1. Use of Tailored PIIs
November 17, 2003
The Use of Tailored Practice Implementation Indicators for Process Definition and Assessment Preparation
Presented to National Defense Industrial Association
3rd Annual CMMI Technology Conference and User Group
Denver, Colorado
Ben Berauer, Raytheon
November 17-20, 2003
Ben Berauer, Raytheon

2. Quick Review of SCAMPI PIIs
Use of Tailored PIIs
November 17, 2003
Quick Review of SCAMPI PIIs
SCAMPI V1.1 Method Definition Document describes the process of verifying practice implementation and the role of something called Practice Implementation Indicators (PIIs)
PIIs are:
Direct artifacts, the tangible outputs resulting directly from implementation of a specific or generic practice
Indirect artifacts, that are a consequence of performing a specific or generic practice or that substantiate its implementation, but which are not the purpose for which the practice is performed
Affirmations, oral or written statements confirming or supporting implementation of a specific or generic practice
The SCAMPI is a verification focused method, and organizations must have well documented evidence of direct and indirect artifacts
Affirmations, though important and required, are largely corroboration
CMMI typical work products were never intended to specify the direct work products that the SCAMPI now expects, so additional guidance is needed. TWPs are today incomplete, and a mixture of direct and indirect
12/4/2018
Ben Berauer, Raytheon

3. Practice Implementation Indicator Descriptions and Guidance
Use of Tailored PIIs
November 17, 2003
Practice Implementation Indicator Descriptions and Guidance
Organizations now must provide as input to the appraisal a PII database that can be used to verify practice implementation, and this is often in the form of PII Descriptions (PIIDs)
SCAMPI requires projects to document their PIIs
Appraisals are preceded by at least one readiness review that focuses on whether the documented evidence is available, and a verification based appraisal can be accomplished
A set of generic expected PIIDs were developed as a part of the effort to develop the SCAMPI V1.1
Clearer description of the typically expected direct and indirect documented artifacts characterizing each practice
Generic and not tailored for any specific company or business need
Did not get published as part of the method or incorporated into the CMMI model typical work products
CMMI typical work products were never intended to specify the direct work products that the SCAMPI now expects, so additional guidance is needed. TWPs are today incomplete, and a mixture of direct and indirect.
CMMI Objective Evidence, Rev A
12/4/2018
Ben Berauer, Raytheon

4. Practice Implementation Indicator Description (PIID)
Use of Tailored PIIs
November 17, 2003
Practice Implementation Indicator Description (PIID)
The SCAMPI PIID definitions are not part of the model or Method
12/4/2018
Ben Berauer, Raytheon

5. Practice Implementation Indicator Description (PIID)
Use of Tailored PIIs
November 17, 2003
Practice Implementation Indicator Description (PIID)
The SCAMPI PIID definitions are not part of the model or Method
12/4/2018
Ben Berauer, Raytheon

6. Use of Org’s Standard Process & PIIDs
Use of Tailored PIIs
November 17, 2003
Use of Org’s Standard Process & PIIDs
Org’s standard processes may define customary and expected work products in site specific and precise terms, interpreting the direct (and some indirect) work products and artifacts produced.
Project tailoring of the org’s standard processes may entail tailoring and describing the project specific work products
The project’s PIIs point to specific work products that the project has or will produce and place in a PII database
PIIs may be handled in various ways
Org may support a standard project PII repository database
Org may have a PAL that accommodates project data
Projects may use a standard PIIDs template/tool
PIIs may be incorporated in the OU’s process description
Directive System may include process descriptions that include Expected Work Products. i.e. The standard directive for Project Planning may include an element on project estimating that specifies that a System Breakdown Structure, Organizational Structure Description, Work Breakdown Structure and WBS Dictionary are expected work products that will be reviewed. Process Description may embody an ETVX form and specify the expected work products during and at exit from each activity.
The directive would clearly define the customary, or expected, standard work products.
Tailoring guidelines may be established
12/4/2018
Ben Berauer, Raytheon

7. SCAMPI V1.1 Method Process Flow
Use of Tailored PIIs
November 17, 2003
SCAMPI V1.1 Method Process Flow
From SCAMPI V1.1 Method
Lead Appraiser engaged in process step 1.1
The first phase in the SCAMPI method focus on planning and preparing for the appraisal
The lead appraiser is engaged early-on in step 1.1
The next phase of the appraisal is the actual “onsite” conduct of the appraisal
1 Plan and Prepare for Appraisal
1.1 Analyze Requirements Understand the business needs of the organizational unit for which the appraisal is being requested. The appraisal team leader will collect information and help the appraisal sponsor match appraisal objectives with their business objectives.
1.1.1 Determine Appraisal Objectives
1.1.2 Determine Appraisal Constraints
1.1.3 Determine Appraisal Scope
1.1.4 Determine Outputs
1.1.5 Obtain Commitment to Appraisal Input
1.2 Develop Appraisal Plan Document requirements, agreements, estimates, risks, method tailoring, and practice considerations (e.g., schedules, logistics, and contextual information about the organization) associated with the appraisal. Obtain, record, and make visible the sponsor’s approval of the appraisal plan.
1.2.1 Tailor Method
1.2.2 Identify Needed Resources
1.2.3 Determine Cost and Schedule
1.2.4 Plan and Manage Logistics
1.2.5 Document and Manage Risks
1.2.6 Obtain Commitment to Appraisal Plan
1.3 Select and Prepare Team Ensure that an experienced, trained, appropriately qualified team is available and prepared to execute the appraisal process.
1.3.1 Identify Team Leader
1.3.2 Select Team Members
1.3.3 Prepare Team
1.4 Obtain and Analyze Initial Objective Evidence
Obtain information that facilitates site-specific preparation. Obtain data on model practices used. Identify potential issue areas, gaps, or risks to aid in refining the plan. Get preliminary understanding of the organizational unit’s operations and processes.
1.4.1 Prepare Participants
1.4.2 Administer Instruments
1.4.3 Obtain Initial Objective Evidence
1.4.4 Inventory Objective Evidence
1.5 Prepare for Collection of Objective Evidence Plan and document specific data collection strategies including sources of data, tools and technologies to be used, and contingencies to manage risk of insufficient data.
1.5.1 Perform Readiness Review
1.5.2 Prepare Data Collection Plan
1.5.3 Replan Data Collection (if needed)
12/4/2018
Ben Berauer, Raytheon

