CMMI-SVC V1.3 CMMI for Services Version 1.3 Quick Reference Guide

Transcription

1 processlabs CMMI-SVC V1.3 CMMI for Services Version 1.3 Quick Reference Guide

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3 CMMI-SVC V1.3 Process Areas Alphabetically by Process Area Acronym processlabs CAM - Capacity and Availability Management... 6 CAR - Causal Analysis and Resolution... 8 CM - Configuration Management... 9 DAR - Decision Analysis and Resolution IRP - Incident Resolution and Prevention IWM - Integrated Work Management MA - Measurement and Analysis OPD - Organizational Process Definition OPF - Organizational Process Focus OPM - Organizational Performance Management OPP - Organizational Process Performance OT - Organizational Training PPQA - Process and Product Quality Assurance QWM - Quantitative Work Management REQM - Requirements Management RSKM - Risk Management SAM - Supplier Agreement Management SCON - Service Continuity SD - Service Delivery SSD - Service System Development SST - Service System Transition STSM - Strategic Service Management WMC - Work Monitoring and Control WP - Work Planning Generic Goals & Generic Practices CMMI-SVC V1.3 - Page 3

4 CMMI-SVC V1.3 Process Areas Staged Representation processlabs Maturity Level 2 CM - Configuration Management MA - Measurement and Analysis PPQA - Process and Product Quality Assurance REQM - Requirements Management SD - Service Delivery SAM - Supplier Agreement Management WMC - Work Monitoring and Control WP - Work Planning Maturity Level 3 CAM - Capacity and Availability Management DAR - Decision Analysis and Resolution IWM - Integrated Work Management IRP - Incident Resolution and Prevention OPD - Organizational Process Definition OPF - Organizational Process Focus OT - Organizational Training RSKM - Risk Management SCON - Service Continuity SSD - Service System Development SST- Service System Transition STSM - Strategic Service Management Maturity Level 4 OPP - Organizational Process Performance QWM - Quantitative Work Management Maturity Level 5 CAR - Causal Analysis and Resolution OPM - Organizational Performance Management CMMI-SVC V1.3 - Page 4

5 CMMI-SVC V1.3 Process Areas Continuous Representation processlabs Service Establishment and Delivery IRP - Incident Resolution and Prevention SD - Service Delivery SSD - Service System Development SST- Service System Transition STSM - Strategic Service Management Project & Work Management CAM - Capacity and Availability Management IWM - Integrated Work Management QWM - Quantitative Work Management REQM - Requirements Management RSKM - Risk Management SAM - Supplier Agreement Management SCON - Service Continuity WMC - Work Monitoring and Control WP - Work Planning Process Management OPD - Organizational Process Definition OPF - Organizational Process Focus OPM - Organizational Performance Management OPP - Organizational Process Performance OT - Organizational Training Support CAR - Causal Analysis and Resolution CM - Configuration Management DAR - Decision Analysis and Resolution MA - Measurement and Analysis PPQA - Process and Product Quality Assurance CMMI-SVC V1.3 - Page 5

6 SP1.1 SP1.2 SP1.3 CAM Capacity and Availability Management The purpose of Capacity and Availability Management (CAM) is to ensure effective service system performance and ensure that resources are provided and used effectively to support service requirements. SG2 SP2.1 Preparation for capacity and availability management is conducted. Establish and maintain a strategy for capacity and availability management. 1. Capacity and availability management strategy 1. Document resource and service use, performance, and availability. 2. Estimate future resource and service capacity and availability requirements. 3. Develop a capacity strategy that meets service requirements, meets the demand for resources and services, and addresses how resources are provided, used, and allocated. 4. Develop an availability strategy that meets service requirements and addresses delivering a sustained level of availability. 5. Document monetized costs and benefits of the strategy and any assumptions. 6. Periodically revise the strategy. Select measures and analytic techniques to be used in managing the capacity and availability of the service system. 1. Operational definitions of capacity and availability measures 2. Traceability of capacity and availability measures to service requirements 3. Tools to support collection and analysis of capacity and availability data 4. Target measures or ranges to be met for selected measured attributes 1. Identify measures from organizational process assets that support capacity and availability management objectives. 2. Identify and specify additional measures that may be needed to support achieving capacity and availability management objectives for the service. 3. Analyze the relationship between identified measures and service requirements, and derive objectives that state specific target measures or ranges to be met for each measured attribute. Establish and maintain service system representations to support capacity and availability management. 1. Representations of resource and service use 2. Representations of service levels 3. Data on the use of resources and services 4. Data on current service levels delivered 5. Thresholds that define exception conditions and breaches 1. Collect measurements on the use of resources and services and the current service levels delivered. 2. Establish and maintain descriptions of the normal use of service resources and service system performance. 3. Establish and maintain service system representations from collected measurements and analyses. 4. Review and get agreement with relevant stakeholders about the descriptions of the normal use of service resources, service system performance, and service system representations. 5. Make available the descriptions of the normal use of service resources, service system performance, and service system representations. 6. Establish and maintain thresholds associated with demand, workload, use of service resources, and service system performance to define exception conditions in the service system and breaches or near breaches of service requirements. Capacity and availability are monitored and analyzed to manage resources and demand. Monitor and analyze capacity against thresholds. 1. Service resource use data 2. Growth analysis of service use 3. List of resources not used as estimated CMMI-SVC V1.3 - Page 6

