difference between cmm cmmi

Evolutionary DifferencesEvolutionary DifferencesBetween CMM for SoftwareBetween CMM for Software

and the CMMIand the CMMI

ESEPG - June 2001Amsterdam, Netherlands

Carnegie MellonSoftware Engineering Institute

SWCMM to CMMI Evolution - 2version ESEPG 2001© 2001 Kasse Initiatives, LLC

WelcomeWelcome

Wilkommen

Bienvenido

WelKom

Bienvenue

BienvenutoVälkommen

TervetuloaWitamy

Huan Yín

? ? ? ? S ? ??S? ? ?


PresentersPresenters

◆ Tim Kasse – Kasse Initiatives LLC!Manager and Principal Consultant!SEI Visiting Scientist!Institute for Systems Science / National University

of Singapore Visiting Fellow

◆ Mike Phillips – Software Engineering Institute!Project Manager - CMMI Product Development

Team


AgendaAgenda

◆ An Integrated Approach

◆ The CMM Explosion

◆ The CMMI Project

◆ Model Representations: Staged andContinuous

◆ Integrated Institutionalization Practices

◆ The Process Areas

◆ Starting the Transition


Adapting anAdapting anAn IntegratedAn Integrated

ApproachApproach


Why an IntegratedWhy an IntegratedApproach?Approach?

◆ Software Engineering is not considered anengineering discipline throughout the worldwhen compared to electrical engineering,mechanical engineering, and civil engineering

◆ Software Engineering’s brief history has beenfilled with problems:!Cost overruns!Schedule slippage!Poor performance compared to specification!Unsatisfied customers


Why an IntegratedWhy an IntegratedApproach? - 2Approach? - 2

◆ Software is becoming such a large factor in thesystems that are being built today that it isvirtually impossible to logically separate the twodisciplines

◆ Demands for software-intensive systems havebeen growing steadily in the government andcommercial marketplaces

◆ Some organizations have developed “productlifecycles” that include systems, software,hardware, marketing, manufacturing, etc.

!Motorola Microsystems - 1985


Why an IntegratedWhy an IntegratedApproach? - 4Approach? - 4

◆ AT&T realized an increase in productivity andproduct quality by creating integrated teamsthat forced marketing, systems, software, andhardware representatives to work together andbe accountable as a team for the delivery of theproduct – 1990

◆ Integrating Systems and Software engineeringactivities enabled Ford Aerospace to regain itscompetitive position in the command andcontrol market place and reach CMM Level 3 atthe same time – 1989 - 1992


The CMMThe CMMExplosionExplosion


The CMM ExplosionThe CMM Explosion

◆ The first CMM (CMM v1.0) was developed forsoftware and released in August 1990

◆ Based on this success and the demand fromother interests CMMs were developed for otherdisciplines and functions!Systems Engineering!People!Integrated Product Development!Software Acquisition!Software Quality Assurance!Measurement!Others…….


The CMM Explosion - 2The CMM Explosion - 2

◆ While organizations found these various CMMsto be useful they also found them to be:!Overlapping!Contradicting!Lacking clean, understandable interfaces!Lacking standardization!Displaying different levels of detail

◆ In addition, many organizations also had todeal with ISO 9001 Audits or TickIT auditsbased on ISO 9000-3

◆ This resulted in expensive, confusing andconflicting process improvement programs


SW-CMM

Also see www.software.org/quagmire

MIL-Q -9858

Trillium Baldrige

IEEE Stds. 730,828829, 830,1012,1016

1028,1058,1063ISO 15504*(SPICE)

People CMM

IPD-CMM*

DODIPPD

SECAMAF IPD Guide

SDCCR

SCE

NATO AQAP1,4,9

BS5750

MIL-STD-498

DOD-STD -2167A

DOD-STD -7935A

MIL-STD-499B*

ISO/IEC12207

IEEE1220 ISO 10011

SDCE

SE-CMM SECM*(EIA/IS 731)

EIA/IS632

ISO 9000Series

EIA/IEEEJ-STD-016

IEEE/EIA12207

EIA 632*

MIL-STD-1679

IEEE 1074

TickITSSE-CMM

ISO 15288*

EQA

* Not yet released

CMMI*

PSP

SA-CMM

Q9000

DOD-STD-2168

quag14d: 5 June 1998

FAA-iCMM

DO-178B

SW-CMM

Courtesy Sarah Sheard, SPC

uagmire

The FrameworksQuagmire


The CMMIThe CMMIProjectProject


The CMMI ProjectThe CMMI Project

◆ The CMM Integration Project was formed to:!Establish a framework to integrate current and

future models!Build an initial set of integrated models

◆ The source models that served as the basis forthe CMMI include:!CMM for Software v2.0 Draft C!EIA – 731 Systems Engineering!IPD CMM (IPD) v0.98a


TheThe CMMI CMMI Project Project

◆ Sponsored by the DOD and the NationalDefense Industrial Association (NDIA)

◆ Collaborative endeavor!Industry!Government!Software Engineering Institute (SEI)

