CMMI - Support
Configuration ManagementQuality ControlMeasurement & AnalysisDecision Analysis & ResolutionOrganizational Environment for IntegrationCausal Analysis & Resolution

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

The Configuration Management process area involves:

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

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

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

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

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

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

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

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

Specific Goals

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

Institutionalizing the Processes

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

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

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

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

The Process and Product Quality Assurance process area involves :

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

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

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

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

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

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

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

Specific Goals

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

Institutionalizing the Processes

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

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

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

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

The Measurement and Analysis process area involves:

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

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

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

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

Specific Goals

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

Institutionalizing the Processes

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

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

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

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DAR: Decision Analysis & Resolution
Purpose
To analyze possible decisions using a formal evaluation process that evaluates identified alternatives against established criteria.

The Decision Analysis and Resolution process area involves establishing guidelines to determine which issues should be subjected to a formal evaluation process and then applying formal evaluation processes to these issues.

A formal evaluation process is a structured approach to evaluating alternative solutions against established criteria to determine a recommended solution to address an issue. A formal evaluation process involves the following:

A formal evaluation process reduces the subjective nature of the decision and has a higher probability of selecting a solution that meets the multiple demands of the relevant stakeholders.

While the primary application of this process area is for selected technical concerns, formal evaluation processes can also be applied to many nontechnical issues, particularly when a project is being planned. Issues that have multiple alternative solutions and evaluation criteria lend themselves to a formal evaluation process.

During planning, specific issues requiring a formal evaluation process are identified. Typical issues include selection among architectural or design alternatives, use of reusable or commercial off-the-shelf (COTS) components, supplier selection, engineering support environments or associated tools, test environments, and logistics and production. A formal evaluation process can also be used to address a make-or-buy decision, the development of manufacturing processes, the selection of distribution locations, and other decisions.

Guidelines are created for deciding when to use formal evaluation processes to address unplanned issues. Guidelines often suggest using formal evaluation processes when issues are associated with medium to high risks or when issues affect the ability to achieve project objectives.

Formal evaluation processes can vary in formality, type of criteria, and methods employed. Less formal decisions can be analyzed in a few hours, use only a few criteria (e.g., effectiveness and cost to implement), and result in a one- or two-page report. More formal decisions may require separate plans, months of effort, meetings to develop and approve criteria, simulations, prototypes, piloting, and extensive documentation.

Both numeric and non-numeric criteria can be used in a formal evaluation process. Numeric criteria use weights to reflect the relative importance of the criteria. Non-numeric criteria use a more subjective ranking scale (e.g., high, medium, low). More formal decisions may require a full trade study.

A formal evaluation process identifies and evaluates alternative solutions. The eventual selection of a solution may involve iterative activities of identification and evaluation. Portions of identified alternatives may be combined, emerging technologies may change alternatives, and the business situation for vendors may change during the evaluation period.

A recommended alternative is accompanied by documentation of the selected methods, criteria, alternatives, and rationale for the recommendation. The documentation is distributed to the relevant stakeholders; it provides a record of the formal evaluation process and rationale that is useful to other projects that encounter a similar issue.

Specific Goals

GoalSupporting PracticesSub
Practices
DAR-1: Evaluate Alternatives
Decisions are based on an evaluation of alternatives using established criteria. Issues requiring a formal evaluation process may be identified during any phase of a product or project life cycle. The objective should be to identify issues as early as possible to maximize the time available to resolve the issue. 		Establish Guidelines for Decision Analysis[SP]
Establish Evaluation Criteria[SP]
Identify Alternative Solutions[SP]
Select Evaluation Methods[SP]
Evaluate Alternatives[SP]
Select Solutions[SP]