7 GG&GP WP WMC SSM SST SSD SD SCON SAM RSKM REQM QWM PPQA OT OPP OPM OPF OPD MA IWM IRP DAR CM CAR CAM. SP2.2 SP2.3 CAM 1. Monitor the use of service resources against thresholds, descriptions of normal use, and service system performance. 2. Monitor service response times. 3. Identify breaches of thresholds and exception conditions. 4. Determine the corrective action to be taken. 5. Estimate future changes (either growth or reduction) in the use of resources and services. 6. Store capacity and availability data, specifications, analysis results, and monitoring data. Monitor and analyze availability against targets. 1. Alarm data 2. Availability data 3. Reliability data 4. Maintainability data 1. Monitor availability, reliability, and maintainability against their requirements. 2. Analyze trends in availability, reliability, and maintainability. 3. Identify breaches of availability, reliability, and maintainability requirements. 4. Determine the corrective actions to be taken. Report capacity and availability management data to relevant stakeholders. 1. Service system performance reports 2. Service resource use reports 3. Service resource use projections 4. Service availability reports 1. Report the performance and use of resources and services. 2. Report exception conditions in the service system and breaches of service requirements. 3. Report data from monitoring against growth estimates in resource and service use. 4. Report the availability, reliability, and maintainability of resources and services. CMMI-SVC V1.3 - Page 7

8 SG1 SP1.1 CAR Causal Analysis and Resolution The purpose of Causal Analysis and Resolution (CAR) is to identify causes of selected outcomes and take action to improve process performance. Root causes of selected outcomes are systematically determined. Select outcomes for analysis. 1. Data to be used in the initial analysis 2. Initial analysis results data 3. Outcomes selected for further analysis 1. Gather relevant data. 2. Determine which outcomes to analyze further. 3. Formally define the scope of the analysis, including a clear definition of the improvement needed or expected, stakeholders affected, target impacted, etc. SP1.2 SG2 SP2.1 SP2.2 SP2.3 Perform causal analysis of selected outcomes and propose actions to address them. 1. Root cause analysis results 2. Action proposal 1. Conduct causal analysis with those responsible for performing the task. 2. Analyze selected outcomes to determine their root causes. 3. Combine selected outcomes into groups based on their root causes. 4. Propose and document actions to be taken to prevent the future occurrence of similar outcomes, or to incorporate best practices into processes. Root causes of selected outcomes are systematically addressed. Implement selected action proposals developed in causal analysis. 1. Action proposals selected for implementation 2. Action plans 1. Analyze action proposals and determine their priorities. 2. Select action proposals to be implemented. 3. Create action plans for implementing the selected action proposals. 4. Implement action plans. 5. Look for similar causes that may exist in other processes and work products and take action as appropriate. Evaluate the effect of implemented actions on process performance. 1. Analysis of process performance and change in process performance 1. Measure and analyze the change in process performance of the affected processes or subprocesses for the work. 2. Determine the impact of the change on achieving the quality and process performance objectives for the work. 3. Determine and document appropriate actions if the process or subprocess improvements did not result in expected benefits. Record causal analysis and resolution data for use across work groups and the organization. 1. Causal analysis and resolution records 2. Organizational improvement proposals 1. Record causal analysis data, and make it available so that other work groups can make appropriate process changes and achieve similar results. 2. Submit process improvement proposals for the organization when the implemented actions are effective for the working group, as appropriate. CMMI-SVC V1.3 - Page 8

9 WMC SSM SST SSD SD SCON SAM RSKM REQM QWM PPQA OT OPP OPM OPF OPD MA IWM IRP DAR CM CAR CAM. CM Configuration Management The purpose of Configuration Management (CM) is to establish and maintain the integrity of work products using configuration identification, configuration control, configuration status accounting, and configuration audits. SG1 SP1.1 SP1.2 SP1.3 SG2 SP2.1 SP2.2 Baselines of identified work products are established. Identify the configuration items, components, and related work products that will be placed under configuration management. 1. Identified configuration items 1. Select the configuration items and the work products that compose them based on documented criteria. 2. Assign unique identifiers to configuration items. 3. Specify the important characteristics of each configuration item. 4. Specify when each configuration item is placed under configuration management. 5. Identify the owner responsible for each configuration item. Establish and maintain a configuration management and change management system for controlling work products. 1. Configuration management system with controlled work products 2. Configuration management system access control procedures 3. Change request database 1. Establish a mechanism to manage multiple control levels of configuration management. 2. Store and retrieve configuration items in a configuration management system. 3. Share and transfer configuration items between control levels within the configuration management system. 4. Store and recover archived versions of configuration items. 5. Store, update, and retrieve configuration management records. 6. Create configuration management reports from the configuration management system. 7. Preserve the contents of the configuration management system. 8. Revise the configuration management structure as necessary. Create or release baselines for internal use and for delivery to the customer. 1. Baselines 2. Description of baselines 1. Obtain authorization from the configuration control board (CCB) before creating or releasing baselines of configuration items. 2. Create or release baselines only from configuration items in the configuration management system. 3. Document the set of configuration items that are contained in a baseline. 4. Make the current set of baselines readily available. Changes to the work products under configuration management are tracked and controlled. Track change requests for the configuration items. 1. Change requests 1. Initiate and record change requests in the change request database. 2. Analyze the impact of changes and fixes proposed in the change requests. 3. Review change requests that will be addressed in the next baseline with the relevant stakeholders and get their agreement. 4. Track the status of change requests to closure. Control changes to the configuration items. 1. Revision history of configuration items 2. Archives of the baselines CMMI-SVC V1.3 - Page 9

