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Page 1 21 April 2009 Siemens Corporate Research, Inc. & Siemens AG 2009; All rights reserved Sree Yellayi QUEST 2009, Chicago Overview of Capability Maturity Model ® Integration (CMMI ®) ® Capability Maturity Model, Carnegie Mellon, CMM, and CMMI are registered in the U.S. Patent and Trademark Office by Carnegie Mellon University. sm CMM Integration; IDEAL; Personal Software Process; PSP; SCAMPI; SCAMPI Lead Assessor/ Appraiser; SEPG; Team Software Process; and TSP are service marks of Carnegie Mellon University. Siemens Corporate Research, Inc.

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Page 1: Overview of Capability Maturity Model Integration (CMMI · Capability Maturity Model® Integration (CMMI ®) ® Capability Maturity Model, Carnegie Mellon, CMM, and CMMI are registered

Page 1 21 April 2009Siemens Corporate Research, Inc. & Siemens AG 2009; All rights reserved

Sree Yellayi QUEST 2009, Chicago

Overview of Capability Maturity Model® Integration (CMMI®)

® Capability Maturity Model, Carnegie Mellon, CMM, and CMMI are registered in the U.S. Patent and Trademark Office by Carnegie Mellon University.sm CMM Integration; IDEAL; Personal Software Process; PSP; SCAMPI; SCAMPI Lead Assessor/ Appraiser; SEPG; Team Software Process; and TSP are service marks of

Carnegie Mellon University.

Siemens Corporate Research, Inc.

Page 2: Overview of Capability Maturity Model Integration (CMMI · Capability Maturity Model® Integration (CMMI ®) ® Capability Maturity Model, Carnegie Mellon, CMM, and CMMI are registered

Page 2 21 April 2009Siemens Corporate Research, Inc. & Siemens AG 2009; All rights reserved

Sree Yellayi QUEST 2009, Chicago

Introduction

CMMI®-DEV Overview and Structure of Staged Representation

Generic Practices and Institutionalization

CMMI®-DEV Process Areas on Level 2 and 3

CMMI®-DEV Process Areas on Level 4 and 5 (real quickly)

Summary of CMMI®-DEV

Discussion/Q&A/Wrap-up

Agenda

Page 3: Overview of Capability Maturity Model Integration (CMMI · Capability Maturity Model® Integration (CMMI ®) ® Capability Maturity Model, Carnegie Mellon, CMM, and CMMI are registered

Page 3 21 April 2009Siemens Corporate Research, Inc. & Siemens AG 2009; All rights reserved

Sree Yellayi QUEST 2009, Chicago

• You will know it, you can feel it!

• Process descriptions are not available and if available are not followed or

enforced

• “I don’t have time to improve, although I want to improve”

• “Oh, I have the best teams in the world working for me on this project. I don’t

have to worry about any problems”. Okay. What happens after they leave?

• Project progress is not always visible and even if visible is not always reflecting

the true status of the project.

• Organization culture reflects rewarding only firefighters.

Ad Hoc Processes

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Sree Yellayi QUEST 2009, Chicago

• Consistent way of doing the work

• Processes are documented and continuously improved. They reflect the way work is actually done.

• Everyone (including Senior Management) visibly supports the implementation of processes

• You will not hear statements like “Let us somehow get this CMMI stuff done and we could forget about it for a few years”.

• All are involved in the definition, implementation and improvement of the processes

• Practitioners take pride in sharing best practices across the organization

• You will know it, you can feel it!

Improved Processes

Page 5: Overview of Capability Maturity Model Integration (CMMI · Capability Maturity Model® Integration (CMMI ®) ® Capability Maturity Model, Carnegie Mellon, CMM, and CMMI are registered

Page 5 21 April 2009Siemens Corporate Research, Inc. & Siemens AG 2009; All rights reserved

Sree Yellayi QUEST 2009, Chicago

• An internationally acknowledged model• Most recent process model, encompassing the state-of-the-art

experiences from the industry• Contains and structures “best practices” gathered from industry

experiences• A natural evolution of SW CMM now integrating SE ideas • CMMI-DEV v1.2 includes HW as a discipline• Covers software, hardware and systems.

Why CMMI as Basis?

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Page 6 21 April 2009Siemens Corporate Research, Inc. & Siemens AG 2009; All rights reserved

Sree Yellayi QUEST 2009, Chicago

• Each body of knowledge related to product or process development in CMMI is considered a discipline.

• Software, systems and hardware engineering are considered disciplines.

• A representation in CMMI is analogous to a view into a data set provided by a database.

• The data viewed is the same for each representation. • The organization and presentation of the data is different.

• CMMI models support each approach with a representation.• process area capability - continuous representation• organizational maturity - staged representation

Special CMMI Terminology

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Sree Yellayi QUEST 2009, Chicago

• An organization may choose an approach to process improvement from either:

• process area capability• organizational maturity

• CMMI models support each approach with a representation (2 options).

• process area capability - continuous representation• organizational maturity - staged representation

• Process area capability pertains to a set of practices that map to a single process area.

• Organizational maturity pertains to a set of process areas.• Both are similar concepts.

