MPS.BR - Brazilian Software Process Improvement. Assessment Guide

Transcription

1 MPS.BR - Brazilian Software Process Improvement Assessment Guide This Guide describes the MA-MPS Assessment Method and Process, based on the International Standard ISO/IEC EFFECTIVE TERM: The Assessment Guide: 2013 will take effect on September 1, Thus, as of the aforementioned date, only assessments performed in accordance with the MA-MPS Assessment Method and Process defined in this version of the Assessment Guide will be valid. August 2013 Copyright SOFTEX This edition s rights are reserved by SOFTEX Unlimited distribution of this document is subject to copyrights ISBN

2 Contents 1 Preface Introduction Purpose Terms and definitions Overview of the assessment process Description of the assessment process Subprocess 1: Contract the assessment Subprocess 2: Prepare the assessment s performance Subprocess 3: Perform initial assessment Subprocess 4: Conducting the final assessment Subprocess 5: Document assessment results Assessment Institution (AI) MR-MPS-SW assistant assessor requirements MR-MPS-SV assistant assessor requirements MR-MPS-SW initial lead assessor requirements MR-MPS-SV initial lead assessor requirements MR-MPS-SW Intermediary lead assessor requirements MR-MPS-SV Intermediary lead assessor requirements MR-MPS-SW experienced lead assessor requirements MR-MPS-SV experienced lead assessor requirements Transition Period for MR-MPS-SW assessors to be accredited as MR-MPS- SV assessors Lead Assessor s Observation Lead assessor s observation procedure Lead assessor observation coverage Procedure to request lead assessor level changes Roles and responsibilities Assessment sponsor Assessment Institution (AI) Coordinator Lead assessor AI assistant assessor Volunteer assistant assessor Assessment team MPS.BR-Assessment Guide:2013 2/115

3 9.7 Implementing Institution (II) Organizing Institution of Corporate Groups (OICG) Auditor Lead assessor observer SOFTEX MPS.BR-Assessment Guide:2013 3/115

4 1 Preface MPS.BR 1 is a long-term mobilizing program, created in December 2003, coordinated by the Association for the Promotion of Excellence in Brazilian Software (SOFTEX), duly supported by the Department of Science and Technology (MCT), Study and Project Funding Agency (FINEP), Brazilian Support Service for Micro and Small Enterprises (SEBRAE), and the Inter-American Development Bank (IADB). The purpose of the MPR.BR Program (acronym) is to Enhance the Brazilian Service and Software Process, based on two medium- and long-term goals: a) technical goal, covering the creation and development of the MPS model, seeking expected results such as: (i) MPS model guides; (ii) Implementing Institutions (II) accredited to render consulting services regarding the implementation of the MR- MPS-SW and MR-MPS-SV reference models; (iii) Assessment Institutions (AI) accredited to render assessment services based on the MA-MPS Assessment Method; (iv) Acquisition Consultants (AC) certified to render consulting services regarding the acquisition of software and related services; b) market goal, covering the dissemination and adoption of the MPS-SW and MPS- SV models across all Brazilian regions, within a proper period of time, at a reasonable cost, both in small and medium enterprises (main focus) and in major public/private organizations, seeking expected results such as: (i) creation and enhancement of the MN-MPS business model; (ii) courses, tests, and workshops; (iii) organizations that implemented the MPS model; (iv) organizations with published MPS assessments (valid for three years). The MPR.BR Program stands on two supporting pillars to develop its activities: the Accreditation and Control Forum (FCC) and the Technical Model Team (ETM). Based on these structures, the MPS.BR obtains participation from representatives of universities, public institutions, research centers, and private organizations, which contribute with their visions to add quality to the enterprise. The FCC is responsible for: (i) issuing a report subsidizing SOFTEX s decision regarding the accreditation of Implementing Institutions (II) and Assessment Institutions (AI); (ii) monitoring the results of Implementing Institutions (II) and Assessment Institutions (AI), issuing a report to propose its disqualification to SOFTEX in case the MPS model credibility is compromised. The ETM is responsible for supporting SOFTEX in technical aspects related to the Reference Models (MR-MPS) and Assessment Method (MA-MPS), to: (i) create and continuously improve the MR-MPS-SW, MR-MPS-SV and its specific guides; (ii) qualify personnel via courses, tests and workshops. Furthermore, the ETM is responsible for creating and developing the General Software Guide and General Service Guide, which are part of the following set of documents of the MPS model: MPS General Software Guide:2012 [SOFTEX, 2013a]; 1 MPS.BR, MR-MPS-SW, MR-MPS-SV, MA-MPS and MN-MPS are registered trademarks of SOFTEX. The MPS.BR acronym is associated to the MPS.BR Brazilian Software Enhancement Improvement Program; the MPS-SW acronym is associated to the MPS software Software Process Improvement model; and the MPS-SV acronym is associated to the MPS Services Service Process Improvement model. MPS.BR-Assessment Guide:2013 4/115

5 MPS General Service Guide:2012 [SOFTEX, 2012a]; Assessment Guide:2013 [SOFTEX, 2013a]; Software Acquisition Guide:2012 [SOFTEX, 2013b]; Implementation Guide Part 1: MR-MPS:2011 Level G Implementation Rationale [SOFTEX, 2013c]; Implementation Guide Part 2: MR-MPS:2011 Level F Implementation Rationale [SOFTEX, 2013d]; Implementation Guide Part 3: MR-MPS:2011 Level E Implementation Rationale [SOFTEX, 2013e]; Implementation Guide Part 4: MR-MPS:2011 Level D Implementation Rationale [SOFTEX, 2013f]; Implementation Guide Part 5: MR-MPS:2011 Level C Implementation Rationale [SOFTEX, 2013g]; Implementation Guide Part 6: MR-MPS:2011 Level B Implementation Rationale [SOFTEX, 2013h]; Implementation Guide Part 7: MR-MPS:2011 Level A Implementation Rationale [SOFTEX, 2013i]; Implementation Guide Part 8: MR-MPS:2011 Implementation (Levels G to A) in organizations that acquired the software [SOFTEX, 2013j]; Implementation Guide Part 9: MR-MPS:2011 Implementation (Levels G to A) in organizations of the Software Factory type [SOFTEX, 2013k]; Implementation Guide Part 10: MR-MPS:2011 Implementation (Levels G to A) in organizations of the Testing Factory type [SOFTEX, 2013l]; Implementation Guide Part 11: MR-MPS-SW:2012 Implementation and Assessment (Levels G to A) along with CMMI-DEV v1.3 [SOFTEX, 2012b]; Implementation Guide Part 12: Compliance Assessment of the MR-MPS- SW:2012 in relation to NBR ISO/IEC : Software Engineering - Life cycle profiles for micro-organizations (VSEs) - Part 4-1: Profile specifications: Generic Profile Group [SOFTEX, 2012c]; Implementation Guide Part 13: Mapping and equivalence system between MR-MPS-SW:2012 and MoProSoft:2005 [SOFTEX, 2012d]. This Assessment Guide describes the MA-MPS Assessment Method and Process, based on the International Standard ISO/IEC : [ISO/IEC, 2003][ISO/IEC, 2003]. The 2009 version of the Assessment Guide incorporated results of assessment experiences performed from September 2005 to September 2008, as well as the suggestions obtained after consulting the entire community of MPS.BR assessors, implementers and Organizing Institutions of Corporate Groups (OICG). 2 Equivalent to the Brazilian standard NBR ISO/IEC Information technology - Process assessment Part 2: Performing an assessment process MPS.BR-Assessment Guide:2013 5/115

6 The 2011 version of the Assessment Guide incorporated results of assessment experiences performed by December 2010, as well as some transitional provisions previously published as FAQs. The following considerations were included: MPS assessment supplementing a CMMI assessment; MPS-CMMI joint assessment; Request for assessment abroad; Statement of 100% of compliance with implementation; Excessively large organizational units; Requirement of a company representative in the assessment team; Sponsor unable to participate in the initial and final assessments; Unexpected events with assessment team members prior to the initial assessment, during the initial assessment, between the initial and final assessments, and during the final assessment; Assessments in companies that have already received MPS assessment; Changes in MPS Level after the initial assessment; Separation of organizational units after the initial assessment; II signature in the initial assessment report; Responsibilities of the II and OICG with the assessed company during the adjustment period; Assessment of evidence during the final assessment, when there is no company representative in the assessment team; Publication of assessment results on the SOFTEX website; CMMI Lead Assessor who wishes to become a MPS assessor; Training in statistical process control and assignment to experienced lead assessor. The following considerations were reworded: Assessment Institution contracting, in which the time restriction was changed to 2 years; MPS Assessment proposals, in which the reference value no longer includes the SOFTEX contribution; Table 4: duration, assessment team members, and minimum number of assessors; Selection of projects to be assessed; Removal of expected processes and results to meet new Guides (parts 8, 9 and 10 of the Assessment Guide); Initial assessment; Assessment team training; MPS.BR-Assessment Guide:2013 6/115

7 Decision to include new projects. The following tasks were changed: planning the Initial assessment; analyzing initial assessment data; auditing the initial assessment; auditing the final assessment; and tasks related to the Evaluation of the assessment process. The task File assessment documentation at SOFTEX was added. In addition, changes were also applied to assistant assessor requirements, regarding the order and content of tasks performed upon conclusion of the assessment, as well as the responsibilities of the lead assessor, Implementing Institutions, Organizing Institutions of Groups of Companies, and SOFTEX. The following items were better explained: Composition of the group of observers; Attributions of the Auditor Group; Procedures in case the audit report is not approved and the on-site audit is performed. Attachment B was removed and the former Attachment C was amended and renamed to Attachment B, containing the introduction and alterations of documents. The 2012 version of the Assessment Guide incorporated results of experiences acquired from assessments performed until December The following considerations were included: Assessment supplementing a CMMI assessment; Proposal; Request for assessment abroad; Assessment notification to SOFTEX; Assistant assessors under training; Assignment of the assessment auditor; Statement of 100% of compliance with implementation; Selection of projects to be assessed; Excessively large organizational units; Initial assessment; Roles performed in the company by the Implementing Institution; Performance of the final assessment; Characterization of results assigned as REQUIRED during the initial assessment; Permanence as MPS assessor not associated to the AI. The following tasks were changed: analyzing initial assessment data; sending initial assessment documentation to the auditor; auditing the initial assessment; AI coordinator s evaluation of the assessment; OICG coordinator s evaluation of the assessment; II evaluation of the assessment; sending final assessment documentation to the auditor; and auditing the final assessment. MPS.BR-Assessment Guide:2013 7/115

8 In addition, changes were made to the section referring to the Assessment Institution, in the requirements for assistant assessor and lead assessor, and to the section referring to assessment audits. This 2013 version of the Assessment Guide incorporated results experiences acquired from assessments performed until April 2013, within MPS-SW and MPS-SV assessments, upon due consultation to all Assessment Institutions. The following changes were made: Subprocess 2 was divided into two new subprocesses: Preparation of the assessment and Performance of the initial assessment; Duration of Assessment Institution accreditations; Assessment Institution re-accreditation conditions; Assessor re-accreditation conditions. The following considerations were included: MR-MPS-SV Assessments; Duration and size of the assessment team; Assessment team members; Selection of projects/activities to be assessed; Removal and addition of processes in the assessment scope; Indirect indicators; Initial and final assessment training; Roles performed in the company by the Implementing Institution; Project Selection Worksheet; Process Selection Worksheet for Performance Assessment; Final assessment; Assessment document filing period in AI; Document names; Characterization of results in the final assessment assigned as Required in the initial assessment; AP1.1 Characterization 2 Introduction Recent changes in business environments have prompted companies to adjust organizational structures and production processes, replacing the traditional approach based on functional areas with client-centered process networks. Competitiveness is increasingly conditioned to the establishment of connections within these networks, forging key bonds in the production chains. For software companies, achieving competitiveness based on quality implies improving the quality MPS.BR-Assessment Guide:2013 8/115

9 of software products and related services, as well as production processes and software distribution. Therefore, similarly to the reality of other sectors, quality is a critical success factor for the IT service and software industry. In order to promote a competitive software segment, both nationally and internationally, the sectors executives must focus on the efficiency and efficacy of its processes, offering software products and related services based on international quality standards. The MPS-SW and MPS-SV models must be adequate to the profiles of companies of different sizes and features, both public and private, but particularly tailored to micro, small and mid-sized companies. MPS models are also expected to be compatible with internationally accepted quality standards, leveraging the entire competence of available process improvement models and standards. Therefore, the MR-MPS-SW is based on process requirements defined in process improvement models, covering the need to adequately implement software engineering principles based on the companies contexts, in line with the key international practices regarding the definition, assessment, and improvement of software processes. Similarly, the MR- MPS-SV models is aligned to the main international service practices. The MPS models are based on process capacity and maturity concepts. Within this context, the MPS model covers four key components: Software Reference Model (MR-MPS-SW), Service Reference Model (MR-MPS-SV), Assessment Method (MA- MPS), and Business Model (MN-MPS). The MPS models are described as guides in documents: General Software Guide: contains the general description of MPS models and details the Software Reference Model (MR-MPS-SW), its components and common definitions required for proper comprehension and application [SOFTEX, 2013a]; General Service Guide: contains the general description of MPS models and details the Service Reference Model (MR-MPS-SV), its components and common definitions required for proper comprehension and application [SOFTEX, 2012a]; Acquisition Guide: describes the acquisition process for software products and related services. It is described as a way to support institutions that intend to acquire software products and related services, based on the MR-MPS [SOFTEX, 2013b]Erro! A origem da referência não foi encontrada.; Assessment Guide: describes the MA-MPS Assessment Method, the requirements for lead assessors, assistant assessors, and Assessment Institutions (AI); Implementation Guide: series of thirteen documents that provide instructions to implement the maturity levels in organizations, as detailed in the MR-MPS-SW Reference Model [SOFTEX, 2013c], [SOFTEX, 2013d], [SOFTEX, 2013e], [SOFTEX, 2013f], [SOFTEX, 2013g], [SOFTEX, 2013h], [SOFTEX, 2013i], [SOFTEX, 2013j], [SOFTEX, 2013k], [SOFTEX, 2013l], [SOFTEX, 2012b], [SOFTEX, 2012c], [SOFTEX, 2012d]. MPS.BR-Assessment Guide:2013 9/115

10 3 Purpose This document describes the MPS model Assessment Method and Process, duly defined in accordance with the International Standard ISO/IEC :2003 [ISO/IEC, 2003], and detailed in section 6. The MA-MPS Assessment Method and Process were defined to: allow the objective assessment of software processes and services of an organization/organizational unit; allow the assignment of an MR-MPS-SW and MR-MPS-SV maturity level based on the result of the assessment process; apply to any domain within the software industry; apply to organizations/organizational units of any size. This document is intended, among others, to Assessment Institutions (AI), companies that wish to be assessed based on MA-MPS, and Implementing Institutions (II) of the MR-MPS. 4 Terms and definitions The terms and definitions of the General Software Guide and General Service Guide also apply to this guide. 5 Overview of the assessment process The purpose of the MA-MPS Assessment Method and Process is to assess the organizational unit s maturity in the execution of its software and service processes. The assessment process describes the set of activities and tasks to be performed in order to reach this goal. The process begins by selecting an Assessment Institution (AI) and ends with the proper documentation of the assessment process in the SOFTEX confidential database. The sponsor may be a representative of the organizational unit s board of directors, as well as other organizations requesting the organizational unit s assessment or third parties, for contracting purposes. The following is required to ensure a successful assessment process: Sponsor commitment: the sponsor s commitment is paramount to ensure that the assessment s objectives are reached. This commitment also concern the required resources, time and personnel available to perform the assessment. Motivation: the approach of the organizational unit s management significantly affects the result of an assessment process. The individuals responsible for the organizational unit must motivate participants based on an open and constructive approach. The former must also clarify that the focus of the assessment lies in the process, rather than the performance of individuals implementing the process. Feedback: the provision of feedback and fostering an environment that encourages open discussion regarding preliminary results, during the assessment, help ensure the relevancy of the assessment for the organizational unit. MPS.BR-Assessment Guide: /115

11 Confidentiality: respecting the confidentiality of information obtained during assessments is paramount to obtain the required information. Full confidentiality must be assured to participants, whether assessment team members or interview respondents. Similarly, such understanding of confidentiality is essential to prevent any respondent from feeling threatened and allow all participants to freely express themselves. The confidentiality requirement also covers information contained in documents submitted by the organizational unit to assessors. Perception of benefits: the members of the organizational unit must understand that the assessment will generate benefits, which will directly or indirectly help them perform their duties. Credibility: the sponsor, manager and employees of the organizational unit must believe the assessment will generate results that accurately represent the organization/organizational unit. It is paramount for all parties to be confident in the assessors experience and ability to perform the assessment, in addition to their impartiality and adequate knowledge of the organizational unit. An MA-MPS assessment is valid for 3 (three) years as of the completion date of the final assessment within the assessed organizational unit. The assessment process encompasses 4 subprocesses: Subprocess 1: Contracting the assessment; Subprocess 2: Preparing the assessment; Subprocess 3: Performing the initial assessment; Subprocess 4: Conducting the final assessment Subprocess 5: Documenting assessment results. As a result of this process: data and information are obtained that characterize software and/or service processes of the organization/organizational unit; the level in which expected results are achieved and processes reach its purpose is determined; a MR-MPS-SW and/or MR-MPS-SV maturity level is assigned to the organization/organizational unit. Each subprocess of the assessment process is comprised of activities. Each activity is described by its respective underlying tasks. Each task is defined based on the items described in Chart 1. Additional considerations are provided whenever an in-depth explanation is required regarding any aspect of the task or activity. MPS.BR-Assessment Guide: /115

12 Task name Description Pre-task Input Criterion Output Criterion Responsibility Participants Required Products Generated Products Tools Post-task Chart 1 - Task description items Identifies the task by name. Describes the task in detail. Task that must be performed before the respective task. Conditions to be met for the task to be initiated. Conditions to be met for the task to be completed. Individual responsible for executing the task. Individuals involved in the task s execution. Lists all inputs required to execute the task. Lists products to be generated when executing the task. Lists tools that must be used to execute the task. Lists the task to be executed after the respective task is completed. 6 Description of the assessment process In this section, each of the five subprocesses of the assessment process is described, covering its purpose and activities/tasks. Table 1 - Assessment process ASSESSMENT PROCESS SUBPROCESS Contract the assessment ACTIVITY Research Assessment Institutions Execute agreements Implement the assessment Prepare the assessment s performance Plan the assessment Prepare the assessment Perform initial assessment Conducting the final assessment Document assessment results Conduct the initial assessment Complete the assessment preparation Perform the final assessment Evaluate the execution of the assessment process Report results Document results MPS.BR-Assessment Guide: /115

13 6.1 Subprocess 1: Contract the assessment Purpose The purpose of the Contracting the assessment subprocess is to establish a contract to perform an assessment, as requested by an organization/organizational unit that wishes to assess its own processes or the processes of another company. Organizational unit considerations Assessments can be performed within entire organizations or exclusively at organizational units within these organizations. For example, a single software factory may be assessed, leaving aside all other departments and sectors of the organization, even though the latter also develop software products. Hereinafter, the organizational unit (OU) will always be referred to as the assessed entity, even through the organizational unit may represent the entire organization assessed in some cases. Considerations regarding the MPS Assessment supplementing a CMMI assessment Organizational units with previous CMMI assessments may request a supplementary MPS assessment from SOFTEX, after the CMMI assessment result is duly published on the CMMI Institute website. MPS assessments supplementing CMMI assessments: may be performed within up to 6 months after the CMMI assessment; are performed by an experienced lead assessor designated by SOFTEX; are performed for level F, in case the organizational unit received level 2 from CMMI; level C, in case the organizational unit received level 3 from CMMI; level B, in case the organization unit received level 4 from CMMI; and level A, in case the organizational unit received level 5 from CMMI; only assess processes and results with different requirements among the two models. In this case, the specific assessment worksheet for the supplementary assessment must be submitted and completed by the company; At least the following documents are generated: Assessment Plan, Nondisclosure Agreement, Final Assessment Adjustments Report, Supplementary Assessment Report, Evaluation of the assessment process by the lead assessor and the Sponsor. All of the aforementioned documents are part of the Assessor Kit for the Supplementary Assessment. are valid for 1 day for the initial assessment and 1 day for the final assessment, whenever required; have the same validity term of the previously performed CMMI assessment. In MPS assessments supplementing CMMI assessments, the company must assign an employee, who understand the company s process, to accompany the lead assessor throughout the entire assessment process. Considerations regarding the MPS-CMMI joint Assessment MPS-CMMI joint assessments may be performed under the following conditions: The MPS lead assessor must be an experienced assessor; MPS.BR-Assessment Guide: /115

14 The CMMI lead assessor is a member of the MPS assessment team, has undergone the C1 course, and cannot have any association to the company responsible for implementing the CMMI or MPS in the company to be assessed. The same rules for the lead assessor apply in case of AI contracting activities set out in the Assessment Guide The entire assessment team must have undergone the C1-Software and/or C1-Services course and the CMMI Software and/or Service Introduction course, as applicable, and meet all MPS assessment team member requirements. The initial assessment must coincide with the readiness review applied to the assessment method defined by CMMI, and must be conducted on-site, with duration equal or greater than recommended for the MPS level. All members of the assessment team must attend the initial and final assessments. The assessment must be approved by SOFTEX, considering the following aspects, in addition to the items above: The assessment process adopted by the CMMI lead assessor must be described in detail and attached to the assessment contracting notification submitted by the AI to SOFTEX. CMMI lead assessor s statement, indicating that neither he/she and/or the CMMI Institute Partner to which he/she belongs has provided consulting services to the company to be assessed over the past 2 years. If the assessment is performed in Brazil, it must be conducted in the Portuguese language. Assessments performed in other countries must be conducted in the local language. Description of subprocess 1 This subprocess consists of two activities: Search Assessment Institutions and Establish agreement. ACTIVITY Table 2 - Subprocess 1 SUBPROCESS 1: CONTRACTING THE ASSESSMENT TASK Research Assessment Institutions Consult the SOFTEX website Request assessment proposals Prepare and submit proposal Execute agreements Select Assessment Institution Formalize contracting of the Assessment Institution Activity: Search Assessment Institutions (AI) The purpose of this activity is to obtain a list of Assessment Institutions, among those duly accredited by SOFTEX, and request proposals to perform MR-MPS-SW and/or MR-MPS-SV assessments within a specific organizational unit. MPS.BR-Assessment Guide: /115

