SEI CMMI-DEV Reference Legend for CAI Process Alignment Grid

Transcription

1 SEI CMMI-DEV Legend for CAI Process Alignment Grid SEI Goals/Key Practices Legend Key Practice Goal Activity Commitment Ability Measurement Verification Definition of an Involved Group Document Legend CAI Application Support Process Tracer User : Volumes 1, 2A, 2B, 2C, AKT Training, AKT Estimating, Application Knowledge Notebook, Team Leader KnowledgeNotebook, Training, Team Operations Notebook, Associate Notebook Assessment CAI Knowledge Databases Tracer User Group Tracer (as a tool) CAI Application Support Process and Tracer Training IT Support Leadership Workshop Does Not Apply to Application Support Function Documentation Standards Manual

2 CMMI-DEV: Level 2 SEI Goals/Key Practices Addressed by MM Process (/N) Requirements Management (RM) Level 2 GOAL 1: System requirements allocated to software are controlled to establish a baseline for software engineering and management use. or Manual Section/ Chapter LEVEL 2: REPEATABLE MANAGED MAINTENANCE REFERENCES Page(s)/Location/ Phase/Activity Name Process Step/Task Document (s) Software engineering group: Team Leader/Team analysts; Project Manager: Team Leader; REVISIONS: Senior Management: Account Manager, Business Unit Manager, Service Delivery Manager (SDM); Software Quality Assurance Group: CAI Quality Organization; 1. The software engineering group reviews the allocated requirements before they are incorporated into the software project. GOAL 2: Software plans, products, and activities are kept consistent with the system requirements allocated to software. 2. The software engineering group uses the allocated requirements as the basis for software plans, work products, and activities. Steps 2, 8 Steps 9, 10, 11, 27 WR35 Requirements Definition Checklist WR19A Member Modification Checklist WR21 Database Change Request Form WR32 Work Request Folder Checklist WR38 Work Request Planning Checklist WR44 Work Request Management Plan 3. Changes to the allocated requirements are reviewed and incorporated into the software project. Steps 22, 32, 33 WR25 Supplemental Project Change Request (Scope Change) WR38 Work Request Planning Checklist WR44 Work Request Management Plan Commitment 1 - The project follows a written organizational policy for managing the system requirements allocated to software. CAI Software Policy Manual Requirements Management (RM) Requirements Management Policy Steps 2, 5, 8, 32, 33 WR25 Supplemental Project Change Request (Scope Change) WR35 Requirements Definition Checklist Ability 1 - For each project, responsibility is established for analyzing the system requirements and allocating them to hardware, software, and other system components. Ability 2 - The allocated requirements are documented. Ability 3 - Adequate resources and funding are provided for managing the allocated requirements. Does Not Apply to MM Introduction Team Roles and Responsibilities Section 1 and Steps 1, 2, 3 Steps 2, 5, 7, 8 WR01 Work Request TLKT49 Work Request Management Plan WR35 Requirements Definition Checklist

3 Ability 4 - Members of the software engineering group and other software-related groups are trained to perform their requirements management activities. MM Trainer's Manual Vol. 1 MM and Tracer Multimedia Training CDs Policies and Procedures; Multimedia Training Multimedia Training Policies and Procedures Complete Volume; Tests, Training Evaluations MM Test Module CD, MM Supplementary Files CD Tracer Supplementary Files CD Activity 3800 Initial Team Activities Task 3810 TLKT39 Client Development Standards Activity 7500 Client Process and Procedures Task 7505 TLKT25 WR Process Amendments Activity 8100 Establish Documents for Current Task 8125 Site Activity 8200 Activity 8300 Train CAI Team in Managed Maintenance Process Train CAI Team in CAI Managed Maintenance Software (Tracer) ALL TASKS ALL TASKS TG07 MM Training Request TG07 MM Training Request Measurement 1 - Measurements are made and used to determine the status of the activities for managing the allocated requirements. Verification 1 - The activities for managing the allocated requirements are reviewed with senior management on a periodic basis. Verification 2 - The activities for managing the allocated requirements are reviewed with the project manager on both a periodic and event-driven basis. Verification 3 - The software quality assurance group reviews and/or audits the activities and work products for managing the allocated requirements and reports the results. Section 1,, and Section 5 Performance Metrics and Modified Function Points Review Tracer as a tool. Steps 16,17 WR16 User Group Meeting Minutes WR17 & WR18 WR Status Reports Introduction Team Roles and Responsibilities Definition of Senior Management Section 1 and Steps 6, 17, 18, 19 Steps 6, 17, 18, 19, 34 Steps 26, 27, 29, 42, 46 WR16 User Group Meeting Minutes WR17 Open Work Request Status Report WR18 Closed Work Request Status Report WR37 Agenda for Monthly Client Management Meeting WR16 User Group Meeting Minutes WR17 Open Work Request Status Report WR18 Closed Work Request Status Report WR26 Work Request Issue Form WR37 Agenda for Monthly Client Management Meeting WR19a Member Modification Checklist WR21 Database Change Request Form WR23 Program Quality Control Checklist WR32 Work Request Folder Checklist WR36 Quality Control Issue Description WR39 Peer Review Status ITQA ITQA Process Steps 21 to 23, 26 ITQA05 Findings & Recommendations Report Software Project Planning (SPP) Level 2 GOAL 1: Software estimates are documented for use in planning and tracking software. or Manual Section/Chapter Page(s)/Location/Phase/Activity Name ProcessStep/Task Document(s) SPP (Project Development Plan)