CMMI Model Representations

Page 8: Overview of Capability Maturity Model Integration (CMMI · Capability Maturity Model® Integration (CMMI ®) ® Capability Maturity Model, Carnegie Mellon, CMM, and CMMI are registered

Page 8 21 April 2009Siemens Corporate Research, Inc. & Siemens AG 2009; All rights reserved

Sree Yellayi QUEST 2009, Chicago

Introduction

CMMI®-DEV Overview and Structure of Staged Representation

Generic Practices and Institutionalization

CMMI®-DEV Process Areas on Level 2 and 3

CMMI®-DEV Process Areas on Level 4 and 5 (real quickly)

Summary of CMMI®-DEV

Discussion/Q&A/Wrap-up

Agenda

Page 9: Overview of Capability Maturity Model Integration (CMMI · Capability Maturity Model® Integration (CMMI ®) ® Capability Maturity Model, Carnegie Mellon, CMM, and CMMI are registered

Page 9 21 April 2009Siemens Corporate Research, Inc. & Siemens AG 2009; All rights reserved

Sree Yellayi QUEST 2009, Chicago

CMMI Model Structure - Staged Representation

Maturity Level

Process Area Process Area Process Area

Generic Goals Specific Goals

Generic Practices Specific Practices

REQUIRED

EXPECTED

•2.1 Policies •2.2 Plans•2.3 Resources•2.4 Responsibilities•2.5 Training

•2.6 Configuration mgmt•2.7 Stakeholders•2.8 Monitoring/control

•2.9 Objective evaluation•2.10 Mgmt oversight

Informative material:• Sub practices• Notes• References• Typical work products• Elaborations • Amplifications

•3.1 Defined Process •3.2 Collect Improvement Information

ImplementationInstitutionalization

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Sree Yellayi QUEST 2009, Chicago

• A maturity level is a defined evolutionary plateau of process improvement.

• There are five maturity levels.

• Each level is a layer in the foundation for continuous process improvement using a proven sequence of improvements, beginning with basic management practices and progressing through a predefined and proven path of successive levels.

Maturity Levels

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Sree Yellayi QUEST 2009, Chicago

4

Process unpredictable, poorly controlled, and often reactive

Process characterized for projects and is often reactive

Process characterized for the organization and is proactive

Process measured and controlled

Focus on continuous process improvement

Optimizing

QuantitativelyManaged

Defined

Initial

Managed

Optimizing

Defined

The Maturity Levels

1

2

3

4

5

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Sree Yellayi QUEST 2009, Chicago

• A process area is a cluster of related practices in an area that, when performed collectively, satisfy a set of goals considered important for making significant improvement in that area.

• Practices are actions to be performed to achieve the goals of a process area.• All CMMI process areas are common to both continuous and staged

representations.

• A process area is NOT a process description.• It is not intended that every CMMI process area maps 1:1 with your

organization’s processes.

Process Area

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Sree Yellayi QUEST 2009, Chicago

Organizational Innovation and DeploymentCausal Analysis and Resolution5 Optimizing

4 Quantitatively Managed

3 Defined

2 Managed

Organizational Process PerformanceQuantitative Project Management

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

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

1 Initial

Process AreasLevel

CMMI-DEV v1.2 staged representation

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Sree Yellayi QUEST 2009, Chicago

• A specific goal applies to a process area and addresses the unique/special characteristics that describe what must be implemented to satisfy the process area.

• Example from the Requirements Managementprocess area

SG 1: Requirements are managed and inconsistencieswith project plans and work products are identified.

• A specific practice is an activity that is considered important in achieving the associated specific goal.

• Practices are the major building blocks in establishing the process maturity of an organization.

• Example from Requirements ManagementSP 1.3: Manage changes to the requirements as they evolve during the project.

Specific Goals (SGs) and Specific Practices (SPs)

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Page 15 21 April 2009Siemens Corporate Research, Inc. & Siemens AG 2009; All rights reserved

Sree Yellayi QUEST 2009, Chicago

Introduction

CMMI®-DEV Overview and Structure of Staged Representation

Generic Practices and Institutionalization

CMMI®-DEV Process Areas on Level 2 and 3

CMMI®-DEV Process Areas on Level 4 and 5 (real quickly)

Summary of CMMI®-DEV

Discussion/Q&A/Wrap-up

Agenda

Page 16: Overview of Capability Maturity Model Integration (CMMI · Capability Maturity Model® Integration (CMMI ®) ® Capability Maturity Model, Carnegie Mellon, CMM, and CMMI are registered

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Sree Yellayi QUEST 2009, Chicago

• Achievement of a generic goal in a process area signifies improved control in planning and implementing the processes associated with that process area.

• Generic goals are called “generic” because the same goal statement appears in multiple process areas.

• Each process area has the same generic goals.

Example:

GG 2: The process is institutionalized as a managed process.

• Generic practices are activities that ensure that the processes associated with the process area will be effective, repeatable, and lasting.

• Generic practices contribute to the achievement of the generic goal when applied to a particular process area.

Generic Goals (GGs) and Generic Practices (GPs)

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Sree Yellayi QUEST 2009, Chicago

GP 2.1 – Establish an Organizational Policy

Establish and maintain an organizational policy for planning and performing the process.

• Typical contents of policy for each PA

• Policies provide clear senior management direction • Expectations might use terms other than “policy”

• Must be implemented by the organization, but at any level or multiple levels of the organization

• e.g., policies at both the Corporate and Division level

• “Establish and maintain” implies documentation, maintenance, and usage (see CMMI Glossary)

• Appraisers must see evidence of the policy being used• e.g., audits, mapping policies to processes used

Implementation Guidance

Appraisal Guidance

Elaborations

Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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Sree Yellayi QUEST 2009, Chicago

GP 2.2 – Plan the Process

Establish and maintain the plan for performing the process.