10 GG&GP WP SG3 SP3.1 SP3.2 CM 1. Control changes to configuration items throughout the life of the product. 2. Obtain appropriate authorization before changed configuration items are entered into the configuration management system. 3. Check in and check out configuration items from the configuration management system for incorporation of changes in a manner that maintains the correctness and integrity of the configuration items. 4. Perform reviews to ensure that changes have not caused unintended effects on the baselines (e.g., ensure that the changes have not compromised the safety and/or security of the system). 5. Record changes to configuration items and the reasons for the changes as appropriate. Integrity of baselines is established and maintained Establish and maintain records describing configuration items. 1. Revision history of configuration items 2. Change log 3. Copy of the change requests 4. Status of configuration items 5. Differences between baselines 1. Record configuration management actions in sufficient detail so the content and status of each configuration item is known and previous versions can be recovered. 2. Ensure that relevant stakeholders have access to and knowledge of the configuration status of the configuration items. 3. Specify the latest version of the baselines. 4. Identify the version of configuration items that constitute a particular baseline. 5. Describe the differences between successive baselines. 6. Revise the status and history (i.e., changes and other actions) of each configuration item as necessary. Perform configuration audits to maintain integrity of the configuration baselines. 1. Configuration audit results 2. Action items 1. Assess the integrity of the baselines. 2. Confirm that the configuration management records correctly identify the configuration items. 3. Review the structure and integrity of the items in the configuration management system. 4. Confirm the completeness and correctness of the items in the configuration management system. 5. Confirm compliance with applicable configuration management standards and procedures. 6. Track action items from the audit to closure. CMMI-SVC V1.3 - Page 10

11 GG&GP WP WMC SSM SST SSD SD SCON SAM RSKM REQM QWM PPQA OT OPP OPM OPF OPD MA IWM IRP DAR CM CAR CAM. DAR Decision Analysis and Resolution The purpose of Decision Analysis and Resolution (DAR) is to analyze possible decisions using a formal evaluation process that evaluates identified alternatives against established criteria. SG1 SP1.1 SP1.2 SP1.3 SP1.4 SP1.5 SP1.6 Decisions are based on an evaluation of alternatives using established criteria. Establish and maintain guidelines to determine which issues are subject to a formal evaluation process. 1. Guidelines for when to apply a formal evaluation process 1. Establish guidelines. 2. Incorporate the use of the guidelines into the defined process where appropriate. Establish and maintain the criteria for evaluating alternatives, and the relative ranking of these criteria. 1. Documented evaluation criteria 2. Rankings of criteria importance 1. Define the criteria for evaluating alternative solutions. 2. Define the range and scale for ranking the evaluation criteria. 3. Rank the criteria. 4. Assess the criteria and their relative importance. 5. Evolve the evaluation criteria to improve their validity. 6. Document the rationale for the selection and rejection of evaluation criteria. Identify alternative solutions to address issues. 1. Identified alternatives 1. Perform a literature search. 2. Identify alternatives for consideration in addition to those that may be provided with the issue. 3. Document the proposed alternatives. Select the evaluation methods. 1. Selected evaluation methods 1. Select the methods based on the purpose for analyzing a decision and on the availability of the information used to support the method. 2. Select evaluation methods based on their ability to focus on the issues at hand without being overly influenced by side issues. 3. Determine the measures needed to support the evaluation method. Evaluate alternative solutions using the established criteria and methods. 1. Evaluation results 1. Evaluate the proposed alternative solutions using the established evaluation criteria and selected methods. 2. Evaluate the assumptions related to the evaluation criteria and the evidence that supports the assumptions. 3. Evaluate whether uncertainty in the values for alternative solutions affects the evaluation and address as appropriate. 4. Perform simulations, modeling, prototypes, and pilots as necessary to exercise the evaluation criteria, methods, and alternative solutions. 5. Consider new alternative solutions, criteria, or methods if the proposed alternatives do not test well; repeat the evaluations until alternatives do test well. 6. Document the results of the evaluation. Select solutions from the alternatives based on evaluation criteria. 1. Recommended solutions to address significant issues 1. Assess the risks associated with implementing the recommended solution. 2. Document and communicate to appropriate stakeholders the results and rationale for the recommended solution CMMI-SVC V1.3 - Page 11

