cse 7315 - sw project management / module 36 - details of the sei cmm copyright © 1995-2006, dennis...

CSE 7315 - SW Project Management / Module 36 - Details of the SEI CMMCopyright © 1995-2006, Dennis J. Frailey, All Rights Reserved

Slide 1

CSE7315M36August 13, 2006

SMU CSE 7315Planning and Managing a

Software Project

Module 36Details of the SEI CMM and

CMMI

Slide # 2August 13, 2006

CSE 7315 - SW Project Management / Module 36 - Details of the SEI CMM

Copyright © 1995-2006, Dennis J. Frailey, All Rights Reserved

CSE7315M36

Objective of This Module

• To examine the SEI CMM (capability maturity model) and CMMI (capability maturity model integrated) in further detail

Note: a thorough discussion of these models would require a half day or more - I have a short course on this, as do many other organizations.

Note: a thorough discussion of these models would require a half day or more - I have a short course on this, as do many other organizations.




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Structure of the CMM and the "Staged" version of the CMMI

Level 5Maturity

Level 4 Maturity

Level 3 Maturity

Level 2 Maturity

Level 1 Maturity




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Structure (continued)• “Each level comprises a set of process

goals that, when satisfied, stabilize an important component of the process.

• “Achieving each level of the maturity framework establishes a different component in the process, resulting in an increase in the process capability of the organization.”

As one moves up the levels, one exhibits greater maturity and capability and one EXPECTS to achieve better performance

As one moves up the levels, one exhibits greater maturity and capability and one EXPECTS to achieve better performance




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Effects of Higher Levels

At higher levels, one expects the following characteristics:

• Better visibility into what is happening

• Less variability in outcomes

• Less risk associated with software development, due to more accurate planning and better management




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Better Visibility

Level 1Input Output

Level 2 Process Step



Input Output







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Lower Variability / Less Risk

Level 1

Level 2

Level 3

etc.




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What kind of Model is the CMM/I?• The CMM/CMMI is a descriptive

model and a normative model

• A descriptive model acts as an example or a paradigm or an ideal– A model home– A fashion model

• A normative model acts as a way to compare two or more instances of something– A model of the human body– A model of an automobile engine




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Descriptive Model• The model describes essential (or key)

attributes that would be expected to characterize an organization at a particular maturity level.– Example: an organization at level 3 has

documented its process for configuration management

• One can use these attributes to evaluate one’s organization or to establish goals for an organization– Example: if we do not document our process for

CM, we are probably not at level 3– If we want to be at level 3, we should probably

document our process for CM




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Uses of the ModelsAppraisal teams will use the models to

identify strengths and weaknesses in the organization.– The SEI has defined processes for doing self-

assessments and other forms of appraisalsEvaluation teams will use the models to

identify the risks of selecting among different contractors for awarding business and to monitor contracts.– The SEI has defined processes for doing

capability evaluations– There are many less extensive ways the models

can be used to evaluate contractors




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Uses (continued)

Managers and technical staff will use the models to understand the activities necessary to plan and implement a software process improvement program for their organization– The models are sometimes followed too rigidly,

but the goals tend to be universally applicableProcess improvement groups, such as an

EPG [engineering process group], will use the models as a guide to help them define and improve the engineering processes in their organization.




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Use as A Normative Model • The detailed practices in the models characterize

the normal types of behavior that would be expected in an organization doing large-scale projects, such as those found in a government contracting context.

• A given organization can compare itself with the models to determine how it “stacks up” with what is considered an example of best practices.




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Do These Models Fit a Small Organization?

• There is considerable debate about the extent to which these practices should be expected in other kinds of organizations.

• Watts Humphrey (1) has shown that the principles, if not always the specific practices, are applicable to

individual, single-person projects (very small scale) that are

not in a government contracting mode(1) Humphrey, Watts, A Discipline of Software Engineering, Addison Wesley, 1994.