• May be included in, or referenced by, the project plan• Elaborations for 13 of 15 project-focused PAs through ML3 (except PP,

PI)

• Plan = description of activities + budget + schedule• Includes other generic practices (e.g., process descriptions, resources,

responsibilities, CM)• See model front matter for typical content

• Must distinguish between plans (GP 2.2) and process descriptions (GP 3.1)

• Much of the plan is replaced by the process description

• Schedules may be tied to program events as opposed to shown on a Gantt chart

• E.g., DAR events• Plans should make clear the conditions under which a DAR is to be

conducted

Implementation Guidance

Appraisal Guidance

Elaborations

Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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Sree Yellayi QUEST 2009, Chicago

GP 2.3 – Provide Resources

Provide adequate resources for performing the process, developing the work products, and providing the services of the processes.

• Often emphasize tools applicable to the process area• Some PAs cite specialized groups or skills

• Resources = budget + facilities + tools + skilled people • All activities should be budgeted, but budget categories may

be organized around the organization’s process architecture, not CMMI process areas

• “Adequate” must be interpreted as sufficient to execute the plan and schedule

• Must be objective, not subjective, to be repeatablee.g., not based on asking performers whether they have adequate resources (everybody wants more time to do their work)

Implementation Guidance

Appraisal Guidance

Elaborations

Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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Sree Yellayi QUEST 2009, Chicago

GP 2.4 – Assign Responsibility

Assign responsibility and authority for performing the process, developing the work products, and providing the services of the process.

• Typically none; some groups identified

• Responsibility assigned in various ways• E.g., project plans, process descriptions, job descriptions, work

authorizations, WBS, stakeholder matrix, team charter• May have multiple roles assigned for portions of a PA • Must have authority to take appropriate action

• Job assignments may be to functions (e.g., systems engineering)

• Can judge “reasonableness” of the approach by whether performers must understand who is responsible to perform each task

Implementation Guidance

Appraisal Guidance

Elaborations

Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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Sree Yellayi QUEST 2009, Chicago

GP 2.5 – Provide Training

Train the people performing or supporting the process as needed.

• Examples of training topics applicable to PA practices

• Training proactively ensures individuals possess the minimum skills and knowledge to perform their job competently

• The organization should address training for all process areas and job functions

• Project responsibility for project-specific training, if needed

• Must establish appraiser consensus on how this practice is interpreted

• Also on how to judge partial satisfaction, e.g., if XX% of the people are trained

• Need to determine how “instantiations” are counted• E.g., in a particular process area, there may be organizational and

some project-specific training

Implementation Guidance

Appraisal Guidance

Elaborations

Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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Sree Yellayi QUEST 2009, Chicago

Example Training Mechanisms

•Formal classroom training•Industry/vendor certifications•Video•Computer Based Training (CBT)•Structured mentoring•Self-study•“Train the trainer”•Formalized on-the-job training (OJT)

Various forms of training may be suitable, but must be planned for each process.

Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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GP 2.6 – Manage Configurations

Place designated work products of the process under appropriate levels of configuration management.

• Examples of work products applicable to the process area (often a subset of key Typical Work Products)

• Must identify which work products are to be controlled and how they will be controlled (level of formality)

• It is NOT necessary to designate and control every work product;omission implies “not controlled”

• Responsibility and level of control may vary across the product life cycle

• A list of what is being controlled (e.g., a DM master document list) is not sufficient

• Must understand what is planned to be controlled

Implementation Guidance

Appraisal Guidance

Elaborations

Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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Sree Yellayi QUEST 2009, Chicago

GP 2.7 – Identify and Involve Relevant Stakeholders

Identify and involve relevant stakeholders of the process as planned.

• Examples of activities for stakeholder involvement• Often a subset of specific practices or reviews of associated work

products

• Relevant stakeholders must be identified, along with their planned involvement

• Typically done as a stakeholder plan or matrix• Might also be used to document responsibilities (GP 2.4)

• Evidence of “involvement” could easily get overwhelming (e.g., attendance at meetings, review signoffs)

• Must establish appraiser consensus on what constitutes a reasonable sampling

Implementation Guidance

Appraisal Guidance

Elaborations

Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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Sree Yellayi QUEST 2009, Chicago

GP 2.8 – Monitor and Control the Process

Monitor and control the process against the plan for performing the process and take appropriate corrective action.

• Limited to examples of process measures for each PA

• Activities must be reviewed against plan, budget, and schedule

• Typically performed in staff meetings, cost/schedule reviews, variance reports

• Detailed review of the process performed against the process description is performed in the QA audits

• Must establish appraiser consensus • Frequency, formality of review• Budgets need not be tracked to individual process areas, but each

process area must be covered in some budget• Often difficult to find direct evidence that something is

tracked• E.g., tracking of Project Management PAs

Implementation Guidance

Appraisal Guidance

Elaborations

Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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Sree Yellayi QUEST 2009, Chicago

GP 2.9 – Objectively Evaluate Adherence

Objectively evaluate adherence of the process against its process description, standards, and procedures, and address noncompliance

• Example activities and work products for objective review; typically derived from specific practices or Typical Work Products

• Process audits determine whether the project performs each process, as documented in the plans or tailoring report

• Not just audits against policy, but procedures, standards• Implemented, in part, by evaluating selected work products• Must be objective, not necessarily independent QA

• Must establish appraiser consensus on how to handle work products for which no standard exists, procedures used as “guidance”

Implementation Guidance

Appraisal Guidance

Elaborations

Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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Sree Yellayi QUEST 2009, Chicago

GP 2.10 – Review Status with Higher Level Management

Review the activities, status, and results of the process with higher level management and resolve issues.