12 SG1 SP1.1 Preparation for incident resolution and prevention is conducted. IRP Incident Resolution and Prevention The purpose of Incident Resolution and Prevention (IRP) is to ensure timely and effective resolution of service incidents and prevention of service incidents as appropriate. SP1.2 SG2 SP2.1 SP2.2 SP2.3 SP2.4 Establish and maintain an approach to incident resolution and prevention. 1. Incident management approach 2. Incident criteria 1. Define criteria for determining what an incident is. 2. Define categories for incidents and criteria for determining which categories an incident belongs to. 3. Describe how responsibility for processing incidents is assigned and transferred. 4. Identify one or more mechanisms that customers and end users can use to report incidents. 5. Define methods and secure tools to use for incident management. 6. Describe how to notify all relevant customers and end users who may be affected by a reported incident. 7. Define criteria for determining severity and priority levels and categories of actions and responses to be taken based on severity and priority levels. 8. Identify requirements on the amount of time defined for the resolution of incidents in the service agreement. 9. Document criteria that define when an incident should be closed. Establish and maintain an incident management system for processing and tracking incident information. 1. An incident management system with controlled work products 2. Access control procedures for the incident management system 1. Ensure that the incident management system allows the escalation and transfer of incidents among groups. 2. Ensure that the incident management system allows the storage, update, retrieval, and reporting of incident information that is useful to the resolution and prevention of incidents. 3. Maintain the integrity of the incident management system and its contents. 4. Maintain the incident management system as necessary. Individual incidents are identified, controlled, and addressed. Identify incidents and record information about them. 1. Incident management record 1. Identify incidents that are in scope. 2. Record information about the incident. 3. Categorize the incident. Analyze individual incident data to determine a course of action. 1. Major incident report 2. Incident assignment report 1. Analyze incident data. 2. Determine which group is best suited to take action to address the incident. 3. Determine actions that must be taken to address the incident. 4. Plan the actions to be taken. Resolve incidents. 1. Updated incident management record 1. Address the incident using the best course of action. 2. Manage the actions until the impact of the incident is at an acceptable level. 3. Record the actions and result. 4. Review actions taken that resulted in service system changes to determine if further actions are needed to ensure traceability to requirements. Manage the status of incidents to closure. 1. Closed incident management records CMMI-SVC V1.3 - Page 12

13 SP2.5 SG3 SP3.1 SP3.2 SP3.3 IRP 1. Document actions and monitor and track the incidents until they meet the terms of the service agreement and satisfy the incident submitter as appropriate. 2. Escalate incidents as necessary. 3. Review the resolution and confirm the results with relevant stakeholders. 4. Close incidents that meet the criteria for closure. Communicate the status of incidents. 1. Records of communication with customers and end users 2. Status report Causes and impacts of selected incidents are analyzed and addressed. Analyze the underlying causes of selected incidents. 1. Report of underlying causes of incidents 2. Documented causal analysis activities 1. Identify underlying causes of incidents. 2. Record information about the underlying causes of an incident or group of incidents. 3. Conduct causal analysis with the people who are responsible for performing related tasks. 4. Determine the best overall approach for dealing with selected incidents in the future. Establish and maintain solutions to respond to future incidents. 1. Reusable solution description and instructions 2. Contribution to collection of workarounds for incidents 3. Workaround verification results 1. Determine which group is best suited to establish and maintain a reusable solution. 2. Plan and document the reusable solution. 3. Verify and validate the reusable solution to ensure that it effectively addresses the incident. 4. Communicate the reusable solution to relevant stakeholders. Establish and apply solutions to reduce the occurrence of selected incidents. 1. Action proposal 2. Contribution to collection of known approaches to addressing underlying causes of incidents 3. Updated incident management record 1. Determine which group is best suited to address the underlying cause. 2. Determine the actions to be taken to address the underlying cause. 3. Document the actions to be taken in an action proposal. 4. Verify and validate the action proposal to ensure that it effectively addresses the underlying cause. 5. Communicate the action proposal to relevant stakeholders. 6. Address the underlying cause by implementing the action proposal that resulted from the analysis of the incidents underlying causes. 7. Manage the actions until the underlying cause is addressed. 8. Record the actions and result. CON SAM RSKM REQM QWM PPQA OT OPP OPM OPF OPD MA IWM IRP DAR CM CAR CAM. CMMI-SVC V1.3 - Page 13

