CMMI - The Managed Organization
Requirements ManagementProject PlanningProject Monitoring & ControlSupplier Agreemenet MgmtMeasurement & AnalysisQuality AssuranceConfiguration Mgmt

REQM: Requirements Management
Purpose
To manage the requirements of the project's products and product components and to identify inconsistencies between those requirements and the project's plans and work products.

Requirements management processes manage all requirements received or generated by the project, including both technical and nontechnical requirements as well as those requirements levied on the project by the organization. In particular, if the Requirements Development process area is implemented, its processes will generate product and product-component requirements that will also be managed by the requirements management processes. When the Requirements Management, Requirements Development, and Technical Solution process areas are all implemented, their associated processes may be closely tied and be performed concurrently.

The project takes appropriate steps to ensure that the agreed-upon set of requirements is managed to support the planning and execution needs of the project. When a project receives requirements from an approved requirements provider, the requirements are reviewed with the requirements provider to resolve issues and prevent misunderstanding before the requirements are incorporated into the project’s plans. Once the requirements provider and the requirements receiver reach an agreement, commitment to the requirements is obtained from the project participants. The project manages changes to the requirements as they evolve and identifies any inconsistencies that occur among the plans, work products, and requirements.

Part of the management of requirements is to document requirements changes and rationale and maintain bi-directional traceability between source requirements and all product and product-component requirements.

Specific Goals

GoalSupporting PracticesSub
Practices
REQM-1: Manage Requirements
Requirements are managed and inconsistencies with project plans and work products are identified. The project maintains a current and approved set of requirements over the life of the project by:
  • Managing all changes to the requirements
  • Maintaining the relationships between the requirements, the project plans, and the work products
  • Identifying inconsistencies between the requirements, the project plans, and the work products
  • Taking corrective action
Obtain an Understanding of Requirements[SP]
Obtain Commitment to Requirements[SP]
Manage Requirements Changes[SP]
Maintain Bi-directional Traceability of Requirements[SP]
Identify Inconsistencies between Project Work and Requirements[SP]

Institutionalizing the Processes

Basic (Managed) GoalsAdvanced Goals
  1. Establish Policy: This policy establishes organizational expectations for managing requirements and identifying inconsistencies between the requirements and the project plans and work products.
  2. Plan the Process: Typically, this plan for performing the requirements management process is a part of the project plan as described in the Project Planning process area.
  3. Provide Resources: Examples of resources provided include:
    • Requirements tracking tools
    • Traceability tools
  4. Assign Responsibility: Assign responsibility and authority for performing the process, developing the work products, and providing the services of the requirements management process.
  5. Train People: Examples of training topics include:
    • Application domain
    • Requirements definition, analysis, review, and management
    • Requirements management tools
    • Configuration management
    • Negotiation and conflict resolution
  6. Manage Configurations: Examples of work products placed under configuration management include :
    • Requirements
    • Requirements traceability matrix
  7. Identify and Involve Relevant Stakeholders: Select relevant stakeholders from customers, end users, developers, producers, testers, suppliers, marketers, maintainers, disposal personnel, and others who may be affected by, or may affect, the product as well as the process. Examples of activities for stakeholder involvement include:
    • Resolving issues on the understanding of the requirements
    • Assessing the impact of requirements changes
    • Communicating the bidirectional traceability
    • Identifying inconsistencies among project plans, work products, and requirements
  8. Monitor and Control the Process: Examples of measures used in monitoring and controlling include - Requirements volatility (percentage of requirements changed)
  9. Objectively Evaluate Adherence: Examples of activities reviewed include:
    • Managing requirements
    • Identifying inconsistencies among project plans, work products, and requirements
    Examples of work products reviewed include:
    • Requirements
    • Requirements traceability matrix
  10. Review Status with Higher Level Management: Proposed changes to commitments to be made external to the organization are reviewed with higher level management to ensure that all commitments can be accomplished.
Defined
  1. Establish Defined Process:Establish and maintain the description of a defined requirements management process.
  2. Collect Improvement Information: Collect work products, measures, measurement results, and improvement information derived from planning and performing the requirements management process to support the future use and improvement of the organization’s processes and process assets.

Quantitatively Managed
  1. Establish Quantitative Objectives for the Process: Establish and maintain quantitative objectives for the requirements management process that address quality and process performance based on customer needs and business objectives.
  2. Stabilize Subprocess Performance: Stabilize the performance of one or more subprocesses to determine the ability of the requirements management process to achieve the established quantitative quality and processperformance objectives.

