Guide For SCAMPI Appraisals: Accelerated Improvement Method (AIM)

Guide for SCAMPI Appraisals:
Accelerated Improvement Method (AIM)

Gene Miluk
James McHale
Timothy A. Chick
December 2010
SPECIAL REPORT
CMU/SEI-2010-SR-021
Software Engineering Process Management (SEPM) Program

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Table of Contents
Abstract iii
1 Audience and Purpose of this Guidance Document 1
2 AIM/CMMI Overview 2
2.1 AIM Process Approach 2
2.1.1 Overview of AIM Process Assets 3
2.2 AIM Process Elements 3
2.2.1 Scripts 3
2.2.2 Forms 4
2.2.3 Roles 5
2.2.4 Other 6
2.2.5 Training 7
3 Detailed PA Appraisal Guidance 8

3.1 Project Management Processes 8
3.1.1 Project Planning (PP) 9
3.1.2 Project Monitoring and Control (PMC) 17
3.1.3 Integrated Project Management + IPPD (IPM) 22
3.1.4 Risk Management (RM) 28
3.2 Engineering Processes 32
3.2.1 Requirements Management (REQM) 32
3.2.2 Requirements Development (RD) 36
3.2.3 Technical Solution (TS) 41
3.2.4 Product Integration (PI) 45
3.2.5 Verification (VER) 50
3.2.6 Validation (VAL) 55
3.3 Process Management Processes 59
3.3.1 Organizational Process Focus (OPF) 59
3.3.2 Organizational Process Definition + IPPD (OPD) 65
3.3.3 Organizational Training (OT) 69
3.4 Support Processes 73
3.4.1 Configuration Management (CM) 73
3.4.2 Process and Product Quality Assurance (PPQA) 77
3.4.3 Measurement and Analysis (M&A) 82
3.4.4 Decision Analysis and Resolution (DAR) 87
References 89
SOFTWARE ENGINEERING INSTITUTE | i

SOFTWARE ENGINEERING INSTITUTE | ii
Abstract
The Software Engineering Institute’s Accelerated Improvement Method (AIM) incorporates a

new version of the Team Software ProcessSM (TSP SM) The Team Software Process Plus (TSP+).
TSP+ is a project-based implementation of many of the specific and generic practices of Capabili-
ty Maturity Model Integration (CMMI®) for Development. Organizations using AIM for their
improvement approach will be implementing similar processes with similar artifacts. Since these
implementations of CMMI start from a common base, the work of appraising such organizations
against a specific model scope should benefit from this commonality of approach.
This document therefore provides guidance to lead appraisers and appraisal teams unfamiliar with
TSP+ when conducting Standard CMMI Appraisal Method for Process Improvement
(SCAMPISM) appraisals within organizations that use the TSP+ as a foundational operational
practice. The intended benefits of this guidance are (1) to shorten the time needed to prepare and
conduct such appraisals; (2) to provide information helpful for appropriate interpretations; (3) and
to familiarize SCAMPI leads and appraisal teams with a powerful, proven, and available technol-
ogy.
SOFTWARE ENGINEERING INSTITUTE | iii

SOFTWARE ENGINEERING INSTITUTE | iv
1 Audience and Purpose of this Guidance Document
This document is aimed at the lead appraiser and appraisal team for a Standard CMMI Appraisal
Method for Process Improvement (SCAMPI) appraisal targeting maturity levels 2 and 3 of Capa-
bility Maturity Model Integration for Development, version 1.2 (CMMI-DEV V1.2) in an organi-
zation using the Accelerated Improvement Method (AIM) and Team Software Process Plus
(TSP+) as foundational practices. Secondarily, the document is intended to guide those responsi-
ble for the preparations for such appraisals.
SCAMPI appraisals focus on the specific and generic practices of the model scope under consid-
eration—that is, what CMMI® practices are to be looked at during the appraisal, as well as what
parts of the organization are to be reviewed in the appraisal. Usually, determining how that model
scope connects to the artifacts and attributes of a particular organization is unique to that organi-
zation. However, when organizations use TSP+ as the foundation of a CMMI implementation
strategy, appraisal teams have an advantage because the training, standard artifacts, and practices
are known and generally available. Commonality of approach and artifacts provides opportunities
for streamlining the preparation and conduct of SCAMPI appraisals.
Organizing the data and artifacts in the standard AIM implementation and relating them to the
appropriate practices in the CMMI model will, we believe, provide valuable assistance to those
preparing for or performing a SCAMPI appraisal. This document provides such guidance, first via
an overview of the base TSP+ process assets, then briefly in terms of a combined staged–
continuous view of CMMI implementation, and finally practice-by-practice in the form of prac-
tice implementation indicators (PIIs) that are the expected direct artifacts of TSP usage.
®
CMMI is registered in the U.S. Patent and Trademark Office by Carnegie Mellon University.
SOFTWARE ENGINEERING INSTITUTE | 1

2 AIM/CMMI Overview
2.1 AIM Process Approach
The TSP-based AIM approach combines the field-proven methods of TSP with the best lessons
learned when using TSP as the foundation of model-based improvement. The TSP has been used
for more than a decade with a proven record of performance, starting with pilot projects prior to
2000 and with the official TSP release in November 2000. This consistent performance includes
use in both government and commercial organizations. Organizations also have combined suc-
cessfully the original TSP with model-based improvement methods, including the original Soft-
ware Capability Maturity Model and transitioning to CMMI for Systems Engineering/Software
Engineering (CMMI-SE/SW) and now CMMI-DEV V1.2.
The AIM approach first focuses on appropriate training and buy-in with senior management, then
through the chain of command to middle and first-line management, and finally to the developers
who staff self-directed teams on initial AIM pilot projects. Training and piloting in every organi-
zation is a must, and is a formal part of the recommended TSP introduction strategy [Humphrey
2011].1 After the initial AIM project pilots, the focus moves to the organizational level as the use
of TSP+ extends to the process group, which is responsible for CMMI implementation in an or-
ganization.
In contrast to “traditional” CMMI implementation using the Initiating, Diagnosing, Establishing,

Acting and Learning (IDEAL) model and progressing maturity level by maturity level, AIM im-
plementation proceeds project by project, instantiating those CMMI practices that apply to devel-
opment projects. AIM processes directly cover the project management process areas (PAs) in
CMMI maturity levels 2 and 3, excluding Supplier Agreement Management (SAM), Project Plan-
ning (PP), Project Monitoring and Control (PMC), Integrated Project Management (IPM), and
Risk Management (RSKM). The engineering process areas Requirements Management (REQM),
Requirements Development (RD), Technical Solution (TS), Product Integration (PI), Verification
(VER), and Validation (VAL) and the support process areas Configuration Management (CM),
Process and Product Quality Assurance (PPQA), Measurement Analysis (MA), and Decision
Analysis and Resolution (DAR) typically begin as hybrid processes, combining AIM processes
and existing CMMI processes. The remaining PAs belong to the process management category
Organization Process Focus (OPF), Organizational Process Definition (OPD), and Organizational
Training (OT) and form the basis of process-related activities. AIM includes establishment of an
engineering process group (EPG) using the same project management disciplines to plan and
manage work that are used in the development projects. The EPG uses the support process areas
as appropriate. In a sense, the process management PAs are to an EPG what the engineering PAs
are to development teams: The development team implements the engineering practices and the
EPG implements the process management practices.
1
Further discussion of TSP introduction strategy appears in Leadership, Teamwork, and Trust: Building a Com-
petitive Software Capability by Watts S. Humphrey and James W. Over [Humphrey 2011].

In practice, the approach of creating hybrid processes has proven adaptable and has added value.
The key to making this successful is a skillful combination of the domain-specific capabilities
from the organization and the knowledge and experience of the AIM Coach. The AIM Coach is
an SEI-trained and certified professional who, among other responsibilities, guides the project
through the proper adoption of the AIM methodologies.
2.1.1 Overview of AIM Process Assets
AIM embodies the next generation of TSP process assets. While the overall structure of those as-
sets is unchanged from previous generations, AIM includes a new version of TSP assets designed
to maximize CMMI compatibility.
Use of TSP processes to support an engineering process group serves as an example of how to
adapt the standard TSP assets to a new organization and a new domain. This acknowledges pre-
vious organizations that successfully combined TSP and CMMI, especially within multiple
groups at the Naval Air Systems Command (NAVAIR), and reflects the SEI’s own internal use of
the TSP [Wall 2007].
2.2 AIM Process Elements
The TSP is defined by a set of process elements that includes
• scripts to define and guide specific work processes

• forms to capture specific information generated by enacting one or more scripts or that are
otherwise required by some part of the process
• role specifications to guide individuals on a project in performing critical but often non-
scripted (and possibly non-scriptable) activities
• other assets such as the TSP introduction strategy, checklists, guidelines, and specifications
not related to roles
• training courses and authorization activities in the TSP and PSP technologies
These assets are summarized in the table below. Note that the following descriptions and tables in
this section are updated from those listed in Section 5 of the TSP+ Launch Notebook, and are pre-
sented in the order they appear in that document.2
2.2.1 Scripts
Script TSP+ Script Name (please see the TSP+ Launch Notebook) Page
Abbreviation Reference
POPS Overall process operations, the initiating process improvement script 3
POPS7 Process group formation 5
TOPS Team operations, overall guidance for TSP introduction 6
TOPS4 Post launch TSP and TSPm team operation 7
ANA Impact analysis 8
2
The TSP+ Launch Notebook is available to SEI Partners with a TSP license. For more information on becoming
an SEI Partner and obtaining a TSP license, see www.sei.cmu.edu/partners.

Script TSP+ Script Name (please see the TSP+ Launch Notebook) Page
CHECKPOINT Checkpoint assessment 10
CMAUDIT Configuration management audit 12
CYCLE Cycle 14
DAR Decision analysis and resolution 16
DEV Overall development and enhancement process 18
HLD High-level design 19
IMP Implementation 21
IMP6 Unit test and test development (step 6 in script IMP) 22
INS Inspection process (two pages) 23
LAU Team launch 26
LAUm Multi-team launch 27
LAU1 Launch meeting 1: launch overview and kickoff 29
LAU1A Multi-team launch meeting 1A: strategy presentation 30
LAU2 Launch meeting 2: roles and goals 31
LAU3 Launch meeting 3: strategy, process, support 32
LAU3A Multi-team leadership meeting 3A 35
LAU4 Launch meeting 4: overall team plan 36
LAU5 Launch meeting 5: quality plan 38
LAU5B Multi-team planning manager role meeting 39
LAU5C Multi-team quality manager role meeting 40
LAU6 Launch meeting 6: detailed next-phase plans 41
LAU6B Multi-team planning manager meeting, plan consolidation 43
LAU7 Launch meeting 7: risk assessment 44
LAU7A Multi-team leadership meeting to plan the management meeting 46
LAU8 Launch meeting 8: management meeting preparation 47
LAU9 Launch meeting 9: wrap-up management meeting 49
LAUPM Launch postmortem meeting: postmortem on the launch 50
LTL Leadership team launch 51
LTL1 LTL meeting 1: business goals 52
LTL2 LTL meeting 2: leadership team goals 53
LTL3 LTL meeting 3: team oversight strategy 54
LTL4 LTL meeting 4: role team assignments 55
LTL5 LTL meeting 5: role team goals and responsibilities 56
LTLPM LTL postmortem meeting 57
MAINT Overall maintenance and enhancement process 58
MTG General meeting process 59
PM Project postmortem 60
PMTD Postmortem test defects 62
PREP Preparation script for a multi-team launch or relaunch 63
PREPT Team launch preparation 64
2.2.2 Forms
Form Form and Instructions Name Page
CCR Configuration Change Request 3
CHECKTMDR Checkpoint Team Member Data Review 6
CIBPS Project Configuration Item Baseline, Plan, and Status 11
CIR Configuration Identification Release 13
DAR Decision Analysis and Resolution 15
DEFECT Defect Reporting Form 18
GOAL Team Goals 20

Form Form and Instructions Name Page
INS Inspection Report 22
INV Process Inventory 24
ITL Issue/Risk Tracking Log 26
LOGCCR Configuration Change Request Log 28
LOGCI Configuration Item Log 30
LOGD Defect Recording Log 32
LOGPIP Process Improvement Proposal Log 34
LOGSPDR Standard Process Deviation Request Log 36
LOGT Time Recording Log 38
LOGTRNM Team Member Training Log 40
LOGTRNR Training Request Log 42
MTG Meeting Report Form 44
PIP Process Improvement Proposal 46
ROLE Team Roles 48
ROLEMX Role Assignment Matrix 50
RSIM Relevant Stakeholder Involvement Matrix 52
SCHED Schedule Planning Template 64
SPDE Standard Process Deviation Evaluation 66
SPDR Standard Process Deviation Request 68
SRAM Stakeholder Role Assignment Matrix 70
STRAT Strategic Planning Form 72
SUMDI Defects Injected Summary 74
SUMDR Defects Removed Summary 76
SUMP Plan Summary Form 78
SUMPD Standard Process Deviation Summary 81
SUMQ Quality Summary Form 83
SUMS Program Size Summary 86
SUMT Development Time Summary Form 88
SUMTASK Task Plan Summary 90
SUMTRNS Training Survey Summary 92
TASK Task Planning Template 96
TESTLOG Test Log 98
TRNM Training Matrix 100
TRNOJT On-the-Job Training 102
2.2.3 Roles
Role Description Page Reference
Meeting Meeting roles and responsibilities 2
Inspection Inspection roles and responsibilities 3
TSP Coach TSP Coach responsibilities 4
Team Leader Team Leader responsibilities 6
Team Member General responsibilities of team members 8
Customer Interface Customer Interface Manager responsibilities 10
Manager
Design Manager Design Manager responsibilities 12
Implementation Implementation Manager responsibilities 14
Manager
Planning Manager Planning Manager responsibilities 16
Process Manager Process Manager responsibilities 18
Quality Manager Quality Manager responsibilities 20
Support Manager Support Manager responsibilities 22

Role Description Page Reference
Test Manager Test Manager responsibilities 24
Process Group Process Group responsibilities 26
Role Manager Team Role Manager Team responsibilities 28
Lead Role Manager Lead Role Manager responsibilities 30
2.2.4 Other
Grouping/Name Description Notes
Preparation checklists
PREPL Preparation for launch
PREPR Preparation for relaunch
Launch guidance
Launch coach Launch guidelines for the TSP coach
Marketing Launch guidelines for the marketing management
presentation
Other attendees (2) Launch guidelines for the TSP coach One for launches, one for re-
launches
Senior Management Launch guidelines for the senior management
presentation
Team leader (2) Launch guidelines for the team leader
Team members (2) Launch guidelines for team members
Other pre-launch assets
Initial contact letter TSP launch preparation
Preparation package TSP launch preparation material
cover letter
Preparation package TSP launch preparation material
instructions
Default guidelines
Planning guidelines SEI-provided benchmark planning metrics
Quality guidelines SEI-provided benchmark quality metrics
Executive assets
Plan assessment check- Team plan review questions; a quick start for an These assets can be found in Win-
list executive reviewing a TSP team’s plan ning with Software [Humphrey
Quarterly review Project review questions; a quick start for senior 2002].
checklist managers to probe the status of a TSP project
TSP introduction A generic procedure and timeline for TSP imple-
strategy mentation in an organization
Other specifications and assets
NOTEBOOK Storage for project artifacts
STATUS Management status report
SUMMARY Project analysis report
TSP workbook (individu- Automated individual and team (consolidated) Excel-based; provided by the SEI
al and consolidated) plans and actuals for size, effort, defects, and as part of the licensed TSP product
schedule; functionally equivalent versions of suite
items under Forms, above, are included in the
TSP Workbook
Checkpoint review A review of the project to date conducted by the
TSP coach or other process expert
Weekly meeting Minutes from weekly team meetings
minutes

2.2.5 Training
Grouping/Name Description Notes
Training and authorization
SEI training records SEI-maintained records of everyone reported by
SEI-authorized instructors to have finished any of
the training classes listed below
Introduction to Personal Training for team members who are not software
Process engineers (2 days)
PSP for Engineers Training for software developers (10 days)
TSP Executive Seminar Executive briefing on PSP and TSP, including
benefits and the TSP introduction strategy (1 day)
Leading Development Training for people managing TSP teams (3
Teams days)
PSP Instructor Training Training to become a PSP instructor (5 days) Offered only through the SEI or, in
Mexico, Tec de Monterrey; prere-
quisite is successful completion of
PSP for Engineers
TSP Launch Coach Training to become a TSP coach (5 days) Offered only through the SEI or, in
Training Mexico, Tec de Monterrey; prere-
quisite is successful completion of
PSP Instructor Training
TSP coach observation Observation and mentoring of TSP coach during Offered only through the SEI or, in
the coach’s first TSP launch (4 or 5 days) Mexico, Tec de Monterrey; suc-
cessful completion necessary for
SEI authorization

3 Detailed PA Appraisal Guidance
The following material will provide in detail a CMMI practice-by-practice analysis of the artifacts
and the approach taken by AIM. Explanations and cautions are provided to help those who are
unfamiliar with AIM. At a minimum, this guidance can provide an appraiser with a starting list of
artifacts to request and an opening line of questioning, phrased for the AIM methodology.
3.1 Project Management Processes
Project planning and project monitoring and control are strongly implemented in the TSP and
AIM. The planning process is well defined and executed in the AIM launch process. The goal of
the launch is to provide each individual and the team as a whole with detailed development plans
for this cycle or iteration. This is accomplished in the launch meetings by developing a clear un-
derstanding of the requirements and a “conceptual design” for the product. The conceptual design
lists the parts of the product to be developed and describes how they will operate separately and as
an integrated product. The plan is developed based on the requirements and conceptual design.
The approach used by AIM and TSP for planning differs from the classic MS-Project, WBS
(work breakdown structure), or Gantt-chart approach. The AIM approach follows the concepts of
Lean Six Sigma and establishes a set of “value chain activities” and work products. Thus each
individual has a set of tasks and work products that represent the work to be done and the prod-
ucts to be developed. This list of tasks and activities is presented in order of execution. Thus task
one is worked first, task two second, and so forth. This list of tasks represents the WBS and is
carefully established and maintained (monitored and controlled) as the project executes.
In addition to focusing on value chain activities, the planning process employs “inch pebble” de-
composition. Each task is 8-10 hours of duration. This inch pebble decomposition allows for
earned value tracking and load balancing and early warning on a near-real-time basis.

3.1.1 Project Planning (PP)
The following table lists the elements of the Project Planning process area employed in the AIM
approach.
TSP CMMI CMMI PA: PP Direct Artifact Guidance

Reference Feature Project
Planning
Description
PP SG 1 Estimates of
project planning
parameters are
established and
maintained.
LAU3, LAU6 PP SP 1.1 Establish a top- STRAT form, SUMS form in the Typically TSP projects do
level work TSP tool not produce the artifacts
breakdown struc- Completed SUMS (Size Sum- that one would expect to
ture (WBS) to mary) form. The SUMS form pro- see from a traditional Mi-
estimate the vides the list of work products and crosoft Project Plan (i.e.,
scope of the associated attributes necessary to Gantt chart, PERT chart). It
project. complete the current iteration. will save time and energy if
For multiple-iteration projects a the appraisers become
completed STRAT (Strategy) familiar with the TSP plan-
form. The STRAT form provides a ning methodology. The
high-level view of the multiple equivalent data and analy-
iterations that may be necessary sis is available with TSP.
to complete the project. At a minimum, teams will
Possibly a filled-out TASK form have a representation of
On projects with multiple itera- the TSP SUMS (Size
tions the STRAT form will Summary), which
represent the high-level WBS and represents a WBS in terms
estimates for the overall project. of components, products,
The SUMS will be developed for or features. Most TSP tools
each separate iteration and will have more.
represents the detailed WBS and The items in the SUMS are
estimates for that iteration. This is work products that should
an implementation of “Rolling be produced by the team to
Wave” project planning. complete the project. Typi-
An alternate practice is to simply cally there will be a process
use the SUMS form in the TSP (set of tasks) used to de-
tool to represent the high-level velop the work products. It
WBS and estimates for the overall is this set of tasks for each
project, usually during meeting 4 work product that comprise
of the team’s launch. The team the task list making up form
would then determine what will be TASK. The SUMS and form
implemented during the current TASK combine to create
iteration, resulting in a “new” the equivalent of a very
SUMS for each separate iteration, detailed WBS.
usually completed by the end of
meeting 6 of the launch. A TASK
form may also be created for both
the overall plan and the current
iteration.

Planning
Description
LAU3, LAU4, PP SP 1.2 Establish and SUMS form, TASK form Need to understand
LAU6, maintain esti- Completed SUMS form (plan and PROBE (Proxy Based Es-
PROBE mates of the actual base, modified, added, and timation). Even if they see a
attributes of the reused size for each component). two-column SUMS sheet,
work products Completed STRAT form. Com- there is a WBS hierarchy
and tasks. pleted TASK form. PROBE esti- represented in SUMS.
mation method is either built in
the tool, or is used to generate
estimates. Historical data is used
as available.
LAU3, PP SP 1.3 Define the Forms STRAT, SUMS, and TASK Embedded in the TSP is
STRAT project life-cycle in the TSP tool the concept of an iterative
phases upon The iterations are initially defined and incremental develop-
which to scope for the entire project on the ment process (cyclical).
the planning STRAT form, then are expanded Each project will develop
effort. for each iteration in the TSP tool the detailed description
(on the SUMS form). Alternative- (strategy) for the incre-
ly, some organizations will create ments and iterations
an initial SUMS, in place of form needed for that project.
STRAT, which represents the Appraisers should ask to
project life cycle. see an explanation of the
The iteration plan (STRAT) project’s
represents the overall project life cycles/development strate-
cycle over multiple iterations. gy.
Within each iteration, the tasks Each iteration may
associated with each work prod- represent an execution of
uct will usually represent a devel- the development life cycle.
opment life cycle for that product.
Each task is associated with a
phase in form TASK (the current
SEI TSP tool allows for creation
of custom processes).
LAU3, LAU4, PP SP 1.4 Estimate the TASK form The TSP does not include
LAU6, project effort and The TASK form records effort dollar cost estimation. For
PROBE cost for the work estimate for each task in the next most software projects,
products and iteration (near-term detailed plan). effort estimates correspond
tasks based on Overall plan (high-level plan) has directly to cost.
estimation ratio- high-level estimates.
nale.
LAUX, PP SG 2 A project plan is
WEEK established and
maintained as
the basis for
managing the
project.