4 9. Estimates for the size of the software work products (or changes to the size of software work products) are derived according to a documented procedure. Steps 11, 12, 22, 23, 32, 33 WR03 Online Enhancement Complexity Worksheet WR04 Online Enhancement Complexity Worksheet Instructions WR05 Online New Complexity Worksheet WR06 Online New Complexity Worksheet Instructions WR07 Batch Enhancement Complexity Worksheet WR08 Batch Enhancement Complexity Worksheet Instructions WR09 Batch New Complexity Worksheet WR10 Batch New Complexity Worksheet Instructions WR11 Work Request Estimating Matrix WR25 Supplemental Project Change Request (Scope Change) 10. Estimates for the software project's effort and costs are derived according to a documented procedure. Steps 11 to 13, 22 WR03 Online Enhancement Complexity Worksheet WR04 Online Enhancement Complexity Worksheet Instructions WR05 Online New Complexity Worksheet WR06 Online New Complexity Worksheet Instructions WR07 Batch Enhancement Complexity Worksheet WR08 Batch Enhancement Complexity Worksheet Instructions WR09 Batch New Complexity Worksheet WR10 Batch New Complexity Worksheet Instructions WR11 Work Request Estimating Matrix WR12 Work Request Estimate WR13 Estiamte Notification Memo 11. Estimates for the project's critical computer resources are derived according to a documented procedure. 12. The project's software schedule is derived according to a documented procedure. Section 1,, Appendix H, and Appendix I Does Not Apply to MM Steps 16, 17, 22, 23, 24 WR16 User Group Meeting Minutes WR37 Agenda for Monthly Client Managemetn Meeting WR38 Work Request Planning Checklist WR44 Work Request Management Plan TLKT48 Project Development Plan TLKT49 Work Request Management Plan

5 15. Software planning data are recorded. Steps 10, 11, 17, 23, 24 WR03 Online Enhancement Complexity Worksheet WR04 Online Enhancement Complexity Worksheet Instructions WR05 Online New Complexity Worksheet WR06 Online New Complexity Worksheet Instructions WR07 Batch Enhancement Complexity Worksheet WR08 Batch Enhancement Complexity Worksheet Instructions WR09 Batch New Complexity Worksheet WR10 Batch New Complexity Worksheet Instructions WR11 Work Request Estimating Matrix WR12 Work Request Estimate Tracer User Tracer Report Module and Report Samples WR Status Report, WR Unestimated, WR Preliminary Estimate Completed Graph, WR Event Printout GOAL 2: Software project activities and commitments are planned and documented. 2. Software project planning is initiated in the early stages of, and in parallel with, the overall project planning. Steps 8,9, 10 WR35 Requirements Definition Checklist WR38 Work Request Planning Checklist WR44 Work Request Management Plan TLKT48 Project Development Plan 5. A software life cycle with predefined stages of manageable size is identified or defined. P02 Work Request Process Flow 6. The project's software development plan is developed according to a documented procedure. 7. The plan for the software project is documented. 8. Software work products that are needed to establish and maintain control of the software project are identified. 13. The software risks associated with the cost, resource, schedule, and technical aspects of the project are identified, assessed, and documented. Section 1, and Appendix H Section 1, and Appendix H Appendix I Introduction Section 1 and Roles and ResponsibilitiesIdentify Project Risks Steps 1 to 51 Steps 10, 17, 22 Steps 10, 17, 22, 23, 34 Steps 8 to10, 22, 23, 32 to 35 WR38 Work Request Planning Checklist WR44 Work Request Management Plan TLKT48 Project Development Plan TLKT49 Work Request Management Plan WR38 Work Request Planning Checklist WR44 Work Request Management Plan TLKT48 Project Development Plan TLKT49 Work Request Management Plan WR12 Work Request Estimate WR13 Estimate Notification Memo WR17 Open Work Request Status Report WR18 Closed Work Request Status Report Final Estimate WR38 Work Request Planning Checklist WR44 Work Request Management Plan TLKT48 Project Development Plan WR01 Work Request WR25 Supplemental Project Change Request WR26 Work Request Issue Form WR38 Work Request Planning Checklist WR44 Work Request Management Plan 14. Plan for the project's software engineering facilities and support Steps 8 to 10 WR35 Requirements Definition Checklist

6 tools are prepared. GOAL 3: Affected groups and individuals agree to their commitments related to the software project. Software Engineering Group and other affected groups (CAI MM Team) 1. The software engineering group participates on the project proposal team. Activity 3300 Identify All Physical Requirements ALL TASKS Activity 3400 Establish Physical Operation ALL TASKS Activity 3500 Security ALL TASKS Activity 3600 Start Team on Client Site Tasks 3620 to 3640 Activity 3800 Initial Team Activities ALL TASKS Does Not Apply to MM AKT18 Library Environment TLKT05 Account Overview TLKT18 Time Reporting lines TLKT33 After-Hours Procedures TLKT39 Client Development Standards TR41 Tracer Install Plan and Schedule TR42 Tracer Table Initialization Worksheet 3. The software engineering group participates with other affected groups in the overall project planning throughout the project's life. Section 1,, and Appendix H Steps 8, 9, 10, 16 WR17 Open Work Request Status Report WR18 Closed Work Request Status Report TR20 Service Level Agreement Team Operations Notebook Individuals and groups external to the organization (User Group); organization (CAI Application Support Teams); Senior Management (Team Leader) REVISIONS: Senior Management: Account Manager, Business Unit Manager, Service Delivery Manager (SDM) Steps 14, 16, 19, 22, Software project commitments made to individuals and groups external to the organization are reviewed with senior management according to a documented procedure. Commitment 1 - A project software manager is designated to be responsible for negotiating commitments and developing the project's software development plan. Commitment 2 - The project follows a written organizational policy for planning a software project. Ability 1 - A documented and approved statement of work exists for the software project. CAI Software Policy Manual Activity 9300 Status Reporting Tasks 9305, 9320, 9325 CAI Roles for the Project Development Assign Team Leader Activities 2300 and Steps 1, 8, 9, 10 WR12 Work Request Estimate WR15 Team Leader Weekly Report Checklist WR17 Open Work Request Status Report WR18 Closed Work Request Status Report TLKT25 WR Process Amendments TLKT48 Project Development Plan TLKT49 Work Request Management Plan Team Operations Notebook WR01 Work Request WR12 Work Request Estimate WR13 Estimate Notification Memo WR35 Requirements Definition Checklist WR38 Work Request Planning Checklist Ability 2 - Responsibilities for developing the software development plan are assigned. Ability 3 - Adequate resources and funding are provided for planning the software project. Section 1 and Activity 4100 Initial Scope Analysis Tasks 4125, 4130 TR11 (Manage Maintenance Engagement Scope Document) WR Documents Steps 5, 7, 21 Activity 2100 Prepare and Interview for Staffing ALL TASKS Activity 2200 Hire Team ALL TASKS Assigned in Tracer

