Post on 10-Apr-2015
CMMI Combined Tutorial Feb 16, 2004
CMMI V1.1 and Appraisal Tutorial
Mike Phillips, CMMI Program Manager
Sponsored by the U.S. Department of Defense© 2004 by Carnegie Mellon University
Pittsburgh, PA 15213-3890
2CMMI Combined Tutorial Feb 16, 2004
Agenda
• Why focus on Process?
• Background – Why use a Model?
• CMMI Structure
• Comparisons with SW-CMM v1.1
• Process Areas Overview
• Appraisal Methodology
• Training
3CMMI Combined Tutorial Feb 16, 2004
Everyone realizes the importance ofhaving a motivated, quality work forcebut...
• ...even our finest peoplecan’t perform at their bestwhen the process is notunderstood or operating“at its best.”
PEOPLE
PROCESSTECHNOLOGY
Quality Leverage Points
Major determinants of productcost, schedule, and quality
4CMMI Combined Tutorial Feb 16, 2004
General Definition of Process
• A process is a set of practices performed to achievea given purpose; it may include tools, methods,materials, and/or people.
• While process is often described as a leg of theprocess-people-technology triad, it may also beconsidered the “glue” that unifies the other aspects.
• How do you define process?
5CMMI Combined Tutorial Feb 16, 2004
Why Focus on Process?
• Process provides a constructive, high-leverage focus...–as opposed to a focus on people
»Your work force, on the average, is as “good”as it is trained to be.
»Working harder is not the answer.»Working smarter, through process, is the
answer.–as opposed to a focus on technology
»Technology applied without a suitable roadmapwill not result in significant payoff.
»Technology provides the most benefit in thecontext of an appropriate process roadmap.
6CMMI Combined Tutorial Feb 16, 2004
Underlying Premise of ProcessImprovement
“The quality of a product islargely determined by thequality of the process that isused to develop andmaintain it.”
Based on TQM principles as taught byShewhart, Juran, Deming and Humphrey.
7CMMI Combined Tutorial Feb 16, 2004
Early Process Improvement
• The theories of process management are a synthesis ofthe concepts of Deming, Crosby, Juran, and others.
• Over the past 30 years, these theories have been used toaddress problems common to many organizations.
• Solutions have been discovered, but a gap existedbetween the state of the practice and the state of the art.
• Many of these concepts have been used to buildprocess-improvement models.
8CMMI Combined Tutorial Feb 16, 2004
What Is a Process Model?
• A model is a structured collection of elements thatdescribe characteristics of effective processes.
• Processes included are those proven by experienceto be effective.
9CMMI Combined Tutorial Feb 16, 2004
How Is a Model Used?
• to help set process improvement objectives andpriorities, improve processes, and provide guidancefor ensuring stable, capable, and mature processes
• as a guide for improvement of organizationalprocesses–a place to start–shares the benefit of a community’s prior experiences–a common language and a shared vision–simplified approximations of reality that provide insight
“All models are wrong, but some are useful.”–George Box
10CMMI Combined Tutorial Feb 16, 2004
The Problem
• Systems and softwaredisciplines have traditionallynot been well integrated
• The importance of software insystems has increaseddramatically–Example: % of
requirements allocated tosoftware: *»B-2 Stealth Bomber-- 65%»F-22 Raptor -- 80%
• The DOD has emphasized theneed to make thesystems/software interfacemore seamless
Systems Software
* Source: Standish Group Chaos Report
11CMMI Combined Tutorial Feb 16, 2004
Bridging the Divide
• Systems engineering andsoftware engineeringprocesses are integrated.
• Integrates systems andsoftware disciplines intoone processimprovement framework.
• Provides a framework forintroducing newdisciplines as needsarise.
12CMMI Combined Tutorial Feb 16, 2004
But We Don’t Do That...
• Some organizations see themselves as performing just onediscipline– Software– Systems– Acquisition
• But…– Software always must be part of some kind of system– Systems that don’t have software are rare– Acquisition can involve both
• Communication and cooperation with other disciplines, even ifthey are external to our organization is vital
13CMMI Combined Tutorial Feb 16, 2004
The CMMI Project
• DoD sponsored collaborationbetween industry, Government, SEI
• Over 100 people involved• U.S. Army, Navy, Air Force• Federal Aviation Administration• National Security Agency• Software Engineering Institute• ADP, Inc.• AT&T Labs• BAE• Boeing• Computer Sciences Corporation• EER Systems• Ericsson Canada• Ernst and Young• General Dynamics• Harris Corporation• Honeywell
• KPMG• Lockheed Martin• Motorola• Northrop Grumman• Pacific Bell• Q-Labs• Raytheon• Reuters• Rockwell Collins• SAIC• Software Productivity Consortium• Sverdrup Corporation• TeraQuest• Thomson CSF• TRW
14CMMI Combined Tutorial Feb 16, 2004
CMMI Models
Source Models
• Capability MaturityModel for Software V2,draft C (SW-CMM V2C)
• EIA Interim Standard731, System EngineeringCapability Model (SECM)
• Integrated ProductDevelopment CapabilityMaturity Model, draftV0.98 (IPD-CMM)
CMMI-SE/SW
Staged
Representation
CMMI-SE/SW
Continuous
Representation
• Combined System Engineering /Software Engineering model
• Can be applied to:– Just the software engineering
projects in an organization– Just the system engineering
projects in an organization– Both– IPPD can be used in either/both
15CMMI Combined Tutorial Feb 16, 2004
Advantages of EachRepresentation
Overall results summarized in a maturitylevel
Improvement of process areas can occurat different rates
Provides familiar benchmarkingcapability
Easy comparison to ISO 15504
Easy upgrade from SW-CMMEasy upgrade from EIA 731
Focuses on organizational improvementHigh visibility of improvement withinprocess areas
Predefined and proven path with casestudy and ROI data
Provides maximum flexibility for order ofprocess improvement
Staged RepresentationContinuous Representation
16CMMI Combined Tutorial Feb 16, 2004
Staged
ML 1
ML2
ML3
ML4
ML5
. . .for an established set of process areas across anorganization
Continuous
. . .for a single process areaor a set of process areas
PA PA
Pro
cess
Are
aC
apab
ility
0
1 2
3
4
5
PA
ComparingModel Representations
17CMMI Combined Tutorial Feb 16, 2004
Relating Process Area Capabilityand Organizational Maturity 1
• Process area capability and organizationalmaturity are similar concepts.
• The difference between them is that process areacapability deals with a set of processes relating toa single process area or specific practice, whileorganizational maturity pertains to a set ofprocess areas across an organization.
18CMMI Combined Tutorial Feb 16, 2004
CMMI Product Suite
• Models–Disciplines
»Systems Engineering SE»Software Engineering SW»Integrated Product and
Process Development(IPPD)
»Supplier Sourcing (SS)–Representations
»Staged»Continuous
• Training–Model
»Introduction to CMMI»Intermediate Concepts
–Instructor Training–Lead Appraiser
• Appraisal methods–Appraisal Requirements
for CMMI (ARC)–SCAMPI Method Description
Document (MDD)
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The Bottom Line 1
• Process improvementshould be doneto help the business—not for itsown sake.
“In God we trust, all others bring data.”
- W. Edwards Deming
20CMMI Combined Tutorial Feb 16, 2004
The Bottom Line 2
• Improvement means different things to differentorganizations:
–What are your business goals?
–How do you measure progress?
• Improvement is a long-term, strategic effort:
–What is the expected impact onthe bottom line?
–How will impact be measured?
21CMMI Combined Tutorial Feb 16, 2004
Categories of ProcessImprovement Benefits
• Process improvement benefits fall into one of eightgeneral categories:–improved schedule and budget predictability–improved cycle time–increased productivity–improved quality (as measured by defects)–increased customer satisfaction–improved employee morale–increased return on investment–decreased cost of quality
22CMMI Combined Tutorial Feb 16, 2004
Results: Boeing EffortEstimation
.
0 %
140%
-140%
....
.
..
. ... .
.
. .
. . . .
.. . .
. .
.
.. . . .. .. . . . . .... . . .. .
.. .
. ...
..
. .. .. ...... . .. . ... . .. . .. ..
Without Historical Data With Historical DataVariance between + 20% to - 145% Variance between - 20% to + 20%
(Mostly Level 1 & 2) (Level 3)
Ove
r/U
nd
er P
erce
nta
ge
.
(Based on 120 projects in Boeing Information Systems)
.. . .
.
.. .
...
. .
. ..
.. .
..
.. .. . .. . . . . .. . . . . .. .
... . .. . . . . . .. . . .. . . . .
. . . . .. . . . .. . . . . .. . . . .. . . . . .
. . . . . .. . . . .. . .
. . . . . . . .
. . . . . . . . .
. . . . . .. . . . . .
. . . . . .
Reference: John D. Vu. “Software Process Improvement Journey:From Level 1 to Level 5.” 7th SEPG Conference, San Jose, March 1997.
Improved Schedule andBudget Predictability
23CMMI Combined Tutorial Feb 16, 2004
Project Cycle Times
0250500750
1991
1992
1993
1994
1995
1996
Year
Avg
Wo
rkin
gD
ays Req Def
Implement
Source: Software Engineering Div., Hill AFB, Published in Crosstalk May 1999
Improved Cycle Time
24CMMI Combined Tutorial Feb 16, 2004
Source: Software Engineering Div., Hill AFB, Published in Crosstalk May 1999
Man-hours per LOC
0
0.2
0.4
0.6
0.8
1
1.2
A B C D E
Release
No
rmal
ized
Man
-ho
urs
Increased Productivity
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Increased Productivity andQuality
•
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Topics
• The structure of the CMMI documents
• The structure of the CMMI Continuous representation
• The structure of the CMMI Staged representation
• Summary
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Organization ofContinuous Model -1
• Six chapters provide an overview–The Introduction–Structure of the Model–Model Terminology–Capability Level and Generic Model components–Understanding the Model–Using the Model
28CMMI Combined Tutorial Feb 16, 2004
Organization ofContinuous Model -2
• Process areas»Process management»Project Management»Engineering»Support
• Appendixes»References»Acronyms»Glossary»Required and expected Model Elements»CMMI Project Participants»Equivalent Staging
29CMMI Combined Tutorial Feb 16, 2004
Organization ofStaged Model -1
• Six chapters provide an overview–The Introduction–Structure of the Model–Model Terminology–Maturity Levels, Common Features, and Generic
Practices–Understanding the Model–Using the Model
30CMMI Combined Tutorial Feb 16, 2004
Organization ofStaged Model -2
• Process areas»Maturity Level: 2 Managed»Maturity Level: 3 Defined»Maturity Level: 4 Quantitatively Managed»Maturity Level: 5 Optimizing
• Appendixes»References»Acronyms»Glossary»Required and expected Model Elements»CMMI Project Participants
31CMMI Combined Tutorial Feb 16, 2004
Model Components
• Process Areas–Specific Goals–Specific Practices–Generic Goals–Generic Practices
»Typical Work Products»Sub-practices»Notes»Discipline Amplifications»Generic Practice Elaborations»References
32CMMI Combined Tutorial Feb 16, 2004
CMMI StructureOne Model, Two Representations
Maturity Level 5 OID, CAR
Maturity Level 4 OPP, QPM
Maturity Level 3 REQD, TS, PI, VER, VAL, OPF, OPD, OT, IPM, RSKM, DAR
Overview Introduction Structure of the Model Model Terminology Maturity Levels, Common Features, and Generic Practices Understanding the Model Using the Model
Maturity Level 2 REQM, PP, PMC, SAM, MA, PPQA, CM
Appendixes
Engineering REQM, REQD, TS, PI, VER, VAL
Project Management PP, PMC, SAM IPM, RSKM, QPM
Process Management OPF, OPD, OT, OPP, OID
Process Management PAs - Goals - Practices
Support CM, PPQA, MA, CAR, DAR
Appendixes
CMMI-SE/SWStaged
Overview Introduction Structure of the Model Model Terminology Capability Levels and Generic Model Components Understanding the Model Using the Model
CMMI-SE/SWContinuous
33CMMI Combined Tutorial Feb 16, 2004
Topics
• Structure of the CMMI documents
• The structure of the CMMI continuous representation
• The structure of the CMMI staged representation
• Summary
34CMMI Combined Tutorial Feb 16, 2004
Process Area Capability Profile
A process area capability profile may be represented bya set of points in two dimensions.–the process dimension
»“What” you do–the capability dimension
»“How well” you do it
Cap
abili
ty(H
ow
wel
l)
Process Area (What you do)
35CMMI Combined Tutorial Feb 16, 2004
The Process Dimension
• The values on this axis describe what processes(described within Process Areas) you perform.