Optimizing
  1. Ensure Continuous Process Improvement: Ensure continuous improvement of the requirements management process in fulfilling the relevant business objectives of the organization.
  2. Correct Root Causes of Problems: Identify and correct the root causes of defects and other problems in the requirements management process.

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PP: Project Planning
Purpose
To establish and maintain plans that define project activities.

The Project Planning process area involves:

Planning begins with requirements that define the product and project.

Planning includes estimating the attributes of the work products and tasks, determining the resources needed, negotiating commitments, producing a schedule, and identifying and analyzing project risks. Iterating through these activities may be necessary to establish the project plan. The project plan provides the basis for performing and controlling the project’s activities that address the commitments with the project’s customer.

The project plan will usually need to be revised as the project progresses to address changes in requirements and commitments, inaccurate estimates, corrective actions, and process changes. Specific practices describing both planning and re-planning are contained in this process area.

The term “project plan” is used throughout the generic and specific practices in this process area to refer to the overall plan for controlling the project.

Specific Goals

GoalSupporting PracticesSub
Practices
PP-1: Estimates of project planning parameters are established and maintained.
Estimates of project planning parameters are established and maintained. Project planning parameters include all information needed by the project to perform the necessary planning, organizing, staffing, directing, coordinating, reporting, and budgeting.

Estimates of planning parameters should have a sound basis to provide confidence that any plans based on these estimates are capable of supporting project objectives.

Factors that are typically considered when estimating these parameters include:

  • Project requirements, including the product requirements, the requirements imposed by the organization, the requirements imposed by the customer, and other requirements that impact the project
  • Scope of the project
  • Identified tasks and work products
  • Technical approach
  • Selected project life-cycle model (e.g., waterfall, incremental, spiral, etc.)
  • Attributes of the work products and tasks (e.g., size or complexity)
  • Schedule
  • Models or historical data for converting the attributes of the work products and tasks into labor hours and cost
  • Methodology (models, data, algorithms) used to determine needed material, skills, labor hours, and cost

Documenting the estimating rationale and supporting data is needed for stakeholders’ review and commitment to the plan and for maintenance of the plan as the project progresses.

Establish and maintain estimates of the attributes of the work products and tasks.[SP]
Establish Estimates of Work Product and Task Attributes[SP]
Define Project Life Cycle[SP]
Determine Estimates of Effort and Cost[SP]
PP-2: Develop a Project Plan
A project plan is established and maintained as the basis for managing the project. [Note] The project plan should consider all phases of the project life cycle. Project planning should ensure that all plans affecting the project are consistent with the overall project plan. 		Establish and maintain the project’s budget and schedule.[SP]
Identify and analyze project risks.[SP]
Plan for the management of project data.[SP]
Plan for necessary resources to perform the project.[SP]
Plan for knowledge and skills needed to perform the project.[SP]
Plan the involvement of identified stakeholders.[SP]
Establish and maintain the overall project plan content.[SP]
PP-3: Obtain Commitment to the Plan
Commitments to the project plan are established and maintained,/em>. To be effective, plans require commitment by those responsible for implementing and supporting the plan. 		Review all plans that affect the project to understand project commitments.[SP]
Reconcile the project plan to reflect available and estimated resources.[SP]
Obtain commitment from relevant stakeholders responsible for performing and supporting plan execution.[SP]

Institutionalizing the Processes

Basic (Managed) GoalsAdvanced Goals
  1. Establish Policy: This policy establishes organizational expectations for estimating the planning parameters, making internal and external commitments, and developing the plan for managing the project.
  2. Plan the Process: 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 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.
  3. Provide Resources: ESpecial expertise, equipment, and facilities in project planning may be required:
    • xperienced estimators
    • Schedulers
    • Technical experts in applicable areas (e.g., product domain and technology)
  4. Assign Responsibility: Assign responsibility and authority for performing the process, developing the work products, and providing the services of the project planning process.
  5. Train People: Examples of training topics:
    • Estimating
    • Budgeting
    • Negotiating
    • Risk identification and analysis
    • Data management
    • Planning
    • Scheduling
  6. Manage Configurations: Examples of work products placed under configuration management include:
    • Work breakdown structure
    • Project plan
    • Data management plan
    • Stakeholder involvement plan
  7. Identify and Involve Relevant Stakeholders: This generic practice is different from developing the plan for stakeholder involvement for the project itself, which is covered in a specific practice of this process area.

