2nd Edition
Interpreting the CMMI (R) A Process Improvement Approach, Second Edition
424 Pages
72 B/W Illustrations
by
Auerbach Publications
424 Pages
by
Auerbach Publications
Also available as eBook on:
Written by experienced process improvement professionals who have developed and implemented computer based systems in organizations around the world, Interpreting the CMMI®: A Process Improvement Approach, Second Edition provides you with specific techniques for performing process improvement.
Employing everyday language and supported by real world examples, the authors describe the fundamental concepts of the CMMI model, covering goals, practices, architecture, and definitions, and provide a structured approach for implementing the concepts of the CMMI into any organization. They discuss getting started in the process improvement effort, as well as how to continue on to high maturity. They walk you through the myriad of charts and graphs involved in statistical process control and offer practical recommendations. They also provide information on blending different process improvement initiatives into organizational programs (including agile development), and in this edition include more in-depth information.
The authors distill the knowledge gained in their combined 70 years of experience in project management, software engineering, systems engineering, metrics, quality assurance, appraisals, training, process improvement, and team building. Whether you are new to process improvement or an experienced professional, this volume will save you time wasted on false starts, false promises by marketers, and failed deadlines.
The authors have been responsible for successfully implementing process improvement in several different organizations. This book is based on real-life experience, not on academic theories. It provides workable solutions to inherent challenges such as appropriate roles and responsibility, resistance to change, and meaningful documentation, thus transforming CMMI concepts into practical applications.
Section I: Introduction
Introduction
What is the CMMI®?
Why Did We Write This Book?
How to Read This Book
Why use CMMI?
Family of CMMs
Terminology
History of the CMMI
Assessment View versus Improvement View
Changes from CMMI Version 1.1 to CMMI Version 1.2
Changes to Our Book, Interpreting the CMMI, from First Edition to
Second Edition
Beginning the Journey
Introduction
What is Process Improvement?
What is a Process?
Models
Business Goals and Objectives
Problems
Structure of the CMMI
Terms and Definitions
CMMI Model Structure
Model Structure for the Staged Representation
Maturity Levels
Process Areas (PAs)
Goals 33
Practices
Relationship between Goals and Practices
Model Structure for the Continuous Representation
Process Management
Project Management
Engineering
Support
Goals and Practices
Generic Goals and Practices
Target Profile
Target Staging
Achievement Profile
Capability Level Profile
Other Components
Required, Expected, and Informative Components
CMMI Representations
The Staged Representation
Maturity Level 1—Initial
Maturity Level 2—Managed
Maturity Level 3—Defined
Maturity Level 4—Quantitatively Managed
Maturity Level 5—Optimizing
The Continuous Representation
Capability Level 0: Incomplete
Capability Level 1: Performed
Capability Level 2: Managed
Capability Level 3: Defined
Capability Level 4: Quantitatively Managed
Capability Level 5: Optimizing
Which One Should I Use?
