1. Focus on Software Process
An Introduction to the CMM and CBA IPI Assessments

2. Agenda
Process
The CMM
The CBA IPI
February 16, 2019

3. How Important Is Software?
How many business systems can operate without software?
How well would your company compete without it?
How does software quality affect system quality?
What does software quality mean to you?
How do you control software quality?
How do you improve software quality?
***
Objective:
To convince audience that software is an integral part of any LM system no matter how small
Action:
Ask questions on slide and draw answers from audience
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4. Typical Problems in Software Organizations
Low visibility into progress and quality
High error margin on estimates
Unpredictable performance
Constant surprises
Too many defects
Excessive maintenance costs
Adapted from Software Engineering Institute materials
February 16, 2019

5. A Process Definition
Management
PROCESS
Staff
Technology
A sequence of steps performed for a given purpose, for example, the software development process. [IEEE-STD-610]
February 16, 2019

6. Why Process Improvement?
Organizations have realized
Chaotic projects cannot take full advantage of better methods and tools
Success on chaotic projects is largely dependent on heroic efforts rather than a mature process
This dependency increases the already high risk to successful software development
Process maturity decreases risk by increasing understanding and control of the process
February 16, 2019

7. The Immature Process
Procedures are improvised in the course of the project
Process is not rigorously followed
Reactionary and crisis driven
Schedules and budgets are usually exceeded
Little or no focus on solving problems of quality or process
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8. Mature Software Organizations
Processes are defined and documented
Management plans, monitors, and communicates
Roles and responsibilities are clear
Product and process are measured
Quality, cost, and schedule are predictable
Products meet user expectations
Management is committed to continuous improvement
Technology is used effectively within defined process
February 16, 2019

9. What is the Capability Maturity Model?
Optimizing
Level 5
Managed
Level 4
Defined
Level 3
Repeatable
Level 2
Initial
Level 1
Show that the process circle has components that come together in a process
The CMM defines key elements that are necessary for a mature software process to exist.
The steps show the dependent maturity levels that achieved as the necessary elements are implemented.
An evolutionary improvement
path for software organizations
from an adhoc immature process
to a mature disciplined one
February 16, 2019

10. What is the CMM?
Framework of key process areas and practices essential to a mature process
Community-owned guide that supports the improvement effort of an organization
Facilitates identifying risks, and adopting best practices
Benchmarks the process not the product
Common structure for reliable and consistent CMM-based assessments
Standardized language and goals
Common frame of reference
A basic description for those that are textually oriented.
February 16, 2019

11. What is the CMM? The CMM does not:
dictate how to implement practices
tell you what standards to use
contain mandatory checklists
require that you reorganize
fix projects already in trouble
The CMM requires that specific key practices be in place to address common risks
February 16, 2019

12. Levels of Process Maturity
Initial
Level 1
Repeatable
Level 2
Defined
Level 3
Optimizing
Level 5
Managed
Level 4
Disciplined
Process
Standard
Consistent Process
Predictable
Continuously
Improving Process
Another view of the steps
This time emphasize the behavioral characteristics of each level and give examples.
February 16, 2019

13. CMM Structure Maturity Levels Key Process Areas Common Features
Key Practices
Process
Capability
Implementation
Infrastructure or
Activities
Contain
Categorize
Indicate
Guide
Goals
Supported by
Describe each piece of the CMM structure using examples seen in the classic CMM table when possible.
The next slide will give examples of the structure.
February 16, 2019

14. CMM Structure Example Level 2 “Repeatable” Software Project Planning
Activity
Performed
Document
Project Plan
Process
Capability
Implementation
Infrastructure or
Activities
Contain
Categorize
Indicate
Guide
Project Activities
are Documented
Supported by
Describe each piece of the CMM structure using examples seen in the classic CMM table when possible.
The next slide will give examples of the structure.
February 16, 2019

15. CMM Common Features Infrastructure Process
Commitment to Perform
Ability to Perform
Measurement and Analysis
Verifying Implementation
Process
Activities Performed
Features Common in All CMM Levels
February 16, 2019

16. CMM Key Process Areas (KPA)
Level
Result
Key Process Areas
Continuous
Improvement
Product and Process
Quality
Engineering Process
Project Management
Process change management
Technology change management
Defect Prevention
Software quality management
Quantitative process management
Organization process focus
Organization process definition
Peer Reviews
Training program
Intergroup coordination
Software product engineering
Integrated software management
Requirements management
Software project planning
Software project tracking & oversight
Software subcontract management
Software quality assurance
Software configuration management
Hero Dependency
version 1.1 R I S K
Productivity
& Quality
Focus 4
Optimizing
Managed
Defined
Repeatable
Initial 3 2 1 5
The classic CMM table from the SEI
February 16, 2019