7 Ability 4 - The software managers, software engineers, and other individuals involved in the software project planning are trained in the software estimating and planning procedures applicable to their areas of responsibility. Measurement 1 - Measurements are made and used to determine the status of the software planning activities. Verification 1 - The activities for software project planning are reviewed with senior management on a periodic basis. Verification 2 - The activities for software project planning are reviewed with the project manager on both a periodic and event-driven basis. Tracer User Activity 3600 Start Team on Client Site ALL TASKS Activity 8200 Train CAI Team in Managed ALL TASKS Maintenance Process Activity 8300 Appendix F Train CAI Team in CAI Managed Maintenance Software (Tracer) Tracer Report Module and Report Samples Introduction Define Senior Management Section 1 and REVISIONS: Senior Quality Assurance Group: CAI Corporate Quality Organization Verification 3 - The software Introduction quality assurance group reviews Section 1 and and/or audits the activities and work products for software project planning and reports the results. ALL TASKS Step 55 Steps 19, 32, 34, 55 Steps 26, 27, 29, 42, 46 WR Status Report, WR Unestimated, WR Preliminary Estimate Completed Graph, WR Event Printout Weekly Status Report, WR15 Team Leader Report Checklist TR20 Monthly Status Report WR15 Team Leader Report Checklist WR17 Open Work Request Status Report WR18 Closed Work Request Status Report WR25 Supplemental Project Change Request WR26 Work Request Issue Form Weekly Staff Meeting, SLA WR19a Member Modification Checklist WR21 Database Change Request Form WR23 Program Quality Control Checklist WR32 Work Request Folder Checklist WR36 Quality Control Issue Description WR39 Peer Review Status Software Project Tracking and Oversight (SPT&O) Level 2 GOAL 1: Actual results and performance are tracked against the software plans. 1. A documented software development plan is used for tracking the software activities and communicating status. 5. The size of the software work products (or size of changes to the software work products) are tracked, and corrective actions are taken as necessary. (This activity also supports Goal 2.) 6. The project's software effort and costs are tracked, and corrective ITQA or Manual ITQA Process Steps 21 to 23, 26 ITQA05 Findings & Recommendations Report Section/Chapter Section 1,, Appendix H and Appendix I Tracer User Tracer User Section 1 Page(s)/Location/Phase/Activity Name ProcessStep/Task Document (s) Tracer Report Module and Report Samples Tracer Report Module and Report Samples Steps 1-55 Steps 10, 11 WR17 to WR23 TLKT48 (Project Development Plan), TLKT49 Event Printout, WR Status Report, Issue Report Event Printout, WR Status Report, WR19a (Member Modification WR03 to WR11 Complexity Estimating

8 actions are taken as necessary. (This activity also supports Goal 2.) Tracer User Tracer Report Module and Report Samples Event Printout, WR Status Report, Performance Reports 7. The project's critical computer resources are tracked, and corrective actions are taken as necessary. (This activity also supports Goal 2.) 8. The project's software schedule is tracked, and corrective actions are taken as necessary. (This activity also supports Goal 2.) Does Not Apply Steps 32-34, 55 WR15 (MM Team Leader Weekly Report WR25 (Supplemental Project Change Request) WR26 (Work Request Issue Form) Escalation Process Tracer User Tracer Report Module and Report Samples WR Status Report 9. Software engineering technical activities are tracked, and corrective actions are taken as necessary. (This activity also supports Goal 2.) 10. The software risks associated with cost, resource, schedule, and technical aspects of the project are tracked. 11. Actual measurement data and replanning data for the software project are recorded. (This activity also supports Goal 2.) Section 1 and Section 3 and Appendix C Introduction, Section 1 and Tracer User Tracer User Software Engineering Group (CAI Application Support Teams and User Group) Introduction, Section 1 and 12. The software engineering group conducts periodic internal reviews to track technical progress, plans, performance, and issues against the software development plan. Tracer User Activity 3100 Activity 9300 Steps 25, 28, 29, 42 WR19 (Programmers WR19a (Member Modification WR22 (Unit Test WR23 (Program Quality Control WR30 (Production Module Release Form) WR36 (Quality Control Issue Description) Incidents Steps 11 and 12 IN05 (Production Incident Ticket) Tracer Report Module and Report Samples Tracer Report Module and Report Samples Tracer Report Module and Report Samples Create Plan Status Reporting Steps 10, 22, 32 to 35 Steps 34, 55 Task 3140, 3145, and 9305 ITQA Steps WR25 (Supplemental Project Change Request) WR26 (Work Request Issue Form) WR38 (Work Request Planning WR44 (Work Request Management Plan) WR Issue Form, Issues Report, WR Status Report Time Entry WR17 (Open Work Request Status Report) WR18 (Closed Work Request Status Report) WR26 (Work Request Issue Form) WR Status Report, Issues Report TR19 ( Weekly Status Report)