15 Task: Description: Pre-task: - Input Criterion: Consult the SOFTEX website The contracting party consults the SOFTEX website to obtain the list of accredited Assessment Institutions (AIs) and selects one or more institution to request a MR-MPS-SW and/or MR-MPS-SV assessment proposal. Decision to perform a MR-MPS-SW and/or MR- MPS-SV assessment. Output Criterion: Previously selected potential Assessment Institution(s). Responsible individuals: Contracting party of the Assessment. Participants: - Required products: Generated products: Tools: Post-task: SOFTEX website with accredited Assessment Institutions List of previously selected Assessment Institutions. Internet access. Request assessment proposals. Considerations regarding the contracting party of the assessment The contracting party of the assessment may be the sponsor, representing the interests of the assessed organizational unit, and/or an external agent, such as the OICG (Organizing Institution of Corporate Groups), if the organizational unit is part of a group, or another organization that needs to know the capacity of the assessed organization s processes. In case of corporate groups, the sponsor and the OICG must reach an agreement regarding the selection criteria of the AI to be contracted 3. Considerations regarding the contracting of the Assessment Institution An assessment institution (AI) cannot be contracted when: It is the Implementing Institution (II) or the OICG (Organizing Institution of Corporate Groups) that supported the implementation of the MR-MPS in the organizational unit; It has provided consulting services in software and/or service processes to the organization or any of its organizational units in the past 2 years; Any member of the AI team has coordinated a private course for the organizational unit to be assessed in the past 2 years; Any member of the AI team works in the organization controlling the organizational unit to be assessed; Any member of the AI team has, over the past 2 years, acted as an advisor in academic study that has been used directly to implement the MR-MPS-SW or MR- MPS-SV; that is, when the advisee works in the organization and uses the academic study in the implementation process; 3 The II may be involved in this process to help identify these criteria MPS.BR-Assessment Guide: /115

16 Any member of the AI team has performed gap analysis in the organizational unit to be assessed in the past 2 years; Any member of the organization or any of its organizational units to be assessed has been part of the AI team in the past 2 years; The AI has members in common with the II responsible for the implementation, or the AI (in case of the same organization) that performed the implementation in the past 2 years; The organization to which the organizational unit to be assessed belongs is an AI (it cannot assess itself); The AI does not have a lead assessor certified to perform assessments within the level required by the organization; The AI does not have a lead assessor certified to perform assessments within the MPS model required by the organization; In case of any other ethical restriction; If the AI has an II (same trade name and CNPJ [Corporate Taxpayer s Registry]), all rules applied to the AI also apply to the II. Task: Description: Pre-task: Input Criterion: Output Criterion: Request assessment proposals The contracting party contacts the Assessment Institution(s) selected during the previous step and requests an assessment proposal. Consult the SOFTEX website. One or more Assessment Institutions selected to request the proposal. Assessment proposals requested to the selected Assessment Institution(s). Responsible individuals: Contracting party of the Assessment. Participants: - Required products: Generated products: Proposal requests 4. Tools: - Post-task: List of Assessment Institutions selected to request proposals. Creation and submission of the proposal. Activity: Execute agreements The purpose of this activity is to formalize an agreement between the contracting party of the assessment and the Assessment Institution (AI) to perform a MR-MPS- SW and/or MR-MPS-SV assessment. 4 The proposal request may have different levels of formality (public notice, invitation letter, , telephone request) MPS.BR-Assessment Guide: /115

17 Task: Prepare and submit proposal Description: Upon receiving a proposal request, the Assessment Institution (AI) analyzes whether it has a lead assessor and assistant assessor available, based on the required skill set, and whether it is able to meet other conditions to perform the assessment, and subsequently devises a proposal and forwards it to the requesting party. Pre-task: Input Criterion: Output Criterion: Request assessment proposals. Proposal request for the performance of MR-MPS- SW and/or MR-MPS-SV assessment submitted to an Assessment Institution (AI). Proposal request for the performance of MR-MPS- SW and/or MR-MPS-SV assessment submitted to the requester. Responsible individuals: Assessment Institution (AI) Coordinator Participants: - Required products: Generated products: Tools: - Post-task: Proposal request MR-MPS-SW and/or MR-MPS-SV assessment proposal. Select Assessment Institution. Considerations regarding the proposal The SOFTEX reference value, pursuant to each assessment level, includes only the assessment value to be paid to the AI. The reference value does not include traveling, accommodations and food expenses incurred by the assessment team. Considerations regarding assessment requests abroad The Assessment Institutions can only submit assessment proposals in Brazil. Therefore, when requested to perform assessments abroad, the AI must consult the MPS.BR coordination at SOFTEX before replying to the requester and/or sending a proposal, due to the costs involved in this type of assessment (document translations, training, and C1 course), among other relevant issues. The proposal may only be submitted upon due authorization by SOFTEX. Task: Description: Select Assessment Institution The contracting party of the assessment selects an Assessment Institution (AI), based on its exclusive criteria, and discloses the result of this selection to all AIs that submitted proposals. MPS.BR-Assessment Guide: /115

18 Pre-task: Input Criterion: Output Criterion: Creation and submission of the proposal. Proposals received from one or more Assessment Institutions (AI). Assessment Institution (AI) selected to perform the assessment at the organizational unit. Responsible individuals: Contracting party of the Assessment. Participants: - Required products: Generated products: Tools: - Post-task: MR-MPS-SW and/or MR-MPS-SV assessment proposal. Result of proposal assessments, duly notified to the selected AI and other participants. Formal contracting of the Assessment Institution. Task: Formalize contracting of the Assessment Institution Description: Pre-task: Input Criterion: Output Criterion: Due proposal acceptance is formalized as required by the Assessment Institution (AI) and the contracting party. Select Assessment Institution. Assessment Institution (AI) selected to perform the assessment. Effective contracting. Responsible individuals: Contracting party of the Assessment. Participants: Required products: - Generated products: Tools: - Post-task: Assessment Institution (AI). Formal contract or proposal acceptance Notify SOFTEX of the assessment contracting process; Submit the Assessment Plan Model to the Organizational Unit; and Submit the template of the Indicator Worksheet and Nondisclosure Agreement ( Prepare assessment subprocess). Considerations regarding SOFTEX contracting In exceptional cases in which AIs cannot be contracted, SOFTEX may be contracted instead. In this case, the latter will assign a lead assessor and one or more assistant assessors, subject to the same restrictions as the AIs. MPS.BR-Assessment Guide: /115

19 6.2 Subprocess 2: Prepare the assessment s performance Purpose The purpose of the subprocess Prepare the assessment is to notify the contract to SOFTEX, which must authorize the assessment, plan the process, and prepare the required documentation for its performance. Description of subprocess 2 Subprocess 2 comprises three main activities: Implement the assessment, Plan the assessment and Prepare the assessment. Table 3 - Subprocess 2 SUBPROCESS 2: PREPARE THE ASSESSMENT S PERFORMANCE ACTIVITY TASK Notify SOFTEX of the assessment contracting process Implement the assessment Analyze the assessment team composition and designate the assessment auditor Request participation of an assessor in training from the organizational unit Pay due contributions to SOFTEX Authorize the assessment process Plan the assessment Prepare the assessment Submit the Assessment Plan and Project Selection Worksheet template to the organizational unit Plan the initial assessment Submit the Indicator Worksheet template and Nondisclosure Agreement to the organizational unit Complete the Indicator Worksheet MPS.BR-Assessment Guide: /115

20 Activity: Implement the assessment The purpose of the Implement the assessment activity is to disclose the contracting of the AI to perform a MR-MPS-SW and/or MR-MPS-SV assessment to SOFTEX, in order to obtain its authorization. Task: Description: Pre-task: Input Criterion: Output Criterion: Responsible individuals: AI Coordinator. Participants: Required products: Generated products: Tools: Post-task: Notify SOFTEX of the assessment contracting process The AI Coordinator must complete the SOFTEX Notification document regarding the AI contracting process and send it to SOFTEX and the individuals responsible for MPS.BR via . This notification, which includes the definition of the assessment team and the local coordinator, must be submitted at least 20 days prior to the initial assessment. The selection of the local coordinator is paramount to ensure proper assessment procedures. This position is designated by the assessment sponsor. The local coordinator works alongside the lead assessor to develop the assessment plan and is responsible for providing the required infrastructure to perform the assessment. The local coordinator may or may not be part of the assessment team Formal Contracting of the Assessment Institution. AI contracted to perform an MPS assessment. Notification to SOFTEX regarding AI Contracting submitted to individuals responsible for MPS.BR Lead assessor. SOFTEX template of AI Contracting Notification to SOFTEX. AI Contracting Notification to SOFTEX ( to avaliaçã[email protected]). text editor, Analyze the assessment team composition and designate the assessment auditor. MPS.BR-Assessment Guide: /115

21 Considerations regarding the assessment notification to SOFTEX SOFTEX will not accept notifications of assessments to be performed in companies that belong to corporate groups supported by SOFTEX if the 100% statement documents have not been previously submitted. In these cases, upon receiving these documents, SOFTEX will inform all stakeholders of the rejection and its respective justification. Considerations regarding the SOFTEX slide and document templates The slide and document template (assessor kit) are standard-issued and cannot be modified by the lead assessor. Considerations regarding the assessment team The assessment team is composed of internal and external members of the organizational unit, in order to ensure the team has proper knowledge of the organizational unit assessed (internal members) and has no direct interest in the assessment s results (external members). Internal assessment team members are known as representatives of the organizational unit. Representatives are assessors with the same duties and rights as other members, and contribute with their knowledge of the company to allow the entire team to better understand the organization, its processes and artifacts. These members must be independent when performing the role of assessors; they cannot be hierarchically superior to interviewed employees and cannot have a relevant participation in projects to be assessed (the lead assessor is responsible for determining whether project participations are relevant or not). The lead assessor must ensure that appropriate representatives are selected. Certain requirements must be considered during its selection: Individuals must have participated in the official MPS.BR Introduction Course (C1- Software and/or C1-Services, as appropriate); Individuals must have experience in executing processes associated to the MPS model level to be assessed; The representatives of assessed organizations are expected to have: Unbiased judgments and opinions; Knowledge of the organization, its processes and artifacts; A collaborative approach towards the assessment team; Commitment towards the accuracy of assessment results; Interpretation of terms, jargon, names and other specific organizational elements. After the Initial Assessment, these individuals must assess whether the required adjustments were properly implemented, understand them (in order to explain them to other assessment team members during the final assessment), and sign the Initial Assessment and Final Assessment Adjustments Report, duly completed with adjustments implemented. During the Final Assessment, the assessed organization s representative must act as a facilitator during interviews, ensuring all questions and answers are properly understood by respondents and by the assessment team. During and even after the Assessment period, the representative must avoid any comment, conversation or insinuation regarding the activities performed during the assessment process. Impediments to become the Organizational Unit Representative in the Assessment Team: Members of the organization to which the organizational unit belongs. Relatives of any of the company s partners. Relatives of any of the company s board members. External members are: MPS.BR-Assessment Guide: /115

22 The AI lead assessor in training designated by SOFTEX, duly authorized to perform the assessment under the levels indicated by SOFTEX; AI assistant assessor(s) (this requirement does not apply when SOFTEX is the contractor, in which case SOFTEX may designate any assistant assessor); Assessor(s) in training designated by SOFTEX, if applicable. When planning the assessment team, the AI coordinator must consult SOFTEX to verify the need to include a lead assessor or assistant assessor in training. If SOFTEX assigns any member to the assessment team, it must issue a notification to the AI coordinator and to the OICG (in case of corporate groups), or to the assessment sponsor, formalizing the assignment. Table 4 is provided as a guideline regarding the minimum and maximum initial/final assessment durations and the assessment team composition, considering that the lead assessor observer is not part of the assessment team. Regarding the assessment team composition, it is important to note that there cannot be more company representatives than accredited assessors. Under special circumstances, the assessment team may not contain any representative of the assessed organization. This scenario is allowed when all of the company s employees are prevented from becoming members of the assessment team; in case of companies with less than 10 employees, the lead assessor is responsible for waiving the participation of company representatives. In case of larger companies, the lead assessor must notify and explain to MPS coordination the reasons for impediment, and obtain due authorization from SOFTEX. Being part of an assessment team is a full-time job and, therefore, assessment team members must not schedule other commitments on any of the initial and final assessment dates. The lead assessor is responsible for checking whether the MA-MPS Assessment Method and Process is being followed regarding team composition. Implementing Institutions must also assist the lead assessor by checking these requirements and instructing the organizational unit in selecting the projects and representatives to be assigned to the assessment team. MR-MPS Level Table 4 Assessment team composition and timeline Initial Final Assessment Assessment Assessment team composition Duration Duration (days) (days) A Lead ass. (1); assistant ass. (1 or more); organizational unit representative (1 or more) B Lead ass. (1); assistant ass. (1 or more); organizational unit representative (1 or more) C Lead ass. (1); assistant ass. (1 or more); organizational unit representative (1 or more) D Lead ass. (1); assistant ass. (1 or more); organizational unit representative (1 or more) E Lead ass. (1); assistant ass. (1 or more); organizational unit representative (1 or more) F Lead ass. (1); assistant ass. (1 or more); organizational unit representative (1 or more) G Lead ass. (1); assistant ass. (1 or more); organizational unit representative (1 or more) MPS.BR-Assessment Guide: /115

23 Considerations regarding the impossibility of having a company representative in the assessment team simply due to the fact that no employees participated in the C1 course In case company representatives cannot be assigned to the assessment team due to the fact that no company employees participated in the C1 course, the lead assessor must request due selection of the future company representative in the assessment team, who must take the C1 course as soon as it is offered. If this option is not feasible, the lead assessor may provide the C1 course as a restricted course. Considerations regarding assistant assessors in training SOFTEX may request the inclusion of assistant assessors in training to participate in assessments. If there are no restrictions imposed by SOFTEX, the AI Coordinator must include these assessors as assessment volunteers. The participation of volunteer assessors in observed assessments is not recommended. Although this is not a full restriction, the assessment process should never feature a volunteer performing the role of assistant assessor for the first time. The decision to accept or reject volunteer assessors in observed assessments must be made by the observer and the assessor under observation. Each assessment may have up to one volunteer assessor. The addition of a volunteer assessor does not change the need for all MPS assessments to have at least one assistant assessor from the AI. The request of lead or assistant assessors to participate in assessments as volunteers must be made to SOFTEX. Assessors may request participation in assessments as volunteers in the following situations: Assessors approved in C3 who are not affiliated to any AI. Initial lead assessor with no intermediary or experienced lead assessor for Level E, D and C assessments, and who are not affiliated to an AI. In this case, the assessor may also be assigned to level A or B assessments, assessing Level E, D or C processes. Intermediary lead assessors who are affiliated to an AI that has no experienced lead assessor for Level B and A assessments, and who have already fulfilled the training requirement regarding statistical process control. Only one volunteer assessor in these conditions is permitted in level A or B assessments. Considerations regarding the need to review the assessment contracting notification In case of any of the following situations prior to the initial assessment, the assessment contracting notification must be changed and resubmitted to the individuals responsible for MPS.BR ( availaçã[email protected]): 1. Changes in initial and final assessment dates; 2. Changes in the assessment team; 3. Changes in the MR-MPS level covered in the assessment; 4. Changes in the organizational unit to be assessed; 5. Other relevant situations at the AI coordinator s discretion. Eventual changes during the initial assessment must be duly registered in the Initial Assessment Result document and do not require the submission of a new notification. MPS.BR-Assessment Guide: /115

24 Task Description: Pre-task: Input Criterion: Output Criterion: Responsibility: Participants: - Required products: Generated products: Tools: Post-task: Analyze the assessment team composition and designate the assessment auditor The ETM coordinator must analyze the composition of the assessment team regarding compliance with the model and level for which the lead assessor is qualified, as well as the intended MR-MPS level and model for the assessment, any potential conflict of interests, and compliance with assistant assessor requirements. The assessment auditor is also designated in this task. Notify SOFTEX of the assessment contracting. Assessment contracting notified to SOFTEX. Approval or rejection of the assessment team and designation of the assessment auditor. ETM Coordinator. AI contracting notification to SOFTEX. Notification of the approval or rejection of the assessment team and assignment of auditor. . Request participation of an assessor in training from the organizational unit or Pay due Contributions to SOFTEX. Considerations regarding the assignment of the assessment auditor Level G and F assessments may be audited by an intermediary lead assessor. In assessments of higher levels, supplementary and joint assessments may only be audited by an experienced lead assessor. In exceptional cases, in which an auditor cannot be assigned, SOFTEX must be responsible for auditing the assessment process. Task: Description: Request participation of an assessor in training from the organizational unit If SOFTEX requires due observation of a lead assessor or participation of an assistant assessor who is not affiliated to the contracted AI, it must issue a request to the contracting party of the assessment upon consulting the AI coordinator regarding this possibility. This request cannot be refused in case of organizations whose MR-MPS implementation and assessment have been supported by SOFTEX. MPS.BR-Assessment Guide: /115

25 Pre-task: Input Criterion: Output Criterion: Analyze the assessment team composition and designate the assessment auditor. Composition of the approved assessment team and assignment of the assessment auditor. Participation of assessors in training requested. Responsible individuals: SOFTEX MPS.BR Executive Coordinator. Participants: - Required products: Generated products: Tools: Post-task: AI contracting notification to SOFTEX. SOFTEX letter to the contracting party of the assessment and notification to the AI coordinator. . Pay due contributions to SOFTEX. Task: Description: Pre-task: Input Criterion: Output Criterion: Pay due contributions to SOFTEX The contracting party of the assessment must pay the contribution to SOFTEX at least 15 days prior to the scheduled initial assessment date. Payment receipts must be submitted to SOFTEX via or fax. Any special needs of the organizational units, such as receipts or invoices, must be directly negotiated with SOFTEX. Request participation of an assessor in training from the organizational unit or analyze the composition of the assessment team. Assessment notified to SOFTEX. Contribution payment receipt sent to SOFTEX. Responsible individuals: Contracting party of the Assessment. Participants: Required products: - Generated products: Tools: - Post-task: Individuals responsible for MPS.BR at SOFTEX and the Local Coordinator of the assessment. SOFTEX contribution payment receipt. Assessment process authorization. Task: Description: Pre-task: Authorize the assessment process SOFTEX must inform the AI coordinator that the assessment may or may not be performed as planned. Pay due contribution to SOFTEX. MPS.BR-Assessment Guide: /115

26 Input Criterion: Output Criterion: Approved assessment team; assigned auditor; and paid SOFTEX contribution. Assessment approval or rejection notification issued by SOFTEX. Responsible individuals: Individuals responsible for MPS.BR at SOFTEX. Participants: - Required products: Generated products: Tools: Post-task: AI contracting notification to SOFTEX. Statement of assessment process authorization. . Sign commitment to the Assessment Plan. Considerations regarding the statement of 100% of compliance with implementation The statement of 100% of compliance is a mandatory document for companies that belong to a group supported by SOFTEX. This statement must be submitted by the OICG to SOFTEX, stating that the organizational unit to be assessed completed 100% of the contracted MPS level s implementation and is ready to be successfully assessed at said level. The statement must be completed by the II and OICG in a specific form provided by SOFTEX. It must be submitted before the assessment notification issued by the AI to SOFTEX. The 100% compliance statement must follow the provisions established in the SOFTEX notification to the group. In addition, the assessment worksheet used by the II as reference to complete the 100% compliance statement must be submitted. Situations in which the 100% compliance statement provided by the OICG is inconsistent with the initial or final assessments will prompt an on-site audit meeting, which must be attended by the following: a representative of the MPS coordination; the auditor; the lead assessor; an OICG representative; and an II representative. Upon request from the auditor, the presence of a representative of the assessed organization s board may also be requested, preferably the assessment sponsor. In addition, the assessment worksheet used for the 100% compliance statement and the statement itself must be submitted by SOFTEX to the ETM Implementation Coordination to assess the implementation process. Activity: Plan the assessment The purpose of the Plan the assessment activity is to develop the Assessment Plan to be followed in order to perform the assessment in the organizational unit. Task: Description: Send the Project Selection Worksheet and/or Activity Selection Worksheet and Process Selection Worksheet templates for Performance Analysis (if applicable) to the organizational unit. Send the SOFTEX template of the Project Selection Worksheet (in case of MR-MPS-SW MPS.BR-Assessment Guide: /115

27 Pre-task: Input Criterion: assessments) or the Activity Selection Worksheet (in case of MR-MPS-SV assessments) to be completed by the organizational unit to be assessed. In case of level A and B assessments, also submit the Process Selection Worksheet for Performance Assessment. Formal contracting of the Assessment Institution. AI contracted for a MR-MPS-SW and/or MR-MPS- SV assessment. Output Criterion: SOFTEX template of the Project Selection Worksheet and/or Activity Selection Worksheet and Process Selection Worksheet for Performance Analysis (if applicable) submitted to the organizational unit to be assessed. Responsible individuals: Lead assessor. Participants: - Required products: SOFTEX template of the Project Selection Worksheet and/or SOFTEX template of the Activity Selection Worksheet, SOFTEX template of the Process Selection Worksheet for Performance Analysis (if applicable). Generated products: - Tools: . Post-task: Plan the initial assessment. Task: Description: Pre-task: Plan the initial assessment The initial assessment to be performed at the organizational unit must be planned by the lead assessor and the organizational unit, represented by the local coordinator. This planning process includes completing the information for the organizational unit and for the projects selected to be assessed, confirming the date of the initial assessment, and defining the initial assessment tasks and schedule. The on-site initial assessment is mandatory for all MR-MPS-SW and MR-MPS-SV maturity levels. At this point, there is no need to plan the final assessment in detail. After the plan is approved, it is recommended to submit it to the entire assessment team. Send the Project Selection Worksheet and/or Activity Selection Worksheet and Process Selection Worksheet templates for Performance Analysis (if MPS.BR-Assessment Guide: /115

28 Output Criterion: applicable) to the organizational unit. Input Criterion: SOFTEX template of the Project Selection Worksheet and/or Activity Selection Worksheet and SOFTEX template of the Process Selection Worksheet for Performance Analysis (if applicable) received by the local coordinator. Initial assessment planned. Responsible individuals: Lead assessor and local coordinator. Participants: - Required products: Generated products: Tools: Post-task: SOFTEX template of the Assessment Plan; SOFTEX template of the Project Selection Worksheet and/or SOFTEX template of the Activity Selection Worksheet, SOFTEX template of the Process Selection Worksheet for Performance Analysis (if applicable). Assessment Plan, Project Selection Worksheet and/or Activity Selection Worksheet, Process Selection Worksheet for Performance Analysis (if applicable). Text editor Sign commitment to the Assessment Plan. Considerations regarding the assessment schedule planning process Consulting Table 4 is recommended to estimate the overall time of the initial and final assessments and the composition of the team suggested by MA-MPS. Considerations regarding the infrastructure required for the assessment process The infrastructure required for the assessment process must also be planned along with the organizational unit, including: computers, rooms, office supplies, and materials to be copied. Whenever the organizational unit is responsible for airline tickets and accommodations, it must provide the following to assessors: Flights at the most convenient times for the assessors; if the assessment ends in the late afternoon, it is better to schedule flights for the next day; Accommodations in 4-star hotels or equivalent; Meals in restaurants of the same level of the hotel. The AI proposal issued to the organizational unit must include the SOFTEX contribution amount pertaining to the assessment. This contribution must be paid directly to SOFTEX by the contracting party until 15 days prior to the scheduled initial assessment date. The infrastructure must be tested by the local coordinator to make sure all access required to project evidence is available in the assessment environment, at adequate speeds. MPS.BR-Assessment Guide: /115