It Depends
Our Mandate
Section II: CMMI Process Areas
Understanding Maturity Level 2: Managed
Moving from Level 1 to Level 2
The Process Areas for Maturity Level 2: Managed
Requirements Management
Project Planning
Project Monitoring and Control
Supplier Agreement Management
Measurement and Analysis
Process and Product Quality Assurance
Configuration Management
Understanding Maturity Level 3: Defined
Moving from Level 2 to Level 3
Process Areas for the Maturity Level 3: Defined
Requirements Development
Technical Solution
Product Integration
Verification
Validation
Organizational Process Focus
Organizational Process Definition + IPPD
Organizational Training
Integrated Project Management + IPPD
Risk Management
Decision Analysis and Resolution
Understanding Maturity Level 4: Quantitatively Managed
Moving from Level 3 to Level 4
The Process Areas for Maturity Level 4: Quantitatively Managed
Organizational Process Performance
Quantitative Project Management
Understanding Maturity Level 5: Optimizing
Moving from Level 4 to Level 5
The Process Areas for Maturity Level 5: Optimizing
Organizational Innovation and Deployment
Causal Analysis and Resolution
Section III: Implementation
Alignment of Multiple Process Improvement Initiatives
Process Improvement Team Structure
Integration of Existing Polices, Processes, and Procedures
Collect and Review the Policies, Processes, and Procedures
Examine the Interfaces
Review the Roles
Consider Life Cycles
Consider the Level of Detail
Consider the Format
Measurement Programs
Collect and Review the Related Documentation
Collect Examples of Measures Presented to Management
Identify All the Groups (or Individuals) with Measurement
Responsibility
Identify How the Measures Are Being Collected
Create a Measurement Log
Training Programs
Identify Which Training Programs Are in Scope
Identify All Sources of Training
Identify and Collect All Training Plans and Schedule
Identify All Training Courses
Scenarios
Scenario One: Merged Teams
Scenario Two: Separate but Equal
Is CMMI Right for Small Organizations?
Definitions
Systems Engineering
Software Engineering
Integrated Product and Process Development
Acquisition
The Staged Representation (The Architecture in Use by the
Software CMM)
The Continuous Representation (The Architecture in Use by the
Systems Engineering Models)
Maturity Levels
Capability Levels
SCAMPI
Small Organizations
Point–Counterpoint
Establishing Your Process Improvement Organization
Set Up
SCAMPI
The Design Phase
The Pilot Phase
Select the Pilot Project(s)
Document the Success Criteria
Train Pilot Participants
Monitor the Pilot Efforts
Refine Policies/Procedures Based on Pilot Results
After the Pilots
The Implementation Phase
Monitoring the Process Improvement Effort
Sample Process Improvement Program
ABC Corporation Process Improvement (PI) Program
Different Approaches for Process Improvement
The Traditional Approach to PI.
An Alternate Approach
People, Roles, and Responsibilities
Process Improvement Champions, Sponsors, and Groups
Engineering Process Group (EPG)
Process Action Teams (PATs)
Training for PI Members
EPG and PAT Member Qualifications
Conducting Meetings
Quality Assurance (QA) and the EPG
Documentation Guidelines
Introduction
Definitions
Process Definition Approaches
Identify Workshop Parameters
Prepare Workshop Activities and Materials
Manage Workshop Logistics
Facilitate Workshops
Document Workshop Outcomes
Analyze Workshop Findings
Planning and Tracking the Effort
Defining Plans
The PI Plan
Implementation/Operations Plan
Action Plans
Communications Plans
Tracking the Documentation
Defining Processes, Procedures, Policies, and Charters
Defining Processes
Activity Entry Criteria
Activity Exit Criteria
Activity Input Criteria
Activity Output Criteria
Activity Performed By
What Activity Comes Next?