9 13. Formal reviews to address the accomplishments and results of the software project are conducted at selected project milestones according to a documented procedure. GOAL 2: Corrective actions are taken and managed to closure when actual results and performance deviate significantly from the software plans. 2. The project's software development plan is revised according to a documented procedure. Tracer User Activity 3200 Activity 9300 Activity Tracer Report Module and Report Samples CAI TM & TL On Client Site Status Reporting Develop Materials for Team Operations Notebook ITQA Step 26 Steps 16, 19, 34, 55 Task 3220, 9320, and 9325 WR16 (User Group Meeting Minutes) WR17 (Open Work Request Status Report) WR18 (Closed Work Request Status Report) WR26 (Work Request Issue Form) WR Status Report, WR Event Printout TR20 (Service Level Agreement) TLKT25 (WR Process Amandments) GOAL 3: Changes to software commitments are agreed to by the affected groups and individuals. Individuals and groups external to the organization (User Group); Organization (CAI Application Support Teams); Senior Management (Team Leader) 3. Software project commitments and changes to commitments made to individuals and groups external to the organization are reviewed with senior management according to a documented procedure. Activity 4200 Activity 9300 Verify Scope of Effort Status Reporting Tasks Task 9320 TR20 (Service Level Agreement) Software Engineering Group (CAI Application Support Teams); other software-related groups (User Group); Project Software Manager (Team Leader) 4. Approved changes to commitments that affect the software project are communicated to the members of the software engineering group and other software-related groups. Commitment 1 - A project software manager is designated to be responsible for the project's software activities and results. Commitment 2 - The project follows a written organizational policy for managing the software project. Section 1 and Steps 16, 19, 32, 34, 55 WR15 (Team Leader Report WR16 (User Group Meeting Minutes) WR17 (Open Work Request Status Report) WR18 (Closed Work Request Status Report) WR25 (Supplemental Project Change Request) Activity Assemble Associate Notebook TLKT36 (Metrics Document) ITQA Steps 12 and 16 Activity 2300 Assign Team Leader CAI Software Policy Manual Software Project Tracking and Oversight (SPT&O) Software Project Tracking and Oversight Policy Ability 1 - A software development plan for the software project is documented and approved. Section 1,, and Appendix H Steps 10, 14, 22 WR12 (Work Request Estimate) TLKT48 (Project Development Plan)

10 Ability 2 - The project software manager explicitly assigns responsibility for software work products and activities. Ability 3 - Adequate resources and funding are provided for tracking the software project. Activity Introduction Section 1 and Introduction Section 1 and Develop Materials for Team Operations Notebook TLKT25 (WR Process Amandments) Steps 5, 7, 21, 24 Steps 5, 7, 21, 24 WR01 (Work Request) WR12 (Detailed Work Request Estimate) WR13 (Estimate Notification Memo) WR44 (Work Request Manangement Plan) WR12 (Work Request Estimate) Estimating Matricies Tracer Tracer and MS Project98 MS Office Visio Activity 1100 Engagement Planning Task 1105 Activity 2200 Hire Team Tasks 2205 to 2220 Activity 2300 Assign Team Leader Tasks 2305, 2350, 2355 Software Managers/First-line Software Managers/Senior Management/Project Manager (Team Leaders) MM and Tracer Training Ability 4 - The software managers are trained in managing the technical and personnel aspects of the software project. Ability 5 - First-line software managers receive orientation in the technical aspects of the software project. Measurement 1 - Measurements are made and used to determine the status of the software tracking and oversight activities. Verification 1 - The activities for software project tracking and oversight are reviewed with senior management on a periodic basis. Verification 2 - The activities for software project tracking and oversight are reviewed with the project manager on both a periodic and event-driven basis. MM Leadership Workshop Volume 1 See Ability 4 Tracer User Activity 2300 Assign Team Leader Tasks 2305, 2310, 2315, 2320, 2325 Activity 7400 Flow Charting & Data Flow Tasks 7405 to 7420 Diagrams Activity 7500 Client Process and Procedures Tasks 7505 to 7525 Activity 7600 Supplemental Technical Training Task 7605 Activity Does Not Apply Develop Materials for Team Operations Notebook. Tracer Report Module and Report Samples Task 11256, Task Step 55 TG01 (MM Applications Technical Support Requirements)TG02 (CAI MM Training Assessment)TG03 (Customized Individual Training Plan)TG03A (Customized Training Plan in Leadership)TG04 (Matrix of Who Needs What Training)TG05 (Technical Training Schedule)TG06 (CAI Leadership Assessment) TLKT26 (Management Escalation lines); TLKT27 (Associate Escalation lines) WR Status Report, Event Printout Application Activity and Performance Report Time Entry WR15 (Team Leader Report Weekly Staff Report Activity 2300 Assign Team Leader Task 2340 TR20 (Service Level Agreement)

11 Software Quality Assurance Group (Development Analysts and Team Leaders); REVISIONS: Senior Quality Assurance Group: CAI Corporate Quality Organization Verification 3 - The software quality assurance group reviews and/or audits the "Revised" Plans & Commitments activities and work products for software project tracking and oversight and reports the results. Steps 34, 35 WR26 (Work Request Issue Form) ITQA ITQA Process Steps 21 to 23, 26 ITQA05 Findings & Recommendations Report Software Subcontract Management (SSM) Level 2 or Manual Section/Chapter Page(s)/Location/Phase/Activity Name ProcessStep/Task Document(s) GOAL 1: The prime contractor selects qualified software subcontractors. 1. The work to be subcontracted is defined and planned according to a documented procedure. NA NA NA NA NA NA 2. The software subcontractor is selected, based on an evaluation of the subcontractor bidders' ability to perform the work, according to a documented procedure. GOAL 2: The prime contractor and the software subcontractor agree to their commitments to each other. 3. The contractual agreement between the prime contractor and the software subcontractor is used as the basis for managing the subcontract. (This activity also supports Goal 4.) 4. A documented subcontractor s software development plan is reviewed and approved by the prime contractor. 6. Changes to the software subcontractor s statement of work, subcontract terms and conditions, and other commitments are resolved according to a documented procedure. GOAL 3: The prime contractor and the software subcontractor maintain ongoing communications. 7. The prime contractor s management conducts periodic status/coordination reviews with the software subcontractor s management. (This activity also supports Goal 4.) 8. Periodic technical reviews and interchanges are held with the software subcontractor. 9. Formal reviews to address the subcontractor s software engineering accomplishments and results are conducted at selected milestones according to a documented procedure. (This activity also supports Goal 4.) NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA

12 GOAL 4: The prime contractor tracks the software subcontractor actual results and performance against commitments. 5. A documented and approved subcontractor s software development plan is used for tracking the software activities and communicating status. 10. The prime contractor s software quality assurance group monitors the subcontractor s software quality assurance activities according to a documented procedure. 11. The prime contractor s software configuration management group monitors the subcontractor s activities for software configuration management according to a documented procedure. 12. The prime contractor conducts acceptance testing as part of the delivery of the subcontractor s software products according to a documented procedure. 13. The software subcontractor's performance is evaluated on a periodic basis, and the evaluation is reviewed with the subcontractor. (This activity also supports Goal 3.) Commitment 1 - The project follows a written organizational policy for managing the software subcontract. Commitment 2 - A subcontract manager is designated to be responsible for establishing and managing the software subcontract. Ability 1 - Adequate resources and funding are provided for selecting the software subcontractor and managing the subcontract. Ability 2 - Software managers and other individuals who are involved in establishing and managing the software subcontract are trained to perform these activities. Ability 3 - Software managers and other individuals who are involved in managing the software subcontract receive orientation in the technical aspects of the subcontract. Measurement 1 - Measurements are made and used to determine the status of the activities for managing the software subcontract. NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA CAI Software Policy Manual Software Subcontract Management (SSM) Software Subcontract Management Policy NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA

13 Verification 1 - The activities for managing the software subcontract are reviewed with senior management on a periodic basis. Verification 2 - The activities for managing the software subcontract are reviewed with the project manager on both a periodic and event-driven basis. Verification 3 - The software quality assurance group reviews and/or audits the activities and work products for managing the software subcontract and reports the results. Software Quality Assurance (SQA) Level 2 GOAL 1: Software quality assurance activities are planned. NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA NA or Manual Section/Chapter Page(s)/Location/Phase/Activity Name ProcessStep/Task Document(s) SQA Group ((Team Leader, Quality Analyst, In Team Quality Assurance Analyst); Affected groups and individuals (CAI Application Support Teams); Customer's SQA personnel (Senior Client Analysts) 1. An SQA plan is prepared for the software project according to a documented procedure. Activity 9100 Standards Definition Task 9105 TR36 In Team Quality Assurance Procedures ITQA Steps 4, 5, 6 ITQA01 ITQA02 ITQA03 DQA TLKT50 Software Quality Assurance Plan GOAL 2: Adherence of S/W products and activities to applicable standards, procedures, and requirements is verified objectively. SQA Group (Team Leader, Quality Analyst, In Team Quality Assurance Analyst) 2. The SQA group s activities are performed in accordance with the SQA plan. (This activity also supports Goal 1.) 3. The SQA group participates in the preparation and review of the project s software development plan, standards, and procedures. 4. The SQA group reviews the software engineering activities to verify compliance. 5. The SQA group audits designated software work products to verify compliance. ITQA Steps 4, 5, 6 ITQA01 ITQA02 ITQA03 DQA TLKT50 Software Quality Assurance Plan ITQA TLKT50 Software Quality Assurance Plan ITQA Steps 21, 22, 23, 26 WR30 WR38 WR44 ITQA05 DQA Steps 13, 14, 17, 27, 28, 37, 38 Steps 26, 29, 42 DQA09 DQA11 DQA12 WR20 (Specification Quality Control WR23 (Program Quality Control WR32 (Work Request Folder WR36 (Quality Control Issue

14 Description) Volume 2A Samples TLKT SAM5 TLKT47 (ITQA Process Flow) ITQA DQA09 SQA Checklist TLKT50 Software Quality Assurance Plan GOAL 3: Affected groups and individuals are informed of software quality assurance activities and results. SQA Group (CAI Application Support Teams/ Designated Analysts/QC Analysts); Affected groups and individuals (CAI Application Support Teams); Customer's SQA personnel (Senior Client Analysts)REVISION: SQA Group (CAI Corporate Quality Organization); Software Engineering Group (SEPG: Software Engineering Process Group) 6. The SQA group periodically reports the results of its activities to the software engineering group. 8. The SQA group conducts periodic reviews of its activities and findings with the customer s SQA personnel, as appropriate. Volume 2A Samples Steps 26, 29 WR20 (Specification Qualtiy Control WR23 (Program Quality Control WR36 (Quality Control Issue Description) TLKT SAM5 TLKT47 (ITQA Process Flow) ITQA DQA09 TLKT50 Software Quality Assurance Plan Volume 2A Tracer User Samples Steps 9, 16, 19 WR16 (User Group Meeting Minutes) Weekly Staff Meetings TLKT SAM5 TLKT47 (ITQA Process Flow) Tracer Report Module and Report Samples WR Status Report, Event Printout ITQA TLKT50 Software Quality Assurance Plan GOAL 4: Noncompliance issues that can not be resolved within the software project are addressed by senior management. Senior Management (Team Leader); SQA Group (Designated Analysts/QC Analysts); Experts independent of SQA Group (Team Leader/User Group/Senior Client Analysts); Members of software project (CAI Application Support Teams); Senior Management/Project Manager (Team Leader) REVISIONS: SQA group (CAI Quality Organization); 7. Deviations identified in the software activities and software work products are documented and handled according to a documented procedure. (This activity also supports Goal 3.) Introduction CAI Roles in the Engagement Steps 26, 29 WR20 (Specification Qualtiy Control WR23 (Program Quality Control WR36 (Quality Control Issue Description)

