PST CMMI

(1)

PA Worksheet

_PP

PIID and SCAMPI Tool (PST) version 1.3.2

Appraisal / Assessment

SCAMPI - Organization X, Date

Lead Appraiser

LA

Filled out by

Version, date

ORG - <Processes at Organization Level>

Instantiation 1

P1 - <Project 1 Name>

Instantiation 2

P2 - <Project 2 Name>

Instantiation 3

P3 - <Project 3 Name>

Instantiation 4

P4 - <Project 4 Name>

written

checked

OK

Direct artefacts

_#REF!

Indirect artefacts

_#REF!

F2F confirmation

_#REF!

Instantiation 0 - Organization

Processes

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(3)

On the Practice sheets:

On the Findings sheet:

Color codes:

Direct Artifacts:

Indirect Artifacts:

(Face to Face) Affirmations:

Guidance for the appraisal team:

Direct artifact not present, or judged as inadequate, a substantial weakness has been noted

Fields in white are part of the template and should not

be changed

Fields in light blue are calculated and should not be

changed

Fields in green indicate: computation of DA OK, IA OK,

F2F OK, or Inst Char is in accordance with the rules

Fields in green indicate: Team validation completed

(V), and FI (fully implemented) and Goal Satisfied (S)

Fields in yellow are filled in by the organization in

preparation for the assessment

Fields in yellow also indicate: Candidate (C) for team

review, and largely implemented (LI)

Fields in turquoise are to be filled in by the appraisal

team

Fields in turquoise are to be filled in by the appraisal

team

Fields in red are calculated and indicate an error

according to SCAMPI rules

Fields in red may also indicate practice not

implemented (NI), partially implemented (PI) or Goal

Unsatisfied (U)

PIID's: Direct Artifacts, Indirect

Artifacts and Affirmations:

Tangible outputs resulting directly from implementation

of a practice (e.g., typical work products)

<- to be filled out by the organization and the projects

during PIID preparation

Artifacts that are a side-effect or indicative of

performing a practice (e.g., meeting minutes, reviews,

logs, and reports)

<- to be filled out by the organization and the projects

during PIID preparation

Oral or written statements confirming or supporting

implementation of the practice (e.g., interviews,

presentations and questionnaires)

<- to be noted by the appraisal team during

presentations or interviews during PIID review,

readiness review or on-site

Explanation of PIID Artifact

Characterization Fields:

DA OK? Y Direct artifact(s) delivered by organization or project, the direct artifact is adequate to cover the practice, no

substantial weakness in the artifact(s); a non-substantial weakness is possible.

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Indirect artifact found and judged as inadequate, a significant weakness has been found

No indirect artifact was searched for, delivered or found. This is a valid option

A F2F affirmation was given, the affirmation indicated a significant weakness

No F2F affirmation was given. This is a valid option

Fully implemented (FI)

Largely Implemented (LI)

Partially Implemented (PI)

Not Implemented (NI)

_{• Any situation not covered above}

IA OK? Y Indirect artifact(s) delivered by organization or project, the indirect artifact confirms the implementation of the

practice, no significant weakness in the artifact

IA OK? N

IA OK?

-F2F OK? Y -F2F affirmation(s) was given, the affirmation confirms the implementation of the practice, no significant

weakness was found in F2F affirmation. An insignificant weakness is possible

F2F OK? N

F2F OK?

-Possible Practice Implementation

Characterizations:

• The direct artifact is present and judged to be appropriate.

• At least one indirect artifact and/or affirmation exists to confirm the implementation.

• No substantial weaknesses were noted.

• The direct artifact is present and judged to be appropriate.

• At least one indirect artifact and/or affirmation exists to confirm the implementation.

• One or more substantial weaknesses were noted.

• The direct artifact is absent or judged to be inadequate.

• Artifacts or affirmations suggest that some aspects of the practice are implemented.

• Weaknesses have been documented.

