2nd Edition

Interpreting the CMMI (R) A Process Improvement Approach, Second Edition

By Margaret K. Kulpa, Kent A. Johnson Copyright 2008
    424 Pages 72 B/W Illustrations
    by Auerbach Publications

    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
    What is the CMMI®?
    Why Did We Write This Book?
    How to Read This Book
    Why use CMMI?
    Family of CMMs
    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
    What is Process Improvement?
    What is a Process?
    Business Goals and Objectives
    Structure of the CMMI
    Terms and Definitions
    CMMI Model Structure
    Model Structure for the Staged Representation
    Maturity Levels
    Process Areas (PAs)
    Goals 33
    Relationship between Goals and Practices
    Model Structure for the Continuous Representation
    Process Management
    Project Management
    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
    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
    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
    Scenario One: Merged Teams
    Scenario Two: Separate but Equal
    Is CMMI Right for Small Organizations?
    Systems Engineering
    Software Engineering
    Integrated Product and Process Development
    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
    Small Organizations
    Establishing Your Process Improvement Organization
    Set Up
    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
    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
    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
    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
    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 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
    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
    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)
    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
    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
    Select the Process Performance Model(s) to be Used by the
    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
    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
    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
    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


    Margaret K. Kulpa, Kent A. Johnson