2Organizations Are Complex Systems Organizational SystemStrategicTechnologicalInputs Human, Financial, Technological, Material, ResourcesOutputs Products, ServicesManagerialHuman/CulturalStructuralInput-output flow of materials, energy, informationAdapted from Kast and Rosenzweig, 1972.
3What Is a Process?A process is a set of interrelated activities, which transform inputs into outputs, to achieve a given purpose.ResultAnother definition of process - A continuing development involving many changes; or a particular method for doing something, usually involving a number of steps or operations (Websters, 1976)While process is often described as a leg of the process-people-technology triad, it may also be considered the “glue” that unifies the other aspectsProcess Improvement flows from and extends the general management theories developed over the past ~30 years (Juran, Deming, Crosby, etc.)
4Processes can make the difference! How Do You Want to Work?Random motion – lots of energy, not much progressNo teamwork – individual effortFrequent conflictYou never know where you’ll end upDirected motion – every step brings you closer to the goalCoordinated effortsCooperationPredictable resultsProcesses can make the difference!
7Characteristics of Effective Processes documentedtrackablesimpleenforcedmeasurabletrainedflexibleSTUDENT NOTES:To be effective (usable or executable), processes need certain characteristics. In the absence of these characteristics● You’re more likely to encounter resistance● your process is more likely to fail.INSTRUCTOR NOTES:KEY POINT● Characteristics of Effective ProcessesSUGGESTED SCRIPT● Effective processes should be:animation○ SIMPLE: A 1” thick INDEX to procedures is a problem sign○ DOCUMENTED: Written, readable, and accessible○ TRAINED: “Go read the procedures” is not training. Training can be formal or via mentoring○ PRACTICED: Universally practiced, all the time by all the staff○ SUPPORTED: Appropriate tools on hand. Built into planning processes○ STABLE: Changing processes produce changing results○ DEFINED GATES: Establishes verifiable checkpoints throughout the process○ FLEXIBLE: No process is perfect. Allow some adaptation to meet changing conditions○ ENFORCED: Encouraged, audited, rewarded○ TRACKABLE: Must be able to monitor the use○ MEASURABLE: Know what it costs. Know how it benefitsTRANSITION● Lots of guidance for process improvementsupportedWell-defined gatesSTABLEpracticed
9Signs that Processes Are Insufficient Unmet commitmentsLate deliveryLast minute crunchesSpiraling costsLittle or no management visibilityYou’re always being surprisedQuality problemsToo much reworkFunctions do not work correctlyCustomer dissatisfaction post-delivery; continuing high costsPoor moraleFrustrationIs anyone in charge?Mars Orbiter (Sep 1999)A 125 million dollar orbiter was lost because one team used English units of measure while another used metric units of measure.Process failure can result from:Improper ImplementationLack of disciplineNoncompliancePoor executionClicking on the Power point icon in the lower right brings up the Petrobas slide show, about an oil drilling platform which sank before it before it was installed and pumping oil
14Interchangeable parts How Can Process Help?Process supports the goals of the company, enablingRepeatabilityInsight and oversightControl and trackingMeasurementImprovementTrainingTransformation (via consistency, integration, coordination)Interchangeable partsSTUDENT NOTES:INSTRUCTOR NOTES:KEY POINT● Advantages of ProcessSUGGESTED SCRIPT● The military has been using process longer than anyone. Early emphasis for process came from the US military. They know the good stuff and the bad stuff about process. e.g., there is a 60 page specification for chocolate chip cookies.○ Repeatability is the big advantage○ Interchangeable weapon parts made possible by process○ Proved to be an early advantage for US manufacturing and the US military● Operational benefits○ Encourages repeatable results○ Enables control and tracking○ Promotes measurability○ Develops operational insight○ Enables improvements○ Enables training○ Enables transformation as military moves toward net-centric world (There is no networked, coordinated action without process) In this case, it Provides consistency, Facilitates integration, and Improves coordinationTRANSITION● Characteristics of Effective Process
15Value of Fixing Defects Early Error Correction Costs By PhaseOperation$$$Relative Cost to Correct ErrorValidationIntegrationImplementationDetailed DesignTIME