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PP #REF! #REF! #REF! #REF! #REF!100%Possible OU characteriz. 0 0 0 0 0% 0% 0% 0% 0% 0% Goal FI LI PI NI Information Needed Signifcant Strength(s) Recommendations Goal Level Findings

SG 1 SP1.1 ORG ### ### ### ### ### ###### ### ### ### 1 ####REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

SP1.2 ORG ### ### ### ### ### ###### ### ### ### #REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

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P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

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P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

GG 2 GP2.1 ORG ### ### ### ### ### ### ### ### ### ### 1 ####REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

Prac tice Pro ject DA writte n IA writte n DA OK? IA OK? F2F AFF OK? Inst Char (FI/LI/ PI/NI/ NA) F2F: 1R 1C F2F: 50% Weakness (Description of gap in implementation)

OU Preliminary Findings Practice Level (W)eakness, (S)trength, (R)ecommendation

OU Char (FI/LI/PI/ NI) OU Char veri- fica-tion (C/V/R ) GLF Verificati on (C/V/R) Goal Rating (S / U)

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GG 2

GP2.2

P2 ### ### ### ### ### ###

### ### ### ### 1 ###

#REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

GP2.3 ORG ### ### ### ### ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P4 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

GG 3 GP3.1 ORG ### ### ### ### ### ### ### ### ### ### 1 ####REF! #REF! #REF! #REF!

P1 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P2 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

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P3 ### ### ### ### ### ### #REF! #REF! #REF! #REF!

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258308540.xls 01/25/2015 SP1.1 Goal Text SG 1 Estimates of project planning parameters are established and maintained.

OU

Practice Text PP SP 1.1-1 Establish a top-level work breakdown structure (WBS) to estimate the scope of the project. Y FI

Guidance N LI

NA PI

NI

NA Instance ORG ORG - <Processes at Organization Level>

Instance P1 P1 - <Project 1 Name>

DA, IA, F2F OK

Example PIID -

Direct Artifacts: [3. Work Breakdown Structure]• Top-level WBS revision history. Example PIID

-Indirect Artifacts [1. Task descriptions][2. Work product descriptions] • Product requirements, product roadmaps • Organizational standard WBS template

• Identification of work products (or components of work products) that will externally acquired. Appraisal

Considerations • Determination of WBS usage for this practice must be based on top-level WBS only, not its fully elaborated and expanded form as referenced in subsequent practices of this PA. • Top-level work breakdown structure should be driven by and linked to specified product requirements. (See Requirements Management PA).

• See Supplier Agreement Management process area for more information about acquiring work products from other sources external to the project.

• Level of supporting documentary evidence will vary based on project size/duration. Larger projects may have minutes from estimation meetings, estimation teams, and tools use, etc. Smaller may have none. Assessment team will need consensus on the WBS elements that will be expected. See PP SP1.4-1 for derivation of detailed work breakdown structures from top-level work breakdown structures.

ORG Process Descr. & Templates, & Refs / Links: ORG Direct Artifacts

& Refs/Links:

DA OK? (Y/N/NA)

ORG Indirect Artifacts,

& Refs/Links: (Y/N/NA)IA OK?

Appraisal Team Notes Information Needed

F2F Affirmations F2F OK?

(Y/N/NA) Significant Strenght(s)

Weakness(es) INST CHAR

(FI/LI/PI/NI/NA) Recommendation(s)

P1 Process Description

& Refs/Links:

P1 Direct Artifacts (DA)

& Refs/Links: (Y/N/NA)DA OK?

P1 Indirect Artifacts (IA)

Appraisal Team Notes Information Needed F2F Affirmations F2F OK? (Y/N/NA) Significant Strenght(s)

& Refs/Links:

DA OK? (Y/N/NA)

& Refs/Links:

& Refs / Links:

& Refs/Links:

DA OK? (Y/N/NA)

(10)

OU

Practice Text PP SP 1.2-1 Establish and maintain estimates of the attributes of the work products and tasks. Y FI

Guidance N LI

NA PI

NI Estimates should be consistent with project requirements to determine the project’s effort, cost, and schedule.

DA, IA, F2F OK

Example PIID -

Direct Artifacts: [4. Attribute estimates]• Estimates of the attributes of the work products and tasks (e.g., size)

• Estimates, as appropriate, of labor, machinery, materials, and methods that will be required by the project. • Estimates revision history.

Example PIID

-Indirect Artifacts [1. Technical approach][2. Size and complexity of tasks and work products] [3. Estimating models]

• Estimating tools, algorithms, and procedures

• Operational definitions (e.g., procedure/criteria) for establishing and documenting the estimates of the attributes of the work products and tasks.