29 Contingency plans may be developed by the organizational unit and AI to prevent any issues that may hinder or delay the initial and final assessments. In addition, backups of assessment artifacts must be provided by the organizational unit, maintaining due confidentiality. Any special team needs must be negotiated with the organizational unit during planning activities. Considerations regarding the selection of projects/activities to be assessed The assessment considers a sample of projects/activities of the organizational unit, typically covering two (2) to four (4) projects/activities. The selection of projects/activities is crucial to ensure a successful assessment, since they must accurately represent both the processes and businesses of the organizational unit. This means that the selected projects/activities must be of the same type/category of those typically executed by the organizational unit. The lead assessor must request due completion of the Project/Activity Selection Worksheet, along with a list of projects/activities performed by the organizational unit, in order to select the most representative projects/activities. To perform a level G assessment, the organizational unit must have at least two (2) projects/activities, at least one (1) of which must be completed. For levels F and higher, the organizational unit must have at least four (4) projects/activities, at least two (2) of which must be completed. Projects/activities that generated all results to be analyzed during the initial assessment are considered completed. The lead assessor is responsible for accepting a project/activity as completed, for assessment purposes. Projects/activities that generated evidence of some results of processes to be assessed as considered to be in progress. Interrupted projects/activities generally do not meet the criteria to comprise the projects/activities covered in the assessment. The lead assessor is responsible for accepting a project/activity as in progress, for assessment purposes. Projects/activities that have been interrupted or canceled, but that have reached a stage in which all evidence was generated, may be accepted in he assessment, at the lead assessor s discretion. Completed projects/activities must remain in this condition for the initial assessment, and projects/activities in progress may or may not be completed by the final assessment date. If necessary, projects/activities may be included as evidence of a specific result and/or to obtain a more suitable sample of the assessed organizational unit. These conditions may be revised, provided that the lead assessor handles them appropriately and prevents any impairment to the quality and validity of the assessment. Considerations regarding process selection for performance assessment At levels B and A, processes/subprocesses must be selected for Performance Assessment, and this selection must be based on the association between these processes and the organization s business goals, as well as the fact that they are critical to reach these goals. The organizational unit is expected to select a significant number of critical processes/subprocesses. Considerations regarding excessively large organizational units Excessively large organizational units with multiple subgroups may request MPS-SW or MPS-SV assessments. One of the key issues in this case is to ensure that the sample of projects and/or activities assessed is representative. In this case: (i) There is no need to include a number of projects and/or activities greater than the level s requirements, even though the lead assessor is responsible for the final decision. MPS.BR-Assessment Guide: /115

30 (ii) (iii) The lead assessor must actively participate in the selection of projects and/or activities to be assessed, duly documenting all decisions in the Project Selection Worksheet, preferably during a company visit prior to the initial assessment. Interviews must cover employees who participated in other projects/activities, rather than exclusively in the assessed processes, even though there is no need to cover the entire group of project/activity participants of the organizational unit, but rather only a representative sample. Considerations regarding the selection of interview respondents The selection of interview respondents is performed upon the development of the Assessment Plan and must be completed prior to the final assessment. This selection is directly related to the processes and projects/activities to be assessed. Individuals from other projects/activities may be selected for a further analysis of a specific section of the assessment; however, projects/activities to be assessed must be represented in all interviews, whenever possible. Interviews may be scheduled for be performed individually or in groups. Groups are represented by different individuals who perform the same type of task (roles) in the same project/activity or in different projects/activities. The optimal scenario is to engage the highest possible number of project/activity individuals in interviews. Assessors must make sure that no groups contain members hierarchically superior to other members of the same group. Senior and middle management representatives associated to the processes may also be interviewed, in order to obtain a managerial outlook of the organizational unit and improvement opportunities. The lead assessor may decide to include other personnel from the organizational unit, or even outside the unit, who have participated in the execution of the processes. Considerations regarding plan versioning The Assessment Plan must be versioned at least 2 times: during the initial assessment and during the final assessment, in order to ensure proper traceability of planned and realized activities. Whenever the plan is changed during the initial and final assessments, a new plan version must be generated and signed. However, only the last version of the initial and final assessments are sent to the audit process. A second version of the initial Assessment Plan is not required when the final assessment is performed immediately after the initial assessment. However, the final Assessment Plan must reflect all schedule changes of the initial assessment. Considerations regarding the removal of expected process results and processes Organizational units may remove some processes and expected process result, which are not applicable to its businesses, from the assessment scope. Each removal must be duly justified. The lead assessor is responsible for accepting removals and its justifications, during the initial assessment. Regarding the removal of processes and expected process results, the removals defined in the General Software Guide and General Service Guide are allowed. For organizations that perform the Acquisition, permitted removals are defined in the Implementation Guide Part 8. For Code Factories, permitted removals are defined in the Implementation Guide Part 9. For Testing Factories, permitted removals are defined in the Implementation Guide Part 10. Permitted removals are also defined in the respective SOFTEX Indicator Worksheet templates. In case a process or expected process result is removed, such event must be duly indicated in the Assessment Plan and the Final Assessment Report, establishing that the process or process result is out of the assessment scope. MPS.BR-Assessment Guide: /115

31 Considerations regarding the inclusion of processes of higher Levels than the intended level In MR-MPS-SW and MR-MPS-SV assessments, one or more processes of higher levels may be included, which may be assessed based on the process attributes of the intended level or higher levels. These processes will not be covered in the level rating; however, the assessment results of these processes will be provided in the Final Assessment Result and Assessment Result published on the SOFTEX website. The acceptance of this inclusion must be negotiated with the lead assessor. This inclusion may occur prior to the initial assessment, in which case it must be included in the Assessment Plan for the initial assessment (assessment scope). The inclusion may also occur during the initial assessment, in which case it must be described in the Initial Assessment Results and the final Assessment Plan. Activity: Prepare the assessment The main purpose of this activity is to complete the worksheet with indicators (evidence) that support the implementation of processes to be used in the assessment. Task: Description: Pre-task: Input Criterion: Output Criterion: Responsible individuals: Lead assessor. Participants: - Required products: Generated products: - Tools: Post-task: Submit the Indicator Worksheet template and Nondisclosure Agreement to the organizational unit The lead assessor sends the SOFTEX template of the Indicator Worksheet to the organizational unit to be assessed. The Nondisclosure Agreement is also submitted, which must be signed during the initial assessment to properly inform the sponsor and company representatives in the assessment team. Formal contracting of the Assessment Institution. AI contracted for a MR-MPS assessment. SOFTEX template of the Indicator Worksheet and Nondisclosure Agreement submitted to the organizational unit to be assessed. SOFTEX templates of the Indicator Worksheet and Nondisclosure Agreement. . Complete the Indicator Worksheet. MPS.BR-Assessment Guide: /115

32 Task: Description: Pre-task: Input Criterion: Complete the Indicator Worksheet The Indicator Worksheet submitted by the lead assessor is completed at the organizational unit with indicators (Evidence) that support the implementation of processes and process attributes based on expected results. The MR-MPS implementer in the organizational unit, if applicable, must support the unit in completing the worksheet. Doubts must be clarified with the lead assessor, if necessary. Send the Indicator Worksheet template. SOFTEX template of the Indicator Worksheet submitted to the organizational unit. Output Criterion: Indicator Worksheet completed by the organizational unit. Responsible individuals: Organizational unit to be assessed. Participants: Required products: Generated products: Tools: Post-task: MR-MPS implementer in the organizational unit. SOFTEX template of the Indicator Worksheet. Indicator Worksheet completed. Worksheet Sign commitment to the Assessment Plan. Considerations regarding the collection of indicators There are three (3) types of implementation indicators: 1. Direct indicators: represent the objective of a task; that is, the main product of a task. 2. Indirect indicators: artifacts representing the consequence of executing a task, referencing the implementation of a result, but not considered the task s objective, and typically generated during the execution of projects/activities. 3. Statements: obtained from interviews and/or presentations, confirming the implementation of the process, its results and attributes Only direct indicators and statements are mandatory. Initially, only direct indicators must be part of the worksheet, since statements are collected during interviews and/or presentations in the final assessment process. Indirect indicators may be optionally included if the organizational unit considers them to be useful to help understand the implementation process. In some cases, they may be included in the process description worksheet, which will not be considered as indirect indicators. Indicators are not always provided in digital media; printed indicators must be duly detailed in the Indicator Worksheet for the assessment team to verify its existence. For each expected process attribute or process result to be assessed, as well as each process instance within the organizational unit (project or activity), there must be at least one direct indicator and one statement proving that the expected process result was reached. Upon conclusion of the initial assessment, the assessment team and sponsor will decide on whether to proceed with the assessment process based on the existence and adequacy of direct indicators. MPS.BR-Assessment Guide: /115

33 If any expected result cannot be duly substantiated by the projects/activities selected for assessment, additional projects/activities may be added exclusively for this result, at the lead assessor s discretion. 6.3 Subprocess 3: Perform initial assessment Purpose The purpose of the Conduct the initial assessment subprocess is to perform the initial assessment of processes that allows verifying whether the organizational unit is ready for the MR-MPS-SW and/or MR-MPS-SV assessment within the intended maturity level. Description of subprocess 3 Subprocess 3 comprises two main activities: Conduct the initial assessment and Prepare the final assessment. Table 5 - Subprocess 3 SUBPROCESS 3: CONDUCT THE INITIAL ASSESSMENT ACTIVITY TASK Commit to the Assessment Plan Sign the Nondisclosure Agreement Train the assessment team for the initial assessment Present the organizational unit s processes Conduct the initial assessment Check implementation indicators Initial assessment data analysis Send the initial assessment documentation to the auditor Audit the initial assessment Perform adjustments to the initial assessment documentation (if applicable) Complete the Assessment Plan Prepare the final assessment Perform adjustments (if applicable) Confirm execution of the final assessment MPS.BR-Assessment Guide: /115

34 Activity: Conduct the initial assessment The purpose of this activity is to perform the initial assessment of indicators and verify whether the organizational unit is ready for the MR-MPS assessment. Considerations regarding the initial assessment The entire assessment team and a representative of the Implementing Institution (if applicable) must attend the initial assessment. A representative of the implementing institution is allowed in the assessment room, although there may be alternating representatives, if deemed suitable. Other employees of the organizational unit may also participate in the initial assessment upon due consent of the lead assessor. Employees of the assessed company who only participate as assistants in the initial assessment are not considered members of the assessment team and are not required to participate in the MPS.BR Introduction Course (C1-Software or C1-Services). The purpose of their participation in the initial assessment is to assist the assessment team and provide subsidies and clarifications for the team to perform its duties. It is recommended for each assessment mini-team to be assisted by one company employee with knowledge of the process and its implementation in the organizational unit, including company representatives. Therefore, the number of additional employees must be restricted to one company employee for each mini-team, including company representatives in the team or additional employees. The participation of these additional employees must be decided along with the lead assessor prior to the assessment process. The initial assessment must generate the Adjustment Report for Final Assessment and the Initial Assessment Results document. All pages of the Adjustment Report for Final Assessment must be duly signed by the lead assessor and an OU representative, and the final page must be signed by all assessors and the representative of the Implementing Institution, if applicable. The Initial Assessment Result document must be signed by the lead assessor and the sponsor or local coordinator (if the sponsor is not present). The initial assessment s duration depends on the maturity level to be assessed, the size of the assessment team, and activities to be carried out. The lead assessor is responsible for establishing the initial assessment s duration, who may decide to alter the recommended number of assessment days. Considerations regarding the impossibility of sponsor participation in the initial assessment The sponsor is not required to participate in the initial assessment. The sponsor s presence during the initial assessment may be replaced by the local coordinator. Considerations regarding unexpected circumstances regarding team members prior to the initial assessment A MPS initial assessment must be attended by the lead assessor, all AI assistant assessors, all volunteer assistant assessors, and all company representatives. However, unexpected events may occur after the assessment notification to SOFTEX: (i) Unexpected circumstances regarding the lead assessor Assessments may not be partially or entirely performed without the presence of the lead assessor. In this case, there are two options aside from contracting a new AI: postponing the assessment or replacing the lead assessor by another lead assessor of the same AI. A third option is to replace the contracted AI. In either case, a new assessment notification must be submitted to SOFTEX. (ii) Unexpected circumstances regarding the AI assistant assessor MPS.BR-Assessment Guide: /115

35 Assessments cannot be performed without the presence of at least one AI assistant assessor. In case of unexpected circumstances, prior to the assessment, preventing assistant assessors from participating, but there are other AI assistant assessors available, the process may proceed normally. If only one assistant assessor of the AI is included as member of the assessment team, two options are available: postpone the initial assessment or replace the assistant assessor member of the assessment team with another assistant assessor of the same AI, who will become the new member of the assessment team. A third option is to replace the contracted AI, in case it is not possible to postpone the assessment or replace the assistant assessor. In either case, a new assessment notification must be submitted to SOFTEX. (iii) Unexpected circumstances with volunteer assessors. Volunteer assessors are required to participate in the initial and final assessments. Therefore, in case of any participating impediment for volunteer assessors during the initial assessment, these assessors must be removed from the assessment team and a new assessment notification must be submitted to SOFTEX. (iv) Unexpected circumstances regarding company representatives All assessments must have at least one company representative. All company representatives in the assessment team must attend the initial and final assessments. In case of a single company representative in the assessment team, who cannot participate in the initial assessment, he/she must be removed from the assessment team and replaced with another company representative. The assessment process may be authorized to proceed without a company representative in exceptional cases. In either case, a new assessment notification must be submitted to SOFTEX. Considerations regarding unexpected circumstances regarding team members during the initial assessment A MPS initial assessment must be attended by the lead assessor and an AI assistant assessor, all volunteer assistant assessors, and all company representatives. However, unexpected circumstances may occur and efforts must be made so that these do not compromise the assessment process. In case of issues regarding the lead assessor, the initial assessment must be interrupted for as long as necessary. However, if there is another lead assessor qualified to perform the assessment, the latter may lead the initial assessment process for as long as necessary. In case of issues with other members of the assessment team, the initial assessment must proceed after duly registering these issues/events in the Initial Assessment Result document. In case of significant changes to the initial assessment plan (e.g. if team cutbacks imply in schedule changes), a new version of the Plan must be generated. Task: Description: Pre-task: Input Criterion: Commit to the Assessment Plan The Assessment Plan s initial assessment version is signed by the sponsor, local coordinator and lead assessor, confirming all stakeholders commitment with the plan s contents. Plan the initial assessment; Complete the Indicator Worksheet; and Authorize the assessment. Reach the scheduled initial assessment date and complete the Indicator Worksheet; conduct the initial planning and ensure the assessment is authorized by SOFTEX. MPS.BR-Assessment Guide: /115

36 Output Criterion: Responsible individuals: Lead assessor, sponsor. Participants: Assessment Plan signed by the sponsor, local coordinator and lead assessor. Local coordinator. Required products: Completed Assessment Plan for the initial assessment. Generated products: Tools: - Post-task: Assessment Plan (with acceptance signatures). Sign the Nondisclosure Agreement Task: Description: Pre-task: Input Criterion: Output Criterion: Sign the Nondisclosure Agreement The sponsor, lead assessor and all other members of the assessment team attending the initial assessment must sign the Nondisclosure Agreement, in three counterparts. This agreement includes all interview respondents, represented by the sponsor, despite not signing the agreement. In case of assessments in which lead assessors are under observation, lead assessor observers must also sign the NDA. The local coordinator will be one of the parties responsible for this activity whenever the assessment request and sponsor are external to the organization to which the assessed organizational unit belongs. Sign commitment to the Assessment Plan. Assessment Plan signed by the sponsor, lead assessor and local coordinator. Nondisclosure Agreement signed. Responsible individuals: Lead assessor, sponsor and local coordinator. Participants: Required products: Generated products: Tools: - Assessment team. Nondisclosure Agreement completed with the names of undersigned parties. Nondisclosure Agreement signed. Post-task: Train the assessment team for the initial assessment. MPS.BR-Assessment Guide: /115

37 Considerations regarding the Nondisclosure Agreement The Nondisclosure Agreement must be signed in three counterparts. If the sponsor is not present during the initial assessment, the Nondisclosure Agreement signing process is completed during the beginning of the final assessment. In case of changes to the assessment team, a new Nondisclosure Agreement must be signed. At the end of the assessment, the assessment auditor sends all three counterparts to SOFTEX for due signature of the SOFTEX Competitiveness and Quality Director. After this last signature, SOFTEX sends a copy to the sponsor and another to the AI coordinator, and the third copy is filed at SOFTEX along with the assessment documents. Whenever the sponsor is external to the company to which the assessed organizational unit belongs, the local coordinator is responsible for receiving and signing the copy of the Nondisclosure Agreement. Task: Description: Pre-task: Input Criterion: Output Criterion: Train the assessment team for the initial assessment The lead or assistant assessor conducts the first part of the assessment team training course. This course must focus on the organizational unit representatives in the assessment team. If all team members are assessors, this training course is not required. Sign the Nondisclosure Agreement. Nondisclosure Agreement and Assessment Plan signed. Team trained for the initial assessment. Responsible individuals: Lead assessor or assistant assessor. Participants: Required products: Generated products: - Tools: Post-task: Assessment team, organizational unit employees participating in the initial assessment, MR-MPS implementer in the organizational unit. Lead assessor s observer, if applicable. Assessment team training slides regarding the initial assessment provided by SOFTEX. Slides Considerations regarding the assessment team s training Present the organizational unit s processes. The assessment team s training process may be carried out by an assistant assessor, at the lead assessor s discretion. However, the lead assessor s presence is required at training courses. In case all company representatives have previously participated in assessment processes, the lead assessor may decide not to conduct the training course. The minimum training course duration recommended is thirty minutes. Task: Present the organizational unit s processes MPS.BR-Assessment Guide: /115

38 Description: Pre-task: Input Criterion: Output Criterion: The organizational unit presents its processes to the assessment team. This presentation is typically performed in 30 to 60 minutes, focusing exclusively on the organizational unit s processes. Train the team for the initial assessment. Team trained for the initial assessment. Organizational unit processes presented to the assessment team. Responsible individuals: Process group and/or quality group of the organizational unit. Participants: Required products: - Generated products: - Tools: - Post-task: Assessment team. Check implementation indicators. Task: Description: Pre-task: Input Criterion: Output Criterion: Responsible individuals: Lead assessor. Participants: Check implementation indicators During a visit to the organizational unit, the entire assessment team, comprised of the lead assessor, AI assistant assessors, assessors in training (if applicable), and lead assessor observer (if applicable), check the Indicator Worksheet along with the organizational unit s employees members of the assessment team, and the MR-MPS-SW or MR-MPS-SV implementer, as appropriate. The Adjustment Report for the Final Assessment is developed as a result of this task, devised based on the SOFTEX template, which indicates all issues to be adjusted prior to the final assessment date. Additional changes to the Indicator Worksheet may also be applied as a result of this task. Present the organizational unit s processes. Organizational unit processes presented to the assessment team. Initial assessment performed and Adjustment Report for the Final Assessment developed regarding the initial assessment. Assessment team, organizational unit employees participating in the initial assessment, MR-MPS-SW or MR-MPS-SV implementer in the organizational unit. Lead assessor s observer, if applicable. MPS.BR-Assessment Guide: /115

39 Required products: Organizational unit Indicator Worksheet (completed), SOFTEX template for Adjustment Report for the Final Assessment. Generated products: Tools: Post-task: Organizational unit Indicator Worksheet (verified) and Adjustment Report for the Final Assessment. Worksheet, text editor. Analyze initial assessment data. Considerations regarding the roles performed in the assessment team during the initial assessment 1. Mini-teams: check the indicators. The mini-teams, comprised of 2 members of the assessment team each, must be defined based on its respective experience and profile. A proper balancing of profiles is vital for mini-teams to work harmoniously. The lead assessor is responsible for arranging assessment team members in mini-teams. 2. Lead assessor: may be part of one of the assessment mini-teams or check one or more processes by him/her. The lead assessor may also refrain from assessing any specific process and dedicate his/her time to supporting the mini-teams. He/she may decide on which roles to perform, based on the size and experience of the assessment team. 3. Assistant assessor: supports the lead assessor and participates in a mini-team. 4. Observer: observes but does not actively participate in the assessment process, except in case of issues that require his/her interference. The observer is jointly responsible for the assessment s results. This role only exists when the lead assessor is in training and the observer must participate in the assessment process to assess the practical performance of the lead assessor. Whenever applicable, the observer also signs the Nondisclosure Agreement along with the assessment team and sponsor. Considerations regarding the roles performed in the company by the Implementing Institution The Implementing Institution may only perform the following roles in the company in which it is responsible for the implementation process: revise process definitions; assess the quality of process definitions (DFP QA); audit configurations; QA of QA. No other role may be accepted by the assessment team. However, if a company employee is a member of the Implementing Institution, these restrictions do not apply, since this employee is performing his/her duties as a company employee, rather than as an II member. Task: Description: Initial assessment data analysis Upon verifying the Indicator Worksheet and the Adjustment Report for the Final Assessment, the lead assessor and assessment team meet with the sponsor, the team responsible for the MR-MPS-SW and/or MR-MPS-SV implementation at the organizational unit, and the MR-MPS Implementing Institution representative (if applicable) to analyze the Adjustment Report for the Final Assessment, the necessary adjustments, and decide on how and when the final assessment will be carried out. MPS.BR-Assessment Guide: /115

40 Pre-task: Input Criterion: Output Criterion: The Initial Assessment Result document is completed and signed by the lead assessor and sponsor. If the sponsor is not present during the initial assessment, this document may be signed by the local coordinator. Finally, all pages of the Adjustment Report for the Final Assessment are initialed by the lead assessor and an OU representative, and the final page is signed by all assessors and the Implementing Institution representative (if applicable), duly indicating agreement by the II and the company regarding the assessment s results, the organizational unit s commitment to implement all of its requirements, and the II s commitment to assist the organizational unit in fulfilling all required items. All required items must be duly solved by the final assessment date, which may be up to 6 months after the end of the initial assessment. If the parties decide to cancel the assessment, a new assessment within the same MPS level may only be performed 4 months as of the initial assessment date. Under certain circumstances, in case no adjustments are required, the final assessment may be performed within up to 7 days after the initial assessment. Check implementation indicators. Responsible individuals: Lead assessor, sponsor. Participants: Required products: Generated products: Initial assessment performed and Adjustment Report for the Final Assessment developed, considering the section to be completed regarding the initial assessment. Adjustment Report for the Final Assessment analyzed and signed, and Initial Assessment Result completed and signed. Assessment team present at the initial assessment, team responsible for the MR-MPS-SW and/or MR- MPS-SV implementation in the organizational unit, local coordinator, MR-MPS-SW and/or MR-MPS- SV Implementer in the organizational unit. Adjustment Report for the Final Assessment, SOFTEX template of the Initial Assessment Result Adjustment Report for the Final Assessment (with due acceptance signatures), and Initial Assessment Result completed and signed. MPS.BR-Assessment Guide: /115