15 ITQA Delivery Quality Assurance (DQA) Process/Action Plan ALL ALL ALL maybe DQA09 CHECK THIS???? Commitment 1 - The project follows a written organizational policy for implementing software quality assurance (SQA). Ability 1 - A group that is responsible for coordinating and implementing SQA for the project (i.e., the SQA group) exists. Ability 2 - Adequate resources and funding are provided for performing the SQA activities. Ability 3 - Members of the SQA group are trained to perform their SQA activities. Ability 4 - The members of the software project receive orientation on the role, responsibilities, authority, and value of the SQA group. Measurement 1 - Measurements are made and used to determine the cost and schedule status of the SQA activities. CAI Software Policy Manual Software Quality Assurance (SQA) Software Quality Assurance Policy Activity to Task 9105 TR36 (MM In-Team Quality Assurance Procedures) Introduction Quality Business Plan TLKT50 Software Quality Assurance Plan Section 1 and Steps 26, 29, 42 WR19a (Member Modification WR20 (Specification Qualtiy Control WR23 (Program Quality Control WR30 (Production Module Release Form) WR36 (Quality Control Issue Description) ITQA TLKT50 Software Quality Assurance Plan Introduction Corporate Quality Plan Introduction Section 1 and Activity 3200 CAI Manager & Team Leader on Client Site Steps 26, 29 Task 3235 ITQA ITQA Training Introduction Team Roles and Responsibilities WR20 (Specification Qualtiy Control WR23 (Program Quality Control WR36 (Quality Control Issue Description) Training Videotapes Activity 3200 CAI Mnager & Team Leader on Client Site Task 3235 Activity 9100 Standard Definition Task 9105 TR36 (MM In-Team Quality Assurance Procedures) Step 21 ITQA TLKT50 Software Quality Assurance Plan Tracer User Tracer Report Module and Report Samples Event Printout, Critical Application Downtime Graph, Tracer Software Summary Tracer Identify Resources Screen

16 Verification 1 - The SQA activities are reviewed with senior management on a periodic basis. Process and Asset Repository Library REVISIONS: Senior Management: Account Manager, Business Unit Manager, Service Delivery Manager (SDM) Introduction CAI Roles in the Engagement Verification 2 - The SQA activities are reviewed with the project manager on both a periodic and event-driven basis. Verification 3 - Experts independent of the SQA group periodically review the activities and software work products of the project's SQA group. Tracer User Steps 22, 26, 28, 29 Steps 9, 16 TLKT50 Software Quality Assurance Plan SQA Checklist Meeting Minutes WR20 (Specification Qualtiy Control WR22 (Unit Test WR23 (Program Quality Control WR36 (Quality Control Issue Description) WR16 (User Group Meeting Minutes) In Development In Development In Development In Development What goes here now???? DQA Manual and SEPG Charter???? Tracer Report Module and Report Samples WR Status Report, WR Issues Log ITQA SQA Checklist TLKT50 Software Quality Assurance Plan ** DEBATE ** DQA DQA04 DQA09 Software Configuration Management (SCM) Level 2 or Manual Section/Chapter GOAL 1: Software configuration management activities are planned. Software Configuration Management (CAI Application Support Teams) 1. An SCM plan is prepared for Activity 3800 Initial Team Activities Task 3820 each software project according to Activity Develop Materials for Team Task 11288, a documented procedure. Operations Notebooks Task GOAL 2: Selected software work products are identified, controlled and available. 2. A documented and approved SCM plan is used as the basis for performing the SCM activities. (This activity also supports Goal 1.) Appendix G Managed Maintenance Documents Page(s)/Location/Phase/Activity Name ProcessStep/Task Document(s) TLKT45 (Software Configuration ) TLKT45 (Software Configuration 3. A configuration management library system is established as a repository for the software baselines. 4. The software work products to be placed under configuration management are identified. Appendix G Software Configuration Mgt. TLKT45s (Software Configuration Activity 3800 Initial Team Activities Tasks 3815, 3820 AKT16 (Library Environment) Activity Develop Materials for Team Tasks 11288, TLKT45 (Software Configuration Operations Notebooks Section 1 and Steps 25, 42 WR19 (Programmer's WR19a (Member Modification WR30 (Production Module Release Form) WR31 (Program Turnover Procedures) Appendix G Software Configuration Mgt. TLKT45s (Software Configuration

17 7. Products from the software baseline library are created and their release is controlled according to a documented procedure. GOAL 3: Changes to identified software work products are controlled. 5. Change requests and problem reports for all configuration items/units are initiated, recorded, reviewed, approved, and tracked according to a documented procedure. 6. Changes to baselines are controlled according to a documented procedure. Activity 4100 Initial Scope Analysis Tasks 4110 AKT07 (Application Component Inventory) Section 1 and Steps 25, WR19 (Programmer's WR19a (Member Modification WR24 (User Acceptance Memo) WR30 (Production Module Release Form) WR31 (Program Turnover Procedures) Appendix G Software Configuration Mgt. TLKT45s (Software Configuration Section 1 and Appendix G Managed Maintenance Documents Steps 1-47 Section 3 Incidents Steps 1-45 Section 1 and GOAL 4: Affected groups and individuals are informed of the status and content of software baselines. Affected groups and individuals (Designated Application Analysts, Requester, and Users) 8. The status of configuration items/units is recorded according to a documented procedure. 9. Standard reports documenting the SCM activities and the contents of the software baseline are developed and made available to affected groups and individuals. 10. Software baseline audits are conducted according to a documented procedure. Commitment 1 - The project follows a written organizational policy for implementing software configuration management (SCM). Steps 25, 26, 27, 29, WR21 (Database Change Request Form) WR19 (Programmer's WR19a (Member Modification WR30 (Production Module Release Form) WR31 (Program Turnover Procedures) Appendix G Software Configuration Mgt. TLKT45s (Software Configuration Section 1 and Appendix G Software Configuration Management Appendix G Software Configuration Management CAI Software Policy Manual Section 1 and Steps 25, 42, 43 Section 5 WR19 (Programmer's WR19a (Member Modification WR27 (Production Release Notice) WR30 (Production Module Release Form) TLKT45 (Software Configuration TLKT45 (Software Configuration WR19a (Member Modification WR30 (Production Module Release Form) Appendix G Software Configuration Mgt. TLKT45 (Software Configuration Software Configuration Management (SCM) Software Configuration Management Policy Software Configuration Control Board (Designated Analysts/QC Analysts); Members of SCM Group/Software Engineering Group/other software-related groups (CAI Application Support Teams)

