Project PlanningInformationNeededRating(FI, LI,PI, NI,NY)AffirmationProject 1Project 2Project 3Project 4IndirectDirectORGStatus234567PFKey Practice / NotesSource of OEDocument (s)CommentsSP1.3Define the project life-cycle phases upon which to scope the planning effort.Appraisal Considerations:- Systems engineering identifies the major product phases for the current state of the product, expected futurephases, and the relationships and effects among phases- Software Engineering typically includes selection and refinement of a software development methodology toaddress interdependencies and appropriate sequencing of software project activities- The project life cycle consists of phases that need to be defined depending on the scope of requirements, theestimates for project resources, and the structure of the project- Larger projects may contain multiple phases- Phases may contain subphases- Depending on the strategy for development, there may be intermediate phases e.g. prototyping, increments ofcapability.Direct Artifact Example:- Project life-cycle phases- Relationships, interdependencies and sequencing of project phasesIndirect Artifact Example:- Product life-cycle phases- List of major milestones, events, or decision gates- Risks and factors influencing life cycle selection (e.g., resources, schedules, deliverables)1234567PFSP1.4Estimate the project effort and cost for the work products and tasks based onestimation rationale.Appraisal Considerations:- See PP SP1.1 for development of detailed work breakdown structure- See PP SP1.2 for development of attributes of the work products and tasksDirect Artifact Example:- Project effort estimates- Project cost estimates- Documented assumptions, constraints, and rationale affecting project estimates, and identify risks- Bases of Estimates (BOEs)Indirect Artifact Example:- Estimation rationale- Historical data or repository from previously executed projects- Estimating methods (e.g., Delphi), models, tools, algorithms, and procedures- Support needs (e.g., facilities and equipment resources)Page 2 of 19Copyright 2004, Software Engineering Institute9:59, 2013-4-11
Project PlanningInformationNeededRating(FI, LI,PI, NI,NY)AffirmationProject 1Project 2Project 3Project 4IndirectDirectORGStatus1234567PFKey Practice / NotesSource of OEDocument (s)CommentsSG2A project plan is established and maintained as the basis for managing theproject.Appraisal Considerations:- This SP accumulates the project effort and cost estimates generated in PP SP1.4- See subpractice 5 for typical activities in development of budget and schedule- See PMC SP1.1 and SP2.2 for factors that may drive re-planning activitiesDirect Artifact Example:- Project schedules- Schedule dependencies- Project budget- Revision history for schedule and budgetIndirect Artifact Example:- Staffing profile· Identified major milestones- Scheduling assumptions and constraints- Task dependencies- Criteria for corrective action based on deviation from project plan- Comparisons of actual project performance results to estimates (for re-planning)SP2.1Establish and maintain the project's budget and schedule.SP2.2Identify and analyze project risks.Appraisal Considerations:- The project plan typically contains a list project risks- See Risk Management process area for more information about risk management activities- See PMC SP1.3 for more information about monitoring risks against those identified in the project plan.Direct Artifact Example:- Identified risks- List of current project risks- Revision history of risks- Risk impacts and probability of occurrence- Risk prioritiesIndirect Artifact Example:- Records of stakeholder involvement in risk identification activities- Criteria to be used to identify and analyze project risks.1234567PFPage 3 of 19Copyright 2004, Software Engineering Institute9:59, 2013-4-11
Project PlanningInformationNeededRating(FI, LI,PI, NI,NY)AffirmationProject 1Project 2Project 3Project 4IndirectDirectORGStatus1234567PFKey Practice / NotesSource of OEDocument (s)CommentsSP2.3Plan for the management of project data.Appraisal Considerations:- See PMC SP1.4 for monitoring the management of project data- See MA PA for planning for the definition, collection, and analysis of project progress and performance data.Direct Artifact Example:- Data management plan- Master list of managed dataIndirect Artifact Example:- Data content and format description- Data requirements lists for acquirers and for suppliers- Privacy requirements- Security requirements- Security procedures- Mechanism for data retrieval, reproduction, and distribution- Schedule for collection of project data- Listing of project data to be collected- Project data management repository and access mechanisms- Project data identified, collected and distributed.SP2.4Plan for necessary resources to perform the project.Appraisal Considerations:- See PP SP1.1 for top-level work breakdown structure from which detailed WBS work packages and WBS taskdictionaries are derived- See PP SP2.5 for the planning for knowledge and skills needed to perform the project- See Organizational Training process area for more information on knowledge and skills information to beincorporated on the project plan.Direct Artifact Example:- WBS work packages- WBS task dictionary- Staffing requirements based on project size and scope- Staffing plans and profiles- Critical facilities/equipment list- Facilities plan- Process/workflow definitions and diagrams]1234567PFPage 4 of 19Copyright 2004, Software Engineering Institute9:59, 2013-4-11