◆ Over 100 people involved


Product Development TeamProject Manager

M. Phillips / D. Ahern

Chief ArchitectR. Bate

Stakeholder/Reviewers

Steering GroupCo-Chairs

A. Dulai / B. Rassa

Reqmts/T&EIPT

Architecture IPT

PA AuthorGroups

AssessmentMeth.IPT

Coordinating IPTTeam Leads

IPPD IPT

Standards Team Lotus Notes Team

Editors (CCB)D. Ahern / M. Konrad

Pilot Planning

IPT = integrated product team

TrainingIPT

CCB

SE/SW/IPPDExpert Teams

New Discipline Teams

CMM IntegrationProject


TheThe CMMI CMMIDevelopment TeamDevelopment Team

◆ 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◆ Litton◆ Lockheed Martin◆ Motorola◆ Northrop Grumman◆ Pacific Bell◆ Q-Labs◆ Raytheon◆ Rockwell Collins◆ Sverdrup Corporation◆ Thomson CSF◆ TRW


CMMICMMI Design Goals Design Goals

◆ Integrate the source models, eliminate inconsistencies,reduce duplication

◆ Reduce the cost of implementing model-based processimprovement

◆ Increase clarity and understanding!Common terminology!Consistent style!Uniform construction rules!Common components

◆ Assure consistency with ISO 15504◆ Be sensitive to impact on legacy efforts


CMMIProduct Suite

CMMI-SW

CMMI-SE

CMMI-SE/SW

CMMI-SE/SW/

IPPD

...

SWSE

IPPD

Assess

Training

...

Industry

SEI

Government

• Team of Teams • Modeling and

Discipline Experts• Collaborative Process

TheThe CMMI CMMI Solution: Solution:A Product Line ApproachA Product Line Approach


CMMI ModelCMMI ModelRepresentationsRepresentations


CMMI ModelCMMI ModelRepresentationsRepresentations

◆ An organization may choose to approach processimprovement from either the!Process area capability improvement

approach!Organizational maturity improvement approach


CMMI ModelCMMI ModelRepresentations - 2Representations - 2

◆ CMMI models support each approach witha representation!Continuous Representation

" Designed to best support the process areacapability improvement approach

" Uses six capability levels, capability profiles,target staging and equivalent staging asorganizing principles for the model components

!Staged Representation" Designed to best support the organizational

maturity improvement approach" Organizes the process area into five maturity

levels to support and guide process improvement


ContinuousContinuousRepresentationRepresentation


ProcessManagementConcepts

Process AreasModule

Requirements DevelopmentRequirements ManagementTechnical SolutionProduct IntegrationProduct VerificationValidation

EngineeringConcepts

Configuration ManagementProcess and Product Quality AssuranceMeasurement and AnalysisDecision Analysis and ResolutionCausal Analysis and Resolution

Organizational Process FocusOrganizational Process DefinitionOrganizational TrainingOrganizational Process PerformanceOrganizational Innovation and Deployment

ProjectManagementConcepts

Project PlanningProject Monitoring and ControlSupplier Agreement ManagementIntegrated Project ManagementRisk ManagementQuantitative Project Management

Continuous Continuous RepresenationRepresenationCategorization of PAsCategorization of PAs

SupportConcepts


Structure of the CMMIStructure of the CMMIContinuousContinuousRepresentationRepresentation

GenericGoals

& Generic Practices

GenericGoals

& Generic Practices

SpecificGoals

&Specific

Practices

SpecificGoals

& SpecificPractices

RM

PP

QA

CM


Capability LevelsCapability Levels

◆ Capability levels of the continuousrepresentation focus on maturing theorganization’s ability to perform, control, andimprove its performance in a process area

◆ Capability levels provide a recommended orderfor approaching process improvement withineach process area

◆ A capability level consists of related specificand generic practices for a process area that,when performed, increase the capability of theorganization in that process area and enhancethe organization’s overall process capability


Capability Levels - 2Capability Levels - 2

5 Optimizing

4 Quantitatively Managed

3 Defined

2 Managed

1 Performed

0 Incomplete


Capability LevelCapability LevelProfile - ContinuousProfile - Continuous

P r o c e s sRM PP PMC etc

5

4

3

2

1

0

C a

p a

b i

l i t

y


StagedStagedRepresentationRepresentation


Organizational Innovation and DeploymentCausal Analysis and Resolution

5 Optimizing

4 Quantitatively Managed

3 Defined

2 Managed

ContinuousProcess Improvement

QuantitativeManagement

ProcessStandardization

BasicProjectManagement

Organizational Process PerformanceQuantitative Project Management

Requirements DevelopmentTechnical SolutionProduct IntegrationVerificationValidationOrganizational Process FocusOrganizational Process DefinitionOrganizational Training Integrated Project ManagementRisk ManagementDecision Analysis and Resolution

Requirements ManagementProject PlanningProject Monitoring and ControlSupplier Agreement ManagementMeasurement and AnalysisProcess and Product Quality AssuranceConfiguration Management

1 Initial

Process AreasLevel Focus

Staged RepresentationStaged RepresentationCategorization of PAsCategorization of PAs


Structure of theStructure of theCMMI StagedCMMI StagedRepresentationRepresentation

Maturity LevelsMaturity Levels

Process Area 1Process Area 1 Process Area 2Process Area 2 Process Area nProcess Area n