• Typically none, except REQM (commitments), OPF (improvement status), RSKM (risk status)

• Must decide who is designated “senior management”• Must be above the project level• Concern should be long term heath of the organization; sometimes in

conflict with short-term project goals• Reviews are not necessarily face-to-face (e.g., status reports)• Expected to be both periodic and event-driven

• Must establish appraiser consensus on:• Who acts as “higher level management”• Depth of review

• Evidence must show review of each process area• Not every PA will be covered at every review• May review by business process, not by PA

Implementation Guidance

Appraisal Guidance

Elaborations

Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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Examples - Reviewing Status with Higher Level Management

• Regular (e.g., monthly) project reviews and/or status reports• Cost, schedule, progress, risks, key issues, metrics, etc.

• Periodic (e.g., quarterly) steering / oversight reviews• Quality System Management Review• Process improvement council• Organizational training committee• Organizational metrics analysis

• Event-driven status, meetings, or reviews• Proposal estimates• Project milestone reviews• Assessment results (e.g., process, technical, risk)• Strategic or tactical planning• Corrective action or causal analysis meetings

Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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Sree Yellayi QUEST 2009, Chicago

GP 3.1 – Establish a Defined Process

Establish and maintain the description of a defined process.

• None (except IPM, distinguishing from the project’s defined process)

• Includes organizational standard process + tailoring by project or organization (tailoring report)

• May establish a family of process descriptions• Establish guidelines for bounds of acceptable tailoring• The enterprise should also consider tailoring for their

organizational processes at multiple levels (org units)• “Tailoring” might include a decision to use “as is”

• Standard process may be organized by business process, not by PA

• Must establish appraiser consensus on what constitutes tailoring

Implementation Guidance

Appraisal Guidance

Elaborations

Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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What is a Defined Process? (GP3.1)

• A defined process is a managed process that:• Is tailored from the organization’s set of standard processes according to

the organization’s tailoring guidelines• Has a maintained process description• Contributes work products, measures, and other process improvement

information to the organizational process assets• A defined process clearly states:

• Purpose• Inputs• Entry Criteria• Activities• Roles• Measures• Verification Steps• Outputs• Exit Criteria

[CMMI model]Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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GP 3.2 – Collect Improvement Information

Collect work products, measures, measurement results, and improvement information derived from planning and performing the process to support the future use and improvement of the organization’s processes and process assets.

• None (except for IPM, distinguishing from SP1.6; see below)

• Includes• Process Asset Library (work products)• Measurement repository (measures, results)• Improvement information database or feedback

• Connected to • IPM SP 1.6 Contribute to the Organizational Process Assets• OPD SP 1.4 (Measurement repository) and SP 1.5 (PAL)

• “Collect” implies an organizational responsibility (not “submit”, which is a project responsibility)

• Organization must collect in all PAs, but projects are not necessarily expected to submit in all PAs

• Not all items submitted must be made available to all projects

Implementation Guidance

Appraisal Guidance

Elaborations

Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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• Required• Specific goals and generic goals are required.

• Expected• Specific practices and generic practices

are expected.• allow acceptable alternatives (only if good reason exist)

• Informative• Everything else is informative.• Notes, typical work products, sub practices, amplifications, and

generic practice elaborations are informative.• These model components provide details about the model.

Required, Expected, and Informative Model Components

Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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Sree Yellayi QUEST 2009, Chicago

Introduction

CMMI®-DEV Overview and Structure of Staged Representation

Generic Practices and Institutionalization

CMMI®-DEV Process Areas on Level 2 and 3

CMMI®-DEV Process Areas on Level 4 and 5 (real quickly)

Summary of CMMI®-DEV

Discussion/Q&A/Wrap-up

Agenda

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

Defined

Optimizing

Initial

Managed

QuantitativelyManaged

Process Areas at Maturity Level 2

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• The generic goal for all maturity level 2 process areas is

GG 2: The process is institutionalized as a managed process.

• A managed process is a performed process that is planned and executed in accordance with policy; employs skilled people having adequate resources to produce controlled outputs; involves relevant stakeholders; is monitored, controlled, and reviewed; and is evaluated for adherence to its process description.

Generic Goal for Maturity Level 2

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Purpose:Manage the requirements of the project’s products and product components and to identify inconsistencies between those requirements and the project’s plans and work products.

SG 1: Manage Requirements

Requirements are managed and inconsistencies with project plans and work products are identified.

Requirements Management (REQM)Purpose and Specific Goals

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Obtain anUnderstanding

ObtainCommitment

Maintain Bidirectional Traceability

IdentifyInconsistencies

Manage Requirements

Manage Changes

REQM - Specific Practices

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Purpose:Establish and maintain plans that define project activities.

SG 1: Establish EstimatesEstimates of project planning parameters are established and maintained.

SG 2: Develop a Project PlanA project plan is established and maintained as the basis for managing the project.

SG 3: Obtain Commitment to the PlanCommitments to the project plan are established and maintained.

Project Planning (PP)Purpose and Specific Goals

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Effortand Cost

Establish Estimates

Establish Scope

Work Product & Task Attributes ProjectLife Cycle

PP – Specific Practices

Develop a Project Plan Plan for Data

Management Plan for Project

Resources

Establish the Project Plan

IdentifyProject Risks

Plan for NeededKnowledge and Skills

Plan StakeholderInvolvement

Establish the Budget&Schedule

Obtain Commitment to the Plan

Reconcile Work andResource levels

Review Plans that Affect the Project

Obtain PlanCommitment

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Purpose:Provide understanding of the project’s progress so that appropriate corrective actions can be taken when the project’s performance deviates significantly from the plan.

SG 1: Monitor Project Against PlanActual performance and progress of the project is monitored against the project plan.