Project PlanningInformationNeededRating(FI, LI,PI, NI,NY)AffirmationProject 1Project 2Project 3Project 4IndirectDirectORGStatusIndirect Artifact Example:- Program administration requirements list- Budget reviews- Long lead-time items identified early.Key Practice / NotesSource of OEDocument (s)Comments1234567PFSP2.5Plan for knowledge and skills needed to perform the project.Appraisal Considerations:- The needed knowledge and skills in this SP should be compared with those provided by the project staff asdetermined in the previous PA (PP SP2.4)- See Organizational Training process area for more information on knowledge and skills information to beincorporated on the project plan.Direct Artifact Example:- Inventory of skill needs- Staffing and new hire plans- Plans for providing needed knowledge and skills (e.g., training plan)Indirect Artifact Example:- Databases (e.g., skills and training)1234567PFSP2.6Plan the involvement of identified stakeholders.Appraisal Considerations:- See model for examples of typical contents of the stakeholder involvement plan- This is an accumulation of the stakeholders across all PAs as a result of GP2.7- See PMC SP 1.5 for monitoring stakeholder involvement against the project plan- Stakeholder involvement will vary with project phase and activity and in any project re-planningDirect Artifact Example:- Stakeholder involvement planIndirect Artifact Example:- List of relevant stakeholders for the project- Schedule for stakeholder interaction- Roles and responsibilities for stakeholders- Defined criteria (e.g., procedure) used to plan the involvement with identified stakeholders123Page 5 of 19Copyright 2004, Software Engineering Institute9:59, 2013-4-11
Project PlanningInformationNeededRating(FI, LI,PI, NI,NY)AffirmationProject 1Project 2Project 3Project 4IndirectDirectORGStatus4567PFKey Practice / NotesSource of OEDocument (s)CommentsSP2.7Establish and maintain the overall project plan content.Appraisal Considerations:- Consider periodic revisions to the project plan due to changes in status of its dependencies (See PP SP 3.2)- The overall project plan ties together all the subordinate planning information; this may be a single plan orconsolidation of multiple plans- The project plan resolves issues and conflicts associated with the subordinate plans.Direct Artifact Example:- Overall project plan- Project plan revision historyIndirect Artifact Example:- Issues and conflicts identified across subordinate plans- IMP, IMS, SEMP, SDP (see model)1234567PFSG3Commitments to the project plan are established and maintainedAppraisal Considerations:- This practice considers the compatibility of other plans that may be related or subordinate to the project plan.This may include plans called for in other CMMI process areas, many of which are described by GP2.2 (Plan theProcess). An organization may choose to develop separate plans, or integrate all content into a single projectplan.Direct Artifact Example:- Record of the reviews of plans that affect the project- Review and signature cycle of the set of plans describing project scope, objectives, roles, and relationshipsIndirect Artifact Example:- Project plan· Integrated work plans- Evidence of project plan coordination meetings and correspondenceSP3.1Review all plans that affect the project to understand project commitments.1234567PFSP3.2Reconcile the project plan to reflect available and estimated resources.Page 6 of 19Copyright 2004, Software Engineering Institute9:59, 2013-4-11
Project PlanningInformationNeededRating(FI, LI,PI, NI,NY)AffirmationProject 1Project 2Project 3Project 4IndirectDirectORGStatusKey Practice / NotesAppraisal Considerations:- See model for examples of how reconciliation may be accomplished; note that this does not necessarily implyrevisions to the project plan- Revised plans, etc., should be re-communicated to the affected parties.Direct Artifact Example: ·- Re-negotiated budgets- Revised schedules- Revised requirements list- Renegotiated stakeholder agreements]Indirect Artifact Example:- Revised methods and corresponding estimating parameters (e.g., better tools, use of off-the-shelf components)- Project change requests- Project plan revision historySource of OEDocument (s)Comments234567PFSP3.3Obtain commitment from relevant stakeholders responsible for performing andsupporting plan execution.Appraisal Considerations:- Commitments may include relevant stakeholders, both internal and external to the project and organization.This