Defining Procedures
Defining Policies
Charters
Section IV: Measurement
Measurement within the CMMI
The Measurement and Analysis Process Area
The Engineering Process Areas
The CMMI Measurement Focus
Evolution of Measurement
A Boatload of Metrics
Background
Selecting Metrics for Your Organization
List of Metrics
Level 2
Requirements Management
Project Planning
Project Monitoring and Control
Measurement and Analysis
Supplier Agreement Management
Process and Product Quality Assurance (QA)
Configuration Management (CM)
Level 3
Requirements Development
Technical Solution
Product Integration
Verification
Validation
Organizational Process Focus
Organizational Process Definition + IPPD
Organizational Training
Integrated Project Management + IPPD
Risk Management
Decision Analysis and Resolution
Level 4
Organizational Process Performance
Quantitative Project Management
Level 5
Organizational Innovation and Deployment
Causal Analysis and Resolution
Questions to Ask When Generating and Reviewing Metrics
Planning the Metrics Process
Some Problems You May Encounter
Recommendations
Recommendations to Improve the Metrics Identification and
Collection Process Itself
Recommendations to Improve Actual Performance on Projects
Statistical Process Control
Background Information
Seven Common Tools
Check Sheet
Run Chart
Histogram
Pareto Chart
Scatter Diagram/Chart
Cause and Effect/Fishbone Diagram
Control Chart
Representing and Reporting Data
The Tyranny of Control Charts
Individuals and Moving Range Control Chart (XmR)
Computing Limits for the XmR Chart
Hints on How to Read the Charts
c-Charts
u-Charts
A High-Maturity Perspective
So How Do You Use a PPB with Your Projects
Process Performance Model
PPB Elements (Lines 1–10)
Historical Effort Distribution (Line 12)
Estimates
Actuals by Phase (Line 18)
Prediction Based on Actual When Available or Best Estimate
(Line 20)
Transitioning to Level 4
Select the Measures That Will Be the Basis for Your PPBs and
PPMs
Collect the Measures Identified from the Projects
Analyze the Data from the Projects
Establish Organizational PPBs and PPMs from the Project Data
Derive Project Goals
Select Critical Subprocesses to be Managed by the Project
Select the Process Performance Baselines to be Used by the
Project
Select the Process Performance Model(s) to be Used by the
Project
Manage the Project Quantitatively
Start Early to Level 4
Transitioning to Level 5
Create an Organizational Group Responsible for the Collection
of Improvement Suggestions for Both Process and
Technology
Establish a Well-Defined Process for Improvement Proposals
Establish Process Improvement Goals
Clearly Communicate Process Improvement Activities and
Goals to the Staff
Section V: Appraisals
Appraisals Using the CMMI
Definitions
SCAMPI Fundamentals
Non-Process Improvement Appraisals
Appraisal Classes
Which Class Appraisal Method Should I Use
Using SCAMPI A in the Field
Additional Requirements for High Maturity SCAMPI A Appraisals
Reusing Previous Appraisal Results
Frequently Asked Questions for Planning and Conducting a
SCAMPI A
The SCAMPI A Approach
Our Perspective
What Is a SCAMPI A Appraisal?
Plan and Prepare for Appraisal Phase
Analyze Requirements Process
Develop the Appraisal Plan Process
Select and Prepare the Team Process
Obtain and Inventory Initial Objective Evidence Process
Prepare for Appraisal Conduct Process
Conduct Appraisal Phase
Prepare Participants Process
Examine and Verify Objective Evidence Processes
Validate Preliminary Findings Process
Generate Appraisal Results Process
Report Results Phase
Deliver Appraisal Results Process
Package and Archive Appraisal Assets Process
Those Damn PIIDs!
What ARE PIIDS and Why Must I Use Them?
What Do the PIIDs Look Like?
So Why Do PIIDs Take So Much Time?
How Can I Screw Up a PIID?
Data Consolidation Worksheets
Section VI: Odds and Ends
Agile and the CMMI
What is Agile?
Agile Methods
What is Scrum?
Complementary Approaches
How CMMI Can Be Used with Agile
Establish and Maintain an Organizational Policy for Planning
and Performing Agile Methods (GP 2.1)
Establish and Maintain the Plan for Performing Agile Methods (GP 2.2)
Provide Adequate Resources for Performing Agile Methods (GP 2.3)
Assign Responsibility and Authority for Performing Agile
Methods (GP 2.4)
Train the People Performing Agile Methods (GP 2.5)
Place Designated Work Products under Appropriate Level of
Configuration Management (GP 2.6)
Identify and Involve the Relevant Stakeholders as Planned (GP2.7)
Monitor and Control Agile Methods Against the Plan and Take
Appropriate Corrective Action (GP 2.8)
Objectively Evaluate Adherence to the Agile Methods and
Address Noncompliance (GP2.9)
Review the Activities, Status, and Results of the Agile Methods with Higher-Level Management and Resolve Issues (GP2.10)
Establish and Maintain the Description of Agile Methods (GP3.1)
Collect the Results from Using Agile Methods to Support
Future Use and Improve the Organization’s Approach to
Agile Methods (GP 3.2)
Using Agile in High-Maturity Organizations
Agile Approach to Process Improvement and SCAMPI
Closing Thoughts
Process Improvement Invades Your Life
Change Management
Rewards and Punishment
Management Commitment
Quality Assurance Is the Key
CMMI Perspective
References and Further Reading
Section VII: Appendices
Appendix A: Comparing CBI-IPI to SCE to SCAMPI
Appendix B: Myths and Legends of the CMMI
Appendix C: Checklists for Pilot Projects
Appendix D: Organizational In-Brief to SCAMPI Team
Index
Introduction
What is the CMMI®?