Planning
Description
PP SP 2.1 Establish and SCHED, WEEK forms in the TSP Become familiar with the
maintain the tool planning tools and ap-
project’s budget SCHED form has weekly EV proach used in the TSP.
and schedule. (Earned Value) schedule (base- Don’t expect to see Gantt
line, planned, actual, and pre- charts (although the infor-
dicted). So does EV graph in TSP mation is there in most TSP
Excel tools, and the WEEK form. tools to produce a Gantt if
The WEEK form in the Excel tool needed, but TSP teams do
also has milestones. not find a need for this).
Schedule is tracked and
managed through EV and
milestones at the overall
project level, and at com-
ponent level.
LAU7 PP SP 2.2 Identify and ana- IRTL (Issues and Risks Tracking Launch meeting 7 largely
lyze project risks. Log) form involves risk and risk plan-
Launch meeting 9 presentation ning. Risks are recorded,
risk section and the IRTL (Issue assigned, tracked, and
and Risk Tracking Log), and IR- updated in IRTL. Risks are
Week (Issue and Risk Weekly presented to management
Summary) in meeting 9 and subse-
quent regularly held man-
agement meetings. The
team manages risks as part
of its weekly team meeting.
Specification PP SP 2.3 Plan for the Project Notebook, form LOGCI Notebook Specification
NOTEBOOK, management of Project NOTEBOOK (or its equiv- defines the project data that
almost all project data. alent) is managed and secured.
TSP scripts The Support Manager role has Form LOGCI lists the CIs
exit criteria been expanded to include re- including PP CIs.
sponsibility for CM for the project.
This includes project data as
configuration Items. See the CM
PA.
LAU3 PP SP 2.4 Plan for neces- The people resources are in the The launch planning
sary resources to TSP plan. process provides a com-
perform the Other resources are documented prehensive understanding
project. in the Support plan on form INV. of the resource necessary
Talk to Support Manager for af- for the project.
firmation.
TSP+ provides very detailed indi-
vidual and iteration plans on the
“inch pebble” level (tasks approx.
8 hours).

Planning
Description
PP SP 2.5 Plan for know- Required TSP training includes Strong link to the OT PA.
ledge and skills training for planning skills.
needed to per- In addition:
form the project. • Initially (level 2) the Support
Manager uses form INV to
capture project-specific train-
ing needs in LAU3 step 8.
(Other training forms may or
may not be used.)
• Form TRNM (Training Matrix)
captures standard TSP course
training prerequisites by role
for a TSP team.
• For level 3 (after formation of
the Process Group). The PG
role of Training Manager is es-
tablished with the resultant
training forms: TRNM,
TRNOJT (On-the-Job Train-
ing), TRNR (Training Re-
quest), TRNWR (Training
Waiver).
PREPL, PP SP 2.6 Plan the in- RSIM (Relevant Stakeholder The RSIM (Relevant
PREPR, volvement of Involvement Matrix) form Stakeholder Involvement
Launch Prep identified stake- Launch preparation guidelines for Matrix) provides a compre-
Packages, holders. the senior manager, product hensive listing of stake-
STATUS manager, team leader, and team holders and their involve-
members. ment in the TSP processes.
LAU meeting minutes In particular for PP each of
Form RSIM (Relevant Stakehold- the launch meetings is
er Involvement Matrix) documents detailed. Involvement is
what stakeholders/roles need to categorized as R, A, C, and
be involved in which scripted I (Responsible, Accounta-
activities. ROLES tab in the TSP ble, Consulted, Informed).
Excel tool defines team roles. The TSP has two key
Form SRAM Stakeholder Role stakeholder roles: the busi-
Assignment Matrix) is used for ness leader (senior man-
assigning roles identified in the ager) and the product own-
RSIM to individuals. er (marketing manager). All
business goals and expec-
tations are funneled
through the business leader
(e.g., schedule, resource,
milestones). All product
goals are funneled through
the product owner (fea-
tures, priorities). These are
the only stakeholders au-
thorized to give goals and
direction to the project.

Planning
Description
PP SP 2.7 Establish and TSP Tool Typically, the TSP tool
maintain the Estimate and Actual columns in used will provide the me-
overall project SUMS, SUMP, SUMQ, Task. chanism to establish and
plan content. Usually in TSP tool. maintain the plan. Plan is
tracked and updated at
least weekly by each indi-
vidual and the team.
The Planning Manager role
ensures the plan is estab-
lished and maintained.
PP SG 3 Commitments to
the project plan
are established
and maintained.
LAU, LAU9 PP SP 3.1 Review all plans Meeting 9 presentation, Meeting 9 Team and team leader
that affect the minutes, individual and team present the plan to stake-
project to under- plans holders during launch
stand project Individuals will have developed meeting 9. Feedback is
commitments. their own detailed plans for their incorporated in the plan by
activities in the iteration. the team. Because the
people who do the work
plan the work, that review is
built in.
LAU3, LAU6, PP SP 3.2 Reconcile the Each individual plan shows a A TSP project starts with
LAU8, project plan to comprehension of the available allocated resources. During
PREPL reflect available time and task estimates. Alternate the launch, the team may
and projected plans are developed, if needed. determine that the re-
resources. Alternatives are recorded in the sources allocated are not
launch meeting 9 presentation adequate. Then, the team
and management’s decision in generates alternate plans,
meeting 9 minutes. balancing schedule, scope,
and resources.
LAU, LAU1, PP SP 3.3 Obtain commit- Individuals develop their own The team members are
LAU9 ment from rele- detailed personal plans based on relevant stakeholders and
vant stakehold- historical data and estimates for their commitment is ob-
ers responsible the current iteration. tained throughout the
for performing Meeting 9 presentation and meet- launch process, because
and supporting ing 9 minutes they produce the plan. The
plan execution. business leader and prod-
uct owner commitment is
received during launch
meeting 9.
PP GG 2 The process is
institutionalized
as a managed
process.
PP GP 2.1 Establish and Policy will be specific to each This issue to be addressed
maintain an or- organization. by the AIM Implementation
ganizational Guide.
policy for plan-
ning and per-
forming the
project planning
process.

Planning
Description
PP GP 2.2 Establish and The planning process is defined Schedule, agenda, atten-
maintain the plan in detail in the TSP launch meet- dees for launch and re-
for performing ings and associated forms and launch
the project plan- scripts.
ning process. Launch Schedule
Agenda
PREPL checklist filled out
Attendee list (usually in meeting 9
presentation)
PP GP 2.3 Provide ade- Launches are typically 3-4 days Although launches typically
quate resources PREPL filled out (schedule, facili- take 3-4 days, development
for performing ties, attendees in TSP tool) will not begin until a satis-
the project plan- factory plan is developed
ning process, by the team and approved
developing the by the management.
work products,
and providing the
services of the
process.
PP GP 2.4 Assign responsi- RSIM coach role The planning process is
bility and authori- ROLEMX role matrix executed in the series of
ty for performing PREPL filled out (looking for launch meetings 1-9. Re-
the process, launch coordinator, team lead, sponsibility for the success
developing the and coach). of the launch rests with the
work products, Although responsibility for desig- coach (see RSIM).
and providing the nated activities during the launch Management is responsible
services of the are shared, ultimate responsibility for identifying team mem-
project planning for the launch rests with the bers who will participate in
process. coach. the launch process and be
part of the team.
PP GP 2.5 Train the people TSP team members must have The TSP has training re-
performing or required PSP or team member quirements for TSP team
supporting the training. members. All SEI-
project planning PREPL filled out (looking for train- authorized PSP/TSP
process as ing for management, team mem- courses address the prin-
needed. bers, team leader) ciples for PP needed for the
The TSP coach guides the team given role (leader, member,
through the launch process. developer, etc.).
There is a formal SEI training and There is a comprehensive
authorization process for TSP SEI training and authoriza-
coaches. tion process for TSP
coaches.

Planning
Description
PP GP 2.6 Place designated The planning manager is respon- Informal configuration
work products of sible for placing all project plan- management may be con-
the project planning artifacts into the project sidered appropriate for all
ning process notebook. The “project notebook” items identified in Specifi-
under appropri- is a term used in TSP to refer to cation NOTEBOOK. It is up
ate levels of the collection of artifacts describ- to the team to determine
control. ing the project, its activities, and where and how these items
the results. The content of the will be stored and who will
project notebook is defined in have access to them during
specification NOTEBOOK. launch preparation.
The support manager is respon- Items for formal configura-
sible for developing a plan for the tion and data management
management of all project data are planned during launch
identified in the specification preparation, CM processes
NOTEBOOK. This is usually ac- are observed, and planning
complished by designating a CIs are entered in form
specific project folder on a drive LOGCI.
or using a web-based file-sharing
system; levels of control are han-
dled by setting access permis-
sions.
PP GP 2.7 Identify and in- RSIM The launch process identi-
volve the rele- Launch scripts fies the major planning
vant stakehold- PREPL filled out, LAU9 meeting stakeholders. RSIM pro-
ers of the project report vides a comprehensive set
planning process of stakeholders and in-
as planned. volvement.
PP GP 2.8 Monitor and PREPL, PREPR shows launch is The team launch process
control the planned. produces the plan.
project planning Launch meeting minutes in form The coach is responsible
process against MTG for each meeting. for seeing that the planning
the plan for per- Combine this with launch arti- process embedded in the
forming the facts. launch is on track and fol-
process and take Weekly meeting minutes lowed.
appropriate cor-
rective action.
PP GP 2.9 Objectively eva- Checkpoint report The TSP coach will perform
luate adherence See the role of the PG (Process a Checkpoint to evaluate
of the project Group) Coaching Manager. process and work products.
planning process Coaching Manager report During the launch, the
against its TSP coach involvement pre- coach guides process fideli-
process descrip- launch (PREPL/PREPR filled ty for PP. As the project
tion, standards, out), during the launch (LAU executes, the team leader
and procedures; meeting minutes), and after and planning and process
address non- (LAUPM). managers objectively eva-
compliance. luate.
When the Process Group
(PG) is formed the Coach-
ing Manager role will objec-
tively evaluate the launch
process and artifacts for
each launch.

Planning
Description
PP GP Review the activ- Launch meeting 9 presentation.
2.10 ities, status, and You may also ask for checkpoint
results of the reports and management status
project planning reports.
process with
higher level
management ;
resolve issues.
PP GP 3.1 Establish and The TSP+ role of Process Group See the role of the PG
maintain the Support Manager is responsible Support Manager and PG
description of a for establishing and maintaining Process Manager.
defined project the OSSP. The OSSP will contain
planning the launch processes, which are
process. the main planning processes.
The Launch Notebook (PREPL,
PREPR, LAU1-9, WEEK)
PP GP 3.2 Collect work The Process Asset Library and Guidelines to appraisers:
products, meas- associated collection mechanisms The TSP+ has been ex-
ures, measure- The organizational infrastructure panded to include a PG
ment results, and (including the PAL and the mea- Process Asset and Data
improvement surement repository) is developed Repository Manager.
information de- by the Process Group; see OPF,
rived from plan- OPD.
ning and per-
forming the
project planning
process to sup-
port the future
use and im-
provement of the
organization’s
processes and
process assets.

3.1.2 Project Monitoring and Control (PMC)
The following table lists the elements of the Project Monitoring and Control (PMC) process area
employed in the AIM approach.
TSP CMMI CMMI PA: PMC Direct Artifact Guidance

Reference Feature Project Monitor-
ing and Control
Description
PMC SG 1 Actual perfor-
mance and
progress of the
project are moni-
tored against the
project plan.
WEEK PMC SP 1.1 Monitor the actual Minutes of the weekly team Appraisers should become
values of the meeting where the planning familiar with the TSP’s PROBE
project planning data is reviewed and moni- (Proxy Based Estimation).
parameters tored Estimates for size, effort, and
against the The TSP tool tracks esti- defects are an integral part of
project plan. mated and actual size, ef- the TSP and the launch
fort, defects and schedule. process.
See the Actual columns in The data collection mechan-
forms TASK, SUMS, SUMP, isms in TSP collect actual data
SUMQ, SCHED, EV. for size, effort, schedule, and
Management status reports defects. The actuals are rec-
and action items generated orded daily and reported
from associated status weekly.
meetings
PMC SP 1.2 Monitor commit- Minutes of the weekly team The team lead and planning
ments against meeting where plan status, manager role share responsi-
those identified in including commitments, are bility for ensuring commit-
the project plan. monitored ments are reviewed.
Internal and External com-
mitments are tracked as
milestones in the TSP tool.
The WEEK form in the tool
Cycle PM reports
WEEK PMC SP 1.3 Monitor risks IRWEEK and IRTL forms in Risks are monitored in the
against those the TSP tool team meetings. In script
identified in the Risks are reviewed during WEEK step 5, Goal and Risk
project plan. weekly team meetings and Reports the individual and
status reporting to manage- team risks are reviewed and
ment. updated.
PMC SP 1.4 Monitor the man- LOGCI (Configuration Item The Support Manager role has
agement of log), LOGCCR (Configura- the responsibility for the confi-
project data tion change request log), guration management system
against the CCR (Configuration Change for the team. This includes
project plan. Request), CIBS (Configura- project data. See the Support
tion Item Baseline, Plan and Manager role.
Status) The Planning Manager has the
See the CM Project responsibility to monitor the
NOTEBOOK. management of the project
Role reports in the team data. See the Planning Man-
meeting minutes ager roles and responsibilities.

ing and Control
Description
PMC SP 1.5 Monitor stake- RSIM (Relevant Stakeholder The coach, team members
holder involve- Involvement Matrix) and the and team roles monitor stake-
ment against the filled out ROLE form holder involvement through
project plan. Checkpoint, Role reports in weekly meetings, role reports,
team meetings status meetings, checkpoint
Management and customer and postmortems.
status presentations and Internal stakeholder involve-
meeting minutes ment can be seen in the indi-
vidual team member plans and
weekly meeting minutes. Two
primary stakeholders (busi-
ness and product owner) in-
volvement can be seen in
launch meeting 1 and 9 arti-
facts, in STATUS meeting
reports. Also, stakeholder
evaluation reports from post-
mortems.
WEEK, PM, PMC SP 1.6 Periodically re- WEEK form in tool, weekly It would be helpful if the ap-
Checkpoint, view the project's meeting minutes, relaunch, praisers could become familiar
REL progress, perfor- PM reports, Checkpoint with the TSP planning metho-
mance, and is- reports, and STATUS re- dology and tools used by the
sues. ports organization.
PMC SP 1.7 Review the ac- Within a development cycle, Appraiser guidance: For sin-
complishments the STATUS reports and gle-cycle projects project
and results of the minutes STATUS presentations and
project at selected For iterative development meetings and PM (Postmor-
project miles- across multiple development tem)
tones. cycles: PM reports and re- Iteration (cycle) reviews are
launch status reports built in to the TSP (cycle PM
and relaunch). These are con-
sidered milestone reviews for
TSP projects.
PMC SG 2 Corrective actions Earned value is used in Appraisers should familiarize
are managed to determining the effective- themselves with the TSP
closure when the ness of corrective actions. tracking capabilities and the
project's perfor- Corrective actions are use of the TSP tool for analy-
mance or results tracked to closure by creat- sis of planning data.
deviate signifi- ing additional tasks or The TSP methodology and
cantly from the changes in schedule per- tool provide exacting perfor-
plan. formance. mance management capabili-
ties. Activities in the plan are
broken into tasks of 8 hours or
less. This level of granularity
makes for very accurate week-
ly earned value analysis. De-
fects and defect injection rates
are estimated and measured.
Schedule variances are
measured in days.
WEEK PMC SP 2.1 Collect and ana- Issues are tracked on IRTL Issues and risks are discus-
lyze the issues and IRWEEK. sion items in the weekly meet-
and determine the Team and Individual plans ing. Issues are surfaced in the
corrective actions Team meeting minutes weekly meeting, documented
necessary to in IRTL, and assigned to
address the is- someone for resolution
sues. (guided by team role).

ing and Control
Description
PMC SP 2.2 Take corrective Issues are tracked on IRTL Issues and risks are discus-
action on identi- and IRWEEK. sion items in the weekly meet-
fied issues. Depending on the corrective ing. Issues are surfaced in the
action being taken, tasks weekly meeting, documented
may be added to individual in IRTL, and assigned to
plans to track and monitor someone for resolution
the action to closure. (guided by team role). Issues
and risks are also discussed
in management status meet-
ings.
PMC SP 2.3 Manage correc- Issues are tracked on IRTL Issues and risks are discus-
tive actions to and IRWEEK. sion items in the weekly meet-
closure. ing. Issues are surfaced in the
weekly meeting, documented
in IRTL, and assigned to
someone for resolution
(guided by team role).
PMC GG 3 The process is
institutionalized
as a defined
process.
PMC GP 2.1 Establish and Policy will be specific to This issue to be addressed by
maintain an orga- each organization. the AIM Implementation
nizational policy Guide.
for planning and
performing the
project monitoring
and control
process.
PMC GP 2.2 Establish and Weekly meeting agendas, PMC in many ways is built into
maintain the plan team calendars, postmortem the TSP methodology, includ-
for performing the agendas, relaunch agendas. ing data collection, analysis,
project monitoring Planning manager’s TSP and proactive attention to
and control plan, Team leader plan, trends, deviations, and chang-
process. Coach plan ing circumstances. The PMC
plan includes activities by the
coach, planning manager,
team lead and the individual
team members. This takes
place in weekly meetings,
cycle PMs, relaunches, status
meetings, and checkpoints,
and are all integral to the TSP.
PMC GP 2.3 Provide adequate ROLE form in the TSP tool Team leader and all team
resources for (assigned roles) members are responsible.
performing the TSP is a process for self-
project monitoring directed teams. The team
and control plans, tracks, and resolves
process, develop- most issues. Role managers
ing the work manage different aspects of
products, and the project (e.g., planning,
providing the quality, support).
services of the
process.

ing and Control
Description
Role specs PMC GP 2.4 Assign responsi- ROLE form in the TSP tool Team leader and all team
bility and authority (assigned roles) members are responsible.
for performing the TSP is a process for self-
process, develop- directed teams. The team
ing the work plans, tracks, and resolves
products, and most issues. Role managers
providing the manage different aspects of
services of the the project (e.g., planning,
project monitoring quality, support).
and control
process
PMC GP 2.5 Train the people LOGTRNM (Team Member The TSP has training require-
performing or Training Log) ments for TSP team members.
supporting the TRNM (Training Matrix) of At a minimum, PSP Funda-
project monitoring necessary training mentals or TSP Team Member
and control TSP team members must training will provide practition-
process as have required training (min. ers with the principles for PP
needed. Fundamentals) and PMC.
PREPL filled out (looking for There is a comprehensive SEI
training for management, training and authorization
team members, team lead- process for TSP coaches.
er)
The TSP coach guides the
team through the launch
process and throughout the
development cycle. There is
a formal SEI training and
authorization process for
TSP coaches.
PMC GP 2.6 Place designated LOGCI for project notebook Configuration and data man-
work products of The Support manager role is agement are planned during
the project moni- responsible for CM for the launch preparation, CM
toring and control project. The work products processes are observed, and
process under from the PMC will be CIs in planning CIs are entered in
appropriate levels form LOGCI and placed form LOGCI. Typically team
of control. under appropriate control. and individual plans, status
The project notebook presentation, and meeting
Typically, you would have to minutes will be put under the
look at the CM system sup- appropriate level of control by
ported by the project or or- the Support Manager using
ganization. CM process.
PMC GP 2.7 Identify and in- LAU9 presentation to man-

volve the relevant agement, management sta-
stakeholders of tus reports, status meeting
the project moni- agendas
toring and control RSIM (Relevant Stakeholder
process as Involvement Matrix)
planned.
Coach, PMC GP 2.8 Monitor and con- Team meeting minutes. The coach, team leader, and
team lead- trol the project Planning manager role re- role managers together moni-
er, team monitoring and ports. Status presentations tor PMC against its plan.
member control process and meeting minutes. IRTL
role specifi- against the plan (Issue/Risk Tracking Log),
cations for performing the Coach feedback and
process and take Checkpoint
appropriate cor-
rective action.

ing and Control
Description
PMC GP 2.9 Objectively eva- The TSP coach objectively As the project executes, the
luate adherence evaluates the PMC process Coach will objectively evaluate
of the project while working with the team. the PMC process as part of
monitoring and The Coach will formalize this the coaching activity. The
control process in the Checkpoint review. Coach will formalize this in the
against its Checkpoint review, producing
process descrip- the Checkpoint Report.
tion, standards, The PG Coaching Manager
and procedures; reviews checkpoints from each
address noncom- project for compliance.
pliance.
PMC GP Review the activi- Management status meeting Monitoring the project’s status
2.10 ties, status, and presentations and minutes against the plan is a strength
results of the Checkpoint management of the TSP+ process. This
project monitoring review includes weekly earned value
and control Launch meeting 9 presenta- tracking, schedule tracking,
process with tion and quality tracking on a very
higher level man- detailed level.
agement ; resolve
issues.
WEEK PMC GP 3.1 Establish and The TSP+ role of Process See the PG Support Manager
maintain the de- Group Support Manager is and PG Process Manager
scription of a responsible for establishing roles.
defined project and maintaining the OSSP.
monitoring and The OSSP will contain the
control process. launch processes, which are
the main planning
processes, and Script
WEEK, which is the basis for
PMC.
PMC GP 3.2 Collect work The Process Asset Library Guidelines to appraisers: The
products, meas- and associated collection TSP+ has been expanded to
ures, measure- mechanisms include a PG Process Asset
ment results, and The organizational infra- and Data Repository Manager.
improvement structure (including the PAL
information de- and the measurement repo-
rived from plan- sitory) is developed by the
ning and perform- Process Group; see OPF,
ing the project OPD.
monitoring and
control process to
support the future
use and im-
provement of the
organization’s
processes and
process assets.