Process
ProcessArea 1
ProcessArea n
ProcessArea 2
ProcessArea 3
Cap
abili
ty
36CMMI Combined Tutorial Feb 16, 2004
Process Areas
•Process Areas (PAs) are a cluster of relatedpractices.
•They are the major building blocks in establishingprocess capability.
•Example PA: “Requirements Management”
37CMMI Combined Tutorial Feb 16, 2004
Requirements ManagementRequirements DevelopmentTechnical SolutionProduct IntegrationVerificationValidation
Engineering
ProjectManagement
Project PlanningProject Monitoring and ControlSupplier Agreement ManagementIntegrated Project Management(IPPD)Integrated Supplier Management (SS)Integrated Teaming (IPPD)Risk ManagementQuantitative Project Management
Organizational Process FocusOrganizational Process DefinitionOrganizational TrainingOrganizational Process PerformanceOrganizational Innovation and Deployment
ProcessManagement
Configuration ManagementProcess and Product Quality AssuranceMeasurement and AnalysisCausal Analysis and ResolutionDecision Analysis and ResolutionOrganizational Environment for Integration (IPPD)
Support
ContinuousOrganization of Process Areas
Category Process Area
38CMMI Combined Tutorial Feb 16, 2004
Decision Analysis and Resolution Requirements Development
System Product Deliveries
Project Planning
Supplier Agreement Management
Product Control
Products
Outcome & Feedback
ProductVerification
ValidationMeasurementand Analysis
Deficiencies
Directives, Constraints,
Contracting Activity Planning
Requirements DefinitionBudgeting Priority
Assessment & Certification
Integrated ProjectManagement
Project Monitoringand Control
Risk Management
TechnicalSolution
ProductIntegration
RequirementsManagement
ConfigurationManagement
Quality Assurance
Program ManagementTechnical Execution
ProcessFocus
ProcessDefinition Training
QuantitativeMgmt
ProcessPerformance
Innovation andDeployment
Process Maturation
Organizational Process Management
Mission Area Planning
ConcurrentFront-EndActivities
Causal Analysisand Resolution
Life Cycle Relationships
Mission Shortfalls
Integrated SupplierManagement
Integrated Teaming
Environmentfor
Integration
39CMMI Combined Tutorial Feb 16, 2004
Capability Levels
• A capability level is a well-defined evolutionaryplateau describing the capability of a processarea.
• There are six capability levels.
• Each level is a layer in the foundation forcontinuous process improvement.
• Thus, capability levels are cumulative, i.e., ahigher capability level includes the attributes ofthe lower levels.
40CMMI Combined Tutorial Feb 16, 2004
The Capability Levels
5 Optimizing
4 Quantitatively Managed
3 Defined
2 Managed
1 Initial
0 Incomplete
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An Example Process AreaCapability Profile
P r o c e s s A r e aREQM PP PMC etc
5
4
3
2
1
0
C a
p a
b i
l i t
y
42CMMI Combined Tutorial Feb 16, 2004
Goals and Practices
• Goals and Practices are the model elements used torealize the values on both the capability and processdimensions.–Goal
»A high level statement of the outcome to be achievedby effective implementation of a group of practices.(These are “required.”)
–Practice»A description of an action that is necessary
to enact a key element of a process area. (These are“expected,” and “alternate practices” are acceptable.)
43CMMI Combined Tutorial Feb 16, 2004
Specific and Generic Goals andPractices
• Specific Goals and Specific Practices– realize the process dimension– therefore, they apply to a particular Process
Area
• Generic Goals and Generic Practices– realize the capability dimension– therefore, they apply across all Process Areas
44CMMI Combined Tutorial Feb 16, 2004
Critical Distinctions
• performed vs. managed
•--the extent to which the process is planned; performance is managedagainst the plan; corrective actions are taken when needed
•managed vs. defined
•--the scope of application of the process descriptions, standards, andprocedures (i.e., project vs. organization)
•defined vs. quantitatively managed
•--the predictability of process performance
•quantitatively managed vs. optimizing
•--the process is continuously improved by addressing common causes ofprocess variation
45CMMI Combined Tutorial Feb 16, 2004
Improving a Process Area
CL0 Not performed, incompleteNo GPs or SPs exist
GP1.1 CL1 (base) SPs
GP1.1 through GP2.10CL1 + CL2* SPs
GP1.1 through GP3.2CL1+CL2*+CL3* SPs
GP1.1 through GP4.2CL1+CL2*+CL3* SPs
GP1.1 through GP5.2CL1+CL2*+CL3* SPs
CL1Performed Perform the work
CL2Managed
Adhere to policy, follow documented plans and processes,apply adequate resources, assign responsibility andauthority, train people, apply CM, monitor, control, andevaluate process, identify and involve stakeholders,review with management
CL3Defined
Project’s process is tailored from organization’sstandard processes, understand process qualitatively,process contributes to the organizations assets
CL4 Quantitatively
Managed
Measure process performance,stabilize process, control charts, deal with causes of special variations
CL5Optimizing
Defect prevention, proactive improvement,innovative technology insertion and deployment
* Advanced practices exist only in the Engineering PAs.
46CMMI Combined Tutorial Feb 16, 2004
REQM - Capability Levels 1 & 2
Requirements ManagementSpecific practices (CL1 - “base”)
SP1.1-1: Obtain an Understanding of Requirements
SP1.3-1: Manage Requirements ChangesSP1.5-1: Identify Inconsistencies Between
Project Work and Requirements
Generic practices (CL1)
GP1.1: Perform Base Practices
Specific practices (CL2 - “advanced”)
SP1.2-2: Obtain Commitment to RequirementsSP1.4-2: Maintain Bidirectional Traceability of Requirements
Generic practices (CL2)
GP2.1: Establish an Organizational PolicyGP2.2: Plan the ProcessGP2.3: Provide ResourcesGP2.4: Assign ResponsibilityGP2.5: Train PeopleGP2.6: Manage ConfigurationsGP2.7: Identify and Involve Relevant StakeholdersGP2.8: Monitor and Control the ProcessGP2.9: Objectively Evaluate AdherenceGP2.10: Review Status with Higher Level Management
47CMMI Combined Tutorial Feb 16, 2004
REQM - Capability Level 3
Requirements Management
Specific practices (CL1 & CL2)
SP1.1-1: Obtain an Understanding of Requirements
SP1.2-2: Obtain Commitment to RequirementsSP1.3-1: Manage Requirements ChangesSP1.4-2: Maintain Bidirectional Traceability of
RequirementsSP1.5-1: Identify Inconsistencies Between
Project Work and Requirements
Generic practices (CL1 & CL2)
GP1.1: Perform Base PracticesGP2.1: Establish an Organizational PolicyGP2.2: Plan the ProcessGP2.3: Provide ResourcesGP2.4: Assign ResponsibilityGP2.5: Train PeopleGP2.6: Manage ConfigurationsGP2.7: Identify and Involve Relevant StakeholdersGP2.8: Monitor and Control the ProcessGP2.9: Objectively Evaluate AdherenceGP2.10: Review Status w/Higher Level Management
Specific practices (CL3)
All the CL1 & CL2 Specific Practices
Generic practices (CL3)
All the CL1 & CL2 Generic Practices plus(+):
GP3.1: Establish a Defined ProcessGP3.2: Collect Improvement Information
48CMMI Combined Tutorial Feb 16, 2004
REQM - Capability Levels 4 & 5
Requirements Management
Specific practices (CL4)
All the CL1 & CL2 Specific Practices
Generic practices (CL4)
All the CL1 & CL2 & CL3 Generic Practices plus(+):
GP4.1: Establish Quantitative Objectives for the ProcessGP4.2: Stabilize Subprocess Performance
Specific practices (CL5)
All the CL1 & CL2 Specific Practices
Generic practices (CL5)
All the CL1 & CL2 & CL3 & CL4 Generic Practices plus(+):
GP5.1: Ensure Continuous Process ImprovementGP5.2: Correct Root Causes of Problems
49CMMI Combined Tutorial Feb 16, 2004
Summary
• CMMI models were developed with broadparticipation and review.
• Process Areas identify “what you do.”
• Capability Levels identify “how well you do it.”
50CMMI Combined Tutorial Feb 16, 2004
Topics
• Structure of the CMMI documents
• The structure of the CMMI Continuous representationdocument
• The Structure of the CMMI Staged representation
• Summary
51CMMI Combined Tutorial Feb 16, 2004
Maturity Levels
• A maturity level is a well-defined evolutionaryplateau on the path to becoming a matureorganization.
• There are five maturity levels.
• Each level is a layer in the foundation forcontinuous process improvement.
52CMMI Combined Tutorial Feb 16, 2004
The Maturity Levels
Process unpredictable,poorly controlled andreactive
Process characterized forprojects and is oftenreactive
Process characterizedfor the organizationand is proactive
Process measuredand controlled
Focus on processimprovement
Optimizing
QuantitativelyManaged
Defined
Initial
Managed
Optimizing
Defined
1
2
3
4
5
53CMMI Combined Tutorial Feb 16, 2004
Structure of the CMMIStaged Representation
Maturity Level
Process Area Process Area Process Area
Generic Goals Specific Goals
Commitmentto Perform
Ability toPerform
DirectingImplementation
Verification
CommonFeatures
Commitment to Perform: creates policies and secures sponsorship for process improvement effortsAbility to Perform: ensures that the project and/or organization has the resources it needs to pursue process improvementDirecting Implementation: collects, measures, and analyzes data related to processesVerification: verifies that the projects and/or organization’s activities conform to requirements, processes, and procedures
Commitment to Perform: creates policies and secures sponsorship for process improvement effortsAbility to Perform: ensures that the project and/or organization has the resources it needs to pursue process improvementDirecting Implementation: collects, measures, and analyzes data related to processesVerification: verifies that the projects and/or organization’s activities conform to requirements, processes, and procedures
Generic Practices Specific Practices
54CMMI Combined Tutorial Feb 16, 2004
Maturity LevelsCannot Be Skipped
• A level provides a necessary foundation foreffective implementation of processes at thenext level.
– Higher level processes are easily sacrificedwithout the discipline provided by lowerlevels.
– The effect of innovation is obscured in anoisy process.
• Higher maturity level processes may beperformed by organizations at lower maturitylevels, with risk of not being consistentlyapplied in a crisis.
55CMMI Combined Tutorial Feb 16, 2004
Process Areas
•Process Areas (PAs) are clusters of relatedpractices performed collectively to achieve a set ofgoals.
•They are the major building blocks in establishingthe process capability of an organization.
•Each process area has been defined to resideat a given maturity level.