SpecificGoals

SpecificGoals

GenericGoals

GenericGoals

Commitmentto Perform

Abilityto Perform

DirectingImplementation

VerifyingImplementation

GenericPractices

GenericPractices

SpecificPractices

SpecificPractices

- elaborations- typical work products- subpractices

- elaborations- typical work products- subpractices

GenericPractices

GenericPractices

GenericPractices

GenericPractices

GenericPractices

GenericPractices

- discipline amplifications- typical work products- subpractices

- discipline amplifications- typical work products- subpractices


Maturity LevelsMaturity Levels

◆ The maturity level of an organization provides away to predict the future performance of anorganization within a given discipline or set ofdisciplines

◆ The maturity level of an organization is adefined evolutionary plateau of processimprovement

◆ Achieving each maturity level results in anincrease in the process capability of theorganization


Maturity Levels - 2Maturity Levels - 2

◆ There are five maturity levels!Initial!Managed!Defined!Quantitatively Managed!Optimizing

◆ Maturity levels are measured by theachievement of the specific and generic goalsthat apply to a predefined set of process areas


OptimizingCausal analysis and resolutionOrganizational innovation & deployment

Quantitatively ManagedQuantitative project managementOrganizational process performance

DefinedDecision analysis & resolutionRisk managementIntegrated product managementOrganizational trainingOrganization process definitionOrganization process focusValidationVerificationProduct IntegrationTechnical solutionRequirements development

ManagedConfiguration managementProcess & product quality assuranceMeasurement & analysisSupplier agreement managementProject monitoring and controlProject planningRequirements management

nax

fully satisfied

not satisfiednot applicablenot rated

Maturity Level: 1

Process Area Profile -Process Area Profile -StagedStaged


CMMI Process AreaCMMI Process AreaContentsContents

◆ Purpose◆ Introductory Notes◆ Goals: Specific and Generic◆ Generic Practices◆ Specific Practices◆ Notes◆ Work Products◆ Subpractices◆ Amplifications◆ Elaborations


GoalsGoals

◆ Specific Goals!Specific goals apply to only one process area and

address the unique characteristics that describewhat must be implemented to satisfy the purpose ofthe process area

◆ Generic Goals!Generic goals apply to more than one process area

!Achievement of each of these goals relative to aprocess area signifies improved control inperforming the process

!Achievement of each of these goals in relationshipto each process area enables the institutionalizationthat will ensure the process is repeatable and lasting


PracticesPractices

◆ Specific Practices

!A specific practice is an activity that is consideredimportant in achieving the specific goal that it ismapped to within a process area

◆ Generic Practices

!Generic practices are practices that apply to anyprocess area because in principle, they can improvethe performance and control of any process


Informative MaterialInformative Material

◆ Subpractices are suggested courses of actionthat correspond to practices and provideadditional insight into the practices

◆ Amplifications contain information that isrelevant to a particular discipline and isassociated with specific practices

◆ Generic practice elaborations are modelcomponents that explain how to apply ageneric practice in the context of the processarea

◆ Typical work products provides examples ofmethods, tools, techniques, etc. that may beused to support the implementation of apractice


IntegratedIntegrated(Institutionalization)(Institutionalization)

PracticesPracticesforfor

CMMI Process AreasCMMI Process Areas


CMMI StagedCMMI StagedRepresentationRepresentationCommon FeaturesCommon Features

◆ Common features are predefined attributes thatsignify whether the implementation andinstitutionalization of a process area areeffective, repeatable, and lasting

◆ Four Common Features!Commitment to perform!Ability to perform!Directing implementation!Verifying implementation


CMMI StagedCMMI StagedRepresentationRepresentationCommon Features - 2Common Features - 2

◆ Implementation!Specific Practices

◆ Institutionalization (Generic Practices)!Commitment to perform!Ability to perform!Directing implementation!Verifying implementation


CMMI ContinuousCMMI ContinuousRepresentationRepresentationGeneric Practices – CL2Generic Practices – CL2

◆ Establish an Organizational Policy◆ Plan the Process◆ Provide Adequate Resources◆ Assign Responsibility and Authority◆ Train People To Perform◆ Configuration Control of Process Work

Products◆ Identify and Involve Relevant Stakeholders◆ Perform Monitor and Control the Process◆ Objectively Verify Adherence To The Process◆ Review Status with Higher-Level Management


GP 2.1: Establish an Organizational Policy

GP 2.2: Plan the ProcessGP 2.3: Provide ResourcesGP 2.4: Assign ResponsibilityGP 2.5: Train peopleGP 2.6: Manage

ConfigurationsGP2.7: Identify and

Involve RelevantStakeholders

GP 2.8: Monitor and Controlthe process

GP 2.9: Objectively Evaluate Adherence

GP 2.10:Review Status withHigher-Level Management

Commitment to Perform

Ability to Perform

Directing Implementation

Verifying Implementation

Staged Continuous

Managed Level (2)

InstitutionalizationInstitutionalizationInstitutionalizationInstitutionalizationInstitutionalizationInstitutionalizationInstitutionalizationInstitutionalizationMappingMappingMappingMappingMappingMappingMappingMapping


Capability Level 0Capability Level 0

◆ Capability Level 0 deals with Incompleteprocesses

◆ An incomplete process is a process that iseither not performed or only performed partially!One or more specific goals of the process are not

performed



◆ Capability Level 1 deals with Performedprocesses

◆ A Performed process supports and enables thework needed to produce identified output workproducts using identified input work products

◆ The process performance may not be stableand may not meet specific objectives such asquality, cost, and schedule, but useful work canbe done

