results: and impro-ement

information

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