should include the individuals responsible for providing the resources identified in the plan (e.g., staffing,facilities, funding)- Commitment is typically demonstrated by signature, but may include other mechanisms- For commitments external to the organization, this practice may be satisfied by an implicit agreement, e.g., aclear communication of the needed resource, signature of a contract referencing the plan or resource- Commitment by those implementing the plan may be demonstrated by a representative of the implementers,e.g., a leader signing for their staff- Ensure this is performed not only for the initial project plan, but also for subsequent reconciliation and changes(see PP SP3.2).Direct Artifact Example:- Documented commitments- Documented commitment by those implementing the plan- Documented commitments by those responsible for providing resources.Indirect Artifact Example:- Documented requests for commitments- Commitment review meeting minutes- Identification and documentation of issues- Identified commitments on interfaces between elements in the project, with other projects, and organizationalunits.123456Page 7 of 19Copyright 2004, Software Engineering Institute9:59, 2013-4-11
Project PlanningInformationNeededRating(FI, LI,PI, NI,NY)AffirmationProject 1Project 2Project 3Project 4IndirectDirectORGStatus7PFKey Practice / NotesSource of OEDocument (s)CommentsGG2GP2.1Institutionalize a Managed ProcessEstablish and maintain an organizational policy for planning and performing theproject planning process.Appraisal Considerations:- Policies should demonstrate management commitment and establish expectations for the processes to beperformed, e.g., “this is the way we do business here”. Other terms besides “policy” may be used in theorganizational context to capture this.- Policies need not be specified separately for each PA (1-to-1); a single policy can cover multiple PAs.- Policies are typically high-level. The structure of established policies should fit the organization, not necessarilythe CMMI model; i.e., not all PAs or SPs need to be explicitly mentioned, this might be implicitly required byinvoking applicable processes and procedures. However, the linkage between PAs, policies, and processesshould be discernable to ensure coverage.- Policies should be visible to those in the organization that are affected (e.g., intranet web access). However,recognize that the day-to-day work of engineers does not typically deal with the policies; moreso the processesthat comply with the policies.- Policies could exist at multiple levels within the organization (e.g. corporate, division, department, etc.)- A documented and approved waiver to the policy does not count against the satisfaction of this GP.- “This policy establishes organizational expectations for estimating the planning parameters, making internaland external commitments, and developing the plan for managing the project.”Direct Artifact Example:- Organizational policy- Version, date, or revision history indicating maintenance of the policies over time.Indirect Artifact Example:- Repository of policies (e.g., intranet web access) making them visible and accessible to the organization- Mapping of policies to CMMI process areas- Organizational process architecture, e.g., linkage of policies, processes, procedures- Signature of policies by authorized senior manager- Audit results for implementation of the policies.1234567PFGP2.2Establish and maintain the plan for performing the project planning process.Page 8 of 19Copyright 2004, Software Engineering Institute9:59, 2013-4-11
Project PlanningInformationNeededRating(FI, LI,PI, NI,NY)AffirmationProject 1Project 2Project 3Project 4IndirectDirectORGStatusKey Practice / NotesAppraisal Considerations:- “The purpose of this generic practice is to determine what is needed to perform the process and achieve theestablished objectives, to prepare a plan for performing the process, to prepare a process description, and to getagreement on the plan from relevant stakeholders.”- See GP 2.2 description in front matter for more details on what is expected and typical plan contents; e.g.,process description; standards; requirements; objectives; dependencies; resources; responsibilities; training,;work products to be placed under configuration management; measurements; stakeholder involvement;monitoring; objective evaluation; management review.- “Establishing a plan includes documenting the plan and providing a process description. Maintaining the planincludes changing it as necessary, in response to either corrective actions or to changes in requirements andobjectives for the process.” It is permissible for the plan not to have changed if none of these conditions haveoccurred.- The plan for performing the process “may be a standalone document, embedded in a more comprehensivedocument, or distributed across multiple documents.” It may be part of the project plan established in the ProjectPlanning PA.