16Early Defects Detection Require-mentsDesignCodeSoftwareTestSystemTestFieldUseRelativeCostLevel 55%20%40%20%10%<5%$800Level 43%12%30%30%20%5%$1,000Level 30%2%20%38%32%8%$1,400Level 20%0%3%30%50%17%$2,500Level 10%0%2%15%50%33%$4,000Source: SEPG Asia Pacific 2009presented by Ravindra Nath, KUGLER MAAG CIE GmbH
21“M” Is for Model THE REAL WORLD Models are simplified views of the real world.Integrated product teamsSystemsEngineeringPeople issuesOrganizationalcultureMaturity LevelsProcess AreasPracticesCMMITechnologyMarketingProcess descriptions, models, and instantiations are below the level of detail of the CMMs.Process Descriptions“The Capability Maturity Model for Software” (TR 24) sets the domain boundary“All models are wrong, but some are useful.” - George Box
22Improving processes for better products CMMI in a NutshellCMMI is a collection of characteristics of effective processes that provides guidance for improving an organization’s processes and ability to manage the development, acquisition, and maintenance of products or services.CMMI places proven approaches into a structure thathelps an organization examine the effectiveness of its processesestablishes priorities for improvementhelps implement these improvementsImproving processes for better productsSee notes on page 26
23CMMI Product Suite CMMI Models CMMI for Development CMMI for AcquisitionCMMI for ServicesSCAMPISM (Standard CMMI Appraisal Method for Process Improvement)Class A (results in ratings)Class B (deployment)Class C (approach)TrainingIntroduction to CMMIAdvanced training coursesModelsTrainingSCAMPI
24CMMI Framework Training Appraisals Models Services Understanding CMMI High Maturity PracticesCMMI-Based Process Improvement OverviewImplementing CMMI for High Performance, an Executive SeminarIntroduction to CMMI (for Development)Introduction to CMMI for ServicesAcquisition Supplement for CMMIServices Supplement for CMMICMMI Level 2 for Practitioners (DEV only)CMMI Level 3 for Practitioners (DEV only)CMMI Level 2 for Practitioners (ACQ only)CMMI Instructor TrainingCMMI Upgrade TrainingIntermediate Concepts of CMMISCAMPI Lead AppraiserSM TrainingSCAMPI Class A Appraisal Method (Results in Ratings)SCAMPI Class B Appraisal MethodSCAMPI Class C Appraisal MethodAppraisal Requirements for CMMIModelsServicesPoint out that the CMF is comprised of the process areas associated with the three categories shown in the CMF figure. These PAs are used by an organization and their projects to manage and support what they do. Point out that what they do is defined in the constellations’ process areas. For example in the Development constellation, this includes the Engineering PAs and SAM. In the Acquisition constellation, there are six PAs in the Acquisition category.Note that REQM is an exception to this figure and is a CMF PA located in Engineering in DEV and Project Management in ACQ.Models, Training Materials and Appraisal Materials are comprised of the CMF (always) plus additions from one or more constellations.CMMI Model FoundationDevelopmentAcquisition
26Evolution of Process Capability LevelProcess CharacteristicsTime/$/...Predicted PerformanceProcess improvement is institutionalized5Product and process are quantitatively controlled4Software engineering and management processes are defined and integrated3Project management system is in place; performance is repeatable2Process is informal and unpredictable1
31CMMI Models for Three Constellations CMMI-SVCCMMI-SVC provides guidance for those providing services within organizations and to external customers.16 Core Process Areas, common to allCMMI-DEVCMMI-DEV provides guidance for measuring, monitoring and managing development processes.CMMI-ACQCMMI-ACQ provides guidance to enableinformed and decisiveacquisition leadership.The CMMI-SVC model includes the 16 core PAs, one shared PA (SAM), 6 unique PAs, and 1 PA addition. It also includes several modifications to further explain how the CMMI-SVC is to be interpreted in a services environment.
32CMMI Core PAs CMMI-SVC CMMI Core PAs CMMI-DEV CMMI-ACQ Core PAs are common to all three CMMI models.Core PAs include informative material that interprets the goals and practices for the model’s area of interest.CMMICore PAsCMMI-DEVCMMI-ACQThe CMMI-SVC model includes the 16 core PAs, one shared PA (SAM), 6 unique PAs, and 1 PA addition. It also includes several modifications to further explain how the CMMI-SVC is to be interpreted in a services environment.
43CMMI for Development Model CMMI-DEV22Development-specific PAs5161Core PAs that are present in all CMMI models.CMMICore PAsShared PA (SAM)CMMI-SVCCMMI-ACQThe CMMI-SVC model includes the 16 core PAs, one shared PA (SAM), 6 unique PAs, and 1 PA addition. It also includes several modifications to further explain how the CMMI-SVC is to be interpreted in a services environment.