    Select relevant stakeholders from senior managers, project managers, project functional managers (e.g., systems engineering, software engineering, other disciplines), software engineers, systems engineers, manufacturing engineers, logisticians, suppliers, customers, and others who may be affected by, or may affect, the project.

    Examples of activities for stakeholder involvement include:

    • Establishing estimates
    • Reviewing and resolving issues on the completeness and correctness of the project risks
    • Reviewing data management plans
    • Establishing project plans
    • Reviewing project plans and resolving issues on work and resource issues
  8. Monitor and Control the Process: Examples of measures used in monitoring and controlling include :
    • Number of revisions to the plan
    • Cost, schedule, and effort variance per plan revision
  9. Objectively Evaluate Adherence: Examples of activities reviewed include:
    • Establishing estimates
    • Developing a project plan
    • Obtaining commitments to the project plan
    Examples of work products reviewed include:
    • WBS
    • Project plan
    • Data management plan
    • Stakeholder involvement plan
  10. Review Status with Higher Level Management: These reviews are typically in the form of a briefing presented to the management steering committee by the process group and the process action teams. Examples of presentation topics include:
    • Status of improvements being developed by process action teams
    • Results of pilots
    • Results of deployments
    • Schedule status for achieving significant milestones (e.g., readiness for an appraisal, or progress towards achieving a targeted organizational maturity level or capability level profile)
Defined
  1. Establish Defined Process: Establish and maintain the description of a defined project planning process.
  2. Collect Improvement Information: Collect work products, measures, measurement results, and improvement information derived from planning and performing the project planning process to support the future use and improvement of the organization’s processes and process assets.

Quantitatively Managed
  1. Establish Quantitative Objectives for the Process: Establish and maintain quantitative objectives for the project planning process that address quality and process performance based on customer needs and business objectives.
  2. Stabilize Sub=process Performance: Stabilize the performance of one or more subprocesses to determine the ability of the project planning process to achieve the established quantitative quality and process-performance objectives.

Optimizing
  1. Ensure Continuous Process Improvement: Ensure continuous improvement of the project planning process in fulfilling the relevant business objectives of the organization.
  2. Correct Root Causes of Problems: Identify and correct the root causes of defects and other problems in the project planning process.

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PMC: Project Monitoring & Control
Purpose
To provide an understanding of the project’s progress so that appropriate corrective actions can be taken when the project’s performance deviates significantly from the plan.

A project's documented plan is the basis for monitoring activities, communicating status, and taking corrective action. Progress is primarily determined by comparing actual work product and task attributes, effort, cost, and schedule to the plan at prescribed milestones or control levels within the project schedule or work breakdown structure. Appropriate visibility enables timely corrective action to be taken when performance deviates significantly from the

The term “project plan” is used throughout these practices to refer to the overall plan for controlling the project.

When actual status deviates significantly from the expected values, corrective actions are taken as appropriate. These actions may require re-planning, which may include revising the original plan, establishing new agreements, or including additional mitigation activities within the current plan.

Specific Goals

GoalSupporting PracticesSub
Practices
PMC-1: Monitor Project Against Plan
Actual performance and progress of the project are monitored against the project. 		Monitor Project Planning Parameters[SP]
Monitor Commitments[SP]
Monitor Project Risks[SP]
Monitor Data Management[SP]
Monitor Stakeholder Involvement[SP]
Conduct Progress Reviews[SP]
Conduct Milestone Reviews[SP]
PMC-2: Manage Corrective Action to Closure
Corrective actions are managed to closure when the project's performance or results deviate significantly from the plan. 		Analyze Issues[SP]
Take Corrective Action[SP]
Manage Corrective Action[SP]