56CMMI Combined Tutorial Feb 16, 2004
Process Areas by Maturity Level
Organizational Innovation and DeploymentCausal Analysis and Resolution5 Optimizing
4 Quantitatively Managed
3 Defined
2 Managed
Continuous process improvement
Quantitativemanagement
Processstandardization
Basicprojectmanagement
Organizational Process PerformanceQuantitative Project Management
Requirements DevelopmentTechnical SolutionProduct IntegrationVerificationValidationOrganizational Process FocusOrganizational Process DefinitionOrganizational Training Integrated Project ManagementIntegrated Supplier ManagementRisk ManagementDecision Analysis and ResolutionOrganizational Environment for IntegrationIntegrated TeamingRequirements ManagementProject PlanningProject Monitoring and ControlSupplier Agreement ManagementMeasurement and AnalysisProcess and Product Quality AssuranceConfiguration Management
1 Initial
Process AreasLevel Focus
(IPPD)(IPPD)
(SS)
57CMMI Combined Tutorial Feb 16, 2004
Common Features
Common features are a means of categorizingGeneric practices.
– Commitment to perform:establishment of management policies
– Ability to perform:establishment and maintenance of plans,resources, assigned responsibility andauthority, and training
– Directing implementation:measurement, control, and performance practices
– Verification:ensure implementation and compliance
58CMMI Combined Tutorial Feb 16, 2004
Another way to look atCommon Features -1
• Common feature categories are very similar acrossprocess areas.
• They are referred to as Institutionalization CommonFeatures because they:
– ensure the process areas are effective,repeatable and lasting
– provide needed infrastructure support
59CMMI Combined Tutorial Feb 16, 2004
Common Feature Examples -1from Requirements Management Process Area
•Commitment to perform:
–Establish and maintain an organizationalpolicy for planning and performing therequirements management process.
•Ability to perform:
–Train the people performing or supportingthe requirements management process asneeded.
60CMMI Combined Tutorial Feb 16, 2004
Common Feature Examples -2from Requirements Management Process Area
• Directing implementation:
– Place designated work products of therequirements management process underappropriate levels of configurationmanagement.
• Verification:
– Review the activities, status, and results ofthe requirements management processwith higher level management and resolveissues.
61CMMI Combined Tutorial Feb 16, 2004
Summary -1
• There is one CMMI Model with two representations,Staged and Continuous.
• The material in both representations is the same justorganized differently.
• Each representation provides different ways ofimplementing processes
• The CMMI model should be applied using intelligence,common sense, and professional judgment.
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Summary -2
• Continuous–Flexible in its application so the organization can
choose which areas to emphasize.–Provides equivalent staging to compare to staged
representation.
• Staged–Structured for implementation based on proven
grouping and ordering of processes.
63CMMI Combined Tutorial Feb 16, 2004
CMMI-SE/SWCompared to SW-CMM v1.1
SW-CMM v1.1 vs. CMMIProcess Areas
Defect Prevention Causal Analysis and ResolutionTechnology Change Mgmt Organizational Innovation & DeploymentProcess Change Management
Quantitative Process Mgmt Organizational Process PerformanceSoftware Quality Mgmt Quantitative Project Management
Organization Process Focus Organization Process Focus Organization Process Definition Organization Process DefinitionTraining Program Organizational TrainingIntegrated Software Mgmt Integrated Project Management
Risk ManagementSoftware Product Engr Requirements Development
Technical SolutionProduct Integration
Intergroup Coordination VerificationPeer Reviews Validation
Decision Analysis and Resolution
Requirements Management Requirements ManagementSoftware Project Planning Project PlanningSoftware Project Tracking & Oversight Project Monitoring and ControlSoftware Subcontract Mgmt Supplier Agreement ManagementSoftware Quality Assurance Product & Process Quality AssuranceSoftware Configuration Mgmt Configuration Management
Measurement and Analysis
LEVEL 5OPTIMIZING
LEVEL 4MANAGED
LEVEL 3DEFINED
LEVEL 2REPEATABLE
64
65CMMI Combined Tutorial Feb 16, 2004
CMMI ImprovementsOver the CMM
• Emphasis on measurable improvements to achievebusiness objectives.
• Process areas have been added to place moreemphasis on some important practices:–Risk Management–Measurement and Analysis–Engineering Process Areas–Decision Analysis
66CMMI Combined Tutorial Feb 16, 2004
Overview of CMMISM
SE/SW/IPPD/SS ModelProcess Areas
67CMMI Combined Tutorial Feb 16, 2004
Requirements ManagementRequirements DevelopmentTechnical SolutionProduct IntegrationVerificationValidation
Engineering
ProjectManagement
Project PlanningProject Monitoring and ControlSupplier Agreement ManagementIntegrated Project Management(IPPD)Integrated Supplier Management (SS)Integrated Teaming (IPPD)Risk ManagementQuantitative Project Management
Organizational Process FocusOrganizational Process DefinitionOrganizational TrainingOrganizational Process PerformanceOrganizational Innovation and Deployment
ProcessManagement
Configuration ManagementProcess and Product Quality AssuranceMeasurement and AnalysisCausal Analysis and ResolutionDecision Analysis and ResolutionOrganizational Environment for Integration (IPPD)
Support
ContinuousOrganization of PAs
Category Process Area
68CMMI Combined Tutorial Feb 16, 2004
Project ManagementProcess Areas
• There are eight Project Management Process Areas.–Project Planning–Project Monitoring and Control–Supplier Agreement Management–Integrated Project Management–Integrated Supplier Management (SS)–Risk Management–Quantitative Project Management
–Integrated Teaming (IT) and IPM(IPPD) will bediscussed with IPPD.
69CMMI Combined Tutorial Feb 16, 2004
Basic ProjectManagement PAs
PPWhat To Build
What To Do
SAM
PMC
What To Monitor Replan
Plans
Status, issues,resultsof progressand milestonereviews
Product component requirements Technical issuesCompleted product componentsAcceptance reviews and tests
Engineeringand Support
process areas
Status, issues, results of process and product evaluations;measures and analyses
Commitments
Measurement needs
Corrective action
Supplier
Supplieragreement
Correctiveaction
70CMMI Combined Tutorial Feb 16, 2004
Project Planning
• Purpose:
• Establish and maintain plans that defineproject activities.
71CMMI Combined Tutorial Feb 16, 2004
Project Planning - Context
PlanningData
EstablishEstimates
ObtainCommitmentto the Plan
Develop aProject Plan
ProjectPlans
PMC
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Project Planning - Context
Determine Estimates
of Effortand Cost
PlanningData
Establish Estimates
Estimate the Scope
of the Project
EstablishEstimates of
Work Product and Task Attributes
Define ProjectLife Cycle
73CMMI Combined Tutorial Feb 16, 2004
Project Planning - Context
Establish the Budget
andSchedule
Planning Data
Develop a Project Plan
Planfor Data
Management
Plan Stakeholder
Involvement
Plan forProject
Resources
Project Plans
Establishthe Project
Plan
IdentifyProject Risks
Plan forNeeded
Knowledge and Skills
74CMMI Combined Tutorial Feb 16, 2004
Project Planning - Context
Obtain Commitmentto the Plan
ReconcileWork andResource
Levels
ProjectPlans
ReviewPlans that
Affect the Project
ObtainPlan
Commitment
75CMMI Combined Tutorial Feb 16, 2004
Project Monitoring and Control
• Purpose:
• Provide understanding into the project’sprogress so that appropriate corrective actionscan be taken when the project’s performancedeviates significantly fromthe plan.
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Project Monitoring and Control - Context
Project Plans
Monitor Project Risks
Monitor Commitments
Analyze Issues
TakeCorrective
Actions
ConductMilestoneReviews
MonitorData
Management
Monitor ProjectPlanning
Parameters
ManageCorrective Actions
to Closure
Monitor Project Against Plans
ConductprogressReviews
Monitor StakeholderInvolvement
ManageCorrective Actions
PP
77CMMI Combined Tutorial Feb 16, 2004
Supplier Agreement Management
• Purpose:
• Manage the acquisition of products from suppliersfor which there exists a formal agreement.
78CMMI Combined Tutorial Feb 16, 2004
Supplier Agreement ManagementContext
Product
List of Products
EstablishSupplier
Agreements
Supplier Agreement
ReviewCOTS
Products
Determine Acquisition
Type
TransitionProducts
Accept the Acquired
Product
SelectSuppliers
Supplier Requirements
Executethe SupplierAgreement
Establish Supplier Agreements
Satisfy Supplier Agreements
79CMMI Combined Tutorial Feb 16, 2004
Coordination & collaboration; Sharedvision & IT structure
subprocesses forquantitative mgmt.
AdvancedProject Management PAs
Process Performance Objectives, Baselines, Models
QPM
Organization’s Std. Processes
IPMRSKM
Lessons Learned,Performance Data
Project’sDefinedProcess
Statistical Mgmt Data
RiskTaxonomies
& Parameters,Status,
Mitigation,and
Corrective Action
ProcessManagement
process areas
Basic ProjectManagement
process areas
Risk exposure due to unstable processes
Identified risks
Engineering &Support
process areas
Coordination,commitments,issues; Product Architecture for Structuring Teams
ITIT mgmt forengineeringprocesses;
Integratedworkenvironmentpeople &practices
80CMMI Combined Tutorial Feb 16, 2004
Integrated Project Management
• Purpose:
• Establish and manage the project and theinvolvement of the relevant stakeholdersaccording to an integrated and defined processthat is tailored from the organization’s set ofstandard processes.
81CMMI Combined Tutorial Feb 16, 2004
Integrated Project Management - Context
ManageStakeholderInvolvement
ManageDependencies
ResolveCoordination
Issues
Coordinate withRelevant
Stakeholders
Documented Technical
Issues
Documented Critical
Dependencies
Agendas andSchedules forCollaborative
Activities
Use the Project’s Defined Process DefinedProcessBased
Project Plan
Project’s Defined Process
Use OrgProc Assetsfor Planning
ProjectActivities
Integrate PlansOPD
• Estimates and Measures• Documentation• Lessons Learned
Other Project& Org Functions
Establishthe Project’s
DefinedProcess
Contributeto Org
ProcessAssets
ManageProject Using
IntegratedPlans
82CMMI Combined Tutorial Feb 16, 2004
Integrated Supplier Management
• Purpose:
• Proactively identify sources of products that maybe used to satisfy the project’s requirements andto manage selected suppliers while maintaining acooperative project-supplier relationship.
83CMMI Combined Tutorial Feb 16, 2004
Integrated Supplier Management -Context
MonitorSelectedSupplier
Processes
Analyze Potential
Sources of Products
Revise the Supplier
Agreement or Relationship
Evaluate and
Determine Sources of
Products
Supplier Processes
Evaluate Selected Supplier
Work Products
Analyze and Select Sources of Products
Coordinate Work with Suppliers
SAM
Supplier Work Products
84CMMI Combined Tutorial Feb 16, 2004
Risk Management
• Purpose:
• Identify potential problems before they occur,so that risk handling activities may be plannedand invoked as needed across the life of theproduct or project to mitigate adverse impacts onachieving objectives.
85CMMI Combined Tutorial Feb 16, 2004
Risk Management - Context
IdentifyRisks
Evaluate, Categorize, and
PrioritizeRisks
Identify andAnalyze Risks
From Project Planning and Project Monitoring
and Control
DevelopRisk
MitigationPlans
ImplementRisk
MitigationPlans
Mitigate Risks
DAR
Risk Repository
DetermineRisk
Sourcesand
Categories
DefineRisk
Parameters
Prepare for Risk Management
Establish a Risk
ManagementStrategy
86CMMI Combined Tutorial Feb 16, 2004
Quantitative Project Management
• Purpose:
• Quantitatively manage the project’s definedprocess to achieve the project’s establishedquality and process-performance objectives.