18 Ability 1 - A board having the authority for managing the project's software baselines (i.e., a software configuration control board- SCCB) exists or is established. Ability 2 - A group that is responsible for coordinating and implementing SCM for the project (i.e., the SCM group) exists. Ability 3 - Adequate resources and funding are provided for performing the SCM activities. Ability 4 - Members of the SCM group are trained in the objectives, procedures, and methods for performing their SCM activities. Ability 5 - Members of the software engineering group and other software-related groups are trained to perform their SCM activities. Section 1 and Steps 10, 11, 41, 42 WR19a (Member Modification WR30 (Production Module Release Form) WR38 (WR Planning WR44 (WR Appendix G Software Configuration Mgt. TLKT45 (Software Configuration Section 1 and Steps 25, WR19a (Member Modification WR30 (Production Module Release Form) WR31 (Program Turnover Procedures) Appendix G Software Configuration Mgt. TLKT45 (Software Configuration Introduction Roles and Responsibilities Roles of Primary Version Control Administrator and Secondary Version Control Administrator Appendix G Software Configuration Mgt. TLKT45 (Software Configuration Activity 9100 Standard Definition Task 9170 TR48 (Version Control Administrator Procedures) Activity Develop Materials for Team Operations Notebooks Task 11288, Steps 40, 42, 43 TLKT45 (Software Configuration WR19a (Member Modification WR30 (Production Module Release Form) Multimedia Training CDs and Videotapes Activity 3800 Initial Team Activities Tasks 3820 and 3835 Activity 7500 Client Process and Procedures Task 7525 TLKT45 (Software Configuration Activity 8200 Train CAI Team in Managed Maintenance Process Task 8220 TLKT45 (Software Configuration TR20 (Service Level Agreement) Introduction Roles and Responsibilities Roles of Primary Version Control Administrator and Secondary Version Control Administrator Section 1 and Steps 40, 42, 43 WR19a (Member Modification WR30 (Production Module Release Form) Multimedia Training CDs and Videotapes Appendix G Software Configuration Mgt. TLKT45 (Software Configuration Activity 3800 Initial Team Activities Tasks 3820 and 3835 Activity 7500 Client Process and Procedures Task 7525 TLKT45 (Software Configuration Activity 8200 Train CAI Team in Managed Maintenance Process Task 8220 TLKT45 (Software Configuration TR20 (Service Level Agreement) ITQA Steps Measurement 1 - Measurements Section 1 Work Request Process Steps 42, 43 WR30 (Production Module Release are made and used to determine the status of the SCM activities. Form) WR32 (Work Request Folder Appendix G Software Configuration Mgt. TLKT45 (Software Configuration Tracer User Chapter 6 Time Entry Process Senior Management: Service Delivery Manager (SDM), Business Unit Manager (BU Manager); Account Manager, Area or Regional Manager; Project

19 Manager (Team Leader); SCM Group (Designated Analysts/QC Analysts); SQA Group (Designated Analysts, Developments Analysts, and Team Leader) Verification 1 - The SCM activities are reviewed with senior management on a periodic basis. Appendix G Software Configuration Mgt. TLKT45 (Software Configuration Verification 2 - The SCM activities are reviewed with the project manager on both a periodic and event-driven basis. Verification 3 - The SCM group periodically audits software baselines to verify that they conform to the documentation that defines them. Introduction Roles and Responsibilities Roles of Primary Version Control Administrator and Secondary Version Control Administrator Appendix G Software Configuration Mgt. TLKT45 (Software Configuration Introduction Roles and Responsibilities Roles of Primary Version Control Administrator and Secondary Version Control Administrator TLKT45 (Software Configuration Verification 4 - The software quality assurance group reviews and/or audits the activities and work products for SCM and reports the results. Appendix G TLKT45 (Software Configuration TLKT50 (Software Quality Assurance Plan) ITQA Process Steps 21 to 23, 26 ITQA05 Findings & Recommendations ITQA Report Tracer User Tracer Report Module and Report Samples WR Status Report, Issues Report, Event Printout CMMI-DEV: Level 3 Addressed by MM SEI Goals/Key Process Practices (/N) Organization Process Focus (OPF) Level 3 GOAL 1: Software process development and improvement activities are coordinated across the organization. Organization: CAI MM Team 3. The organization s and projects activities for developing and improving their software processes are coordinated at the organization level. or Manual MMRB Charter SEPG Charter MMRB and SEPG meeting minutes Section/ Chapter Section 2.2 Section 2.2 Introduction Sections 1A, 2A, 3A, 4A LEVEL 3: DEFINED MANAGED MAINTENANCE REFERENCES Page(s)/Location/ Process Phase/Activity Name Step/Task MMRB Responsibilities SEPG Responsibilities Work Request Process Amendments Support Process Amendments Production Incident Process Amendments Operations Process Amendments Document (s)