17. Level 1 Requirements flow in
Out
Requirements flow in
A software product is usually produced by some amorphous process
The product flows out and (hopefully) works
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18. Level 2 - Project ManagementIn
Out
Process of building software is a series of activities (black boxes) with defined milestones
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19. Level 3 - A Well-Defined Organizational Process
Out
Roles and responsibilities in the process are understood
The production of the software product is visible throughout the entire software process
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20. Reported Benefits
Results of Software Process Improvement in 13 Organizations
Category Range Median Productivity gain per year 9% - 67% 35% Early detection gain per year 6% - 25% 22% (defects discovered pre-test)
Yearly reduction in time to market 15% - 23% 19% Yearly reduction in post-release 10% - 94% 39% defect reports Value returned on each dollar invested Source: Software Engineering Institute, 1994
Objective:
To show potential benefits of process improvement
Action:
Mention that these are actual statistics reported to the SEI by companies
Emphasize that we do not know what measures they used, their company size, or industry
For this reason the numbers cannot be used to predict anything, but can be used to show that ROI is probable
February 16, 2019

21. CMM Summary A framework for software process improvement
Provides a guide and direction
Facilitates software process comparison
Tells ‘what’ not ‘how’
Result of software community best practices
Has been adopted by many local companies such as US West, IBM, and Lockheed Martin
February 16, 2019

22. Why Have an Assessment? Defines the current state of process maturity
Provides a standard measure of progress toward business goals
Facilitates future improvements
Identifies areas of process weakness
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23. Assessment Principles
Involve senior management as assessment sponsor
Base assessment on sponsor business goals and assessment needs
Use a well defined process reference model
Use a well defined assessment process
Observe strict confidentiality
Approach assessment collaboratively
Focus on appropriate and practical actions
February 16, 2019

24. Bonding Business Goals To Process
Business Goals, Objectives, Strategies, and Plans are based on two fundamental needs:
Providing competitive products or services in terms of:
Functionality
Schedule
Productivity
Time to market
Quality and cost
Meeting commitments to customers with respect to products and services
New opportunities to grow
February 16, 2019

25. Assessment Goals Provide an accurate picture relative to the CMM
Collect process data to understand the current implemented process
Identify process strengths and weaknesses
Determine the degree of satisfaction of the CMM KPAs investigated
Facilitate continued commitment to SPI
Motivate and obtain the “buy-in”
Build ownership of results
Provide a framework and catalyst for action
Sustain sponsorship and establish commitment
February 16, 2019

26. CBA IPI Process Flow Training Pre On-site Period Day 1 Day 2 Day 3
Kick-Off Meeting
SEI Questionnaire Response
SEI Questionnaire Trend Analysis
Doc Review
Document
Review
Document Review
Scripting Assessment Questions
On-Site Notebook Development
Introduction
CMM Training*
Organizational Overview
Assessment Activities Walkthrough
Finalize Assessment Planning and Logistics
Training
* Additional CMM training as
Required
February 16, 2019

27. CBA IPI Process Flow On-site Period Day 1 Day 2 Day 3 Day 4 Day 5
Project Leader Interviews
Functional Area Rep Interviews
Consolidate Data
Follow-on Interviews (As required)
Prepare Draft Findings
Present Draft Findings( Pls)
Present Draft Findings (FARs)
Rate Organization
Develop Final Finding Presentation
Present Final Findings
Executive Session
Appraisal Wrap-up
Next Steps
February 16, 2019

28. Assessment Participants - Roles
Senior Manager -
sponsors assessment;
publicly supports process improvement activities;
recipient of Final Findings Briefing
Middle Managers -
come from the line or staff management positions;
selected based on their affiliation with the software development process;
participate in a group discussion
Project Leaders -
participate in personal interviews;
review draft findings
Functional Area Representatives (FARs) -
participate in group discussions;
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29. Data Hierarchy Data Ratings Findings Observations Notes Interviews
Doc Review
Instruments
Presentations
Ratings
Findings
Observations
Notes
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30. Final Findings Presentation
The final findings presentation and final report always include
KPA profiles
Key Findings
The final findings presentation and final report may also include
Maturity level rating
Additional details to support action planning
Recommendations
Consequences
February 16, 2019

31. Summary What is a process and why it is important
How an assessment fits within the context of process improvement
Roles and responsibilities of assessment participants
Sequence of activities performed during an assessment
February 16, 2019

32. Questions? Gary L. Holt Effective Process Solutions Denver, Colorado
(office)
(mobile)
February 16, 2019