Based on my experience and others’ feedback, following are the general questions asked during CMMI appraisals. These are arranged process area wise. [Courtesy: Prasanna Kumar Mamidala]
Requirements Management (L2) & Requirement s Development (L3)
Note: These questions are generic, will give you a direction to head, and wouldn't be asked as it is in an appraisal. The questions in SCAMPI assessments are very specific in nature and intended to corroborate the evidence found elsewhere.
- How are the requirements of the project/product analyzed?
- How is commitment of projects requirements from all project people and relevant stake holders obtained?
- How are requirement changes managed?
- How is the Traceability of requirements maintained?
- What’s the organizational policy for REQM?
- How is the plan for managing project’s requirements made?
- How does the organization equip you to perform requirements management activities?
- What data (metrics, improvement information etc.) is collected on requirements management activities? How do you use this data?
- What kinds of reviews / audits happen on requirements management activities in the organization?
- How are customer needs & requirements elicited for product / project?
- How the product (technical) requirements developed from customer requirements?
- How are interface requirements for products and product components identified?
- How is product operating environment identified and established?
Project Planning (L2) + Integrated Project Management (L3)
- How is WBS developed in project?
- How is project size & effort, schedule estimated?
- What life cycle is followed in the project? How is it derived from the organizational processes?
- What is the plan for data management in the project?
- How do you plan for resources, skills and training in project
- How do you involve various stakeholders in project?
- What reviews are done on project plans?
- Who is responsible for project planning?
- What training is provided to you on process and project management?
- What process / templates are followed for project planning?
- What did you contribute to organizational process assets?
- How did you involve stakeholders in project?
- How do you manage project dependencies?
- How are issues between stakeholders resolved?
- What is policy for project management?
- How do you plan for project management?
- What resources are used for project management?
- Who is responsible for project management?
- What training is provided to you on process and project management?
- What are the outputs from project management which are version controlled?
- How do you involve relevant stakeholders in project management?
- How do you review the progress of project?
- How does the senior management review the progress of project?
- What process / templates are followed for project management?
- What improvement information is collected for project management?
Project Monitoring & Control
- How do you monitor the actual values like effort, schedule, defects, size etc against plan?
- How do you monitor the commitments in project plan
- How do you monitor the risks
- How do you monitor the commitments from identified stake holders
- What are the various project status review meeting held in project
- When there is a deviation against the plan, how do you address the issue
- How are the corrective actions identified and tracked to closure
- What does the org policy talk about Planning and tracking
- How does the org helps you in performing PMC activities
- How is the resource assigned for performing PMC
- How is the roles and responsibility assigned for performing PMC
- What are the trainings provided for performing PMC
- Where is the project plan maintained in project
- How do you identify the relevant stake holders in project
- How do you monitor the planning process and take corrective action in case of deviation
- What kind of reviews is happening with Sr. Mgmt with respect to PMC activities
- What are the measurements / improvements are collected during planning and how is used for improvements across the org
Process & Product Quality Assurance
- How do SQAs conduct SQA audits?
- How re NCs communicated to the Sr. Management?
- What are all the records maintain by the SQA?
- What is the organization policy for SQA process?
- How are the project & product goals objectively evaluated?
- How do SQAs help to improve the project and organization quality goals?
- Where are the SQA reports stored?
- How does the senior management review SQA activities?
- What process is followed for SQA Auditing?
Configuration Management
- How are configuration items identified in project?
- How are changes to baselines tracked and monitored?
- What is the Change Management Process followed for project?
- How base lines are created in project? What base line criteria do you follow?
- When and how do you create base lines in project? What base line criteria do you follow?
- If there are changes in the UI during coding phase, how are the changes managed? Where is the impact analysis and estimation?
- How Change Requests coming during the coding phase tracked in project?
- How changes to configuration items are tracked in project?
- How records of Configuration management activities are maintained?
- What configuration audits are conducted for project? How the audit findings are communicated and tracked to closure?
- How are the findings tracked and closed?
- How many configuration audits have been conducted for project? How the audit findings are communicated and tracked to closure?