41 Tools: Post-task: A copy of the Adjustment Report for the Final Assessment, Initial Assessment Result, and Assessment Plan must be delivered to the local coordinator at this time. text editor Send the initial assessment documentation to the auditor and perform adjustments (if applicable). Considerations regarding assessments in companies with previous MPS assessments Upon conducting assessments in companies with previous MPS assessments, every lead assessor must carefully assess the organizational unit assessed: 1) In case of the same organizational unit previously assessed, and if the assessment represents the evolution of the company s maturity level, the organizational unit must be carefully registered identically as before, or in case of rewording, it is imperative to clarify to SOFTEX that it is the same organizational unit, thus preventing any duplicate publications for the same organizational unit. 2) In case of other organizational units, it is also important to make this condition very clear. Considerations regarding the final assessment After analyzing the initial assessment s results, the lead assessor and sponsor must decide whether to perform the final assessment as initially planned, reschedule or cancel the final assessment. If the final assessment is canceled after the initial assessment, the lead assessor must send the respective documentation to audit and complete the assessment process. A new assessment may only be carried out at the organizational unit 4 months after the initial assessment s completion date. Since a new assessment will be considered, the MA-MPS procedures must be entirely applied since the beginning. For level G or F assessments in which no results requiring adjustments are identified during the initial assessment (either due to the lack of required items or items that can no longer be corrected and do not affect the outcome of the assessment), the final assessment may be immediately implemented, provided that there is sufficient time for such. In this case: (i) The assessment target is the stage of the project/activity at the beginning of the initial assessment; (ii) No changes are applied to processes, projects, or activities; (iii) There are no new versions of the Adjustment Report for the Final Assessment; (iv) The final assessment may be performed within 7 business days after the completion of the initial assessment, with no initial assessment audit process. Changes in Level after the initial assessment During the initial assessment, the assessment team may identify the inadequacy of the MPS level requested by the company. Therefore, the Initial Assessment Result, duly signed by the lead assessor and sponsor, must clearly indicate any changes in the originally sought MPS level. The following must be considered in cases of companies with final assessments in higher levels: (i) the SOFTEX contribution amount must be adjusted to the highest level (ii) there may be a need to increase the team size or the number of days of the final assessment (iii) there may be a need to include new projects to be assessed in the final assessment MPS.BR-Assessment Guide: /115

42 (iv) there may be a need of an additive with extra costs by the Assessment Institution The following must be considered in cases of companies with final assessments in lower levels: (i) the SOFTEX contribution remains unaltered; that is, maintained for the original level (ii) the assessment cost is unaltered. Considerations regarding the separation of Organizational Units after the initial assessment During the initial assessment, the assessment team or assessed company may identify the need to separate organizational units, thus establishing two different assessments during the final assessment process. Therefore, the Initial Assessment Result, duly signed by the lead assessor and sponsor, must clearly indicate this modification. If this modification is applied after the end of the initial assessment, the AI coordinator must submit a new notification to SOFTEX. The following must be considered in these cases: (i) another SOFTEX contribution is due, considering that two assessment processes will be performed (ii) there is a need to include new projects to be assessed in the final assessment, totaling four projects in each unit (iii) there is a need of an additive with extra costs by the Assessment Institution. Considerations regarding the responsibilities of the II and OICG with the assessed company during the adjustment period After the initial assessment, an adjustment period is initiated as recommended by the assessment team. During this period, the Implementing Institutions must support companies in performing due adjustments and may not waive this responsibility. In case of disagreement between the II and the company, the OICG is responsible for assisting the company in searching a new II to provide consulting services during this period, as well as notifying SOFTEX of this event. If the aforementioned disagreement also involves the OICG, the latter must notify this event to SOFTEX. In this case, SOFTEX will be responsible for seeking a solution based on the company s best interests; Task: Description: Send the initial assessment documentation to the auditor Regardless of the Initial Assessment Result, the lead assessor must send all original copies of the Assessment Plan, Project Selection Worksheet, Adjustment Report for the Final Assessment, and the Initial Assessment Result documents to the auditor assigned by the ETM coordinator. The signed Nondisclosure Agreement must also be submitted to the latter. In case of level A and B assessments, the Process Selection Worksheet for Performance Assessment must also be submitted. Copies of these documents must be filed at AI during the assessment s effective term (3 years after the end of the final assessment). If the final assessment is performed immediately after the initial assessment, these documents must MPS.BR-Assessment Guide: /115

43 Pre-task: Input Criterion: Output Criterion: be sent along with the final assessment documents. Analyze initial assessment data. Initial assessment completed. Responsible individuals: Lead assessor. Participants: - Required products: Generated products: - Tools: - Post-task: Task: Description: Initial assessment documentation sent to the auditor. Project Selection Worksheet, Adjustment Report for the Final Assessment, Initial Assessment Result, and Assessment Plan duly completed and signed. Nondisclosure Agreement (if signed during the initial assessment), Process Selection Worksheet for Performance Assessment (if applicable) Complete the Assessment Plan (if applicable) and Audit the initial assessment. Audit the initial assessment All MR-MPS assessments are audited by the MA- MPS Auditor Group, duly supervised by the FCC and SOFTEX coordination, including assessments completed after the initial assessment. The designated auditor audits the initial assessment and issues an audit report. This report may be APPROVED (the documentation is complete, accurate, and there are no doubts regarding the Initial Assessment Result); or NOT APPROVED (there are doubts regarding the Initial Assessment Result). If the report is APPROVED after due documentation adjustments, these adjustments must be registered in the audit report. If the report is NOT APPROVED, the auditor summons the lead assessor, a representative of the MPS coordination, an OICG representative, and an II representative to attend a clarification meeting in which the Indicator Worksheet and assessment results are analyzed. In either case, a copy of the audit report must be submitted to the lead assessor, the AI coordinator, and SOFTEX. If the assessment process is completed after the initial assessment, all MPS.BR-Assessment Guide: /115

44 Pre-task: Input Criterion: Output Criterion: assessment documents must be submitted to SOFTEX. Send the initial assessment documentation to the auditor. Initial assessment documentation received by the auditor. Auditor report sent to the lead assessor, AI coordinator, and SOFTEX. In case of assessment completion, assessment documents submitted to SOFTEX. Responsible individuals: Auditor assigned by ETM. Participants: - Required products: Generated products: Tools: Post-task: Assessment Plan, Adjustment Report for the Final Assessment, Initial Assessment Result, Nondisclosure Agreement, SOFTEX Template of the Audit Report. Audit Report. Text editor, . Perform adjustments to the initial assessment documentation (if applicable). Considerations regarding assessment auditing If the lead assessor disagrees with an audit s result, he/she may resort to the ETM-Assessment team to solve doubts regarding audit requirements. Task: Description: Pre-task: Input Criterion: Output Criterion: Perform adjustments to the initial assessment documentation (if applicable) If the Audit Report indicates items to be corrected, the lead assessor applies all corrections and resubmits corrected documents to the auditor for a new analysis. After the auditor approves the documents, the lead assessor includes a copy of corrected documents in the AI file. Audit the initial assessment. Responsible individuals: Lead Assessor. Participants: Required products: Generated products: Need for adjustments in documents analyzed by the auditor. Documentation approved and filed. Auditor. Audit Report. Corrected documents. MPS.BR-Assessment Guide: /115

45 Tools: Post-task: Text editor. Audit the initial assessment. Activity: Prepare the final assessment The purpose of this activity is to complete the Assessment Plan with the final assessment planning and implement all adjustments indicated in the Adjustment Report for the Final Assessment (if applicable). Task: Description: Pre-task: Input Criterion: Output Criterion: Complete the Assessment Plan The Assessment Plan is completed by the lead assessor with the data obtained during the initial assessment. After the plan is completed, the lead assessor and local coordinator must issue due acceptance, which may be provided electronically. The new plan version is signed at the beginning of the final assessment. Analyze initial assessment data. Final assessment at the organizational unit scheduled and initial assessment performed. Assessment Plan completed. Responsible individuals: Lead assessor. Participants: - Required products: Generated products: Tools: Post-task: Assessment Plan (initial assessment version). Assessment Plan (completed). Text editor. Kick-off meeting (subprocess: Perform the final assessment). Task: Description: Perform adjustments (if applicable) If applicable, during the period preceding the final assessment, the organizational unit applies and documents all adjustments indicated in the Adjustment Report for the Final Assessment, duly registering all adjustment made. Adjustments marked as required are mandatory. If a required adjustment is not applied by the organization, the assessment team must assess the impact of this weakness over expected results and the purpose of the respective process. Adjustments marked as improvement opportunities may or may not be implemented by the organizational unit. The Adjustment Report for the Final Assessment MPS.BR-Assessment Guide: /115

46 Pre-task: Input Criterion: Output Criterion: document must be printed, initialed in all pages, and signed on the last page by the organizational unit representatives in the assessment team and the II representative (if applicable) and delivered to the assessment team at the beginning of the final assessment. Analyze initial assessment data. Responsible individuals: Organizational unit. Participants: Required products: Generated products: Tools: Post-task: Adjustment Report for the Final Assessment approved, duly indicating the need for adjustments. Adjustment Report for the Final Assessment, with due records of adjustment made. MR-MPS-SW and/or MR-MPS-SV implementer in the organizational unit. Indicator Worksheet, Initial Assessment Report. Processes, artifacts, and the Indicator Worksheet adjusted (if applicable), Adjustment Report for the Final Assessment with due records of adjustment made and signed by the organizational unit representatives in the assessment team, as well as the II representative (if applicable). Worksheet, text editor. Confirm the performance of the final assessment or Perform the kick-off meeting ( Perform final assessment Subprocess). Considerations regarding the decision to add new projects/activities The assessment team may decide to add new projects/activities in the final assessment. This can be done for results that must be duly supported and projects/activities that surpassed the life cycle stage in which they are generated. The lead assessor is responsible for deciding to add new projects/activities, which will only apply to results that require due substantiation. New projects/activities and the individuals to be interviewed to support these results must be added to the new version of the Assessment Plan. Regardless of new projects/activities to be added, all projects/activities will be used to characterize assessment results, including original projects/activities. Considerations regarding the Adjustment Report for the Final Assessment and the update of the Assessment Worksheet Duly supported by the Implementing Institution, the assessed organization must apply all adjustments marked as REQUIRED in the Adjustment Report for the Final Assessment, completing the line detailing the correction applied, and printing 3 copies of the document. The company representative in the assessment team must sign the document and collect the Implementing Institution s signature to present the printed and signed document at the beginning of the final assessment. The organization must also update the assessment worksheet with new evidence. MPS.BR-Assessment Guide: /115

47 Considerations regarding the II signature of the Adjustment Report after the Initial Assessment The Implementing Institution (II) is responsible for supporting the company, after the initial assessment, to apply all adjustments required by the Assessment Institution (AI). This engagement and agreement to adjustment made must be expressed by the II by signing the Adjustment Report for the Final Assessment, upon due documentation of adjustment made. Under exceptional conditions, the submission of an by II to the company explicitly indicating its agreement to applied adjustments is also accepted as a valid alternative. This must be printed and delivered to the lead assessor at the beginning of the final assessment. Task: Description: Pre-task: Input Criterion: Output Criterion: Confirm execution of the final assessment In case of adjustments required prior to the final assessment, the lead assessor must consult the local coordinator to confirm whether all adjustments were applied and the scheduled final assessment date may be maintained. In case of changes not implemented, the lead assessor may reschedule the final assessment date along with the sponsor. SOFTEX and the auditor must be duly informed of any final assessment date rescheduling. Perform adjustments. Adjustment Report for the Final Assessment approved, and need for adjustments. Required adjustment made Responsible individuals: Lead assessor. Participants: Required products: - Generated products: Tools: Post-task: MR-MPS implementer and organizational unit. Final assessment confirmation or not. . Perform the kick-off meeting ( Perform the final assessment Subprocess). Considerations regarding unexpected events regarding assessment team members between the initial and final assessments that prevent participation in the final assessment The entire assessment team must participate in final MPS assessments. However, unexpected circumstances may occur after the initial assessment, preventing an assessment team member from participating in the final assessment: (i) Unexpected circumstances regarding the lead assessor Assessments may not be partially or entirely performed without the presence of the lead assessor. In this case, there are two options: postponing the assessment (desirable) or replacing the lead assessor by another lead assessor of the same AI. A third option is to replace the contracted AI, in case the former options are unfeasible. In either case, a new assessment notification must be submitted to SOFTEX. (ii) Unexpected circumstances regarding the AI assistant assessor MPS.BR-Assessment Guide: /115

48 Assessments cannot be performed without the presence of at least one AI assistant assessor. In case of unexpected circumstances, prior to the final assessment, preventing assistant assessors from participating and there is a higher number of AI assistant assessors in the assessment team, the process may proceed normally. If only one assistant assessor of the AI is included as member of the assessment team, two options are available: postpone the initial assessment or replace the assistant assessor member of the assessment team with another assistant assessor of the same AI, who will become the new member of the assessment team. A third option is to perform the final assessment with the lead assessor and company representative. (iii) Unexpected circumstances with volunteer assessors. Volunteer assessors are required to participate in the initial and final assessments. In case of any restriction for the participation of volunteer assessors during the final assessment, these assessors must be removed from the assessment team and a new assessment notification must be submitted to SOFTEX. (iv) Unexpected circumstances regarding company representatives All assessments must typically have at least one company representative. All company representatives in the assessment team must attend the initial and final assessments. In case a company representative in the assessment team cannot participate in the final assessment, this representative must be removed from the assessment team and replaced with another company representative, in case the team composition must be completed. The final assessment process may be authorized to proceed without a company representative in exceptional cases. In either case, a new assessment notification must be submitted to SOFTEX. 6.4 Subprocess 4: Conducting the final assessment Purpose The purpose of the Perform the final assessment subprocess is to train the team to carry out the final assessment, notify its results to the assessed organizational unit, and assess the performance of the assessment process at the organizational unit. Considerations regarding the duration of the final assessment The duration of the final assessment varies depending on the assessment level, size of the assessed organizational unit, results of the initial assessment, and the number of interviews performed. Description of subprocess 4 Subprocess 4 comprises two main activities: Perform the final assessment and Assess the execution of the assessment process. ACTIVITY Perform the final assessment Table 6 - Subprocess 4 SUBPROCESS 4: PERFORM THE FINAL ASSESSMENT TASK Perform the opening meeting Commit to the Assessment Plan Complete signatures in the Nondisclosure Agreement (if applicable) MPS.BR-Assessment Guide: /115

49 ACTIVITY Evaluate the execution of the assessment process SUBPROCESS 4: PERFORM THE FINAL ASSESSMENT TASK Train the team for the final assessment Check the evidence Conduct interviews Document statements in the Indicator Worksheet Characterize the level of implementation of each expected process result and each expected process attribute result for each project/activity Initially characterize the level of implementation of each expected process result and each expected process attribute result within the organizational unit. Initially characterize the level of implementation of each process attribute within the organizational unit. Characterize the level of implementation, within the organizational unit, of each expected process result, each expected process attribute result, and each process attribute during the consensus meeting Characterize the level of implementation of processes within the organizational unit Present the strengths, weaknesses and improvement opportunities Review the characterization and conclude the identification of strengths, weaknesses and improvement opportunities (if applicable) Attribute MR-MPS level Organize the assessment work environment Inform the sponsor of assessment results Inform the organizational unit s employees of assessment results Evaluate the execution of the assessment by the sponsor Evaluate the execution of the assessment by the assessment team Assess the assessment execution by the AI coordinator Evaluate the execution of the assessment by the OICG coordinator (if applicable) Evaluate the execution of the assessment by the II (if applicable) Send assessment process assessments to the auditor Considerations regarding the impossibility of sponsor participation in the final assessment Despite not being required to participate in the initial assessment, the sponsor must participate in the beginning and ending of the final assessment. Three alternatives are available if the sponsor cannot participate in the final assessment: (i) (ii) Postpone the final assessment Replace the sponsor MPS.BR-Assessment Guide: /115

50 (iii) The sponsor may participate in the opening and closing meetings via video conference and receive notification of results by the lead assessor via phone. Considerations regarding unexpected circumstances regarding assessment team members during the final assessment The entire assessment team must participate in final MPS assessments. However, unexpected circumstances may occur and efforts must be made so that these do not compromise the assessment process. In case of issues regarding the lead assessor, the final assessment must be interrupted for as long as necessary. However, if there is another lead assessor qualified to perform the assessment, the latter may lead the final assessment process for as long as necessary. If there is no other lead assessor in the team and the assessment process cannot be interrupted, the AI must immediately replace the lead assessor with another lead assessor from the same AI. If this replacement is not possible, the AI must notify SOFTEX, which will appoint a lead assessor to resume the assessment process with minimal interruptions. Activity: Perform the final assessment The purpose of this activity is to perform the final assessment of the organizational unit in accordance with the MA-MPS Assessment Method and Process and the Assessment Plan. Task: Pre-task: Input Criterion: Output Criterion: Perform the opening meeting Description: Perform the kick-off meeting along with organizational unit employees, during which the lead assessor explains the procedures and tasks to be performed during the assessment. The sponsor also speaks to the employees regarding the assessment during this meeting. The Kick-off Meeting slides provided by SOFTEX must be used in this meeting. Complete the Assessment Plan and Confirm the execution of the final assessment Beginning of the final assessment. Kick-off meeting completed. Responsible individuals: Lead assessor, sponsor and local coordinator. Participants: Required products: Generated products: - Assessment team, organizational unit employees (preferably including all employees to be interviewed), MR-MPS-SW and/or MR-MPS-SV implementer (if applicable and optional), and OICG representative (if applicable and optional). Kick-off Meeting slides MPS.BR-Assessment Guide: /115

51 Tools: Post-task: Slides Sign commitment to the Assessment Plan. Considerations regarding the kick-off meeting During the kick-off meeting, the lead assessor addresses all participants using the Kick-off Meeting slides, explaining the MR-MPS-SW or MR-MPS-SV levels, the assessment process, the Nondisclosure Agreement, the assessment scope, and the maturity level requested by the organizational unit. The sponsor also addresses participants, explaining the reason for the assessment and what is expected from the employees. The sponsor must clearly convey its full support towards the assessment and improvement efforts made thus far. The sponsor must also emphasize that the organizational unit s priority is to meet assessment needs and, therefore, everyone must respect interview schedules and remain constantly available. It is also important to mention the Nondisclosure Agreement, the need for employees to be sincere during interviews and the fact that no one will be penalized, regardless of the outcome of the assessment. At least all employees to be interviewed must attend the kick-off meeting. If any employee is unable to attend the kick-off meeting for reasons of Force Majeure, the lead assessor must review the kickoff meeting and the NDA during the beginning of this employee s interview process. Task: Description: Pre-task: Input Criterion: Output Criterion: Commit to the Assessment Plan The Assessment Plan is signed by the sponsor, local coordinator and lead assessor, duly stating all stakeholders commitment with the plan s contents. Conduct kick-off meeting. Final assessment initiated. Assessment Plan signed by the sponsor, local coordinator and lead assessor. Responsible individuals: Lead assessor and sponsor. Participants: Required products: Generated products: Tools: - Local coordinator. Assessment Plan (final assessment version). Assessment Plan (with acceptance signatures). Post-task: Complete signatures in the Nondisclosure Agreement (if applicable) or Train the team for the final assessment. Task: Description: Complete signatures in the Nondisclosure Agreement (if applicable) The sponsor and the entire assessment team must sign the Nondisclosure Agreement, in case they still have not done so. At this point, the lead assessor is responsible for collecting all missing MPS.BR-Assessment Guide: /115

52 Pre-task: Input Criterion: Output Criterion: signatures. This agreement includes all interview respondents, represented by the sponsor, despite not signing the agreement. Conduct kick-off meeting. Assessment initiated at the organizational unit with the kick-off meeting. Nondisclosure Agreement signed. Responsible individuals: Lead assessor, sponsor and local coordinator 5. Participants: Required products: Generated products: Tools: - Post-task: Assessment team. Nondisclosure Agreement completed with the names of undersigned parties. Nondisclosure Agreement signed. Train the team for the final assessment. Considerations regarding the Nondisclosure Agreement Shortly after the kick-off meeting, all missing Nondisclosure Agreement signatures must be collected, which must be signed in three counterparts. At the end of the assessment process, the auditor sends all three counterparts to SOFTEX for due signature. After this last signature, SOFTEX sends a copy to the sponsor and another to the AI coordinator, and the third copy is filed at SOFTEX along with the assessment documents. Whenever the sponsor is external to the company to which the assessed organizational unit belongs, the local coordinator is responsible for receiving and signing the copy of the Nondisclosure Agreement. Task: Description: Pre-task: Input Criterion: Output Criterion: Train the team for the final assessment Responsible individuals: Lead assessor. Participants: The assessment team is trained by the lead assessor or an assistant assessor to perform the final assessment, and is divided into mini-teams, to which processes, tasks, and responsibilities are assigned. Collect all Nondisclosure Agreement signatures. Kick-off meeting performed and Nondisclosure Agreement and Assessment Plan signed. Assessment team trained to perform the final assessment. Assessment team. 5 The local coordinator will be one of the parties responsible for this activity whenever the assessment request and sponsor are external to the organization to which the assessed organizational unit belongs. MPS.BR-Assessment Guide: /115

53 Required products: Generated products: - Tools: Post-task: Assessment team training slides regarding the final assessment provided by SOFTEX. Slides Verify due evidence. Considerations regarding the roles performed in the assessment team during the final assessment 1. Lead assessor: may be part of one of the assessment mini-teams or check one or more processes by him/her. The lead assessor may also refrain from assessing any specific process and dedicate his/her time to supporting all of the mini-teams. He/she may decide on which roles to perform, based on the size and experience of the assessment team. 2. Assistant assessor: supports the lead assessor and participates in a mini-team. 3. Mini-teams: verify the Adjustment Report for the Final Assessment and the adjustment made to indicators, plan the interviews for the respective processes duly assigned by the lead assessor. Perform the initial characterization of the implementation level of process results, process attribute results, and process attributes. In addition, identify the strengths, weaknesses and improvement opportunities of processes and process attributes. 4. Observer: observes but does not actively participate in the assessment process, except in case of issues that require his/her intervention. This role only exists when the lead assessor is in training and the observer must participate in the assessment process to assess the practical performance of the lead assessor. 5. Organizational unit representative: supports the lead assessor and participates in a mini-team. Considerations regarding the assessment team s training The training course required for the executing team is performed during the initial assessment. At this point, the final assessment execution training course is performed. The assessment team s training process may be carried out by an assistant assessor, at the lead assessor s discretion. However, the lead assessor s presence is required at training courses. In case all company representatives have previously participated in assessment processes, the lead assessor may decide not to conduct the training course. The minimum training course duration recommended is thirty minutes. Task: Description: Pre-task: Input Criterion: Output Criterion: Check the evidence Each mini-team analyzes the worksheet and Implemented Adjustment Report for the Final Assessment and assesses the presence and adequacy of indicators supporting the implementation of expected results for each process and process attribute, regarding the processes under its responsibility. Train the team for the final assessment. Team trained for the initial assessment. All processes reviewed. MPS.BR-Assessment Guide: /115

54 Responsible individuals: Mini-teams. Participants: - Required products: Generated products: Tools: Post-task: Indicator Worksheet, Adjustment Report for the Final Assessment. Indicator Worksheet (with assessed results). Worksheet. Conduct interviews or Characterize the level of implementation of each expected process result and each expected process attribute result for each project. Considerations regarding the assessment of evidence In cases in which there are no Organizational Unit representatives in the assessment team, it may be convenient for a company employee to present adjustments made, in order to facilitate the assessment team s comprehension of adjustments. When assessing evidence, it is important to consider that the issues indicated in the worksheet are used as guidelines, and the only issue required is the General Guide text. Task: Description: Pre-task: Input Criterion: Output Criterion: Conduct interviews Interviews are performed with all individuals involved in the processes (as set out in the Assessment Plan), in order to confirm the implementation of processes and generation of indicators. This task may be performed in parallel with the previous task (check the evidence). In order to begin the interviewing process, it is recommended for the entire assessment team to view the Indicator Worksheet. Train the team for the final assessment or Check the evidence. Team trained for the initial assessment. Interviews performed. Responsible individuals: Full assessment team. Participants: Required products: Generated products: Tools: - Post-task: Previously selected respondents, according to the assessment plan. SOFTEX template for interview notes (optional)- Interview notes. Document statements in the Indicator Worksheet. MPS.BR-Assessment Guide: /115