Why Did We Write This Book?
How to Read This Book
Why use CMMI?
Family of CMMs
Terminology
History of the CMMI
Assessment View versus Improvement View
Changes from CMMI Version 1.1 to CMMI Version 1.2
Changes to Our Book, Interpreting the CMMI, from First Edition to
Second Edition
Beginning the Journey
Introduction
What is Process Improvement?
What is a Process?
Models
Business Goals and Objectives
Problems
Structure of the CMMI
Terms and Definitions
CMMI Model Structure
Model Structure for the Staged Representation
Maturity Levels
Process Areas (PAs)
Goals 33
Practices
Relationship between Goals and Practices
Model Structure for the Continuous Representation
Process Management
Project Management
Engineering
Support
Goals and Practices
Generic Goals and Practices
Target Profile
Target Staging
Achievement Profile
Capability Level Profile
Other Components
Required, Expected, and Informative Components
CMMI Representations
The Staged Representation
Maturity Level 1—Initial
Maturity Level 2—Managed
Maturity Level 3—Defined
Maturity Level 4—Quantitatively Managed
Maturity Level 5—Optimizing
The Continuous Representation
Capability Level 0: Incomplete
Capability Level 1: Performed
Capability Level 2: Managed
Capability Level 3: Defined
Capability Level 4: Quantitatively Managed
Capability Level 5: Optimizing
Which One Should I Use?
It Depends
Our Mandate
Section II: CMMI Process Areas
Understanding Maturity Level 2: Managed
Moving from Level 1 to Level 2
The Process Areas for Maturity Level 2: Managed
Requirements Management
Project Planning
Project Monitoring and Control
Supplier Agreement Management
Measurement and Analysis
Process and Product Quality Assurance
Configuration Management
Understanding Maturity Level 3: Defined
Moving from Level 2 to Level 3
Process Areas for the Maturity Level 3: Defined
Requirements Development
Technical Solution
Product Integration
Verification
Validation
Organizational Process Focus
Organizational Process Definition + IPPD
Organizational Training
Integrated Project Management + IPPD
Risk Management
Decision Analysis and Resolution
Understanding Maturity Level 4: Quantitatively Managed
Moving from Level 3 to Level 4
The Process Areas for Maturity Level 4: Quantitatively Managed
Organizational Process Performance
Quantitative Project Management
Understanding Maturity Level 5: Optimizing
Moving from Level 4 to Level 5
The Process Areas for Maturity Level 5: Optimizing
Organizational Innovation and Deployment
Causal Analysis and Resolution
Section III: Implementation
Alignment of Multiple Process Improvement Initiatives
Process Improvement Team Structure
Integration of Existing Polices, Processes, and Procedures
Collect and Review the Policies, Processes, and Procedures
Examine the Interfaces
Review the Roles
Consider Life Cycles
Consider the Level of Detail
Consider the Format
Measurement Programs
Collect and Review the Related Documentation
Collect Examples of Measures Presented to Management
Identify All the Groups (or Individuals) with Measurement
Responsibility
Identify How the Measures Are Being Collected
Create a Measurement Log
Training Programs
Identify Which Training Programs Are in Scope
Identify All Sources of Training
Identify and Collect All Training Plans and Schedule
Identify All Training Courses
Scenarios
Scenario One: Merged Teams
Scenario Two: Separate but Equal
Is CMMI Right for Small Organizations?