Institutionalizing the Processes

Basic (Managed) GoalsAdvanced Goals
  1. Establish Policy: This policy establishes organizational expectations for monitoring performance against the project plan and managing corrective action to closure when actual performance or results deviate significantly from the plan.
  2. Plan the Process: This plan for performing the project monitoring and control process is typically a part of the project plan, as described in the Project Planning process area.
  3. Provide Resources: Examples of resources provided include:
    • Cost tracking systems
    • Effort reporting systems
    • Action-item-tracking systems
    • Project management and scheduling programs
  4. Assign Responsibility: Assign responsibility and authority for performing the process, developing the work products, and providing the services of the project monitoring and control process.
  5. Train People: Examples of training topics include:
    • Monitoring and control of projects
    • Risk management
    • Data management
  6. Manage Configurations: Place designated work products of the project monitoring and control process under appropriate levels of configuration management.
  7. Identify and Involve Relevant Stakeholders: Examples of activities for stakeholder involvement include:
    • Assessing the project against the plan
    • Reviewing commitments and resolving issues
    • Reviewing project risks
    • Reviewing data management activities
    • Reviewing project progress
    • Managing corrective actions to closure
  8. Monitor and Control the Process: Examples of measures used in monitoring and controlling include :
    • Number of open and closed corrective actions
    • Project milestone dates (e.g., planned versus actual and slipped milestones)
    • Number and types of reviews performed
    • Review schedule (planned versus actual and slipped target dates)
  9. Objectively Evaluate Adherence: Examples of activities reviewed include:
    • Monitoring project performance against the project plan
    • Managing corrective actions to closure
    Examples of work products reviewed include:
    • Records of project performance
    • Project review results
  10. Review Status with Higher Level Management: Review the activities, status, and results of the project monitoring and control process with higher level management and resolve issues.
Defined
  1. Establish Defined Process: Establish and maintain the description of a defined project monitoring and control process.
  2. Collect Improvement Information: Collect work products, measures, measurement results, and improvement information derived from planning and performing the project monitoring and control process to support the future use and improvement of the organization’s processes and process assets.

Quantitatively Managed
  1. Establish Quantitative Objectives for the Process: Establish and maintain quantitative objectives for the project monitoring and control process that address quality and process performance based on customer needs and business objectives.
  2. Stabilize Subprocess Performance: Stabilize the performance of one or more subprocesses to determine the ability of the project monitoring and control process to achieve the established quantitative quality and processperformance objectives.

Optimizing
  1. Ensure Continuous Process Improvement: Ensure continuous improvement of the project monitoring and control process in fulfilling the relevant business objectives of the organization.
  2. Correct Root Causes of Problems: Identify and correct the root causes of defects and other problems in the project monitoring and control process.

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SAM: Supplier Agreement Management
Purpose
Manage the acquisition of products from suppliers for which there exists a formal agreement.

The Supplier Agreement Management process area involves:

This process area primarily applies to the acquisition of products and product components that are delivered to the project’s customer. To minimize risks to the project, this process area may also be applied to the acquisition of significant products and product components not delivered to the project’s customer (for example, development tools and test environments).

This process area does not directly address arrangements in which the supplier is integrated into the project team (for example, integrated product teams). Typically, these situations are handled by other processes or functions, possibly external to the project, though some of the specific practices of this process area may be useful in managing the formal agreement with such a supplier.

Suppliers may take many forms depending on business needs, including in-house vendors (i.e., vendors that are in the same organization but are external to the project), fabrication capabilities and laboratories, and commercial vendors.

A formal agreement is any legal agreement between the organization (representing the project) and the supplier. This agreement may be a contract, a license, or a memorandum of agreement. The acquired product is delivered to the project from the supplier and becomes part of the products delivered to the customer.

Specific Goals

GoalSupporting PracticesSub
Practices
SAM-1: Establish Supplier Agreements
Agreements with the suppliers are established and maintained. 		Determine Acquisition Type[SP]
Select Suppliers[SP]
Establish Supplier Agreements[SP]
SAM-2: Satisfy Supplier Agreements
Agreements with the suppliers are satisfied by both the project and the supplier. Monitoring a supplier’s work products and processes helps the project achieve the Satisfy Supplier Agreements goal in the Integrated Supplier Management process area. 		Review COTS Products[SP]
Execute the Supplier AgreementNote[SP]
Accept the Acquired ProductNote[SP]
Transition Products[SP]