- What is the policy for SCM?
- How the configuration management activities are planned in project?
- How the configuration management activities are planned in project?
- What are the resources/tools available for you for performing configuration management activities?
- What are the resources/tools available for you for performing configuration management activities?
- Who is responsible for performing configuration management activities in the project?
- Who are the stakeholders in Configuration management activities in project and how are they involved in CM activities?
- How are configuration management activities monitored and controlled in project?
- How do you evaluate the CM process?
- What is the role of the Sr. Mgmt in the CM process?
- What data is collected to improve CM process?
Measurement & Analysis
- What are the measurements objectives and process improvement goals of organization?
- What are the measurement objectives of projects?
- How do you collect the data?
- When & how do you communicate the data? Who is responsible for it?
- How do you plan for establishing measurements
- What training does the organization provide on measurements or metrics?
- When & how do you train people for M&A?
- How do you manage measurement data configuration?
- How do you obtain commitment from all effected people for establishing measurement systems?
- What data is collected on measurement and analysis activities?
- How do you use this data?
- What reviews on metrics activities happen in the organization?
- What kind of improvement information has been collected in project? When will it be contributed to the organization?
LEVEL 3
Technical Solution
- Is there any solutions given to improve the existing work product, and how does such decision are taken?
- Is there any solutions given to improve the existing work product, and how does such decision are taken?
- How do you select appropriate design?
- Please describe how the product is designed in project?
- Please describe how the product is designed in project?
- "What kinds of design documentation are established in project?
- How the design is reviewed and base-lined?
- How do you do when you want to reuse some code?
- "How programs are coded, reviewed and base-lined form design (SW)?
- "What kind of user documentation is produced?
- How this documentation is reviewed, tested and maintained?
- How do you plan for design and development activities?
- What resources are used for design and development activities on project?
- Would you please describe how the responsibility for design and development is assigned in project?
- What training is provided on design, development and coding activities?
- What are product works and where do you put them?
- How do you identity the relevant stakeholders?
- "What data on design and development activities is collected in project?
- FOLLOW-UP : How is this data used?
- What type of reviews happen on design and development activities?
- What reviews happen on design and development activities?
- What data is collected to improve design and development process?
Product Integration
- When do you do the integration of those components?"
- How do you establish / plan integration / system integration environment?
- What are all the contents of test plan?
- How do you ensure that the components / sub –systems are compatible for product integration?
- If our customers change the interface, how do we manage these requirement changes?
- What are the readiness criteria for the source code to move to integration environment?
- What are the steps involved in moving source code from development environment to testing environment?
- "What are the various tests performed?
- And how are the results of the same communicated to team?"
- How do you ensure that the application delivered to the client has been accepted?"
- What are the contents of integration test plan?
- How does the resources assigned to do so?
- How is the roles and responsibility assigned for performing Integration / system integration testing / environment preparation
- What are the trainings provided for performing the role better?
- Where are testing product work placed?
- How do you identify the relevant stake holders in project
- How do you monitor the testing process and take corrective action in case of deviation
- What type of reviews happen on design and development activities?
- What reviews happen on design and development activities?
- What data is collected to improve design and development process?
Verification
- "What is the work products selected to undergo review / testing?
- What are all the variant reviews and testing planned for the work products?"
- What are various testing environments identified for different testing’s?
- Where the verification procedures and criteria are documented?
- How are the Peer Reviews planned and conducted ?
- "What is the data collected in peer reviews?
- Where are the Results/data recorded?"
- How the data is collected in Peer reviews is being used?
- How unit test is conducted and where is the unit test results/findings recorded?
- How is the data collected in unit testing is being used?
- What are the contents of test plan?
- What tools or equipment is used in verification?
- How is the roles and responsibility assigned for performing testing / environment preparation?
- What are the trainings provided for testing and peer reviews?
- Where are testing product work placed?
- When will you involve customers in the verification activities?
- How do you monitor the testing and take corrective action in case of deviation?
- How does SQA audit the peer review and testing?
- What will be reported to the higher level management for review?