SG 2: Manage Corrective Action to ClosureCorrective actions are managed to closure when the project’s performance or results deviate significantly from the plan.

Project Monitoring and Control (PMC)Purpose and Specific Goals

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Monitor DataManagement

Monitor Commitments

Monitor ProjectPlanning Parameters

Conduct MilestoneReviews

Monitor Project Risks

Analyze Issues Take CorrectiveAction

Monitor Project Against Plan

Conduct ProgressReviews

Monitor StakeholderInvolvement

Manage Corrective Action

ManageCorrective Actionto Closure

PMC - Specific Practices

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Purpose:Manage the acquisition of products from suppliers.

SG 1: Establish Supplier Agreements Agreements with the suppliers are established and maintained.

SG 2: Satisfy Supplier Agreements

Agreements with the suppliers are satisfied by both the project and the supplier.

Supplier Agreement Management (SAM)Purpose and Specific Goals

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EstablishSupplierAgreements

Determine AcquisitionType

SelectSuppliers

Establish Supplier Agreements

TransitionProducts

Accept theAcquiredProduct

Execute the Supplier Agreement

Satisfy Supplier Agreements

Monitor Selected Supplier Processes

Evaluate Selected Supplier Work Products

SAM - Specific Practices

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Purpose:Develop and sustain a measurement capability thatis used to support management information needs.

SG 1: Align Measurement and Analysis Activities

Measurement objectives and practices are aligned with identified information needs and objectives.

SG 2: Provide Measurement Results

Measurement results that address identified information needs and objectives are provided.

Measurement and Analysis (MA)Purpose and Specific Goals

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Specify Measures

CollectMeasurement Data

Establish Measurement Objectives

CommunicateResults

SpecifyAnalysisProcedures

StoreData &Results

Analyze MeasurementData

Specify Data Collection & StorageProcedures

Align Measurement and Analysis Activities

Provide Measurement Results

MA - Specific Practices

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Purpose:Provide staff and management with objective insight into processes and associated work products.

SG 1: Objectively Evaluate Processes and Work Products

Adherence of the performed process and associated work products and services to applicable process descriptions, standards and procedures is objectively evaluated.

SG 2: Provide Objective Insight

Noncompliance issues are objectively tracked and communicated, and resolution is ensured.

Process and Product Quality Assurance (PPQA)Purpose and Specific Goals

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Objectively Evaluate Processes and Work Products

Provide Objective Insight

ObjectivelyEvaluateProcesses

EstablishRecords

Communicate& Ensure Resolution ofNoncompliance Issues

Objectively Evaluate Work Products& Services

PPQA - Specific Practices

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Purpose:Establish and maintain the integrity of work products using configuration identification, configuration control, configuration status accounting, and configuration audits.

SG 1: Establish Baselines

Baselines of identified work products are established and maintained.

SG 2: Track and Control Changes

Changes to the work products under configuration management are tracked and controlled.

SG 3: Establish Integrity

Integrity of baselines is established and maintained.

Configuration Management (CM) Purpose and Specific Goals

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Identify Configuration Items

EstablishConfigurationManagementRecords

Establish a CM System

PerformConfigurationAudits

Create or Release Baselines

Establish Baselines

Establish Integrity

ControlConfigurationItems

TrackChangeRequests

Track & Control Changes

CM - Specific Practices

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Defined

Optimizing

Initial

Managed

QuantitativelyManaged

Requirements DevelopmentTechnical SolutionProduct IntegrationVerificationValidationOrganizational Process FocusOrganizational Process Definition(One IPPD Goals not presented)Organizational TrainingIntegrated Project Management (One IPPD Goals not presented)Risk ManagementDecision Analysis and Resolution

Process Areas for Maturity Level 3

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• This level builds on the foundation of project management in maturity level 2.

• The organization is more proactive. • Organizational training needs are identified

and provided.• The engineering processes are more effectively implemented.

• The organization has a set of standard processes (OSSP), which individual projects tailor to their needs.

Understanding Maturity Level 3: Defined Maturity Level

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• Generic goal GG3:

• The process is institutionalized as a defined process.

• The defined process, for a particular process application, is derived from the organization’s standard process through tailoring.

• This generic goal also applies to the maturity level 2 process areas. This means maturity level 2 and 3 processes must be institutionalized as defined processes to operate at maturity level 3 and above.

Generic Goal for Maturity Level 3 and above

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GP 3.1 Establish a Defined Process Establish and Maintain the Description of a Defined Process.

GP 3.2 Collect Improvement InformationCollect work products, measures, measurement results, and improvement information derived from planning and performing the process to support the future use and improvement of the organization’s processes and process assets

CMMI - Additional Generic Practices for Maturity Level 3

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Purpose:Produce and analyze customer, product, and product-component requirements.

SG 1: Develop Customer RequirementsStakeholder needs, expectations, constraints, and interfaces are collected and translated into customer requirements.

SG 2: Develop Product RequirementsCustomer requirements are refined and elaborated to develop product and product component requirements.

SG 3: Analyze and Validate RequirementsThe requirements are analyzed and validated, and a definition of required functionality is developed.

Requirements Development (RD)Purpose and Specific Goals

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Develop the Customer Requirements

Develop Customer Requirements

ElicitNeeds

RD – Specific Practices

Establish Product &Product-ComponentRequirements

Develop Product Requirements

Allocate Product-ComponentRequirements

IdentifyInterfaceRequirements

Establish OperationalConcepts & Scenarios

Establish a Definition ofRequired Functionality

Analyze Requirementsto Achieve Balance

Analyze Requirements

Analyze and Validate Requirements

ValidateRequirements

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Purpose:Design, develop, and implement solutions to requirements.