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The Principles Seem to Be Universally Applicable

• The intent is that the models are at a sufficient level of abstraction that it does not unduly constrain how the development process is implemented by an organization

• Rather, the models describe what the essential attributes of a process would normally be expected to be

• One must keep this in mind when applying the CMM or CMMI




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Structure of the CMMI (CMM)

Maturity LevelsMaturity Levels

(Key) Process Areas(Key) Process Areas

Common FeaturesCommon Features

Specific or Generic (Key)

Practices

Specific or Generic (Key)

Practices

Goals

Implementation

Infrastructureor Activities

ProcessCapability

Address

Describe

Achieve

Contain

Organized by

Contain

Indicate

Level 5Maturity

Level 4 Maturity

Level 3 Maturity

Level 2 Maturity

Level 1 Maturity

Specific or Generic Goals in

CMMI




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ExampleLevel 2:

RepeatableLevel 2:

Repeatable

SW Project PlanningSW Project Planning

Activities PerformedActivities Performed

DocumentedProcedure forSize Estimates

DocumentedProcedure forSize Estimates

Goal:

SW Estimatesare Documented

...

Implementation:

ImplementationActivities

Infrastructureor Activities

ProcessCapability:

DisciplinedProcess

Address

Describe

Achieve

Contains

Organized by

Contains

Indicate




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Process Areas• Except for Level 1, each level of the CMMI is

defined in terms of a series of Process Areas or PAs

• Process areas indicate the areas an organization should focus on to improve its software process.

• Process areas identify the issues that must be addressed to achieve a maturity level.– Level 2 PAs are what you focus on when you are at

level 1– Level 3 PAs are what you focus on when you are at

level 2– And so forth.

Process AreasProcess Areas




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Structure of PAsEach process area identifies a cluster of related activities

that, when performed collectively, achieve a set of goals considered

important for enhancing process capability.

– Note that PAs are artificially associated with specific levels in the CMM

– In actual fact, each PA evolves as an organization moves up the maturity scale

Key Process AreasKey Process Areas




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Continuous Model of CMMI

• This is an alternative perspective that, instead of looking at maturity as a series of five levels (Staged model) looks, instead, at the maturity of each individual process area

• This approach was originated in the systems engineering CMM, but is not as widely used as the Staged model




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Staged Model Scorecard

Level 5Maturity

Level 4 Maturity

Level 3 Maturity

Level 2 Maturity

Level 1 Maturity

You are Level 3




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Continuous Model Scorecard

0

0.5

1

1.5

2

2.5

3

3.5

4

4.5

5

1st Qtr

PA 1PA 2PA 3PA 4PA 5PA 6PA 7PA 8PA 9PA 10PA 11 PA 12PA 13PA 14PA 15 PA 16PA 17PA 18PA 19 etc.




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PA DefinitionEach PA is defined in terms of the following:

• Goals - why you do it - what you hope to achieve– The goals signify the scope, boundaries, and

intent of each key process area.– Generic goals apply to all PAs; specific goals

apply to specific PAs• Practices (generic or specific) - what you

(typically) do to achieve the goals– Infrastructure elements, such as policies or

practices or resources– Activities, such as reviews or processes





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Achievement of PAs• Certain attributes indicate whether the

implementation and institutionalization of a process area are effective, repeatable, and lasting.

• The attributes are:– Commitment to Perform– Ability to Perform– Activities Performed– Measurement and Analysis– Verifying Implementation





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Commitment to Perform• Commitment to Perform describes

the actions the organization must take to ensure that the process is established and will endure– Example: establishing a policy that

mandates a particular activity

We WILL do

this!


Commitment to Perform typically involves

establishing organizational policies

and demonstrating senior management sponsorship.

Commitment to Perform typically involves

establishing organizational policies

and demonstrating senior management sponsorship.




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Ability to Perform• Ability to Perform describes the

preconditions that must exist in the project or organization to implement the software process competently


Boss

SEPGSW

Manager

Ability to Perform typically involves resources, organizational structures, and

training

Ability to Perform typically involves resources, organizational structures, and

training




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Activities Performed

• Activities Performed describes the roles and procedures necessary to implement a key process area


Activities Performed typically involve: -- Establishing plans and procedures, -- Performing the work, -- Tracking it, and -- Taking corrective actions as necessary

Activities Performed typically involve: -- Establishing plans and procedures, -- Performing the work, -- Tracking it, and -- Taking corrective actions as necessary




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Measurement and Analysis

• Measurement and Analysis describes the need to measure the process and analyze the measurements


Measurement and Analysis typically includes examples of the measurements

that could be taken to determine the status and effectiveness of the activities

performed.