- GP2.2 establishes the plans for performing the process, which are implemented in GP2.3 through GP2.10 inaccordance with the plan.- Recognize this is a plan for the project planning activities, i.e., how will the planning get done? This is oftendone during proposal or project start-up.- \"This plan for performing the project planning process differs from the project plan described in specificDirect Artifact Example:- Documented plan for performing the process.- Revisions to the plan, as necessary.- Project planIndirect Artifact Example:- Documented requirements and objectives for the process (e.g., quality, cost, schedule).- Documented process descriptions, including standards and procedures; this may be included as part of theplan or by reference.- Schedules and resources (funding, people, tools) established for performing the process.- Measures tracking and controlling progress of the plan.- Evidence of review and agreement to the plan by relevant stakeholders (e.g., signature, approval, meetingminutes).- Schedules, budgets, and resources for performing project planningSource of OEDocument (s)Comments1234567PFGP2.3Provide adequate resources for performing the project planning process, developingthe work products, and providing the services of the process.Page 9 of 19Copyright 2004, Software Engineering Institute9:59, 2013-4-11
Project PlanningInformationNeededRating(FI, LI,PI, NI,NY)AffirmationProject 1Project 2Project 3Project 4IndirectDirectORGStatusKey Practice / NotesAppraisal Considerations:- Ensure the resources necessary to perform the process as defined by the plan are available when they areneeded.- “Resources include adequate funding, appropriate physical facilities, skilled people, and appropriate tools.”- “The interpretation of the term „adequate‟ depends on many factors and may change over time.” Adequacy issubjective, and most likely determined through affirmations of sufficiency from those performing the work. Listenalso for cases where the process failed due to insufficient resources. This may indicate weaknesses in the planor in the implementation.- Care should be taken in relying on affirmations of \"inadequate\" resources. A performer often wishes they hadmore time, money, or tools, but still has \"adequate\" resources to accomplish their planned tasks.- Separate budgets are not needed for each PA; they may be distributed over several PAs. A key considerationis whether the manager of that process has sufficient visibility to recognize the need for more resources.- Look for a basic set of project planning and management tools, with historical data repositories used tocalibrate and validate estimates.Source of OEDocument (s)CommentsDirect Artifact Example:- Documented process descriptions and plans (strategic or tactical) for performing the process, which include acharacterization of resources needed. (Reference GP2.2)- Evidence that adequate resources (funding, facilities, skilled people, tools, etc.) are actually provided asplanned.Indirect Artifact Example:- Staffing profiles and labor reports showing effort spent on performing the process.- Documented skill prerequisites for filling process roles and responsibilities, and evidence that assigned staffmeet these criteria.- Development environment and facilities (hardware, software, licenses, tools, labs, test equipment, etc.).- Cost performance measures showing provision of funding in accordance with the plan.- Analyses, reports, or metrics tracking availability of resources vs. plan.- [Tools: spreadsheet programs; estimating models; project planning and scheduling packages]- [Staff: experienced estimators; schedulers; technical experts in application domain and technologies]- Tools: historical project performance database; data analysis and graphing tools; risk database; officeautomation tools; desktop publishing tools1234567PFGP2.4Assign responsibility for performing the process, developing the work products, andproviding the services of the project planning process.Page 10 of 19Copyright 2004, Software Engineering Institute9:59, 2013-4-11
Project PlanningInformationNeededRating(FI, LI,PI, NI,NY)AffirmationProject 1Project 2Project 3Project 4IndirectDirectORGStatusKey Practice / NotesAppraisal Considerations:- “…ensure that there is accountability throughout the life of the process for performing the process andachieving the specified results. The people assigned must have the appropriate authority to perform theassigned responsibilities.”- Responsibility assignments may be to individuals or groups, and may vary across the life of the process.- Ensure that the people assigned are available to do the work.- Assignments may be defined in various ways; e.g., work authorizations, job descriptions, project plans.- Many PAs will have the various goals/practices assigned to different people; make sure the entire PA has beenassigned- Look to make sure planning activities are assigned at each appropriate level (e.g. project managers, teamleaders)Direct Artifact Example:- Documentation assigning responsibility for process activities, work products, or services; e.g., job descriptions,or plans for performing the process (see GP2.2).