20 4. The use of the organization s software process database is coordinated at the organizational level. 5. New processes, methods, and tools in limited use in the organization are monitored, evaluated, and, where appropriate, transferred to other parts of the organization. MMRB Charter SEPG Charter MMRB Charter SEPG Charter Section 2.2 Section 2.2 Section 2.2 Section 2.2 MMRB Responsibilities SEPG Responsibilities MMRB Responsibilities SEPG Responsibilities Introduction User Group Level Sections 1A, 2A, 3A, 4A Work Request Process Amendments Support Process Amendments Production Incident Process Amendments Operations Process Amendments Lotus Notes MM and Tracer Technical Databases MM Technical Database Tracer Technical Database (All catgories of both databases) 6. Training for the organization s and projects software processes is coordinated across the organization. Tracer User Group Meeting Minutes Activity 8200 Train CAI Team in MM process ALL TASKS Activity 8300 Train CAI Team in MM Software (Tracer) ALL TASKS TR36 (MM In-Team Quality Assurance Procedures) 7. The groups involved in implementing the software processes are informed of the organization s and projects activities for software process development and improvement. Sections 1, 1A, 2A, 3A, 4A Work Request ProcessWork Request Process Amendments Support Process Amendments Production Incident Process Amendments Operations Process Amendments Step 19 WR17 (Open Work Request Status Report) WR18 (Closed Work Request Status Report) Weekly Staff Meeting Tracer User Group Meeting Minutes Lotus Notes MM and Tracer Technical Databases MM Technical Database Tracer Technical Database (All catgories of both databases) GOAL 2: The strengths and weaknesses of the software processes used are identified relative to a process standard. 1. The software process is assessed periodically, and action plans are developed to address the assessment MMRB Charter SEPG Charter Section 2.2 Section 2.2 MMRB Responsibilities SEPG Responsibilities

21 findings. DQA Process Delivery Quality Assurance Process GOAL 3: Organization-level process development and improvement activities are planned. 2. The organization develops and maintains a plan for its software process development and improvement activities. MMRB Charter and SEPG Charter CHECK LOCATION Lotus Notes MM Databases MM Marketing Database Work Requests MM Product and Operations Improvement, MM Process Enhancements Commitment 1 - The organization follows a written organizational policy for coordinating software process development and improvement activities across the organization. Commitment 2 - Senior management sponsors the organization's activities for software process development and improvement. Commitment 3 - Senior management oversees the organization's activities for software process development and improvement. CAI CAI Software Policy Manual MMRB Charter SEPG Charter MMRB and SEPG Meeting Minutes/ Status Reports Organization Process Focus (OPF) Section Section Organization Process Focus Policy MMRB Executive Sponsor SEPG Executive Sponsor Ability 1 - A group that is responsible for the organization's software process activities exists. MMRB/SEPG Charter, Meeting Minutes Status Reports Ability 2 - Adequate resources and funding are provided for the organization's software process activities. Ability 3 - Members of the group responsible for the organization's software process activities receive required training to perform these activities. Ability 4 - Members of the software engineering group and other software-related groups receive orientation on the organization's software process activities and their roles in those activities. MMRB/SEPG Members and Activities MMRB Charter and SEPG Charter CHECK LOCATION CMM Team Orientation \\corp-alt-08\sei\sei\sepg\cai-sei-basic.ppt Introduction MM Training Videotapes, Multimedia CDs

22 Measurement 1 - Measurements are made and used to determine the status of the organization's process development and improvement activities. Verification 1 - The activities for software process development and improvement are reviewed with senior management on a periodic basis. MMRB Charter and SEPG Charter MMRB and SEPG Status Reports MMRB Charter and SEPG Charter MMRB Status Reports and Meeting Minutes \\corp-alt-08\sei\sei\sepg\statusreports MM Development and Tracer Training Database CHECK LOCATION WHERE ARE THESE?? \\corp-alt-08\sei\sei\sepg\sepg-charter.doc Managed Maintenance Technical Database Managed Maintenance Technical Database SEPG Status Reports and Meeting minutes \\corp-alt-08\sei\sei\sepg\meetings Monthly reports for the MM Documentation Team and Tracer Development Team are posted to the Lotus Notes corporate database. Organization Process Definition (OPD) Level 3 GOAL 1: A standard process for the organization is developed and maintained. 1. The organization s standard software process is developed and maintained according to a documented procedure. 2. The organization s standard software process is documented according to established organization standards. 3. Descriptions of software life cycles that are approved for use by the projects are documented and maintained. ITQA ITQA Process Steps 21 to 23, 26 ITQA05 Findings & Recommendations Report or Manual Section/Chapter MM Process Flows All Volumes MM Process Flows Page(s)/Location/Phase/Activity Name ProcessStep/Task Document(s) P01 (Managed Maintenance Process Flow) P02 (Work Request Process Flow) P03 (Support Process Flow) P04 (Production Incident Process Flow) P05 (Operations Process Flow) Complete ALL SECTIONS Complete P01 (Managed Maintenance Process Flow) P02 (Work Request Process Flow) P03 (Support Process Flow) P04 (Production Incident Process Flow) P05 (Operations Process Flow) Complete Process Flow Managed Maintenance Process Flow

23 4. lines and criteria for the projects tailoring of the organization s standard software process are developed and maintained. Sections 1A, 2A, 3A, 4A Work Request Process Amendments Support Process Amendments Production Incident Process Amendments Operations Process Amendments GOAL 2: Information related to the use of the organization's standard software process by the software projects is collected, reviewed and made available. 5. The organization s software process database is established and maintained. Tracer Lotus Notes MM Databases Activity 3100 Create Plan Task 3105 Activity 9100 Standard Definition Metrics Database MM Technical Database Monthly Reports TLKT22 MM Process Amendment Signoff, TLKT46 MM Process Amendment Memo MM Documentation Team, Tracer Development Team; Monthly Reports, listed by Region, are posted to Lotus Notes corporate database. Work Requests MM Documentation Tracer Technical Database Tracer Documentation 6. A library of software process-related documentation is established and maintained. CAI Managed Maintenance SoftwareAssets CAI Product Catalog and Product Order Form Lotus Notes MM Databases Lotus Notes MM Databases Metrics Database Monthly Reports MM Documentation Team, Tracer Development Team; Monthly Reports, listed by Region, are posted to Lotus Notes corporate database. MM Technical Work Requests MM Documentation Database Commitment 1 - The organization follows a written policy for developing and maintaining the organization's standard software process and related process assets. Ability 1 - Adequate resources and funding are provided for developing and maintaining the organization's standard software process and related process assets. CAI Software Policy Manual Organization Process Definition (OPD) Sections 1A, 2A, 3A, 4A Organization Process Definition Policy Work Request Process Amendments Support Process Amendments Production Incident Process Amendments Operations Process Amendments