3.1.3 Integrated Project Management + IPPD (IPM)
The following table lists the elements of the Integrated Project Management + IPPD (IPM)
process area employed in the AIM approach.
TSP CMMI CMMI PA: IPM Direct Artifact Guidance

Reference Feature Integrated Project
Management + IPPD
Description
IPM SG 1 The project is con-
ducted using a defined
process that is tailored
from the organization’s
set of standard
processes.
PREPL, IPM SP 1.1 Establish and maintain The project’s defined In LAU3 (launch meeting 3)
LAU, Pr M the project's defined process is the tailored STEP 6 and 7, the Process
Role process from project version of the OSSP for Manager leads the team in
startup through the life the project. This will in- establishing the PDP
of the project. clude forms, scripts, speci- (Projects defined process)
fications and any ap- and is responsible for main-
proved deviations. taining it throughout the
Typically this will be the project.
Project Notebook with The TSP+ materials refer to
Deviations (Form SPDR the PDP as the PSSP
Standard Process Devia- (Project’s Set of Standard
tion Request). Processes)
LAU IPM SP 1.2 Use the organizational Estimates and project Each of the project’s work
Planning process assets and plans are in the TSP tool. products is listed in SUMS
and Quality measurement reposi- Form SUMS has size with size estimates based on
Guidelines tory for estimating and estimates and quality es- historical data (see PROBE).
planning the project’s timates. SUMS can be seen as the
activities. Form TASK has effort product tree.
estimates. Associated with each work
product will be a develop-
ment process, which is the
set of tasks necessary to
produce that work product.
This combination produces a
comprehensive set of tasks
necessary to develop the
products and complete the
project.
LAU4 step 5 explicitly directs
reference to organizational
and project historical data.
LAU3 step IPM SP 1.3 Establish and maintain Form INV (filled-in from The project’s support man-
7 the project’s work LAU3 step 8) ager is responsible for the
INV form environment based on TASK plan for support project’s work environment.
Support the organization’s manager role Form INV is used to establish
Manager work environment what is needed.
Role standards. The role of the Process
Group Support Manager is
responsible for working with
the project support managers
to ensure the work environ-
ment is maintained across
the organization.

Management + IPPD
Description
LAU3, IPM SP 1.4 Integrate the project The TSP tool provides It would be helpful if apprais-
LAU4, plan and the other both individual and team ers would become familiar
LAU5, plans that affect the plans. The individual plans with the TSP planning
LAU6, project to describe the are integrated to form the process and tools.
LAU7, project’s defined team plan.
WEEK process.
WEEK IPM SP 1.5 Manage the project Team meetings minutes, Team members track and
Weekly using the project plan, form IRTL (individual and manage their individual
minutes the other plans that team) form WEEK plans. The team with direc-
STATUS affect the project, and Management presentation of the team leader man-
Team lead- the project’s defined tions and meeting minutes ages the Team Plan.
er and process. STATUS
process Individual and team work-
manager books contain actual da-
roles ta/progress against the
plan
LAUPM, IPM SP 1.6 Contribute work prod- The PAL, Data Repository The PG (Process Group)
PM, Role ucts, measures, and Process Asset and Data
Manager documented expe- repository Manager is re-
Guidelines riences to the organi- sponsible for setting up the
zational process as- organization’s PAL and data
sets. repository.
IPM SG 2 Coordination and col-
laboration of the
project with relevant
stakeholders is con-
ducted.
PREPL, IPM SP 2.1 Manage the involve- RSIM The launch process identifies
PREPR, ment of the relevant Launch scripts the major planning stake-
Preparation stakeholders in the PREPL filled out, LAU9 holders. RSIM provides a
Guidelines, project. meeting report comprehensive set of stake-
LAU1, Team meeting minutes holders and involvement.
LAU9 Involvement is tracked by
Status meeting presenta-
tions and minutes reports in team meetings.

Management + IPPD
Description
LAU3, IPM SP 2.2 Participate with rele- IRTL Internal dependencies are
WEEK vant stakeholders to Milestones in plan reflected in the development
identify, negotiate, and Team meeting minutes strategy and the task order.
track critical depen- Status presentations and Milestones can also be used
dencies. minutes to track/identify internal and
Filled-in from STRAT external dependencies. They
may also be tracked as risks.
Internal dependencies are
also communicated every
week. Three questions asked
in a weekly meeting are (1)
What did you do last week?
(2) What will you do this
week? (3) Is there anything
blocking you?
In the TSP, critical depen-
dencies are identified and
tracked in (1) the risk (IRTL)
and IRWEEK, and (2) devel-
opment strategy (risk based,
dependency based, business
value based, architecture
based).
Critical dependencies are
explicitly referenced in LAU3
step 4, LAU4 step 8, LAU6
step 5.
IPM SP 2.3 Resolve issues with IRTL, TASK, WEEK Most issues are tracked in
relevant stakeholders. the IRTL (Issue and Risk
Tracking Log). Some could
also be tracked as tasks
and/or milestones. Reviews
and inspections are identified
as tasks in the plan. These
are assigned to internal and
external reviewers when
needed. Review artifacts are
captured at least in task
completion, time logs, and
defect logs.
IPM SG 3 The project is ma-
naged using IPPD
principles.
PREPL, IPM SP 3.1 Establish and maintain LAU1 Business and Prod- Look for business and prod-
LAU1, a shared vision for the uct goals and success uct goal presentations from
PREPR, project. criteria launch meeting 1.
LAU1,
LAU2
Senior
manage-
ment and
marketing
discussion
guidelines
Role Man- IPM SP 3.2 Establish and maintain PREP Look for Role Teams
ager Teams the integrated team
structure for the
project.

Management + IPPD
Description
PREP IPM SP 3.3 Allocate requirements, Prep script for TSPm.
responsibilities, tasks,
and interfaces to
teams in the integrated
team structure.
PREP IPM SP 3.4 Establish and maintain Role manager teams, team
integrated teams in the roles, team goals
structure.
TSPm Role IPM SP 3.5 Ensure collaboration
Manager among interfacing
Team teams.
Responsi-
bilities
IPM GG 2 The process is institu-
tionalized as a ma-
naged process.
IPM GP 2.1 Establish and maintain Policy will be specific to This issue to be addressed
an organizational poli- each organization. by the Implementation Guide.
cy for planning and
performing the inte-
grated project man-
agement process.
IPM GP 2.2 Establish and maintain Launch schedule and All team members plus the
the plan for performing agenda coach are present for the
the integrated project PREPL checklist filled out launch meetings where the
management process. Launch attendee list majority of IPM takes place.
(usually in meeting 9
presentation)
Team meeting schedule
and agendas
IPM GP 2.3 Provide adequate PREPL filled out (sche- Launch schedule, team
resources for perform- dule, facilities, attendees meeting schedule, status
ing the integrated for different meetings) meeting schedule with atten-
project management dees
process, developing Individual plans with sche-
the work products, and dule and tasks including role
providing the services tasks
of the process.
IPM GP 2.4 Assign responsibility ROLEMX role assignment The coach is responsible for
and authority for per- matrix ensuring the TSP process is
forming the process, PREPL filled out (looking followed. The planning man-
developing the work for launch coordinator, ager, team lead, and team
products, and provid- team lead, and coach) members have responsibili-
ing the services of the ties assigned in the scripts
integrated project and roles.
management process.

Management + IPPD
Description
IPM GP 2.5 Train the people per- TSP team members must The TSP has training re-
forming or supporting have required PSP or quirements for TSP team
the integrated project team member training members. All SEI-authorized
management process TRNM (Training Matrix) PSP/TSP courses address
as needed. LOGTRNM (Log of Team the planning principles
Member Training) needed for the given role
PREPL filled out (looking (e.g., leader, member, devel-
for training for manage- oper).
ment, team members, The TSP coach guides the
team leader) team through the launch
There is a comprehensive process. There is a formal
SEI training and authoriza- SEI training and authoriza-
tion process for TSP tion process for TSP coach-
coaches. es.
Support IPM GP 2.6 Place designated work LOGCI of the project Configuration and data man-
manager products of the inte- notebook if the notebook agement are planned during
role and grated project man- is put under formal CM launch preparation, CM
role teams agement process un- otherwise appropriate processes are observed, and
der appropriate levels level of control. planning CIs are entered in
of control. The Support Manager role form LOGCI. Formal or in-
is responsible for CM for formal CM methods may be
the project. The work appropriate.
products from the launch
will be CIs in form LOGCI
and placed under appro-
priate control. The project
notebook may be under
informal configuration
control.
Typically, you would have
to look at the CM system
supported by the project or
organization (a protected
folder on a drive, or full
CM with CVS).
IPM GP 2.7 Identify and involve RSIM (Relevant Stake-
the relevant stakeholder Involvement Matrix)
holders of the inte- PREPL filled out, LAU9
grated project man- meeting report
agement process as Team meetings presenta-
planned. tions and minutes
Status meetings presenta-
tion and minutes
IPM GP 2.8 Monitor and control PREPL, PREPR shows The coach is responsible for
the integrated project launch is planned. ensuring that the planning
management process Launch meeting minutes process embedded in the
against the plan for in form MTG for each launch is on track and fol-
performing the meeting lowed.
process and take ap- Combine this with launch
propriate corrective artifacts.
action. Weekly meeting minutes

Management + IPPD
Description
IPM GP 2.9 Objectively evaluate See the role of Coaching During the launch, the coach
adherence of the inte- Manager. guides process fidelity for PP
grated project man- TSP coach involvement and IPM. As the project ex-
agement process pre-launch ecutes, the team leader, and
against its process (PREPL/PREPR filled planning and process man-
description, standards, out), during the launch agers objectively evaluate.
and procedures; ad- (LAU meeting minutes) When the Process Group
dress noncompliance. and after (LAUPM). (PG) is formed the Coaching
Manager role will objectively
evaluate the launch process
and artifacts.
The PG Process Manager is
responsible for ensuring that
each Project Process Man-
ager has the team using the
correct processes.
IPM GP Review the activities, Launch meeting 9 presen-
2.10 status, and results of tation. You may also ask
the integrated project for checkpoint reports and
management process management status re-
with higher level man- ports.
agement ; resolve Weekly meeting minutes
issues. Management STATUS
report and minutes
IPM GP 3.1 Establish and maintain The TSP+ role of Process See the PG Support Manag-
the description of a Group Support Manager is er and PG Process Manager
defined integrated responsible for establish- roles.
project management ing and maintaining the
process. OSSP. The OSSP will
contain the launch
processes, which are the
main planning processes.
The Launch Notebook
(PREPL, PREPR, LAU1-9,
WEEK)
IPM GP 3.2 Collect work products, The Process Asset Library The TSP+ has been ex-
measures, measure- and associated collection panded to include a PG
ment results, and im- mechanisms Process Asset and Data
provement information The organizational infra- Repository Manager.
derived from planning structure (including the
and performing the PAL and the measurement
IPM process to sup- repository) is developed
port the future use and by the Process Group; see
improvement of the OPF, OPD.
organization’s
processes and
process assets.

3.1.4 Risk Management (RM)
The following table lists the elements of the Risk Management (RM) process area employed in
the AIM approach.
TSP/PSP CMMI CMMI PA: RSKM Direct Artifact Guidance
Reference Risk Management
RSKM Preparation for risk manage-

SG 1 ment is conducted.
LAU7, ITL, RSKM Determine risk sources and Form ITL (Issue/Risk The instructions for the ITL
WEEK, TL SP 1.1 categories. Log) and Instructions form provide an initial set of
role, Plng sources and categories.
Mgr role
LAU7, ITL, RSKM Define the parameters used to Form ITL (Issue/Risk Launch Meeting 7 is de-
TL role SP 1.2 analyze and categorize risks, Log) and Instructions signed to lead the project
and the parameters used to LAU7 step 3 through a risk assessment.
control the risk management See Script LAU7.
effort.
LAU7, ITL, RSKM Establish and maintain the Form ITL (Issue/Risk Risk management strategy
WEEK SP 1.3 strategy to be used for risk Log) and Instructions is described in the forms
management. LAU7 step 3 and scripts.
RSKM Risks are identified and ana-
SG 2 lyzed to determine their relative
importance.
LAU7, ITL, RSKM Identify and document the risks. Form ITL (Issue/Risk While all risks at a threshold
TL role, TM SP 2.1 Log) and Instructions will be assigned, appraisal
role LAU7 step 3, ITL teams should understand
(IRTL in SEI work- that risks may be assigned
books) to individual team members,
or to a team role.
LAU7, ITL, RSKM Evaluate and categorize each Form ITL (Issue/Risk The ITL and instructions
TL role, TM SP 2.2 identified risk using the defined Log) and Instructions have priority formulated as
role, other risk categories and parameters, LAU7 step 3, ITL the risk/likelihood combina-
roles and determine its relative priori- (IRTL in SEI work- tion. Therefore HH (high
ty. books) likelihood and high impact)
would be the highest priori-
ty, etc.
RSKM Risks are handled and miti-
SG 3 gated, where appropriate, to
reduce adverse impacts on
achieving objectives.
LAU7, ITL, RSKM Develop a risk mitigation plan LAU7 step 4, ITL LAU7 step 4 requires that a
TL role, TM SP 3.1 for the most important risks to (IRTL in SEI work- risk plan be developed for
role, other the project, as defined by the books) or equivalent all risks that are high or
roles risk management strategy. medium priority
(HH,HM,MH,MM).
WEEK, ITL RSKM Monitor the status of each risk WEEK, ITL (IRTL in See: Script WEEK step 5.
SP 3.2 periodically and implement the SEI workbooks)
risk mitigation plan as appropri-
ate.
RSKM The process is institutionalized
GG 2 as a managed process.
RSKM Establish and maintain an or- Policy will be specific This issue to be addressed
GP 2.1 ganizational policy for planning to each organization. by the Implementation
and performing the risk man- Guide.
agement process.

RSKM Establish and maintain the plan Schedule and agenda Planning and execution of
GP 2.2 for performing the risk man- for the launch and the the launch includes plan-
agement process. team meetings. ning for risk management in
Launch meeting 7 is meeting LAU7; weekly
dedicated to risk and meetings have a standard
risk management. step to evaluate & update
PREPL checklist risks.
(filled out) The team meetings are
Attendee list (usually attended by all on the team
in meeting 9 presen- and have a schedule and
tation) agenda.
Script WEEK Risks are part of the man-
agement status meetings;
see Specification STATUS.
RSKM Provide adequate resources for PREPL filled out Time and resources for Risk
GP 2.3 performing the risk manage- Management are planned
ment process, developing the for in the launch and the
work products, and providing weekly meetings and status
the services of the process. meetings.
Tasks may also be found in
individual plans for work
associated with the execu-
tion of a risk mitigation plan.
RSKM Assign responsibility and au- Team Lead role is The team lead is responsi-
GP 2.4 thority for performing the specifically charged ble for leading the team
process, developing the work with responsibility; through the risk assessment
products, and providing the may delegate as in LAU7 and leading the
services of the risk manage- shown in ITL (IRTL in team through the team and
ment process. SEI workbooks) management meetings.
RSKM Train the people performing or TSP TL Training in- TSP Team leader training
GP 2.5 supporting the risk manage- structs on LAU7
ment process as needed. OJT for TL and the
team as necessary
RSKM Place designated work products LOGCI if the decision Configuration and data
GP 2.6 of the risk management process is made to put the management are planned
under appropriate levels of project notebook during launch preparation,
control. under formal CM. CM processes are ob-
Otherwise the project served, and planning CIs
notebook will be put are entered in form LOGCI.
under appropriate Formal or informal CM me-
level of control. thods will be chosen.
The Support Manager
role is responsible for
CM for the project.
The work products
from the launch will
be CIs in form LOGCI
and placed under
appropriate control.
The project notebook
Typically, you would
have to look at the
CM system supported
by the project or or-
ganization (a pro-
tected folder on a
drive, or full CM with
CVS).

RSKM Identify and involve the relevant RSIM The launch process identi-
GP 2.7 stakeholders of the risk man- Launch scripts fies the major planning
agement process as planned. PREPL filled out, stakeholders. RSIM pro-
LAU9 meeting report vides a comprehensive set
of stakeholders and in-
volvement.
TSP Coach RSKM Monitor and control the risk PREPL, PREPR The team launch process
role GP 2.8 management process against shows launch is produces the plan, including
TSP TL role the plan for performing the planned. the risk plan.
process; and take appropriate Launch meeting mi- The coach is responsible for
corrective action. nutes in form MTG for seeing that the risk planning
each meeting process embedded in the
Combine this with launch is on track and fol-
launch artifacts. lowed.
Weekly meeting mi-
nutes
Checkpoint
Team meeting sche-
dule
RSKM Objectively evaluate adherence Checkpoint report The TSP Coach will perform
GP 2.9 of the risk management process TSP Coach involve- a Checkpoint to evaluate
against its process description, ment pre-launch process and work products.
standards, and procedures; (PREPL/PREPR filled During the launch, the
address noncompliance. out), during the coach guides process fideli-
launch (LAU meeting ty for RSKM. As the project
minutes) and after executes, the team leader,
(LAUPM). and planning and process
See the role of the PG managers, objectively eva-
(Process Group) luate.
Coaching Manager. When the Process Group
Coaching Manager (PG) is formed the Coach-
report ing Manager role will objec-
each launch.
STATUS RSKM Review the activities, status, STATUS report to
spec GP 2.10 and results of the risk manage- higher level manage-
TL role ment process with higher level ment
management ; resolve issues.
RSKM Establish and maintain the The TSP+ role of See the PG Support Man-
GP 3.1 description of a defined risk Process Group Sup- ager and PG Process Man-
management process. port Manager is re- ager roles.
sponsible for estab-
lishing and
maintaining the
OSSP. The OSSP will
contain the launch
processes, which are
the main planning
processes.
The Launch Notebook
(PREPL, PREPR,
LAU1-9, WEEK)

RSKM Collect work products, meas- The Process Asset The TSP+ has been ex-
GP 3.2 ures, measurement results, and Library and asso- panded to include a PG
improvement information de- ciated collection me- Process Asset and Data
rived from planning and per- chanisms Repository Manager.
forming the RSKM process to The organizational
support the future use and im- infrastructure (includ-
provement of the organization’s ing the PAL and the
processes and process assets. measurement reposi-
tory) is developed by
the Process Group.
See OPF, OPD.

3.2 Engineering Processes
The engineering PAs include Requirements Management (REQM), Requirements Development

(RD), Technical Solution (TS), Product Integration (PI), Verification (VER), and Validation
(VAL). Each organization adopting AIM will have its own domain and environment that will
need to be reflected in the engineering processes, tools, and methods used by the organization.
This will necessitate a flexible approach for AIM implementation. The AIM implementation
guidance will describe the recommended procedure for working with the organization to adapt
and integrate the appropriate engineering methods, tools, and processes into the organization’s
standard process. This integration will establish the standard process for the organization as well
as assuring CMMI compliance.
The guidance documents that follow were developed from the PSP/TSP and were not augmented
with tools, methods, and procedures representation any single development domain or customer
use case. There are practices and direct artifacts missing or only partially fulfilling CMMI expec-
tations. This is understandable as the organization will have made or will need to make implemen-
tation decisions specific to the organization’s development domain and environment. For exam-
ple, the configuration management system can be implemented by simple manual methods or by
employing a fully automated CM system.
3.2.1 Requirements Management (REQM)
The following table lists the elements of the Requirements Management (REQM) process area
TSP/PSP CMMI CMMI PA: REQM Direct Artifact Guidance

Reference Feature Requirements
Management
REQM SG Requirements are ma- Appropriate development me-
1 naged and inconsisten- thodolog(ies) will need to be
cies with project plans adopted by the organization.
and work products are These methodologies may
identified. have their own artifacts that will
need to be substituted for
those referenced in the TSP+.
Overall comments for REQM:
1) Scripts REQ and ANA point
to SRS and ERS that currently
have no specifications or sam-
ples.
2) Processes are very high-
level and probably cannot be
directly implemented without
consulting support or utilizing
existing processes.
3) See the AIM roles of
(a) Senior Management provid-
ing business direction
(b) Marketing/Customer Rep-
resentative providing product
specifications, and
(c) Customer Interface Manag-
er providing detail specifica-
tions

Management
Scripts REQ, REQM SP Develop an understand- Market study results, TSP has no standard exam-
ANA 1.1 ing with the require- SRS, ERS, impact ples or specifications for the
ments providers on the analyses, or equiva- SRS, ERS, market study re-
meaning of the re- lents are called out by sults, and impact analysis. This
quirements. REQ and/or ANA. Also, may be specific to each instal-
where marketing goals lation—for example, feature
in LAU1 are very close lists, use cases, and impact
to actual requirements, statements.
the LAU1 presentation The SUMS may provide an
and SUMS may or may understanding of requirements
not reflect this under- but this is not clear. There is no
standing. set of criteria in AIM for eva-
luating/accepting good re-
quirements.
Scripts REQM SP Obtain commitment to Launch and relaunch During the launch, detailed
LAU1, LAU9 1.2 the requirements from plans (esp. LAU9 pres- individual and team plans are
the project participants. entations in launches), generated by the team mem-
and impact analyses bers for the coming iteration.
The launch process and coach
activities are designed to en-
sure that the plan accurately
relates to the requirements,
thus the launch/relaunch
creates very committed partici-
pants (team and manage-
ment).
Customer REQM SP Manage changes to the SRS changes, impact Same caveat as 1.2 above.
Interface and 1.3 requirements as they analyses, changed The requirements probably will
Team Leader evolve during the individual and team be under formal configuration
role specifi- project. plans (either minor management. The CM
cations replans or relaunches) processes will apply.
Other role WEEK reports showing
specifications Customer Interface role
as necessary report of
changed/changing
requirements
Customer REQM SP Maintain bi-directional The organization will The organization will need to
Interface role 1.4 traceability among the need to develop a me- develop a mechanism for bi-
specification requirements and work thod for maintaining bi- directional traceability.
products. directional traceability. SUMS and TASK may work for
Script REQ calls for the bi-directional traceability if
establishment and there is a concerted effort dur-
maintenance of bi- ing the launch/relaunch to line
directional traceability up the SUMS with require-
between test plans and ments, but this normally is not
SRS, SRS and ERS. an ideal solution. Bi-directional
traceability is best accom-
plished with a requirements
management tool.
Customer REQM SP Identify inconsistencies When requirements Same caveat as 1.2 and 1.3
Interface and 1.5 between the project changes trigger replan- above.
Planning role plans and work prod- ning and relaunching,
specifica- ucts and the require- inconsistencies are
tions, other ments. documented and ad-
role specifi- dressed in the changed
cations plans (TASK, SCHED,
SUMS, etc.).

