Presented by: Bruce Boyd 28 January 2004 CMMI Overview Presented by: Bruce Boyd 28 January 2004

Agenda Why use a Process Model? CMMI Structure Comparisons with SW-CMM and EIA/IS 731 A Sampling of CMMI Process Areas Available Training Appraisals CMMI at Boeing St. Louis

Early Process Improvement The theories of process management are a synthesis of the concepts of Deming, Crosby, Juran, and others. Over the past 30 years, these theories have been used to address problems common to many organizations. Solutions have been discovered, but a gap existed between the state of the practice and the state of the art. Many of these concepts have been used to build process-improvement models.

What Is a Process Model? A model is a structured collection of elements that describe characteristics of effective processes. Processes included are those proven by experience to be effective.

How Is a Model Used? A model is used: to help set process improvement objectives and priorities, improve processes, and provide guidance for ensuring stable, capable, and mature processes as a guide for improvement of organizational processes A model provides: a place to start the benefit of a community’s prior experiences a common language and a shared vision a framework for prioritizing actions

Categories of Process Improvement Benefits Process improvement benefits fall into eight general categories: improved schedule and budget predictability improved cycle time increased productivity improved quality (as measured by defects) increased customer satisfaction improved employee morale increased return on investment decreased cost of quality See notes on page 11

What is a CMM? Capability Maturity Model: A reference model of mature practices in a specified discipline, used to assess a group’s capability to perform that discipline CMMs differ by Discipline (software, systems, acquisition, etc.) Structure (staged versus continuous) How Maturity is Defined (process improvement path) How Capability is Defined (institutionalization) “Capability Maturity Model®” and CMM® are used by the Software Engineering Institute (SEI) to denote a particular class of maturity models Capability Maturity Model®, CMM®, CMM Integration, and CMMI are service marks and registered trademarks of Carnegie Mellon University

So Many Models, So Little Time YA- CMM Different structures, formats, terms, ways of measuring maturity Causes confusion, especially when using more than one model Hard to integrate them in a combined improvement program Hard to use multiple models in supplier selection EIA 731 Software CMM Systems Engr CMM People CMM IPD CMM Software Acq CMM FAA iCMM Systems Security Engr CMM

Bridging the Divide CMMI: Integrates systems and software disciplines into one process improvement framework. Provides a framework for introducing new disciplines as needs arise.

The CMMI Project DoD sponsored collaboration between industry, Government, SEI Over 100 people involved (1997 – 2001) U.S. Army, Navy, Air Force Federal Aviation Administration National Security Agency Software Engineering Institute ADP, Inc. AT&T Labs BAE Boeing Computer Sciences Corporation EER Systems Ericsson Canada Ernst and Young General Dynamics Harris Corporation Honeywell KPMG Lockheed Martin Motorola Northrop Grumman Pacific Bell Q-Labs Raytheon Reuters Rockwell Collins SAIC Software Productivity Consortium Sverdrup Corporation TeraQuest Thomson CSF TRW So, based on the problem and an understanding of the fundamental similarities of CMMs and CMM-based improvement methods, the CMMI project was born! <We could add organizational slides here for backup>

CMMI Models Source Models Capability Maturity Model for Software V2, draft C (SW-CMM V2C) EIA Interim Standard 731, System Engineering Capability Model (SECM) Integrated Product Development Capability Maturity Model, draft V0.98 (IPD-CMM) CMMI-SE/SW Staged Representation CMMI-SE/SW Continuous Representation Combined System Engineering / Software Engineering model Can be applied to: Just the software engineering projects in an organization Just the system engineering projects in an organization Both IPPD/SS can be used in either/both

CMMI Product Suite Models Training Disciplines Model Systems Engineering SE Software Engineering SW Integrated Product and Process Development (IPPD) Supplier Sourcing (SS) Representations Staged Continuous Training Model Introduction to CMMI Intermediate Concepts Instructor Training Lead Appraiser Appraisal methods Appraisal Requirements for CMMI (ARC) SCAMPI Method Description Document (MDD)

Available Models The following CMMI Models exist: SE/SW Staged SE/SW Continuous SE/SW/IPPD Staged SE/SW/IPPD Continuous SE/SW/IPPD/SS Staged SE/SW/IPPD/SS Continuous SW Staged SW Continuous The SW-only models are identical to the SE/SW models except that the SE amplifications have been removed (delta = about 7 pages)

Model Representations Staged ML 1 ML2 ML3 ML4 ML5 . . .for an established set of process areas across an organization Continuous PA Process Area Capability 0 1 2 3 4 5 Lucas CP00062 PCS 2 Added this slide as a way of further illustrating the idea of comparing representations. . . .for a single process area or a set of process areas

Why Does CMMI Have Two Representations? Source Model Heritage Software CMM--Staged SECM--Continuous IPD CMM--Hybrid Proponents for each type of representation were part of CMMI product development team. Selecting a single representation approach became “too hard”. A compromise was made to initially support two representations of the model with equivalent content.