Institutionalizing the Processes

Basic (Managed) GoalsAdvanced Goals
  1. Establish Policy: This policy establishes organizational expectations for selectively analyzing possible decisions using a formal evaluation process that evaluates identified alternatives against established criteria. The policy should also provide guidance on which decisions require a formal evaluation process.
  2. Plan the Process: Typically, this plan for performing the decision analysis and resolution process is included in (or is referenced by) the project plan, which is described in the Project Planning process area.
  3. Provide Resources: Examples of resources provided include :
    • Simulators and modeling tools
    • Prototyping tools
    • Tools for conducting surveys
  4. Assign Responsibility: Assign responsibility and authority for performing the process, developing the work products, and providing the services of the decision analysis and resolution process.
  5. Train People: Examples of training topics include:
    • Formal decision analysis
    • Methods for evaluating alternative solutions against criteria
  6. Manage Configurations: Examples of work products placed under configuration management include:
    • Guidelines for when to apply a formal evaluation process
    • Evaluation reports containing recommended solutions
  7. Identify and Involve Relevant Stakeholders: Examples of activities for stakeholder involvement include:
    • Establishing guidelines for which issues are subject to a formal evaluation process
    • Establishing evaluation criteria
    • Identifying and evaluating alternatives
    • Selecting evaluation methods
    • Selecting solutions
  8. Monitor and Control the Process: Examples of measures used in monitoring and controlling include:
    • Cost-to-benefit ratio of using formal evaluation processes
  9. Objectively Evaluate Adherence: Examples of activities reviewed include:
    • Evaluating alternatives using established criteria and methods
    Examples of work products reviewed include:
    • Guidelines for when to apply a formal evaluation process
    • Evaluation reports containing recommended solutions
  10. Review Status with Higher Level Management: Review the activities, status, and results of the decision analysis and resolution process with higher level management and resolve issues.
Defined
  1. Establish Defined Process: Establish and maintain the description of a defined decision analysis and resolution process.
  2. Collect Improvement Information: Collect work products, measures, measurement results, and improvement information derived from planning and performing the decision analysis and resolution process to support the future use and improvement of the organization’s processes and process assets.

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

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

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OEI: Organizational Environment for Integration

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Purpose
To provide an Integrated Product and Process Development (IPPD) infrastructure and manage people for integration.

Successful integration of business and technical elements in projects is dependent upon substantive and proactive organizational processes and guidelines. The organization is an integrated system capable of providing and sustaining the people, products, and processes necessary for the effective and efficient execution of its projects. The organization must raise performance expectations from all projects while providing mechanisms that stimulate both team and individual excellence.

Important characteristics of effective environments for integration include people trained to exploit the collaborative environment; a workplace that provides resources to maximize the productivity of people and facilitate integrated teams; and organization’s set of standard processes and organizational process assets that culturally enable an IPPD environment that promotes and rewards team as well as individual excellence.

Specific Goals

GoalSupporting PracticesSub
Practices
OEI-1: Provide IPPD Infrastructure
An infrastructure that maximizes the productivity of people and affects the collaboration necessary for integration is provided. An organizational infrastructure that supports and promotes IPPD concepts is critical if IPPD is to be successfully sustained over the long term. An IPPD infrastructure includes:
  • An organization's shared vision that promotes IPPD concepts such as concurrent development and integrated teaming
  • A work environment that enables efficient and effective collaboration and integration
  • People trained to collaborate, integrate, and lead others, as necessary
Establish the Organization’s Shared Vision[SP]
Establish an Integrated Work Environment[SP]
Identify IPPD-Unique Skill Requirements[SP]
OEI-2: Manage People for Integration
People are managed to nurture the integrative and collaborative behaviors of an IPPD environment.. In an IPPD environment, special attention needs to be paid to aspects of organizational leadership and management. Nurturing integration necessitates focus on the objectives, values, and behaviors that are needed to affect integrated teamwork. The organization establishes the IPPD guidelines and processes that become part of the organization’s set of standard processes and the project’s defined process. The organization’s standard processes enable, promote, and reinforce the integrative behaviors expected from projects, integrated teams, and people. For all IPPD processes and guidelines, people are recognized not as the tools or means to the end, but as part of a mutually be

In stimulating the integration needed, team-related incentives may be appropriate for people who work together. However, the value of individual excellence should not be overlooked. A balanced approach that addresses both individual performance as well as team performance would help maintain high standards of both team and individual achievement. Expectations from projects, integrated teams, and people are typically communicated in the form of policies, operating procedures, guidelines, and other organizational process assets.