Management
REQM The process is institu-
GG 2 tionalized as a ma-
naged process.
REQM GP Establish and maintain Policy is not addressed This issue to be addressed by
2.1 an organizational policy in AIM. the Implementation Guide.
for planning and per-
forming the require-
ments management
process.
Scripts REQ, REQM GP Establish and maintain Scripts REQ and ANA, The requirements plan is em-
ANA, LAU, 2.2 the plan for performing and LAU and REL, bedded in the launch, launch
REL; form the requirements man- form INV prep, and the role of Customer
INV agement process. Interface Manager.
Scripts REQM GP Provide adequate re- Customer interface role
LAU2, LAU6, 2.3 sources for performing plan from LAU3, LAU4,
TASK; form the requirements man- and LAU6, recorded in
showing agement process, de- TASK & SCHEDULE
REQM tasks veloping the work prod-
ucts, and providing the
services of the process.
Scripts REQM GP Assign responsibility PREPL/PREPR, LAU2
PREPL/PRE 2.4 and authority for per- role assignments,
PR, LAU2; forming the process, Team Leader, and
form TEAM developing the work Customer Interface role
(showing products, and providing RSIM (Relevant Stake-
Customer the services of the re- holder Involvement
Interface quirements manage- Matrix)
role) ment process.
REQM GP Train the people per- Aspects of REQM in After establishment of the PG
2.5 forming or supporting TSP training the role of the PG Customer
the requirements man- OJT for Customer In- Interface Manager (CIM) will
agement process as terface Manager coordinate activities of the
needed. team CIM.
REQM GP Place designated work LOGCI for SRS or Configuration and data man-
2.6 products of the re- equivalent agement are planned during
quirements manage- The Support Manager launch preparation, CM
ment process under role is responsible for processes are observed and
appropriate levels of CM for the project. The planning CIs are entered in
control. work products from the form LOGCI.
launch may be CIs in
form LOGCI and
placed under configura-
tion control or they
could be put under less
formal control.
Typically, you would
have to look at the CM
system supported by
the project or organiza-
tion (a protected folder
on a drive, or full CM
with CVS).
Filled-in form REQM GP Identify and involve the RSIM (Relevant Stake-
WEEK (Cus- 2.7 relevant stakeholders of holder Involvement
tomer Inter- the requirements man- Matrix) for ANA, SRS
face role agement process as Customer Interface
report) planned. Role

Management
Filled-in form REQM GP Monitor and control the Filled-in WEEK forms The launch and the weekly
WEEK (Cus- 2.8 requirements manage- showing Customer meetings form the basis for
tomer Inter- ment process against Interface role reports, monitoring the REQM activi-
face role the plan for performing replans, plans resulting ties.
report) the process and take from relaunches.
appropriate corrective
action.
TSP Check- REQM GP Objectively evaluate Checkpoint report The TSP Coach will perform a
point 2.9 adherence of the re- TSP coach involvement Checkpoint to evaluate
quirements manage- pre-launch process and work products
ment process against (PREPL/PREPR filled During the launch, the coach
its process description, out), during the launch guides process fidelity for
standards, and proce- (LAU meeting minutes) REQM. As the project ex-
dures; address non- and after (LAUPM). ecutes, the team leader, plan-
compliance. See the role of the PG ning and process managers
(Process Group) Cus- objectively evaluate.
tomer Interface Man- When the Process Group (PG)
ager. is formed the Coaching Man-
Coaching Manager ager role will objectively eva-
report luate the launch process and
artifacts for each launch.
Specification REQM GP Review the activities, TASK plans that show The STATUS specification
STATUS, 2.10 status, and results of the REQM activities does not address review of
Quarterly the requirements man- should be included in REQM activities explicitly;
Review agement process with the customer interface however, as a practical matter,
Checklist higher level manage- role activities. These these activities are typically
ment and resolve is- can be reviewed with included in TASK plans that
sues. upper management. are regularly reviewed.
Scripts REQ, REQM GP Establish and maintain The TSP+ role of See the PG Support Manager
ANA 3.1 the description of a Process Group Support and PG Process Manager
defined requirements Manager is responsible roles.
management process. for establishing and
maintaining the OSSP.
The OSSP will contain
the launch processes,
which are the main
planning processes.
The Launch Notebook
(PREPL, PREPR,
LAU1-9, WEEK)
Project REQM GP Collect work products, SRSs, ERSs, impact The TSP+ has been expanded
NOTEBOOK 3.2 measures, measure- analyses, PIPs, and to include a PG Process Asset
ment results, and im- data contained in the and Data Repository Manager.
provement information project NOTEBOOK
derived from planning regarding requirements
and performing the management activities
requirements manage- The Process Asset
ment process to support Library and associated
the future use and im- collection mechanisms
provement of the organ- The organizational
ization’s processes and infrastructure (including
process assets. the PAL and the mea-
surement repository) is
developed by the
Process Group; see
OPF, OPD.

3.2.2 Requirements Development (RD)
The following table lists the elements of the Requirements Development (RD) process area em-
ployed in the AIM approach.
TSP/PSP CMMI CMMI PA: RD Require- Direct Artifact Guidance

Reference Feature ments Development
Description
RD SG Stakeholder needs, expecta- The Script ANA refer- Appropriate development
1 tions, constraints, and inter- ences ERS (Enhance- methodolog(ies) will need to
faces are collected and trans- ment Requirement be adopted by the organiza-
lated into customer Study), MRE (Market tion. These methodologies
requirements. Requirements Elicita- will have their own artifacts
tion) and SRS(System that may need to be substi-
Requirements Specifi- tuted for those referenced in
cation) the TSP+.
TSP+ stresses the need for
clear, understandable re-
quirements as a basis for
planning. The specific activi-
ties and artifacts generated
will generally be site-
specific.
The launch meeting 1 prep-
aration and script provide
for the business objective
and the customer/product
objective to be given to the
team. The team may then
decide to plan for more
elicitation and validation
activities (before/during or
after the launch)
The TSP+ provides for the
Customer Interface Manag-
er role on the TSP+ team.
Scripts RD SP Elicit stakeholder needs, ex- Market requirements Other locally defined forms
REQ and 1.1 pectations, constraints, and studies, minutes and of captured requirements
ANA interfaces for all phases of the other documentation are acceptable.
product life cycle. from elicitation meet- TSP+ does not contain
ings, prototypes standard formats, tem-
plates, or examples for
these items, or detailed
methods for doing these.
Scripts RD SP Transform stakeholder needs, Software Requirements Other locally defined forms
REQ and 1.2 expectations, constraints, and Specifications (SRS) of transformed requirements
ANA interfaces into customer re- (e.g., according to IEEE
quirements. 830-1998) are acceptable.
No standard format, tem-
plate, examples, or detailed
methods are given for the
SRS.
RD SG Customer requirements are
2 refined and elaborated to
develop product and product-
component requirements.

Description
Scripts RD SP Establish and maintain prod- The TSP+ in Script ANA The form and content of the
REQ and 2.1 uct and product-component produces an Impact Impact Analysis Report is
ANA requirements, which are Analysis Report. not specified in TSP+.
based on the customer re- Same comment as SP1.2.
quirements. This level of the require-
ments hierarchy should be
traceable from the lowest to
the highest levels (ref
REQM SP1.4).
Script HLD RD SP Allocate the requirements for Impact Analysis Report The form and content of the
2.2 each product component. Impact Analysis Report are
not specified in TSP+.
Other locally defined forms
of allocated requirements
(e.g., UML) are acceptable.
SUMS can be designed to
help.
No standard format, tem-
methods are given for allo-
cating requirements in the
SDS.
Script HLD RD SP Identify interface require- System Design Specifi- Same comment as SP2.2.
2.3 ments. cation (SDS) No standard format, tem-
methods are given for iden-
tifying interface require-
ments for the SDS.
RD SG The requirements are ana-
3 lyzed and validated, and a
definition of required functio-
nality is developed.
Operation- RD SP Establish and maintain opera- Filled-in Operational Another form of operational
al Specifi- 3.1 tional concepts and asso- Specification Template scenario (e.g., UML use
cation ciated scenarios. (OST) from PSP, possi- case) can and often does
Template bly part of the Software substitute for the OST.
(PSP) Design Specification
Scripts (SDS)
REQ and
ANA
Functional RD SP Establish and maintain a defi- Filled-in Functional Other forms of functional
Specifica- 3.2 nition of required functionality. Specification Template specification (e.g., a defined
tion Tem- (FST), possibly part of local set of UML diagrams)
plate the Software Design can and often do substitute
(PSP) Specification (SDS) for the FST and SDS.
Functional Design Spe-
cification is from PSP
Scripts RD SP Analyze the requirements to Filled-in TSP Inspection “Necessary and sufficient”
REQ and 3.3 ensure that they are neces- reports for SRS are part of the re-
ANA sary and sufficient. ERS, FST and OST are view/inspection process.
PSP concepts, so there TSP+ does not provide
may not be defect log specific criteria to define
entries from them. “necessary and sufficient.”

Description
All LAU RD SP Analyze the requirements to Form GOAL (document- This activity occurs repeat-
and REL 3.4 balance stakeholder needs ing management and edly on a project, and at a
scripts and constraints. customer needs and minimum is recorded in the
constraints) and all management presentation
alternative plans gener- in meeting 9 of the launch. If
ated during the launch; no single plan meets all
form IRTL in the TSP stakeholder needs and con-
Excel workbook docu- straints, alternative plans
menting issue and risks are developed and pre-
associated with poten- sented to management at
tially conflicting needs that meeting. As a project
and constraints; LAU9 progresses and require-
presentation summariz- ments are developed and
ing alternative plans made specific, they interact
with other stakeholder
needs, and constraints and
problems are resolved dur-
ing relaunches.
Scripts RD SP Validate requirements to en- The management pres- Specifications for SRS,
LAU9, 3.5 sure the resulting product will entation in meeting 9 ERS, OST and SDS docu-
REQ, and perform as intended in the validates management ments should include valida-
ANA user’s environment. requirements. Customer tion criteria.
requirements are vali- There are no standard for-
dated by developing mats, templates, examples,
prototypes and review- or detailed implementation
ing SRS, results of methods for any of these
elicitation activities. items.
OST, ERS, and SDS
documents (artifact is
reviewed defect logs)
RD GG The process is institutiona-
2 lized as a managed process.
RD GP Establish and maintain an Policy will be specific to Policy will be addressed by
2.1 organizational policy for plan- each organization. the implementation guide.
ning and performing the re-
quirements development
process.
RD GP Establish and maintain the Scripts REQ and ANA, RD activities can be part of
2.2 plan for performing the re- and LAU and REL, form launch preparation, as well
quirements development INV as activities during the
process. Launch preparation and launch. RD activities can
checklist also be put into the task
Task plan for RD tasks plans to be performed dur-
ing the cycle.
RD GP Provide adequate resources Customer interface role See the Customer Interface
2.3 for performing the require- plan from LAU3, LAU4, Manager role, senior man-
ments development process, and LAU6, recorded in agement, and product man-
developing the work products, TASK & SCHEDULE agement input to meeting 1.
and providing the services of The launch process and the
the process. tasks and resources in the
TSP plan.
RD GP Assign responsibility and au- PREPL/PREPR, LAU2
2.4 thority for performing the role assignments, Team
process, developing the work Leader and Customer
products, and providing the Interface roles
services of the requirements
development process.

Description
RD GP Train the people performing or On-the-job training Elements of RD training are
2.5 supporting the requirements provided to customer provided in Fundamentals
development process as interface role by TSP and Advanced. Typical TSP
needed. Coach or Team Leader teams augment RD/REQM
as an adjunct to the role processes with their own
description. local knowledge.
RD GP Place designated work prod- LOGCI for SRS or Configuration and data
2.6 ucts of the requirements de- equivalent management are planned
velopment process under The Support Manager during launch preparation,
appropriate levels of control. role is responsible for CM processes are ob-
CM for the project. The served, and planning CIs
work products from the are entered in form LOGCI.
launch will be CIs in
form LOGCI and placed
under appropriate con-
trol.
Typically, this informa-
tion would appear in the
CM system supported
by the project or organi-
zation (a protected
folder on a drive, or full
CM with CVS).
RD GP Identify and involve the rele- RSIM (Relevant Stake-
2.7 vant stakeholders of the re- holder Involvement
quirements development Matrix) for ANA, SRS
process as planned. Role Assignment Matrix
ROLEMX
Customer Interface
Role
RD GP Monitor and control the re- Filled-in WEEK forms The launch and the weekly
2.8 quirements development showing customer inter- meetings form the basis for
process against the plan for face role reports, rep- monitoring the RD activities.
performing the process and lans, plans resulting
take appropriate corrective from relaunches
action.
RD GP Objectively evaluate adhe- Checkpoint report The TSP Coach will perform
2.9 rence of the requirements TSP Coach involvement a Checkpoint to evaluate
development process against pre-launch process and work products.
its process description, stan- (PREPL/PREPR filled During the launch, the
dards, and procedures, and out), during the launch Coach guides process fideli-
address noncompliance. (LAU meeting minutes), ty, including RD. As the
and after (LAUPM) project executes, the Team
Leader, and Planning and
Process managers objec-
tively evaluate.
each launch.

Description
RD GP Review the activities, status, TASK plans that show The STATUS specification
2.10 and results of the require- the RD activities should does not address review of
ments development process be included in the Cus- RD activities explicitly; how-
with higher level management; tomer Interface role ever as a practical matter,
resolve issues. activities. These can be these activities are typically
reviewed with upper included in TASK plans that
management. are regularly reviewed.
RD GP Establish and maintain the The TSP+ role of See the PG Support Man-
3.1 description of a defined re- Process Group Support ager and PG Process Man-
quirements development Manager is responsible ager roles.
process. for establishing and
which are the main
planning processes.
The Launch Notebook
(PREPL, PREPR,
LAU1-9, WEEK)
RD GP Collect work products, meas- SRSs, ERSs, impact The TSP+ has been ex-
3.2 ures, measurement results, analyses, PIPs, and panded to include a PG
and improvement information data contained in the Process Asset and Data
derived from planning and project NOTEBOOK Repository Manager.
performing the requirements regarding requirements
development process to sup- management activities
port the future use and im- The Process Asset
provement of the organiza- Library and associated
tion’s processes and process collection mechanisms
assets. The organizational in-
frastructure (including
the PAL and the mea-
surement repository) is
developed by the
Process Group; see
OPF, OPD.

3.2.3 Technical Solution (TS)
The following table lists the elements of the Technical Solution (TS) process area employed in the
AIM approach.
TSP/PSP CMMI CMMI PA: TS Direct Artifact Guidance

Reference Feature Technical Solution
TS SG 1 Product or product- Appropriate development me-

component solutions are thodolog(ies) will need to be
selected from alternative adopted by the organization.
solutions. These methodologies will have
their own artifacts that will
need to be substituted for
those referenced in the TSP+.
Design TS SP Develop alternative solu- The DAR script and form The Design Manager should
Manager 1.1 tions and selection criteria. can be used in docu- ensure that alternative solu-
role menting the alternative tions are developed as appro-
solutions and selection priate. DAR activities should
criteria. be planned for and tracked in
the team’s plan.
Design TS SP Select the product- The DAR script and form See Current scripts REQ,
Manager 1.2 component solutions that can be used to identify ANA, and HLD that call for
role best satisfy the criteria the solution that best documenting the design in the
established. satisfies the established ERS and/or SRS. DAR forms
criteria. should be used to capture the
Tasks showing the plan reasoning behind solution
and actual for implement- selection.
ing the best solution
TS SG 2 Product or product com-
ponent designs are devel-
oped.
Scripts TS SP Develop a design for the Engineering Require- Each organization must decide
HLD, IMP 2.1 product or product compo- ments Specification on design methodology with
Design nent. (ERS) associated tools and artifacts.
Manager Software Design Specifi- While the Design Manager role
role cation (SDS) has explicit responsibility for
PSP design templates design standards and proce-
dures for the team, there is no
guidance for these (the weak-
nesses), with the low-level
exception of the PSP design
templates.
No standard format, template,
examples, or detailed methods
are given for the ERS or SDS.
Scripts TS SP Establish and maintain a ERS, SDS Each organization must decide
HLD, IMP 2.2 technical data package. PSP design templates on design methodologies and
Design artifacts for the technical data
manager package. The Design Manager
role role will take the lead.
The collection of filled-in tem-
plates at the appropriate level
of the design comprises the
technical data package. Above
the level of the PSP design
templates, there is no similarly
detailed guidance.
are given for the ERS or SDS.

Script HLD TS SP Design product- ERS Each organization must decide

2.3 component interfaces on design methodologies.
using established criteria. Script HLD calls for document-
ing “(hardware-) software-
system interfaces” in the ERS,
but there is no other guidance
for capturing interfaces or
establishing criteria for their
design.
are given for the ERS.
Support TS SP Evaluate whether the The DAR script and form The Support Manager has
Manager 2.4 product components can be used to document explicit responsibility for advo-
role should be developed, the evaluation criteria cating reuse, but there is no
purchased, or reused and resulting decision of other guidance in this area.
based on established whether the product The DAR process should be
criteria. components should be used to evaluate the decision
developed, purchased, or on whether to develop, pur-
reused. This may also be chase, or reuse components.
addressed as part of the This is partly addressed by the
launch process, and thus team’s strategy developed
captured in the STRAT during launch meeting 3. De-
and INV forms. pending on the development
phase and the nature of the
component, the responsibility
associated with this evaluation
could fall on either the support,
design, or implementation
managers.
TS SG 3 Product components, and
associated support docu-
mentation, are imple-
mented from their designs.
Script TS SP Implement the designs of Detailed designs (from There are no real problems
HLD, IMP 3.1 the product components. higher levels of the prod- here unless no design is pro-
Implemen- uct hierarchy), code (at duced, or a design is produced
tation the lowest levels), review and the implementation fails to
Manager logs, test cases, test follow it.
role results
Scripts TS SP Develop and maintain the Preliminary User Manual While there is no specific guid-
DEV, 3.2 end-user documentation. (DEV), or changes to ance in the scripts for develop-
ANA, and same (ANA and MAINT) ing and maintaining documen-
MAINT Forms SUMS, TASK, tation, the TSP plans and the
Script LOGT, LOGD (entries for final results will speak for
LAU3 installation, user, and themselves. Documentation
maintenance manuals) will show up in SUMS and
and final outputs from tasks in the individual and
these activities team workbooks.
TS GG The process is institutiona-
2 lized as a managed
process.
TS GP Establish and maintain an Policy is not addressed in This issue to be addressed by
2.1 organizational policy for AIM. the Implementation Guide.
planning and performing
the technical solution
process.

TS GP Establish and maintain the Scripts HLD and IMP, See the Design Manager role
2.2 plan for performing the and LAU and REL, form activities and plan.
technical solution process. SUMS
TS GP Provide adequate re- Design Manager role Design activities during the
2.3 sources for performing the plan from LAU3, LAU4, launch and tasks in the plan.
technical solution process, and LAU6, recorded in
developing the work prod- TASK and SCHEDULE
ucts, and providing the
TS GP Assign responsibility and PREPL/PREPR, LAU2 See the Design Manager role.
2.4 authority for performing role assignments, Team
the process, developing Leader, and Design
the work products, and Manager roles
providing the services of
the technical solution
process.
TS GP Train the people perform- PSP training, as well as Design templates from PSP
2.5 ing or supporting the tech- on-the-job training pro- training map fairly well to com-
nical solution process as vided to Design Manager ponent-level technical solution
needed. role by TSP Coach or requirements. Typical TSP
Team Leader as an ad- teams augment HLD and IPM
junct to the role descrip- processes with their own local
tion knowledge.
There is no guidance or refer-
ence on alternative solutions or
evaluation criteria.
TS GP Place designated work LOGCI for SRS or equiv- Configuration and data man-
2.6 products of the technical alent agement are planned during
solution process under The Support Manager launch preparation. CM
appropriate levels of con- role is responsible for CM processes are observed and
trol. for the project. The work planning CIs are entered in
products from the launch form LOGCI.
will be CIs in form LOGCI
and placed under appro-
priate control. Other arti-
facts will be placed under
informal control.
Typically, this information
would appear in the CM
system supported by the
project or organization (a
protected folder on a
drive, or full CM with
CVS).
Design TS GP Identify and involve the RSIM (Relevant Stake- Customer Interface role, De-
Manager 2.7 relevant stakeholders of holder Involvement Ma- sign Manager, and possibly the
role the technical solution trix) for ANA, SRS Team Leader interact with
process as planned. Role Assignment Matrix design stakeholders and report
ROLEMX to the team weekly (and fill in
WEEK forms).
TS GP Monitor and control the Filled-in WEEK forms
2.8 technical solution process showing Design Manager
against the plan for per- role reports, replans, and
forming the process; and plans resulting from re-
take appropriate corrective launches
action.