- Task descriptions and activities for defined roles.Indirect Artifact Example:- Acceptance of responsibility by those assigned; this might be documented in many ways (e.g., signature,commitment, agreement, appearance on an org chart, web page contacts, etc.)- Assignments are often in the project planSource of OEDocument (s)Comments1234567PFGP2.5Train the people performing or supporting the project planning process as needed.Appraisal Considerations:- The training provided may be formal (e.g., classroom, CBT) or informal (e.g., structured mentoring), and mayvary according to assigned role (e.g. detailed training for those performing the work, orientation overviewprovided to those who interact or support those performing the work).- Consider other methods besides formal classroom training that might be used (e.g., CBT, mentoring,videotapes). The method should ensure that skills and knowledge are impacted.- Recognize that training need not be provided on a PA basis; a single training course could cover multipleprocesses.- An approved waiver, stating that an individual possesses the skills and knowledge imparted in the course, isequivalent to having received training.- It is impractical that 100% of the performers of a process are trained at any point in time, due to new hires,transfers, promotions, etc. Judgment is called for in determining whether an excessive number of people areuntrained.- See GP elaborations for examples of training topics that might be included for each PA. These elaborations arequoted from the model.Direct Artifact Example:- Training courses, materials, and methods.- Training records (e.g., attendance, course descriptions, evaluation forms).Page 11 of 19Copyright 2004, Software Engineering Institute9:59, 2013-4-11
Project PlanningInformationNeededRating(FI, LI,PI, NI,NY)AffirmationProject 1Project 2Project 3Project 4IndirectDirectORGStatusKey Practice / NotesIndirect Artifact Example:- Qualifications and criteria defined for process tasks and assignments.- Training waiver criteria and approvals.- Skills matrix or database.- Training plans, and delivery of training according to the plan.- Training effectiveness data (e.g., surveys, exams, feedback forms).(Note: Use the indirect artifacts column for any alternative training mechanisms or artifacts that might commonlybe found for that PA.)- Mentoring or apprenticeship programs- Project planning workshops- “Examples of training topics include the following: • Estimating • Budgeting • Negotiating • Risk identification and analysis • Data management • Planning • Scheduling”Source of OEDocument (s)Comments1234567PFGP2.6Place designated work products of the project planning process under appropriatelevels of control.Appraisal Considerations:- This GP is enabled by the CM PA; refer to that PA for additional information on configuration managementpractices.- Ensure the work products are controlled and revised in accordance with the documented plans for the PAbeing examined.- Consider the key phrases here: (1) “designated” work products; (2) “appropriate levels” of configurationmanagement. In other words, the formality may vary according to the work product (e.g., version control vs.configuration management) – see GP2.6 description in the front matter for further description.- In examining the work products identified for each PA below, “different versions” are recognizable by versionlabels, distribution dates, change histories, etc.- “Different levels of configuration management are appropriate for different work products and for differentpoints in time.” It is up to the project or organization to define what level of CM they have determined isadequate for each work product.- “Examples of work products placed under CM include the following: • Work breakdown structure • Project plan • Data management plan • Stakeholder involvement plan”Page 12 of 19Copyright 2004, Software Engineering Institute9:59, 2013-4-11
Project PlanningInformationNeededRating(FI, LI,PI, NI,NY)AffirmationProject 1Project 2Project 3Project 4IndirectDirectORGStatusKey Practice / NotesDirect Artifact Example:- List of work products identified for configuration management and the level of configuration management foreach work product is identified- Work products that are under configuration management (e.g., work products having version identifiers,change histories)- Change control documentation (e.g., change requests, problem reports, status reports indicating disposition)- Baselines and a description of their contents.Indirect Artifact Example:- Configuration management life cycle for identified work products, i.e., the point at which products are placedunder various levels of control, change control authority, etc.- Configuration management processes, populated repository, and tools.- CCB meeting minutes- Written status of work products (e.g., in-work, in review, accepted for baseline, etc.)Source of OEDocument (s)Comments1234567PFGP2.7Identify and involve the relevant stakeholders of the project planning process asplanned.Page 13 of 19Copyright 2004, Software Engineering Institute9:59, 2013-4-11