SG 1: Select Product Component SolutionsProduct or product component solutions are selected from alternative solutions.

SG 2: Develop the DesignProduct or product component designs are developed.

SG 3: Implement the Product DesignProduct components, and associated support documentation, are implemented from their designs.

Technical Solution (TS)Purpose and Specific Goals

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Select Product-Component Solutions

Develop Alternative Solutions &Selection Criteria

Select Product -ComponentSolutions

TS - Specific Practices

Design the Product or Product-Component

Develop the Design

Establish a Tech DataPackage

PerformMake, Buy, or ReuseAnalyses

Design InterfacesUsingCriteria

ImplementDesign

Implement the Product Design

Develop ProductSupport Documentation

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Purpose:Assemble the product from the product components, ensure that the product, as integrated, functions properly, and deliverthe product.

SG 1: Prepare for Product Integration

Preparation for product integration is conducted.SG 2: Ensure Interface Compatibility

The product component interfaces, both internal and external, are compatible.

SG 3: Assemble Product Components and Deliver the Product

Verified product components are assembled and the integrated, verified, and validated product is delivered.

Product Integration (PI)Purpose and Specific Goals

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Prepare for Product Integration

DetermineIntegrationSequence

Establish Product IntegrationProcedures & Criteria

Establish Product Integration Environment

PI - Specific Practices

Ensure Interface Compatibility

Review Interface Descriptionsfor Completeness

ManageInterfaces

Assemble Product Components and Deliver the Product

Confirm Readiness ofProduct Componentsfor Integration

AssembleProductComponents

EvaluateAssembledProductComponents

Package & Deliverthe Product or Product Component

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Purpose:Ensure that selected work products meet their specified requirements.

SG 1: Prepare for Verification

Preparation for verification is conducted.SG 2: Perform Peer Reviews

Peer reviews are performed on selectedwork products.

SG 3: Verify Selected Work Products

Selected work products are verified against their specified requirements.

Verification (VER)Purpose and Specific Goals

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Select Work Products for Verification

Prepare for Verification

Establish the VerificationEnvironment

Establish VerificationProcedures & Criteria

VER - Specific Practices

Preparefor Peer Reviews

ConductPeerReviews

Perform Peer Reviews

AnalyzePeer ReviewData

PerformVerification

Verify Selected Work Products

Analyze VerificationResults

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Source: Aero, 7/2004Author: Wolfgang Borgmann

Validation vs. Verification : The Airbus A380 Engine

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Purpose:Demonstrate that a product or product component fulfills its intended use when placed in its intended environment.

SG 1: Prepare for Validation

Preparation for validation is conducted.SG 2: Validate Product or Product Components

The product or product components are validated to ensure that they are suitable for use in their intended operating environment.

Validation (VAL)Purpose & Specific Goals

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SelectProducts for Validation

EstablishValidationProcedures

and Criteria

Prepare for Validation

Establish theValidationEnvironment

VAL - Specific Practices

PerformValidation

Validate Product or Product Components

AnalyzeValidationResults

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Purpose:Plan, implement and deploy organizational process improvements based on a thorough understanding of the current strengths and weaknesses of the organization’s processes and process assets.

SG 1: Determine Process Improvement OpportunitiesStrengths, weaknesses, and improvement opportunities for the organization's processes are identified periodically and as needed.

SG 2: Plan and implement Process ImprovementsProcess actions that address improvements to the organization’s processes and process assets are planned and implemented.

SG 3: Deploy Organizational Process Assets and Incorporate Lessons LearnedThe organizational process assets are deployed across the organization and process-related experiences are incorporated into the organizational process assets.

Organizational Process Focus (OPF)Purpose and Specific Goals

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Deploy OrganizationalProcessAssets

DeployStandardProcesses

Incorporate Process-RelatedExperiences into the Organizational Process Assets

MonitorImplementation

Appraise Organization’s Processes

Identify the Organization’sProcess Improvements

Establish OrganizationalProcess Needs

Determine Process ImprovementOpportunities

Deploy Organizational Process Assets & Incorporate Lessons Learned

Plan and Implement Process Improvements

Establish ProcessAction Plans

Implement ProcessAction Plans

OPF - Specific Practices

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Purpose:Establish and maintain a usable set of organizational process assets and work environment standards.

SG 1: Establish Organizational Process Assets

A set of organizational process assets is established and maintained.

Organizational Process Definition (OPD)Purpose and Specific Goals

SG 2: Enable IPPD Management

Organizational rules and guidelines, which govern the operation of integrated teams, are provided.

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Establish LifecycleModel Descriptions

Establish Standard Processes

Establish Work Environment Standards

Establish the Organization’sMeasurement Repository

Establish TailoringCriteria & Guidelines

Establish Organizational Process Assets

Establish the Organization’sProcess Asset Library

OPD - Specific Practices

Enable IPPD Management

Establish Rules & Guidelines for Integrated Teams

Establish Empowerment Mechanisms

Balance Team & Home Organization Responsibilities

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Purpose:Develop the skills and knowledge of people so they can perform their roles effectively and efficiently.

SG 1: Establish an Organizational Training CapabilityA training capability that supports the organization’s management and technical roles is established and maintained.

SG 2: Provide Necessary TrainingTraining necessary for individuals to perform their roles effectively is provided.

Organizational Training (OT)Purpose and Specific Goals

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Establish StrategicTraining Needs

DeliverTraining

Assess TrainingEffectiveness

Determine Which Training Needs Are the Responsibilityof the Org.