14 IWM Integrated Work Management The purpose of Integrated Work Management (IWM) is to establish and manage the work and the involvement of relevant stakeholders according to an integrated and defined process that is tailored from the organization s set of standard processes. SG1 SP1.1 SP1.2 SP1.3 SP1.4 The work is conducted using a defined process tailored from the organization s set of standard processes. Establish and maintain the defined process from startup and throughout the work. 1. The defined process for the work 1. Select a lifecycle model from those available from the organizational process assets. 2. Select standard processes from the organization s set of standard processes that best fit the needs of the work. 3. Tailor the organization s set of standard processes and other organizational process assets according to tailoring guidelines to produce the defined process for the work. 4. Use other artifacts from the organization s process asset library, as appropriate. 5. Document the defined process for the work. 6. Conduct peer reviews of the defined process for the work. 7. Revise the defined process for the work as necessary. Use organizational process assets and the measurement repository for estimating and planning work activities. 1. Work estimates 2. Work plans 1. Use the tasks and work products of the defined process for the work as a basis for estimating and planning work activities. 2. Use the organization s measurement repository in estimating the work planning parameters. Establish and maintain the work environment based on the organization s work environment standards. 1. Equipment and tools for the work 2. Installation, operation, and maintenance manuals for the work environment 3. User surveys and results 4. Use, performance, and maintenance records 5. Support services for the work environment 1. Plan, design, and install a work environment. 2. Provide ongoing maintenance and operational support for the work environment. 3. Maintain the qualification of components of the work environment. 4. Periodically review how well the work environment is meeting work activity needs and supporting collaboration, and take action as appropriate. Integrate the work plan and other plans that affect the work to describe the defined process. 1. Integrated plans 1. Integrate other plans that affect the work with the work plan. 2. Incorporate into the work plan the definitions of measures and measurement activities for managing the work. 3. Identify and analyze product and work group interface risks. 4. Schedule tasks in a sequence that accounts for critical development and delivery factors and work risks. 5. Incorporate plans for performing peer reviews on work products of the defined process for the work. 6. Incorporate the training needed to perform the defined process for the work in the work group's training plans. 7. Establish objective entry and exit criteria to authorize the initiation and completion of tasks described in the work breakdown structure (WBS). 8. Ensure that the work plan is appropriately compatible with the plans of relevant stakeholders. 9. Identify how conflicts will be resolved that arise among relevant stakeholders. CMMI-SVC V1.3 - Page 14

15 G&GP WP WMC SSM SST SSD SD SCON SAM RSKM REQM QWM PPQA OT OPP OPM OPF OPD MA IWM IRP DAR CM CAR CAM. SP1.5 SP1.6 SP1.7 SG2 SP2.1 SP2.2 IWM Manage the work using the work plan, other plans that affect the work, and the defined process for the work. 1. Work products created by performing the defined process for the work 2. Collected measures (i.e., actuals) and status records or reports 3. Revised requirements, plans, and commitments 4. Integrated plans 1. Implement the defined process using the organization s process asset library. 2. Monitor and control the work activities and work products using the defined process for the work, work plan, and other plans that affect the work. 3. Obtain and analyze selected measurements to manage the work and support organization needs. 4. Periodically review and align the service performance with current and anticipated needs, objectives, and requirements of the organization, customer, and end users, as appropriate. 5. Address causes of selected issues that may affect work objectives. Establish and maintain teams. ExampleTypical Work Products 1. Documented shared vision 2. List of members assigned to each team 3. Team charters 4. Periodic team status reports 1. Establish and maintain the work group's shared vision. 2. Establish and maintain the team structure. 3. Establish and maintain each team. 4. Periodically evaluate the team structure and composition. Contribute process related experiences to organizational process assets. Typical Work Products 1. Proposed improvements to the organizational process assets 2. Actual process and product measures collected from the work 3. Documentation (e.g., exemplary process descriptions, plans, training modules, checklists, lessons learned) 4. Process artifacts associated with tailoring and implementing the organization s set of standard processes for the work 1. Propose improvements to organizational process assets. 2. Store process and product measures in the organization s measurement repository. 3. Submit documentation for possible inclusion in the organization s process asset library. 4. Document lessons learned from the work for inclusion in the organization s process asset library. 5. Provide process artifacts associated with tailoring and implementing the organization s set of standard processes in support of the organization s process monitoring activities. Coordination and collaboration of relevant stakeholders is conducted. Manage the involvement of relevant stakeholders in the work. 1. Agendas and schedules for collaborative activities 2. Recommendations for resolving relevant stakeholder issues 3. Documented issues (e.g., issues with stakeholder and service system requirements, architecture, design) 1. Coordinate with relevant stakeholders who should participate in work activities. 2. Ensure work products that are produced to satisfy commitments meet the requirements of the recipients. 3. Develop recommendations and coordinate actions to resolve misunderstandings and problems with requirements. Participate with relevant stakeholders to identify, negotiate, and track critical dependencies. 1. Defects, issues, and action items resulting from reviews with relevant stakeholders 2. Critical dependencies 3. Commitments to address critical dependencies 4. Status of critical dependencies CMMI-SVC V1.3 - Page 15

16 GG SP2.3 IWM 1. Conduct reviews with relevant stakeholders. 2. Identify each critical dependency. 3. Establish need dates and plan dates for each critical dependency based on the work schedule. 4. Review and get agreement on the commitments to address each critical dependency with the people responsible for providing the work product and the people receiving the work product. 5. Document the critical dependencies and commitments. 6. Track the critical dependencies and commitments and take corrective action as appropriate. Resolve issues with relevant stakeholders. 1. Relevant stakeholder coordination issues 2. Status of relevant stakeholder coordination issues 1. Identify and document issues. 2. Communicate issues to the relevant stakeholders. 3. Resolve issues with the relevant stakeholders. 4. Escalate to the appropriate managers those issues not resolvable with the relevant stakeholders. 5. Track the issues to closure. 6. Communicate with the relevant stakeholders on the status and resolution of the issues. CMMI-SVC V1.3 - Page 16