87CMMI Combined Tutorial Feb 16, 2004
Quantitative Project Management - Context
Definitions ofMeasures;
DerivedObjectives
SubprocesseCapabilityMeasure
Statistically Manage Subprocess Performance
RecordStatistical
ManagementData
MonitorPerformance of Selected
Subprocesses
ApplyStatistical
Methods toUnderstand
Variation
SelectMeasures
and AnalyticTechniques
StableSub-
processes
SelectedSubprocesses
OPP
Predictions ofQuality and
Process Performance
OrganizationMeasurement
Repository
EstablishProject’s
Objectives
Compose the Defined
Process
Quality and ProcessPerformance Objectives
RemedialActions
Selectthe
Subprocessesthat will be Statistically
Managed
Quantitatively Manage the Project
ManageProject
Performance
Project’sDefinedProcess
88CMMI Combined Tutorial Feb 16, 2004
Summary• Project Planning
• Project Monitoring and Control
• Supplier Agreement Management
• Risk Management
• Integrated Project Management
• Integrated Supplier Management (SS)
• Quantitative Project Management
Special Note: Integrated Teaming (IT) and IPM(IPPD) will bediscussed with IPPD.
89CMMI Combined Tutorial Feb 16, 2004
Support Process Areas
There are six Support Process Areas:
• Configuration Management
• Process and Product Quality Assurance
• Measurement and Analysis
• Causal Analysis and Resolution
• Decision Analysis and Resolution
• Organizational Environment for Integration will bediscussed with IPPD.
90CMMI Combined Tutorial Feb 16, 2004
Understanding SupportProcesses
• Support process areas cover the practices thatsupport product development, maintenance, andacquisition.
• They provide essential processes used by all theCMMI process areas, and are typically used in thecontext of performing other processes.
91CMMI Combined Tutorial Feb 16, 2004
Basic Support Process Areas
PPQAMA
CM
All process areas
Measurements,analyses
Information needs
Configuration items;change requests
Baselines;audit reports
Processes and workproducts;standards andprocedures
Quality and noncompliance issues
92CMMI Combined Tutorial Feb 16, 2004
Configuration Management
• Purpose:
• Establish and maintain the integrity of workproducts using configuration identification,configuration control, configuration statusaccounting, and configuration audits.
93CMMI Combined Tutorial Feb 16, 2004
Configuration Management -Context
EstablishConfig Mgmt
Records
PerformConfiguration
Audits ActionItems
Audit Results
Status
Establish Integrity
Change RequestDatabase
ConfigurationManagement
System
ChangeRequests
Create orRelease
Baselines
Establisha Config.
ManagementSystem
IdentifyConfiguration
Items
Establish Baselines
ControlConfiguration
Items
TrackChange
Requests
TrackandControlChanges
94CMMI Combined Tutorial Feb 16, 2004
Process and Product QualityAssurance
• Purpose:
• Provide staff and management with objectiveinsight into processes and associated workproducts.
95CMMI Combined Tutorial Feb 16, 2004
Process and Product QualityAssurance - Context
WorkProducts
Reports and Records
Objectively
EvaluateProcesses
ObjectivelyEvaluate
Work Products
& Services
Objectively Evaluate Processes and Work Products
EstablishRecords
Communicateand Ensure
Resolution ofNon-compliance
Issues
Provide Objective Insight
96CMMI Combined Tutorial Feb 16, 2004
Measurement and Analysis
• Purpose:
• Develop and sustain a measurement capabilitythat is used to support management informationneeds.
97CMMI Combined Tutorial Feb 16, 2004
Measurement & Analysis - Context
Measurement Indicators
CollectMeasurement
Data Communicate
Results
StoreData &Results
Analyze Measurement
Data
Provide Measurement Results
Measurement Personnel
MeasurementRepository
Measurement Objectives Procedures,Tools
SpecifyMeasures
EstablishMeasurement
Objectives
SpecifyAnalysis
Procedures
SpecifyData
Collectionand StorageProcedures
Align Measurement Analysis Activities
Advanced Support Process Areas
DAR
All process areas
CAR
Defects & other problems
Selected issues;
Process improvementproposals;
Structured decisions
OEI
ProcessManagement
PAs
ProjectManagement
PAs
Ability to develop& deploy IPPDprocesses& supportingassets; IPPD knowledge
& skill needs Integrated workenvironment &people practices
Organization IPPDInfrastructure
99CMMI Combined Tutorial Feb 16, 2004
Causal Analysis and Resolution
• Purpose:
• Identify causes of defects and other problemsand take action to prevent them from occurringin the future.
100CMMI Combined Tutorial Feb 16, 2004
Causal Analysis andResolution - Context
SelectData for Analysis
AnalyzeCauses
Defect &Problem
Data
DetermineCauses of Defects
ImplementAction
Proposals
EvaluateEffect ofChanges
RecordData
ActionProposal
Action Plans
CAR Records
PerformanceMeasures
Address Causesof Defects
101CMMI Combined Tutorial Feb 16, 2004
Decision Analysis and Resolution
• Purpose:
• Analyze possible decisions using a formalevaluation process that evaluates identifiedalternatives against established criteria.
102CMMI Combined Tutorial Feb 16, 2004
Decision Analysis and Resolution
• Applicability:
• The project should document guidelines for whena structured decision analysis process is to beused.
• DAR should be applied where significanttechnical, cost, or schedule risks evolve.
103CMMI Combined Tutorial Feb 16, 2004
Decision Analysis andResolution -Context
EstablishGuidelines
for DecisionAnalysis
Guidelines
Evaluate Alternatives
SelectEvaluationMethods
Methods Criteria
EstablishEvaluation
Criteria
SelectSolutions
IdentifyAlternative Solutions
ProposedAlternatives
EvaluateAlternatives
Other PAs
104CMMI Combined Tutorial Feb 16, 2004
Engineering Process Areas
• There are six Engineering Process Areas.
• Requirements Management
• Requirements Development
• Technical Solution
• Product Integration
• Verification
• Validation
105CMMI Combined Tutorial Feb 16, 2004
Engineering Process Areas
RD PI
Val
CustomerTS
Ver
REQMRequirements
Customer needs
Product & product component requirements
Product components, work products, verification and validation reports
Productcomponents
Alternativesolutions
Require-ments
Product
106CMMI Combined Tutorial Feb 16, 2004
Requirements Management
•Purpose:
•Manage the requirements of the project’s productand product components and identifyinconsistencies between those requirements andthe project’s plans and work products.
107CMMI Combined Tutorial Feb 16, 2004
Requirements ManagementContext
Requirements
Obtain anUnderstanding
of Requirements
CL2Obtain
Commitmentto
Requirements
IdentifyInconsistenciesbetween Project
Work and Reqmts
TraceabilityHierarchy
CL2Maintain
Bi-directional Requirements Traceability
Manage Requirements
ManageRequirements
Changes
108CMMI Combined Tutorial Feb 16, 2004
Requirements Development
• Purpose:
• Produce and analyze customer, product, andproduct component requirements.
109CMMI Combined Tutorial Feb 16, 2004
Requirements Development -Context
Develop Customer
Requirements
CustomerRequirements
ProductRequirements
DevelopProduct
Requirements
Analyze andValidate
Requirements
ValidatedRequirements
110CMMI Combined Tutorial Feb 16, 2004
Develop theCustomer
Requirements
Requirements DevelopmentContext
CustomerRequirements
Develop Customer Requirements
CollectStakeholder
Needs
CL2Elicit Needs
111CMMI Combined Tutorial Feb 16, 2004
EstablishProduct &Product
ComponentRequirements
ProductRequirements
Develop Product Requirements
AllocateProduct and
Product-Component
Requirements
IdentifyInterface
Requirements
CustomerRequirements
Requirements DevelopmentContext
112CMMI Combined Tutorial Feb 16, 2004
EstablishOperationalConcepts
& Scenarios
Establish aDefinition of
RequiredFunctionality
CL3Analyze
Requirements to Achieve
Balance
AnalyzeRequirements
ProductRequirements
ValidatedRequirements
Analyze and Validate Requirements
ValidateRequirements
CL2Validate
Requirementswith
ComprehensiveMethods
Requirements DevelopmentContext
113CMMI Combined Tutorial Feb 16, 2004
Technical Solution
• Purpose:
• Design, develop, and implement solutionsto requirements. Solutions, designs andimplementations encompass products, productcomponents, and product related life-cycleprocesses either singly or in combinations asappropriate.
114CMMI Combined Tutorial Feb 16, 2004
Select Product-Component
Solutions
Technical Solution - Context
ValidatedRequirements
Design Detail &Documentation
DeliveredProduct
Develop the Design
Implement theProduct Design
Alternative Designsand Evaluation Criteria
115CMMI Combined Tutorial Feb 16, 2004
ValidatedRequirements
DevelopAlternative
Solutions andSelectionCriteria
Select Product Component Solutions
CL 2Develop Detailed
Solutions andSelectionCriteria
Alternative SolutionsSelection Criteria
New Technology Evaluations
SelectProduct
ComponentSolutionsSelection Decisions
Compliance w/ Reqmts
DAR
CL 2Evolve
OperationalConcepts &Scenarios
Operational ScenariosTimeline Analysis
Use Cases
Technical Solution - Context
116CMMI Combined Tutorial Feb 16, 2004
Technical Solution - Context
Designthe Product or ProductComponent
Develop the Design
Establish aTech DataPackage
Tech DataPackage
EstablishInterface
Descriptions
CL 3Design
InterfacesUsing Criteria
I/F Design DocumentationI/F SpecificationI/F Control Documents
PerformMake, Buy,
or ReuseAnalyses
Selection CriteriaMake/Buy Analysis
Design MethodsDesign ToolsDesign Processes
117CMMI Combined Tutorial Feb 16, 2004
Technical Solution - Context
Parts FabricatedSoftware CodedData DocumentedProcesses DocumentedFacilities Constructed
ImplementThe
Design
Implement the Product Design
Develop ProductSupport
Documentation
Training ManualsUsers ManualOperator’s ManualMaintenance ManualOn-line Help
118CMMI Combined Tutorial Feb 16, 2004
Product Integration
• Purpose:
• Assemble the product from the productcomponents, ensure the product, asintegrated, functions properly and deliver theproduct.
119CMMI Combined Tutorial Feb 16, 2004
Product Integration - Context
Assemble ProductComponents
and Deliver theProduct
IntegrationPlan
Prepare forProduct Integration
TechnicalSolution
DAR
EnsureInterface
Compatibility
Assemblies
Sub-assemblies
120CMMI Combined Tutorial Feb 16, 2004
Integration Plan- Integration Resources- Integration Procedures- Interface Data
Prepare for Product Integration
Decision Analysis& Resolution
TechnicalSolution
Determine IntegrationSequence
CL3EstablishProduct
IntegrationProcedures and
Criteria
CL2Establish
the ProductIntegration
Environment
Product Integration - Context
121CMMI Combined Tutorial Feb 16, 2004
Integration Plan- Integration Resources- Integration Procedures- Interface Data
Ensure Interface Compatibility
TechnicalSolution
ReviewInterface
Descriptionsfor
Completeness
ManageInterfaces
Product Integration - Context
122CMMI Combined Tutorial Feb 16, 2004
Assemble Product Components and Deliver Product
TechnicalSolution
Confirm Readiness ofComponents
forIntegration
AssembleProduct
Components
EvaluateAssembled
ProductComponents
PackageAnd Deliverthe Productor Product Component
Integration Plan- Integration Resources- Integration Procedures- Interface Data
Product Integration - Context
123CMMI Combined Tutorial Feb 16, 2004
Verification versus Validation
• Verification–Did you build the product right?
–That is, did you meet the requirementsspecification?
• Validation–Did you build the right product?
–That is, did you meet the operational need?
124CMMI Combined Tutorial Feb 16, 2004
Verification
• Purpose:
• Ensure that selected work products meet theirspecified requirements.