Advantages of Each Representation Staged Representation: Provides a roadmap for implementing: groups of process areas sequencing of implementation Familiar structure for those transitioning from the SW-CMM Continuous Representation: Provides maximum flexibility for focusing on specific process areas according to business goals and objectives. Familiar structure for those transitioning from the systems engineering community.

CMMI Structure One Model, Two Representations Maturity Level 5 OID, CAR Maturity Level 4 OPP, QPM Maturity Level 3 REQD, TS, PI, VER, VAL, OPF, OPD, OT, IPM, RSKM, DAR Overview Introduction Structure of the Model Model Terminology Maturity Levels, Common Features, and Generic Practices Understanding the Model Using the Model Maturity Level 2 REQM, PP, PMC, SAM, MA, PPQA, CM Appendixes Engineering REQM, REQD, TS, PI, VER, VAL Project Management PP, PMC, SAM IPM, RSKM, QPM Process Management OPF, OPD, OT, OPP, OID PAs - Goals - Practices Support CM, PPQA, MA, CAR, DAR CMMI-SE/SW Staged Capability Levels and Generic Model Components Continuous

Model Components Process Areas (PA) Specific Goals (SG) Required Specific Practices (SP) Expected Typical Work Products Informative Sub-practices Informative Notes Informative Discipline Amplifications Informative References Informative Generic Goals (GG) Required Generic Practices (GP) Expected Generic Practice Elaborations Informative

Staged Representation: The Maturity Levels Optimizing Optimizing 1 2 3 4 5 Focus on process improvement Quantitatively Managed Process measured and controlled Defined Defined Process characterized for the organization and is proactive Managed Process characterized for projects and is often reactive Initial Process unpredictable, poorly controlled and reactive

Staged Representation: Process Areas by Maturity Level Focus Process Areas Continuous process improvement Organizational Innovation and Deployment Causal Analysis and Resolution 5 Optimizing 4 Quantitatively Managed Quantitative management Organizational Process Performance Quantitative Project Management Requirements Development Technical Solution Product Integration Verification Validation Organizational Process Focus Organizational Process Definition Organizational Training Integrated Project Management Integrated Supplier Management Risk Management Decision Analysis and Resolution Organizational Environment for Integration Integrated Teaming Process standardization 3 Defined (SS) (IPPD) 2 Managed Basic project management Requirements Management Project Planning Project Monitoring and Control Supplier Agreement Management Measurement and Analysis Process and Product Quality Assurance Configuration Management 1 Initial

Continuous Representation: Organization of Process Areas Category Process Area Project Planning Project Monitoring and Control Supplier Agreement Management Integrated Project Management(IPPD) Integrated Supplier Management (SS) Integrated Teaming (IPPD) Risk Management Quantitative Project Management Project Management Configuration Management Process and Product Quality Assurance Measurement and Analysis Causal Analysis and Resolution Decision Analysis and Resolution Organizational Environment for Integration (IPPD) Support Requirements Management Requirements Development Technical Solution Product Integration Verification Validation Engineering Organizational Process Focus Organizational Process Definition Organizational Training Organizational Process Performance Organizational Innovation and Deployment Process Management

Continuous Representation: The Capability Levels 5 Optimizing 4 Quantitatively Managed 3 Defined 2 Managed 1 Performed 0 Incomplete

Process Area Capability Profile A process area capability profile may be represented by a set of points in two dimensions. the process dimension “What” you do the capability dimension “How well” you do it Capability (How well) Process Area (What you do)

An Example Process Area Capability Profile RM PP PMC etc 5 4 3 2 1 C a p a b i l i t y

Model Components and the Capability Profile Generic Goals & Generic Practices Generic Goals & Generic Practices Specific Goals & Practices Specific Goals & Practices

Distinctions Between Levels performed vs. managed the extent to which the process is planned; performance is managed against the plan; corrective actions are taken when needed managed vs. defined the scope of application of the process descriptions, standards, and procedures (i.e., project vs. organization) defined vs. quantitatively managed the predictability of process performance is ensured by addressing special causes of process variation quantitatively managed vs. optimizing the process is continuously improved by addressing common causes of process variation

Summary There is one CMMI Model with two representations, Staged and Continuous The material in both representations is the same just organized differently Each representation provides different ways of implementing processes Equivalent Staging provides a mechanism for relating Maturity Levels to Capability Levels The CMMI model should be applied using intelligence, common sense, and professional judgment