55 Considerations regarding interviews Interviews are one of the most important components in an assessment process to help the assessment team understand and analyze how the organizational unit implements its processes. Interviews also help identify improvement points and the level of institutionalization of processes. The planning of interviews during the assessment is part of the Assessment Plan. Interviews must be performed in closed rooms, with sufficient privacy to allow all respondents to freely express themselves. The following aspects are required to ensure interviews generate expected results: - all participants must be treated with respect; - there must be an environment in which people can freely participate and express themselves; - there must be no interruptions, judgments or comments to what is said (e.g. interviewers must not express any form of judgment: OK, right, wrong ); and - tensions and embarrassing situations must be avoided. During an interview, the entire assessment team (particularly the mini-team in charge of processes covered in the interview) must take notes of responses and its relevance to the assessment process. All notes must be registered with the respective date, time and purpose of the interview, and must be destroyed after the assessment in order to maintain due confidentiality. The lead assessor cannot make notes; this task must be assigned to the rest of the team, if deemed convenient. Interview questions must be devised during the assessment of evidence, but must be revised before each interview, in order to meet the assessment coverage needs and ensure that questions are not repeated unnecessarily. Interviews can be conducted solely by the lead assessor or by the entire assessment team. This decision is made by the lead assessor and notified to the team in advance. Respondents answer the questions made by the lead assessor and assessment team members. They may not take notes or write/draw during the interview. These records must be delivered to the lead assessor and may not leave the interview room. During interviews, the assessment team may request additional documents when: (i) a respondent mentions a document that is not available to the assessment team; or (ii) the assessment team notices the lack of a direct indicator required for the assessment. In order to ensure proper progression of interviews and the assessment process, the local coordinator must remind respondents of the time and place of interviews and ensure all respondents attend interviews as scheduled. Interviews are suggested to last for up to 1 hour (60 minutes), in order to prevent them from becoming tiresome and counter-productive. The phases of an interview are: opening, process questions, final questions, and closing. As a suggestion, these phases may follow the time distribution indicated in Table 7. Statements collected during an interview must be input on the Indicator Worksheet immediately after the interview, since the performance of other activities may prevent the team from accurately remembering what was said by respondents. MPS.BR-Assessment Guide: /115

56 Time Table 7 Interview phases Interview phases 10 minutes Opening of the interview process and introductions The lead assessor explains rules of confidentiality, asks if the respondents have attended the opening meeting, and introduces the assessment team. If necessary, the lead assessor also explains the reasons behind the assessment and the interview. The lead assessor asks respondents to introduce themselves by stating their names, the project in which they participate, their role in the project, and working time in the organizational unit. 30 minutes Questions regarding process and process attribute implementations 10 minutes Final questions regarding the organizational unit 10 minutes Closure 60 minutes Total The lead assessor ends the interview, reminding respondents of the disclosure meeting date of preliminary results and the permanent nature of the Nondisclosure Agreement. Considerations regarding the coverage of statements The coverage of statements is related to the need to confirm whether proper results were reached in respective projects. For such, the following coverage of statements must be applied for each process: - there must be at least one statement for each expected result; - all projects (including that are not concluded) must have statements for results; - concluded projects must have statements for at least 50% of results. Considerations regarding additional interviews Additional interviews may be planned and performed whenever necessary to clarify or confirm a certain result or to meet the coverage of statements required for the assessment process. The date, time and place of these interviews must be informed in advance. These interviews must be notified by the lead assessor to the local coordinator, who must schedule them along with the respective respondents. Considerations regarding the need for presentations and demonstrations In some cases, it may be beneficial to include process, work procedure, or tool use presentations in the Assessment Plan. Statements made in these occasions have the same value as those obtained in interviews, provided that they are made by individuals involved in the activity or task related to the presentation or demonstration. Task: Document statements in the Indicator Worksheet Description: Immediately after performing an interview, each mini-team analyzes and summarizes statements that confirm the implementation of expected MPS.BR-Assessment Guide: /115

57 Pre-task: Input Criterion: results, documenting who made each statement in the corresponding results on the Indicator Worksheet. Perform interviews. Interview performed. Output Criterion: Statements documented in the Indicator Worksheet. Responsible individuals: Mini-teams. Participants: - Required products: Generated products: Tools: Indicator Worksheet, interview notes. Indicator Worksheet with records of statements confirming the implementation of results. Worksheet. Post-task: Check for evidence, Perform interviews or Characterize the level of implementation of each expected process result and each expected process attribute result for each project. Considerations regarding statement records At the end of each interview, the assessment team must consolidate all interview data. Considering the large amount of information generated in interviews, the assessment team must summarize all notes regarding statements, strengths, weaknesses and improvement opportunities in the worksheet, providing accurate statements. In order to ensure proper interview confidentiality, the source of information must be removed from the worksheet at the end of the assessment process. Furthermore, the purpose of this consolidation is to control the progress of the assessment process, allowing the team to assess whether there is sufficient data to render judgment or if additional interviews are required. Task: Description: Characterize the level of implementation of each expected process result and each expected process attribute result for each project Based on the results of the Indicator Worksheet and interviews, each mini-team characterizes the level of implementation of each expected process result or each expected process attribute result in projects, according to Table 7. For such, the miniteam must: Assign T, L, P or N to each project in each expected process result. NA (Not assessed) must be assigned whenever the result cannot be assessed based on the development stage. F must be assigned whenever a result is out of the assessment scope. MPS.BR-Assessment Guide: /115

58 Pre-task: Input Criterion: Output Criterion: Responsible individuals: Mini-team. Participants: - Required products: Indicator Worksheet. Generated products: Tools: Post-task: Assign T, L, P or N to each project in each expected process attribute result. NA (Not assessed) must be assigned whenever the result cannot be assessed based on the development stage. F must be assigned whenever a result is out of the assessment scope. Perform interviews, check for evidence, and document statements in the Indicator Worksheet. Interviews performed and worksheet verified. Level of implementation of each expected process result and each expected process attribute result, in projects, characterized by the mini-team (for processes under its responsibility). Indicator Worksheet with the characterization of the level of implementation of each expected process result and each expected process attribute result for projects/activities. Worksheet. Initially characterize the level of implementation of each expected process result and each expected process attribute result within the organizational unit. Table 8 Characterization scale for the level of implementation of expected process results and expected process attribute results for projects/activities Level of implementation Fully implemented (T) Extensively implemented (L) Partially implemented (P) Characterization - The direct indicator is present and deemed adequate - There is at least one statement confirming the implementation - No substantial weakness was identified during the initial or final assessments. - The direct indicator is present and deemed adequate - There is at least one statement confirming the implementation - One or more substantial weaknesses was identified during the initial or final assessments. - The direct indicator is absent or deemed inadequate - Artifacts/statements suggest that some aspects of the expected result are implemented - One or more substantial weaknesses were identified. MPS.BR-Assessment Guide: /115

59 Level of implementation Not implemented (N) Characterization - Any situation other than those previously mentioned Not assessed (NA) Out of scope (F) - The project/activity is not under a development phase that allows achieving the result, or the project scope does not include achieving the result. - The expected result is out of the assessment scope, as documented in the assessment plan. Task: Description: Pre-task: Input Criterion: Output Criterion: Responsible individuals: Mini-teams. Participants: - Required products: Initially characterize the level of implementation of each expected process result and each expected process attribute result within the organizational unit Based on the results of the previous task, each mini-team performs an initial characterization of the level of implementation of each expected result within the organizational unit, and prepares the initial establishment of strengths, weaknesses and improvement opportunities regarding the processes under its responsibility, to be presented to the entire assessment team during the consensus meeting. This characterization is performed in accordance with the MA-MPS rules, as indicated in Table 9. This decision must consider the relevance (weight) of projects/activities. Characterize the level of implementation of each expected process result and each expected process attribute result for each project/activity. Level of implementation of each expected process result and each expected process attribute result, in projects/activities, characterized by the miniteam (for processes under its responsibility). Level of implementation of each expected result, within the organizational unit, characterized by the mini-team, and the strengths, weaknesses and improvement opportunities developed to be presented to the other members of the assessment team. Indicator Worksheet with the characterization of the level of implementation of each expected result for projects/activities. MPS.BR-Assessment Guide: /115

60 Generated products: Tools: Post-task: Indicator Worksheet with the initial characterization of the level of implementation of each expected result within the organizational unit. Worksheet. Initially characterize the level of implementation of each process attribute within the organizational unit. Table 9 Rules regarding the consolidation of the characterization of expected process and process attribute results in projects/activities, ultimately characterizing the organizational unit Characterization in assessed projects/activities All X (i.e. all T, or all L, or all P, or all N) All completed projects/activities X (i.e. all T, or all L, or all P, or all N) and incomplete NA (Not Assessed) Consolidated characterization for the organizational unit X X Comments If all projects/activities have the same characterization, than that is the organizational unit s characterization If the result cannot be evidenced by the incomplete project/activity development stage (NA), the organizational unit s characterization is X. All T or L L If the projects/activities are characterized for an expected result as L or T, the organizational unit is characterized as L for this expected result. All T or L and incomplete NA (Not Assessed) There are P, but there are no N (May have NA - Not Assessed) L If the result cannot be evidenced by the incomplete project/activity development stage, the organizational unit s characterization is L. L or P The assessment team is responsible for the decision. There is N N, P or L The assessment team is responsible for the decision. Expected Result F (Out of Scope) F The expected result is deemed out of the assessment scope in the assessment plan. Task: Description: Initially characterize the level of implementation of each process attribute within the organizational unit Based on the results obtained from the previous task, each mini-team performs an initial characterization of the level of implementation of each process attribute within the organizational MPS.BR-Assessment Guide: /115

61 Pre-task: Input Criterion: Output Criterion: Responsible individuals: Mini-teams. Participants: - Required products: Generated products: Tools: Post-task: unit, based on processes under its responsibility, to be presented to the entire assessment team during the consensus meeting. This characterization is performed in accordance with the MA-MPS rules, as indicated in Table 10. Initially characterize the level of implementation of each expected process result and each expected process attribute result within the organizational unit. Level of implementation of each expected process attribute result within the organizational unit, characterized by the mini-team (for processes under its responsibility). Level of implementation of each process attribute within the organizational unit, characterized by the mini-team (for processes under its responsibility). Indicator Worksheet. Indicator Worksheet with the initial characterization of each process attribute within the organizational unit. Worksheet. Characterize the level of implementation, within the organizational unit, of each expected process result, each expected process attribute result, and each process attribute during the consensus meeting. Level of implementation Fully implemented (T) Extensively implemented (L) Partially implemented (P) Table 10 Rules to characterize the level of implementation of process attributes within the organizational unit Characterization There is evidence of a complete and systematic approach for the attribute in the assessed process, as well as its full implementation. There are no relevant weaknesses for this attribute in the assessed process. There is evidence of a systematic approach and a significant level of implementation of the attribute in the assessed process. There are weaknesses for this attribute in the assessed process. There is some evidence of focus on the attribute and some implementation of the Implementation percentage of related results >85% to 100% >50% to 85% >15% to 50% MPS.BR-Assessment Guide: /115

62 Not implemented (N) attribute in the assessed process. Some implementation aspects cannot be predicted. There is little or no evidence of implementation of the attribute in the assessed process 0 to 15% Considerations regarding the characterization of Process Attribute Results - RAP 1 and Process Attribute - AP 1.1 The characterization assigned to RAP 1 (The process reaches its set results) is a consolidated appreciation of expected process results. The level T in AP 1.1 means an achievement of over 85% of the set of expected process results, with no Partially Implemented (P) or Not Implemented (N) assignment to process results. Similarly, levels L, P and N reflect the achievement of the set of expected process results, in accordance with the percentages of table 9. Considerations regarding Process Attribute characterization The instruction percentage to characterize a process attribute must be viewed globally regarding the level of implementation of the process attribute, whereas it must also be considered as a qualitative and quantitative evaluation. In cases where the qualitative prevails over the quantitative, the lead assessor must send a detailed justification of the characterization to the auditor, which will be duly incorporated to the assessment documentation submitted to SOFTEX. Task: Description: Characterize the level of implementation, within the organizational unit, of each expected process result, each expected process attribute result, and each process attribute during the consensus meeting The consolidation process is performed during the meeting with the entire team, attributing a level that characterizes the implementation of each expected process result, each expected process attribute result and each process attribute result within the organizational unit. During the consensus meeting, each mini-team presents to other members of the assessment team the initial characterization assigned to the level of implementation of each expected process result, each expected process attribute result, and each process attribute, as well as the strengths, weaknesses and improvement opportunities justifying this characterization. The assessment team members discuss all aspects (if applicable) and consensually assign a level that characterizes the implementation of each expected process result, each expected process attribute result and each process attribute result within the organizational unit. This characterization is performed in accordance with the MA-MPS rules, MPS.BR-Assessment Guide: /115

63 Pre-task: Input Criterion: Output Criterion: Responsible individuals: Full assessment team. Participants: - Required products: Generated products: Tools: Post-task: as indicated in Tables 8 and 9. During this task, the team mutually establishes the strengths, weaknesses and improvement opportunities to be presented to interview respondents. If the sought mutual agreement cannot be reached, the lead assessor is responsible for the final decision. Initially characterize the level of implementation of each process attribute within the organizational unit. Level of implementation, within the organizational unit, of each expected process result, each expected process attribute result, and each process attribute initially characterized by the miniteams, as well as the strengths, weaknesses and improvement opportunities of processes, to be presented to the other members of the assessment team. Level of implementation, within the organizational unit, of each expected process result, each expected process attribute result, and each process attribute characterized during the consensus meeting. Indicator Worksheet, SOFTEX Template of the Preliminary Result Presentation. Indicator Worksheet characterizing the level of implementation of each expected process result, each expected process attribute result and each process attribute result within the organizational unit, Preliminary Result Presentation slides. Slides. Characterize the level of implementation of processes within the organizational unit. Considerations related to the characterization of results assigned as REQUIRED during the initial assessment At the assessment team s discretion, and based on its relevance, results considered as Required during the initial assessment may be characterized as T (fully implemented). MPS.BR-Assessment Guide: /115

64 Considerations regarding the documentation of strengths, weaknesses and improvement opportunities. At this point, observations classified as strengths, weaknesses and improvement opportunities are also documented. These observations represent the assessment team s comprehension of assessed elements. An observation is a statement regarding a result s implementation, mutually agreed upon by the team based on the consensus technique. Observations may or may not be related to the MR-MPS-SW or MR-MPS-SV, but they always identify an issue that affects the maturity of the software process of the organizational unit. Every characterization other than T must be associated to a weakness. Improvement opportunities may be associated to characterization of process or process attribute results as T, L, P or N. Observations are presented to respondents during the preliminary result presentation meeting; after this presentation, respondent feedback is gathered to reach the final draft. Task: Description: Pre-task: Input Criterion: Output Criterion: Responsible individuals: Assessment team. Participants: - Required products: Generated products: Tools: Characterize the level of implementation of processes within the organizational unit After consensually characterizing the level of implementation of each process result and each process attribute within the organizational level, the assessment team mutually characterizes the level of implementation of each organizational unit process as FULFILLED or NOT FULFILLED, based on the MA-MPS rules and Table 11. Characterize the level of implementation, within the organizational unit, of each expected process result, each expected process attribute result, and each process attribute during the consensus meeting. Level of implementation, within the organizational unit, of each expected process result, each expected process attribute result, and each process attribute characterized during the consensus meeting. Level of implementation of processes within the organizational unit duly characterized. Indicator Worksheet, SOFTEX template of the Preliminary Result Presentation. Final Result Presentation slides. Slides. Post-task: Present the strengths, weaknesses, and improvement opportunities. Rules to characterize the level of implementation of processes within the organizational unit. MPS.BR-Assessment Guide: /115

65 A process is FULFILLED when: - All expected process results were characterized as T (Fully implemented) or L (Extensively implemented). - The characterization of process attributes fulfills the requirements in Table 11. In any other scenario, the process is characterized as NOT FULFILLED. The attributes of process 4.1, 4.2, 5.1 and 5.2 are characterized as relevant, and in accordance with the process selection performed by organizational unit. The non-characterization of these process attributes for all processes does not prevent the attribution of level B or level A to the organizational unit. Table 11 Characterization of process attributes to fulfill MR-MPS levels MR-MPS Level Process attributes Characterization G AP 1.1 T AP 2.1 L or T F AP 1.1 T AP 2.1 and AP 2.2 L or T E AP 1.1, AP 2.1, AP 2.2 T AP 3.1 and AP 3.2 L or T D AP 1.1, AP 2.1, AP 2.2 T C B A AP 3.1 and AP 3.2 AP 1.1, AP 2.1, AP 2.2 AP 3.1 and AP 3.2 AP 1.1, AP 2.1, AP 2.2, AP 3.1 and AP 3.2 AP 4.1 and AP 4.2 AP 1.1, AP 2.1, AP 2.2, AP 3.1, AP 3.2, AP 4.1 and AP 4.2 AP 5.1 and AP 5.2 L or T T L or T T L or T T L or T Task: Present the strengths, weaknesses and improvement opportunities Description: Pre-task: Input Criterion: The strengths, weaknesses and improvement opportunities are presented to respondents to obtain feedback regarding preliminary results generated by the assessment team. This presentation must be performed in groups, based on the respective hierarchy. Characterize the level of implementation of processes within the organizational unit. Assessment team consensus regarding strengths, weaknesses and improvement opportunities. MPS.BR-Assessment Guide: /115

66 Output Criterion: Responsible individuals: Lead assessor. Participants: Required products: Generated products: Tools: Post-task: Presentation performed and interview respondent feedback on strengths, weaknesses and improvement opportunities received. Assessment team; respondents. Preliminary Result Presentation slides. Assessment team notes with respondent feedback. Slides. Review the characterization and conclude the identification of strengths, weaknesses and improvement opportunities (if applicable) or Assign MR-MPS-SW and/or MR-MPS-SV level. Considerations regarding the meeting to present strengths, weaknesses and improvement opportunities Strengths, weaknesses and improvement opportunities are presented by the lead assessor or an assistant assessor designated by the lead assessor. This presentation is performed to obtain respondent feedback regarding preliminary results. During the presentation, other assessment team members must not express comments or justify what has been written, since this task is attributed to the lead assessor or assistant assessor responsible for the presentation. The presentation must group all employees who performed the same role in projects. Some roles cannot be grouped in the same meeting; no employees with higher hierarchical levels to others may attend the same meeting. Task: Description: Review the characterization and conclude the identification of strengths, weaknesses and improvement opportunities (if applicable) If necessary, review the characterization of the level of implementation of processes and complete the establishment of strengths, weaknesses and improvement opportunities based on the feedback received. Changes are not required; the only requirement is for the assessment team to analyze and consider the feedback. At this point, additional documents or interviews that may be necessary can be requested. Pre-task: Present the strengths, weaknesses, and improvement opportunities. Input Criterion: Feedback received adding relevant information regarding the strengths, weaknesses and improvement opportunities presented to respondents. MPS.BR-Assessment Guide: /115

67 Output Criterion: Strengths, weaknesses and improvement opportunities completed and characterization reviewed, if applicable. Responsible individuals: Lead assessor. Participants: Assessment team. Required products: Feedback notes provided by interview respondents; Preliminary Result Presentation slides; SOFTEX template of the Final Result Presentation template and Indicator Worksheet. Generated products: Tools: Post-task: Final Result Presentation slides (revised, if applicable); Indicator Worksheet (with revised characterization, if applicable). Slides, worksheet. Attribute MR-MPS level. Task: Description: Pre-task: Input Criterion: Attribute MR-MPS level Once consensus is obtained on each process covered in the assessment and the establishment of strengths, weaknesses and improvement opportunities is completed, the intended MR-MPS- SW and/or MR-MPS-SV level is attributed or not attributed to the organizational unit. The maturity level attribution is applied to an organizational unit if each process belonging to such level and included in the assessment scope has been characterized as FULFILLED. This task is also performed in a meeting with the entire assessment team. The organizational unit may request a specific level and receive a lower level or no MR- MPS level at all. Review the characterization and conclude the identification of strengths, weaknesses and improvement opportunities. Process characterization completed. Output Criterion: Attribution of an MR-MPS level to the organizational unit or not. Responsible individuals: Assessment team. Participants: - Required products: Generated products: Tools: Consolidated results and strengths, weaknesses and improvement opportunities; Final Result Presentation slides. Final Result Presentation slides (complete). Slides. MPS.BR-Assessment Guide: /115

68 Post-task: Organize the assessment work environment Task: Description: Pre-task: Input Criterion: Output Criterion: Organize the assessment work environment After the conclusion of the assessment process, the assessment team must eliminate all documents that may breach the Nondisclosure Agreement (notes in pieces of paper and worksheets; intermediary files generated). In addition, a version of the assessment result presentation and the assessment worksheet must be generated (not naming the individuals who provided evidence) and submitted to the local coordinator. The lead assessor must copy the final assessment worksheet and presentations performed. Attribute MR-MPS level Responsible individuals: Lead assessor. Participants: Required products: - Generated products: - Tools: - Post-task: Completion of the assessment team s activities. Organized assessment work environment. Assessment team. Inform the sponsor of assessment results Task: Description: Pre-task: Input Criterion: Output Criterion: Inform the sponsor of assessment results Assessment results are notified to the sponsor by the lead assessor during a private meeting, presenting all assessment result slides. However, the sponsor may invite other participants to such meeting. If deemed appropriate by the lead assessor, other members of the assessment team may participate in such meeting. Organize the assessment work environment. Assessment completed. Responsible individuals: Lead assessor. Participants: Required products: Assessment results informed to the sponsor. Sponsor; other members of the assessment team (if appropriate); sponsor guests (if appropriate). Final Result Presentation slides. MPS.BR-Assessment Guide: /115

69 Generated products: - Tools: - Post-task: Inform the organizational unit s employees of assessment results. Considerations regarding documents to be delivered to the Organizational Unit Upon conclusion of the final assessment, signed copies of the following documents must be delivered to the Organizational Unit: Assessment Plan, Adjustment Report for the Final Assessment Considerations regarding the publication assessment results on the SOFTEX website Upon due submission of assessment results, the organizational unit may not wish to post assessment results on the SOFTEX website. SOFTEX hereby acknowledges it is the company s right. In these cases, assessment results and documents are filed at SOFTEX, but the respective results are not posted on the website. In these cases, the following excerpt of the nondisclosure agreement must be reworded: 7. A copy of the assessment results will be filed in a confidential SOFTEX database by the MPS.BR coordinator, and may be used for research purposes. In case of positive assessment results, SOFTEX is hereby expressly authorized by the assessed organization to publish assessment results, in summarized form, in the SOFTEX Portal: This excerpt must be reworded as follows: 7- A copy of the assessment results will be filed in a confidential SOFTEX database by the MPS.BR coordinator, and may be used for research purposes. and 8- The company does not authorize SOFTEX to post this assessment s results in the SOFTEX Portal If the company changes its decision at a later date and wishes to post assessment results, a letter requesting and authorizing its posting must be submitted to SOFTEX. This letter must be signed by the assessment sponsor or the company s upper management. Considerations regarding the notification of assessment results The lead assessor must clarify that his/her notification of assessment results must be audited and confirmed by SOFTEX, and only then it will be official and definitive, following due publication on the SOFTEX website. Task: Inform the organizational unit s employees of assessment results Description: Assessment results are notified to the organizational unit s employees in the presence of the sponsor. The organizational unit may invite all parties required to attend such meeting. Pre-task: Input Criterion: Inform the sponsor of assessment results. Sponsor notified of assessment results. MPS.BR-Assessment Guide: /115