◆ A critical distinction between an incompleteprocess and a performed process is that aperformed process satisfies all of the specificgoals of the process area


Capability Level 1 - 2Capability Level 1 - 2

◆ GP 1.1 Identify Work Scope!Identify the scope of the work to be performed and

work products to be produced and communicate thisinformation to those performing the work

!The purpose of this practice is to ensure that thepeople doing the work have a commonunderstanding of the work to be performed and workproducts to be produced



◆ GP 1.2 Perform Basic Activities!Perform the basic activities of the process to

develop work products and provide services toachieve the specific goals of the process area

!The purpose of this practice is to produce the workproducts and deliver the services that are expectedfrom performing the process

!These activities may be done informally, notfollowing a documented process description or plan


Continuous andContinuous andStagedStaged

RepresentationsRepresentations



◆ Capability Level 2 deals with Managedprocesses

◆ The managed process achieves the specificobjectives such as quality, cost, and schedule

◆ A critical distinction between a performedprocess and a managed process is the extentto which a process is managed!A managed process is planned and the performance

of the process is managed against the plan

!Corrective actions are taken when the actual resultsand performance deviate significantly from the plan


Staged:Staged:Commitment toCommitment to

PerformPerform


Capability Level 2Capability Level 2Generic PracticesGeneric Practices

◆ GP 2.1 Establish an Organizational Policy!Establish and maintain an organizational policy for

planning and performing the process

◆ The purpose of this practice is to define theorganizational expectations for the process andmake these expectations visible to those in theorganization who are affected


Staged: Ability toStaged: Ability toPerformPerform


Capability Level 2Capability Level 2Generic Practices - 2Generic Practices - 2

◆ GP 2.2 Plan the Process!Establish and maintain the requirements, objectives,

and plan for performing the process◆ The purpose of this practice is to:

!Determine what is needed to perform the processand achieve the established objectives

!Prepare a plan for performing the process

!Get agreement on the plan from relevantstakeholders

◆ Establishing and maintaining a plan includesdocumenting it and changing it as necessary



◆ GP 2.3 Provide Resources!Provide adequate resources for performing the

planned process, developing the work products, andproviding the services of the process

◆ The purpose of this practice is to ensure thatthe resources needed are available when theyare needed!Adequate funding!Appropriate physical facilities!Skilled people or training, mentoring, and coaching

to help the existing workforce gain the necessaryknowledge and skills

!Appropriate tools



◆ GP 2.4 Assign Responsibility!Assign responsibility and authority for performing

the process, developing the work products, andproviding the services of the process

◆ The purpose of the practice is to ensure thatthere is accountability over the life of theprocess for performing the planned processand achieving the specified results!People assigned must have the appropriate

authority!Assignment and authority must be assured over the

life of the process



◆ GP 2.5 Train People!Train the people performing or supporting the

planned process as needed

◆ Training supports the successful performing ofthe process by:!Establishing a common understanding of the

process!Imparting the knowledge and skills needed to

perform the process or support the performing of theprocess

◆ Overview training should be provided to thosewho interact with those performing the work


Staged: DirectingStaged: DirectingImplementationImplementation



◆ GP 2.6 Manage Configurations!Place designated work products of the process

under appropriate levels of configurationmanagement

◆ The purpose of this practice is to establish andmaintain the integrity of the work productsthroughout their useful life

◆ The points in the lifecycle that each“designated” work product will be placed underconfiguration management must be defined



◆ GP 2.7 Identify and Involve RelevantStakeholders!Identify and involve the relevant stakeholders as

planned

◆ The purpose of this practice is to establish andmaintain the expected involvement ofstakeholders during the execution of theprocess

◆ The objective of planning the stakeholderinvolvement is to assure that the interactionsnecessary to the process are accomplished



◆ GP 2.8 Monitor and Control the Process!Monitor and control the process against the plan and take

appropriate corrective action

◆ The purpose of this practice is to perform the directday-to-day monitoring and controlling of the processimplementation!Collect and analyze measures of actual performance against

the plan

!Review accomplishments and results of the implementedprocess against the planned process

! Identify and evaluate the effects of significant deviations fromthe planned process

!Take corrective action when progress differs significantly fromthe plan and track to closure


Staged: VerifyingStaged: VerifyingImplementationImplementation



◆ GP 2.9 Objectively Evaluate Adherence!Objectively evaluate adherence of the process, and

the work products and services of the process to theapplicable requirements, objectives, and standards,and address non-compliance



◆ The purpose of this practice is to providecredible assurance that:!The process is implemented as planned!The planned process satisfies the relevant policies,

requirements, standards, and objectives!The implemented process satisfies the planned

process!The results of following the process satisfy their

requirements and standards

◆ Evaluation of adherence is typically done bypeople who are not directly responsible formanaging or performing the activities of theprocess



◆ GP 2.10 Review Status and with Higher-LevelManagement!Review the activities, status, and results of the

process with higher-level management and resolveissues

◆ The purpose of this practice is to provide thehigher-level management with the appropriatevisibility into the process



◆ Higher-level management oversight reviewsshould allow the senior managers tounderstand:

!What processes are being followed on the projects

!Are those processes efficient

!Are those processes effective

!Is following the processes producing the requiredproduct quality


ContinuousContinuousand Stagedand Staged

RepresentationRepresentation



◆ Capability Level 3 deals with Defined processes◆ A defined process is a managed process that

is:!Tailored from the organization’s set of standard

processes and related organizational process assetsaccording to the organization’s tailoring guidelines