17 GG&GP WP WMC SSM SST SSD SD SCON SAM RSKM REQM QWM PPQA OT OPP OPM OPF OPD MA IWM IRP DAR CM CAR CAM. MA Measurement and Analysis The purpose of Measurement and Analysis (MA) is to develop and sustain a measurement capability that is used to support management information needs. SG1 SP1.1 SP1.2 SP1.3 SP1.4 SG2 SP2.1 Measurement objectives and activities are aligned with identified information needs and objectives. Establish and maintain measurement objectives that are derived from identified information needs and objectives. 1. Measurement objectives 1. Document information needs and objectives. 2. Prioritize information needs and objectives. 3. Document, review, and update measurement objectives. 4. Provide feedback for refining and clarifying information needs and 5. Maintain traceability of the measurement objectives to the identified Specify measures to address the measurement objectives. 1. Specifications of base and derived measures 1. Identify candidate measures based on documented measurement objectives. 2. Identify existing measures that already address the measurement objectives. 3. Specify operational definitions for the measures. 4. Prioritize, review, and update measures. Specify how measurement data will be obtained and stored. 1. Data collection and storage procedures 2. Data collection tools 1. Identify existing sources of data that are generated from current work products, processes, or transactions. 2. Identify measures for which data are needed, but are not currently available. 3. Specify how to collect and store the data for each required measure. 4. Create data collection mechanisms and process guidance. 5. Support automatic collection of the data where appropriate and feasible. 6. Prioritize, review, and update data collection and storage procedures. 7. Update measures and measurement objectives as necessary. Specify how measurement data will be analyzed and reported. 1. Analysis specifications and procedures 2. Data analysis tools 1. Specify and prioritize the analyses that will be conducted and the reports that will be prepared. 2. Select appropriate data analysis methods and tools. 3. Specify administrative procedures for analyzing the data and communicating the results. 4. Review and update the proposed content and format of the specified analyses and reports. 5. Update measures and measurement objectives as necessary. 6. Specify criteria for evaluating the utility of the analysis results and for evaluating the conduct of the measurement and analysis activities. Measurement results that address identified information needs and objectives are provided. Obtain specified measurement data. 1. Base and derived measurement data sets 2. Results of data integrity tests 1. Obtain the data for base measures. 2. Generate the data for derived measures. 3. Perform data integrity checks as close to the source of the data as possible. CMMI-SVC V1.3 - Page 17

18 MA SP2.2 SP2.3 SP2.4 Analyze and interpret measurement data. 1. Analysis results and draft reports 1. Conduct initial analyses, interpret the results, and draw preliminary conclusions. 2. Conduct additional measurement and analysis as necessary, and prepare results for presentation. 3. Review the initial results with relevant stakeholders. 4. Refine criteria for future analyses. Manage and store measurement data, measurement specifications, and analysis results. 1. Stored data inventory 1. Review the data to ensure their completeness, integrity, accuracy, and currency. 2. Store the data according to the data storage procedures. 3. Make the stored contents available for use only by appropriate groups and personnel. 4. Prevent the stored information from being used inappropriately. Report results of measurement and analysis activities to all relevant stakeholders. 1. Delivered reports and related analysis results 2. Contextual information or guidance to aid in the interpretation of analysis results 1. Keep relevant stakeholders apprised of measurement results on a timely basis. 2. Assist relevant stakeholders in understanding the results. CMMI-SVC V1.3 - Page 18

19 SSM SST SSD SD SCON SAM RSKM REQM QWM PPQA OT OPP OPM OPF OPD MA IWM IRP DAR CM CAR CAM. OPD Organizational Process Development The purpose of Organizational Process Definition (OPD) is to establish and maintain a usable set of organizational process assets, work environment standards, and rules and guidelines for teams. SG1 SP1.1 SP1.2 SP1.3 SP1.4 A set of organizational process assets is established and maintained. Establish and maintain the organization's set of standard processes. 1. Organization's set of standard processes 1. Decompose each standard process into constituent process elements to the detail needed to understand and describe the process. 2. Specify the critical attributes of each process element. 3. Specify the relationships of the process elements. 4. Ensure that the organization's set of standard processes adheres to applicable policies, standards, and models. 5. Ensure that the organization s set of standard processes satisfies the process needs and objectives of the organization. 6. Ensure that there is appropriate integration among the processes that are included in the organization s set of standard processes. 7. Document the organization's set of standard processes. 8. Conduct peer reviews on the organization's set of standard processes. 9. Revise the organization's set of standard processes as necessary. Establish and maintain descriptions of the lifecycle models approved for use in the organization. 1. Descriptions of lifecycle models 1. Select lifecycle models based on the needs of work groups and the organization. 2. Document the descriptions of the lifecycle models. 3. Conduct peer reviews on the lifecycle models. 4. Revise the descriptions of the lifecycle models as necessary. Establish and maintain the tailoring criteria and guidelines for the organization's set of standard processes. 1. Tailoring guidelines for the organization's set of standard processes 1. Specify the selection criteria and procedures for tailoring the organization's set of standard processes. 2. Specify the standards for documenting the defined processes. 3. Specify the procedures for submitting and obtaining approval of waivers from the requirements of the organization s set of standard processes. 4. Document the tailoring guidelines for the organization's set of standard processes. 5. Conduct peer reviews on the tailoring guidelines. 6. Revise the tailoring guidelines as necessary. Establish and maintain the organization's measurement repository. 1. Definition of the common set of product and process measures for the organization s set of standard processes 2. Design of the organization s measurement repository 3. Organization's measurement repository (that is, the repository structure and support environment) 4. Organization s measurement data CMMI-SVC V1.3 - Page 19