Institutionalizing the Processes

Basic (Managed) GoalsAdvanced Goals
  1. Establish Policy: This policy establishes organizational expectations for establishing, maintaining, and satisfying supplier agreements.
  2. Plan the Process:While portions of this plan for performing the supplier agreement management process typically form part of the project plan as described in the Project Planning process area, some portions of the plan may reside outside of the project with an independent group, such as contract management.
  3. Provide Resources: Examples of resources provided include:
    • Preferred supplier lists
    • Requirements tracking programs
    • Project management and scheduling programs
  4. Assign Responsibility: Assign responsibility and authority for performing the process, developing the work products, and providing the services of the supplier agreement management process.
  5. Train People: Examples of training topics include:
    • Regulations and business practices related to negotiating and working with suppliers
    • Acquisition planning and preparation
    • COTS products acquisition
    • Supplier evaluation and selection
    • Negotiation and conflict resolution
    • Supplier management
    • Testing and transitioning of acquired products
    • Receiving, storing, using, and maintaining acquired products
  6. Manage Configurations: Examples of work products placed under configuration management include:
    • Statements of work
    • Supplier agreements
    • Memoranda of agreement
    • Subcontracts
    • Preferred supplier lists
  7. Identify and Involve Relevant Stakeholders: Examples of activities for stakeholder involvement include: Examples of activities for stakeholder involvement include:
    • Establishing criteria for evaluation of potential suppliers
    • Reviewing potential suppliers
    • Establishing supplier agreements
    • Resolving issues with suppliers
    • Reviewing supplier performance
  8. Monitor and Control the Process: Examples of measures used in monitoring and controlling include:
    • Number of changes made to the requirements for the supplier
    • Cost and schedule variance per supplier agreement
  9. Objectively Evaluate Adherence: Examples of activities reviewed include:
    • Establishing and maintaining supplier agreements
    • Satisfying supplier agreements

  10. Review Status with Higher Level Management: Review the activities, status, and results of the supplier agreement management process with higher level management and resolve issues.
Defined
  1. Establish Defined Process: Establish and maintain the description of a defined supplier agreement management process.
  2. Collect Improvement Information: Collect work products, measures, measurement results, and improvement information derived from planning and performing the supplier agreement management process to support the future use and improvement of the organization’s processes and process assets.

Quantitatively Managed
  1. Establish Quantitative Objectives for the Process: Establish and maintain quantitative objectives for the supplier agreement management process that address quality and process performance based on customer needs and business objectives.
  2. Stabilize Subprocess Performance: Stabilize the performance of one or more subprocesses to determine the ability of the supplier agreement management process to achieve the established quantitative quality and process-performance objectives.

Optimizing
  1. Ensure Continuous Process Improvement: Ensure continuous improvement of the supplier agreement management process in fulfilling the relevant business objectives of the organization.
  2. Correct Root Causes of Problems: Identify and correct the root causes of defects and other problems in the supplier agreement management process.

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MAA: Measurement & Analysis
Purpose
To develop and sustain a measurement capability that is used to support management information needs.

The Measurement and Analysis process area involves:

The integration of measurement and analysis activities into the processes of the project supports:

The staff required to implement a measurement capability may or may not be employed in a separate organization-wide program. Measurement capability may be integrated into individual projects or other organizational functions (e.g., Quality Assurance).

The initial focus for measurement activities is at the project level. However, a measurement capability may prove useful for addressing organization- and/or enterprise-wide information needs.

Projects may choose to store project-specific data and results in a project-specific repository. When data are shared more widely across projects, the data may reside in the organization’s measurement repository.

Specific Goals

GoalSupporting PracticesSub
Practices
MAA-1: Align Measurement and Analysis Activities
Measurement objectives and activities are aligned with identified information needs and objectives. The specific practices covered under this specific goal may be addressed concurrently or in any order:
  • When establishing measurement objectives, experts often think ahead about necessary criteria for specifying measures and analysis procedures. They also think concurrently about the constraints imposed by data collection and storage procedures.
  • It often is important to specify the essential analyses that will be conducted before attending to details of measurement specification, data collection, or storage.
Establish Measurement Objectives[SP]
Specify Measures[SP]
Specify Data Collection and Storage Procedures[SP]
Specify Analysis Procedures[SP]
MAA-2: Provide Measurement Results
Measurement results that address identified information needs and objectives are provided. The primary reason for doing measurement and analysis is to address identified information needs and objectives. Measurement results based on objective evidence can help to monitor performance, fulfill contractual obligations, make informed management and technical decisions, and enable corrective actions to be taken. 		Collect Measurement Data[SP]
Analyze Measurement Data[SP]
Store Data and Results[SP]
Communicate Results[SP]