Measurement and Analysis typically includes examples of the measurements

that could be taken to determine the status and effectiveness of the activities

performed.




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Verifying Implementation

• Verifying Implementation describes the steps to ensure that the activities are performed in compliance with the process that has been established


Verification typically encompasses reviews

and audits by management and software quality

assurance.

Verification typically encompasses reviews

and audits by management and software quality

assurance.




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Practices

• The specific and generic practices describe "what" is to be done

-- Example: a practice for risk management might be periodic evaluation of risks and the status of known risk areas

• But they should not be interpreted as mandating "how" the goals should be achieved

PracticesPractices




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Alternative Practices• Alternative practices may

accomplish the goals of the key process area

• The key practices should be interpreted rationally to judge whether the goals of the key process area are effectively, although perhaps differently, achieved.

PracticesPractices

Key Practice per CMMI Example

Key Practice for Our Situation




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Reviewing the Five Levels for the Software Portion of the CMMI• The five levels correspond to

Humphrey’s five levels (see text)• But the CMM and CMMI provide

additional detail and many “best practices”

Level 5Maturity

Level 4 Maturity

Level 3 Maturity

Level 2 Maturity

Level 1 Maturity




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Level 1- Initial• The software process is characterized as

ad hoc, and occasionally even chaotic. • Few processes are defined, and success

depends on individual effort (heroes).• Unstable environment is subject to

catastrophe if key people leave– “Bus sensitive projects”

• Planning is ineffective -- reaction is the order of the day

• Plans are routinely ignored or abandoned

Level 5Maturity

Level 4 Maturity

Level 3 Maturity

Level 2 Maturity

Level 1 Maturity

“You can be very successful, but you cannot count on it.”

“You can be very successful, but you cannot count on it.”




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Level 2 - Repeatable• Basic project management processes

are established to track cost, schedule, and functionality.

• The necessary process discipline is in place to repeat earlier successes on projects with similar applications.

• Stability is present, even when heroes leave, so long as the overall environment is consistent

• Everyone knows how to do it, although they do not always know why

Level 5Maturity

Level 4 Maturity

Level 3 Maturity

Level 2 Maturity

Level 1 Maturity

“You can expect consistent behavior.”

“You can expect consistent behavior.”




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Process Areas for Level 2• Configuration Management• Project Planning• Process & Product Quality Assurance• Requirements Management• Supplier Agreement Management (**)• Project Monitoring and Control (**)• (*) Measurement and Analysis

(*) Was not in the CMM(**) Different Title in the CMM




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Level 3 - Defined• The process for both management and

engineering activities is documented, standardized, and integrated into a standard process for the organization.

• All projects use an approved, tailored version of the organization's standard process for developing and maintaining products.

• People know why, not just how to do the job

Level 5Maturity

Level 4 Maturity

Level 3 Maturity

Level 2 Maturity

Level 1 Maturity

“You can expect stability in a changing environment.”

“You can expect stability in a changing environment.”




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Process Areas for Level 3Part 1 – Similar to CMM

• Organizational Process Focus• Organization Process Definition• Organizational Training • Integrated Project Management• Integrated Teaming• Organizational Environment for

Integration• Technical Solution




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Process Areas for Level 3Part 2 – New from CMM

• Requirements Development• Product Integration• Verification• Validation• Risk Management• Integrated Supplier Management• Decision Analysis and Resolution




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Level 4 – Quantitatively Managed

• Detailed measures of the process and product quality are collected.

• Both the process and products are quantitatively understood and controlled.

• Decisions are based on fact• Process behavior is quantified• Processes are instrumented to facilitate

data collection• Measurements are applied across the

organization so that norms and exceptions can be identified

Level 5Maturity

Level 4 Maturity

Level 3 Maturity

Level 2 Maturity

Level 1 Maturity




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Process Areas for Level 4• Quantitative Project Management -- Metrics are defined, collected,

analyzed and acted upon to improve the project

• Organizational Process performance -- Metrics are defined, collected,

analyzed and acted upon to improve the process




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Level 5 - Optimizing

• Continuous process improvement is enabled by quantitative feedback from the process and from piloting innovative ideas and technologies.