• Bases of Estimates (BOEs) • Use of validated models.

• Use of models that are calibrated with historical data. Appraisal

Considerations

& Refs/Links:

DA OK? (Y/N/NA)

& Refs / Links:

& Refs/Links:

DA OK? (Y/N/NA)

(11)

OU

Practice Text PP SP 1.3-1 Define the project lifecycle phases upon which to scope the planning effort. Y FI

Guidance N LI

NA PI

NI

DA, IA, F2F OK

Example PIID -

Direct Artifacts: [1. Project life-cycle phases]• Relationships, interdependencies and sequencing of project phases Example PIID

-Indirect Artifacts [2. Product life-cycle phases]• List of major milestones, events, or decision gates

• Risks and factors influencing life cycle selection (e.g., resources, schedules, deliverables) Appraisal

Considerations • Systems engineering identifies the major product phases for the current state of the product, expected future phases, and the relationships and effects among phases. • Software Engineering typically includes selection and refinement of a software development methodology to address interdependencies and appropriate sequencing of software project activities.

• The project life cycle consists of phases that need to be defined depending on the scope of requirements, the estimates for project resources, and the structure of the project.

• Larger projects may contain multiple phases • Phases may contain subphases

• Depending on the strategy for development, there may be intermediate phases e.g. prototyping, increments of capability.

& Refs/Links:

DA OK? (Y/N/NA)

& Refs / Links:

& Refs/Links:

DA OK? (Y/N/NA)

(12)

258308540.xls 01/25/2015 SP1.4

Goal Text SG 1 Estimates of project planning parameters are established and maintained.

OU

Practice Text PP SP 1.4-1 Estimate the project effort and cost for the work products and tasks based on estimation rationale.

Y FI

Guidance N LI

NA PI

NI NA

Instance ORG ORG - <Processes at Organization Level>

DA, IA, F2F OK

Example PIID -

Direct Artifacts: [2. Project effort estimates][3. Project cost estimates]

• Documented assumptions, constraints, and rationale affecting project estimates, and identify risks. • Bases of Estimates (BOEs)

Example PIID -Indirect Artifacts

[1. Estimation rationale]

• Historical data or repository from previously executed projects.

• Estimating methods (e.g., Delphi), models, tools, algorithms, and procedures· Support needs (e.g., facilities and equipment resources)

Appraisal

Considerations • See PP SP1.1-1 for development of detailed work breakdown structure• See PP SP1.2-1 for development of attributes of the work products and tasks

ORG Process Descr. & Templates, & Refs / Links: ORG Direct Artifacts & Refs/Links:

DA OK? (Y/N/NA) ORG Indirect Artifacts,

& Refs/Links:

IA OK? (Y/N/NA) Appraisal Team Notes

Information Needed

P1 Process Description & Refs/Links: P1 Direct Artifacts (DA) & Refs/Links:

DA OK? (Y/N/NA) P1 Indirect Artifacts (IA)

& Refs/Links:

Information Needed F2F Affirmations F2F OK? (Y/N/NA) Significant Strenght(s)

P4 Process Description & Refs / Links: P4 Direct Artifacts (DA) & Refs/Links:

(13)

258308540.xls 01/25/2015 SP2.1 Goal Text PP SG 2 A project plan is established and maintained as the basis for managing the project.

OU

Practice Text PP SP 2.1-1 Establish and maintain the project’s budget and schedule. Y FI

Guidance N LI

NA PI

NI NA Instance ORG ORG - <Processes at Organization Level>

DA, IA, F2F OK

Example PIID -

Direct Artifacts: [1. Project schedules][2. Schedule dependencies] [3. Project budget]

• Revision history for schedule and budget Example PIID

-Indirect Artifacts • Staffing profile• Identified major milestones • Scheduling assumptions and constraints • Task dependencies

• Criteria for corrective action based on deviation from project plan

• Comparisons of actual project performance results to estimates (for re-planning) Appraisal

Considerations • This SP accumulates the project effort and cost estimates generated in PP SP1.4-1.• See subpractice 5 for typical activities in development of budget and schedule • See PMC SP1.1-1 and SP2.2-1 for factors that may drive re-planning activities

& Refs/Links:

DA OK? (Y/N/NA)

& Refs/Links:

DA OK? (Y/N/NA)

& Refs/Links:

DA OK? (Y/N/NA)

& Refs/Links:

& Refs / Links:

& Refs/Links:

DA OK? (Y/N/NA)

(14)

OU

Practice Text PP SP 2.2-1 Identify and analyze project risks. Y FI

Guidance N LI

NA PI

NI

NA

DA, IA, F2F OK

Example PIID -

Direct Artifacts: [1. Identified risks]• List of current project risks • Revision history of risks.