20 GG&GP WP WMC SP1.5 SP1.6 SP1.7 OPD 1. Determine the organization's needs for storing, retrieving, and analyzing measurements. 2. Define a common set of process and product measures for the organization's set of standard processes. 3. Design and implement the measurement repository. 4. Specify the procedures for storing, updating, and retrieving measures. 5. Conduct peer reviews on the definitions of the common set of measures and the procedures for storing and retrieving measures. 6. Enter the specified measures into the repository. 7. Make the contents of the measurement repository available for use by the organization and work groups as appropriate. 8. Revise the measurement repository, common set of measures, and procedures as the organization s needs change. Establish and maintain the organization's process asset library. Typical Work Products 1. Design of the organization s process asset library 2. Organization's process asset library 3. Selected items to be included in the organization s process asset library 4. Catalog of items in the organization s process asset library 1. Design and implement the organization s process asset library, including the library structure and support environment. 2. Specify the criteria for including items in the library. 3. Specify the procedures for storing and retrieving items. 4. Enter the selected items into the library and catalog them for easy reference and retrieval. 5. Make the items available for use by the projects. 6. Periodically review the use of each item and use the results to maintain the library contents. 7. Revise the organization s process asset library as necessary. Establish and maintain work environment standards. 1. Work environment standards 1. Evaluate commercially-available work environment standards appropriate for the organization. 2. Adopt existing work environment standards and develop new ones to fill gaps based on the organization s process needs and objectives. Establish and maintain organizational rules and guidelines for the structure, formation, and operation of teams. 1. Rules and guidelines for structuring and forming teams 2. Operating rules for teams 1. Establish and maintain empowerment mechanisms to enable timely decision making. 2. Establish rules and guidelines for structuring and forming teams. 3. Define the expectations, rules, and guidelines that guide how teams work collectively. 4. Maintain the rules and guidelines for structuring and forming teams. CMMI-SVC V1.3 - Page 20

21 &GP WP WMC SSM SST SSD SD SCON SAM RSKM REQM QWM PPQA OT OPP OPM OPF OPD MA IWM IRP DAR CM CAR CAM. OPF Organizational Process Focus The purpose of Organizational Process Focus (OPF) is to plan, implement, and deploy organizational process improvements based on a thorough understanding of the current strengths and weaknesses of the organization s processes and process assets. SG1 SP1.1 SP1.2 SP1.3 SG2 SP2.1 SP2.2 Strengths, weaknesses, and improvement opportunities for the organization's processes are identified periodically and as needed. Establish and maintain the description of the process needs and objectives for the organization. 1. Organization s process needs and objectives 1. Identify the policies, standards, and business objectives that are applicable to the organization's processes. 2. Examine relevant process standards and models for best practices. 3. Determine the organization s process-performance objectives. 4. Define the essential characteristics of the organization s processes. 5. Document the organization s process needs and objectives. 6. Revise the organization s process needs and objectives as needed. Appraise the organization's processes periodically and as needed to maintain an understanding of their strengths and weaknesses. 1. Plans for the organization's process appraisals 2. Appraisal findings that address strengths and weaknesses of the organization's processes 3. Improvement recommendations for the organization's processes 1. Obtain sponsorship of the process appraisal from senior management. 2. Define the scope of the process appraisal. 3. Determine the method and criteria for process appraisal. 4. Plan, schedule, and prepare for the process appraisal. 5. Conduct the process appraisal. 6. Document and deliver the appraisal s activities and findings. Identify improvements to the organization's processes and process assets. 1. Analysis of candidate process improvements 2. Identification of improvements for the organization's processes 1. Determine candidate process improvements. 2. Prioritize the candidate process improvements. 3. Identify and document the process improvements that will be implemented. 4. Revise the list of planned process improvements to keep it current. Process actions that address improvements to the organization's processes and process assets are planned and implemented. Establish and maintain process action plans to address improvements to the organization's processes and process assets. 1. Organization's approved process action plans 1. Identify strategies, approaches, and actions to address the identified process improvements. 2. Establish process action teams to implement the actions. 3. Document process action plans. 4. Review and negotiate process action plans with relevant stakeholders. 5. Revise process action plans as necessary. Implement process action plans 1. Commitments among the various process action teams 2. Status and results of implementing process action plans 3. Plans for pilots CMMI-SVC V1.3 - Page 21