Institutionalizing the Processes

Basic (Managed) GoalsAdvanced Goals
  1. Establish Policy: This policy establishes organizational expectations for aligning measurement objectives and activities with identified information needs and objectives and for providing measurement results.
  2. Plan the Process: Typically, this plan for performing the measurement and analysis process is included in (or referenced by) the project plan, which is described in the Project Planning process area.
  3. Provide Resources: Measurement personnel may be employed full time or part time. A measurement group may or may not exist to support measurement activities across multiple projects. Examples of other resources provided include:
    • Statistical packages
    • Packages that support data collection over networks
  4. Assign Responsibility: Assign responsibility and authority for performing the process, developing the work products, and providing the services of the measurement and analysis process.
  5. Train People: Examples of training topics include the following: [PA154.EL107]
    • Statistical techniques
    • Data collection, analysis, and reporting processes
    • Development of goal-related measurements (e.g., Goal Question Metric)
  6. Manage Configurations: Examples of work products placed under configuration management include:
    • Specifications of base and derived measures
    • Data collection and storage procedures
    • Base and derived measurement data sets
    • Analysis results and draft reports
    • Data analysis tools
  7. Identify and Involve Relevant Stakeholders: Examples of activities for stakeholder involvement include the following: [PA154.EL114]
    • Establishing measurement objectives and procedures
    • Assessing measurement data
    • Providing meaningful feedback to those responsible for providing the raw data on which the analysis and results depend
  8. Monitor and Control the Process: Examples of measures used in monitoring and controlling include:
    • Percentage of projects using progress and performance measures
    • Percentage of measurement objectives addressed
  9. Objectively Evaluate Adherence: Examples of activities reviewed include:
    • Aligning measurement and analysis activities
    • Providing measurement results
    Examples of work products reviewed include:
    • Specifications of base and derived measures
    • Data collection and storage procedures
    • Analysis results and draft reports
  10. Review Status with Higher Level Management: Review the activities, status, and results of the measurement and analysis process with higher level management and resolve issues.
Defined
  1. Establish Defined Process: Establish and maintain the description of a defined measurement and analysis process.
  2. Collect Improvement Information: Collect work products, measures, measurement results, and improvement information derived from planning and performing the measurement and analysis process to support the future use and improvement of the organization’s processes and process assets.

Quantitatively Managed
  1. Establish Quantitative Objectives for the Process: Establish and maintain quantitative objectives for the measurement and analysis process that address quality and process performance based on customer needs and business objectives.
  2. Stabilize Subprocess Performance: Stabilize the performance of one or more subprocesses to determine the ability of the measurement and analysis process to achieve the established quantitative quality and processperformance objectives.

Optimizing
  1. Ensure Continuous Process Improvement: Ensure continuous improvement of the measurement and analysis process in fulfilling the relevant business objectives of the organization.
  2. Correct Root Causes of Problems: Identify and correct the root causes of defects and other problems in the measurement and analysis process.

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PPCD: Process & Product Quality Control
Purpose
To provide staff and management with objective insight into processes and associated work products.

The Process and Product Quality Assurance process area involves :

The Process and Product Quality Assurance process area supports the delivery of high-quality products and services by providing the project staff and managers at all levels with appropriate visibility into, and feedback on, processes and associated work products throughout the life of the project.

The practices in the Process and Product Quality Assurance process area ensure that planned processes are implemented, while the practices in the Verification process area ensure that the specified requirements are satisfied. These two process areas may on occasion address the same work product but from different perspectives. Projects should take care to minimize duplication of effort.

Objectivity in process and product quality assurance evaluations is critical to the success of the project. (See the definition of “objectively evaluate” in Appendix C, the glossary.) Objectivity is achieved by both independence and the use of criteria. Traditionally, a quality assurance group that is independent of the project provides this objectivity. It may be appropriate in some organizations, however, to implement the process and product quality assurance role without that kind of independence. For example, in an organization with an open, quality oriented culture, the process and product quality assurance role may be performed, partially or completely, by peers; and the quality assurance function may be embedded in the process.

If quality assurance is embedded in the process, several issues must be addressed to ensure objectivity. Everyone performing quality assurance activities should be trained in quality assurance. Those performing quality assurance activities for a work product should be separate from those directly involved in developing or maintaining the work product. An independent reporting channel to the appropriate level of organizational management must be available so that noncompliance issues may be escalated as necessary.

Quality assurance should begin in the early phases of a project to establish plans, processes, standards, and procedures that will add value to the project and satisfy the requirements of the project and the organizational policies. Those performing quality assurance participate in establishing the plans, processes, standards, and procedures to ensure that they fit the project’s needs and that they will be useable for performing quality assurance evaluations. In addition, the specific processes and associated work products that will be evaluated during the project are designated. This designation may be based on sampling or on objective criteria that are consistent with organizational policies and project requirements and needs.