[2. Risk impacts and probability of occurrence] [3. Risk priorities]

Example PIID -Indirect Artifacts

• Records of stakeholder involvement in risk identification activities • Criteria to be used to identify and analyze project risks. Appraisal

Considerations • The project plan typically contains a list project risks.• See Risk Management process area for more information about risk management activities. • See PMC SP1.3-1 for more information about monitoring risks against those identified in the project plan.

& Refs/Links:

(15)

OU

Practice Text PP SP 2.3-1 Plan for the management of project data. Y FI

Guidance N LI

NA PI

NI NA Instance ORG ORG - <Processes at Organization Level>

DA, IA, F2F OK

Example PIID -

Direct Artifacts: [1. Data management plan][2. Master list of managed data] Example PIID

-Indirect Artifacts [3. Data content and format description][4. Data requirements lists for acquirers and for suppliers] [5. Privacy requirements]

[6. Security requirements] [7. Security procedures]

[8. Mechanism for data retrieval, reproduction, and distribution] [9. Schedule for collection of project data]

[10. Listing of project data to be collected]

• Project data management repository and access mechanisms • Project data identified, collected and distributed. Appraisal

Considerations [1. Data management plan][2. Master list of managed data]

& Refs/Links:

DA OK? (Y/N/NA)

& Refs / Links:

& Refs/Links:

DA OK? (Y/N/NA)

(16)

258308540.xls 01/25/2015 SP2.4 d PP SG 2 A project plan is established and maintained as the basis for managing the project.

OU

Practice Text PP SP 2.4-1 Plan for necessary resources to perform the project. Y FI

Guidance N LI

NA PI

NI

DA, IA, F2F OK

Example PIID -

Direct Artifacts: [1. WBS work packages][2. WBS task dictionary]

[3. Staffing requirements based on project size and scope] • Staffing plans and profiles.

[4. Critical facilities/equipment list] • Facilities plan

[5. Process/workflow definitions and diagrams] Example PIID

-Indirect Artifacts [6. Program administration requirements list]• Budget reviews • Long lead-time items identified early. Appraisal

Considerations • See PP SP1.1-1 for top-level work breakdown structure from which detailed WBS work packages and WBS task dictionaries are derived. • See PP SP2.5-1 for the planning for knowledge and skills needed to perform the project.

• See Organizational Training process area for more information on knowledge and skills information to be incorporated on the project plan.

& Refs/Links:

DA OK? (Y/N/NA)

& Refs / Links:

& Refs/Links:

DA OK? (Y/N/NA)

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258308540.xls 01/25/2015 SP2.5

Goal Text PP SG 2 A project plan is established and maintained as the basis for managing the project.

OU

Practice Text PP SP 2.5-1 Plan for needed knowledge and skills needed to perform the project. Y FI

Guidance N LI

NA PI

[3. Databases (e.g., skills and training)]

NI

NA

DA, IA, F2F OK

Example PIID -

Direct Artifacts: [1. Inventory of skill needs][2. Staffing and new hire plans]

• Plans for providing needed knowledge and skills (e.g., training plan) Example PIID

-Indirect Artifacts Appraisal

Considerations • The needed knowledge and skills in this SP should be compared with those provided by the project staff as determined in the previous PA (PP SP2.4-1). • See Organizational Training process area for more information on knowledge and skills information to be incorporated on the project plan.

& Refs/Links:

(18)

OU

Practice Text PP SP 2.6-1 Plan the involvement of identified stakeholders. Y FI

Guidance N LI

[1. Stakeholder involvement plan.]