Establish Leadership Mechanisms[SP]
Establish Incentives for Integration[SP]
Establish Mechanisms to Balance Team and Home Organization Responsibilities[SP]

Institutionalizing the Processes

Basic (Managed) GoalsAdvanced Goals
  1. Establish Policy: This policy establishes organizational expectations for providing an IPPD infrastructure and managing people for integration.
  2. Plan the Process: This plan for performing the organizational environment for integration process may be included in or referenced by the project plan, which is described in the Project Planning process area, or it may be documented in a separate plan that describes only the plan for the organizational environment for integration process.
  3. Provide Resources: Examples of special equipment and facilities include:
    • Manufacturing and production facilities
    • Prototyping or production equipment
    • Work space
    • Office equipment and supplies
    • Raw or stock input materials
    • Transportation resources
    • “Hotlines” and “help desks”
    • Information brokerage services
    • Support staff and/or services
    Examples of other tool resources provided include:
    • Communications systems, tools, and resources
    • Computing resources and software productivity tools
    • Engineering or simulation tools
    • Proprietary engineering tools
    • Information-technology capabilities
  4. Assign Responsibility: Assign responsibility and authority for performing the process, developing the work products, and providing the services of the organizational environment for integration process.
  5. Train People: Examples of training topics include:
    • Work environment development
    • Ergonomics
    • Leadership policies for IPPD
    • Managing people for integration and collaboration
  6. Manage Configurations: Examples of work products placed under configuration management include:
    • Organizational guidelines that determine the degree of empowerment of individuals and integrated teams
    • Organizational process documentation for issue resolution
    • Organization’s shared vision
  7. Identify and Involve Relevant Stakeholders: Examples of activities for stakeholder involvement include:
    • Establishing and maintaining the organization’s shared vision
    • Establishing and maintaining the integrated work environment
    • Establishing IPPD skill needs
    • Establishing and maintaining IPPD leadership mechanisms
    • Establishing and maintaining organizational policies for the management of people in an IPPD environment
  8. Monitor and Control the Process: Examples of measures used in monitoring and controlling include Parameters for key operating characteristics of the work environment.
  9. Objectively Evaluate Adherence: Examples of activities reviewed include:
    • Establishing the shared vision for the organization
    • Developing guidelines for the degree of empowerment provided to people and teams
    • Establishing and maintaining an issue-resolution process
    Examples of work products reviewed include:
    • Organization’s shared vision
    • Organizational guidelines that determine the degree of empowerment of individuals and integrated teams
    • Organizational process documentation for issue resolution
    • Compensation policies and procedures
  10. Review Status with Higher Level Management: Review the activities, status, and results of the organizational environment for integration process with higher level management and resolve issues.
Defined
  1. Establish Defined Process: Establish and maintain the description of a defined organizational environment for integration process.
  2. Collect Improvement Information: Collect work products, measures, measurement results, and improvement information derived from planning and performing the organizational environment for integration process to support the future use and improvement of the organization’s processes and process assets.

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

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

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CAR: Causal Analysis & Resolution
Purpose
To identify causes of defects and other problems and take action to prevent them from occurring in the future.

The Causal Analysis and Resolution process area involves:

Causal analysis and resolution improves quality and productivity by ,em>preventing the introduction of defects into a product. Reliance on detecting defects after they have been introduced is not cost effective. It is more effective to prevent defects from being introduced by integrating causal analysis and resolution activities into each phase of the project.

Since defects and problems may have been previously encountered on other projects or in earlier phases or tasks of the current project, causal analysis and resolution activities are a mechanism for communicating lessons learned among projects.

The types of defects and other problems encountered are analyzed to identify any trends. Based on an understanding of the defined process and how it is implemented, the root causes of the defects and the future implications of the defects are determined.

Causal analysis may also be performed on problems unrelated to defects. For example, causal analysis may be used to improve quality attributes such as cycle time. Improvement proposals, simulations, dynamic systems models, engineering analyses, new business directives, or other items may initiate such analysis.