Project PlanningInformationNeededRating(FI, LI,PI, NI,NY)AffirmationProject 1Project 2Project 3Project 4IndirectDirectORGStatusKey Practice / NotesAppraisal Considerations:- See GP2.7 description in front matter for typical activities for stakeholder involvement (e.g., planning, decisions,communications, coordination, assessments, requirements definitions, resolution of problems/issues.)- “A “stakeholder” is a group or individual that is affected by or in some way accountable for the outcome of anundertaking. Stakeholders may include project members, suppliers, customers, end users, and others.”- “The term “relevant stakeholder” is used to designate a stakeholder that is identified for involvement in specifiedactivities and is included in an appropriate plan. (See the Plan Stakeholder involvement specific practice in theProject Planning process area and the Identify and Involve Relevant Stakeholders generic practice.)”- The set of relevant stakeholders for each PA may vary across the life cycle or as the organization increases itsprocess capability/maturity.- The identification and involvement of relevant stakeholders may vary according to project characteristics andattributes (e.g., size, complexity, duration).- In some PAs, candidate stakeholders are listed in the GP elaboration and can be used for reference asappropriate.- Include expected relevant stakeholders in the population of FAR group members and ask questions regardingtheir involvement in project activities.- “This generic practice is different from developing the plan for stakeholder involvement for the project itself,which is covered in a specific practice of this process area.” “Examples of activities for stakeholder involvement include the following: • Establishing estimates • Reviewing and resolving issues on the completeness and correctness of the project risks • Reviewing data management plans • Establishing project plans • Reviewing project plans and resolving issues on work and resource issues”Direct Artifact Example:- Documentation showing identification of relevant stakeholders (stakeholder list, involvement matrix,memoranda, plans, distribution lists, Conops, etc.)- Plans that identify relevant stakeholders and how they are involved.- Evidence that stakeholders are involved as planned.Indirect Artifact Example:- Mechanisms and documentation of relevant stakeholder involvement (e-mail, memoranda, meeting minutes,signature approval, charters, distribution lists, attendance lists, reviews, surveys, reports, web pages, etc.)- The plan for stakeholder involvement, as specified in the Project Planning PA. This may be part of the projectplan.Source of OEDocument (s)Comments1234567PFGP2.8Monitor and control the project planning process against the plan for performing theprocess and take appropriate corrective action.Page 14 of 19Copyright 2004, Software Engineering Institute9:59, 2013-4-11
Project PlanningInformationNeededRating(FI, LI,PI, NI,NY)AffirmationProject 1Project 2Project 3Project 4IndirectDirectORGStatusKey Practice / NotesAppraisal Considerations:- \"The purpose of this practice is to perform the direct day-to-day monitoring and controlling of the process.Appropriate visibility into the process is maintained so that appropriate corrective action can be taken whennecessary.\"- “Reviews can be both periodic and event-driven.”- This GP monitors and controls the plan for the process as specified in GP2.2.- See GP description for typical corrective actions. Ensure that corrective actions have been tracked to closure.- Refer to the PMC PA for additional information on project monitoring and control.- Refer to the MA PA for additional information about measurement.- \"Examples of measures used in monitoring and controlling include the following: • Number of revisions to the plan • Cost, schedule, and effort variance per plan revision\"Direct Artifact Example:- Measures of actual performance against plan (e.g., process, work products, and services).- Progress tracking reports, e.g. status reports, financials, graphs, analyses.- Evidence of reviews of activities, status, and results of the process held with immediate level of managementresponsible for the process and identification of issues; (e.g. briefings, reports, presentations, milestones).- Issues and corrective actions for deviations from plan (e.g., action items, variance reports, change requests).Indirect Artifact Example:- Revisions and change history to plans and commitments (e.g., replanned schedule, costs, resources).- Effort spent planning the project- Project planning reviews and action itemsSource of OEDocument (s)Comments1234567PFGP2.9Objectively evaluate adherence of the project planning process against its processdescription, standards, and procedures, and address noncompliance.Page 15 of 19Copyright 2004, Software Engineering Institute9:59, 2013-4-11