125CMMI Combined Tutorial Feb 16, 2004
Verification - Context
VerificationPlan
Prepare for Verification
CorrectiveActions
Verify SelectedWork Products
PerformPeer Reviews
126CMMI Combined Tutorial Feb 16, 2004
Verification - Context
Select Work Products
forVerification
Requirements,Methods, Processes,Evaluation Criteria
Prepare for Verification
CL2Establish theVerification
Environment
Verification Plan- Verification Resources- Verification Procedures
TechnicalSolution
CL3Establish
Verification Procedures and Criteria
127CMMI Combined Tutorial Feb 16, 2004
Verification - Context
PrepareFor Peer Reviews
Requirement for DataCollectionEntry and Exit CriteriaPeer Review Plan
Review ResultsReview IssuesReview DataAction ItemsConduct
PeerReviews
Perform Peer Reviews
CL 2Analyze
Peer ReviewData
128CMMI Combined Tutorial Feb 16, 2004
Verification - Context
Verification ResultsDeficienciesVerification DataCorrective Actions
Verify Selected Work Products
PerformVerification
CL2Analyze
VerificationResults and
IdentifyCorrective
Actions
129CMMI Combined Tutorial Feb 16, 2004
Validation
• Purpose:
• Demonstrate that a product or productcomponent fulfills its intended use whenplaced in its intended environment.
130CMMI Combined Tutorial Feb 16, 2004
Validation - Context
- Customer Requirements- Product Requirements- Products- Validation Requirements
Prepare for Validation
- Requirements Validation Plan- Product Validation Plan- Process and Support Needs
Validate Product orProduct Components
- Conformance- Deficiencies
131CMMI Combined Tutorial Feb 16, 2004
Validation - Context
Select ProductsFor Validation
- Validation Plan- Support Needs- Environment Needs- Resources
- Test Case Scenario- Validation Procedures
Prepare for Validation
CL3EstablishValidation
Proceduresand
Criteria
CL2Establish the
ValidationEnvironment
Requirements
132CMMI Combined Tutorial Feb 16, 2004
Validation - Context
Validate Product or Product Components
PerformValidation
Validation ReportsValidation ResultsCross Reference MatrixAs run procedures logOperational Demonstrations
AnalyzeValidation
Results
Validation Deficiency ReportsValidation IssuesProcedure Change Request
133CMMI Combined Tutorial Feb 16, 2004
Process Management Process Areas
• There are six Process Management Process Areas:–Organizational Process Focus–Organizational Process Definition–Organizational Training–Organizational Process Performance–Organizational Innovation and Deployment–Organizational Environment for Integration will be
covered with IPPD
134CMMI Combined Tutorial Feb 16, 2004
Understanding ProcessManagement Process Areas
•The process management PAs apply across theorganization as a whole and provide details thatsupport the Capability Level 3 Generic Goal.
•For selected PAs, the organization has standardprocesses, which individual projects tailor to theirneeds.
135CMMI Combined Tutorial Feb 16, 2004
•Process Management PAs can capitalize onproject level stability provided by PAs that areinstitutionalized at CL 2.
•(i.e., policy, planning, resources, responsibility,training, performing the process, managingconfigurations, monitoring and controlling,objective verification, management review)
Understanding ProcessManagement Process Areas
136CMMI Combined Tutorial Feb 16, 2004
Basic Process Management PAs
OPF OPDResources and Coordination
OT
Std Process and OtherAssets
Training for Projects andSupport Groups in StdProcess and Assets
Organization’sprocess needsand objectives
Std Process and Other
Assets
Senior Management
Organization’sbusiness objectives
Project Management,Support, and
Engineering processareas
Training needs
Improvement information(e.g., lessons learned, data, artifacts)Process Improvement
Proposals; Participation indefining, assessing, anddeploying processes
137CMMI Combined Tutorial Feb 16, 2004
Organizational Process Focus
• Purpose:
• Plan and implement organizational processimprovement based on a thorough understandingof the current strengths and weaknesses of theorganization’s processes and process assets.
138CMMI Combined Tutorial Feb 16, 2004
Selected Improvements
ImprovementInitiatives
Pilots, Action
Teams
Organizational Process Focus- Context
• Findings
•& Ratings
Appraise Org’s
Processes
Identify Org.’sProcess
Improve- ments
EstablishOrganizational
ProcessNeeds
Process Needsand Objectives
DetermineProcessImprovementOpportunities
Establish Process Action Plans
ImplementProcessActionPlans
Process Action plans
Deployable Process Assets
(Revised) ProcessAssets
IncorporateProcess-Related
Experiences
Process Experiences
Deploy Organizational
ProcessAssets
Planand ImplementProcessImprove-mentActivities
139CMMI Combined Tutorial Feb 16, 2004
• Purpose:
• Establish and maintain a usable set of organizationalprocess assets.
Organizational Process Definition
140CMMI Combined Tutorial Feb 16, 2004
Establish the Organization’s Measurement
Repository
Establish the Organization’s
Process AssetLibrary
Organizational ProcessDefinition - Context
ProcessImplementers
EstablishTailoring
Criteria andGuidelines
Establish Life-Cycle
Model Descriptions
Establish Standard
Processes
Establish Organizational Process Assets
Life Cycle Models
Organizational Standard Processes
Organizational Library of Process
Documentation
Organizational Measurement
Repository
Improvements
OPF
Deploy-ment
Tailoring Guidelines
141CMMI Combined Tutorial Feb 16, 2004
Organizational Training
•Purpose:
•Develop the skills and knowledge of peopleso they can perform their roles effectivelyand efficiently.
142CMMI Combined Tutorial Feb 16, 2004
Organizational Training - Context
DeliverTraining
Materials
Records ChangeRequests
AssessTraining
Effectiveness
EstablishTrainingRecords
Surveys
Records
Provide Necessary Training
Establish the Strategic Training
Needs
Analysis Needs Strategy Reqmts
Determinewhich TrainingNeeds are theResponsibility
of the Org.
MaterialsTraining Repository
Establish an OrganizationalTraining Capability
Establish Training
Capability
Establish anOrganizational
TrainingTactical Plan
143CMMI Combined Tutorial Feb 16, 2004
Senior Management
OPP
Progress towardachieving business
objectives
OID
Quality and process performance objectives,
measures, baselines, models
Cost and benefitdata from pilotedimprovements
Quality and processperformance
objectives,measures, baselines,
models
Process performanceand capability data
“Basic Set” of ProcessManagement
Process Areas
Project Management,Support, andEngineering
process areas
Ability to developand deploy processand supporting assets
OrganizationImprovements
Common measures
Advanced ProcessManagement Process Areas
144CMMI Combined Tutorial Feb 16, 2004
Organizational Process Performance
•Purpose:
•Establish and maintain a quantitativeunderstanding of the performance of theorganization’s set of standard processes insupport of quality and process-performanceobjectives, and to provide the processperformance data, baselines, and models toquantitatively manage the organization’sprojects.
145CMMI Combined Tutorial Feb 16, 2004
Organizational ProcessPerformance - Context
EstablishQuality and
ProcessPerformance
Measures
Organizational ProcessPerformance Baselines
ProcessPerformance
Models
Organization’sStandard Processes
Project ProcessMeasurements
SelectProcesses
Selected Subprocesses fromOrg. Std. Processes
BusinessObjectives
Organizational ProcessPerformance Objectives
EstablishProcess
PerformanceModels
Establish Process
Performance Objectives
EstablishProcess
PerformanceBaselines
•Org set ofmeasures
QPM
QPM
BusinessObjectives
Establish Performance Baselines and Models
MA
146CMMI Combined Tutorial Feb 16, 2004
Organizational Innovation andDeployment
• Purpose:
• Select and deploy incremental and innovativeimprovements that measurably improve theorganization’s processes and technologies.The improvements support the organization’squality and process-performance objectives asderived from the organization’s businessobjectives.
147CMMI Combined Tutorial Feb 16, 2004
Manage theDeployment
MeasureImprovements
Effects
Plan theDeployment
Deploy Improvements
Organizational Innovation andDeployment - Context
Collectand AnalyzeImprovement
Proposals
MeasurementResults
PilotImprovements
Improvement Proposalsand Analysis
Select Improvements
for Deployment
Improvements
Select Improvements
Identify and AnalyzeInnovations
148CMMI Combined Tutorial Feb 16, 2004
Overview of Integrated Productand Process Development
IPPD
149CMMI Combined Tutorial Feb 16, 2004
About IPPD
• IPPD affects all process areas.
• IPPD is not a discipline like SE or SW.
• Rather, it is a way of doing business.
• IPPD is employed in conjunction with the CMMIdisciplines (software and systems engineering).
• Implementation of IPPD shapes how you performthe work in these disciplines.
150CMMI Combined Tutorial Feb 16, 2004
IPPD - Definition
IPPD provides a systematic approach toproduct development that achieves a timelycollaboration of relevant stakeholdersthroughout the product life cycle to bettersatisfy customer needs.
151CMMI Combined Tutorial Feb 16, 2004
IPPD - Definition -2
Integration of the development of product-related processes (e.g., manufacturing,support, training, disposal) during productdevelopment is embedded in SE/SW specificpractices by involving relevant stakeholdersfrom all life cycle phases and by the conceptof “work product.”
152CMMI Combined Tutorial Feb 16, 2004
Stakeholder Involvement
• Stakeholder Involvement is guided and assured bythree constructs in CMMI- SE/SW/IPPD:
• GP 2.7 Identify and involve the relevant stakeholdersof the process as planned.
• PP SP 2.6-1 Plan the involvement of identifiedstakeholders.
• IPM SG 2 Collaborate and coordinate with relevantstakeholders.
153CMMI Combined Tutorial Feb 16, 2004
CMMI Work Product - Definition
–Any artifact produced by a process.
–This may include files, documents, parts of theproduct, services, processes, specifications, andinvoices.
–Examples of processes as work product include amanufacturing process, a training process, and adisposal process.
–A key distinction between a work product and aproduct component is that a work product neednot be engineered (although it may be).
154CMMI Combined Tutorial Feb 16, 2004
IPPD in CMMI Models
• Then, what makes IPPD different from pure SE/SWimplementations?
• IPPD relies on integrated teams to develop theproduct and processes.
• IPPD provides an integrated work environment andthe management of people to incentivize teamwork.
• Processes are tailored to be used by integratedteams.
155CMMI Combined Tutorial Feb 16, 2004
CMMI Integrated Team Definition
• An integrated team is comprised of people–with complementary skills and expertise–appropriate skills and advocacy–fully empowered to represent stakeholders–from all phases of the work product’s life cycle
• These people are committed to and arecollectively responsible for–delivering specified work products–through timely collaboration
156CMMI Combined Tutorial Feb 16, 2004
Scope of IPPD
•CMMI SE/SW/IPPD adds to CMMI-SE/SW:
–Two new process areas»Organizational Environment for Integration»Integrated Teaming
–A revised Integrated Project Management (IPPD)process area
–IPPD amplifications and references–New glossary definitions and acronyms–Overview material
157CMMI Combined Tutorial Feb 16, 2004
Organizational Environmentfor Integration (OEI)
•Purpose:
•To provide an Integrated Product and ProcessDevelopment (IPPD) infrastructure and managepeople for integration.
158CMMI Combined Tutorial Feb 16, 2004
Provide IPPD
Infrastructure
IPPD-EnabledPeople
andWork
Environments
ManagePeople forIntegration
Mechanismsand
Incentivesto SupportIntegration
andCollaboration
Organizational Environmentfor Integration (OEI)- Context
159CMMI Combined Tutorial Feb 16, 2004
Organizational Environment forIntegration – Context
Guidelines forLeadership,
Decision-makingContext
Manage People for Integration
Establish Leadership
Mechanisms
Establish Incentives for
Integration
Establish Mechanisms to Balance Responsi-
bilities
Guidelines forEmpowerment
Process forIssue Resolution
Team &IndividualRewards
OrganizationalGuidelines
JointPerformance
Review Process
Organization’sShared Vision
Establish an Integrated Work Environ-
ment
Establish theOrganization’s
Shared Vision
Provide IPPD Infrastructure
IntegratedWork
Environment
Identify IPPD-Unique
Skill Require- ments
Guidelines for Shared Vision
Building
IPPD Tactical & StrategicTraining
Needs
OPD
OT
160CMMI Combined Tutorial Feb 16, 2004
Integrated Project ManagementFor IPPD
• Purpose:
• Establish and manage the project and theinvolvement of the relevant stakeholdersaccording to an integrated and defined processthat is tailored from the organization’s set ofstandard processes.