22 GG& OPF 1. Make process action plans readily available to relevant stakeholders. 2. Negotiate and document commitments among the process action teams and revise their process action plans as necessary. 3. Track progress and commitments against process action plans. 4. Conduct joint reviews with the process action teams and relevant stakeholders to monitor the progress and results of the process actions. 5. Plan pilots needed to test selected process improvements. 6. Review the activities and work products of process action teams. 7. Identify, document, and track to closure issues in implementing process action plans. 8. Ensure that the results of implementing process action plans satisfy the organization s process improvement objectives. SG3 SP3.1 Organizational process assets are deployed across the organization and process related experiences are incorporated into the organizational process assets. Deploy organizational process assets across the organization. 1. Plans for deploying organizational process assets and changes to them across the organization 2. Training materials for deploying organizational process assets and changes to them 3. Documentation of changes to organizational process assets 4. Support materials for deploying organizational process assets and changes to them 1. Deploy organizational process assets across the organization. 2. Document the changes to the organizational process assets. 3. Deploy the changes that were made to the organizational process assets across the organization. 4. Provide guidance and consultation on the use of the organizational process assets. SP3.2 Deploy the organization s set of standard processes to work groups at their startup and deploy changes to them as appropriate throughout the work. 1. The organization s list of work and the status of process deployment on each (i.e., existing and planned work activities) 2. Guidelines for deploying the organization s set of standard processes on new work 3. Records of tailoring and implementing the organization s set of standard processes 1. Identify work groups in the organization that are starting up. 2. Identify active work groups that would benefit from implementing the organization s current set of standard processes. 3. Establish plans to implement the organization s current set of standard processes on the identified work. 4. Assist work groups in tailoring the organization s set of standard processes to meet their needs. 5. Maintain records of tailoring and implementing processes on the identified work. 6. Ensure that the defined processes resulting from process tailoring are incorporated into plans for processcompliance audits. 7. As the organization s set of standard processes is updated, identify which work groups should implement the changes. SP3.3 Monitor the implementation of the organization s set of standard processes and use of process assets on all work. 1. Results of monitoring process implementation on work 2. Status and results of process-compliance evaluations 3. Results of reviewing selected process artifacts created as part of process tailoring and implementation 1. Monitor work groups use of the organization s process assets and changes to them. 2. Review selected process artifacts created during the life of the work. 3. Review results of process-compliance audits to determine how well the organization s set of standard processes has been deployed. 4. Identify, document, and track to closure issues related to implementing the organization s set of standard processes. CMMI-SVC V1.3 - Page 22

23 OPF SP3.4 Incorporate process related experiences derived from planning and performing the process into organizational process assets. 1. Process improvement proposals 2. Process lessons learned 3. Measurements on the organizational process assets 4. Improvement recommendations for the organizational process assets 5. Records of the organization's process improvement activities 6. Information on the organizational process assets and improvements to them 1. Conduct periodic reviews of the effectiveness and suitability of the organization s set of standard processes and related organizational process assets relative to the process needs and objectives derived from the organization s business objectives. 2. Obtain feedback about the use of organizational process assets. 3. Derive lessons learned from defining, piloting, implementing, and deploying organizational process assets. 4. Make lessons learned available to people in the organization as appropriate. 5. Analyze measurement data obtained from the use of the organization s common set of measures.6. Appraise processes, methods, and tools in use in the organization and develop recommendations for improving organizational process assets. 7. Make the best of the organization s processes, methods, and tools available to people in the organization as appropriate. 8. Manage process improvement proposals. 9. Establish and maintain records of the organization s process improvement activities. CMMI-SVC V1.3 - Page 23

24 OPM Organizational Performance Management The purpose of Organizational Performance Management (OPM) is to proactively manage the organization s performance to meet its business objectives. SG1 SP1.1 SP1.2 SP1.3 The organization s business performance is managed using statistical and other quantitative techniques to understand process performance shortfalls, and to identify areas for process improvement. Maintain business objectives based on an understanding of business strategies and actual performance results. 1. Revised business objectives 2. Revised quality and process performance objectives 3. Senior management approval of revised business objectives and quality and process performance objectives 4. Communication of all revised objectives 5. Updated process performance measures 1. Evaluate business objectives periodically to ensure they are aligned with business strategies. 2. Compare business objectives with actual process performance results to ensure they are realistic. 3. Prioritize business objectives based on documented criteria, such as the ability to win new business, retain existing clients, or accomplish other key business strategies. 4. Maintain quality and process performance objectives to address changes in business objectives. 5. Revise process performance measures to align with quality and process performance objectives. Analyze process performance data to determine the organization s ability to meet identified business objectives. 1. Analysis of current capability vs. business objectives 2. Process performance shortfalls 3. Risks associated with meeting business objectives 1. Periodically compare quality and process performance objectives to current process performance baselines to evaluate the ability of the organization to meet its business objectives. 2. Identify shortfalls where the actual process performance is not satisfying the business objectives. 3. Identify and analyze risks associated with not meeting business objectives. 4. Report results of the process performance and risk analyses to organizational leadership. Identify potential areas for improvement that could contribute to meeting business objectives. 1. Potential areas for improvement 1. Identify potential improvement areas based on the analysis of process performance shortfalls. 2. Document the rationale for the potential improvement areas, including references to applicable business objectives and process performance data. 3. Document anticipated costs and benefits associated with addressing potential improvement areas. 4. Communicate the set of potential improvement areas for further evaluation, prioritization, and use. SG2 SP2.1 Improvements are proactively identified, evaluated using statistical and other quantitative techniques, and selected for deployment based on their contribution to meeting quality and process performance objectives. Elicit and categorize suggested improvements. 1. Suggested incremental improvements 2. Suggested innovative improvements 1. Elicit suggested improvements. 2. Identify suggested improvements as incremental or innovative. 3. Investigate innovative improvements that may improve the organization's processes and technologies. CMMI-SVC V1.3 - Page 24