TS GP Objectively evaluate adhe- Checkpoint report The TSP Coach will perform a
2.9 rence of the technical TSP Coach involvement Checkpoint to evaluate
solution process against pre-launch process and work products.
its process description, (PREPL/PREPR filled During the launch, the Coach
standards, and proce- out), during the launch guides process fidelity includ-
dures; address noncom- (LAU meeting minutes) ing TS. As the project ex-
pliance. and after (LAUPM) ecutes, the Team Leader, and
Planning and Process Manag-
ers objectively evaluate.
When the Process Group (PG)
is formed the Coaching Man-
ager role will objectively eva-
luate the launch process and
TS GP Review the activities, sta- TASK plans that show The STATUS specification
2.10 tus, and results of the the TS activities should does not address review of TS
technical solution process be included in the Design activities explicitly; however as
with higher level manage- Manager role activities. a practical matter, TS activities
ment ;resolve issues. These can be reviewed are typically included in TASK
with upper management. plans that are regularly re-
viewed.
TS GP Establish and maintain the The TSP+ role of See the PG Support Manager
3.1 description of a defined Process Group Support and PG Process Manager
technical solution process. Manager is responsible roles.
for establishing and
which are the main plan-
ning processes.
The Launch Notebook
(PREPL, PREPR, LAU1-
9, WEEK)
TS GP Collect work products, SRSs, ERSs, impact The TSP+ has been expanded
3.2 measures, measurement analyses, PIPs, and data to include a PG Process Asset
results, and improvement contained in the project and Data Repository Manager.
information derived from NOTEBOOK regarding
planning and performing requirements manage-
the technical solution ment activities
process to support the The Process Asset Li-
future use and improve- brary and associated
ment of the organization’s collection mechanisms
processes and process The organizational infra-
assets. structure (including the
PAL and the measure-
ment repository) is de-
veloped by the Process
Group; see OPF, OPD.

3.2.4 Product Integration (PI)
The following table lists the elements of the Product Integration (PI) process area employed in the
AIM approach.
TSP/PSP CMMI CMMI PA: PI Direct Artifact Guidance

Reference Feature Product Integration
PI SG 1 Preparation for product Appropriate development
integration is conducted. methodolog(ies) will need to
be adopted by the organiza-
tion. These methodologies
will have their own artifacts
that may need to be substi-
tuted for those referenced
in the TSP+ and this docu-
ment.
Script HLD, PI SP 1.1 Determine the product- Integration plan as de- No template for the integra-
TEST, component integration se- scribed in TEST2 tion plan is provided.
TEST2 quence.
Test man-
ager role
Script LAU3 PI SP 1.2 Establish and maintain the Scripts LAU3 and The Support Manager role
environment needed to TEST2, and the Support should have responsibility
support the integration of Manager role descrip- for ensuring that an ade-
the product components. tion. quate integration environ-
Site specific artifacts ment is available when
regarding environment needed. Scripts LAU3 and
TEST2, and the Support
Manager role description,
should describe explicitly
the integration environment.
While the integration envi-
ronment is not called out
explicitly, it is necessary to
the project and will be ad-
dressed by the Test Man-
ager role and the Support
Manager role.
Script HLD, PI SP 1.3 Establish and maintain pro- Integration plan as de- No template is provided.
TEST, cedures and criteria for scribed in TEST2
TEST2 integration of the product
Test Man- components.
ager role
PI SG 2 The product component
interfaces, both internal and
external, are compatible.
Script HLD, PI SP 2.1 Review interface descrip- Results of integration Refer to TS SP 2.3, which
TEST, tions for coverage and plan review as described calls for creation of inter-
TEST2 completeness. in Script TEST2 face descriptions. The ex-
Test Man- Interfaces specifically pectation is that interfaces
ager role addressed in TEST2 are described and invento-
step 2 in the integration ried.
plan No template is provided.

Scripts PI SP 2.2 Manage internal and exter- Engineering Require- The organization will need
REQ, HLD, nal interface definitions, ments Specification to make a decision about
TEST2 designs, and changes for (ERS) which design methodolo-
products and product com- gies to employ.
ponents. The handling of interfaces
should be made concise,
with clear identification of
artifacts in order to estab-
lish clear CMMI com-
pliance.
Currently, no template,
specification, or criteria for
the ERS and SDS are in
TSP+. Also, there is no
particular direction for han-
dling interface changes, nor
is there any way to know
(e.g., through an index or
inventory) what all the inter-
faces are or where they
reside.
PI SG 3 Verified product compo-
nents are assembled and
the integrated, verified, and
validated product is deli-
vered.
Scripts PI SP 3.1 Confirm, prior to assembly, Filled-in TESTLOG The organization must
IMP6, that each product compo- showing unit and build adopt appropriate metho-
TEST, nent required to assemble tests run, defect logs dologies here.
TEST1, the product has been prop- showing component The TSP+ has the following
TEST2 erly identified and functions defects in UT or earlier, that may be used as a par-
Form according to its description, time logs of relevant tial solution:
TESTLOG and that the product- activities (especially INS script, especially in the
component interfaces IMP6 activities), PSP Inspection Briefing, could
comply with the interface test reports, the Integra- list interfaces as a focus
descriptions. tion Test Package area of a design inspection.
TSP scripts do not explicitly
require PSP Test Reports
(in IMP6) or the PSP design
templates (in IMP) that
would completely specify
functions and interfaces,
and confirmations thereof.
These artifacts are likely to
be weak in this area, as
there are no clear direct
artifacts, especially regard-
ing interfaces.
The Integration Test Pack-
age (TEST2) is not well
defined.

Script PI SP 3.2 Assemble product compo- Integration Plan, Integra- The organization must fol-
TEST2 nents according to the tion Test Package low its procedures and
product integration se- methodology.
quence and available pro- The TSP+ provides a partial
cedures. solution, however, again,
there is a need for tem-
plates for these artifacts.
Neither the Integration Plan
nor the Integration Test
Package, referenced in
script TEST2, are well de-
fined.
Script PI SP 3.3 Evaluate assembled prod- Integration Plan, Integra- The organization must
IMP6, uct components for inter- tion Test Package adopt appropriate metho-
TEST2 face compatibility. dologies here.
The TSP+ may provide a
partial solution, however,
again, there is a need for
templates. Also, IMP6 spe-
cifies an interface test, but
there is no clear guidance
for structuring or recording
test results.
These artifacts are likely to
be weak in this area, as
there are no clear direct
artifacts, especially regard-
ing interfaces. Neither the
Integration Plan nor the
Integration Test Package,
referenced in script TEST2,
are well defined.
Scripts PI SP 3.4 Package the assembled Built, integrated, or sys- This could be implemented
TEST1, product or product compo- tem-tested product or differently on every project
TEST2, nent and deliver it to the components in the confi- and in every organization.
TEST3 appropriate customer. guration management No specific criteria currently
system exist for customer delivery.
Time and Defect Logs
showing that the TEST
scripts have been ex-
ecuted
PI GG 3 The process is institutiona-
lized as a defined process.
PI GP 2.1 Establish and maintain an No policies in TSP The Implementation Guide
organizational policy for will help address this.
planning and performing the
product integration process.
PI GP 2.2 Establish and maintain the Script TEST2, form PI activities should be tasks
plan for performing the SUMS, form TASK in the plan.
product integration process.
PI GP 2.3 Provide adequate resources Specific tasks in individ- PI activities and resources
for performing the product ual and consolidated will be in the individual,
integration process, devel- work plans from LAU3, team, and role plans, in-
oping the work products, LAU4, and LAU6, rec- cluding the Test Manager
and providing the services orded in TASK & and Support Manager roles.
of the process. SCHEDULE

PI GP 2.4 Assign responsibility and PREPL/PREPR, LAU2 See the team leader and
authority for performing the role assignments, Team test, design, and implemen-
process, developing the Leader and Test, De- tation roles.
work products, and provid- sign, and Implementa-
ing the services of the prod- tion roles
uct integration process.
PI GP 2.5 Train the people performing PSP training, as well as There is no guidance or
or supporting the product on-the-job training, pro- reference on specific train-
integration process as vided to role managers ing in integration practices.
needed. for product integration by
TSP Coach or Team
Leader as an adjunct to
the role description
PI GP 2.6 Place designated work LOGCI for integration Configuration and data
products of the product work products management are planned
integration process under The Support Manager during launch preparation.
appropriate levels of control. role is responsible for CM processes are ob-
CM for the project. The served and planning CIs
work products from the are entered in form LOGCI.
launch will be CIs in form
LOGCI and placed under
appropriate control. Oth-
er artifacts will be placed
under informal control.
Typically, this informa-
tion would appear in the
CM system supported by
the project or organiza-
tion (a protected folder
on a drive, or full CM
with CVS).
Relevant PI GP 2.7 Identify and involve the RSIM (Relevant Stake- The Customer Interface
role man- relevant stakeholders of the holder Involvement Ma- role, Design Manager, Test
agers (De- product integration process trix) for ANA, SRS, other Manager, and possibly the
sign, Test, as planned. appropriate work prod- team leader interact with
Implemen- ucts stakeholders and report to
tation) Role Assignment Matrix the team weekly (filled-in
See PIP ROLEMX WEEK forms).
ALL-2.
PI GP 2.8 Monitor and control the Filled-in WEEK forms
product integration process showing role reports and
against the plan for perform- integration tasks, rep-
ing the process and take lans, and plans resulting
appropriate corrective ac- from relaunches
tion.

PI GP 2.9 Objectively evaluate adhe- Checkpoint report The TSP Coach will per-
rence of the product integra- TSP Coach involvement form a Checkpoint to eva-
tion process against its pre-launch luate process and work
process description, stan- (PREPL/PREPR filled products.
dards, and procedures; out), during the launch During the launch, the
address noncompliance. (LAU meeting minutes) Coach guides process fidel-
and after (LAUPM) ity, including PI. As the
project executes, the Team
Leader and Planning and
Process Managers objec-
tively evaluate.
each launch.
PI GP Review the activities, status, TASK plans that show The STATUS specification
2.10 and results of the product the PI activities included does not address review of
integration process with in various role and team PI activities explicitly; how-
higher level management ; member activities. These ever, as a practical matter,
resolve issues. can be reviewed with PI activities are typically
upper management. included in TASK plans that
are regularly reviewed.
PI GP 3.1 Establish and maintain the The TSP+ role of See the PG Support Man-
description of a defined Process Group Support ager and PG Process Man-
product integration process. Manager is responsible ager roles.
for establishing and
the processes, scripts,
and forms.
The Launch Notebook
(PREPL, PREPR, LAU1-
9, WEEK)
PI GP 3.2 Collect work products, Actual integration plans, The TSP+ has been ex-
measures, measurement PIPs, and data con- panded to include a PG
results, and improvement tained in the project Process Asset and Data
information derived from NOTEBOOK regarding Repository Manager.
planning and performing the integration activities
product integration process SRSs, ERSs, impact
to support the future use analyses, PIPs, and data
and improvement of the contained in the project
organization’s processes NOTEBOOK regarding
and process assets. requirements manage-
ment activities
The Process Asset Li-
brary and associated
collection mechanisms
The organizational infra-
structure (including the
PAL and the measure-
ment repository) is de-
veloped by the Process
Group; see OPF, OPD.

3.2.5 Verification (VER)
The following table lists the elements of the Verification (VER) process area employed in the
AIM approach.
PSP/TSP CMMI CMMI PA: VER Direct Artifact Guidance

Reference Feature Verification
Description
VER SG 1 Preparation for Appropriate development me-
verification is thodolog(ies) will need to be
conducted. adopted by the organization.
These methodologies will have
their own artifacts that will need
to be substituted for those refe-
renced in the TSP+. The engi-
neering process areas will gen-
erally be a hybrid of those in
AIM and the appropriate me-
thods for the domain and the
project.
Scripts REQ, VER SP Select the work Filled-in TASK plans showing AIM and TSP+ take a very
HLD, IMP, 1.1 products to be review, inspection, and/or rigorous approach to verifica-
IMIP6 verified and the test activities for each specif- tion. While there may appear to
verification me- ic work product be no distinct selection process
thods that will be Also in test plans, system to determine which work prod-
used for each. test plan, integration test ucts are subjected to which
plan, and acceptance test verification methods, the selec-
plan where appropriate tion is embedded with the
choice of processes (scripts)
applied to each work product.
Verification and/or test activities
are part of the process. The
selection of work products and
methods are developed by the
team, with the Coach, Process
Manager, and Quality Manager.
Work products (e.g., SRS,
ERS, SDS, components, and
test and integration plans) and
their associated defined
processes specify the types of
verification methods applied to
each. The verification activities
then become tasks in an indi-
vidual’s TASK list. Note: The
TSP Excel tool autofilter can
create a list of all TASK plan
entries of a given type (e.g.,
review, inspection, test).
Script LAU3, VER SP Establish and Filled-in form INV as called The test and support roles have
Test and 1.2 maintain the for in LAU3 steps 8 (devel- responsibility for specifying and
Support environment opment tools and facilities); building/obtaining the verifica-
Manager role needed to sup- individuals’ TASK plans and tion environment as part of the
specifications port verification. LOGT entries related to this; overall development environ-
test plans that document the ment (which is explicitly called
environment out).
There is no explicit direction for
establishing the verification
environment in the test scripts.
Look to the Quality and Support
Manager roles and responsibili-
ties.

Description
Scripts VER SP Establish and Unit test plans, build plans, The scripts provide directives
TESTx, 1.3 maintain verifi- integration plans, system test for establishing verification
REQ, HLD, cation proce- plan procedures and criteria. How-
IMP, IMP6 dures and crite- ever, template or detailed crite-
ria for the ria for build, integration, and
selected work system test plans are not pro-
products. vided. The organization and
Coach will need to augment
what is in TSP+.
Quality Man- VER SG 2 Peer reviews Individual and team plans The TSP quality manager role
ager role are performed include tasks for peer re- has explicit responsibility to
specification on selected views. prepare, conduct, and perform
work products. data analysis of peer reviews
(script and form INS).
Scripts VER SP Prepare for peer SUMP and SUMQ (plans LAU5 produces the quality plan
LAU5, INS 2.1 reviews of se- and actuals for inspection (SUMP and SUMQ), which
Quality Man- lected work yields, defects, defect densi- plans and later tracks the ex-
ager role products. ties); inspection preparation ecution and effectiveness of all
specification activities reflected in TASK similar (REQ, HLD, DLD,
plans, LOGT entries CODE) reviews. The first three
steps of script INS are prepara-
tion.
Script INS VER SP Conduct peer Filled-in INS forms; TASK Reviews and inspections along
Quality Man- 2.2 reviews on se- plans, LOGT and LOGD with results are a very impor-
ager role lected work entries related to these ac- tant component to the perfor-
specification products and tivities mance of TSP+.
identify issues
resulting from
the peer review.
Scripts INS, VER SP Analyze data Filled-in INS forms, specifi- TSP+ provides postmortem
PM 2.3 about prepara- cally capture/recapture cal- structure for analyzing conduct
Quality Man- tion, conduct, culations; SUMP/SUMQ and results.
ager role and results of quality data; PM results deal-
specification the peer re- ing with inspection effective-
views. ness; filled-in WEEK form
with Quality Manager report
on previous week’s inspec-
tion activities.
VER SG 3 Selected work
products are
verified against
their specified
requirements.
Scripts VER SP Perform verifica- Filled-in TESTLOG, unit test There is no standard TSP+
TESTx, 3.1 tion on the se- results, build results, integra- template or format for test re-
REQ, HLD, lected work tion results, system test results beyond the TESTLOG.
IMP, IMP6 products. sults; LOGT and LOGD en-
Form tries resulting from these
TESTLOG activities
Quality and
Test Manag-
er role speci-
fications
Script PM VER SP Analyze the Filled-in WEEK forms with The TSP+ provides postmortem
Quality and 3.2 results of all Test and Quality role reports; structure for analyzing conduct
Test Manag- verification activ- SUMP/SUMQ analyses; PM and results.
er role speci- ities. results
fications

Description
VER GG 2 The process is
institutionalized
as a defined
process.
See PIP VER GP Establish and Policy is not addressed in This issue to be addressed by
ALL-1. 2.1 maintain an AIM. the Implementation Guide.
organizational
policy for plan-
ning and per-
forming the
verification
process.
Script LAU3 VER GP Establish and Scripts TESTx, REQ, HLD, Verification activities are tasks
2.2 maintain the IMP, IMP6, form SUMS, form in the individual and team
plan for perform- TASK plans.
ing the verifica- In addition to role plans, the
tion process. Quality Manager, Process
Manager, and Support Manag-
er may have verification-related
activities.
See PIP VER GP Provide ade- Specific tasks in individual The TSP+ planning process
ROLE-1. 2.3 quate resources and consolidated work plans includes verification activities
for performing from LAU3, LAU4, and and resources.
the verification LAU6, recorded in TASK and
process, devel- SCHEDULE
oping the work
products, and
providing the
services of the
verification
process.
See PIP VER GP Assign respon- PREPL/PREPR, LAU2 role See the Quality Manager role,
ROLE-1. 2.4 sibility and au- assignments, Team Leader, with support from the coach
thority for per- and Test and Quality Man- and the process manager.
forming the ager roles
process, devel-
oping the work
products, and
providing the
services of the
verification
process.
VER GP Train the people PSP training for personal PSP training provides specific
2.5 performing or reviews is directly applicable. unit test instruction and individ-
supporting the ual and peer review. However,
verification further aspects of testing are
process as not addressed.
needed. There is no guidance or refer-
ence on specific training in
integration, system, or accep-
tance test practices.

Description
See PIP CM- VER GP Place designat- LOGCI for items under for- Configuration and data man-
1. 2.6 ed work prod- mal configuration manage- agement are planned during
ucts of the veri- ment launch preparation. CM
fication process The Support Manager role is processes are observed and
under appropri- responsible for CM for the planning CIs are entered in
ate levels of project. The work products form LOGCI.
control. from the launch will be CIs in
under appropriate control.
Other artifacts will be placed
protected folder on a drive,
or full CM with CVS).
Relevant role VER GP Identify and RSIM (Relevant Stakeholder See the Quality manager role
managers 2.7 involve the rele- Involvement Matrix)
(Design, vant stakehold- Role Assignment Matrix
Test, Imple- ers of the verifi- ROLEMX
mentation) cation process
See PIP as planned.
ALL-2
Test and VER GP Monitor and Filled-in WEEK forms show- See the Individual weekly sta-
Quality Man- 2.8 control the veri- ing quality manager role tus review, quality manager role
ager role fication process reports, replans, plans result- report
specifications against the plan ing from relaunches
for performing
the process and
take appropriate
corrective ac-
tion.
VER GP Objectively eva- Checkpoint report and post- The TSP Coach will perform a
2.9 luate adherence mortem report Checkpoint to evaluate process
of the verifica- The Coach, Team Lead, and and work products.
tion process Process Manager review During the launch, the Coach
against its Quality Manager reports and guides process fidelity, includ-
process descrip- verification results. ing VER. As the project ex-
tion, standards, ecutes, the Team Leader, and
and procedures; Planning and Process Manag-
address non- ers objectively evaluate. The
compliance. Coach will perform a formal
objective evaluation in the
Checkpoint and the PM.
When the Process Group (PG)
is formed the Coaching Man-
ager role will objectively eva-
luate the launch process and
Quarterly VER GP Review the Weekly and management Verification activities are critical
Review 2.10 activities, status, status reports to quality and cost of quality.
Checklist and and results of TASK plans that show the These activities and results
add VER the verification verification activities included normally are of particular inter-
focus process with in various role and team est to management.
higher level member activities. These can
management ; be reviewed with upper
resolve issues. management.

Description
VER GP Establish and The TSP+ role of Process See the PG Support Manager
3.1 maintain the Group Support Manager is and PG Process Manager
description of a responsible for establishing roles.
defined verifica- and maintaining the OSSP.
tion process. The OSSP will contain the
processes, scripts, and
forms.
The Launch Notebook
WEEK)
VER GP Collect work NOTEBOOK regarding veri- The TSP+ has been expanded
3.2 products, meas- fication activities to include a PG Process Asset
ures, measure- The Process Asset Library and Data Repository Manager.
ment results, and associated collection
and improve- mechanisms
ment information The organizational infrastruc-
derived from ture (including the PAL and
planning and the measurement repository)
performing the is developed by the Process
verification Group; see OPF, OPD.
process to sup-
port the future
use and im-
provement of
the organiza-
tion’s processes
and process
assets.