70 Output Criterion: Responsible individuals: Lead assessor. Participants: Required products: Generated products: - Tools: Post-task: Assessment results notified to employees. Assessment team; sponsor; local coordinator; employees; organizational unit guests (if appropriate). Final Result Presentation slides. Slides. Organize the assessment work environment Considerations regarding the publication of assessment results In case of positive assessment results, regarding the publication of news on the SOFTEX website, a digital photo of the assessment team and summarized statements from the lead assessor, assessor representing the organizational unit, and sponsor must be provided regarding the meaning of this assessment. The lead assessor is responsible for sending these items to the MPS.BR executive coordinator at SOFTEX and the individuals responsible for MPS.BR at SOFTEX, via , immediately upon completion of the audit process. Activity: Assess the execution of the assessment process. The purpose of this activity is to assess the execution of the assessment process within the organizational unit, providing due feedback to SOFTEX regarding the MA- MPS Assessment Method and Process, the Assessment Institution (AI), and other aspects related to the assessment process. The lead assessor is responsible for ensuring that the assessments of the assessment team, sponsor, AI coordinator, and the lead assessor are performed. SOFTEX is responsible for submitting and ensuring due receipt of OICG and II assessments (if applicable). Task: Description: Pre-task: Input Criterion: Output Criterion: Evaluate the execution of the assessment by the assessment team The lead assessor, assistant assessor and other members of the assessment team assess aspects regarding the execution of the assessment, as well as the performance of team members during the assessment process. This task may be performed at different times after the MR-MPS level attribution by the lead assessor. Upon due completion, assessments are placed in sealed envelopes signed by the sponsor. Attribute MR MPS level MPS Level attributed Evaluation of the assessment process performed by the assessment team members and placed on a sealed envelope signed by the sponsor. MPS.BR-Assessment Guide: /115

71 Responsible individuals: Lead assessor Participants: Required products: Assessment Team SOFTEX Assessment Process Assessment by the Assessment Team and Assessment Process Assessment by the Lead Assessor templates. Generated products: Assessment Process Assessment by the Assessment Team and Assessment Process Assessment by the Lead Assessor. Tools: Post-task: Text editor Send the final assessment documentation to the auditor Task: Description: Pre-task: Input Criterion: Output Criterion: Responsible individuals: Lead assessor. Participants: Required products: Generated products: Tools: Post-task: Evaluate the execution of the assessment by the sponsor The sponsor assesses aspects related to the execution of the assessment. This task must be performed immediately after the notification of results to the sponsor. Inform the sponsor of assessment results. Results duly notified to the sponsor Assessment process assessment by the sponsor duly completed. Sponsor SOFTEX Assessment Process Assessment by the Sponsor template. Assessment process assessment by the sponsor, placed in an sealed envelope, along with the assessment team assessments, signed by the sponsor and delivered to the lead assessor. Text editor Send the final assessment documentation to the auditor Considerations regarding the sealed envelope containing the assessment team and sponsor assessments If the envelope cannot be sealed with the sponsor s signature, it may be done with the signature of the local coordinator or a company representative in the assessment team. MPS.BR-Assessment Guide: /115

72 Task: Description: Pre-task: Assess the assessment execution by the AI coordinator (optional) If necessary, the contracted AI coordinator assesses aspects regarding the assessment and submits the assessment to SOFTEX via . This task is optional, at the IA coordinator s discretion. Inform the organizational unit s employees of assessment results. Input Criterion: Assessment under the AI s responsibility completed. Output Criterion: Responsible individuals: AI Coordinator. Participants: - Required products: Generated products: Tools: Post-task: Evaluation of the assessment process by the AI coordinator completed and submitted to SOFTEX. SOFTEX Assessment Process Assessment by the AI Coordinator template. Assessment Process Assessment by the AI Coordinator Text editor Store assessment documentation at SOFTEX Task: Description: Pre-task: Input Criterion: Output Criterion: Responsible individuals: OICG Coordinator. Participants: - Required products: Generated products: Tools: Assess the assessment execution by the OICG coordinator (if applicable and optional) The OICG coordinator assesses aspects regarding the assessment and submits the assessment to SOFTEX. This task is optional, at the OICG coordinator s discretion. Inform the organizational unit s employees of assessment results. Assessment completed in a company of a group under its coordination. Evaluation of the assessment process by the OICG coordinator completed and submitted to SOFTEX. SOFTEX Assessment Process Assessment by the OICG Coordinator template. Assessment Process Assessment by the OICG Coordinator (optional). Text editor. MPS.BR-Assessment Guide: /115

73 Post-task: Store assessment documentation at SOFTEX Task: Description: Pre-task: Input Criterion: Output Criterion: Responsible individuals: II. Participants: - Required products: Generated products: Tools: Post-task: Assessment assessment by the II (if applicable and optional) If applicable, the II assesses aspects related to the assessment process and sends the assessment to SOFTEX. This task is optional, at the II coordinator s discretion. Inform the organizational unit s employees of assessment results. Assessment completed in an organizational unit in which the II was responsible for the implementation. Assessment process assessment performed by the II and submitted to the SOFTEX MPS.BR operations manager. SOFTEX Assessment Process Assessment by the II template. Assessment Process Assessment by the II (optional) Text editor. Store assessment documentation at SOFTEX 6.5 Subprocess 5: Document assessment results Purpose The purpose of the Document assessment results subprocess is to devise the Assessment Report, gather final assessment documents and send them to the designated auditor. Upon due documentation approval, the lead assessor sends the Assessment Report to the sponsor and notifies the assessment result to SOFTEX. The auditor sends the assessment documentation to SOFTEX, which inputs assessment data into its database, publishes results on its website, signs the Nondisclosure Agreement, and files the assessment documentation. Description of subprocess 5 This subprocess consists of two activities: Report Results and Document Results. Table 12 - Subprocess 5 SUBPROCESS 5: DOCUMENT ASSESSMENT RESULTS ACTIVITY TASK MPS.BR-Assessment Guide: /115

74 SUBPROCESS 5: DOCUMENT ASSESSMENT RESULTS ACTIVITY TASK Develop the Final Assessment Report and Assessment Result Send the final assessment documentation to the auditor File final assessment documentation Report results Audit the final assessment Perform adjustments to the final assessment documentation Send the Assessment Report to the sponsor Send a Notification of Assessment Results to SOFTEX Send the assessment documentation to SOFTEX Enter the organizational unit in the SOFTEX database Post on the SOFTEX website (if applicable) Document results Store assessment documentation at SOFTEX Send the Nondisclosure Agreement to the organizational unit along with SOFTEX s software process assessment statement (brushed steel plate) Send the Nondisclosure Agreement to the AI Activity: Report results The purpose of this activity is to report results obtained in the organizational unit assessment process. The Final Assessment Report can only be submitted to the sponsor and the contracting party of the assessment after the APPROVED report is issued by the assessment audit. Before this report is issued, the assessment result is not definitive, since it has yet to be endorsed by SOFTEX. Task: Description: Develop the Final Assessment Report and Assessment Result Based on the assessment performed and results obtained, the lead assessor develops the Final Assessment Report and Assessment Report, based on the standard SOFTEX templates. The MPS.BR-Assessment Guide: /115

75 Pre-task: Input Criterion: Final Assessment Report must be signed by the lead assessor and initialed on all pages. Assessment execution assessment by the Sponsor and assessment team. Assessment completed. Output Criterion: Assessment Report and Assessment Result completed. Responsible individuals: Lead assessor. Participants: - Required products: Final Result Presentation slides, SOFTEX template of the Final Assessment Report and Assessment Result. Generated products: Tools: Post-task: Final Assessment Report and Assessment Result. Text editor, slides. Send the final assessment documentation to the auditor. Task: Description: Send the final assessment documentation to the auditor The lead assessor gathers and organizes the required documentation and sends it to the designated auditor within 15 days upon the conclusion of the final assessment. Pre-task: Prepare the Final Assessment Report and Assessment Result. Input Criterion: Output Criterion: Responsible individuals: Lead assessor. Participants: - Final Assessment Report and Assessment Result developed. Complete assessment documentation sent to the auditor. Required products: Documents that must comprise the final assessment documentation submitted to the auditor: i. Assessment Plan signed by the lead assessor, Sponsor and local coordinator; ii. Adjustment Report for the Final Assessment completed by the assessed organizational unit with due adjustment made and signed by the organizational unit representatives in the assessment team, as well as the Implementing Institution representative (if applicable); MPS.BR-Assessment Guide: /115

76 Generated products: Tools: - Post-task: iii. Final Assessment Report signed by the lead assessor; iv. Assessment Result; v. Assessment Process Assessment by the Sponsor (placed in a duly sealed and initialed envelope), Assessment Process Assessment by the Assessment Team (placed in a duly sealed envelope initialed by all members involved), Assessment Process Assessment by the Lead Assessor. Alternatively, all assessments may be placed in a single sealed envelope initialed by the Sponsor; vi. Nondisclosure Agreement signed by the lead assessor, sponsor and assessment team, in three counterparts, in case it has not been submitted by the end of the initial assessment. All of the aforementioned documents. File final assessment documentation and Audit the final assessment. Task: Description: File final assessment documentation The Assessment Institution files copies of the assessment documentation described in the task Send the final assessment documentation to the auditor, along with final version of the implementation Indicator Worksheet, for a total period of three years (effective term of the assessment), preserving its confidentiality. In case the Assessment Institution is discredited or ceases to exist, all of the respective documents must be transferred to SOFTEX. Pre-task: Prepare the Final Assessment Report and Assessment Result. Input Criterion: Complete assessment documentation duly organized. Output Criterion: Complete assessment documentation duly filed. Responsible individuals: Assessment Institution Coordinator. Participants: - Required products: The final version of the following assessment documents: i. Assessment Plan signed by the lead assessor, Sponsor and local coordinator; ii. Adjustment Report for the Final Assessment completed by the assessed organizational unit MPS.BR-Assessment Guide: /115

77 Generated products: - Tools: - Post-task: - with due adjustment made and signed by the organizational unit representatives in the assessment team, as well as the MR-MPS Implementing Institution representative (if applicable); iii. Final Assessment Report signed by the lead assessor; iv. Assessment Result; v. Nondisclosure Agreement signed by the lead assessor, sponsor, assessment team, and MPS.BR coordinator; vi. Indicator Worksheet. Task: Description: Audit the final assessment All assessments are audited by the MA-MPS Auditor Group, duly supervised by the FCC and coordinated by SOFTEX. The designated auditor performs the audit process and issues the respective audit report. This report may be: APPROVED (the documentation is complete, accurate, and there are no doubts regarding the final assessment result); or NOT APPROVED (there are doubts regarding the final assessment result). If the report is APPROVED, the auditor sends the report to the lead assessor, the AI coordinator and SOFTEX, and authorizes the lead assessor to send the Final Assessment Report to the assessed organizational unit and the contracting party, as well as the Assessment Result to SOFTEX. If the report is APPROVED after due documentation adjustments, such adjustments must be registered in the audit report. If the report is NOT APPROVED, the auditor sends the report to SOFTEX with a copy to the lead assessor and AI coordinator. SOFTEX summons the lead assessor, a representative of the MPS coordination, an OICG representative, and an II representative to attend a clarification meeting in which the Indicator Worksheet and assessment results are analyzed. If doubts and issues are not solved at this meeting, SOFTEX performs an audit process in the assessed organizational unit. MPS.BR-Assessment Guide: /115

78 Pre-task: Input Criterion: Output Criterion: Send the final assessment documentation to the auditor Final assessment documentation received by the auditor. Audit completed. Responsible individuals: Auditor assigned by ETM. Participants: - Required products: Assessment Plan, Adjustment Report for the Final Assessment, Final Assessment Report, Assessment Result, Nondisclosure Agreement signed by the lead assessor, sponsor and assessment team, in three counterparts 6, Assessment Process Assessment by the Assessment Team, Assessment Process Assessment by the Lead Assessor. Generated products: Tools: Post-task: Audit Report. Text editor. Implement adjustments to the final assessment documentation or Send Final Assessment Report to the sponsor, Send Assessment Result Notification to SOFTEX, and Send assessment documentation to SOFTEX. Task: Description: Pre-task: Input Criterion: Output Criterion: Perform adjustments to the final assessment documentation If the Audit Report indicates items to be corrected, the lead assessor applies all corrections and resubmits corrected documents to the auditor for analysis. This process must be repeated until the auditor approves all documents. Audit the final assessment. Responsible individuals: Lead Assessor. Participants: Required products: Generated products: Tools: Need for adjustments in documents analyzed by the auditor. Documentation approved and filed. Auditor. Audit Report. Corrected documents. Text editor. 6 In case it is not submitted by the end of the initial assessment MPS.BR-Assessment Guide: /115

79 Post-task: Audit the final assessment. Task: Description: Pre-task: Input Criterion: Send the Final Assessment Report to the sponsor Upon due documentation approval by the auditor, the lead assessor sends the Final Assessment Report to the sponsor. The Final Assessment Report must be signed by the lead assessor and initialed on all pages. Audit the final assessment. APPROVED report issued by the auditor. Output Criterion: Final Assessment Report submitted to the Sponsor. Responsible individuals: Lead assessor. Participants: - Required products: APPROVED Final Assessment Report and Assessment Report. Generated products: - Tools: - Post-task: Send Assessment Result Notification to SOFTEX. Task: Description: Pre-task: Input Criterion: Output Criterion: Send a Notification of Assessment Results to SOFTEX Upon due documentation approval by the auditor, the lead assessor sends the Assessment Result to SOFTEX. Along with such notification, the lead assessor must send a photo of the assessment team with the sponsor, as well as statements from the sponsor, organizational unit representative in the assessment team, and lead assessor regarding the assessment process. Audit the final assessment. Responsible individuals: Lead assessor. Participants: - APPROVED report issued by the auditor. Notification submitted to SOFTEX. Required products: Assessment Result, photo, statements, and APPROVED Audit Report. Generated products: - Tools: - MPS.BR-Assessment Guide: /115

80 Post-task: Enter the organizational unit into the SOFTEX database. Task: Send the assessment documentation to SOFTEX Description: Pre-task: Input Criterion: Output Criterion: Upon completion of the audit process, the auditor sends the audit report and all assessment documents to SOFTEX. Audit the final assessment. Audit completed. Audit Report and documentation submitted to SOFTEX. Responsible individuals: Auditor assigned by ETM. Participants: - Required products: Generated products: - Tools: - Post-task: Audit Report and assessment documentation. File assessment documentation at SOFTEX. Activity: Document results In this activity, assessment results in the organizational unit are input into the SOFTEX database for MR-MPS-SW and MR-MPS-SV assessments, and published at the SOFTEX website if duly authorized by the assessed organizational unit. All assessment documents submitted by the auditor are filed at SOFTEX. SOFTEX sends the Nondisclosure Agreement to the organizational unit along with SOFTEX s software process assessment statement (brushed steel plate); in addition, SOFTEX submits another copy of the Nondisclosure Agreement to the AI. Task: Description: Pre-task: Enter the organizational unit in the SOFTEX database The organizational unit s data containing the scope and results of the assessment, Assessment Institution (AI), lead assessor, and assessment team are input into the SOFTEX database of MR- MPS-SW and/or MR-MPS-SV assessed organizational units. Send a Notification of Assessment Results to SOFTEX MPS.BR-Assessment Guide: /115

81 Input Criterion: Output Criterion: Responsible individuals: SOFTEX MPS.BR team. Participants: - Required products: Generated products: Tools: Post-task: The lead assessor submitted due notification of assessment results to SOFTEX and the APPROVED Audit report. Organizational unit and assessment data input into the SOFTEX database of assessed organizational units. APPROVED audit report and Assessment Result notification. SOFTEX database updated. MPS assessment management software. Post on the SOFTEX website (if applicable). Task: Description: Pre-task: Input Criterion: Output Criterion: Responsible individuals: Participants: - Required products: Post on the SOFTEX website (if applicable) After duly stored in the SOFTEX database, the organizational unit and assessment data (if a MR- MPS-SW and/or MR-MPS-SV level has been assigned) is published on the SOFTEX website. This data is only published if the following conditions are met: i. prior consent from the assessed organizational unit; ii. APPROVED assessment audit report; iii. contracted assessment fully paid; iv. documents regarding the evaluation of the assessment by the Sponsor, assessment team, lead assessor, OICG Coordinator and II Coordinator duly received by SOFTEX. Enter the organizational unit into the SOFTEX database. Assessment results in the SOFTEX database of MR-MPS-SW and/or MR-MPS-SV assessed organizational units. Organizational unit and assessment data available on the SOFTEX website. individuals responsible for MPS.BR at SOFTEX. SOFTEX website. Generated products: SOFTEX website updated: software-service process assessment result; SOFTEX statement of software/service process assessment (facsimile of MPS.BR-Assessment Guide: /115

82 Tools: the brushed steel plate); and assessment notification, if possible. MPS assessment management software. Post-task: Send the Nondisclosure Agreement to the organizational unit along with SOFTEX s software/service process assessment statement (brushed steel plate); Send the Nondisclosure Agreement to the AI; and File assessment documentation at SOFTEX. Task: Description: Pre-task: Input Criterion: Output Criterion: Responsible individuals: Participants: - Store assessment documentation at SOFTEX The complete assessment documentation sent by the auditor and the assessment process assessments by the II and OICG (if applicable) are filed at SOFTEX. Send the assessment documentation to SOFTEX; Assessment process assessment by the OICG coordinator (if applicable); and Assessment process assessment by the II (if applicable) Complete assessment documentation and II/OICG assessments received by SOFTEX (if applicable). Assessment documentation filed at SOFTEX. Individuals responsible for MPS.BR at SOFTEX. Required products: Complete assessment documentation, Assessment Process Assessment by the OICG Coordinator (if applicable), Assessment Process Assessment by the II (if applicable). Generated products: Tools: - Post-task: - Documents filed at SOFTEX. Task: Send the Nondisclosure Agreement to the organizational unit along with SOFTEX s software process assessment statement (brushed steel plate) Description: SOFTEX sends the signed Nondisclosure Agreement to the organizational unit and schedules the delivery or sends the SOFTEX software process assessment statement (brushed steel plate) to the organizational unit. Pre-task: Enter the Organizational Unit into the SOFTEX database. MPS.BR-Assessment Guide: /115

83 Input Criterion: Output Criterion: Assessment documentation approved and filed. Nondisclosure Agreement signed by SOFTEX and sent to the organizational unit; and SOFTEX software/service process assessment statement (brushed steel plate) sent or scheduled for delivery to the organizational unit. Responsible individuals: Individuals responsible for MPS.BR at SOFTEX. Participants: - Required products: Generated products: - Tools: - Post-task: - Signed Nondisclosure Agreement and SOFTEX software/service process assessment statement (brushed steel plate). Task: Send the Nondisclosure Agreement to the AI Description: SOFTEX sends the signed Nondisclosure Agreement to be filed at the AI. Pre-task: Input Criterion: Output Criterion: Publish on the SOFTEX website (if applicable) and/or Input the organizational unit into the SOFTEX database. Assessment documentation approved and filed. Nondisclosure Agreement signed by SOFTEX and sent to the AI. Responsible individuals: Individuals responsible for MPS.BR at SOFTEX. Participants: - Required products: Generated products: - Tools: - Post-task: - Nondisclosure Agreement signed. 7 Assessment Institution (AI) MR-MPS assessments are performed by Assessment Institutions (AI) duly accredited by SOFTEX, as stated in the Accreditation and Control Forum (FCC) report. In order to request accreditation, applicant institutions must meet the following institutional requirements: MPS.BR-Assessment Guide: /115

84 Indicate a proper institutional strategy to qualify assessors, lead and assistant, particularly focused on selection, qualification, and maintenance of assessor skills, based on a combination between knowledge, skills, and personal attributes; Provide an AI coordinator who meets all lead assessor requirements; Provide an AI vice-coordinator who meets all lead assessor requirements (desirable); Provide at least 1 (one) professional who meets initial, intermediary or experienced lead assessor requirements and 1 (one) professional who meets all assistant assessor requirements. Upon due analysis of the accreditation request document and approval from the ETM and the Accreditation and Control Forum (FCC), SOFTEX signs an association term with the Assessment Institution (AI), accrediting the latter for a period of 3 years. The following restrictions will apply to the associations between SOFTEX and the AI, among others: The Assessment Institution (AI) of the organizational unit to be assessed cannot be a MR-MPS Implementing Institution (II) within the same organizational unit or the respective Organizing Institution of Corporate Groups (OICG). Furthermore, the AI may not have provided any type of consulting services to the organizational unit within the assessed level, have members who coordinated activities at the OU within the assessed level and whose results have been used to implement the respective level, or members who have relatives working at the OU in the past two years; As part of the institutional strategy to maintain the competence of its assessors, all AI members must annually attend the Assessor Workshop (WAMPS) and ETM interviews. Non-participation in 2 (two) consecutive Workshops or refresher courses deemed mandatory by ETM, even if duly justified, will discredit the respective lead or assistant assessor. The AI coordinator must annually attend the assessor workshop (WAMPS) and the AI coordinator meeting. These individuals may be represented by other AI coordinators under exceptional circumstances. Noncompliance with this commitment constitutes grounds for AI discrediting. Upon each accreditation renewal, the AI must submit the activity report to SOFTEX, containing due evidence that each of its assessors meets the requirements for re-accrediting lead and assistant assessors, as published on the MPS website. In order to be re-accredited, the AI must have performed at least 1 (one) assessment during the previous accreditation period. In order to be re-accredited, lead assessors must have performed at least one assessment as the lead or assistant assessors during the previous accreditation period. MPS.BR-Assessment Guide: /115

85 7.1 MR-MPS-SW assistant assessor requirements MR-MPS-SW assistant assessors must meet the following minimum educational background, MPS training and professional experience requirements: Educational background: Solid educational background (desirable: specialization course, master s or doctorate degree) and Proven knowledge of Software Engineer focused on software processes. MPS Training: Approval in the Software Implementer Exam (P2-MPS-SW) and Participation in the MA-MPS Assessor Course (C3-MPS) and Approval in the Assessor Exam (P3-MPS-SW). Professional experience: Proven experience of at least 3 (three) years in the Software Engineering area; and Proven experience with relevant participation in 3 (three) software process implementations in which the organizational unit officially received a MR-MPS maturity level or Proven experience of 3 (three) years in software project management 7, at least. 7.2 MR-MPS-SV assistant assessor requirements MR-MPS-SV assistant assessors must meet the following minimum educational background, MPS training and professional experience requirements: Educational background: Solid educational background (desirable: specialization course, master s or doctorate degree) and Proven knowledge in processes. MPS Training: 7 For the MPS, the software project manager is responsible for planning and controlling projects involving software development and/or maintenance. This function may have different titles in organizations, the most common of which are project leader and project manager. However, this function is often performed by professionals under other titles. It is not uncommon to be performed by professionals under the functional category of system analysts or head of sector. During the analysis, it is imperative to investigate functions performed and request explicit statements from the direct superior or employer in case of doubts. MPS.BR-Assessment Guide: /115