SW-CMM V1.1 vs. CMMI V1.1 Key Process Areas (KPAs) Process Areas (PAs) Defect Prevention Causal Analysis and Resolution Technology Change Mgmt Organizational Innovation & Deployment Process Change Management Quantitative Process Mgmt Organizational Process Performance Software Quality Mgmt Quantitative Project Management Organization Process Focus Organization Process Focus Organization Process Definition Organization Process Definition Training Program Organizational Training Integrated Software Mgmt Integrated Project Management Risk Management Software Product Engr Requirements Development Technical Solution Product Integration Intergroup Coordination Verification Peer Reviews Validation Decision Analysis and Resolution Requirements Management Requirements Management Software Project Planning Project Planning Software Project Tracking & Oversight Project Monitoring and Control Software Subcontract Mgmt Supplier Agreement Management Software Quality Assurance Product & Process Quality Assurance Software Configuration Mgmt Configuration Management Measurement and Analysis LEVEL 5 OPTIMIZING LEVEL 4 MANAGED LEVEL 3 DEFINED LEVEL 2 REPEATABLE 28

SECM Focus Areas Environment Monitor & Plan & Control Organize Integrate Disciplines Management Define & Improve SE Process Technical Define Solution Define Stkhldr & Sys Level Rqmnts Integrate System Manage SE Support Environment Manage Risk Assess & Select Verify System Define Technical Problem Manage Competency Manage Configurations Validate System Manage Technology Manage Data Coordinate with Suppliers Ensure Quality

A Sampling of CMMI® Process Areas

Project Management Process Areas There are eight Project Management Process Areas. Project Planning Project Monitoring and Control Integrated Project Management (IPPD) Risk Management Supplier Agreement Management Quantitative Project Management Integrated Supplier Management (SS) Integrated Teaming (IPPD)

PP - Capability Level 1 Project Planning Specific Practices (CL1 - “Base Practices”) SP1.1-1: Estimate the Scope of the Project SP1.2-1: Establish Estimates of Work Product and Task Attributes SP1.3-1: Define Project Life Cycle SP1.4-1: Determine Estimates of Effort and Cost SP2.1-1: Establish Budget and Schedule SP2.2-1: Identify Project Risks SP2.3-1: Plan for Data Management SP2.4-1: Plan for Project Resources SP2.5-1: Plan for Needed Knowledge and Skills SP2.6-1: Plan Stakeholder Involvement SP2.7-1: Establish the Project Plan SP3.1-1: Review Plans that Affect the Project SP3.2-1: Reconcile Work and Resource Levels SP3.3-1: Obtain Plan Commitment Generic Practices (CL1)) GP1.1: Perform Base Practices If all of the base practices are performed, Then, the associated Specific Goals and Generic Goal 1 are satisfied, So, the Process Area is rated at Capability Level 1 (CL1) - Performed.

Building Process Capability Level 5 Generic Practices Optimizing Process Capability Level 4 Generic Practices Quantitatively Managed Process Level 3 Generic Practices Defined Process Level 2 Generic Practices Managed Process Performed Process See: CMMI Distilled, Page 99

PP - Capability Level 5 Project Planning Specific Practices (CL1 + CL2 + CL3) All CL1 Base Practices All CL2 Advanced Practices (if any) All CL3 Advanced Practices (if any) Generic Practices (CL1 + CL2 + CL3 + CL4 + CL5) GP1.1: Perform Base Practices GP2.1: Establish an Organizational Policy GP2.2: Plan the Process GP2.3: Provide Resources GP2.4: Assign Responsibility GP2.5: Train People GP2.6: Manage Configurations GP2.7: Identify and Involve Relevant Stakeholders GP2.8: Monitor and Control the Process GP2.9: Objectively Evaluate Adherence GP2.10: Review Status with Higher Level Management GP3.1 Establish a Defined Process GP3.2 Collect Improvement Information GP4.1 Establish Quality Objectives GP4.2 Stabilize Subprocess Performance GP5.1 Ensure Continuous Process Improvement GP5.2 Correct Common Cause of Problems If all of the CL1, CL2, and CL3 Specific Practices are performed, And all of the CL1, CL2, CL3, CL4, and CL5 Generic Practices are performed, Then, the Process Area is rated at Capability Level 5 (CL) - Optimizing.

Support Process Areas There are six Support Process Areas: Configuration Management Process and Product Quality Assurance Measurement and Analysis Causal Analysis and Resolution Decision Analysis and Resolution Organizational Environment for Integration (IPPD)

Understanding Support Processes Support process areas cover the practices that support product development, maintenance, and acquisition. They provide essential processes used by all the CMMI process areas, and are typically used in the context of performing other processes.

Engineering Process Areas There are six Engineering Process Areas. Requirements Management Requirements Development Technical Solution Product Integration Verification Validation

Engineering Process Areas REQM Requirements Product & product component requirements Alternative solutions RD TS Product components PI Product Customer Require- ments Product components, work products, verification and validation reports Ver Val Customer needs

Process Management Process Areas There are five Process Management Process Areas: Organizational Process Focus Organizational Process Definition Organizational Training Organizational Process Performance Organizational Innovation and Deployment

Understanding Process Management Process Areas The process management PAs apply across the organization as a whole and provide details that support the Capability Level 3 Generic Goal. For selected PAs, the organization has standard processes, which individual projects tailor to their needs.