EstablishTrainingRecords

Establish an Organizational Training Capability

Provide Necessary Training

Establish TrainingCapability

Establish an Organizational TrainingTactical Plan

OT - Specific Practices

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Purpose:Establish and manage the project and the involvement of the relevant stakeholders according to an integrated and defined process that is tailored from the organization’s set of standard processes.

SG 1: Use the Project’s Defined Process

The project is conducted using a defined process that is tailored from the organization's set of standard processes.

SG 2: Coordinate and Collaborate with Relevant Stakeholders

Coordination and Collaboration of the project with relevant stakeholders is conducted.

SG 3: Apply IPPD PrinciplesThe project is managed using IPPD principles.

Integrated Project Management (IPM)Purpose and Specific Goals

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ManageStakeholderInvolvement

ManageDependencies

ResolveCoordinationIssues

Coordinate & Collaborate with Relevant Stakeholders

Use Org. Proc. Assets for Planning Project Activities

Manage Project Using Integrated Plans

Contribute to OrganizationalProcess Assets

Use the Project’s Defined Process

Establish Project’sDefined Process

IntegratePlans

Establish the Project’s Work Environment

IPM - Specific Practices

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Purpose:Identify potential problems before they occur, so that risk-handling activities can be planned and invoked as needed across the life of the product or project to mitigate adverse impacts on achieving objectives.

SG 1: Prepare for Risk Management

Preparation for Risk Management is conducted.

SG 2: Identify and Analyze Risks

Risks are identified and analyzed to determinetheir relative importance.

SG 3: Mitigate Risks

Risks are handled and mitigated, where appropriate, to reduce adverse impacts on achieving objectives.

Risk Management (RSKM)Purpose and Specific Goals

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Determine Risk Sources & Categories

DefineRisk Parameters

IdentifyRisks

Evaluate, Categorize & PrioritizeRisks

Develop RiskMitigation Plans

Implement Risk Mitigation Plans

Prepare for Risk Management

Identify and Analyze Risks

Mitigate Risks

Establish a Risk ManagementStrategy

RSKM - Specific Practices

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Purpose:Analyze possible decisions using a formal evaluation process that evaluates identified alternatives against established criteria.

SG 1: Evaluate Alternatives

Decisions are based on an evaluation of alternatives using established criteria.

• Applicability:• The project should provide documented guidelines as to when a

structured decision analysis process is to be used.• Applied where significant technical, cost, or schedule risks

evolve.

Decision Analysis and Resolution (DAR)Purpose and Specific Goals

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Establish Guidelinesfor Decision

Analysis

Evaluate Alternatives

SelectEvaluationMethods

Establish EvaluationCriteria

SelectSolutions

IdentifyAlternativeSolutions

EvaluateAlternatives

DAR - Specific Practices

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Introduction

CMMI®-DEV Overview and Structure of Staged Representation

Generic Practices and Institutionalization

CMMI®-DEV Process Areas on Level 2 and 3

CMMI®-DEV Process Areas on Level 4 and 5 (real quickly)

Summary of CMMI®-DEV

Discussion/Q&A/Wrap-up

Agenda

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Defined

Optimizing

Initial

Managed

QuantitativelyManaged

Organizational Process Performance (OPP)Quantitative Project Management (QPM)

Process Areas for Maturity Levels 4 and 5

Causal Analysis and Resolution (CAR)Organizational Innovation and Deployment (OID)

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Quick note about Levels 4 and 5

• Capability Level 4 requires control of sub processes using statistical and quantitative techniques

• Addresses special causes of variation, to improve process stability/ predictability

• Apply where performance needs to be highly predictable, or where quality or process performance must be high

• Project Planning (especially estimation)• Verification (especially peer reviews)

• Capability Level 5 requires continuous, “measurable” improvement in process performance

• Addresses common causes of process variation, to reduce overall variation or improve average performance

• Apply where quantifiable improvement is needed

0 5 10 15

0

5

10

15

Observation Number

Indi

vidu

al V

alue

Mean=7.268

UCL=11.17

LCL=3.363

1 2

Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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Introduction

CMMI®-DEV Overview and Structure of Staged Representation

Generic Practices and Institutionalization

CMMI®-DEV Process Areas on Level 2 and 3

CMMI®-DEV Process Areas on Level 4 and 5 (real quickly)

Summary of CMMI®-DEV

Discussion/Q&A/Wrap-up

Agenda

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Organizational Innovation and DeploymentCausal Analysis and Resolution5 Optimizing

4 Quantitatively Managed

3 Defined

2 Managed

Organizational Process PerformanceQuantitative Project Management

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

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

1 Initial

Process AreasLevel

CMMI-DEV v1.2 staged representation

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To Understand the Model Better

• Consider enrolling in CMMI related courses offered at the SEI or by SEI partners

• http://www.sei.cmu.edu/cmmi/training/index.html

• Consider joining Yahoo group devoted to CMMI (Search for cmmi_process_improvement in yahoo groups). This is a good forum

• Establish discussion groups within you organization. Discuss one process area each week or a month.

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The SEI Training for CMMI

Introduction to CMMI

SCAMPI Lead AppraiserSM Training

Instructor Training

Intermediate Concepts of CMMI

3 days$1750+

5 days$3000+

SCAMPI LA Track

Participate in at least 2 SCAMPI appraisals as a team member

5 days$4800+

Lead an appraisal under observation by SEI

InstructorTrack

3 days$7200+

Teach a CMMI class under observation of SEI

Note:

Prices mentioned above are only the course fees. For latest pricing on these courses, please visit the trainings webpage of SEI website

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Some useful links

1) The SEI webpage where you could get to lot of information on CMMI is at http://www.sei.cmu.edu/cmmi/

2) Various technical reports related to CMMI are available for download at the following url. http://www.sei.cmu.edu/cmmi/models/index.html. This includes the CMMI Development V1.2 model (.pdf file).