3.2.6 Validation (VAL)
The following table lists the elements of the Validation (VAL) process area employed in the AIM
approach.
TSP/PSP CMMI CMMI PA: VAL-Validation Direct Artifact Guidance

Reference Feature Description
VAL SG 1 Preparation for validation Appropriate development

is conducted. methodolog(ies) will need
to be adopted by the
organization. These me-
thodologies will have
their own artifacts that
will need to be substi-
tuted for those refe-
renced in TSP+.
Team VAL SP Select products and prod- Prototypes to resolve impor- There are multiple places
Leader 1.1 uct components to be tant specification questions throughout the TSP+ life
and Cus- validated and the valida- cycle where validation
tomer tion methods that will be selection could take
Interface used for each. place, but none are cur-
role speci- rently specified. For ex-
fications; ample, in REQ or ANA,
scripts the SRS could record the
REQ and selection, or in TEST3
ANA the selection could be
made while developing
the system test proce-
dures (probably the se-
lection is made de facto
here in the absence of
any other choices). A
usability test is an exam-
ple of a validation selec-
tion, which can occur
early during prototype
testing or late during
system usability tests.
The organization should
make clear how prod-
ucts/components are
selected for validation
and the validation me-
thod chosen.
Script VAL SP Establish and maintain the Filled-in form INV as called The Customer Interface
LAU3, 1.2 environment needed to for in LAU3 steps 8 (devel- and Support roles have
Customer support validation. opment tools and facilities); responsibility for specify-
Interface individuals’ TASK plans and ing and building/obtaining
and Sup- LOGT entries related to this; the validation environ-
port Role test plans that document the ment as part of the over-
Manager validation environment all development environ-
specifica- ment (which is explicitly
tions called out).
There is no explicit direc-
tion for establishing the
validation environment.

Scripts VAL SP Establish and maintain System Test Plan (called for The Customer Interface
DEV, 1.3 procedures and criteria for in TEST3) including usability Manager clearly has
MAINT, validation. tests responsibility for advocat-
REQ, ing the customer point of
ANA, view, while the Test
TEST3 Manager has responsi-
Customer bility for developing and
Interface executing these tests
Manager internally. External tests
and Test (e.g., on-site customer
Manager acceptance tests) proba-
role speci- bly would reside with the
fications Customer Interface role,
or perhaps the Team
Leader.
There is no standard
template or criteria for
validation test proce-
dures, nor is there specif-
ic guidance for the Cus-
tomer Interface and Test
Managers to develop
such procedures and
criteria.
VAL SG 2 The product or product Two TSP activities, proto-
components are validated typing and system test-
to ensure that they are ing, seem to address the
suitable for use in their intent of validation. How-
intended operating envi- ever, the direction in the
ronment. existing TSP process
assets is sparse and
scattered.
Scripts VAL SP Perform validation on the Prototypes used to validate Direction in the specified
REQ, 2.1 selected products and important specification ques- scripts is extremely high
ANA, product components. tions; outputs of other vali- level, and only partially
TEST3 dation activities identified by addresses validation
Forms the Customer Interface role issues in the form of
TESTLOG, usability tests.
LOGT, There is no standard
LOGD, template or criteria for
TASK recording prototype re-
Customer sults or outcomes. There
Interface is no clear delineation in
and Test TESTLOG between vali-
Manager dation and other kinds of
role speci- system tests.
fications
Scripts VAL SP Analyze the results of the PM results The weekly team meeting
REQ, 2.2 validation activities. WEEK form – the Customer and postmortem activi-
ANA, Interface Role manager ties, while clearly provid-
TEST3, reports on the status of re- ing a venue for such
WEEK, quirements development analyses, provide no
PM specific guidance to the
Customer relevant role managers.
Interface There is no standard
Manager template or criteria for
and Test validation data analysis.
role speci-
fication.

VAL GG 3 The process is institutiona-

VAL GP Establish and maintain an No policies in TSP+ This will be addressed in
2.1 organizational policy for the AIM implementation
planning and performing guide.
the validation process.
Script VAL GP Establish and maintain the Scripts DEV, MAINT, REQ, The validation activities
LAU3 2.2 plan for performing the ANA, TEST3, form SUMS, that are identified during
validation process. form TASK the launch have an es-
tablished and maintained
plan.
VAL GP Provide adequate re- Specific tasks in individual Validation activities will
2.3 sources for performing the and consolidated work plans be in the individual task
validation process, devel- from LAU3, LAU4, and plans, including the role
oping the work products, LAU6, recorded in forms plan.
and providing the services INV, TASK & SCHEDULE
of the process.
VAL GP Assign responsibility and PREPL/PREPR, LAU2 role
2.4 authority for performing the assignments, Team Leader
process, developing the and Customer Interface
work products, and provid- Manager role
ing the services of the
validation process.
VAL GP Train the people perform- PSP training, as well as on- There is no guidance or
2.5 ing or supporting the vali- the-job training provided to reference on specific
dation process as needed. role managers for validation training in validation prac-
by TSP Coach or Team tices in the TSP+.
Leader as an adjunct to the
role description
VAL GP Place designated work LOGCI for items under for- Configuration and data
2.6 products of the validation mal configuration manage- management are planned
process under appropriate ment during launch prepara-
levels of control. The Support Manager role is tion. CM processes are
responsible for CM for the observed and planning
project. The work products CIs are entered in form
from the launch will be CIs in LOGCI.
under appropriate control.
Other artifacts will be placed
protected folder on a drive,
or full CM with CVS).
Relevant VAL GP Identify and involve the RSIM (Relevant Stakeholder See the Quality Manager
role man- 2.7 relevant stakeholders of Involvement Matrix) role.
agers the validation process as Role Assignment Matrix
(Customer planned. ROLEMX
Interface)
See PIP
ALL-2.
VAL GP Monitor and control the Filled-in WEEK forms show- See individual weekly
2.8 validation process against ing Quality Manager role status review, quality
the plan for performing the reports, replans, plans re- manager role report.
process and take appro- sulting from relaunches
priate corrective action.

VAL GP Objectively evaluate adhe- Checkpoint report and The TSP Coach will per-
2.9 rence of the validation postmortem report form a Checkpoint to
process against its process The Coach, Team Lead, and evaluate process and
description, standards, and Process Manager review work products.
procedures; address non- Customer Interface and During the launch, the
compliance. Quality Manager reports and coach guides process
validation results fidelity, including VAL. As
the project executes, the
Team Leader, and Plan-
ning and Process Man-
agers objectively eva-
luate. The Coach will
perform a formal objec-
tive evaluation in the
checkpoint and the PM.
(PG) is formed, the
Coaching Manager role
will objectively evaluate
the launch process and
VAL GP Review the activities, sta- TASK plans that show the VAL activities are typical-
2.10 tus, and results of the VAL activities included in ly included in TASK plans
validation process with various role and team mem- that are regularly re-
higher level management ; ber activities. These can be viewed.
resolve issues. reviewed with upper man-
agement.
VAL GP Establish and maintain the The TSP+ role of Process See the PG Support
3.1 description of a defined Group Support Manager is Manager and PG process
validation process. responsible for establishing manager roles.
and maintaining the OSSP.
The OSSP will contain the
processes, scripts, and
forms.
The Launch Notebook
WEEK)
VAL GP Collect work products, NOTEBOOK regarding veri- The TSP+ has been
3.2 measures, measurement fication activities. expanded to include a
results, and improvement The Process Asset Library PG Process Asset and
information derived from and associated collection Data Repository Manag-
planning and performing mechanisms er.
the validation process to The organizational infra-
support the future use and structure (including the PAL
improvement of the organ- and the measurement repo-
ization’s processes and sitory) is developed by the
process assets. Process Group; see OPF,
OPD.

3.3 Process Management Processes
3.3.1 Organizational Process Focus (OPF)
The following table lists the elements of the Organizational Process Focus (OPF) process area
TSP CMMI CMMI PA: Direct Artifact Guidance

Reference Feature Organizational
Process Focus
Description
OPF SG 1 Strengths, weak- TSP+ now includes provisions
nesses, and im- for the formation and manage-
provement oppor- ment of the Process Group
tunities for the (PG).
organization’s
processes are
identified periodi-
cally and as
needed.
POPS, OPF SP 1.1 Establish and It is management’s re- In some cases the PG Team
POPS7, maintain the de- sponsibility to determine Lead may help management in
Process scription of the the needs and objectives the development and articula-
Group Roles process needs of all TSP teams, including tion of the organization’s
and Re- and objectives for the PG. Management process needs and objectives
sponsibili- the organization. presents needs and objec- for the organization.
ties, LAU1 tives to the team during
meeting 1, thus the organ-
ization’s process needs
and objectives should be
documented in manage-
ment’s meeting 1 presen-
tation to the PG, as it is
the PG’s responsibility to
change, establish, main-
tain, and improve the or-
ganization’s stated needs
and objectives.
Process OPF SP 1.2 Appraise the or- Appraisal results Appropriate classes of SCAM-
Group Roles ganization’s Checkpoint, postmortems PIs should be a feature of the
and Re- processes periodi- The PG Team is responsi- AIM strategy, necessarily cul-
sponsibilities cally and as ble for periodically apprais- minating in a SCAMPI A if a
needed to main- ing the organizations level rating is desired.
tain an under- processes.
standing of its
strengths and
weaknesses.

Process Focus
Description
PIP, OPF SP 1.3 Identify improve- Filled-in PIPs (Process The TSP emphasizes this from
LOGPIP, ments to the or- Improvement Proposals) a personal and project perspec-
LOGSPDR, ganization’s Completed Process Devia- tive. The Process Manager is
SPDE, PM processes and tion Evaluations (SPDE) responsible at the team level for
process assets. The PG Team Lead has processing PIPs (Process Im-
the responsibility to Identi- provement Proposals) and oth-
fy priority areas for im- erwise focusing on team
provement. process improvements.
The PG Team Lead and the PG
Process Manager extends this
imperative to the organization
level.
As part of the team postmortem
(PM) process the team is re-
sponsible for evaluating all
approved Standard Process
Deviation Request against the
OSSP and providing this evalu-
ation (SPDE) to the process
group.
OPF SG 2 Process actions
that address im-
provements to the
organization’s
processes and
process assets
are planned and
implemented.
POPS, OPF SP 2.1 Establish and The PG TSP plan will The PG will have a TSP plan
POPS7 maintain process include actions to address that will include the action plans
action plans to improvements to the or- for improving the organization’s
address improve- ganizations process as- processes and process assets.
ments to the or- sets.
ganization’s See POPS 7 for establish-
processes and ing the PG.
process assets.
PSP and OPF SP 2.2 Implement The PG TSP plan and tool Typically there are many arti-
TSP training process action will show the implementa- facts resulting from a particular
records; plans. tion of the action plan. TSP implementation.
TSP launch The PIP evaluations PIP evaluation and implementa-
preparation tion (e.g., changing process
artifacts elements via the ODP process)
(e.g., meet- should be part of the PG team
ing minutes, and handled as a TSP project.
team as-
signment
memos)
See PIP
OPF-2.
OPF SG 3 The organizational
process assets
are deployed
across the organi-
zation and
process-related
experiences are
incorporated into
the organizational
process assets.

Process Focus
Description
PREPT, OPF SP 3.1 Deploy organiza- Checkpoint for each The innovations are deployed
LAU3, tional process project will evaluate the across the organization project
Process assets across the process and assets used by project in the launch and
Manager organization. for the project. relaunch process.
Roles and Each project will tailor the The process manager role for
Responsi- OSSP, creating the PSSP each project is responsible for
bilities (Project Specific Software ensuring that the project uses
Process). The PSSP will the appropriate process and
be in the project notebook. process assets. LAU3 steps 6
(CMMI calls this the PDP and 7.
projects defined process.)
Deviations request and
approved waivers will be
recorded in form SPDR.
The Team TSP plan will
reflect the tasks and work
products consistent with
the PSSP.
During team preparations
for a launch or relaunch
the team will either estab-
lish the project’s set of
standard processes from
the current OSSP, or if a
PSSP already exists, re-
view any changes or up-
dates to the OSSP since
the last launch or relaunch
for incorporation into the
existing PSSP.
PREPT, OPF SP 3.2 Deploy the organi- During each launch (or re- In general, changes to the
LAU3, zation’s set of launch) in LAU3 steps 6 PSSP will only occur at the
CYCLE standard and 7, the process man- beginning of each TSP cycle.
processes to ager leads the team in They may change within a
projects at their creating the development cycle, but this usually only oc-
startup and deploy process (PSSP). The curs if the current process is
changes to them Process Manager will also determined to be unusable.
as appropriate update the processes if
throughout the life changes must be made
of each project. between launches.
Checkpoint OPF SP 3.3 Monitor the im- TSP Checkpoint results
plementation of The role of the PG Coach-
the organization’s ing Manager is responsible
set of standard for reviewing Checkpoint
processes and results from all the coach-
use of process es and reviewing launch
assets on all artifacts. The PG coach
projects. will report results.
The PG Team Lead re-
views the Process Manag-
er reports from WEEK
minutes.
PM results for each project
for proper implementation

Process Focus
Description
OPF SP 3.4 Incorporate The PAL (Process Asset The PG role of Process Asset
process-related Library) and Data Repository Manager
work products, is responsible for establishing
measures, and and maintaining the PAL.
improvement in-
formation derived
from planning and
performing the
process into the
organizational
process assets.
OPF GG 2 The process is
institutionalized as
a managed
process.
OPF GP 2.1 Establish and Policy will be specific to This issue to be addressed by
maintain an orga- each organization. the Implementation Guide.
nizational policy
for planning and
performing the
organizational
process focus
process.
POPS, OPF GP 2.2 Establish and The PG TSP will include The major responsibility for
Process maintain the plan OPF activities, the Process OPF resides with the PG and
Group Roles for performing the Manager role, the Support the specialized roles. The PG
and Re- organizational Manager role, the Coach plan will be monitored and con-
sponsibilities process focus role, the Team Lead role, trolled using the PMC process.
Process process. and the Process Asset and
Manager Data Repository Manager
Roles and role.
Responsi- In addition to the PG the
bilities Process Managers for
each team will ensure that
the appropriate process
and process assets are
employed for the project.
LAU OPF GP 2.3 Provide adequate The PG TSP Plan The TSP launch and plan for
resources for per- the PG provides for adequate
forming the orga- resources for the OPF activities.
nizational process
focus, developing
the work products,
and providing the
services of the
process.
RSIM, OPF GP 2.4 Assign responsi- The roles in the PG plan The PG role specifications and
SRAM bility and authority and the SRAM (Stake- the SRAM for the PG will identi-
for performing the holder Role Assignment fy OPF responsibility.
process, develop- Matrix)
ing the work prod-
ucts, and provid-
ing the services of
the organizational
process focus.

Process Focus
Description
POPS, OPF GP 2.5 Train the people TRNM (Training Matrix)
TRNM, performing or and LOGTRNM (Team
LOGTRNM supporting the Member Training Log) and
organizational SRAM
process focus as
needed.
LOGCI OPF GP 2.6 Place designated LOGCI (Configuration Item .
work products of Log) will contain the OPF
the organizational work products and appro-
process focus priate levels of control; see
under appropriate CM PA.
levels of control.
SRAM, OPF GP 2.7 Identify and in- PG project notebook
RSIM, LAU volve the relevant PG TSP Plan
stakeholders of RSIM (Relevant Stake-
the organizational holder Involvement Matrix)
process focus as
planned.
STATUS, OPF GP 2.8 Monitor and con- Filled-in WEEK form and
WEEK trol the organiza- weekly meeting minutes
tional process from the PG team plan
focus against the Minutes from PG man-
plan for perform- agement reviews
ing the process
and take appropri-
ate corrective
action.
CHECKPOI OPF GP 2.9 Objectively eva- Checkpoint for the PG The PG functions as a TSP
NT, CYCLE luate adherence of team team so there will be a launch
the organizational and a TSP plan. In addition
process focus there will be a coach, Check-
against its process point review, and postmortem
description, stan- review.
dards, and proce- It is assumed that the PG coach
dures, and ad- will have a direct line to man-
dress agement in order to help main-
noncompliance. tain objectivity.
STATUS OPF GP Review the activi- PG Management meeting The PG will conduct status
2.10 ties, status, and minutes reviews, just like any other TSP
results of the or- project.
ganizational
process focus with
higher level man-
agement ; resolve
issues.
Process OPF GP 3.1 Establish and Individual and team plans The PG Process Manager
Group roles maintain the de- include tasks for peer working with the PG Support
and respon- scription of a de- reviews Manager, and PG Process
sibilities fined organiza- Asset and Data Repository
tional process Manager will establish and
focus. maintain the description of the
organizational process focus.

Process Focus
Description
Process OPF GP 3.2 Collect work prod- The Process Asset Library The TSP+ has been expanded
Group roles ucts, measures, and associated collection to include a PG Process Asset
and respon- measurement mechanisms and Data Repository Manager
sibilities results, and im- The organizational infra- who will be responsible for the
provement infor- structure (including the design and development of the
mation derived PAL and the measurement PAL
from planning and repository) is developed by
performing the the Process Group. This
organizational includes appropriate work
process focus to products and measure-
support the future ment results and im-
use and improve- provement information for
ment of the organ- the OPF process.
ization’s
processes and
process assets.

3.3.2 Organizational Process Definition + IPPD (OPD)
The following table lists the elements of the Organizational Process Definition + IPPD (OPD)
TSP CMMI CMMI PA: Organizational Direct Artifact Guidance

Reference Feature Process Definition + IPPD
OPD SG 1 A set of organizational process

assets is established and
maintained.
POPS, OPD SP Establish and maintain the The OSSP (Organiza- The direct artifact should be
Process 1.1 organization’s standard tion Set of Standard some form of the organization’s
Group roles processes. Processes) TSP Process notebooks. This
and respon- The PG Process forms the organization’s OSP.
sibilities manager and the PG Projects are tailored from this
Support Manager are notebook.
responsible for estab- CMMI appraisers should review
lishing and maintain- the TSP process notebooks to
ing the OSSP. include scripts, forms, tem-
TSP Process Note- plates, checklists, and specifi-
book cations.
TSP Launch Prepara-
tion Package
CYCLD, OPD SP Establish and maintain de- The OSSP For standard TSP these are
DEV, MAINT 1.2 scriptions of the life-cycle Script CYCLE, DEV, described in scripts CYCLE,
models approved for use in the and MAINT in the DEV, and MAINT. Organiza-
organization. Organizational tions may have more life cycles
Process Notebook(s) (e.g., Agile, RUP) reflected in
the OSSP or the project note-
book(s). A CMMI start-up pack-
age should include documenta-
tion of the existing life cycle(s).
PSSPE OPD SP Establish and maintain the The PG Process
1.3 tailoring criteria and guidelines Manager is responsi-
for the organization’s set of ble for the OSSP,
standard processes. including Tailoring
Guidelines.
A minimum set of
tailoring criteria is
included as part of
script PSSPE
(Projects Set of Stan-
dard Processes Es-
tablishment). The PG
may determine that
additional criteria are
needed in order to
meet the organiza-
tional process needs
and objectives.
Process OPD SP Establish and maintain the The organization’s The PG role of Process Asset
Group roles 1.4 organization’s measurement Measurement Reposi- and Repository Manager is
and respon- repository. tory responsible for setting up the
sibilities TSP workbooks Measurement repository.
(filled-in)
PM results, Check-
points
Process OPD SP Establish and maintain the The Organizations The PG role of Process Asset
Group roles 1.5 organization’s process asset PAL and Data Repository Manager
and respon- library. is responsible for the PAL.
sibilities

Process OPD SP Establish and maintain work The PG Support

Group roles 1.6 environment standards. Manager role estab-
and respon- lishes and maintains
sibilities, the organizational
Support work environment
Manager standards.
roles and LAU3 step 8 reviews
responsibili- the work environment
ties, LAU3, and lists needed
PREPL, items. The Support
PREPR Manager role is re-
sponsible for main-
taining a productive
work environment
including environment
standards
PREPL/PREPR call
out work environment
requirements (facili-
ties and tools) for the
launch.
OPD SG 2 Organizational rules and See TSPm (TSP mul-
guidelines, which govern the ti-team) material for
operation of integrated teams, IPPD.
are provided.
OPD SP Establish and maintain empo- See TSPm material
2.1 werment mechanisms to ena- for IPPD.
ble timely decision making.
OPD SP Establish and maintain organi- See TSPm material
2.2 zational rules and guidelines for IPPD.
for structuring and forming
integrated teams.
OPD SP Establish and maintain organi- See TSPm material
2.3 zational guidelines to help for IPPD.
team members balance their
team and home organization
responsibilities.
OPD GG 2 The process is institutionalized
as a managed process.
OPD GP Establish and maintain an Policy will be specific This issue to be addressed by
2.1 organizational policy for plan- to each organization. the Implementation guide.
ning and performing the orga-
nizational process definition
process.
LAU OPD GP Establish and maintain the The PG’s Process
2.2 plan for performing the organi- Group) TSP Plan will
zational process definition include the plans for
process. the PG Process Man-
ager, PG Support
Manager, and the PG
Process Asset and
Data repository Man-
ager.
LAU OPD GP Provide adequate resources The PG plan, see
2.3 for performing the organiza- above, and the PG
tional process definition Support Managers
process, developing the work INV and support plan
products, and providing the

RSIM, OPD GP Assign responsibility and au- The PG TSP plan will
SRAM, 2.4 thority for performing the have the role assign-
ROLE process, developing the work ment also in form
products, and providing the ROLE and SRAM.
services of the organizational
process definition process.
TRNM, OPD GP Train the people performing or TRNM (Training Ma-
LOGTRNM 2.5 supporting the organizational trix) and LOGTRNM
process definition process as PSP and TSP training
needed. records for both full-
and part-time PG
members
LOGCI, OPD GP Place designated work prod- OSSP, PAL, Mea- The OPD work products OSSP,
NOTEBOOK 2.6 ucts of the organizational surement and other PAL, and Measurement Reposi-
process definition process OPD work products tory will all be CIs in the CM
under appropriate levels of will be configuration system and placed under ap-
control. items in the CM sys- propriate levels of control.
tem.
Form LOGCI.
As with any other TSP
team, the informally
controlled items will
reside in the project
notebook.
RSIM, OPD GP Identify and involve the rele- RSIM
RSAM 2.7 vant stakeholders of the orga- PG TSP Plan
nizational process definition as
planned.
WEEK, PM OPD GP Monitor and control the orga- PG TSP Plan moni- The main mechanism for moni-
2.8 nizational process definition tored using PMC toring and controlling is the
process against the plan for Filled-in WEEK form PMC of TSP plans.
performing the process and and weekly meeting See the management meetings
take appropriate corrective minutes from the PG and presentations. In some
action. team ways Checkpoint and PM also.
CHECKPOI OPD GP Objectively evaluate adhe- PG Checkpoint The main mechanism for objec-
NT 2.9 rence of the organizational tive evaluation is the Check-
process definition process point.
against its process description,
standards, and procedures;
address noncompliance.
STATUS OPD GP Review the activities, status, PG management
2.10 and results of the organiza- reviews
tional process definition
process with higher level man-
agement ; resolve issues.
CIBPS OPD GP Establish and maintain the The OSSP will include The PG Process Manager
3.1 description of a defined orga- the organizational working with the PG Support
nizational process definition process definition Manager, and PG Process
process. process. The OSSP Asset and Data Repository
will be defined using Manager will establish and
the CIBPS (Configura- maintain the description of the
tion Item Baseline, organization’s process definition
Plan, and Status) form process using the established
and maintained using CM process.
the CM process.