• For Integrated Product and Process Development,Integrated Project Management also covers theestablishment of a a shared vision for the projectand an integrated team structure that will carryout the objectives of the project.
161CMMI Combined Tutorial Feb 16, 2004
Integrated Project Management(IPPD) - Context
Use theProject’sDefinedProcess
Coordinate and Collaborate with Relevant Stakeholders
Stakeholders
ProductRequirements
DefinedProcessBased
Project Plan
Contributions toOrganization’s Process Assets
Use theProject’s
Shared Visionfor IPPD
Project’sSharedVision
Stakeholders
ProjectPlanning
OrganizeIntegrated
Teamsfor IPPD
IntegratedTeams
OrganizationalEnvironment for
Integration
162CMMI Combined Tutorial Feb 16, 2004
Work Breakdown Structure
Integrated Teams
Integrated Project Management(IPPD)
Responsibility & Requirements
Allocation
Info onOrg/Project Situation
Organize Integrated Teamsfor IPPD
Use the Project’s SharedVision for IPPD
Define theProject’sShared Vision
Context
Establish the
Project’s Shared Vision
OEI
Project’s SharedVision
DetermineTeam
Structure
Develop aPreliminary
Distribution ofRequirements
EstablishIntegrated
Teams
Team Structure
Member Aspirations
List ofTeams
IntegratedTeaming
163CMMI Combined Tutorial Feb 16, 2004
Integrated Teaming
•Purpose:
•To form and sustain an integrated teamfor the development of work products.
164CMMI Combined Tutorial Feb 16, 2004
Integrated Teaming - Context
Establish TeamComposition Govern Team
Operation
RelevantStakeholders
Sponsor’sObjectives
AssignedProduct
Requirements
IntegratedTeam
ProjectPlanning
Plans and
Commitments
OrganizationalEnvironment forIntegration
(IPPD) OEI
PP
IPM
165CMMI Combined Tutorial Feb 16, 2004
Identify Team Tasks
Establish TeamComposition
Results Lists
Identify Knowledge and Skills
Functions, Skills,& Expertise
Lists
Assign Appropriate
Team Members
IntegratedTeam
Stakeholders
AssignedProduct
Requirements
Govern TeamOperation
Establish a Shared
Vision
TeamCharter Establish
a Team Charter
Assignments,& Respon-sibilities
Define Roles & Respon- sibilities
Ground Rulesand
Procedures
Establish Operating
Procedures
Collaborate among
Interfacing Teams
Plans and Commitments
Team’sShared Vision
SponsorsObjectives
Integrated Teaming - Context
TaskDescriptions
CMMI Combined Tutorial Feb 16, 2004
Training
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“Introduction to the CMMI” Course,Staged & Continuous (Separate
Courses)
• Introduction course will enable the participant to– Understand the importance of defined processes– Understand the rationale for process improvement– Comprehend the CMMI model– Identify ways of applying the CMMI model
for process improvement
• Broad audience– Systems and software developers– Systems, Program and software managers– Practitioners of disciplines that support systems and software– Government and industry acquirers of software-intensive systems
• Assumes one year of experience in systems and software
• No process improvement or Capability MaturityModel (CMM ) experience assumed
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“Intermediate Concepts ofCMMI Models” Course
• Provides a deeper understanding of theCMMI and it’s fundamental concepts.–PA’s in more detail–Linking the PA’s together– Interpreting the CMMI for appraisals–Application of CMMI for process
improvement
• Required as a prerequisite to SCAMPILead Appraiser training and “train thetrainer” course.
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• Similar to the current CMM AppraisalFramework (CAF) V1.0–A guide to appraisal method developers
• Specifies the requirements for classes ofappraisal methods–Class A: Full, comprehensive appraisal methods–Class B: Initial, incremental, self-appraisals–Class C: Quick-look
• Method developers can declare which class theirmethod fits
• Implications of the desired class of appraisal
Appraisal Requirements for CMMI (ARC) v1.1
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Standard CMMI Appraisal Method forProcess Improvement (SCAMPI)
• Similar to CBA IPI method
• Led by authorized Lead Appraiser
• Tailorable to organization andmodel scope
• Source selection appraisals or process monitoring aretailoring options of SCAMPI
• SCAMPI Method Definition Document V1.1
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• Similar to existing SEI Lead Assessorand Lead Evaluator programs–Administered by SEI
• Will transition current SW & SE Lead Assessorsor Evaluators, as well as new candidates
• Lead Appraiser requirements:–Introduction to CMMI Training–Appraisal team experience–Intermediate CMMI Training–SCAMPI Lead Appraiser Training
CMMI Lead Appraiser Program
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Discoveries in Use
•Appraisal time shows an excellent learning curve
–40% reduction in appraisal time over five Australianassessments
•“Shadow appraisals” show ease of transition
–High maturity CBA IPI at Litton PRC
–TSP based Level 4 CBA IPI at China Lake
•Mappings and gap analyses confirm evolutionaryexpansion from predecessor models
–Government and contractors agree on CMMI’s improvedengineering coverage in contract monitoring
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Wrap-Up
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CMMI Transition Plan
Development Phase• Development of CMMI products• Verification and validation of CMMI products
Transition Phase• Approval of initial CMMI products for
public release• Evidence of sufficient use• Transition planning to help organizations
use CMMI products
Sustainment Phase• Upkeep and continuous improvement
of the product suite• Additional evidence of adoption and use
V1.0Aug 2000
V1.1Dec 2001
SW-CMM, EIA 731 phased outDec 2003
V0.2Aug 1999
Pilots
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CMMI Schedule
• Available now
– CMMI-SE/SW/IPPD/SS, V1.1
– SCAMPI Method Definition Document. V1.1
– V1.1 model and method training
• December 2003
– Sunset period for SW-CMM, EIA/IS 731 completed (nomore public courses, new lead assessors)
• January 2004
– Acquisition “module” available
• December 2005
– SEI acceptance of SW-CMM appraisals ends
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CMMI – What is coming next?
• Emphasis through 2004 is on CMMI adoption and transitionfrom legacy models like SW-CMM V1.1; review and analysis forV1.2
•“Communities of Practice” will be encouraged (Yahoo groups,TPWeb)
• “Technical Notes” and “Special Reports” will complement V1.1:– Mapping CMMI with other standards and models (ISO
9001:2000)– Managing COTS integration– Making attribute tradeoffs in design (product line practices)– Allowing prototypical coverage for specific interests
(e.g., services [released]; acquisition [in work]; safety & security[in work]; marketing [in work]
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CMMI...Re-cap
• ... Is not so different from the models with which weare familiar
• ... Has 2 representations in a single model:– Staged– Continuous
• ... Contains specific and generic goals that must besatisfied
• ... Is directly related to our work:– Not everything we do is just ‘software’
engineering– There is a lot of systems engineering and
“other”
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Appraisal Topics
•Appraisal Requirements for CMMI
•SCAMPI V1.1 Overview
•SCAMPI Lead Appraiser Authorization
•Future Directions
•Data on Process Improvement
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Appraisal Requirements forCMMI
•“The Appraisal Requirements for CMMI (ARC) V1.1 defines therequirements considered essential to appraisal methods intendedfor use with Capability Maturity Model-Integrated (CMMI) models.”
•Based on appraisal principles common to source methods
•Defines three classes of appraisal methods– classes reflect common usage modes of appraisal methods– ARC requirements are allocated to each method class so as to
align with the usage mode characteristics
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ARC Appraisal Principles
•Start with an appraisal reference model.
•Use a formalized appraisal process.
•Involve senior management as appraisal sponsor.
•Focus the appraisal on the sponsor’s businessobjectives.
•Observe strict confidentiality and non-attribution of data.
•Approach the appraisal collaboratively.
•Focus on follow-on activities and decision-making basedupon the appraisal results.
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Appraisal Method Classes
Persontrained andexperienced
LeadAppraiser
or persontrained andexperienced
LeadAppraiser
Appraisal Team LeaderRequirements
SmallMediumLargeTeam size (relative)
LowMediumHighResource needs (relative)
NoNoYesRatings generated
LowMediumHighAmount of objectiveevidence gathered(relative)
Class CClass BClass ACharacteristics
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Implications
•Consider a family of appraisal methods in determining overallappraisal needs
– fit the appraisal method to the actual need,
– many appraisal needs can be met without maturity level orcapability level ratings
•Class A methods may not be the most appropriate choice fororganizations early in their process improvement cycle
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Fundamental ARC Concepts
•(Process) appraisal
•Appraisal reference model
•Organizational unit
•Instantiation
•Objective evidence
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Process Appraisal
(Process) appraisal - an examination of one or more processesby a trained team of professionals using an appraisalreference model as the basis for determining strengths andweaknesses
Appraisal reference model – the CMMI model to which anappraisal team correlates implemented process activities.
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Organizational Unit (OU)
•“The part of an organization that is the subject of an appraisal(also known as the organizational scope of the appraisal). Anorganizational unit deploys one or more processes that have acoherent process context and operates within a coherent set ofbusiness objectives. An organizational unit is typically part of alarger organization, although in a small organization, theorganizational unit may be the whole organization.”
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Appraisal Scope
•Defining the
•“Organizational Unit”
•Selecting CMMISM Model,Representation, and Scope
CMM
I-SE/S
W
2
3
4
5Level
3
PA1PA2PA3PA4PA5PA6
0 1 2 3
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Instantiation -1
•CMMI practices are abstractions which are implemented andmade real in their application and implementation by projects andorganizations
•The context within which the practice is applied “governs” theimplementation
•The details of the implementation as well as the context withinwhich the practice is implemented is referred to as theinstantiation (organizational or project)
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“Automobile” Instantiations -2
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Instantiation -3
• Sampling and instantiation in process appraisal:
• A representative sample of the practice instantiations(within the organizational unit) is identified,
• The implementation of the practice is reviewed for eachmember of the sample,
• The extent to which the practice is implemented (asaggregated across the sample) is taken to be a proxy forthe extent to which the practice is implemented in theorganizational unit.
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Objective Evidence
•“Qualitative or quantitative information, records, or statementsof fact pertaining to the characteristics of an item or service or tothe existence and implementation of a process element, whichare based on observation, measurement, or test and areverifiable.”
•[Adapted from ISO 10011:1994].
•CMMI Appraisal methods are based on the consideration ofobjective evidence as the basis for formulation of weaknesses,strengths and ratings.
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Data Collection
Instruments
Documents
Interviews
Presentations
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Sources of Objective Evidence
•Instruments– Organizational assets reflecting evidence of
implementation of model practices (e.g., mapping tables)– Questionnaires
•Interviews– Standard structured interviews; on-call interviews;
follow-up interviews– Exploratory or focused questions targeted at manager,
practitioners and/or users
•Presentations– Briefings, demonstrations
•Documents– Hardcopy, softcopy, hyperlinks
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Data Collection and Recording
•Team member notes– Tagged to model and data collection sources
•Observations– Inventory of objective evidence for implementation of each
model practice– Weaknesses (where applicable); note that strengths have a
different connotation (“above and beyond”) and are lessrelevant to determinations of practice implementation
•Findings– Aggregation of weaknesses
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CMMI Appraisal Premises• Goal achievement is a function of the extent to which the
corresponding practices are present in the planned andimplemented processes of the organization.
• Practice implementation at the organizational unit level is afunction of the degree of practice implementation at theinstantiation level (e.g., projects)
• The aggregate of objective evidence available to the appraisalteam is used as the basis for determination of practiceimplementation.
• Appraisal teams are obligated to seek and consider objectiveevidence of multiple types in determining the extent ofpractice implementation.
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What is Practice ImplementationVerification?