Project PlanningInformationNeededRating(FI, LI,PI, NI,NY)AffirmationProject 1Project 2Project 3Project 4IndirectDirectORGStatusKey Practice / NotesAppraisal Considerations:- \"The purpose of this practice is to provide credible assurance that the process is implemented as planned andadheres to its process description, standards, and procedures.” This includes adherence of both the processand the products. It covers organizational policies, customer requirements, and project procedures andstandards, if they exist.- Projects may elect not to use additional procedures or standards beyond the organizational policies.- Objectivity is necessary, but independence is not necessarily required. Objective reviews “can be done byindependent groups, or by project members themselves.”- “People not directly responsible for managing or performing the activities of the process typically evaluateadherence. In many cases, adherence is evaluated by people within the organization, but external to the processor project, or by people external to the organization. As a result, credible assurance of adherence can beprovided even during times when the process is under stress (e.g., when the effort is behind schedule or overbudget).”- Refer to PPQA PA for more information about the SG/SPs needed to objectively evaluate adherence.- Examples of activities reviewed include the following: • Establishing estimates • Developing a project plan • Obtaining commitments to the project plan- Examples of work products reviewed include the following: • WBS • Project plan • Data management plan • Stakeholder involvement planDirect Artifact Example:- Records of evaluations or audits being performed as planned (e.g., reports, completed checklists).- Noncompliance issues resulting from objective evaluation of adherence to processes, objectives, andstandards.Indirect Artifact Example:- Identification of processes, work products, and services to be objectively evaluated.- Criteria against which processes and work products are evaluated.- Assignment of responsibility for performing objective evaluations (see GP2.4).- Revised plans, work products, or standards reflecting corrective action resulting from objective evaluations.Source of OEDocument (s)Comments1234567PFGP2.10Review the activities, status, and results of the project planning process with higherlevel management and resolve issues.Page 16 of 19Copyright 2004, Software Engineering Institute9:59, 2013-4-11
Project PlanningInformationNeededRating(FI, LI,PI, NI,NY)AffirmationProject 1Project 2Project 3Project 4IndirectDirectORGStatusKey Practice / NotesAppraisal Considerations:- \"The purpose of this practice is to provide higher-level management with the appropriate visibility into theprocess.\"- The purpose of the review is not to duplicate GP 2.8 Monitor and Control, but to focus on whether the process,as implemented, is satisfying organizational goals (e.g., employee morale, customer satisfaction).- “These reviews are expected to be both periodic and event-driven.” The periodicity of the reviews can bedefined by the organization, but should be frequent enough to address organizational issues. Typical event-driven reviews would occur at the completion of a major phase of the life cycle.- Reviews do not have to be face-to-face (e.g., submission and review of a status report), but they must showevidence of manager review of pertinent informationDirect Artifact Example:- Materials and results from reviews (e.g. status reports and briefings) held with higher-level management, onboth a periodic and event-driven basis.Indirect Artifact Example:- Action items and corrective action resulting from management reviews.- Metrics and analyses summarizing project status.- Schedule for reviews held with higher-level management.Source of OEDocument (s)Comments1234567PFGG3GP3.1Institutionalize a Defined ProcessEstablish and maintain the description of a defined project planning processAppraisal Considerations:- “The purpose of this generic practice is to establish and maintain a description of the process that is tailoredfrom the organization‟s set of standard processes to address the needs of a specific instantiation.”- See model for detailed description of a defined process.- “A defined process is a managed process that is tailored from the organization's set of standard processesaccording to the organization‟s tailoring guidelines, and contributes work products, measures, and otherprocess-improvement information to the organizational process assets.”- Process descriptions may exist only at the organizational (not project) level. Projects may also have processesthat are not standardized at the organizational level.- See OPD for further guidance on the practices used to establish the standard process- See IPM SP1.1 on how to establish and maintain the project‟s defined process- A family of process descriptions may exist for use in different situations.- Separate process description need not exist for every PA; process descriptions may cover multiple PAs or partof a PA.- \"Establish and maintain\" implies usage, so it is expected that the defined processes are used by the projects ororganization, tailored as appropriate, and revised as necessary.Direct Artifact Example:- Defined process description (purpose, inputs, entry criteria, activities, roles, measures, verification steps,outputs, exit criteria) tailored from the organization‟s set of standard processes.- Change records for the defined process descriptions.Page 17 of 19Copyright 2004, Software Engineering Institute9:59, 2013-4-11