!Has a maintained process description!Contributes work products, measures, and other

process improvement information to theorganization’s process assets



◆ Institutionalization also implies the breadth anddepth of implementation of the process and thelength of time the process has been in placeare appropriate to ensure that it is ingrained aspart of the way the work is performed



◆ GP 3.1 Establish Defined Process!Establish and maintain the description of the defined

process

◆ The purpose of this practice is to establish adescription of the process that is tailored fromthe organization’s set of standard processes toaddress the needs of a specific instantiation

◆ Variability in how the processes are performedacross the organization is reduced



◆ GP 3.2 Collect Improvement Information!Collect work products, measures, measurement

results, and improvement information derived fromplanning and performing the process to support thefuture use and improvement of the organization’sprocesses and process assets

◆ The purpose of this practice is to collectinformation and artifacts derived from planningand performing the process and store them inthe organizational measurement repository andthe organizational library of process-relateddocumentation


Commitment to Perform

Ability to Perform

Directing Implementation

Verifying Implementation

Staged Continuous

Capability Level 2 GPs plus

GP 3.1: Establish aDefined Process

GP 3.2: Collect ImprovementInformation

Defined Level (3)

InstitutionalizationInstitutionalizationInstitutionalizationInstitutionalizationInstitutionalizationInstitutionalizationInstitutionalizationInstitutionalizationL 3 MappingL 3 MappingL 3 MappingL 3 MappingL 3 MappingL 3 MappingL 3 MappingL 3 Mapping


InstitutionalizationInstitutionalizationGeneric PracticesGeneric Practices

GP 2.1: Establish an Organizational PolicyGP 2.2: Plan the ProcessGP 2.3: Provide ResourcesGP 2.4: Assign ResponsibilityGP 2.5: Train PeopleGP 2.6: Manage ConfigurationsGP2.7: Identify and Involve Relevant StakeholdersGP 2.8: Monitor and Control the ProcessGP 2.9: Objectively Evaluate AdherenceGP 2.10: Review Status with Higher-Level Management

GP 3.1: Establish a Defined ProcessGP 3.2: Collect Improvement Information

ML 2CL 2

ML 3CL 3



(Implicit in the Staged(Implicit in the StagedRepresentation with theRepresentation with theFull Implementation ofFull Implementation of

the Process Areasthe Process AreasAt Maturity Level 4)At Maturity Level 4)



◆ Capability Level 4 deals with QuantitativelyManaged processes

◆ Quantitative objectives for product quality,service quality, and process performance are:!Established and used as criteria for managing the

process throughout its life!Understood in statistical terms

◆ The quantitative objectives are based on:!The capability of the organization’s set of standard

processes!The needs of the customer, end users, organization,

and process implementers



◆ GP 4.1 Establish Quality Objectives!Establish and maintain quantitative objectives for

the process about quality and process performancebased on customer needs and business objectives

◆ The purpose of this practice is to determineand obtain agreement from relevantstakeholders on specific quantitative objectivesfor the process about product quality, servicequality, and process performance



◆ GP 4.2 Stabilize Subprocess Performance!Stabilize the performance of one or more

subprocesses of the process to determine its abilityto achieve the established quantitative quality andprocess performance objectives

◆ The purpose of this practice is to stabilize theperformance of one or more subprocesses ofthe defined process that are critical contributorsto the overall performance using appropriatestatistical and other quantitative techniques



(Implicit in the Staged(Implicit in the StagedRepresentation with theRepresentation with theFull Implementation ofFull Implementation of

the Process Areasthe Process AreasAt Maturity Level 5)At Maturity Level 5)



◆ Capability Level 5 deals with Optimizingprocesses

◆ An optimizing process is a quantitativelymanaged process that is changed to meetrelevant current and projected businessobjectives

◆ An optimizing process focuses on continuallyimproving the process performance throughboth incremental and innovative technologicalimprovements



◆ Process improvements are selected based on:!The identification of common causes of process

variation!A quantitative understanding of their expected

contribution to achieving the organization’s processimprovement objectives versus the cost and impactto the organization

◆ Process improvements are identified,evaluated, and deployed into the organizationin a systematic manner



◆ Critical distinction between an optimizingprocess and a quantitatively managed process

!Quantitatively managed process is concerned withaddressing special causes of process variation andproviding statistically predictable results – howeverthese results may not be sufficient to achieve theestablished objectives

!An optimizing process addresses common causesof variation and focuses on changing the process toimprove process performance in order to achievethe established quantitative process improvementobjectives



◆ GP 5.1 Ensure Process ImprovementObjectives!Ensure continuous improvement of the process in

fulfilling the relevant business goals of theorganization

◆ The purpose of this practice is to select andsystematically deploy process and technologyimprovements that contribute to meetingestablished quality and performance objectivesfor the process



◆ GP 5.2 Correct Common Causes of Problems!Identify and correct the root causes of defects and

other problems in the process

◆ The purpose of this practice is to:!Analyze defects and other problems that were

encountered!Take action to correct the root cause of the defects

and other problems that were encountered!Prevent these defects and problems from occurring

in the future


The Process AreasThe Process Areas


RequirementsRequirementsManagementManagement

◆ Bi-Directional Traceability is now explicitlyasked for in Requirements Management!Hard to determine if the delivered product matches

the requirements and approved requirementschange requests and nothing more withoutrequirements traceability