•Verifying practice implementation means thesubstantiation of practice implementation based on thereview of objective evidence.
•For example:– one might inquire as to whether a (project-specific)
practice is implemented within a project, or– one might inquire as to whether a (organization-specific)
practice is implemented within an organization.
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What are practice implementationindicators?
•The fundamental idea of practiceimplementation indicators (PIIs) is quitesimple and broadly applicable to anypractice or activity; it is based on thepresumption that the conduct of anactivity or the implementation of apractice will result in “footprints” whichare attributable to the activity or practice.
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Example: Balancing aCheckbook
•If one balances one’s checkbook at the end of the month thenthere are several potential ways to confirm that this activity hasindeed taken place:
– the person who engaged in the checkbook balancingactivity can affirm that this activity was conducted,
– there will likely be a mark in the checkbook for each checkor transaction which matches with a corresponding entry inthe bank’s statement,
– there will likely be a mark on the bank’s statement for eachcheck or transaction which matches with a correspondingentry in the checkbook,
– additional artifacts could be identified.
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Indicators
•Things that provide a useful and reliable way of predicting thatsomething else is present or true.
•E.g. the fuel gauge in your automobile.
•Pros:– Can highly simplify repetitive
and costly operations– Can be great time savers
•Cons:– Can be misleading– Can be wrong
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Indicators in CMMI
•In CMMI, practice implementation indicators (PIIs) refer to the“footprints” that are the necessary or incidental consequence ofpractice implementation.
•PIIs include artifacts as well as information gathered frominterviews with managers and practitioners.
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Practice Implementation Indicator Types
•Direct Artifacts– Tangible outputs resulting directly from implementation of
a practice (e.g., Typical Work Products)
•Indirect Artifacts– Artifacts that are a side-effect or indicative of performing a
practice (e.g., meeting minutes, reviews, logs, reports)
•Affirmations– Oral or written statements confirming or supporting
implementation of the practice(e.g, interviews, questionnaires)
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PII-based Process Appraisal
•PII-based process appraisal uses practice implementationindicators as the focus for verification of practice implementation.
•This is in contrast to an observation-based approach that relies onthe crafting of observations that pertain to model implementationstrengths or weaknesses (CBA IPI and SCAMPI V1.0 are examplesof observation-based approaches.)
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Example – Indicators of Practice Implementation
PP SP1.1-1:
Establish
a top-level work breakdown structure (WBS)
to estimate the scope of the project.
Primary artifacts:-top-level WBS-task descriptions-work package descriptions
Affirmations:- “I worked on the WBS team”- “We used the WBS”
Indirect artifacts:-Meeting minutes,-Team charter,-WBS development notes
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Direct (type A PIIs)
•The tangible outputs resulting directly from implementation of aspecific or generic practice.
•An integral part of verifying practice implementation.
•May be explicitly stated or implied by the practice statement orassociated informative material.
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Indirect (type B PIIs)
•Artifacts that are a consequence of performing a specific orgeneric practice or that substantiate its implementation, butwhich are not the purpose for which the practice is performed.
•This indicator type is especially useful when there may bedoubts about whether the intent of the practice has been met;e.g., a artifact exists but there is no indication of where it camefrom, who worked to develop it, or how it is used.
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Affirmation (type C PIIs)
•Oral or written statements confirming or supportingimplementation of a specific or generic practice.
•These are usually provided by the implementers of thepractice and/or internal or external customers, but may alsoinclude other stakeholders (e.g., managers, suppliers).
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Aggregation Paradigm
• Practice implementation (practice instantiation level)
• Practice implementation (OU level)
• Goal satisfaction
• Capability level and/ormaturity level ratings
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Discipline Model (CMMI SE/SW)
•In making inferences about the extent to which practices are orare not in place (e.g. implemented), appraisers are expected todraw upon the entire model document as the basis for theirdecisions.
•Examples:– Glossary definitions– Front matter– Sub-practices– Related process areas
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Tutorial Topics
•Appraisal Requirements for CMMI
•SCAMPI V1.1 Overview
•SCAMPI Lead Appraiser Authorization
•Future Directions
•Data on Process Improvement
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Standard CMMI Appraisal Methodfor Process Improvement (SCAMPI)
•Full comprehensive benchmarking appraisal method for CMMI
•ARC class A method
•Lead appraiser authorization program managed andadministered by SEI
•SCAMPI version 1.1 deployed April 2002
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SCAMPI Objectives
•Provide a common, integrated appraisal method capable ofsupporting appraisals in the context of internal processimprovement, supplier selection, and process monitoring
•Provide an efficient appraisal method capable of beingimplemented within reasonable performance constraints.
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SCAMPI: New Features
•Usage Modes: internal process improvement, supplier selection,process monitoring
•Reuse: enhanced ability to use existing model implementationknowledge and reduce the cost of the appraisal
•Disclosure: standard recommended set of appraisal data fordisclosure of appraisal results
•Method Definition: Produced by CMMI Product Team ( AMIT)
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Focused Investigation
•Emphasize effective data collection and management techniquesthroughout the appraisal process
– Understand what objective evidence is available, and how itcontributes toward implementation of model practices
– Continually consolidate data to determine progress towardsufficient coverage
– Focus appraisal resources where further investigation is needed– Avoid unnecessary or duplicated effort that does not contribute
toward sufficient coverage or significantly greater confidence inappraisal results
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Appraisal Concept of Operations
ProjectImplementation
OrganizationImplementation
• Model / process mapping• Objective evidence
Inventory ofObjectiveEvidence
• Verified implementation• Strengths, weaknesses• Findings, ratings
DefinedProcesses
• Process improvement• Class B, C appraisals
Organization
CMMI Steward
AppraisalTeam
CMMIProductSuite
• Transition• Deployment• Tailoring
• Appraisal planning• Readiness review
• Verification• Validation• Aggregation• Focused Investigation
• Model• Method• Training
PAIS
• Appraisal results• Performance data
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SCAMPI Phase Structure
•Phase I - Plan and Prepare For Appraisal
•Phase II - Conduct Appraisal
•Phase III - Report Appraisal Results
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MDD v1.1 Outline
Phase I:Plan and Preparefor Appraisal------------ - --- --------- ---- ----- -------------------Phase II:ConductAppraisal------------ - --- --------- ---- ----- -------------------Phase III:ReportResults------------ - --- --------- ---- ----- -------------------
Primary ReferenceMaterial
IntroductoryProse------------ - --- --------- ---- ----- -------------------
Doc. Overview______________________________
Part1 Descriptive nameand information______________________________
Part2 Descriptive nameand information______________________________
...______________________________
Part N Descriptive nameand information______________________________
ExecutiveSummary for theAppraisal Sponsor------------ - --- --------- ---- ----- -------------------
Method Overviewwith audience-specific summaryof this document------------ - --- --------- ---- ----- -------------------
Front Matter
Glossary------------ - --- --------- ---- ----- -------------------
SCAMPIAppraisalDisclosureStatement (ADS)------------ - --- --------- ---- ----- -------------------
Role of PIIs inVerifying PracticeImplementation------------ - --- --------- ---- ----- -------------------ARC/MDD
Traceability------------ - --- --------- ---- ----- -------------------
Appendices
FocusedInvestigationElaboration andGuidance------------ - --- --------- ---- ----- -------------------
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SCAMPI MDD V1.1 Processes
• Analyze Requirements
• Develop Appraisal Plan
• Select and PrepareTeam
• Obtain and AnalyzePreliminary ObjectiveEvidence
• Prepare for Collectionof Objective Evidence
• Examine Objective Evidence
• Verify and Validate ObjectiveEvidence
• Document ObjectiveEvidence
• Generate Appraisal Results
• Deliver Appraisal Results
• Package and ArchiveAppraisal Assets
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3.1 Analyze Requirements
Purpose Understand the business needs of the organization for whom the appraisal is being requested. The Appraisal Team Leader will collect information and help the appraisal sponsor match appraisal objectives with their business objectives.
Entry CriteriaInitial contact between the appraisal sponsor and authorized SCAMPI Lead Appraiser has occurred. The Lead Appraiser has been given access to members of the sponsoring organization, and asked to develop a proposal.
Inputs • Sponsor,• Initial Requirements and Constraints,• Process-related Legacy Information
Activities 3.1.1. Determine Appraisal Objectives3.1.2. Determine Appraisal Constraints3.1.3. Determine Appraisal Scope3.1.4. Determine Outputs3.1.5. Obtain Commitment to Appraisal Input
Outputs Appraisal Input
Outcome The decision to proceed with the appraisal based on a shared understanding of the appraisal objectives, constraints and scope.
Exit Criteria The appraisal input has been approved by the appraisal sponsor and placed under change management.
•Example MDD process descriptionbased on information mappingapproach.
•MDD processes contain thefollowing, as applicable:• Purpose - Entry Criteria - Inputs - Activities -Outputs - Outcomes - Exit Criteria
• Tools and techniques - Metrics - Verification &Validation - Records - Tailoring - Interfaces -Summary of activities
•Tags and format are usedconsistently to aid navigation andreferences.
Sample MDD Process
218CMMI Combined Tutorial Feb 16, 2004
Sample MDD Activity
Sample MDD Activity
3.1.1 Determine Appraisal Objectives
Activity Description
The business needs for process improvement drive the requirements for the conduct of any given appraisal, and generally include one or more of three closely related factors:• Reducing costs• Improving quality, and• Decreasing time to market
The fundamental premise of process improvement is that organizationalprocesses significantly impact these factors.
A fair and objective characterization of the process in use in the organization(s) is the essential reason for conducting an appraisal. In addition to this motivation, a sponsor' s desire to conduct an appraisal could be driven by one or more of the following business related goals:• Document a credible benchmark that reflects successful process
improvement• Evaluate areas of potential risk that may effect the performance of the
organization• Involve members of the appraised organization in improving the
performance of the process• Support specific decisions related to the direction of a new or existing
improvement program• Motivate a supplier to focus on process issues that affect their performance
on a contract
Required Practices
Identify sponsor and relevant stakeholders, and establish communication.
Document business and appraisal objectives
Assure alignment of appraisal objectives to business objectives
Determine and document appraisal usage mode (internal process improvement, supplier selection, process monitoring).
Parameters and Limits
At least one communication between appraisal team leader and sponsor (Some usage modes may limit this significantly, others may re quire much more than one interaction).
•Example MDD activity descriptionbased on information mappingapproach.
•Content for MDD activities isstructured as follows:
• Activity Description
• Required Practices
• Parameters and Limits
• Optional Practices
• Implementation Guidance
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Determination of Practice Implementation
• Assumptions:• the appraisal team understands the context in which the practice is
being implemented, and• understands the practice intent.
• The basic approach to determination of practiceimplementation is to:
• characterize the degree to which the practice is implemented, and• note any factors which should be considered in addition as the
instantiation data is aggregated (strengths, weaknesses, etc.).
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Characterizing Practice Implementation -1
•Assign characterization values reflecting the extent ofpractice implementation for each instance
•Aggregate practice characterizations to organizational unitlevel using defined method aggregation rules
•Iterate and focus revisions to data collection plan
•Generate findings based on aggregation of weaknessesand strengths
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Characterizing Practice Implementation -2
• Any situation not covered by aboveNotImplemented(NI)
• Direct artifacts absent or judged inadequate
• Artifacts or affirmations indicate some aspects ofthe practice are implemented
• One or more weaknesses noted
PartiallyImplemented(PI)
• Direct artifacts present and appropriate
• Supported by indirect artifact and/or affirmation
• One or more weaknesses noted
LargelyImplemented(LI)
• Direct artifacts present and appropriate
• Supported by indirect artifact and/or affirmation
• No weaknesses noted
FullyImplemented(FI)
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Practice Implementation AcrossInstantiations
FIProjects(other)
…
(W) Weakness words…PIProject 2
(S) Strength words…FIProject 1
Preliminary FindingsExtent ofImp.