Sometimes it may be impractical to perform causal analysis on all defects. In these cases, tradeoffs are made between estimated investments and estimated returns in quality, productivity, and cycle time, and defect targets are selected.

A measurement process should already be in place. The defined measures can be used, though in some instances new measures may be needed to analyze the effects of the process change.

Refer to the Measurement and Analysis process area for more information about establishing objectives for measurement and analysis, specifying the measures and analyses to be performed, obtaining and analyzing measures, and reporting results.

Causal Analysis and Resolution activities provide a mechanism for projects to evaluate their processes at the local level and look for improvements that can be implemented.

When improvements are judged to be effective, the information is extended to the organizational level.

Refer to the Organizational Innovation and Deployment process area for more information about improving organizational level processes through proposed improvements and action proposals.

The informative material in this process area is written with the assumption that the specific practices are applied to a quantitatively managed process. The specific practices of this process area may be applicable, but with reduced value, if the assumption is not met.

Specific Goals

GoalSupporting PracticesSub
Practices
CAR-1: Determine Causes of Defects
Root causes of defects and other problems are systematically determined. A root cause is a source of a defect such that if it is removed, the defect is decreased or removed. 		Select Defect Data for Analysis[SP]
Analyze Causes[SP]
CAR-2: Address Causes of Defects
Root causes of defects and other problems are systematically addressed to prevent their future occurrence. Projects operating according to a well-defined process will systematically analyze the operation where problems still occur and implement process changes to eliminate root causes of selected problems. 		Implement the Action Proposals[SP]
Evaluate the Effect of Changes[SP]
Record Data[SP]

Institutionalizing the Processes

Basic (Managed) GoalsAdvanced Goals
  1. Establish Policy: This policy establishes organizational expectations for identifying and systematically addressing root causes of defects and other problems.
  2. Plan the Process: This plan for performing the causal analysis and resolution process differs from the action proposals and associated action plans described in the specific practice in this process area. The plan called for in this generic process would address the organization’s overall causal analysis and resolution process. In contrast, the process action proposals and associated action plans address the activities needed to remove the root cause under study.
  3. Provide Resources: Examples of resources provided include:
    • Database systems
    • Process modeling tools
    • Statistical analysis packages
    • Tools, methods, and analysis techniques (e.g., Ishakawa or fishbone diagram, Pareto analysis, histograms, process capability studies, control charts)
  4. Assign Responsibility: Assign responsibility and authority for performing the process, developing the work products, and providing the services of the causal analysis and resolution process.
  5. Train People: Examples of training topics include Quality management methods (e.g., root cause analysis)
  6. Manage Configurations: Examples of work products placed under configuration management include:
    • Action proposals
    • Action proposals selected for implementation
    • Causal analysis and resolution records
  7. Identify and Involve Relevant Stakeholders: Examples of activities for stakeholder involvement include:
    • Conducting causal analysis
    • Assessing the action proposals
  8. Monitor and Control the Process: Examples of measures used in monitoring and controlling include:
    • Number of root causes removed
    • Change in quality or process performance per instance of the causal analysis and resolution process
  9. Objectively Evaluate Adherence: Examples of activities reviewed include:
    • Determining causes of defects
    • Addressing causes of defects
    Examples of work products reviewed include:
    • Action proposals selected for implementation
    • Causal analysis and resolution records
  10. Review Status with Higher Level Management: Review the activities, status, and results of the causal analysis and resolution process with higher level management and resolve issues.
Defined
  1. Establish Defined Process:Establish and maintain the description of a defined causal analysis and resolution process.
  2. Collect Improvement Information: Collect work products, measures, measurement results, and improvement information derived from planning and performing the causal analysis and resolution process to support the future use and improvement of the organization’s processes and process assets.

Quantitatively Managed
  1. Establish Quantitative Objectives for the Process: Establish and maintain quantitative objectives for the causal analysis and resolution process that address quality and process performance based on customer needs and business objectives.
  2. Stabilize Subprocess Performance: Establish and maintain quantitative objectives for the causal analysis and resolution process that address quality and process performance based on customer needs and business objectives.

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

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