45Development-Specific PAs Requirements DevelopmentSupplier Agreement Management(Shared with SVC)CMMI Model Framework (CMF)Technical SolutionValidation16 Project, Organizational, and Support Process AreasKey Acquirer RolesBusiness analysis/relationship management (incl. requirements)Systems engineering, architecture strategy, system acceptanceContract development & supplier managementProgram ownership / project managementKey Supplier RolesApplication Design/DevelopmentSystem MaintenanceDesktop / Service / Help DeskHostingData center / mainframeINSTRUCTOR NOTES:KEY POINTBoth Developers and Acquirers have strong, albeit different, needs for processSUGGESTED SCRIPTAcquisition is a team sport. With both the Acquirer and the Developer on the SAME team.Each has a role to play, and Process is an important element in each of these rolesUltimately, the goal of both the Acquirer and the Developer is to translate an Operational Need into a fieldable and supportable product. In pursuit of this:the AcquirerPlans the acquisitionDevelops an RFPSolicits proposalsSelects a sourceMonitors the project throughout developmentAccepts the productTransitions the product to operationsThe DeveloperPlans the developmentDesigns the productDevelops the productIntegrates and tests the productDelivers the productThe processes used by the developer and the acquirer are different but similarCMMI-Acquisition Module recommends Acquirers processesCMMI recommends Developers processesTRANSITIONWhat processes does the Acquirer need?Product IntegrationVerification45
46CMMI-DEV PAs by Maturity Level Process Areas5OptimizingCausal Analysis and ResolutionOrganizational Performance Management4Quantitatively ManagedOrganizational Process PerformanceQuantitative Project Management3DefinedDecision Analysis and ResolutionIntegrated Project ManagementOrganizational Process DefinitionOrganizational TrainingOrganizational Process FocusProduct IntegrationRequirements DevelopmentRisk ManagementTechnical SolutionValidationVerification2ManagedConfiguration ManagementMeasurement and AnalysisProject Monitoring and ControlProject PlanningProcess and Product Quality AssuranceRequirements ManagementSupplier Agreement ManagementFor the V1.3 release, there were no changes that affected the DEV PAs’ positioning by maturity level.
48Product Integration SG 1: Prepare for Product Integration SP 1.1 Establish an Integration StrategySP 1.2 Establish the Product Integration EnvironmentSP 1.3 Establish Product Integration Procedures and CriteriaSG 2: Ensure Interface CompatibilitySP 2.1 Review Interface Descriptions for CompletenessSP 2.2 Manage InterfacesSG 3: Assemble Product Components and Deliver the ProductSP 3.1 Confirm Readiness of Product Components for IntegrationSP 3.2 Assemble Product ComponentsSP 3.3 Evaluate Assembled Product ComponentsSP 3.4 Package and Deliver the Product or Product ComponentRevised the purpose statement to ensure proper behavior instead of proper function, thereby more explicitly including quality attributes and required functionality.Changed emphasis on integration sequence to an emphasis on integration strategy.Described an integration strategy and how it relates to an integration sequence.
49Requirements Development SG 1: Develop Customer RequirementsSP 1.1 Elicit NeedsSP 1.2 Transform Stakeholder Needs into Customer RequirementsSG 2: Develop Product RequirementsSP 2.1 Establish Product and Product Component RequirementsSP 2.2 Allocate Product Component RequirementsSP 2.3 Identify Interface RequirementsSG 3: Analyze and Validate RequirementsSP 3.1 Establish Operational Concepts and ScenariosSP 3.2 Establish a Definition of Required Functionality and Quality AttributesSP 3.3 Analyze RequirementsSP 3.4 Analyze Requirements to Achieve BalanceSP 3.5 Validate RequirementsSP1.2 revised to add that customer requirements should be prioritized based on their criticality to the customer and other stakeholders.Broadened emphasis from “operational scenarios” to a more balanced “scenarios (operational, sustainment, and development).”Added a focus on architectural requirements.Because “Quality attributes” needs to be considered in addition to “functionality,” SG3 and SP 3.2 were revised.Added informative material that requirements can be monitored through development based on their criticality to the customer.