Instantiation
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Aggregation to Goal
FISP x.4-1
FISP x.3-1
(W) …PISP x.2-1
(S) ….FISP x.1-1
Preliminary FindingsExtent ofImp.
Practice
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Inst. Direct Indirect Affirmation
I1
I2
I3
I4
Obs.
Weakness(es)
Strength(s)
…
…
!
!
!
!
!
Indicator(s) Indicator(s)
Indicator(s)
Indicator(s)
Indicator(s) Indicator(s)
Indicator(s)
Indicator(s)
Char.
LI
FI
PI
FI
"
"
!
Instantiation Level
Indicator(s) " !Indicator(s)
(Pra
ctic
es)
SCAMPI Aggregationand Rating
OrganizationalUnit Level
PreliminaryFindings
Char.
Strength(s)LIWeakness(es)
Final Findings
Goals
Maturity LevelsCapability Levels
Process Areas(optional)
225CMMI Combined Tutorial Feb 16, 2004
Rating Goals
•Goal ratings are a function of the extent to which thecorresponding practices are present in the planned andimplemented processes of the organization.
•Team judgement is used to rate goals where the objectiveevidence doesn’t render the outcome plainly obvious.– If all practices are FI, then the goal must be satisfied.– If all practices are NI, the goal can’t be satisfied.– The conditions between the two extremes require professional
judgment.
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Aggregation and Consensus
• Practice Implementation Characterizations
• (practice instantiation level)
• Practice Implementation Characterizations
• (organizational unit level)
• Goal Satisfaction Ratings
• Capability Level and/orMaturity Level Ratings
Level ofConsensus
Mini-Team
Full Team
Full Team
Full Team
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Data Collection and RatingConcepts
•Corroboration
– Must have direct artifacts, combined with either indirect artifact oraffirmation
•Coverage
– Must have sufficient objective evidence for implementation ofeach practice, for each instance
– Must have face-to-face (F2F) affirmations (avoid “paper-onlyappraisals”):
» At least one instance for each practice (“one column”)
» At least one practice for each instance (“one row”)
» or 50% of practices for each PA goal, for each project, have at least oneF2F affirmation data point
228CMMI Combined Tutorial Feb 16, 2004
Affirmation Coverage Rules - Summary
∑ Column
∑ Row
PA.SPx.4-1
PA.SPx.3-1
PA.SPx.2-1
PA.SPx.1-1
Project-4Project-3Project-2Project-1
1. “One Row, One Column”
or, 2. “50% rule”: > 50% of PA practices for each goal, foreach project, have at least one face-to-face (F2F)affirmation data point
229CMMI Combined Tutorial Feb 16, 2004
Verification and Reporting
•Verification– Verify implementation of model practices at instantiation and
organizational levels– Populate appraisal team inventory of objective evidence from
organizational assets
•Reporting– Preliminary findings– Final findings
230CMMI Combined Tutorial Feb 16, 2004
Tailoring SCAMPI
•SCAMPI users need to clearly understand the “degrees offreedom” they have when planning an appraisal– Where can there be no deviation from what is prescribed by
the method?– Where can alternative implementations be considered?– Where are there opportunities for customization?
•Why alternative implementations and/or customizations?– Adapt method to special circumstances– Exploit opportunities for additional efficiencies– Take advantage of special circumstances
231CMMI Combined Tutorial Feb 16, 2004
Appraisal Disclosure Form -1
•New to SCAMPI V1.1 – a standard set of information for use byappraisal sponsors in disclosing the results of an appraisal
•Benefits the community by recognizing that there is a minimumamount of information which must be disclosed in order forreasonable conclusions to be drawn or for comparisons to bemade.
•A fully executed ADS is a required part of the appraisal reportsubmitted by the SCAMPI Lead Appraiser to the SEI.
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Appraisal Disclosure Form -2
• Standard information content for SCAMPI Appraisal DisclosureForm:
– Appraisal sponsor and sponsor’s organizational affiliation– Appraisal Team Leader, appraisal team members and
organizational affiliations– Organizational Unit appraised– CMMI model (version, representation and domains)– Appraisal method used (e.g. SCAMPI V1.1)– Itemization of process areas rated and process areas not rated– Maturity level and/or capability level ratings assigned– Dates of onsite activity– Date of issuance of ADS
• Signature of Appraisal Team Leader (as a minimum); appraisalteam members and appraisal sponsor optional
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SEI Appraisal Program
•Goals:– Maximize value and use of SEI appraisal methods facilitated by
qualified, trained individuals.– Transition appraisal technology in an effective manner,
maintaining consistency and quality in the process.
•The SEI has added a SCAMPI track to its Appraisal Program forSCAMPI Lead Appraisers
234CMMI Combined Tutorial Feb 16, 2004
SEI Transition Partners
•To provide leadership in the transition of new softwareengineering technology into practice, Carnegie Mellon
University/SEI licenses specific SEI technologies—typically training courses or appraisal services — to
organizations that we call "transition partners."
235CMMI Combined Tutorial Feb 16, 2004
TP Infrastructure for CMMI
SEI
TP A
TP licenseagreement
TP-agentaffiliation
SEIAuthorization
TP B
Agents(individuals)
TP <x> Legal entities
…
…
…
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Authorization Costs
$1,500/day +travel
$1,500/day +travel
$1,200/day +travel
SEI Observation Fee (dailyrate plus travel)
$2,400 – 1st
$2,000 – 2nd+
$3200 per seat
U.S.Government
$4,500 – 1st
$3,750 – 2nd+
$3,000 – 1st
$2,500 – 2nd+
Annual Support Fee (percandidate or authorizedLead Appraiser)
$6,000 perseat
$4,000 per seatSCAMPI Lead AppraiserTraining (5 days)
Int’l*U.S. Industry*Course or Service
* The costs indicated above apply to U.S. Industry and International organizations withinternal and/or commercial use licenses.
237CMMI Combined Tutorial Feb 16, 2004
SLA Authorization Timeline
Satisfy prerequisitesincluding field
experience in atleast two SCAMPIs
2
SuccessfulObservation by a
qualified observingSCAMPI Lead
Appraiser
1
Satisfactorilyfulfill Lead Appraiser
requirements.Pay annual support
fee.
3
Time
TrainingDate
Attend SCAMPILead Appraiser
Training
12 months max 24 months max
AuthorizationDate
RenewalDate
RenewalAuthorization
Become FullyAuthorized
24 months max
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Information Returned to the SEI
•The Process Appraisal Information System (PAIS) exists atthe SEI as a repository of appraisal data.
•Strict confidentiality is maintained; results are reported inindustry aggregates without attribution to project, persons,or organizations.
•The PAIS form, along with other required appraisal artifacts,are to be returned to the SEI within 30 days after eachappraisal.
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Renewal of Authorization
•Authorization as a Lead Appraiser is currently valid for a two-year period.
•Renewal depends upon satisfactorily meeting Lead Appraiserresponsibilities and having an affiliation with an SEI TransitionPartner with a license for delivering SCAMPI Appraisal services.
•Successful completion of any courses required for authorizationrenewal.
240CMMI Combined Tutorial Feb 16, 2004
Renewal Considerations•Sponsor feedback forms
•Team member feedback forms
•Random audit results
•Substantiated reports of any misuse of SEI materials andSCAMPI methodology
•Review of appraisal data returned to SEI
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Tutorial Topics
•Appraisal Requirements for CMMI
•SCAMPI V1.1 Overview
•SCAMPI Lead Appraiser Authorization
•Future Directions
•Data on Process Improvement
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Future Directions
•SCAMPI Class B and C Appraisals
•“Registered” Appraisals for Source Selection
•SCAMPI appraisals on SW-CMM V1.1
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Tutorial Topics
•Appraisal Requirements for CMMI
•SCAMPI V1.1 Overview
•SCAMPI Lead Appraiser Authorization
•Future Directions
•Data on Process Improvement
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0
2000
4000
6000
8000
10000
12000
14000
16000
18000
20000
1995 1996 1997 1998 1999 2000 2001 2002 YTD2003
Intro to the CMM and CMMI Attendees (Cumulative)
CMM Intro
CMMI Intro
CMMI Intermediate
7-31--03
245CMMI Combined Tutorial Feb 16, 2004
CMMI Appraisals Around theWorld
United States
United Kingdom
Taiwan
Switzerland
South Korea
Russia
Japan
India
France
China
Canada
Australia
Analysis conducted 13 June 2003
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Geographic Distributionof Appraisal Results
• USA 39
• Japan 21
• India 9
• United Kingdom 5
• Australia 3
• China 2
• France 2
• Taiwan 2
• Canada 1
• Russia 1
• South Korea 1
• Switzerland 1
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Organization Maturity Profile
25.6%
11.5%
21.8%
25.6%
2.6%
12.8%
0.0%
5.0%
10.0%
15.0%
20.0%
25.0%
30.0%
35.0%
40.0%
Not Given Initial Managed Defined QuantitativelyManaged
Optimizing
% o
f Org
aniz
atio
ns
Analysis conducted 13 June 2003
248CMMI Combined Tutorial Feb 16, 2004
U.S. and Non-U.S. OrganizationMaturity Profiles
31.3%
6.3%
12.5%
40.6%
0.0%
9.4%
21.7%
15.2%
28.3%
15.2%
4.3%
15.2%
0%
5%
10%
15%
20%
25%
30%
35%
40%
45%
50%
Not Given Initial Managed Defined QuantitativelyManaged
Optimizing
% o
f Org
aniz
atio
ns
USA Non-USAAnalysis conducted 13 June 2003
249CMMI Combined Tutorial Feb 16, 2004
SCAMPISM Version 1.1 Appraisals
• 93 Appraisals
• 87 Organizations
• 46 Participating companies
• 12 Countries
• 55% Non-U.S. organizations
•Analysis conducted July 10, 2003
250CMMI Combined Tutorial Feb 16, 2004
Where are the Appraisal ResultsComing From?
•87 Organizations
• Commercial 41
• DoD Contractor 30
• Civil Contractor 8
• Military Org 2
• Civil Org 2
• In House Dev 3
251CMMI Combined Tutorial Feb 16, 2004
Reporting Organization Types
6.4%
48.7%
44.9%
0.0% 10.0% 20.0% 30.0% 40.0% 50.0% 60.0%
Military/Federal
Commercial/In-house
DoD/Fed Contractor
Analysis conducted 13 June 2003
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Organization Size
1001 to 200012.8%
25 or fewer10.3%
201 to 3007.7% 101 to 200
11.5%
76 to 1007.7%
51 to 759.0%
25 to 5014.1%
2000+2.6%
501 to 100015.4%
301 to 5009.0%
Based on the total number ofemployees within the area of theorganization that was appraised
Analysis conducted 13 June 2003
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Appraisal Data Analysis
8/2SE
20/6SW
5/2SW + SE + + SS
1/2SW + SE + IPPD + SS
1/1SW + SE + IPPD
34/8SW + SE
Staged/ContinuousModel
Selected Models
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0
50
100
150
200
250
300
350
400
450
1994 1995 1996 1997 1998 1999 2000 2001 2002 YTD2003
Lead Evaluators(SCE)Lead Assessors(CBA IPI)Lead Appraisers(SCAMPI)
7-31-03
Number of Lead Appraisers Authorized(Cumulative)
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Number of Appraisals Reported to the SEI by Year31 July 2003
0
100
200
300
400
500
600
1987
1988
1989
1990
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
SPA SEI CBA IPI SCAMPI vX
256CMMI Combined Tutorial Feb 16, 2004
For More Information About CMMI
–Go to CMMI Website
» http://sei.cmu.edu/cmmi» http://seir.sei.cmu.edu/seir/» https://bscw.sei.cmu.edu/pub/bscw.cgi/0/79783» http://dtic.mil/ndia (first second, and third annual CMMI
Conferences)» http://www.faa.gov/aio