◆ A requirement is traceable if:!You know the source of each requirement!Why the requirement exists!What requirements are related to it!How that requirement relates to other information

such as systems designs, implementations, anduser documentation


RequirementsRequirementsManagement - 2Management - 2

◆ Requirements Management is expected tooperate in parallel with RequirementsDevelopment and Technical Solution and offersupport as new requirements are discoveredand requirements change requests are made


RD

RM

The Requirements ManagementThe Requirements Managementand Requirements Developmentand Requirements DevelopmentPartnershipPartnership


Project PlanningProject Planning

◆ There is a heavier emphasis on having adetailed Work Breakdown Structure

◆ Includes a focus on the project having thenecessary Knowledge and Skills to execute theproject according to the estimations and plan


Project Planning - 2Project Planning - 2

◆ Data Management or the planning andmaintaining of project data items and theircontents has been added to the list of projectmanagement concerns

◆ Requires administrative control of project data,both deliverable and non-deliverable!Some large, critical projects demand that even

Engineering Notebooks with daily entries be placedunder control for audit purposes

!Covers all other forms of data such as CD-ROMs,Disks, Notebooks, etc

!Part of Project Planning process area



◆ Estimation focuses on size and complexitywhile effort and cost, and schedule aredetermined and established respectively basedon the size estimation

◆ Estimate size and/or relative difficulty orcomplexity

◆ Determine the project effort and cost based onthe size and complexity estimations

◆ Establish and maintain the project schedulebased on the size and complexity estimations



◆ The identification and involvement of stakeholders isan important evolution of the “all affected groups”statement that appeared frequently in the SWCMM

◆ The required plan for stakeholder interaction includes:!List of all relevant stakeholders

!Rationale for stakeholder involvement

!Expected roles and responsibilities

!Relationships between stakeholders

!Relative importance of stakeholder to project success byphase

!Resources needed to ensure relevant stakeholder interaction

!Schedule for phasing of stakeholder interaction



◆ The commitment process is now explicitlydefined in Specific Practice 3.3


Project Monitoring andProject Monitoring andControlControl

◆ Monitoring Commitments has also beenelevated to specific practice level - (SP 1.2)

◆ Monitoring Risks and Stakeholder Involvementis also more strongly emphasized in the CMMIcompared to the SWCMM

◆ Monitoring Stakeholder Involvement is explicitlybrought out and enables the Generic Practice2.6 – Identify and Involve RelevantStakeholders


Process and ProductProcess and ProductQuality AssuranceQuality Assurance

◆ Stresses the objective evaluation of productsas well as processes!!

◆ Evaluation criteria must be established basedon business objectives!What will be evaluated?!When or how often will a process be evaluated?!How will the evaluation be conducted?!Who must be involved in the evaluation?


ConfigurationConfigurationManagementManagement

◆ The idea of “Software Library” has beenreplaced by the more encompassing“Configuration Management System”

◆ A configuration management systemincludes:!The storage media

!The procedures

!The tools for accessing the configuration system


Supplier AgreementSupplier AgreementManagementManagement

◆ Replaces the initial ideas found in SubcontractManagement

◆ Now incorporates the original intent ofSubcontract Management as well as lessonslearned over the past 7 years J


Supplier AgreementSupplier AgreementManagement - 2Management - 2

Project

SisterDivisions

Other Projectsin Business

Unit

Off-the-ShelfProducts

Subcontractors

Contractors


Measurement andMeasurement andAnalysisAnalysis

◆ Provides a description of a measurementinitiative that involves the following:!Specifying the objectives of measurement and

analysis such that they are aligned with establishedinformation needs and business objectives

!Defining the measures to be used, the datacollection process, the storage mechanisms, theanalysis processes, the reporting processes, andthe feedback processes

!Implementing the collection, storage, analysis, andpresentation of the data

!Providing objective results that can be used inmaking business judgments and taking appropriatecorrective actions


Measurement andMeasurement andAnalysis - 2Analysis - 2

◆ An organization that barely passes theMeasurement and Analysis Common Featurerequirements of CMM for Software would notpass the measurement requirements of CMMI

◆ Sets up the organization to evolve itsmeasurement program from basic projectmanagement measures to those based on theorganization’s set of standard processes tostatistical control of selected subprocessesaccording to the organization’s business needs


RequirementsRequirementsDevelopmentDevelopment

◆ The concepts presented in RequirementsDevelopment are consistent with very modernpublications on Requirements Engineering

◆ Clearly defines the need for identification andcare of stakeholders

◆ Incorporates the interface ideas of SystemsEngineering and Software Engineering withregards to gathering, analyzing, documenting,and maintaining requirements found in CMMfor Software v1.1 and expands on them


RequirementsRequirementsDevelopment -2Development -2

◆ Requirements Development together with TechnicalSolution truly shows the recursive and iterative natureof developing requirements:

Stakeholder Needs

Customer Requirements

Product and ProductComponent Requirements

Requirements Analysis

Derived Requirements

Allocation to ProductFunctions and ProductComponents includingObjects, People,and associated Processesor People


RequirementsRequirementsDevelopment - 3Development - 3

◆ The Requirements Development PA includes adescription of developing an operationalconcept and operational scenarios to refineand discover new requirements, needs, andconstraints that include the interaction of theproduct, the end user and the environment