3) The SCAMPI method definition document and ARC (Appraisal Requirements for CMMI) are available for download at: http://www.sei.cmu.edu/cmmi/appraisals/index.html.

4) I highly encourage you to refer to the FAQs at: http://www.sei.cmu.edu/cmmi/adoption/ques-ans.html

5) Also, the SEIR (Software Engineering Information Repository): https://seir.sei.cmu.edu/seir/This is a gold mine. Please register yourself (it is free!) and access hundreds of reports in this repository ! Absolutely free! (note; I am not an SEI sales person ;-)

6) CMMI Appraisal results and maturity profile could be accessed at: http://www.sei.cmu.edu/appraisal-program/profile/cmmi.html

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Sree YellayiSiemens Corporate Research, Inc.Princeton, NJ

755 College Road East, Princeton, NJ 08540Phone: 609-734-6583E-mail: [email protected]

Thank you

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Sree Yellayi QUEST 2009, Chicago

Sree YellayiSiemens Corporate Research, Princeton, NJ

755 College Road East, Princeton, NJ 08540Phone: 609-734-6583E-mail: [email protected]

Thank you

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What is a Defined Process?

Inputs Outputs

Tasks,Activities,

Procedures••••

EntryCriteria

ExitCriteria

Plan•Budget

•Schedule•Resources

•Roles •Measures•CM

Monitor

CorrectiveAction

Verification / Reviews / QATraining

•Standard process•Templates, assets•Historical data

•Assets•Metrics•Reporting

Organizational Infrastructure

Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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Formality of Plans may Vary

• Plans need not necessarily be bound documents

• Worksheets• Templates• etc.

• Look for essential content required for a reasonable, executable plan

• Activities• Schedule• Resources

• Can be supplemented with other materials, e.g.,

• Process / procedure descriptions• Training

PAGE 1

PROGRAM PLANNING WORKSHEET

Program Name: Job #: Activity: Plan Date: Objectives: Plan Version: Constraints: Participants / Stakeholders:

Facilitator: Functional Leads: Support Staff: Other:

Planning Inputs: (item and location) Planning Outputs: (item and location)

Planning Task Schedule Start Date End Date Comments

Planning Resources: Plan Actual Comments

Staffing (hours)

Cost ($)

Other

Evaluation Criteria Y N Comments

Signatures:

Program Manager

Quality Assurance

Project Engineer

Systems Engineering

Software Engineering

(Other)

Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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Measurement in CMMI

• Does the CMMI model expect that measures are collected for each process area?

• Typically, but not necessarily.

GP2.8 expects that appropriate visibility is provided into performance of the process against the plan so that corrective action can be taken when necessary.

Visibility can be obtained using approaches beyond just measurement, such as reviews of activities, status, and results.

GP3.2 expects that information is collected to improve the future performance of the process – this may include measures, work products, artifacts, lessons learned, or other improvement information.

We hate to see people collecting measures that don’t add value simply for CMMI compliance. Though alternatives to measurement may be reasonable, there may be appraisal risk in convincing a Lead Appraiser these are acceptable.

“Monitoring and controlling the process involves measuring appropriate attributes of the process or work products produced by the process.” – CMMI-DEV v1.2, GP2.8

Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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Example Stakeholder Matrix

Project Processes Cus

tom

er

Ope

ratio

ns

Fiel

d S

uppo

rt

Pro

gram

Man

agem

ent

Sys

tem

Eng

inee

ring

Sof

twar

e E

ngin

eerin

g

Sys

tem

Tes

t

Inte

grat

ion

& T

est

Inte

grat

ed L

ogis

tics

Supp

ort

Qua

lity

Ass

uran

ceC

onfig

urat

ion

Man

agem

ent

Sub

cont

ract

s

Hel

pdes

k

Supp

liers

Proposal Generation R L R R R A R R AProject Planning R R L R R R R R R RProject Monitoring and Control L R R A R R R AMetrics R L R ORisk Management R L R R A A ARequirements Development R R O L R R A ROperations Telecons R R O O L R O O ASystem Engineering Review R R R R L R R R R R R R RTechnical Exchange Meeting R A R R L R R A A O AInterface Control Working Group R R R L R R ASoftware Reviews O L O O R ASW CCB O R R R O O R L AHW CCB O R R R R LIntegration Testing A A L AValidation Testing L R A A R OVerification Testing R L ORegression Testing R L OSite Installation R R A A A L R A ALeased Service Support A A A A A A A A L A2nd Level Engineering Support L R R A A A ASubcontract Mgmt A A A A L ALegend R = Required O = Optional A = As Needed L = Leader

Applying CMMI® Generic Practices with Good Judgment; 2008 CMMI Conference. Hefner/Draper

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Appraisal Method Classes

Requirements Class A Class B Class C

Types of Objective Evidence Gathered

Documents and interviews

Documents and interviews

Documents or interviews

Ratings Generated Goal ratings required

Not allowed Not allowed

Organizational Unit Coverage

Required Not required Not required

Minimum Team Size 4 2 1Appraisal Team Leader Requirements

Lead Appraiser Person trained and experienced

Person trained and experienced

Extracted from Appraisal Requirements for CMMI, Version 1.2 (ARC)