NA PI

NI

NA

DA, IA, F2F OK Example PIID - Direct Artifacts: Example PIID -Indirect Artifacts

• List of relevant stakeholders for the project • Schedule for stakeholder interaction • Roles and responsibilities for stakeholders

• Defined criteria (e.g., procedure) used to plan the involvement with identified stakeholders. Appraisal

Considerations • See model for examples of typical contents of the stakeholder involvement plan.• This is an accumulation of the stakeholders across all PAs as a result of GP2.7 • See PMC SP 1.5-1 for monitoring stakeholder involvement against the project plan. • Stakeholder involvement will vary with project phase and activity and in any project re-planning.

& Refs/Links:

(19)

258308540.xls 01/25/2015 SP2.7

Goal Text PP SG 2 A project plan is established and maintained as the basis for managing the project.

OU

Practice Text PP SP 2.7-1 Establish and maintain the overall project plan content. Y FI

Guidance N LI

NA PI

NI

NA

DA, IA, F2F OK

Example PIID -

Direct Artifacts: [1. Overall project plan]• Project plan revision history Example PIID

-Indirect Artifacts • Issues and conflicts identified across subordinate plans• IMP, IMS, SEMP, SDP (see model) Appraisal

Considerations • Consider periodic revisions to the project plan due to changes in status of its dependencies (See PP SP 3.2-1)• The overall project plan ties together all the subordinate planning information; this may be a single plan or consolidation of multiple plans.

• The project plan resolves issues and conflicts associated with the subordinate plans.

& Refs/Links:

Information Needed

& Refs/Links:

(20)

258308540.xls 01/25/2015 SP3.1

Goal Text PP SG 3 Commitments to the project plan are established and maintained.

OU

Practice Text PP SP 3.1-1 Review all plans that affect the project to understand project commitments. Y FI

Guidance N LI

NA PI

NI

NA

DA, IA, F2F OK

Example PIID -

Direct Artifacts: [1. Record of the reviews of plans that affect the project.]• Review and signature cycle of the set of plans describing project scope, objectives, roles, and relationships Example PIID

-Indirect Artifacts • Project plan• Integrated work plans

• Evidence of project plan coordination meetings and correspondence Appraisal

Considerations • This practice considers the compatibility of other plans that may be related or subordinate to the project plan. This may include plans called for in other CMMI process areas, many of which are described by GP2.2 (Plan the Process). An organization may choose to develop separate plans, or integrate all content into a single project plan.

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258308540.xls 01/25/2015 SP3.2

Goal Text PP SG 3 Commitments to the project plan are established and maintained.

OU

Practice Text PP SP 3.2-1 Reconcile the project plan to reflect available and estimated resources. Y FI

Guidance N LI

NA PI

NI

NA

DA, IA, F2F OK

Example PIID -

Direct Artifacts: [2. Re-negotiated budgets] [3. Revised schedules] [4. Revised requirements list] [5. Renegotiated stakeholder agreements] Example PIID

-Indirect Artifacts [1. Revised methods and corresponding estimating parameters (e.g., better tools, use of off-the-shelf components)]• Project change requests • Project plan revision history

Appraisal

Considerations • See model for examples of how reconciliation may be accomplished; note that this does not necessarily imply revisions to the project plan. • Revised plans, etc., should be re-communicated to the affected parties.

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258308540.xls 01/25/2015 SP3.3 Goal Text PP SG 3 Commitments to the project plan are established and maintained.

OU Practice Text Y FI Guidance N LI NA PI NI NA Instance ORG ORG - <Processes at Organization Level>

DA, IA, F2F OK PP SP 3.3-1 Obtain commitment from relevant stakeholders responsible for performing and supporting plan execution.

Example PIID -

Direct Artifacts: [2. Documented commitments]• Documented commitment by those implementing the plan. • Documented commitments by those responsible for providing resources. Example PIID

-Indirect Artifacts [1. Documented requests for commitments]• Commitment review meeting minutes • Identification and documentation of issues

• Identified commitments on interfaces between elements in the project, with other projects, and organizational units. Appraisal

Considerations • Commitments may include relevant stakeholders, both internal and external to the project and organization. This should include the individuals responsible for providing the resources identified in the plan (e.g., staffing, facilities, funding). • Commitment is typically demonstrated by signature, but may include other mechanisms.

• For commitments external to the organization, this practice may be satisfied by an implicit agreement, e.g., a clear communication of the needed resource, signature of a contract referencing the plan or resource.

• Commitment by those implementing the plan may be demonstrated by a representative of the implementers, e.g., a leader signing for their staff.