- What data is collected to improve testing process?
Validation
- How do you select product components for validation?
- How do you establish the testing environment?
- What are the contents of the validation procedures and criteria?
- How is acceptance test conducted and where is the acceptance test results/findings recorded?
- How is the data collected in acceptance testing is being used?
- What are the contents of acceptance test plan?
- What tools or equipment is used in acceptance testing?
- How is the roles and responsibility assigned for performing testing / environment preparation?
- What are the trainings provided for acceptance testing?
- Where are testing product work placed?
- How do you involve customers in the validation activities?
- How do you monitor the testing and take corrective action in case of deviation?
- How does SQA audit the testing?
- What will be reported to the higher level management for review?
- What data is collected to improve testing process?
- Would you please describe how organizational process assets are developed and improved?
- How to identify organization process requirement?
- How do you appraise the Organizations processes? Brief them.
- How do you identify the Organization Process Improvements?
- How to establish costs of improvements and plan improvements?
- What's follow up actions of these improvements and what documents?
- "1. How to assess the process action results?
- 2. What data is collected on process improvement activities and how this data is used?"
- How do you plan and implement the process related experience back into the PAL?
- What are the contents of the Process DB?
- What is the policies for SEPG activities?
- WYPD how do you plan for process improvement activities?
- What plans are developed for SEPG activities? What are the contents of SEPG plan?
- What resources are used for organizational process improvement activities?
- How are the SEPG team identified and who are they?
- Would you please describe how the responsibility for process improvement activities is assigned in organization?
- Who is assigned as responsible for SEPG activities?
- What training is provided for process improvement activities?
- How are the SEPG artifacts managed?
- "Who are the stakeholders in SEPG group and how are they involved in SEPG activities?
- How do you communicate SEPG to stakeholders?"
- (To SEPG head) How do you review the progress of SEPG activities?
- How are SEPG activities independently audited?
- What reviews happen on organizations’ process management activities?
- How does the Senior Mgmt review the SEPG activities?
- What standard process is followed for SEPG activities?
- How do you collect the improvement information ?
- What improvements are collected for improving SEPG process? Can you quote a couple of improvement opportunities?
- WYPD how do you plan for managing organizational process assets?
- What resources are used for managing organizational process assets?
- Would you please describe how the responsibility for managing process assets in organization?
- What training is provided for managing organization’s process assets?
- "What data is collected on organization’s process assets
- FOLLOW-UP: How this data is used?
- What reviews happen on organizations’ process assets?
- What data is collected to improve organization’s process assets?
- With respect to organization would you please describe how the training needs are established?
- How to identify it's organization training or project training?
- With respect to organization would you please describe how the training activities are planned and managed?
- What contents in plan?
- Please describe how the training capability is established in organization
- How to manage training assets?
- How to select trainer and trainee?
- How to arrange the plan?
- What training records are maintained?
- How do you assess the effectiveness of training programs?
- How do you plan for training activities?
- What resources are used for organizational training activities?
- Would you please describe how the responsibility for organizational training is assigned in organization?
- What training is provided for managing organizational training activities?
- What documents are maintained from training activities?
- Who are involved in training activities?
- How are our training activities reviewed?
- How training function is audited?
- What reviews happen on organizational training activities
- What data is collected to improve organizational training activities?
- "WYPD how do you do the risk management for project?
- FOLLOW-UP: What are various sources for risks, various types of risks and identified risk parameters?
- [Risk management strategy, various types of risks, Sources of risks, Risk parameters.]"
- "How various risks for project are identified?
- [Risk list, Example risks]"
- "Would you please describe the risk analysis techniques on projects?
- [Look for risk categorization, risk prioritization and risk analysis on project]"
- "WRYP please describe about risk mitigation and risk handling activities.
- [Risk mitigation planning and implementation]"
- "Is there any process Risk mgmt related?
- [Risk Mgmt, PM process]"
- "How do you plan for risk management activities?
- [Plan for risk planning]"
- "What tools / methods do you use to manage risks for project?