8. PIIDs for Appraisal Preparation
Use of Tailored PIIs
November 17, 2003
PIIDs for Appraisal Preparation
Determining if an project’s PIIs are appropriate and adequate is left up to the CMMI appraisers
But developing appropriate PIIDs are key to an organizational understanding of:
The model’s intent
How to document compliance with the model in preparation for an appraisal
PIIDs are central in how we improve processes
They should be incorporated in a site’s process descriptions
They should be central to data collection and documentation practices
The criteria for selecting the 'right' objective evidence include identifying appropriate 'Direct' and 'Indirect' artifacts from each focus project
Collection and documenting PIIs should follow a disciplined data collection and scorecarding process
… for Process Definition and Assessment Preparation
There are different approaches, but one will be recommended
The approach to developing PIIs should closely parallel the Appraisal Method
12/4/2018
Ben Berauer, Raytheon

9. Pre-Appraisal Scorecarding
Use of Tailored PIIs
November 17, 2003
Pre-Appraisal Scorecarding
Scope & Prepare for Scorecarding
SCORECARDING GUIDELINES
Team Preparation
SCORECARD EVIDENCE GUIDE
Obtain & Analyze Objective Evidence - Indentify PIIDs
- Collect PIIs
- Review & Characterize PIIs
Scope and prepare for scorecarding
Team preparations
A team of evidence collectors familiar with the project’s defined process and typical work products is assembled
Process SMEs familiar with the Org’s Standard Processes and CMMI model and method are available for mentoring and verification of evidence.
All team participants review and agree to the evidence collection, orgnanizational standard PIIDs, and scorecarding process.
Identify appropriate PIIs for instantiations within scope of effort
Collect PIIs for instantiations within scope of effort
Review and characterize PIIs collected, identifying appropriate artifacts and defects, and observations
Develop findings for organizational process implementation
Characterize CMMI practices, goals, PAs
Scorecard instantiations against the CMMI model
Develop appropriate actions plans
Implement actions plans to correct deficiencies
Develop Action Plans
Implement Action Plans
12/4/2018
Ben Berauer, Raytheon

10. Value Stream Current Objective Evidence Gathering method
Get What You Think is the Right OE, Gathering Everything, Hope it is right
Review it
Try Again
Review it Again
Try Again
Hope the SCAMPI Appraisers are nice to you
Improved Objective Evidence Gathering method
Use OE Expert Guidelines to Determine Appropriate OE
Gather Correct OE, Review with CMMI SMEs
SCAMPI Appraisers Quickly review OE
12/4/2018

11. Organizational Process Enablers
Use of Tailored PIIs
November 17, 2003
Organizational Process Enablers
CMMI SCORECARDING GUIDELINES
Scorecarding Effort Preparation
Scorecarding Team Preparation
Review of Project Artifacts
Characterization of the Practices
Rating of Goals
Rating the Process Area
CMMI SCORECARD EVIDENCE GUIDE
Tailored PIID defining organizational work product expectations for each process in its Organizational Assets
May be a standalone document or integrated into org’s standard process descriptions
supports PII data gatherers, auditors of the processes, and the internal EPG or other process entity tasked with scorecarding activities
Main take-away message (copy and paste)
12/4/2018
Ben Berauer, Raytheon

12. Internal PIID, Scorecarding Tool
Use of Tailored PIIs
November 17, 2003
Internal PIID, Scorecarding Tool
12/4/2018
Ben Berauer, Raytheon

13. Use of Tailored PIIs
November 17, 2003
In Summary
The CMMI appraisal method is PII-based, and organizations must develop tailored PIIDs
One of the most difficult and costly components of preparing for a SCAMPI is collecting the 'right' objective evidence
The approach to developing PIIs should closely parallel the Appraisal Method, and begin long before a SCAMPI
It is difficult to do without a clear and detailed understanding about the model and appraisal method
Experts in the model and method need to work hand-in-hand with organizational and project personnel to prepare in an efficient and cost effective manner
Different approaches to PIIDs and preparing for appraisals may be taken
An approach emphasizing PII collection and scorecarding using experience in the SCAMPI method is key
Different approaches to PIIDs and preparing for appraisals are taken.
The approach depends on many factors, such as initial maturity, time line goal, and internal expertise
Scorecarding
Class C and B appraisals (prepare and readiness assessment)
12/4/2018
Ben Berauer, Raytheon