When noncompliance issues are identified, they are first addressed within the project and resolved there if possible. Any noncompliance issues that cannot be resolved within the project are escalated to an appropriate level of management for resolution.

This process area primarily applies to evaluations of products and services, but it also applies to evaluations of nonproject activities and work products such as training activities. For these activities and work products, the term “project” should be appropriately interpreted.

Specific Goals

GoalSupporting PracticesSub
Practices
PPCD-1: Objectively Evaluate Processes and Work Products
Adherence of the performed process and associated work products and services to applicable process descriptions, standards, and procedures is objectively evaluated. 		Objectively Evaluate Processes[SP]
Objectively Evaluate Work Products and Services[SP]
PPCD-2: Provide Objective Insight
Noncompliance issues are objectively tracked and communicated, and resolution is ensured. 		Communicate and Ensure Resolution of Noncompliance Issues[SP]
Establish Records[SP]

Institutionalizing the Processes

Basic (Managed) GoalsAdvanced Goals
  1. Establish Policy: This policy establishes organizational expectations for objectively evaluating whether processes and associated work products adhere to the applicable process descriptions, standards, and procedures, and ensuring that noncompliance is addressed. This policy also establishes organizational expectations for process and product quality assurance being in place for all projects. Process and product quality assurance must possess sufficient independence from project management to provide objectivity in identifying and reporting noncompliance issues.
  2. Plan the Process: This plan for performing the process and product quality assurance process may be included in (or referenced by) the project plan, which is described in the Project Planning process area.
  3. Provide Resources: Examples of resources provided include:
    • Evaluation tools
    • Noncompliance tracking tool
  4. Assign Responsibility: To guard against subjectivity or bias, ensure that those people assigned responsibility and authority for process and product quality assurance can perform their evaluations with sufficient independence and objectivity
  5. Train People: Examples of training topics include:
    • Application domain
    • Customer relations
    • Process descriptions, standards, procedures, and methods for the project
    • Quality assurance objectives, process descriptions, standards, procedures, methods, and tools
  6. Manage Configurations: Examples of work products placed under configuration management include:
    • Noncompliance reports
    • Evaluation logs and reports
  7. Identify and Involve Relevant Stakeholders: Examples of activities for stakeholder involvement include:
    • Establishing criteria for the objective evaluations of processes and work products
    • Evaluating processes and work products
    • Resolving noncompliance issues
    • Tracking noncompliance issues to closure
  8. Monitor and Control the Process: Examples of measures used in monitoring and controlling include:
    • Variance of objective process evaluations planned and performed
    • Variance of objective work product evaluations planned and performed
  9. Objectively Evaluate Adherence: Examples of activities reviewed include:
    • Objectively evaluating processes and work products
    • Tracking and communicating noncompliance issues
    Examples of work products reviewed include:
    • Noncompliance reports
    • Evaluation logs and reports
  10. Review Status with Higher Level Management: Review the activities, status, and results of the process and product quality assurance process with higher level management and resolve issues.
Defined
  1. Establish Defined Process: stablish and maintain the description of a defined process and product quality assurance process. Collect work products, measures, measurement results, and improvement information derived from planning and performing the process and product quality assurance process to support the future use and improvement of the organization’s processes and process assets.
  2. Collect Improvement Information: Collect work products, measures, measurement results, and improvement information derived from planning and performing the process and product quality assurance process to support the future use and improvement of the organization’s processes and process assets.

Quantitatively Managed
  1. Establish Quantitative Objectives for the Process: Establish and maintain quantitative objectives for the process and product quality assurance process that address quality and process performance based on customer needs and business objectives.
  2. Stabilize Subprocess Performance: Stabilize the performance of one or more subprocesses to determine the ability of the xxxxxxxxxxxxx process to achieve the established quantitative quality and process performance objectives.

Optimizing
  1. Ensure Continuous Process Improvement: Ensure continuous improvement of the process and product quality assurance process in fulfilling the relevant business objectives of the organization.
  2. Correct Root Causes of Problems: Identify and correct the root causes of defects and other problems in the process and product quality assurance process.

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CFM: Configuration Management
Purpose
To establish and maintain the integrity of work products.

The Configuration Management process area involves:

The work products placed under Configuration management include the products that are delivered to the customer, designated internal work products, acquired products, tools, and other items that are used in creating and describing these work products.