50Technical Solution SG 1: Select Product Component Solutions SP 1.1 Develop Alternative Solutions and Selection CriteriaSP 1.2 Select Product Component SolutionsSG 2: Develop the DesignSP 2.1 Design the Product or Product ComponentSP 2.2 Establish a Technical Data PackageSP 2.3 Design Interfaces Using CriteriaSP 2.4 Perform Make, Buy, or Reuse AnalysesSG 3: Implement the Product DesignSP 3.1 Implement the DesignSP 3.2 Develop Product Support Documentation
51Validation SG 1: Prepare for Validation SP 1.1 Select Products for ValidationSP 1.2 Establish the Validation EnvironmentSP 1.3 Establish Validation Procedures and CriteriaSG 2: Validate Product or Product ComponentsSP 2.1 Perform ValidationSP 2.2 Analyze Validation Results
52Verification SG 1: Prepare for Verification SP 1.1 Select Work Products for VerificationSP 1.2 Establish the Verification EnvironmentSP 1.3 Establish Verification Procedures and CriteriaSG 2: Perform Peer ReviewsSP 2.1 Prepare for Peer ReviewsSP 2.2 Conduct Peer ReviewsSP 2.3 Analyze Peer Review DataSG 3: Verify Selected Work ProductsSP 3.1 Perform VerificationSP 3.2 Analyze Verification Results
54CMMI Product Suite, Version 1.3 Version 1.3 focused on but was not limited to the following:High MaturityAppraisal efficiencyConsistency across constellationsSimplify the generic practicesVersion 1.3 was change request (CR) driven.
57V1.3 Model Architecture Changes IPPD/Teaming Removed the IPPD addition from CMMI-DEV and in its place added teaming practices from CMMI-ACQ and CMMI-SVC. These practices are not optional. Amplifications Removed the “amplification” model component. CMMI-ACQ Renamed the “Acquisition” process area category to be “Acquisition Engineering.” Moved AM and SSAD from the Acquisition PA category to the Project Management PA category. CMMI-DEV Moved REQM from the Engineering PA category to the Project Management PA category.
58V1.3 Changes to GGs, GPs, and GP Elaborations Positioned generic goals, generic practices, and GP elaborations in one central location as the first section of Part 2 in all three models. Simplified GG1 to make it more readable. Renamed GP 2.6 to “Control Work Products.” Added “selected work products” to the GP 2.9 statement. Simplified the GP 3.2 statement to replace “collect work products, measures, measurement results, and improvement information” with “collect process related experiences.” Eliminated GG4 and GG5.
61Core PAs: Support Category Configuration ManagementEstablish and maintain the integrity of work products using configuration identification, configuration control, configuration status accounting, and configuration auditsDecision Analysis and ResolutionAnalyze possible decisions using a formal evaluation process that evaluates identified alternatives against established criteriaMeasurement and AnalysisDevelop and sustain a measurement capability used to support management information needsProcess and Product Quality AssuranceProvide staff and management with objective insight into processes and associated work productsCM: Clarified that CM can apply to hardware, equipment, and other tangible assets.DAR: Added guidance on defining the scope of the decision and communicating results.MA: More clearly distinguished between information needs and objectives, measurement objectives, and business/project objectives. Included a table of examples (as in ACQ) for DEV and SVC.Clarified that PPQA also applies to organization level activities and work products.
62Core PAs: Process Management Category Organizational Process DefinitionEstablish and maintain a usable set of organizational process assets, work environment standards, and rules and guidelines for teamsOrganizational Process FocusPlan, implement, and deploy organizational process improvements based on a thorough understanding of current strengths and weaknesses of the organization’s processes and process assetsOrganizational TrainingDevelop skills and knowledge of people so they can perform their roles effectively and efficientlyConverted goal on teaming to a single practice, which is no longer an “addition” for IPPD only.Simplified SP 3.4 to replace “process-related work products, measures, and improvement information” with “process related experiences”.Expanded applicability to training development and delivery methods such as self study, mentoring, and online training.
63Core PAs: Project and Work Management Category -1 Simplified SP 1.7 to replace “work products, measures, and documented experiences” with “process related experiences.”Converted goal on IPPD or Integrated Teaming to a single practice (IPPD no longer an addition).Integrated Project ManagementEstablish and manage the project and the involvement of relevant stakeholders according to an integrated and defined process that is tailored from the organization’s set of standard processesProject Monitoring and ControlProvide an understanding of the project’s progress so that appropriate corrective actions can be taken when the project’s performance deviates significantly from the planProject PlanningEstablish and maintain plans that define project activitiesAdded guidance for monitoring risks, data management, stakeholder involvement, project progress, and milestone reviews.Added guidance on determining project lifecycle and milestones.Added subpractices on determining data rights and need for configuration control, and determining communication requirements and other continuing resource needs.
64Core PAs: Project and Work Management Category -2 Requirements ManagementManage requirements of the project’s products and product components and to ensure alignment between those requirements and the project’s plans and work productsRisk ManagementIdentify 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 objectivesChanged the focus of SP 1.5 so that it now reads “Ensure that project plans and work products remain aligned with requirements.”Included examples related to: architectural risks, use of industry standards to identify risks, FMEA, and consequence monetization.Provided guidance on maintaining risk parameters through life of the project.