86 Approval in the Service Implementer Exam (P2-MPS-SV) and Participation in the MA-MPS Assessor Course (C3-MPS) and Approval in the Assessor Exam (P3-MPS-SV). Professional experience: Proven experience of at least 3 (three) years in IT service processes and Proven experience in 3 (three) service process implementations in which the organizational unit officially received a MR-MPS-SV maturity level or Proven experience of at least 3 (three) years in IT service project management. 7.3 MR-MPS-SW initial lead assessor requirements MR-MPS-SW lead assessors must meet the following minimum educational background, MPS.BR training and professional experience requirements: Educational background: Same requirements applicable to MR-MPS-SW assistant assessors MPS.BR Training: In addition to the MR-MPS-SW assistant assessor requirements: Participation in at least 6 (six) MR-MPS-SW assessments as assistant assessor Lead assessor training carried out by an Assessment Institution and Approval as lead assessor after performing 1 (one) MR-MPS-SW assessment at levels G or F (preferred) observed by an experienced lead assessor appointed by ETM-Assessment. Professional experience: Same requirements applicable to MR-MPS-SW assistant assessors 7.4 MR-MPS-SV initial lead assessor requirements MR-MPS-SV lead assessors must meet the following minimum educational background, MPS.BR training and professional experience requirements: Educational background: MPS.BR-Assessment Guide: /115

87 Same requirements applicable to MR-MPS-SV assistant assessors MPS.BR Training: In addition to the assistant assessor requirements: Participation in at least 6 (six) MR-MPS-SV assessments as assistant assessor MR-MPS-SV lead assessor training carried out by an Assessment Institution and Approval as lead assessor after performing 1 (one) MR-MPS-SV assessment at Levels G or F (preferred) observed by an experienced lead assessor appointed by ETM-Assessment. Professional experience: Same requirements applicable to MR-MPS-SV assistant assessors Considerations regarding MPS lead assessor training courses held at AIs The training of lead assessors must begin at the Assessment Institution to which the assistant assessor belongs. This training must not merely cover observation regarding how the AI lead assessor conducts assessments. This is not enough to ensure proper training and preparation for observed assessments. In this stage of the training process, assistant assessors must perform all initial and final assessment activities under due supervision of AI assessors. The responsibility for these activities must be progressive and extended for as long as necessary to ensure a proper training process. If the assistant assessor does not belong to any AI, after participating in at least 4 assessments as an assistant assessor, he/she must request SOFTEX to assign an AI to undergo this stage of the training process. In either case, the AI coordinator is responsible for training activities, ensuring that the assistant assessor completed this stage at the AI and is ready to be observed as a lead assessor. Considerations regarding joint training for SW and SV lead assessors The lead assessor training process for MR-MPS-SW and MR-MPS-SV assistant assessors may be performed jointly. In this case, applicants to MR-MPS-SW and MR-MPS-SV lead assessors must fulfill the following training requirements, in addition to those applied to assistant assessors: Participation in at least 6 (six) MR-MPS-SW or MR-MPS-SV assessments as assistant assessors (at least 2 (two) assessments in each model); MR-MPS-SW and MR-MPS-SW lead assessor training carried out by an Assessment Institution and Approval as lead assessor after performing 1 (one) assessment at Levels G or F (preferred) in one of the models, observed by an experienced lead assessor appointed by ETM-Assessment. MPS.BR-Assessment Guide: /115

88 Considerations regarding CMMI lead assessors who wish to become MPS assessors The MPS.BR Program acknowledges the lead assessor selection and training program performed by the CMMI Institute. Therefore, in case of lead assessors who wish to also become MPS assessors, all requirements established in the MPS regarding academic background and professional experience for initial and intermediary assessors are duly acknowledged as valid. In order to become MR-MPS-SW assessors, these individuals must be duly qualified by the CMMI Institute to perform SCAMPI assessments under the CMMI-DEV model; in order to become MR-MPS- SV assessors, SEI qualification for SCAMPI assessments under the CMMI-SV model is required. Regarding the MPS training process, lead assessors must fulfill the following requirements: Participation in the Assessor Course (C3-MPS) and Approval in the Assessor Exam (P3-MPS.SW and/or P3-MPS-SV) Upon due approval in the assessor exam, the lead assessors are promoted to assistant assessors. In order to be promoted to MR-MPS-SW lead assessors (in this case, applicants are directly promoted to intermediary lead assessors), they must participate in a MR-MPS-SW assessment as assistant assessors (volunteer or associated to an AI) or participate as a lead assessor in a joint MR-MPS-SW assessment, along with an experienced lead assessor in both cases, who will complete the observation report and submit it to SOFTEX approval. In order to be promoted to MR-MPS-SV lead assessors (in this case, applicants are also directly promoted to intermediary lead assessors), they must participate in a MR-MPS-SV assessment as assistant assessors (volunteer or associated to an AI) or participate as a lead assessor in a joint MR- MPS-SV assessment, along with an experienced lead assessor in both cases, who will complete the observation report and submit it to SOFTEX approval. Lead assessors duly qualified to perform high-maturity assessments by the CMMI Institute must provide due proof of certification to SOFTEX and request promotion to experienced leaders, after being duly approved as MPS assessors. SOFTEX approval will be granted based on the FCC report, upon due analysis of the ETM recommendation and related documents. 7.5 MR-MPS-SW Intermediary lead assessor requirements Initial MR-MPS-SW lead assessors must fulfill the following requirements in order to be accredited as intermediary MR-MPS-SW lead assessors: MPS Training: Participation in 1 (one) MR-MPS-SW assessment of Level E or greater as assistant assessor, participating in a mini-team responsible for level E processes; and Participation in 1 (one) MR-MPS-SW assessment of Levels D, C or greater as assistant assessor, participating in a mini-team responsible for level C or D processes. Professional experience: Proven experience of relevant involvement in implementing software processes in which the respective organizational unit received a MR-MPS-SW maturity level D, C or higher; and MPS.BR-Assessment Guide: /115

89 Leading at least 6 (six) MR-MPS-SW assessments of Levels G or F - at least 2 (two) assessments of Level F. The promotion of an initial MR-MPS-SW lead assessor to intermediary MR-MPS-SV lead assessor is approved by SOFTEX based on the FCC report, upon due analysis of the ETM recommendation and related documents. If rejected, the initial lead assessor may submit a new request for promotion to intermediary lead assessor, following the same procedures of the previous approval request. 7.6 MR-MPS-SV Intermediary lead assessor requirements Initial lead assessors must fulfill the following requirements in order to be accredited as intermediary MR-MPS-SV lead assessors: MPS Training: Participation in 1 (one) MR-MPS-SV assessment of Level E or greater as assistant assessor, participating in a mini-team responsible for level E processes; and Participation in 1 (one) MR-MPS-SV assessment of Levels D, C or greater as assistant assessor, participating in a mini-team responsible for level C or D processes. Professional experience: Proven experience of relevant involvement in implementing service processes in which the respective organizational unit received a MR-MPS-SV maturity level D, C or higher; and Leading at least 6 (six) MR-MPS-SV assessments of Levels G or F - at least 2 (two) assessments of Level F. The promotion of an initial MR-MPS-SV lead assessor to intermediary MR-MPS-SV lead assessor is approved by SOFTEX based on the FCC report, upon due analysis of the ETM recommendation and related documents. If rejected, the initial lead assessor may submit a new request for promotion to intermediary lead assessor, following the same procedures of the previous approval request. 7.7 MR-MPS-SW experienced lead assessor requirements Intermediary lead assessors must fulfill the following requirements in order to be accredited as experienced MR-MPS-SW lead assessors: Educational background: Statistical process control training. This training encompasses two key aspects: (i) participation in statistical process control training courses (ETM is responsible for deciding whether a specific training course in statistical process control is valid, after examining the MPS.BR-Assessment Guide: /115

90 MPS Training: respective course documentation); and (ii) approval by an examining board, which will assess the performance of practical/theoretical activities submitted by the applicants regarding statistical process control or approval in a specific practical exam regarding assessments of levels B and A. Participation in 1 (one) MR-MPS-SW assessment of Levels B or A as assistant assessor, participating in a mini-team responsible for the processes of these levels. This participation must occur upon due approval of items regarding statistical process control training. Professional experience: Leading 4 (four) MR-MPS-SW assessments of Level E, D or C - at least 2 (two) assessments of Level D or C. The promotion of an intermediary MR-MPS-SW lead assessor to experienced MR- MPS-SW lead assessor is approved by SOFTEX based on the FCC report, upon due analysis of the ETM recommendation and related documents. If rejected, the intermediary lead assessor may submit a new request for promotion to an experienced lead assessor, following the same procedures of the previous approval request. 7.8 MR-MPS-SV experienced lead assessor requirements Intermediary lead assessors must fulfill the following requirements in order to be accredited as experienced MR-MPS-SV lead assessors: Educational background: Statistical process control training. This training encompasses two key aspects: (i) participation in statistical process control training courses (ETM is responsible for deciding whether a specific training course in statistical process control is valid, after examining the respective course documentation); and (ii) approval by an examining board, which will assess the performance of practical/theoretical activities submitted by the applicants regarding statistical process control or approval in a specific practical exam regarding assessments of levels B and A. MPS Training: Participation in 1 (one) MR-MPS-SV assessment of Levels B or A as assistant assessor, participating in a mini-team responsible for the processes of these levels. This participation must occur upon due approval of items regarding statistical process control training. Professional experience: MPS.BR-Assessment Guide: /115

91 Leading 4 (four) MR-MPS-SV assessments of Level E, D or C - at least 2 (two) assessments of Level D or C. The promotion of an intermediary MR-MPS-SV lead assessor to experienced MR- MPS-SV lead assessor is approved by SOFTEX based on the FCC report, upon due analysis of the ETM recommendation and related documents. If rejected, the intermediary lead assessor may submit a new request for promotion to an experienced lead assessor, following the same procedures of the previous approval request. Considerations regarding Statistical Process Control training and promotion to experienced lead assessor via a theoretical/practical project. Regarding the theoretical portion of the project, applicants must demonstrate knowledge regarding the area in approximately 20 pages. The practical portion must be related to a MPS-SW or MPS-SV process, in which proper understanding of Project Management (evolution to Level B) and AP 4.1, AP 4.2, AP 5.1, and AP 5.2 is demonstrated in a complete example. The project must have the appropriate size to present a complete example. Lead or assistant assessors who wish to fulfill these two requirements must: (i) (ii) (iii) (iv) (v) Attend at least one theoretical course on Statistical Process Control Submit to SOFTEX due proof of attendance regarding such courses (including the course date, duration, instructor and course abstract, if possible), along with a detailed proposal of the theoretical/practical project to be performed. Upon due approval of the project proposal and completion of respective activities, assessors must sign-up for the oral presentation. Within 1 month prior to the oral presentation date, applicants must submit a printed copy of their projects for a preliminary assessment by the members of the examining board. Assessors must attend the oral presentation at the scheduled date and time, providing a presentation within 40 to 60 minutes, after which the examining board will ask questions regarding the project. Upon due project approval, assessors will be eligible to assess Level A and B MR-MPS-SW and/or MR-MPS-SV assessments conducted by their AI, or request SOFTEX to participate in assessment procedures conducted by other AIs, in case their respective AI does not have an experienced lead assessor. SOFTEX will provide at least one annual opportunity for the oral presentation of applicant projects during the annual MPS Workshops. Another opportunity may be provided during the SBQS. A single project containing MR-MPS-SW or MR-MPS-SV examples fulfills the requirement for both models. 7.9 Transition Period for MR-MPS-SW assessors to be accredited as MR- MPS-SV assessors MR-MPS-SW assessors authorized until February 2013 (Approved in the P3 held in January 2013) may be accredited as MR-MPS-SV assessors in the same accreditation level as the MR-MPS-SW, upon due approval in the service implementer exam (P2-Services). MPS.BR-Assessment Guide: /115

92 Promotions to other levels, however, must follow the rules for MR-MPS-SV assessors of each respective level. 8 Lead Assessor s Observation 8.1 Lead assessor s observation procedure AIs with assistant assessors eligible for observation as lead assessors must submit a letter to SOFTEX, signed by the AI Coordinator, requesting these assistant assessors to be observed as lead assessors. This letter must be submitted along with the following documents: a. AI coordinator recommendation letter in a specific SOFTEX form (Template available at the SOFTEX website). b. Lead assessor applicant letter to SOFTEX requesting due observation as lead assessor. This letter must: Evidence and demonstrate that the applicant fulfills the conditions of initial lead assessor (attach documented Resume for initial lead assessor requirements not fulfilled due to enrollment in the MPS assessor course). Indicate all assessments in which the applicant has participated, indicating the respective company, date, level, lead assessor and activities performed. Request SOFTEX to assign an observer (applicants may recommend observers from the SOFTEX observer staff, along with due justifications, although this recommendation does not obligate SOFTEX in any way). c. Letter of recommendation of all lead assessors with whom the applicant has participated in assessment procedures. The latter must complete the letters of recommendation in the SOFTEX form and submit them in sealed envelopes, which will be submitted to SOFTEX along with the remaining documents (Template available on the SOFTEX website). The financial contribution regarding the observation request must be duly paid to SOFTEX. The originals and three copies of all documents must be sent to SOFTEX, except for the letters of recommendation of lead assessors. Assistant assessors eligible for observation as lead assessors and not associated to any AI must submit a letter to SOFTEX requesting due observation as lead assessors. This letter must: Evidence and demonstrate that the applicant fulfills the conditions of initial lead assessor (attach documented Resume for initial lead assessor requirements not fulfilled due to enrollment in the MPS assessor course). Indicate all assessments in which the applicant has participated as an observer, indicating the respective company, date, level, and lead assessor. MPS.BR-Assessment Guide: /115

93 Inform the AI responsible for their specific training and assessments performed with the AI, indicating the respective company, date, level, lead assessor and activities performed. Indicate to which Assessment Institution they will belong and whether this will be the first one. Lead assessor. Request SOFTEX to assign an observer (applicants may recommend observers from the SOFTEX observer staff, along with due justifications, although this recommendation does not obligate SOFTEX in any way). This observer may not be from the AI where lead assessor training procedures were completed. This letter must be submitted along with the following documents: AI coordinator recommendation letter in a specific SOFTEX form (Template available at the SOFTEX website). Letter of recommendation of all lead assessors with whom the applicant has participated in assessment procedures. The latter must complete the letters of recommendation in the SOFTEX form and submit them in sealed envelopes, which will be submitted to SOFTEX along with the remaining documents (Template available on the SOFTEX website). The financial contribution regarding the observation request must be duly paid to SOFTEX. The originals and three copies of all documents must be sent to SOFTEX, except for the letters of recommendation of lead assessors. In both of the cases above, the following procedures are carried out after SOFTEX receives the request: a. SOFTEX forwards a copy of the complete documentation (including copies of letters of recommendations from lead assessors) to each member of ETM-Assessment. b. The ETM-Assessment coordinator assigns a member of the group to analyze the documentation and report. c. Upon receiving the report, ETM-Assessment debates until reaching a final report, which is duly signed and returned to SOFTEX by the ETM- Assessment coordinator. d. SOFTEX notifies the AI coordinator and assistant assessor of the result, as applicable. e. SOFTEX performs all procedures to ensure applicants are submitted to assessments under due observation. f. After the observed assessment process, the designated observer submits a report in a specific form to ETM-Assessment members, which mutually establish the final result: recommended or not recommended. The recommended result means that the applicant is eligible to lead G and F assessments under any circumstances. Any other scenario will generate the not recommended result. g. Not recommended applicants may only petition to a new observation process after six (6) months and after having new experiences as assistant assessors. The new observation request must follow the same procedures MPS.BR-Assessment Guide: /115

94 previously described. The report is sent to SOFTEX by the ETM- Assessment Coordinator to notify the applicants and the AI (if applicable). h. In case of recommended results, SOFTEX submits the observation report and the ETM-Assessment result to the FCC (Accreditation and Control Forum), to generate the final report. The FCC issues the final report. SOFTEX notifies the FCC s decision to the AI, the observed assessor and the ETM-Assessment coordinator. i. If the applicant already belongs to an AI, SOFTEX updates the observed lead assessor status from assistant assessor to initial lead assessor on the SOFTEX website. 8.2 Lead assessor observation coverage Lead assessor observations occur after a training period in a certain AI, in which the applicants to lead assessors performed all assessment activities under supervision of an AI lead assessor and under the responsibility of the AI coordinator. Therefore, applicants to lead assessors already have the MPS assessor kit and prior experience in developing the entire MPS assessment documentation. Therefore, it is expected that these applicants are capable of performing all proper activities in a timely fashion during the observation process, without any assistance or interference from the observer. Lead assessor observations include: Observing all applicant communications with the assessed organizational unit, from the submission of the Plan and Worksheet to the submission of the Final Report to SOFTEX for audit purposes and, subsequently, to the organizational unit. Observe applicant performance during initial assessments. The observer must only interfere if applicants make mistakes. Observers must never manifest opinions or provide assistance to applicants. Observe applicants during final assessments. The observer must only interfere if applicants make mistakes. Observers must never manifest opinions or provide assistance to applicants. Accompany applicants during sponsor meetings. Observe technical aspects (knowledge regarding the MPS model and assessment method) and behavioral aspects (particularly regarding leadership skills). Considerations regarding the designation of the observer In order to prevent any conflict of interests, observers may not belong to the same AI or II as applicants or be applicant relatives. Furthermore, observers may not belong to the II or OICG responsible for MR MPS implementation within the company in which the observed assessment will be carried out. In case of lead assessor applicants who do not belong to any AI, observers must not belong to the AI responsible for training the respective applicants. MPS.BR-Assessment Guide: /115

95 Considerations regarding the need for new observation processes Lead assessor observations may also be recommended to SOFTEX by ETM- Assessment based on the result of audits, in situations in which lead assessors must undergo performance assessments once again. In case new observation processes are required, SOFTEX designates an observer and notifies the lead assessor that he/she can no longer lead assessments prior to the performance of the observation process and due result approval by the FCC. 8.3 Procedure to request lead assessor level changes AIs with lead assessors eligible to request level changes from initial lead assessor to intermediary lead assessor, or intermediary lead assessor to experienced lead assessor, must submit a letter to SOFTEX, signed by the AI Coordinator, requesting this change. This letter must be submitted along with the following documents: a. AI coordinator recommendation letter in a specific SOFTEX form (Template available at the SOFTEX website). b. Lead assessor letter to SOFTEX requesting lead assessor level changes. This letter must: Evidence and demonstrate that applicants fulfill all lead assessor conditions within the requested level and model (attach documented Resume for requirements). Indicate all assessments led by the assessor since the last classification, detailing the MPS model, company, date and level. Indicate all assessments in which the applicant participated as assistant assessor in the requested levels, detailing the respective MPS model, company, date, level, processes assessed by the miniteam and lead assessor. c. Letter of recommendation of all lead assessors with whom the applicant has participated in assessment procedures within the requested level. The latter must complete the letters of recommendation in the SOFTEX form and submit them in sealed envelopes, which will be submitted to SOFTEX along with the remaining documents (Template available on the SOFTEX website). d. Letter of recommendation from auditors of the last 4 assessments in which the applicant acted as the lead assessor. The latter must complete the letters of recommendation in the SOFTEX form and submit them in sealed envelopes, which will be submitted to SOFTEX along with the remaining documents (Template available on the SOFTEX website). A financial contribution regarding the change request must be duly paid to SOFTEX, which may be accompanied by other requests. The originals and three copies of all documents must be sent to SOFTEX, except for the letters of recommendation of lead assessors and auditors. The following procedures are carried out after SOFTEX receives the request: a. SOFTEX forwards a copy of the complete documentation (including copies of letters of recommendations from lead assessors and auditors) to each member of ETM-Assessment. MPS.BR-Assessment Guide: /115

96 b. The ETM-Assessment coordinator assigns a member of the group to analyze the documentation and report. c. The ETM-Assessment member submits a report in a specific form to ETM- Assessment members, which mutually establish the final result: recommended or not recommended. Not recommended applicants may only submit a new request after six months and after having new experiences as lead and assistant assessors. The report is sent to SOFTEX to notify the applicant and AI in case of not recommended results. In case of recommended results, SOFTEX submits the assessment report and the report of the FCC (Accreditation and Control Forum) group of observers, to generate the final report. d. The FCC (Accreditation and Control Forum) issues the final report. e. SOFTEX notifies the FCC s decision to the AI, the lead assessor, and the ETM-Assessment coordinator. f. SOFTEX updates the lead assessor status on the SOFTEX website, if applicable. Considerations regarding permanence as MPS assessor not associated to the AI. Every 3 years, as of the assessor exam approval date, assessors must send a report of their activities to SOFTEX (in accordance with the SOFTEX template), along with due evidence, in order to meet the requirements to remain accredited assessors. Considerations regarding permanence as MPS lead assessor Every 3 years, upon due AI re-accreditation, it must be proven that all lead assessors performed at least one assessment as lead or assistant assessors. Lead assessors who fail to meet this condition return to the status of assistant assessors and may only lead MPS assessments after undergoing new observation processes. 9 Roles and responsibilities 9.1 Assessment sponsor check all accredited Assessment Institutions (AI) on the SOFTEX website before contracting an assessment (in case of the contracting party); request proposals from one or more Assessment Institutions (AI), in case of the contracting party; select and contract an Assessment Institution (AI), among the institutions that submitted proposals, in accordance with its respective selection criteria, in case of the contracting party; sign the established Assessment Plan commitment and Nondisclosure Agreement pertaining to the assessment process; MPS.BR-Assessment Guide: /115

97 ensure all resources required to perform the assessment are available to the assessment team; actively participate in the final assessment kick-off meeting, demonstrating due commitment, the importance of the assessment, and encouraging the commitment of all parties involved; participate in the Assessment Result Notification meeting for organizational unit employees; assess the assessment process to provide feedback to SOFTEX regarding the assessment process and all related institutions/aspects. 9.2 Assessment Institution (AI) Coordinator designate an AI lead assessor and one or more AI assistant assessors to perform the assessment process; notify SOFTEX of the contract to perform a MR-MPS assessment; assess the assessment process to provide feedback to SOFTEX regarding the assessment process and all related institutions/aspects; ensure that the assessment documentation is sent to the designated auditor after the initial and final assessments; ensure the assessment report is sent to the sponsor at the assessed organizational unit upon due audit approval. 9.3 Lead assessor interact with the sponsor, local coordinator, and SOFTEX; plan the assessment; ensure due commitment from the sponsor and other assessment team members towards the assessment. ensure all assessment participants are aware of the Assessment Method, plan, objectives, and scope; lead the initial assessment, generate the Adjustment Report for the Final Assessment and the Initial Assessment Result document, and send them to the designated auditor immediately upon conclusion of the initial assessment; organize mini-teams; train assessment teams; assigns tasks to the assistant assessor and mini-teams; ensure the MA-MPS Assessment Method and Process are followed; monitor the assessment schedule; gather initial assessment documents and send them to the designated auditor; MPS.BR-Assessment Guide: /115