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

Configuration management of work products may be performed at several levels of granularity. Configuration items can be decomposed into configuration components and configuration units. Only the term "configuration item" is used in this process area. Therefore, in these practices, "configuration item" may be interpreted as "configuration component" or "configuration unit" as appropriate.

Baselines provide a stable basis for continuing evolution of configuration items.

Baselines are added to the configuration management system as they are developed. Changes to baselines and the release of work products built from the configuration management system are systematically controlled and monitored via the configuration control, change management, and configuration auditing functions of configuration management.

This process area applies not only to configuration management on projects, but also to configuration management on organization work products such as standards, procedures, and reuse libraries.

Configuration management is focused on the rigorous control of the managerial and technical aspects of work products, including the delivered system.

This process area covers the practices for performing the configuration management function and is applicable to all work products that are placed under configuration management.

Specific Goals

GoalSupporting PracticesSub
Practices
CFM-1: Establish Baselines
The specific practices under the Track and Control Changes specific goal serve to maintain the baselines. The specific practices of the Establish Integrity specific goal document and audit the integrity of the baselines. 		Identify Configuration Items[SP]
Establish a Configuration Management System[SP]
Create or Release Baselines[SP]
CFM-2: Track and Control Changes
Changes to the work products under configuration management are tracked and controlled. The specific practices under this specific goal serve to maintain the baselines after they are established by the specific practices under the Establish Baselines specific goal. 		Track Change Requests[SP]
Control Configuration Items[SP]
CFM-3: Establish Integrity
Integrity of baselines is established and maintained. The integrity of the baselines, established by processes associated with the Establish Baselines specific goal, and maintained by processes associated with the Track and Control Changes specific goal, is provided by the specific practices under this specific goal. 		Establish Configuration Management Records[SP]
Perform Configuration Audits[SP]

Institutionalizing the Processes

Basic (Managed) GoalsAdvanced Goals
  1. Establish Policy: This policy establishes organizational expectations for establishing and maintaining baselines, tracking and controlling changes to the work products (under configuration management), and establishing and maintaining integrity of the baselines.
  2. Plan the Process: This plan for performing the configuration management process can be included in (or referenced by) the project plan, which is described in the Project Planning process area.
  3. Provide Resources: Examples of resources provided include:
    • Configuration management tools
    • Data management tools
    • Archiving and reproduction tools
    • Database programs
  4. Assign Responsibility: Assign responsibility and authority for performing the process, developing the work products, and providing the services of the configuration management process.
  5. Train People: Examples of training topics include:
    • Roles, responsibilities, and authority of the configuration management staff
    • Configuration management standards, procedures, and methods
    • Configuration library system
  6. Manage Configurations: Examples of work products placed under configuration management include the following: [PA159.EL106]
    • Access lists
    • Change status reports
    • Change request database
    • CCB meeting minutes
    • Archived baselines
  7. Identify and Involve Relevant Stakeholders: Examples of activities for stakeholder involvement include:
    • Establishing baselines
    • Reviewing configuration management system reports and resolving issues
    • Assessing the impact of changes for the configuration items
    • Performing configuration audits
    • Reviewing the results of configuration management audits
  8. Monitor and Control the Process: Examples of measures used in monitoring and controlling include:
    • Number of changes to configuration items
    • Number of configuration audits conducted
  9. Objectively Evaluate Adherence: Examples of activities reviewed include:
    • Establishing baselines
    • Tracking and controlling changes
    • Establishing and maintaining integrity of baselines
    Examples of work products reviewed include:
    • Archives of the baselines
    • Change request database
  10. Review Status with Higher Level Management. Review the activities, status, and results of the configuration management process with higher level management and resolve issues.
Defined
  1. Establish Defined Process: Establish and maintain the description of a defined configuration management process.
  2. Collect Improvement Information: Collect work products, measures, measurement results, and improvement information derived from planning and performing the configuration management process to support the future use and improvement of the organization’s processes and process assets.

Quantitatively Managed
  1. Establish Quantitative Objectives for the Process: Establish and maintain quantitative objectives for the configuration management process that address quality and process performance based on customer needs and business objectives.
  2. Stabilize Subprocess Performance: Stabilize the performance of one or more subprocesses to determine the ability of the configuration management process to achieve the established quantitative quality and processperformance objectives.

Optimizing
  1. Ensure Continuous Process Improvement: Ensure continuous improvement of the configuration management process in fulfilling the relevant business objectives of the organization.
  2. Correct Root Causes of Problems: Identify and correct the root causes of defects and other problems in the configuration management process.

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