68Front MatterClarified that CMMI models are not processes or process descriptions. Removed any biases favoring maturity levels or capability levels. Explained that core process areas appear in all CMMI models and that they can have different expected and informative material. For example, PP can have an SP in ACQ that is absent in DEV’s PP. Added information on selecting the right CMMI model for use.
69Glossary -1Differentiated between definitions and usage notes for each glossary entry.Removed terms from the glossary, including: adequate, alternative practice, amplifications, appropriate, appraisal team leader, as needed, assessment, assignable cause of process variation, capability evaluation, discipline, evidence, functional configuration audit, goal, integrated product and process development, objective, objective evidence, observation, organizational unit, physical configuration audit, profile, program, rating, reference, root cause, and test procedure.Revised the definitions of “quality” and “corrective action” to be more consistent with ISO definitions.Revised the terms “process,” “development,” “supplier”, and “team” to be more broadly applicable.
70Glossary -2Revised the definition of “supplier agreement” to include agreements within an organization.Revised the following definitions related to high maturity practices: causal analysis, natural bounds, optimizing process, process performance model, quality and process performance objectives, stable process, statistical techniques, and subprocess.Added the following terms related to high maturity: quantitative management, statistical and other quantitative techniques.Deleted the following terms related to high maturity: quantitatively managed process, statistically managed process, and statistical predictability.
71V1.3 Changes to High Maturity PAs Many of the most significant changes to CMMI models as part of Version 1.3, are the changes to the high maturity process areas (CAR, OPM, OPP, and QPM). These process areas are core process areas, but we’ve focused on these four over the others because of their significance in this release.
81Countries Where Appraisals Have Been Performed and Reported to the SEI * Red/Italic country name: New additions with this reporting since March 2010
82CMMI Adoption Has Been Broad 34 countries with > 10 appraisals (as of Sept 2010):USAChinaIndiaJapanSpainFranceKorea (ROK) 176BrazilTaiwanU.KMexicoGermanyArgentinaMalaysiaCanadaEgyptItalyColombiaChileThailandAnd - Australia, Pakistan, Philippines,Singapore, Israel, Hong Kong,Viet Nam, Turkey, Netherlands, Portugal,Sri Lanka, Ireland, Peru and RussiaThere were SCAMPI A appraisals reported from 71 countries.Approximately 75% of adopters are commercial organizations.Services; 1/6 ManufacturingApproximately 2/3 of adopters in the US are contractors for military/government or are government.201 to %1 to %Estimated 1.2 million people work in organizations that have had at least one SCAMPI A appraisal since April 2002.Manufacturing 16.3%Services 71.1%Is the source for these statistical analyses.
83CMMI Transition Status Reported to the SEI as of 10-31-10 Linda NorthropSoftware Product Lines3/27/2017TrainingIntroduction to CMMI V1.2120,838Intermediate Concepts of CMMI3,238Understanding CMMI High Maturity Practices636Introduction to CMMI V1.2 Supplement for ACQ1,325Introduction to CMMI V1.2 Supplement for SVC2,361Introduction to CMMI for Services V1.2314CertificationsIntroduction to CMMI V1.2 Instructors408CMMI-ACQ V1.2 Supplement Instructors66CMMI-SVC V1.2 Supplement Instructors131Introduction to CMMI for Services V1.2 Instructors23SCAMPI V1.2 Lead Appraisers466SCAMPI V1.2 High Maturity Lead Appraisers142CMMI-ACQ V1.2 Lead Appraisers72CMMI-SVC V1.2 Lead Appraisers147
84CMMI V1.2 Foreign Language Translation Status Reported to the SEI as of 10-31-2010 Presentation (Full Color)Author, Date3/27/2017LanguageStatus (for CMMI-DEV V1.2)JapaneseCompleted August Intro course translated October 2007Chinese (trad.)Completed December 2007FrenchCompleted August 2008GermanCompleted April Intro course translated October 2009SpanishCompleted in June 2009PortugueseCompleted in May 2010LanguageStatus (for CMMI-ACQ V1.2)Chinese (trad.)Completed April 2009LanguageStatus (for CMMI-SVC V1.2)Chinese (trad.)Completed in July 2010ArabicTo start, pending agreementLanguageStatus (for CMMI-DEV V1.3)DutchUnderway
85Number of Appraisals Conducted by Year Reported as of 10-31-10 Presentation (Full Color)Author, Date3/27/2017Number of Appraisals Conducted by Year Reported as of