Project PlanningInformationNeededRating(FI, LI,PI, NI,NY)AffirmationProject 1Project 2Project 3Project 4IndirectDirectORGStatusKey Practice / NotesIndirect Artifact Example:- Records of how the organizational standard process was tailored for a particular project or process application- Artifacts showing that the defined process, as tailored, is followed- Identification of the baseline of standard process used.Source of OEDocument (s)Comments1234567PFCollect work products, measures, measurement results, and improvement informationderived from planning and performing the project planning process to support thefuture use and improvement of the organization's processes and process assets.GP3.2Appraisal Considerations:- “The purpose of this generic practice is to collect information and artifacts derived from planning andperforming the process. This generic practice is performed so that the information and artifacts can be includedin the organizational process assets and made available to those who are (or who will be) planning andperforming the same or similar processes. The information and artifacts are stored in the organization‟smeasurement repository and the organization‟s process asset library.”- “Examples of relevant information include the effort expended for the various activities, defects injected orremoved in a particular activity, and lessons learned.”- Material is collected from across the organization. Appropriate levels of security should be defined so thatinformation is accessible to those who need it. “The process and product measures are primarily those that aredefined in the common set of measures for the organization‟s standard processes.”- Refer to OPD PA for more information about the organizational measurement repository and organizationalprocess asset library.- See the elaborations of GP2.8 (Monitor and Control the Process) for typical measures that could be collected.Direct Artifact Example:- Collected work products (e.g., documentation) for inclusion in the organizational library of process-relatedassets.- Collected process and product measures and measurement results (see GP2.8 elaborations for examples)- Collected improvement information (e.g. lessons learned, proposed improvements)Note: the CMMI model does not provide elaborations or examples on improvement information that may beapplicable for each process area. The work products listed in the PAs below (obtained primarily from typical workproducts of associated specific practices) suggest example work products, measures and measurement resultsthat may be part of the improvement information collected. Not all of these examples may be relevant for a givenorganization, or have sufficient business value to collect and maintain at the organizational level. Theorganization is responsible for identifying and defining which work products, measures, measurement resultsand improvement information they think is important to collect to support future use and improvement of theorganization‟s assets.Page 18 of 19Copyright 2004, Software Engineering Institute9:59, 2013-4-11
Project PlanningInformationNeededRating(FI, LI,PI, NI,NY)AffirmationProject 1Project 2Project 3Project 4IndirectDirectORGStatusKey Practice / NotesIndirect Artifact Example:- Changes resulting from incorporation of improvement information- Requests for submitting documentation to the organizational process library- Improvement proposals- Descriptions of common set of product and process measures for the organization‟s processes and processassets- Populated organizational measurement repository and associated analyses- Processes and procedures for submission, incorporation, and maintenance of assets in the organizationallibrary- Populated organizational process library- Catalog of process documentation items that exist in the library- Plans, processes, and procedures for performing the process area- Project work breakdown structures (WBS)- Estimating models- Project attribute estimates- Bases of estimates (BOEs)- Project estimation rationale- Project effort, schedule and cost estimates- Project schedules- Identified risks- Project data management plans- Project resource plans- Project training plans- Stakeholder involvement plans- Project plans- Other plans that affect the projectSource of OEDocument (s)Comments1234567PFPage 19 of 19Copyright 2004, Software Engineering Institute9:59, 2013-4-11
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