◆ It also includes a strong focus on interfacerequirements

◆ It suggests the use of models, simulations, andprototyping to perform risk assessments toreduce the cost and risk of productdevelopment

◆ It is very tightly coupled to the TechnicalSolution process area


RequirementsRequirementsDevelopment - 4Development - 4

◆ It emphasizes the idea of starting the processof requirements validation very early in theproduct lifecycle


Spiral Model of theSpiral Model of theProduct RequirementsProduct RequirementsEngineering ProcessEngineering Process

START

Requirements elicitation

Requirements validationRequirements documentation

Requirements analysisand negotiation

Agreedrequirements

Draft Requirementsdocument

Requirementsdocument and

validation report

Informal statement ofrequirements

Decision point:accept documentor re-enter spiral

Gerald Kotonya and Ian Sommerville, Requirements Engineering, John Wiley and Sons, 1998


Technical SolutionTechnical Solution

◆ Technical Solution practices apply not only tothe product and product components but alsoto services and product-related processes

◆ Technical Solutions are presented as beingdeveloped interactively with product orproduct component requirements definition

◆ Technical Solution stresses the need fordeveloping alternative solutions


Technical Solution - 2Technical Solution - 2

◆ Quality Factors (e.g., maintainability,expandability, reliability) were discussed in theCMM/SW Level 4 KPA Software QualityManagement – “Quality goals for the project’ssoftware products are defined, monitored, andrevised throughout the software lifecycle”

◆ CMMI discusses the quality factors first inRequirements Development and emphasizestheir importance in Technical Solution


Product IntegrationProduct Integration

◆ Product Integration presents the concepts toachieve complete product integration throughprogressive assembly of product components,in one stage or in incremental stages,according to a defined integration strategy

◆ It stresses the careful analysis and selection ofthe optimum integration strategy!The basis for effective product integration is an

integration strategy that uses combinations oftechniques in an incremental manner


Product Integration - 2Product Integration - 2

◆ It points out the need to establish and maintainthe environment required to support theintegration of the product components

◆ It introduces the concept of product componentand product assembly Checkout, to evaluateits performance and suitability

◆ It presents the idea of applying (ProductIntegration, Verification, and Validation) insuccessive triplets until the product is ready forpackaging and delivery


Product Integration - 3Product Integration - 3

◆ It stresses the effective management of allinterfaces to ensure that all interfaces will becomplete and compatible!Interface descriptions

!Interface data

◆ Packaging and Delivery is specifically calledout in Specific Practice 3.4 – an improvementover the information provided in the SWCMM

◆ Inspecting Product Elements Upon Receipt isan activity that is not well done in the industrytoday and deserves the attention that is nowdefined in the CMMI!


VerificationVerification

◆ Verification is used to assure that selectedwork products meet their specifiedrequirements

◆ Verification assures “You built it right”

◆ Expects a verification strategy that addressesthe specific actions, resources, andenvironments that will be required for workproduct verification to be developed!Developed concurrently and iteratively with the

product and product component designs


Verification - 2Verification - 2

◆ Captures the ideas of using:!Peer Reviews!Load, stress and performance testing!Functional decomposition based testing!Simulation!Prototypes!Observations and demonstrations!Operational scenario testing

as they apply to ensuring that the requirementsare being addressed at each phase of thedevelopment lifecycle from a systems, andsoftware point of view


ValidationValidation

◆ Validation is used to demonstrate that aproduct or product component fulfills itsintended use when placed in its intendedoperational environment

◆ Validation assures “You built the right thing”


Risk ManagementRisk Management

◆ The concepts inherent to Risk Managementfinally made it to Process Area status!Risk Identification!Risk Assessment!Risk Analysis!Risk Prioritization!Risk Mitigation!Risk Contingency Planning

◆ The ideas behind Risk Contingency Planningand Risk Mitigation have been merged but aredefinitely clearer


Decision and AnalysisDecision and Analysis

◆ Decision and Analysis helps determine whichissues should be examined by formal decisionanalysis

◆ Decision and Analysis presents the concepts ofidentifying alternatives to issues that have asignificant impact on meeting objectives,analyzing the alternatives, and selecting oneor more alternatives that best supportprescribed objectives

◆ Decision and Analysis is a new concept for thesoftware world whose time has certainly come


Organizational ProcessOrganizational ProcessDefinitionDefinition

◆ The wording for this process area has changedsubtly but significantly from that of the SWCMM!Establish and maintain a usable set of

organizational process assets including theorganization’s set of standard processes

!Acknowledges that an organization may utilize morethan one standard process to handle its productlines and business needs

◆ Process Database evolved into OrganizationalMeasurement Repository


Integrated ProjectIntegrated ProjectManagementManagement

◆ Integrated Project Management takes on the aspects ofIntegrated Software Management and IntergroupCoordination that were found in the SWCMM!The project is conducted using a defined process that is tailored

from the organization's set of standard processes

◆ It also emphasizes the need to proactively integrate theconcepts in the Project Plan and all supporting planssuch as:!Quality assurance plans!Configuration management plans!Risk management strategy!Verification strategy!Validation strategy!Product integration plans