Definitions
Systems Engineering
Software Engineering
Integrated Product and Process Development
Acquisition
The Staged Representation (The Architecture in Use by the
Software CMM)
The Continuous Representation (The Architecture in Use by the
Systems Engineering Models)
Maturity Levels
Capability Levels
SCAMPI
Small Organizations
Point–Counterpoint
Establishing Your Process Improvement Organization
Set Up
SCAMPI
The Design Phase
The Pilot Phase
Select the Pilot Project(s)
Document the Success Criteria
Train Pilot Participants
Monitor the Pilot Efforts
Refine Policies/Procedures Based on Pilot Results
After the Pilots
The Implementation Phase
Monitoring the Process Improvement Effort
Sample Process Improvement Program
ABC Corporation Process Improvement (PI) Program
Different Approaches for Process Improvement
The Traditional Approach to PI.
An Alternate Approach
People, Roles, and Responsibilities
Process Improvement Champions, Sponsors, and Groups
Engineering Process Group (EPG)
Process Action Teams (PATs)
Training for PI Members
EPG and PAT Member Qualifications
Conducting Meetings
Quality Assurance (QA) and the EPG
Documentation Guidelines
Introduction
Definitions
Process Definition Approaches
Identify Workshop Parameters
Prepare Workshop Activities and Materials
Manage Workshop Logistics
Facilitate Workshops
Document Workshop Outcomes
Analyze Workshop Findings
Planning and Tracking the Effort
Defining Plans
The PI Plan
Implementation/Operations Plan
Action Plans
Communications Plans
Tracking the Documentation
Defining Processes, Procedures, Policies, and Charters
Defining Processes
Activity Entry Criteria
Activity Exit Criteria
Activity Input Criteria
Activity Output Criteria
Activity Performed By
What Activity Comes Next?
Defining Procedures
Defining Policies
Charters
Section IV: Measurement
Measurement within the CMMI
The Measurement and Analysis Process Area
The Engineering Process Areas
The CMMI Measurement Focus
Evolution of Measurement
A Boatload of Metrics
Background
Selecting Metrics for Your Organization
List of Metrics
Level 2
Requirements Management
Project Planning
Project Monitoring and Control
Measurement and Analysis
Supplier Agreement Management
Process and Product Quality Assurance (QA)
Configuration Management (CM)
Level 3
Requirements Development
Technical Solution
Product Integration
Verification
Validation
Organizational Process Focus
Organizational Process Definition + IPPD
Organizational Training
Integrated Project Management + IPPD
Risk Management
Decision Analysis and Resolution
Level 4
Organizational Process Performance
Quantitative Project Management
Level 5
Organizational Innovation and Deployment
Causal Analysis and Resolution
Questions to Ask When Generating and Reviewing Metrics
Planning the Metrics Process
Some Problems You May Encounter
Recommendations
Recommendations to Improve the Metrics Identification and
Collection Process Itself
Recommendations to Improve Actual Performance on Projects
Statistical Process Control
Background Information
Seven Common Tools
Check Sheet
Run Chart
Histogram
Pareto Chart
Scatter Diagram/Chart
Cause and Effect/Fishbone Diagram
Control Chart
Representing and Reporting Data
The Tyranny of Control Charts
Individuals and Moving Range Control Chart (XmR)
Computing Limits for the XmR Chart
Hints on How to Read the Charts
c-Charts
u-Charts
A High-Maturity Perspective
So How Do You Use a PPB with Your Projects
Process Performance Model
PPB Elements (Lines 1–10)
Historical Effort Distribution (Line 12)
Estimates
Actuals by Phase (Line 18)
Prediction Based on Actual When Available or Best Estimate
(Line 20)