Process OPD GP Collect work products, meas- The Process Asset The TSP+ has been expanded
Group roles 3.2 ures, measurement results, Library and asso- to include a PG Process Asset
and respon- and improvement information ciated collection me- and Data Repository Manager
sibilities derived from planning and chanisms who will be responsible for the
performing the OPD process The organizational design and development of the
to support the future use and infrastructure (includ- PAL.
improvement of the organiza- ing the PAL and the
tion’s processes and process measurement reposi-
assets. tory) is developed by
the Process Group.

3.3.3 Organizational Training (OT)
The following table lists the elements of the Organizational Training (OT) process area employed
in the AIM approach.
TSP/PSP CMMI CMMI PA: Organiza- Direct Artifact Guidance

Reference Feature tional Training
Description
OT SG1 A training capability,
which supports the or-
ganization’s management
and technical roles, is
established and main-
tained.
Specification OT SP 1.1 Establish and maintain The Process Group See Process Group Roles—
TRN the strategic training role of Training Man- Training Manager.
Process Group needs of the organiza- ager is responsible for
roles and re- tion. defining the training
sponsibilities, needs of the organi-
TRNM zation.
The Training Matrix
(TRNM) is used to
capture the imme-
diate needs of the
organization’s
projects and the long-
term business objec-
tives of the organiza-
tion.
INV, OT SP 1.2 Determine which training The Support Manager During launch preparations
PREPT, needs are the responsi- role for the project will (PREPT) the Team Leader
TRNR, bilities of the organization develop the project’s will meet with the Training
TRNM, and which will be left to training needs and Manager to ensure that all
LAU3 the individual project or record those on form training requirements have
support group. INV. been met and obtain a list of
Form TRNM (Training all outstanding training re-
Matrix) lists the train- quirements and a schedule
ing required for the for all mandatory training so
primary roles with the that the team can account
project and organiza- for training requirements in
tion. its project plan.
Form TRNR (Training See LAU3 steps 7 and 8 for
Request) is used to Process and Support Man-
document who is ager, respectfully, eliciting
responsible for fund- and recording project train-
ing the training for the ing needs.
given need. Training responsibility is
determined during the train-
ing request and approval
process.
See the PG Training Man-
ager role.
Process Group OT SP 1.3 Establish and maintain The Process Group’s This is the responsibility of
roles and re- an organizational training Training Manager is the Training Manager.
sponsibilities tactical plan. responsible for devel-
oping the organiza-
tional training tactical
plan.

Description
POPS7, TOPS, OT SP 1.4 Establish and maintain a The PG training man- The PG Training Manager
PREPL training capability to ad- ager will develop the addresses the broader on-
Process Group dress organizational training capability going training capability
roles and re- training needs. based on the TRNR needs of the organization.
sponsibilities, (Training Requests), The PSP/TSP training ca-
TRN and standard training pability is covered in the
in the TRNM (Training TSP Introduction Strategy
Matrix) and TRNOJT as part of “building internal
(On-the-Job Training). capability” for supporting
The TSP Introduction PSP developers on TSP
Strategy addresses teams.
the capability for PSP
and TSP, and those
training records are
available.
OT SG2 Training necessary for
individuals to perform
their roles effectively is
provided.
TRNSI, OT SP 2.1 Deliver the training fol- TRNSI (Training Sign The PG Training Manager is
TRNSUR, lowing the organizational In), TRNSUR (Train- responsible for establishing
SUMTRNS, training tactical plan. ing Survey Form), the training needs, the train-
TRNR, TRNR (Training Re- ing plan and delivery, docu-
quests) and mentation, and evaluation of
SUMTRNS (Training training.
Summary Survey)
LOGTRN, OT SP 2.2 Establish and maintain Forms: LOGTRNM The PG Training Manager is
LOGTRNM, records of the organiza- (Team Member Train- responsible for maintaining
TRNSI, tional training. ing Log), TRNSI these records.
TRNSUR, (Training Sign In),
TRNOJT, Tactical Training
LOGTRN Plan, TRNSUR
(Training Survey),
TRNOJT (On-the-Job
Training), LOGTRN
(Training Request
Log)
Course rosters and
evaluations for the
PSP and TSP
courses
Process Group OT SP 2.3 Assess the effectiveness Form TRNSUR, the The PG Training Manager is
roles and re- of the organization’s training surveys and responsible for ensuring that
sponsibilities training program. their analysis (form the training is assessed and
SUMTRNS) appropriate actions taken.
PSP course feedback
forms, TSP launch
evaluation forms, TSP
Checkpoint results,
PM results
OT GG 2 The process is institutio-
nalized as a managed
process.
OT GP Establish and maintain Policy will be specific This issue to be addressed
2.1 an organizational policy to each organization. by the Implementation
for planning and perform- Guide.
ing the organizational
training process.

Description
Process Group OT GP Establish and maintain The PG training man- The organizational training
roles and re- 2.2 the plan for performing ager will establish and activities are mainly the
sponsibilities the organizational train- maintain a TSP plan responsibility of the PG
ing process. for performing the Training Manager; however,
Organizational Train- others may contribute. The
ing activities. plan will be a TSP plan,
including the necessary
activities and work products.
Process Group OT GP Provide adequate re- PG Training Manag- Either external (SEI or SEI
roles and re- 2.3 sources for performing er’s TSP plan Partner) or internal (SEI-
sponsibilities the organizational train- Training plan authorized) instructors are
ing process, developing specified by the TSP Intro-
the work products, and duction Strategy; see the
providing the services of training matrix.
the process. Training records document
instructor resources, and
training preparation mate-
rials document room and
computer resource needs.
Process Group OT GP Assign responsibility and The PG plan will have
roles and re- 2.4 authority for performing a Training Manager
sponsibilities the process, developing role assigned.
the work products, and
providing the services of
the organizational train-
ing process.
LOGTRNM, OT GP Train the people perform- Training records for The PG Training Manager
TRNM 2.5 ing or supporting the PG Training Manager may have specific training
organizational training and others supporting requirements that will be
process as needed. training should be documented in the training
documented in the matrix.
individual’s training
records. The need for
such training should
be captured in the
training matrix
(TRNM).
Process Group OT GP Place designated work The training work The PG Training Manager
roles and re- 2.6 products of the organiza- products will be confi- will help define the appropri-
sponsibilities, tional training process guration items in the ate handling of organiza-
TRN under appropriate levels CM system. tional training work products
of control. See CM. using the CM procedures. It
It is the responsibility is assumed that course and
of the Training Man- training material will use the
ager to determine the CM procedures and that
appropriate configura- training records will be
tion controls needed placed under informal confi-
to maintain all training guration control similar to
products. those items called out in the
project notebook specifica-
tion.
TRNM, SRAM, OT GP Identify and involve the Training Matrix, train-
RSIM 2.7 relevant stakeholders of ing plan, TSP PG
the organizational train- Training Manager
ing process as planned. plan

Description
WEEK, OT GP Monitor and control the The PG Training The PG, including the PG
STATUS 2.8 organizational training Manager plan is mo- Manager, will review and
process against the plan nitored and controlled monitor the plans weekly.
for performing the using the same PMC
process and take appro- procedures as all the
priate corrective action. TSP plans.
CHECKPOINT OT GP Objectively evaluate PG Checkpoint report The Process Group is a TSP
2.9 adherence of the organi- Noncompliances are team. As such, it has a
zational training process listed in the report coach, launch, plan, and a
against its process de- and reviewed and workbook. The work of the
scription, standards, and tracked to closure by PG will have the same
procedures; address the TSP Coach as- Checkpoint performed as
noncompliance. signed to coach the the projects. This includes
PG. review of the forms,
processes, and work prod-
ucts associated with train-
ing.
STATUS OT GP Review the activities, The PG plan, as with
2.10 status, and results of the all TSP plans, will be
organizational training regularly reviewed
process with higher level with management.
management ; resolve
issues.
Process Group OT GP Establish and maintain The OSSP will in- The PG Training Manager
roles and re- 3.1 the description of a de- clude the organiza- working with the PG Support
sponsibilities fined organizational train- tional training Manager, PG Process Man-
ing process. process. ager and PG Process Asset
and Data Repository Man-
ager will establish and main-
tain the description of the
organization’s defined train-
ing process.
Process Group OT GP Collect work products, The Process Asset The TSP+ has been ex-
roles and re- 3.2 measures, measurement Library and asso- panded to include a PG
sponsibilities results, and improvement ciated collection me- Process Asset and Data
information derived from chanisms Repository Manager.
planning and performing The organizational
the OT process to sup- infrastructure (includ-
port the future use and ing the PAL and the
improvement of the or- measurement reposi-
ganization’s processes tory) is developed by
and process assets. the Process Group;
see OPF, OPD.

3.4 Support Processes
3.4.1 Configuration Management (CM)
The following table lists the elements of the Configuration Management (CM) process area em-
ployed in the AIM approach.
TSP/PSP CMMI CMMI PA: CM Direct Artifact Guidance

Reference Feature Configuration Man-
agement Description
CM SG 1 Baselines of identified
work products are
established.
CM SP 1.1 Identify the configura- Filled-in forms CIBPS and Scripts CM and CMR
tion items, compo- LOGCI ( Log of Configuration define creating and re-
nents, and related items) viewing the CIBPS with
work products that will individual items logged in
be placed under confi- Critical items identified during LOGCI. Also, the PREPT
LAU3 and LAU6
guration management. checklist should call for
identifying existing arti-
facts, especially those
already under CM.
CM SP 1.2 Establish and maintain Script CM and associated Script CM and associated
a configuration man- forms and scripts establish a forms and scripts estab-
agement and change CM system. During prepara- lish a CM system. During
management system tion (checklist PREPT) Sup- preparation (checklist
for controlling work port Manager ensures that it is PREPT), the Support
products. adequate for team needs. Manager ensures that it is
adequate for team needs.
CM SP 1.3 Create or release Script TEST3 calls for creating Script TEST3 calls for
baselines for internal a release from system test to creating a release from
use and for delivery to the customer. Filled-in forms system test to the cus-
the customer. CIR should document release tomer. Filled-in forms CIR
requests. Forms CIBPS should should document release
document all baselines, includ- requests. Forms CIBPS
ing releases. should document all base-
lines, including releases.
CM SG 2 Changes to the work
products under confi-
guration management
are tracked and con-
trolled.
CM SP 2.1 Track change requests Filled-in CCR forms (ref. Intro- Filled-in CCR forms (ref.
for the configuration duction to the Team Software Introduction to the Team
items. Process, App. B) Software Process, App. B)
Filled-in CCRs and LOGCCR Filled-in CCRs and
documents change requests to LOGCCR documents
controlled items change requests to con-
trolled items.
CM SP 2.2 Control changes to the Filled-in forms CCR (especially Filled-in forms CCR (es-
configuration items. approval section) and new pecially approval section)
entries in form CIBPS docu- and new entries in form
ment changes made to confi- CIBPS document changes
guration items. CCB minutes made to configuration
may capture additional rele- items. CCB minutes may
vant information. capture additional relevant
information.
CM SG 3 Integrity of baselines is
established and main-
tained.

agement Description
CM SP 3.1 Establish and maintain Filled-in forms CIBPS, LOGCI,
records describing LOGCCR
configuration items.
CM SP 3.2 Perform configuration Filled-in forms LOGCI showing
audits to maintain CI audit status, INV showing
integrity of the configu- discrepancies, and the CM
ration baselines. audit summary presented in
the management STATUS
briefing
CM GG 3 The process is institu-
tionalized as a defined
process.
CM GP 2.1 Establish and maintain No policies in TSP This issue to be ad-
an organizational poli- dressed by the Implemen-
cy for planning and tation Guide.
performing the confi-
guration management
process.
CM GP 2.2 Establish and maintain Script SCM and the support
the plan for performing role description and implemen-
the configuration man- tation in Support Manager’s
agement process. TASK plan
Execution of scripts CM/CMR
and checklist PREPT as re-
flected in the Support Manag-
er’s and other team members’
TASK plans
CM GP 2.3 Provide adequate Support role is assigned dur-
resources for performing LAU2. Needed CM tools
ing the configuration are identified during LAU3 step
management process, 8 and recorded on INV. These
developing the work items are planned for during
products, and provid- LAU4 and LAU6.
ing the services of the Checklist PREPT shows prep-
process. aration for tools and storage
resources; form INV will record
any additional items needed
by the team.
CM GP 2.4 Assign responsibility Support role is assigned in Resolve difference (if any)
and authority for per- LAU2 and has responsibility between CI owners and
forming the process, for CM activities and re- product owners.
developing the work sources.
products, and provid- Support Manager role as do-
ing the services of the cumented by filled-in ROLE
configuration man- matrix; CM plan as docu-
agement process. mented in the Support Manag-
er and other team members’
plans, especially by TASK
entries for CCB meetings
Filled-in form CIBPS shows CI
owners, form LOGCCR shows
product owners

agement Description
CM GP 2.5 Train the people per- Support Manager role men- CM training in PSP and
forming or supporting tioned briefly in TSP Coach TSP is minimal.
the configuration man- training
agement process as Support Manager training is
needed. on-the-job by the TSP Coach
per checklist PREPT. Addi-
tional training needed by team
members should be captured
on form INV.
CM GP 2.6 Place designated work Script SCM, form CCR, role CM process and tools
products of the confi- manager description, plus lists generally will be organiza-
guration management of CIs tion specific
process under appro- Filled-in forms CIBPS, LOGCI, There is a need for the
priate levels of control. CCR, LOGCCR, and CIR major CM scripts (as now
under appropriate configura- defined) and filled-in arti-
tion controls facts under appropriate
configuration control (e.g.,
forms CIBPS, LOGCI,
CCRs, LOGCCR, CIR and
CM audit results) or the
equivalent.
CM GP 2.7 Identify and involve the Support Manager reports to
relevant stakeholders team weekly on CM activities
of the configuration (WEEK minutes)
management process Filled-in form RSIM identifies
as planned. relevant stakeholders for forms
CMBPRS, CIR, CMAUDIT,
LOGCCR, LOGCI
Weekly status of relevant role
managers demonstrates in-
volvement.
CM GP 2.8 Monitor and control the The Support role reports to the
configuration man- team weekly on significant CM
agement process activities.
against the plan for Artifacts from CM activities
performing the process (records of new and changed
and take appropriate baselines, builds made, confi-
corrective action. guration audits, etc.
The CM forms and TASK en-
tries for new CM scripts, as
well as weekly support man-
ager reports
CM GP 2.9 Objectively evaluate The TSP Coach reviews sup- Checkpoints produce an
adherence of the con- port role activities and docu- artifact showing that role
figuration management ments findings in TSP Check- manager questions were
process against its point results. evaluated and appropriate
process description, Results of relevant Support actions taken for resolu-
standards, and proce- Manager Checkpoint activities tion where necessary.
dures; address non- (see CM items in Questions
compliance. section of Support Manager
role specification), and filled-in
CM forms and logs
CM GP Review the activities, Management STATUS report
2.10 status, and results of section showing configuration
the configuration man- audit results, including discre-
agement process with pancies not otherwise resolved
higher level manage- from forms ITL (Issue/Risk
ment ; resolve issues. Tracking Log)

agement Description
CM GP 3.1 Establish and maintain Script SCM and support role
the description of a description
defined configuration
management process.
CM GP 3.2 Collect work products, Standard postmortem results
measures, measure- from enacting script PM
ment results, and im- Project notebook
provement information
derived from planning
and performing the
configuration man-
agement process to
support the future use
and improvement of
the organization’s
processes and
process assets.

3.4.2 Process and Product Quality Assurance (PPQA)
The following table lists the elements of the Process and Product Quality Assurance (PPQA)
TSP/PSP CMMI CMMI PA:PPQA Process Direct Artifact Guidance

Reference Feature and Product Quality
Assurance
PPQA SG Adherence of the per- The TSP+ approach to
1 formed process and asso- process adherence centers
ciated work products and on the Coach role and the
services to applicable Checkpoint. Objectivity is
process descriptions, stan- achieved by independence
dards, and procedures is of the Coach from the
objectively evaluated. project, and the review of
forms and scripts marked as
“R,” for “responsible,” in the
RSIM (Relevant Stakeholder
Involvement Matrix).
An example Checkpoint
report format is provided
showing how the forms and
scripts from the RSIM can
be used as a checklist for
PPQA purposes.
The PG Process Manager
role is to ensure objectivity
and conformity of the
project’s process managers
in objectively evaluating
process conformance.
Coach roles PPQA SP Objectively evaluate the TSP+ checkpoint See the example Check-
and responsibil- 1.1 designated performed results point report. The Checkpoint
ities processes against the Postmortem report includes a quantitative re-
CYCLE, applicable process descrip- view of individual and team
CHECKPOINT, tions, standards, and pro- performance as well as a
CHECKTMDR, cedures. process evaluation.
Checkpoint In the Checkpoint script,
report guideline step 5 (role review) and step
6 (process review) in con-
junction with discussions
from step 3 (team review)
and step 7 (individual dis-
cussions) are the main ve-
hicle for objective evaluation
of processes.
It is important to note that
many of the CMMI practices
(especially generic practic-
es) are accomplished by the
role assignments in the
TSP+. Care was taken to
ensure that there would be
comprehensive coverage for
CMMI generic practice 2.9
across the all the Process
Areas by incorporating role
reviews.

Assurance
INS, DEV, PPQA SP Objectively evaluate the Defect logs of per- Personal reviews are done
MAINT 1.2 designated work products sonal reviews of by the producer of an arti-
and services against the designs and code, fact; inspections are per-
applicable process descrip- inspection reports, formed by their peers. On a
tions, standards, and pro- unit test results typical TSP project, all code,
cedures. designs, requirements, and
externally distributed docu-
ments are inspected.
Defect logging, quality plan-
ning, and analysis are hall-
marks of TSP.
PPQA SG Noncompliance issues are Defects are logged and
2 objectively tracked and tracked to closure in form
communicated, and resolu- LOGD. Process noncom-
tion is ensured. pliances are logged in the
Checkpoint report and
tracked in the Checkpoint
process.
WEEK, PPQA SP Communicate quality is- Defect logs, issues Quality issues are commu-
STATUS, 2.1 sues and ensure resolution in ITL (IRTL in TSP nicated to staff and mangers
CHECKPOINT, of noncompliance issues Excel workbook), by the Issue/Risk Tracking
CYCLE with the staff and manag- TSP Checkpoint log, the STATUS report in
ers. results regular management meet-
Issues are reported ings and weekly team meet-
to management in ings, as well as by the pres-
the STATUS report. entation of Checkpoint
results. See the Quality
manager role and Process
manager role.
PPQA SP Establish and maintain Defect logs, ITL,
2.2 records of the quality as- Checkpoint results
surance activities.
PPQA GG The process is institutiona-
2 lized as a managed
process.
PPQA GP Establish and maintain an No policies in TSP+ There are no policies in
2.1 organizational policy for TSP. This issue will be ad-
planning and performing dressed by the Implementa-
the process and product tion Guide.
quality assurance process.
LAU, PPQA GP Establish and maintain the Coach TSP plan and Individual plans have tasks
TASK 2.2 plan for performing the individual TSP plans for the assigned roles. The
process and product quali- including role tasks Coach will have a separate
ty assurance process. TSP plan for coaching and
Checkpoint activities. Re-
views, inspections, and the
Checkpoint will be sche-
duled and tasks in the re-
spective TSP plan, TSP
Checkpoints and coaching
plan established (LAU8).
See the Process, quality,
and test manager role
(LAU2)

Assurance
LAU2, PPQA GP Provide adequate re- TSP Coach, Team Individual plans have tasks
ROLE 2.3 sources for performing the Leader, and several for assigned roles. Individual
process and product quali- roles (process, plans have tasks for re-
ty assurance process, quality, and test) are views, inspections, and
developing the work prod- assigned to these testing. The Coach’s plan
ucts, and providing the functions in LAU2 has tasks for the Check-
services of the process. form ROLE (role point.
matrix).
Role specifica- PPQA GP Assign responsibility and TSP Coach, Team Role descriptions (including
tions, RSIM, 2.4 authority for performing the Leader, and several that of the Coach) and re-
LAU2, SRAM process, developing the roles (process, sulting plans show clear
work products, and provid- quality, and test) are responsibility and authority.
ing the services of the assigned to these
process and product quali- functions in LAU2
ty assurance process. (role matrix).
LOGTRNM, PPQA GP Train the people perform- PSP training covers The Implementation Guide
TRNM 2.5 ing or supporting the how to perform will provide guidance.
process and product quali- checklist-based The Implementation Guide
ty assurance process as reviews. TSP coach will include QA guidance for
needed. training covers the Process Group.
Checkpoints and
inspections.
PREPT PPQA GP Place designated work Project NOTEBOOK Informal configuration man-
Support Man- 2.6 products of the process contains ITL, defect agement may be considered
ager role speci- and product quality assur- logs, and Check- appropriate for all items
fication ance process under ap- point reports. identified in the specification
propriate levels of control. The Support Man- NOTEBOOK. It is up to the
ager is responsible team to determine where
for developing a and how these items will be
plan for the man- stored and how they will
agement of all have access to them during
project data identi- launch preparation.
fied in the specifica-
tion NOTEBOOK.
This is usually ac-
complished by de-
signating a specific
project folder on a
drive or using a
web-based file-
sharing system.
Levels of control are
handled by setting
access permissions.
RSIM SRAM PPQA GP Identify and involve the Forms RSIM, The RSIM lists the respon-
2.7 relevant stakeholders of SRAM, ROLE sible party for each script
the process and product and form.
quality assurance process See PPQA forms LOGD,
as planned. CHECKPOINT,
CHECKMDR,
The Coach is clearly identi-
fied and responsibilities for
PPQA activities including
the checkpoint are listed.
Management, the Team
Leader, and the team, es-
pecially certain roles, have
activities that are reflected in
the plan, tracking data, and
test and Checkpoint results.