Organizational ProcessOrganizational ProcessPerformancePerformance

◆ The Organizational Process Performanceprocess area was developed to helporganizations set the stage for quantitativeprocess management:!Baselines and models that characterize

the expected process performance of theorganization's set of standard processes areestablished and maintained


Performance BaselinesPerformance Baselines

◆ The organization’s process performancebaselines measure performance for theorganization’s set of standard processes atvarious levels including:!Individual processes (e.g., test case inspection

element)

!Sequence of connected processes

!Processes for the complete lifecycle

!Processes for developing individual work products


PerformancePerformanceBaselines - 2Baselines - 2

◆ There may be several process performancebaselines to characterize performance forsubgroups of the organization – Examplesinclude:!Product Line

!Application domain

!Complexity

!Team size

!Work product size


Quantitative ProjectQuantitative ProjectManagementManagement

◆ This Process Area combines the concepts ofQuantitative Process Management andSoftware Quality Management from theSWCMM point of view

◆ The concepts of quantitative management andstatistical process control are strongly presentin this process area.

◆ Quantitative Project Management is tightlycoupled with Organizational ProcessPerformance, taking standard processmeasures from it to achieve stability ofsubprocesses and providing information backto it once the statistical control boundaries areestablished


QuantitativeQuantitativeManagement ConceptsManagement Concepts

◆ Quantitative Management is tied to theorganization’s strategic goals for productquality, service quality, and processperformance

◆ When higher degrees of quality andperformance are demanded, the organizationand projects must determine if they have theability to improve the necessary processes tosatisfy the increased demands


QuantitativeQuantitativeManagementManagementConcepts - 2Concepts - 2

◆ Achieving the necessary quality and processperformance objectives requires stabilizing theprocesses that contribute most to theachievement of those objectives!Reducing process variation is an important aspect

to quantitative management:" It is important to focus on subprocesses that can

be controlled to achieve a predictableperformance

◆ Assuming the technical requirements can bemet, the next decision is to determine if it iscost effective


QuantitativeQuantitativeManagementManagementConcepts - 3Concepts - 3

◆ Successful application of QuantitativeManagement concepts must look closely to:!The business demands!The capability of existing processes!The ability of the organization to bring processes

and subprocesses under statistical control in a costeffective manner

◆ Statistical process control is often betterfocused on organizational areas such asProduct Lines where there is high similarity ofprocesses, than on the organization’s entire setof products


Quantitative ProjectQuantitative ProjectManagement ConceptsManagement ConceptsReferencesReferences

◆ Some sources that can help to reallyunderstand what is behind this Process Areaare:!Measuring the Software Process by William Florac

and Anita Carleton.

!Statistical Methods for Software Quality by AdrianBurr and Mal Owen

!Understanding Variation by Donald Wheeler


OrganizationalOrganizationalInnovation andInnovation andDeploymentDeployment

◆ Combined Process Change Management andTechnology Change Management from theSWCMM point of view

◆ Just Do It! – Or once one has the innovationideas identified and analyzed against theorganization’s business objectives and costmeasures, get it tried and expanded whereverpossible throughout the organization

◆ Subpractices are excellent and provide a solidpicture of what is required for this process area


OrganizationalOrganizationalInnovation andInnovation andDeployment OverviewDeployment Overview

◆ The Organizational Innovation and Deploymentprocess area suggests the selection anddeployment of incremental and innovativetechnological improvements that can improvethe organization’s ability to meet its quality andprocess performance objectives


OrganizationalOrganizationalInnovation andInnovation andDeployment Overview - 2Deployment Overview - 2

◆ Process and technology improvements that willbe deployed are selected from proposalsbased on the following criteria:!A quantitative understanding of the organization’s

current quality and process performance

!Estimates of the improvement resulting from thedeployment

!The resources and funding available for thatdeployment

!The expected benefits weighed against the cost andimpact to the organization


ConstageduousConstageduousViewpointViewpoint


ConstageduousConstageduousViewpointViewpoint

◆ CMMI Framework provides the opportunity toapply the principles of both the staged andcontinuous representations in a processimprovement oriented manner or a manner thatmight be labeled “Constageduous”


ConstageduousConstageduousViewpoint - 2Viewpoint - 2

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The Standard BarThe Standard BarHas Been RaisedHas Been Raised

Old StandardHeight

New StandardHeight

The Standard Bar has been raised – Lessonslearned over the past 7 years have now beenincorporated into this integrated CMM

Lessons Learned


Tim KasseTim KasseKasse Initiatives LLCKasse Initiatives LLC

30 West Sheffield Avenue30 West Sheffield AvenueGilbert, Arizona 85233Gilbert, Arizona 85233

U.S.A.U.S.A.Tel: +1 480 855 1101Tel: +1 480 855 1101

E-mail: E-mail: E-mail: E-mail: kassetckassetckassetckassetc@@@@aolaolaolaol.com.com.com.com

Web Site: www.Web Site: www.Web Site: www.Web Site: www.kasseinitiativeskasseinitiativeskasseinitiativeskasseinitiatives.com.com.com.com


For More InformationFor More InformationAbout CMMIAbout CMMI

◆ Go to CMMI Website!http://www.sei.cmu.edu/cmmi!http://www.sei.cmu.edu/cmmi/products/public-

release.html◆ Contact SEI Customer Relations

Customer RelationsSoftware Engineering InstituteCarnegie Mellon UniversityPittsburgh, PA 15213-3890FAX: (412) [email protected]

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