About IPPD Integrated Product and Process Development IPPD affects all process areas. IPPD is not a discipline like SE or SW. Rather, it is a way of doing business. IPPD is employed in conjunction with the CMMI disciplines (software and systems engineering). Implementation of IPPD shapes how you perform the work in these disciplines.

IPPD - Definition IPPD provides a systematic approach to product development that achieves a timely collaboration of relevant stakeholders throughout the product life cycle to better satisfy customer needs.

Scope of IPPD CMMI SE/SW/IPPD adds to CMMI SE/SW: Two new process areas Organizational Environment for Integration Integrated Teaming A revised Integrated Project Management (IPPD) process area (adds SG3 and SG4) IPPD amplifications and references New glossary definitions and acronyms Overview material

Training and Appraisals

Available Training “CMMI Overview” Internal Boeing St. Louis 6-hour class “Understanding the CMMI” Software Productivity Consortium 2-day class “Introduction to CMMI”, Staged or Continuous Software Engineering Institute or Transition Partners 3-day class Required for Lead Appraisers and Appraisal Team Members “Intermediate Concepts of CMMI Models” Software Engineering Institute 5-day class Required for Lead Appraisers

Appraisal Requirements for CMMI (ARC) v1.1 Similar to the current CMM Appraisal Framework (CAF) V1.0 A guide to appraisal method developers Specifies the requirements for classes of appraisal methods Class A: Full, comprehensive appraisal methods Class B: Initial, incremental, self-appraisals Class C: Quick-look Method developers can declare which class their method fits Implications of the desired class of appraisal

Standard CMMI Appraisal Method for Process Improvement (SCAMPI) Class A method similar to CBA IPI Led by authorized Lead Appraiser Tailorable to organization and model scope Source selection appraisals or process monitoring are tailoring options of SCAMPI SCAMPI Method Definition Document V1.1 SCAMPI Class B & C methods are being piloted

CMMI Lead Appraiser Program Similar to existing SEI Lead Assessor and Lead Evaluator programs Administered by SEI Transitioned current SW & SE Lead Assessors or Evaluators, as well as new candidates Lead Appraiser requirements: Introduction to CMMI Training Appraisal team experience Intermediate CMMI Training SCAMPI Lead Appraiser Training

Summary Organizational Maturity Profile From: Process Maturity Profile CMMI® v1.1 SCAMPISM v1.1 Appraisal Results First Look September 2003 Software Engineering Institute Carnegie-Mellon University

Keys to CMMI Deployment in STL Primary goal is to achieve performance improvement, not get assessed at a certain level Integrated, usable process set Integrated process set for all engineering disciplines Designed for engineer’s daily use, not for the convenience of assessors Maintain compliance with IDS common process model Project ownership of organizational assets Processes/Training/Metrics/Tools Organizational infrastructure established for overall direction, oversight, and project collaboration Core support for deployment of processes and metrics on projects Phased project deployment approach Targeting the majority of projects in STL Queue projects in “pipeline” to move organization forward in maturity

Engineering Organization Set of Standard Processes (EOSSP) Engineering Development Requirements Development Design and Implementation System Integ. and Verification Validation Requirements Management Decision Analysis and Resolution Project Planning Engineering Estimating Project Scheduling Project Organization Project Staffing S/W Development Software Design Software Implementation Software Testing Software Qualification Testing Product Management Peer Review Problem Handling Configuration Management Project Management Project Quantitative Mgmt. Project Reviews Project Training Risk Management Quality Assurance Quality Process Audit and Product Evaluation S/W Quality Problem Tracking H/W Quality Prob. Tracking Process Management Project Process Set Definition Project Process Maintenance

Process/Training Philosophy Processes are CMMI and ISO compliant Will incorporate most aspects of PMBP in 2004 Processes - checklist-type format that can be used by engineer who has been trained to do the job (what to do) Background material is supplied with each process that describes the purpose of the process steps (why we do it this way) Training material focuses on skills and methodology (how to do it) Project defined work instructions are required by the processes to elaborate the specifics unique to the project Process tailoring and waivers are available if necessary

For More Information About CMMI Go to CMMI Website http://sei.cmu.edu/cmmi http://seir.sei.cmu.edu/seir/ http://www.ndia.org/ (annual CMMI Conference) Assistance for government organizations: Software Technology Support Center Hill AFB http://www.stsc.hill.af.mil SW-CMM v1.1 to CMMI v1.1 Mappings

Further Reading

Wrap-up Any more questions? Did the presentation meet your expectations?