- [E.g. Planning Tools]"
- "How is the responsibility for risk management assigned in project?
- [Responsibility Assigned]"
- "What training is provided to help you perform risk management activities?
- [Training on Risk management]"
- "What configuration management mechanisms used for Risk Management related deliverables?
- [Risk Management Plan in Project folder/CM tool with access control]"
- "WRYP please describe how all the relevant stake holder is involved and what is their involvement with respect to risk management activities?
- [Stake holder (Other departments, Customer, Marketing etc) involvement in risk management]"
- "WRYP what data is collected on risk management activities?
- FOLLOW-UP : How is this data used?
- [Example: Effort spent, data on risks]"
- "What kinds of reviews of risks management and work products happen in the organization?
- [Peer review, review by project manager, client review, audit by PPQA]"
- "WYPD work process for Risk Management?
- [Risk Management Techniques, PM process]"
- "WYPD any contribution to org?
- [Project Practice, Progress Report]"
- What’s the guideline for project to determine which issues are subject to a formal evaluation process?
- "WRYP please describe how decisions are arrived at?
- FOLLOW-UP: What data is collected to evaluate various alternatives for arriving at a final effective solution
- How do you plan for DAR?
- What kinds of data do you collect during DAR?
- What kinds of review for DAR activities?
LEVEL 4
Organizational Process Performance
- How are the processes that are to be included in the organizational process performance analyses selected?
- How are the Process-Performance Measures established for the selected processes?
- What are the Organizational Quality and Process-Performance Objectives? How are they derived?
- How are Process-Performance Baselines established? Is the PPB analyses done?
- How are Process-Performance Models established? What criteria are considered to establish the models?
Quantitative Project Management
- How are project quantitative objectives established?
- How do you select sub processes for your project and manage the sub process performance?
- How do you manage the sub process performance?
- How your processes are statistically managed?
- What statistical techniques or tools are followed?
- How do you analyze the process variation, What actives are taken or process is updated to manage your project s"
- Where do you place the statistical data?
- How do you plan for QPM activities?
- What tools / methods do you use for QPM on your project?
- Who is responsible for QPM?
- What training is provided to help you perform QPM activities?
- What data is collected on QOM activities?
- What kinds of reviews of QPM activities happen in your organization?
- What kinds of reviews of QPM activities happen in your organization?
LEVEL 5
Causal Analysis & Resolution
- Describe how you select defects data for causal analysis
- How do you perform causal analysis? What process is followed?
- What action plans are developed from the causal analysis?
- what are the quantitative benefits from the CAR action plans
- What records are maintained for the CAR activities?
- Where & How do you plan for CAR activities?
- What tools / methods do you use for CAR activities on your project?
- How is responsibility of CAR activities assigned in your project?
- What training is provided for CAR activities?
- How do you place the work products of xxx activities under appropriate levels of configuration management
- Describe how relevant stakeholders are involved in the CAR activities.
- What data is collected for CAR activities and how are data used?
- What kind of review of CAR activities happen in your project?
- What kind of review of CAR activities happen in your project?
- What data/information is collected to improve the CAR process?
Organizational Innovation & Deployment
- How do you collect and analyze proposals for new tools & technologies?
- How these proposals are quantitatively analyzed? (look for cost benefit analysis)
- What piloting is done? How pilots are planned? What data is collected from pilots?
- How the decision to deploy new tools / technologies is taken?
- What plans are prepared for deploying new tools and technologies?
- How do you manage the deployment of new tools and technologies? What steps are taken to manage the institutionalization?
- What improvements are observed from deploying new tools and technologies?
- What are the policies for OID activities?
- What plans are developed for OID activities? What are the contents of OID Plan?
- What resources are used for OID activities?
- Who is assigned as responsible for OID activities?
- What training is provided for OID members?
- What are the outputs from OID process? What artifacts are managed and controlled?
- Who are involved in OID activities?
- How do you review the progress of OID activities?
- How OID activities are independently audited?
- How OID activities are reviewed by senior management?
- What standard process is followed for OID activities?
- What improvements are collated for improving OID process?