Transitioning to Level 4
Select the Measures That Will Be the Basis for Your PPBs and
PPMs
Collect the Measures Identified from the Projects
Analyze the Data from the Projects
Establish Organizational PPBs and PPMs from the Project Data
Derive Project Goals
Select Critical Subprocesses to be Managed by the Project
Select the Process Performance Baselines to be Used by the
Project
Select the Process Performance Model(s) to be Used by the
Project
Manage the Project Quantitatively
Start Early to Level 4
Transitioning to Level 5
Create an Organizational Group Responsible for the Collection
of Improvement Suggestions for Both Process and
Technology
Establish a Well-Defined Process for Improvement Proposals
Establish Process Improvement Goals
Clearly Communicate Process Improvement Activities and
Goals to the Staff
Section V: Appraisals
Appraisals Using the CMMI
Definitions
SCAMPI Fundamentals
Non-Process Improvement Appraisals
Appraisal Classes
Which Class Appraisal Method Should I Use
Using SCAMPI A in the Field
Additional Requirements for High Maturity SCAMPI A Appraisals
Reusing Previous Appraisal Results
Frequently Asked Questions for Planning and Conducting a
SCAMPI A
The SCAMPI A Approach
Our Perspective
What Is a SCAMPI A Appraisal?
Plan and Prepare for Appraisal Phase
Analyze Requirements Process
Develop the Appraisal Plan Process
Select and Prepare the Team Process
Obtain and Inventory Initial Objective Evidence Process
Prepare for Appraisal Conduct Process
Conduct Appraisal Phase
Prepare Participants Process
Examine and Verify Objective Evidence Processes
Validate Preliminary Findings Process
Generate Appraisal Results Process
Report Results Phase
Deliver Appraisal Results Process
Package and Archive Appraisal Assets Process
Those Damn PIIDs!
What ARE PIIDS and Why Must I Use Them?
What Do the PIIDs Look Like?
So Why Do PIIDs Take So Much Time?
How Can I Screw Up a PIID?
Data Consolidation Worksheets
Section VI: Odds and Ends
Agile and the CMMI
What is Agile?
Agile Methods
What is Scrum?
Complementary Approaches
How CMMI Can Be Used with Agile
Establish and Maintain an Organizational Policy for Planning
and Performing Agile Methods (GP 2.1)
Establish and Maintain the Plan for Performing Agile Methods (GP 2.2)
Provide Adequate Resources for Performing Agile Methods (GP 2.3)
Assign Responsibility and Authority for Performing Agile
Methods (GP 2.4)
Train the People Performing Agile Methods (GP 2.5)
Place Designated Work Products under Appropriate Level of
Configuration Management (GP 2.6)
Identify and Involve the Relevant Stakeholders as Planned (GP2.7)
Monitor and Control Agile Methods Against the Plan and Take
Appropriate Corrective Action (GP 2.8)
Objectively Evaluate Adherence to the Agile Methods and
Address Noncompliance (GP2.9)
Review the Activities, Status, and Results of the Agile Methods with Higher-Level Management and Resolve Issues (GP2.10)
Establish and Maintain the Description of Agile Methods (GP3.1)
Collect the Results from Using Agile Methods to Support
Future Use and Improve the Organization’s Approach to
Agile Methods (GP 3.2)
Using Agile in High-Maturity Organizations
Agile Approach to Process Improvement and SCAMPI
Closing Thoughts
Process Improvement Invades Your Life
Change Management
Rewards and Punishment
Management Commitment
Quality Assurance Is the Key
CMMI Perspective
References and Further Reading
Section VII: Appendices
Appendix A: Comparing CBI-IPI to SCE to SCAMPI
Appendix B: Myths and Legends of the CMMI
Appendix C: Checklists for Pilot Projects
Appendix D: Organizational In-Brief to SCAMPI Team
Index
Biography
Margaret K. Kulpa, Kent A. Johnson