• Ensure this is performed not only for the initial project plan, but also for subsequent reconciliation and changes (see PP SP3.2-1).

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258308540.xls 01/25/2015 GP2.1

Goal Text GG2 Institutionalize a managed process.

OU

Practice Text GP2.1 Establish and maintain an organizational policy for planning and performing the <PA> process. Y FI

Guidance N LI

NA PI

NI

DA, IA, F2F OK

Example PIID -

Direct Artifacts: • Organizational policy• Version, date, or revision history indicating maintenance of the policies over time. Example PIID

-Indirect Artifacts

• Repository of policies (e.g., intranet web access) making them visible and accessible to the organization • Mapping of policies to CMMI process areas

• Organizational process architecture, e.g., linkage of policies, processes, procedures • Signature of policies by authorized senior manager

• Audit results for implementation of the policies. Appraisal

Considerations • Policies should demonstrate management commitment and establish expectations for the processes to be performed, e.g., "this is the way we do business here". Other terms besides "policy" may be used in the organizational context to capture this.

• Policies need not be specified separately for each PA (1-to-1); a single policy can cover multiple PAs.

• Policies are typically high-level. The structure of established policies should fit the organization, not necessarily the CMMI model; i.e., not all PAs or SPs need to be explicitly mentioned, this might be implicitly required by invoking applicable processes and procedures. However, the linkage between PAs, policies, and processes should be discernable to ensure coverage.

• Policies should be visible to those in the organization that are affected (e.g. intranet web access). However, recognize that the day-to-day work of engineers does not typically deal with the policies; moreso the processes that comply with the policies.

• Policies could exist at multiple levels within the organization (e.g. corporate, division, department, etc.)

• A documented and approved waiver to the policy does not count against the satisfaction of this GP. === PP Specific ===

• “This policy establishes organizational expectations for estimating the planning parameters, making internal and external commitments, and developing the plan for managing the project.”

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258308540.xls 01/25/2015 GP2.2 Goal Text GG2 Institutionalize a managed process.

OU Practice Text GP2.2 Establish and maintain the plan for performing the <PA> process. Y FI

Guidance N LI

NA PI

NI

NA

DA, IA, F2F OK

Example PIID -

Direct Artifacts: • Documented plan for performing the process.• Revisions to the plan, as necessary. Example PIID

-Indirect Artifacts • Documented requirements and objectives for the process (e.g., quality, cost, schedule).• Documented process descriptions, including standards and procedures; this may be included as part of the plan or by reference.

• Schedules and resources (funding, people, tools) established for performing the process. • Measures tracking and controlling progress of the plan.

• Evidence of review and agreement to the plan by relevant stakeholders (e.g., signature, approval, meeting minutes). Appraisal

Considerations • “The purpose of this generic practice is to determine what is needed to perform the process and achieve the established objectives, to prepare a plan for performing the process, to prepare a process description, and to get agreement on the plan from relevant stakeholders.”

• See GP 2.2 description in front matter for more details on what is expected and typical plan contents; e.g., process description; standards; requirements; objectives; dependencies; resources; responsibilities; training; work products to be placed under configuration management; measurements; stakeholder involvement; monitoring; objective evaluation; management review.

• “Establishing a plan includes documenting the plan and providing a process description. Maintaining the plan includes changing it as necessary, in response to either corrective actions or to changes in requirements and objectives for the process.” It is permissible for the plan not to have changed if none of these conditions have occurred. • The plan for performing the process “may be a standalone document, embedded in a more comprehensive document, or distributed across multiple documents.” It may be part of the project plan established in the Project Planning PA.

• GP2.2 establishes the plans for performing the process, which are implemented in GP2.3 through GP2.10 in accordance with the plan.

=== PP Specific ==

• Recognize this is a plan for the project planning activities, i.e., how will the planning get done? This is often done during proposal or project start-up.

• "This plan for performing the project planning process differs from the project plan described in specific practices in this process area. The plan called for in this generic practice would address the comprehensive planning for all of the specific practices in this process area, from estimating the scope of the project all the way through to obtaining commitment for the project plan. In other words, this generic practice calls for one to "plan the plan." In contrast, the project plan called for in the specific practices would address planning for the project effort itself in a comprehensive manner."

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