98 seek consensus in decisions and solve conflicts and disputes, if necessary; coordinate interviews; present assessment results to the sponsor and the organizational unit; ensure the sponsor and assessment team assess the assessment process; assess the assessment process to provide feedback to SOFTEX regarding the assessment process and all related institutions/aspects; generate the Final Assessment Report; gather final assessment documents and send them to the designated auditor; send the Final Assessment Report to the sponsor upon due auditor approval; notify assessment results to SOFTEX upon due auditor approval; attend on-site audit meetings whenever necessary. 9.4 AI assistant assessor support the lead assessor and the assessment team; participate in the initial and final assessment training processes; train the assessment team if requested by the lead assessor; perform the assessment based on all rules and conditions set out in the MA-MPS; evaluate the assessment process, with a view to providing feedback to SOFTEX regarding the assessment process and all related institutions/aspects. 9.5 Volunteer assistant assessor support the lead assessor and the assessment team; participate in the initial and final assessment training processes; train the assessment team if requested by the lead assessor; perform the assessment based on all rules and conditions set out in the MA-MPS; evaluate the assessment process, with a view to providing feedback to SOFTEX regarding the assessment process and all related institutions/aspects. 9.6 Assessment team participate in the initial and final assessment training processes; check results based on indicators; MPS.BR-Assessment Guide: /115

99 perform interviews; characterize the level of implementation of results; identify strengths, weaknesses, and improvement opportunities; decide the MR-MPS maturity level to be attributed to the assessed organizational unit; evaluate the assessment process, with a view to providing feedback to SOFTEX regarding the assessment process and all related institutions/aspects. 9.7 Implementing Institution (II) assist the organizational unit in assessment preparations; participate in the initial assessment process through a representative; assist the organizational unit in implementing due adjustments after the initial assessment; assess the assessment process to provide feedback to SOFTEX regarding the assessment process and all related institutions/aspects (if applicable). Attend on-site audit meetings whenever necessary. 9.8 Organizing Institution of Corporate Groups (OICG) check all accredited Assessment Institutions (AI) on the SOFTEX website before contracting an assessment; request proposals from one or more Assessment Institutions (AI); select and contract one or more Assessment Institutions (AI), among those that submitted proposals, in accordance with its selection criteria and in mutual agreement with the organizational units to be assessed and the Implementing Institution (II); Ensure the proper involvement of the Implementing Institution (II) during the adjustment phase after the initial assessment; assess the assessment process to provide feedback to SOFTEX regarding the assessment process and all related institutions/aspects (if applicable). Attend on-site audit meetings whenever necessary. 9.9 Auditor check the initial and final assessment documentation; Develop the audit report; Send assessment documents and the audit report to SOFTEX upon completion of the audit process; Send the audit report to the lead assessor and AI coordinator; MPS.BR-Assessment Guide: /115

100 Meet with the lead assessor during the clarification meeting in case of NOT APPROVED reports (i.e. whenever there are doubts regarding the results of the final assessment). Attend on-site audit meetings whenever necessary Lead assessor observer Send the assessor kit to the lead assessor applicant in order to adopt all proper measures to begin the assessment process; Rigorously observe lead assessor applicants during the initial and final assessments; Correct lead assessor applicants in case of mistakes, ensuring the assessment process is performed correctly (Observers must only Interfere in case lead assessor applicants make mistakes. Otherwise, observers must never manifest opinions or provide assistance to applicants); Observe all lead assessor applicant communications with the assessed organizational unit, from the submission of the Plan and Worksheet to the submission of the Final Report to the auditor and, subsequently, to the organizational unit; Review all assessment documents before any submission; Review result presentation documents before effective presentations to the organizational unit; Accompany lead assessor applicants during sponsor meetings; Complete the observation form, documenting all relevant events for the final decision of the observer team regarding the lead assessor applicant; Submit the completed observation report to the observer team coordinator for consensual decision; Submit the completed and signed observation form to SOFTEX SOFTEX Maintain a list of accredited Assessment Institutions (AI) on its website; Authorize assessments, after the respective assessment team and documentation have been duly approved, the SOFTEX contribution has been paid, and there are no other impediments; Submit the contracting party s request to perform an observed assessment or for the participation of volunteer assistant assessors in training; Submit the Nondisclosure Agreement signed by SOFTEX to the assessed organizational unit along with SOFTEX s software process assessment statement (brushed steel plate); Submit the Nondisclosure Agreement signed by SOFTEX to the Assessment Institution (AI); MPS.BR-Assessment Guide: /115

101 Coordinate the assessment and designate the lead assessor and one or more assistant assessors to perform the assessment, in exceptional cases in which it is directly contracted to perform the assessment; Keep records of assessment documents; Keep records of performed assessments in its database; Publish performed assessments on its website, upon prior permission of involved organizations; Summon the lead assessor to a clarification meeting held with the auditor to analyze the Indicator Worksheet, in case of NOT APPROVED audit results; and, if applicable doubts are not solved during this meeting, perform an audit process at the assessed organizational unit. Summon the lead assessor, II representative, AI representative, and a representative of the assessed Organizational Unit, if applicable, to an onsite audit clarification meeting in case assessment results are inconsistent with the 100% compliance statement provided by the OICG to SOFTEX. MPS.BR-Assessment Guide: /115

102 Attachment A Compliance with ISO/IEC :2003 A1. Compliance of the Process Reference Model Assessments performed by MA-MPS use the MR-MPS-SW described in the Software General Guide 2012 [SOFTEX, 2013a] and MR-MPS-SV described in the Service General Guide 2012 [SOFTEX, 2012a] as reference models. Both reference models establish seven levels of process maturity for software manufacturers: A (Under Optimization), B (Quantitatively Managed), C (Defined), D (Extensively Defined), E (Partially Defined), F (Managed) and G (Partially Managed). Processes and process attributes were assigned to each of these seven level of maturities, which indicate the area to which organizational unit efforts must be directed to generate improvement, in accordance with the respective business objectives and the Reference Model. The target community of the MR-MPS-SW includes public and private companies of different sizes and characteristics operating in software development and maintenance. The MR-MPS-SW aims to fulfill the need to adequately implement Software Engineering principles based on the context of Brazilian companies. The MR-MPS is established in accordance with international standard ISO/IEC 12207:2008 [ISO/IEC, 2008], adapted to the needs of the target community. The target community of the MR-MPS-SV includes public and private companies of different sizes and characteristics that provide services (particularly IT services). The MR-MPS-SV aims to fulfill the need to adequately implement best service practices and principles based on the context of Brazilian companies. The MR-MPS-SV is established in accordance with international standard ISO/IEC 12207:2008 [ISO/IEC, 2008] and ISO/IEC 20000:2011 [ISO/IEC, 2011], adapted to the needs of the target community. A thorough survey among the implementer and assessor community is performed to define and revise reference models. ETM is responsible for the final result. A2. Compliance of the Process Assessment Model Compliance of the MA-MPS Assessment Process with ISO/IEC :2003 [ISO/IEC, 2003] regarding process tasks and activities The following table maps the activities required for an assessment process compliant with the ISO/IEC :2003 [ISO/IEC, 2003] standard and the MA-MPS Assessment Process activities. ISO/IEC :2003 MA-MPS Assessment Process - Search assessment institutions - Execute agreements - Implement the assessment Planning Plan the assessment MPS.BR-Assessment Guide: /115

103 Data collection Data validation Data Planning/Collection Data validation / Assignment of level to process attributes / Result reporting Prepare the assessment Conduct the initial assessment Complete the assessment preparation Perform the final assessment - Evaluate the execution of the assessment process Result reporting Result reporting Report Results Document Results Compliance of the MA-MPS Assessment Process with ISO/IEC :2003 [ISO/IEC, 2003] regarding roles and responsibilities The roles and responsibilities related to the MA-MPS Assessment Process are described in section 11 of the MA-MPS Assessment Guide and comply with all requirements set out in section 4.3 of the ISO/IEC :2003 [ISO/IEC, 2003] Standard. Compliance of the MA-MPS Assessment Process with ISO/IEC :2003 [ISO/IEC, 2003] regarding process inputs Assessment inputs are described in the Assessment Plan, as developed during the Plan the assessment task. This task is performed prior to the data collection, performed during the Develop the assessment task. The Assessment Plan to be developed according to the SOFTEX Assessment Plan template specifies the following items: Identification of the MA-MPS Assessment Method and Process and the MPS Reference Model (MR-MPS) of the assessment; Company information (name, year of incorporation, number of employees involved in software activities, area of application of corporate products and services, key features of products and services); Assessment objective; Assessment parameters (scope defining the highest level to be assessed, processes and process results removed with due justifications, assessment sponsor, and organizational scope); General assessment schedule; Projects selected for assessment; Assessment team (lead assessor, assistant assessors, company representatives); Lead assessor observer (if applicable); Assessment participants and respective roles; Duration and schedule of initial and final assessment tasks/activities at the organizational unit; MPS.BR-Assessment Guide: /115

104 Property of assessment results; Assessment result use restrictions. The competency criteria of the lead assessor, responsible for the assessment, and the assistant assessor must be duly indicated in the Assessment Institution s Proposal. The Nondisclosure Agreement, developed according to the respective SOFTEX template, is signed by the lead assessor, assistant assessor and sponsor during the Plan the Assessment task, as well as other team members before engaging in any assessment task. These inputs comply with the requirements set out in section 4.4 of the ISO/IEC :2003 [ISO/IEC, 2003] standard. Compliance of the MA-MPS Assessment Process with ISO/IEC :2003 [ISO/IEC, 2003] regarding assessment records. The Assessment Report developed according to the SOFTEX MR-MPS Assessment Report template specifies the following items: Identification of the MA-MPS Assessment Method and Process Company information (name, address, year of incorporation, number of employees involved in software activities, area of application of corporate products and services, key features of products and services); Assessment objective; Assessment parameters (scope defining the highest level to be assessed, processes removed with due justifications, assessment sponsor, and organizational scope); Assessment date; Projects selected for assessment; Assessment team (lead assessor, assistant assessors, organizational unit representatives, and other team members); Assessment participants and respective roles; Evidence collected; Results by process area; General Model observations; Other general observations; MR-MPS maturity level of the Organizational Unit. This record complies with the requirements set out in section 4.5 of the ISO/IEC :2003 [ISO/IEC, 2003] standard. MPS.BR-Assessment Guide: /115

105 Compliance of the MA-MPS Assessment Process with ISO/IEC :2003[ISO/IEC, 2003][ISO/IEC, 2003] regarding the assignment of levels to processes and process attributes. According to the MA-MPS Assessment Method and Process, process and process attribute results are measured based on the same ordinal scale defined in section 5.7 of the ISO/IEC :2003 standard. Compliance of the MA-MPS Assessment Process with ISO/IEC :2003 [ISO/IEC, 2003] regarding the assignment of level. According to the MA-MPS Assessment Method and Process, MR-MPS levels are assigned based on process and process attribute results, including the maturity and capacity scopes. The assignment of levels to process attributes follows the provisions of table 1 in section 5.8 of the ISO/IEC :2003 standard. The assignment of levels to process results follows the percentage set out in section 5.7 of the ISO/IEC :2003 standard. A3. Assessment Compliance with the Process Compliance of assessments with the MA-MPS Assessment Method and Process is assured via audit procedures carried out by the MA-MPS group of auditors. MPS.BR-Assessment Guide: /115

106 Attachment B List of documents with SOFTEX templates to be used during assessments 1. AI contracting notification to SOFTEX 2. Project/Activity Selection Worksheet 3. Assessment Plan 4. Indicator Worksheet 5. Indicator Worksheet for Joint Assessments 6. Nondisclosure Agreement 7. Final Assessment Adjustments Report 8. Initial Assessment Results 9. Final Assessment Report 10. Supplementary Assessment Report 11. CNPJ [Corporate Taxpayer s Registry] Change Audit Report 12. Assessment Results 13. Assessment Process Assessment by the Sponsor 14. Assessment Process Assessment by the Lead Assessor 15. Assessment Process Assessment by the Assessment Team 16. Assessment Process Assessment by the AI Coordinator (optional) 17. Assessment Process Assessment by the OICG Coordinator (optional) 18. Assessment Process Assessment by the II (optional) 19. Process Selection Worksheet for Performance Assessment (for assessments of levels A and B) MPS.BR-Assessment Guide: /115

107 Attachment C List of slides with SOFTEX templates to be used during assessments 1. Team Training for the Initial Assessment 2. Team Training for the Final Assessment 3. Kick-off Meeting 4. Preliminary Result Presentation 5. Final Result Presentation MPS.BR-Assessment Guide: /115

108 References [ISO/IEC, 2003] INTERNATIONAL ORGANIZATION FOR STANDARDIZATION/ INTERNATIONAL ELECTROTECHNICAL COMISSION. ISO/IEC : Information Technology - Process Assessment Part 2 - Performing an Assessment, Geneve: ISO, [ISO/IEC, 2008] INTERNATIONAL ORGANIZATION FOR STANDARDIZATION/ INTERNATIONAL ELECTROTECHNICAL COMISSION. ISO/IEC Systems and software engineering Software life cycle processes, Geneve: ISO, [ISO/IEC, 2011] INTERNATIONAL ORGANIZATION FOR STANDARDIZATION/ INTERNATIONAL ELECTROTECHNICAL COMISSION. ISO/IEC Information Technology Service Management, Geneve: ISO, [SOFTEX, 2013a]. ASSOCIATION FOR THE PROMOTION OF EXCELLENCE IN BRAZILIAN SOFTWARE SOFTEX. MPS.BR Software MPS General Guide:2013, September Available at: [SOFTEX, 2013b]. ASSOCIATION FOR THE PROMOTION OF EXCELLENCE IN BRAZILIAN SOFTWARE SOFTEX. MPS.BR Acquisition Guide:2013, September Available at: [SOFTEX, 2013c]. ASSOCIATION FOR THE PROMOTION OF EXCELLENCE IN BRAZILIAN SOFTWARE SOFTEX. MPS.BR Implementation Guide Part 1: MR-MPS:2013 Level G Implementation Rationale, September Available at: [SOFTEX, 2013d]. ASSOCIATION FOR THE PROMOTION OF EXCELLENCE IN BRAZILIAN SOFTWARE SOFTEX. MPS.BR Implementation Guide Part 2: MR-MPS:2013 Level F Implementation Rationale, September Available at: [SOFTEX, 2013e]. ASSOCIATION FOR THE PROMOTION OF EXCELLENCE IN BRAZILIAN SOFTWARE SOFTEX. MPS.BR Implementation Guide Part 3: MR-MPS:2013 Level E Implementation Rationale, September Available at: [SOFTEX, 2013f]. ASSOCIATION FOR THE PROMOTION OF EXCELLENCE IN BRAZILIAN SOFTWARE SOFTEX. MPS.BR Implementation Guide Part 4: MR-MPS:2013 Level D Implementation Rationale, September Available at: [SOFTEX, 2013g]. ASSOCIATION FOR THE PROMOTION OF EXCELLENCE IN BRAZILIAN SOFTWARE SOFTEX. MPS.BR Implementation Guide Part 5: MR-MPS:20133 Level C Implementation Rationale, September Available at: [SOFTEX, 2013h]. ASSOCIATION FOR THE PROMOTION OF EXCELLENCE IN BRAZILIAN SOFTWARE SOFTEX. MPS.BR Implementation Guide Part 6: MR-MPS:2013 Level B Implementation Rationale, September Available at: [SOFTEX, 2013i]. ASSOCIATION FOR THE PROMOTION OF EXCELLENCE IN BRAZILIAN SOFTWARE SOFTEX. MPS.BR Implementation Guide Part 7: MPS.BR-Assessment Guide: /115

109 MR-MPS:2013 Level A Implementation Rationale, September Available at: [SOFTEX, 2013j]. ASSOCIATION FOR THE PROMOTION OF EXCELLENCE IN BRAZILIAN SOFTWARE SOFTEX. MPS.BR Implementation Guide Part 8: MR-MPS:2013 Implementation in organizations that acquire software, September 2013 Available at: [SOFTEX, 2013k]. ASSOCIATION FOR THE PROMOTION OF EXCELLENCE IN BRAZILIAN SOFTWARE SOFTEX. MPS.BR Implementation Guide Part 9: MR-MPS:2013 Implementation in organizations of the Software Factory type, September 2013 Available at: [SOFTEX, 2013l]. ASSOCIATION FOR THE PROMOTION OF EXCELLENCE IN BRAZILIAN SOFTWARE SOFTEX. MPS.BR Implementation Guide Part 10: MR-MPS:2013 Implementation in organizations of the Testing Factory type, September 2013 Available at: [SOFTEX, 2012a]. ASSOCIATION FOR THE PROMOTION OF EXCELLENCE IN BRAZILIAN SOFTWARE SOFTEX. MPS.BR Service MPS General Guide:2012, August Available at: [SOFTEX, 2012b]. ASSOCIATION FOR THE PROMOTION OF EXCELLENCE IN BRAZILIAN SOFTWARE SOFTEX. MPS.BR Implementation Guide Part 11: MR-MPS-SW:2011 Implementation and Assessment along with CMMI-DEV v1.3, August 2012; Available at: [SOFTEX, 2012c]. ASSOCIATION FOR THE PROMOTION OF EXCELLENCE IN BRAZILIAN SOFTWARE SOFTEX. MPS.BR Implementation Guide Part 12: Compliance Assessment of the MR-MPS-SW:2012 in relation to NBR ISO/IEC : Software Engineering - Life cycle profiles for microorganizations (VSEs) - Part 4-1: Profile specifications: Generic Profile Group, September Available at: [SOFTEX, 2012d]. ASSOCIATION FOR THE PROMOTION OF EXCELLENCE IN BRAZILIAN SOFTWARE SOFTEX. MPS.BR Implementation Guide Part 13: Mapping and equivalence system between MR-MPS-SW:2012 and MoProSoft:2005, October Available at: [SOFTEX, 2013a]. ASSOCIATION FOR THE PROMOTION OF EXCELLENCE IN BRAZILIAN SOFTWARE SOFTEX. MPS.BR Assessment Guide:2013, August Available at: In case of undated MPS.BR Guides, the most recent version available at must be used. MPS.BR-Assessment Guide: /115

110 List of contributors of the Assessment Guide: 2013 Editors: Ana Regina C. Rocha Cristina Filipak Machado Gleison dos Santos Souza COPPE/UFRJ CELEPAR and QualityFocus (ETM Coordinator) UNIRIO and COPPE/UFRJ Reviewers: Ana Liddy de Castro Magalhães QualityFocus and UFMG Danilo Scalet CELEPAR Kival Chaves Weber SOFTEX Nelson Franco SOFTEX Renato Della Volpe ASR MPS.BR-Assessment Guide: /115

111 List of contributors of the Assessment Guide:2012 Editors: Ana Regina C. Rocha Cristina Filipak Machado Gleison dos Santos Souza COPPE/UFRJ (ETM Coordinator) CELEPAR and QualityFocus UNIRIO and COPPE/UFRJ Reviewers: Danilo Scalet CELEPAR José Antonio Antonioni SOFTEX Kival Chaves Weber SOFTEX Nelson Franco SOFTEX Ana Liddy de Castro Magalhães QualityFocus and Universidade FUMEC Rafael Prikladnicki PUCRS MPS.BR-Assessment Guide: /115

112 List of contributors of the Assessment Guide:2011 Editors: Ana Regina C. Rocha Cristina Filipak Machado Gleison dos Santos Souza COPPE/UFRJ (ETM Coordinator) CELEPAR and QualityFocus UNIRIO and COPPE/UFRJ Reviewers: Danilo Scalet José Antonio Antonioni Kival Chaves Weber Nelson Franco CELEPAR SOFTEX SOFTEX SOFTEX MPS.BR-Assessment Guide: /115

113 List of contributors of the Assessment Guide:2009 Editors: Ana Regina C. Rocha Cristina Filipak Machado Marcio Pecegueiro do Amaral COPPE/UFRJ (ETM Coordinator) CELEPAR and QualityFocus RIOSOFT Collaborators: Ana Cecília Peixoto Zabeu ASR Consultoria e Assessoria em Qualidade Ana Cervigni Guerra CTI Ana Liddy de Castro Magalhães QualityFocus and Universidade FUMEC Danilo Scalet CELEPAR Edmeia Andrade EMBRAPA/Department of Agriculture Gleison Santos de Souza COPPE/UFRJ Heron Vieira Aguiar SWQuality Mariano Montoni COPPE/UFRJ Nelson Franco SOFTEX Sheila Reinehr PUCPR and QualityFocus Reviewer: Danilo Scalet CELEPAR MPS.BR-Assessment Guide: /115

114 List of contributors of the Assessment Guide v 1.1 Editors: Ana Regina C. Rocha Cristina Filipak Machado Marcio Pecegueiro do Amaral COPPE/UFRJ (ETM Coordinator) CELEPAR/SWQuality RIOSOFT Collaborators: Alfredo Tsukumo CENPRA Ana Liddy de Castro Magalhães SWQuality Carlos Barbieri FUMSOFT David Yoshida ITS Software Technology Institute of São Paulo Heron Vieira Aguiar SWQuality Kival Chaves Weber SOFTEX Mariano Montoni COPPE/UFRJ Reviewers: Danilo Scalet Edmeia Andrade Fábio Bianchi Campos Francisco Vasconcellos Káthia Marçal de Oliveira Kival Chaves Weber Mariano Montoni CELEPAR EMBRAPA/Department of Agriculture Universidade Católica de Brasília Brazilian Navy Universidade Católica de Brasília SOFTEX COPPE/UFRJ MPS.BR-Assessment Guide: /115

115 List of contributors of the Assessment Guide v1.0 Editors: Ana Regina C. Rocha Cristina Filipak Machado COPPE/UFRJ (ETM Coordinator) CELEPAR / QualityFocus Consultoria e Sistemas Collaborators: Alessandra Anacleto Wust Clenio F. Salviano Fernando Muradas Kival Chaves Weber Marcio Pecegueiro Amaral Mariano Montoni Rosangela Pinto Silva Sarah Kohan SOCIESC/IST CenPRA Brazilian Navy / COPPE/UFRJ SOFTEX RIOSOFT COPPE/UFRJ ValueTeam IT Consulting & Solutions Fundação Carlos Alberto Vanzolini Reviewers: Ana Cristina Rouiller Ana Cervigni Guerra Arnaldo Dias Belchior Carlos Barbieri Universidade Federal Rural de Pernambuco CenPRA Universidade de Fortaleza Centro de Competência FUMSOFT em MPS.BR e CMMI Cássia R. de Carvalho Leite MSA INFOR Sistemas e Automação Ltda / Centro de Competência FUMSOFT em MPS.BR e CMMI Claudia Capelli Danilo Scalet David Yoshida Francisco José Vasconcellos Kathia Marçal de Oliveira Odisnei Galarraga Roberto Gavioli NP2TEC/UNIRIO CELEPAR ITS Software Technology Institute of São Paulo Brazilian Navy /COPPE/UFRJ Universidade Católica de Brasília QualityFocus Consultoria e Sistemas ITS Software Technology Institute of São Paulo/GRC Consultoria MPS.BR-Assessment Guide: /115