Assurance
PPQA GP Monitor and control the Individual plans, the The activities for SP 1.2 are
2.8 process and product quali- team plan, and the the reviews, inspections,
ty assurance process Coach plan are and tests that are tasks in
against the plan for per- monitored and con- the appropriate plan. These
forming the process and trolled through the are monitored and con-
take appropriate corrective normal TSP PMC trolled using the same PMC
action. process. process used for all TSP
Within the Process plans.
Group, the role of The activities for SP 1.1 are
Coaching Manager mainly focused on the
is responsible for Coach’s Checkpoint activi-
performing oversight ties. These are reflected in
for the coaching the Coach’s plan and moni-
activity. This in- tored using the same PMC
cludes monitoring process used for all TSP
and controlling the plans.
Checkpoint.
The status of activi-
ties is reflected in
the plan, tracking
data, SUMMARY
presentations, and
test and checkpoint
results.
Plans for individual
reviews, formal
inspections, unit
tests, and Check-
points comprise the
plans, monitored
through weekly
meeting reports,
management
STATUS reports,
and Checkpoint
reports.
Process Group PPQA GP Objectively evaluate adhe- Within the Process The PG Coaching Manager
roles and re- 2.9 rence of the process and Group, the role of is responsible for objective
sponsibilities product quality assurance Coaching Manager evaluation of the coaches
process against its process is responsible for and the Checkpoint (PPQA)
description, standards, and performing oversight activities and work products
procedures; address non- for the coaching The PG Process Manager is
compliance. activity. This in- responsible for ensuring that
cludes objective each Project Process Man-
evaluation of the ager performs objective
Checkpoint activities evaluation of the project’s
and work products. processes.
The PG Coaching
Manager will devel-
op reporting and
tracking mechan-
isms.

Assurance
STATUS PPQA GP Review the activities, sta- TSP Checkpoint The Checkpoint has built-in
CHECKPOINT 2.10 tus, and results of the results and quarterly management review in its
process and product quali- management re- process (script Checkpoint,
ty assurance process with views (STATUS step 10).
higher level management ; presentations) of
resolve issues. project issues
STATUS reports
specifically address
QA issues
Checkpoint results
presented to man-
agement.
Process Group PPQA GP Establish and maintain the Checkpoint scripts The PG role of Process
roles and re- 3.1 description of a defined (process) will be in Manager is responsible for
sponsibilities process and product quali- the OSSP. establishing and maintaining
ty assurance process. the OSSP.
Process Group PPQA GP Collect work products, Process Asset Li- The PG role of Process
roles and re- 3.2 measures, measurement brary and Data re- Asset and Data Repository
sponsibilities results, and improvement pository Manager is responsible for
information derived from TSP Checkpoint establishing and maintaining
planning and performing results, inspection the organization’s Process
the process and product reports, unit test Asset Library and Data Re-
quality assurance process results, issues in ITL pository.
to support the future use (IRTL in the TSP
and improvement of the Excel tool), project
organization’s processes management arti-
and process assets. facts reflecting QA
activities and stored
in the project
NOTEBOOK.

3.4.3 Measurement and Analysis (M&A)
There is a sophisticated measurement and analysis system incorporated into the TSP+. The Im-
plementation guide will describe this system and how it should be adapted to satisfy the CMMI
practices
TSP/PSP CMMI CMMI PA: Measurement and Direct Artifact Guidance

Reference Feature Analysis (MA) Description
MA SG 1 Measurement objectives and

activities are aligned with
identified information needs
and objectives.
MA SP Establish and maintain mea- Standard Measure- Measurement objectives of
1.1 surement objectives that are ment objectives are the TSP are known and
derived from identified infor- embedded in the extensively discussed in the
mation needs and objectives. TSP. literature. The consolidated
Management can workbook shall be consi-
add or modify objec- dered the project plan, and
tives in the PG the individual workbooks, the
(Process Group) individual plans. The mea-
launch or the project surement objectives are
launch in meeting 1. inherent to the TSP process.
Individual and con- Management may identify
solidated workbooks additional objectives during
TSP WEEK Form the launch/re-launch meet-
TSP NOTEBOOK ing 1. In addition, manage-
Specification ment can give direction to
TSP STATUS Speci- PG to add or modify mea-
surement objectives.
fication
MA SP Specify measures to address Instructions for forms TSP utilizes four basic
1.2 the measurement objectives. SUMS, LOGT, measures (estimated and
LOGD, TASK, and actual values for product or
SCHED component size, time in
TSP-related meas- phase, defects in-
ures shall be col- jected/found by phase, and
lected and stored in completion date)
the workbooks. Familiarity with the TSP
Examples of TSP- embedded measurement
related measures system, which is very helpful
collected in the to appraisers, is well docu-
workbooks are mented in the PSP/TSP
earned value, time books
on tasks, defects by
phase, planned vs.
actual hours, and
product size.
MA SP Specify how measurement Forms SUMS, Data collection and storage
1.3 data will be obtained and LOGT, LOGD, mechanisms, specified in the
stored. TASK, and SCHED. plan for each project.
Records of individual Data collected in the individ-
decisions about ual workbooks.
project NOTEBOOK Consolidated workbook of
storage. weekly individual data stored
in a team location with ap-
propriate configuration man-
agement controls.

MA SP Specify how measurement Individual and con- The Chart Controls portion
1.4 data will be analyzed and solidated workbooks, of the PROJECT Tab in the
reported. particularly charts electronic TSP workbooks
and graphs provides charts and analysis
Script PM and of the measure.
WEEK, forms
WEEK, SUMP,
SUMQ, and the
NOTEBOOK and
STATUS specifica-
tions
MA SG 2 Measurement results, which
address identified information
needs and objectives, are
provided.
MA SP Obtain specified measure- Individual and con- Data collected by practition-
2.1 ment data. solidated workbooks ers in their individual work-
Filled-in forms books
SUMS, LOGT, One of the purposes of the
LOGD, and TASK planning manager role is to
ensure that the members of
the team follow the process
in collecting and reporting
actual data in real time. (The
coach plays a role here as
well.)
MA SP Analyze and interpret mea- Analysis in individual In general actuals shall be
2.2 surement data. and consolidated compared to planned to see
workbooks if the variance is within ac-
Management pres- ceptable tolerance.
entations The data analysis completed
Checkpoint and in support of the projects
postmortem analysis shall be in the workbooks,
Forms WEEK (and the checkpoints and
any associated cycle/project postmortem.
charts and graphs), The analysis reported during
SUMP, SUMQ, and the weekly status meetings
actual NOTEBOOK with management. In addi-
data and STATUS tion to the information pre-
presentations. sented off the PROJECT
Tab of the workbook, the
project established goals
shall also be reported.
MA SP Manage and store measure- Individual and team Generally, all data collected
2.3 ment data, measurement workbooks including (both base and derived), the
specifications, and analysis weekly summary resulting analysis as re-
results. data (form WEEK), ported to management shall
PM results, and of be stored in accordance with
actual NOTEBOOK the project plan or some
and STATUS pres- organizational directive.
entations. The data is stored and daily
backups of the server files
are maintained by the sys-
tem administrators according
to good configuration man-
agement practices.

MA SP Report results of measure- PM results, and Project statuses are com-

2.4 ment and analysis activities to minutes for weekly municated on a weekly basis
all relevant stakeholders. meetings, STATUS to management during
presentations, and weekly meetings. Other
any other stakehold- management oversight
er meetings at which meetings are scheduled as
data has been pre- appropriate (e.g. milestone,
sented. checkpoint, and postmor-
tem).
See scripts STATUS,
WEEK, CHECKPOINT, PM
and CYCLE.
MA The process is institutiona-
GG 2 lized as a managed process.
MA GP Establish and maintain an No policies provided The organization must de-

2.1 organizational policy for plan- in AIM velop its policies.
ning and performing the mea-
surement and analysis
process.
MA GP Establish and maintain the Individual process The measurement plan is
2.2 plan for performing the mea- scripts sometimes embedded in the standard
surement and analysis describe what data business rhythm of the AIM
process. is collected and how project (e.g. the launch
it is analyzed (e.g. process and scripts, the data
the WEEK and PM collection associated with
scripts say “review the workbooks, and the
this” but not how to preparation and delivery of
do it). In-depth dis- the weekly status and man-
cussion of the agement review meetings).
measures and de-
rived measures is
available in the TSP
Books.
MA GP Provide adequate resources Launch records Scheduled events have
2.3 for performing the measure- showing the team resources associated with
ment and analysis process, leader and various them, such as the launch,
developing the work products, team role assign- weekly meetings, and man-
and providing the services of ments agement meetings.
the process.
MA GP Assign responsibility and Team leader and See Relevant Stakeholder
2.4 authority for performing the role manager de- Involvement Matrix and the
process, developing the work scriptions, especially Stakeholder Role Assign-
products, and providing the the planning, ment Matrix.
services of the measurement process, and quality
and analysis process. managers
Form RSIM and
SRAM

MA GP Train the people performing or PSP/TSP training TSP and AIM training
2.5 supporting the measurement records The TSP has training re-
and analysis process as quirements for TSP team
needed. members. All SEI-authorized
PSP/TSP courses address
the principles for measure-
ment needed for specific
roles (e.g., leader, member,
developer)
Comprehensive SEI training
and authorization for TSP
coaches.
MA GP Place designated work prod- Stored project note- The planning manager is
2.6 ucts of the measurement and book using appropri- responsible for placing all
analysis process under ap- ate configuration project planning artifacts into
propriate levels of control management prac- the project notebook. The
tices content of the project note-
book is defined in specifica-
tion NOTEBOOK.
The support manager is
responsible for developing a
plan for the management of
all project data identified in
the specification
NOTEBOOK. This is usually
accomplished by designating
a specific project folder on a
drive or using a web-based
file-sharing system; levels of
control are handled by set-
ting access permissions.
MA GP Identify and involve the rele- RSIM RSIM provides a compre-
2.7 vant stakeholders of the mea- Launch scripts hensive set of stakeholders
surement and analysis PREPL filled out, and involvement.
process as planned. LAU9 meeting report
MA GP Monitor and control the mea- Launch meeting M&A is embedded in the
2.8 surement and analysis minutes, workbooks, AIM business rhythm. Col-
process against the plan for and launch meeting lection of data is monitored
performing the process and 9 closely by the coach, plan-
take appropriate corrective Weekly meeting ning manager, and the team
action minutes leader.
Management meet- Management monitors M&A
ing minutes by reviewing project data
weekly/

MA GP Objectively evaluate adhe- Checkpoint report The TSP coach will perform
2.9 rence of the measurement See the role of the a Checkpoint to evaluate
and analysis process against PG (Process Group) process and work products,
its process description, stan- Coaching Manager. including M&A
dards, and procedures; ad- Coaching Manager During the launch, the coach
dress noncompliance. report guides process fidelity for
TSP coach involve- M&A. As the project ex-
ment pre-launch ecutes, the team leader and
(PREPL/PREPR planning and process man-
filled out), during the agers objectively evaluate.
launch (LAU meeting When the Process Group
minutes), and after (PG) is formed the Coaching
(LAUPM) Manager role will objectively
TSP checkpoint evaluate the launch process
results and artifacts for each launch.
MA GP Review the activities, status, Actual weekly status

2.10 and results of the measure- presentations to
ment and analysis process management, meet-
with higher level management ing minutes, and
; resolve issues. management reports
MA GG 3 The process is institutiona-
MA GP Establish and maintain the The OSSP will con- The TSP+ role of Process
3.1 description of a defined mea- tain the standard Group Support Manager is
surement and analysis processes, which responsible for establishing
process. include M&A/ and maintaining the OSSP.
The Launch Note- The OSSP will contain the
book (PREPL, launch processes, which are
PREPR, LAU1-9, the main planning processes
WEEK) along with associated data
collection and reporting.
The Launch Notebook
WEEK)
MA GP Collect work products, meas- Project It is the responsibility of all
3.2 ures, measurement results, NOTEBOOKS (in- project personnel to includ-
and improvement information cludes weekly ing management to report
derived from planning and SUMS, SUMP, lessons learned and/or
performing the measurement SUMQ, WEEK process improvements as-
and analysis process to sup- project status, sociated with MA activities.
port the future use and im- SUMMARY reports This information shall be
provement of the organiza- and PM results) reported to the process
tion’s processes and process Lessons Learned group.
assets. and Process Im- All projects shall report
provements. process improvements on a
PIP Form. In particular
projects need to use their
postmortem time as an op-
portunity for process im-
provement and lessons
learned.

3.4.4 Decision Analysis and Resolution (DAR)
The following table lists the elements of the Decision Analysis and Resolution (DAR) process
area employed in the AIM approach.
TSP/PSP CMMI Fea- CMMI PA: Decision Direct Artifact Guidance

Reference ture Analysis and Resolution
Description
DAR SG 1 Decisions are based on an The TSP+ provides an ele-
evaluation of alternatives mentary DAR framework. The
using established criteria. essence of DAR is embedded
in the TSP+ DAR form
The organization may need to
develop or provide additional
guidance.
DAR SP Establish and maintain The organization needs to
1.1 guidelines to determine establish DAR guidelines.
which issues are subject to Often the PG will facilitate.
a formal evaluation process.
DAR SP Establish and maintain the Form DAR
1.2 criteria for evaluating alter-
natives and the relative
ranking of these criteria.
DAR SP Identify alternative solutions Form DAR
1.3 to address issues.
DAR SP Select the evaluation me- Form DAR
1.4 thods.
DAR SP Evaluate alternative solu- Form DAR
1.5 tions using the established
criteria and methods.
DAR SP Select solutions from the Form DAR
1.6 alternatives based on the
evaluation criteria.
DAR GG 3 The process is institutiona-
DAR GP Establish and maintain an See the Implementation Guide
2.1 organizational policy for
planning and performing the
decision analysis and reso-
lution process.
DAR GP Establish and maintain the See the instructions
2.2 plan for performing the de- for DAR.
cision analysis and resolu- See tasks in plan.
tion process.
DAR GP Provide adequate resources TSP+ Plan
2.3 for performing the decision
analysis and resolution
process, developing the
work products, and provid-
ing the services of the
process.
DAR GP Assign responsibility and TSP+ plan see task
2.4 authority for performing the for DAR
process, developing the
work products, and provid-
ing the services of the deci-
sion analysis and resolution
process.

TSP/PSP CMMI Fea- CMMI PA: Decision Direct Artifact Guidance
Reference ture Analysis and Resolution
Description
DAR GP Train the people performing TSP+ training
2.5 or supporting the decision The PG will usually develop
analysis and resolution and provide training on the
process as needed. OSSP
DAR GP Place designated work LOGCI
2.6 products of the decision project notebook
analysis and resolution
process under appropriate
levels of control.
DAR GP Identify and involve the RSIM
2.7 relevant stakeholders of the DAR form
decision analysis and reso-
lution process as planned.
DAR GP Monitor and control the Weekly meeting
2.8 decision analysis and reso- minutes
lution process against the Management meet-
plan for performing the ings
process and take appropri- Status of DAR Tasks
ate corrective action. in Plan
DAR GP Objectively evaluate adhe- Checkpoint
2.9 rence of the decision analy-
sis and resolution process
against its process descrip-
tion, standards, and proce-
dures; address noncom-
pliance.
DAR GP Review the activities, status, Management Meet-
2.10 and results of the decision ing Minutes and
analysis and resolution presentations
process with higher level
management ; resolve is-
sues.
DAR GP Establish and maintain the Script DAR
3.1 description of a defined DAR instructions
decision analysis and reso- Form DAR
lution process.
DAR GP Collect work products, Process Asset Li- The PG role of Process Asset
3.2 measures, measurement brary and Data repo- and Data Repository Manager
results, and improvement sitory is responsible for establishing
information derived from TSP Checkpoint and maintaining the organiza-
planning and performing the results, inspection tion’s Process Asset Library
DAR process to support the reports, unit test and Data Repository.
future use and improvement results, issues in ITL
of the organization’s (IRTL in the TSP
processes and process Excel tool), project
assets. management arti-
facts reflecting QA
activities and stored
in the project
NOTEBOOK

References
[Humphrey 2011]
Humphrey, W. & Over, J. Leadership, Teamwork, and Trust: Building a Competitive Software
Capability. Addison-Wesley, 2011 (ISBN: 0321624505).
[Wall 2007]
Wall, D.; McHale, J; & Pomeroy-Huff, M. Case Study: Accelerating Process Improvement by
Integrating the TSP and CMMI (CMU/SEI-2007-TR-013). Software Engineering Institute, Car-
negie Mellon University, 2007. www.sei.cmu.edu/library/abstracts/reports/07tr013.cfm

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(Leave Blank) December 2010 Final

4. TITLE AND SUBTITLE 5. FUNDING NUMBERS
Guide for SCAMPI Appraisals: Accelerated Improvement Method (AIM) FA8721-05-C-0003

6. AUTHOR(S)
Gene Miluk, James McHale, & Timothy A. Chick

7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES) 8. PERFORMING ORGANIZATION
REPORT NUMBER
Software Engineering Institute
Carnegie Mellon University CMU/SEI-2010-SR-021
Pittsburgh, PA 15213
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NUMBER
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11. SUPPLEMENTARY NOTES
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Unclassified/Unlimited, DTIC, NTIS
13. ABSTRACT (MAXIMUM 200 WORDS)
The Software Engineering Institute’s Accelerated Improvement Method (AIM) incorporates a new version of the
Team Software Process (TSP) The Team Software Process Plus (TSP). TSP+ is a project-based implementation of
many of the specific and generic practices of Capability Maturity Model Integration (CMMI) for Development. Organi-
zations using AIM for their improvement approach will be implementing similar processes with similar artifacts. Since
these implementations of CMMI start from a common base, the work of appraising such organizations against a spe-
cific model scope should benefit from this commonality of approach.
This document therefore provides guidance to lead appraisers and appraisal teams unfamiliar with TSP+ when con-
ducting Standard CMMI Appraisal Method for Process Improvement (SCAMPI) appraisals within organizations that
use the TSP+ as a foundational operational practice. The intended benefits of this guidance are (1) to shorten the
time needed to prepare and conduct such appraisals; (2) to provide information helpful for appropriate interpretations;
(3) and to familiarize SCAMPI leads and appraisal teams with a powerful, proven, and available technology.
14. SUBJECT TERMS 15. NUMBER OF PAGES
Accelerated Improvement Method, AIM, Team Software Process, TSP, 97
TSP+, SCAMPI, Standard CMMI Appraisal Method for Process Improve-
ment, process appraisals
16. PRICE CODE
17. SECURITY CLASSIFICATION OF 18. SECURITY CLASSIFICATION 19. SECURITY CLASSIFICATION 20. LIMITATION OF ABSTRACT
REPORT OF THIS PAGE OF ABSTRACT
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Accelerated Improvement Method (AIM)

Software Engineering Process Management (SEPM) Program

SEI Administrative Agent

Copyright 2011 Carnegie Mellon University.

THIS CARNEGIE MELLON UNIVERSITY AND SOFTWARE ENGINEERING INSTITUTE MATERIAL IS

1 Audience and Purpose of this Guidance Document 1

3 Detailed PA Appraisal Guidance 8

SOFTWARE ENGINEERING INSTITUTE | i

The Software Engineering Institute’s Accelerated Improvement Method (AIM) incorporates a

SOFTWARE ENGINEERING INSTITUTE | iii

SOFTWARE ENGINEERING INSTITUTE | 1

2.1 AIM Process Approach

In contrast to “traditional” CMMI implementation using the Initiating, Diagnosing, Establishing,

SOFTWARE ENGINEERING INSTITUTE | 2

2.1.1 Overview of AIM Process Assets

2.2 AIM Process Elements

The TSP is defined by a set of process elements that includes

• scripts to define and guide specific work processes

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SOFTWARE ENGINEERING INSTITUTE | 6

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3.1 Project Management Processes

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TSP CMMI CMMI PA: PP Direct Artifact Guidance

SOFTWARE ENGINEERING INSTITUTE | 9

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SOFTWARE ENGINEERING INSTITUTE | 13

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SOFTWARE ENGINEERING INSTITUTE | 15

SOFTWARE ENGINEERING INSTITUTE | 16

TSP CMMI CMMI PA: PMC Direct Artifact Guidance

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SOFTWARE ENGINEERING INSTITUTE | 19

PMC GP 2.7 Identify and in- LAU9 presentation to man-

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TSP CMMI CMMI PA: IPM Direct Artifact Guidance

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RSKM Preparation for risk manage-

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The engineering PAs include Requirements Management (REQM), Requirements Development

3.2.1 Requirements Management (REQM)

TSP/PSP CMMI CMMI PA: REQM Direct Artifact Guidance

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TSP/PSP CMMI CMMI PA: RD Require- Direct Artifact Guidance

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