Level 5Maturity

Level 4 Maturity

Level 3 Maturity

Level 2 Maturity

Level 1 Maturity




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Key Process Areas for Level 5• Causal Analysis and Resolution– You not only find defects, you correct or

remove the process steps that cause them

• Organizational Innovation and Deployment– You insert technology in an orderly and

managed fashion– New methods and tools do not disrupt

performance




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A Closer Look at a Few Parts of CMMI Level 2

Configuration ManagementProject PlanningQuality AssuranceRequirements ManagementSupplier Agreement ManagementProject Monitoring and ControlMeasurement and Analysis

Level 5Maturity

Level 4 Maturity

Level 3 Maturity

Level 2 Maturity

Level 1 Maturity




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We Will Review Two of the PAs

• Requirements Management and Supplier Agreement Management have not been discussed very much in the course up until now

• So we will examine what the CMMI has to say about them

• The other PAs have been discussed in the course, and are discussed further in other courses




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Requirements Management TYPICAL SYMPTOMS• The product is “perfect,” but the customer

doesn’t like it– Often because the developers “know what’s best for

the customer”

• Finger pointing – Multiple versions of the requirements– Multiple interpretations of the requirements

• The system will not integrate– The parts do not fit together– Some functions are duplicated in software &

hardware– Some functions are missing entirely




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Requirements Management PA

• Purpose: To establish a common understanding

between the customer and the software project

• Practices:– Reaching agreement on the requirements– Documenting the requirements– Controlling changes to the requirements– Communicating changes to the requirements– Allocating requirements - to software,

hardware, etc. - in a clear, unambiguous manner




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Requirements Management

Goals I1.System requirements allocated to

software or other disciplines are controlled to establish a baseline– Requirements may come directly from

the customer on a software-only project– Requirements may come from a system

engineering function on a hardware & software project

– “Controlled” means you don’t change without approval and communication




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Requirements Management

Goals II2.Plans, products and activities are kept

consistent with the requirements– If you change the requirements, you must

consider changing the plans, etc.




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Sample Behaviors• System engineer or project lead:– Allocates requirements to all parts of

the system• Don’t forget support, installation,

documentation, etc.• Include platform selection, network

configuration, and other tasks that are not part of software development

– Controls and communicates changes• May use a system configuration control

board– Listens to understand the impact of

changes




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Sample Behaviors (continued)

• Software manager:– Participates in system configuration

control process– Determines the impact of changes on

software cost and schedule– Communicates the impact to affected

parties (system engineers, customers, program managers, etc.)




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Sample Behaviors (continued)

• Software engineers:– Review requirements (and changes) – Communicate the cost/impact of

requirements/changes– For example, which modules need to

be redesigned, recoded, retested, etc.

– (This works best if the software engineer can document the estimated cost and schedule impact of each change.)




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Special Issues - I• The basic responsibility for requirements management

may lie outside of the software engineering function– Software may be only part of a larger system

product– Many large projects use a system engineer

responsible for design, control and integration of the whole system

Subsystem(segment)

Subsystem(segment)

Subsystem(segment)

Product or Item(configuration

item)


item)


item)

System

Subsystem(segment)

Requirements Management Responsibility

Requirements Implementation Responsibility

}

}




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Special Issues - II

• The symptoms of poor requirements management tend to show up toward the end of the project -- when it costs the most to fix the problems– Often the fixes require extensive

software changes, but the “fault” may lie outside the software function




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Special Issues - III• The cost of proper requirements

management comes at the front end of the project

Integrate& Test

Design theArchitecture& Allocate

Requirements

Buildthe

System

AnalyzeRequirements

• The penalty for improper requirements management comes at the back end




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Supplier Agreement Management

TYPICAL SYMPTOMS

They were supposed to deliver it today. They just called and told us

they have a three month delay!

They always delivered on

time in the past!




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More Typical Symptoms

We’ve been hit by a $25,000 fine because our user interface does not meet EPA standards.

The supplier did not know

about the regulations.

The big cost will be the

recall - about $200,000




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Further Typical Symptoms

They delivered the software

module, but no test cases and no documentation

The contract was vague on

this point.

They thought that was our

responsibility.




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Supplier Agreement Management

• Purpose:– To select qualified suppliers– To manage suppliers effectively

• Practices:– Establish policies for supplier management– Select suppliers based on ability to do the job– Communicate effectively with suppliers– Document commitments– Flow down standards, processes, etc.– Track and review supplier performance and

results.




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Subcontract Management -- Goals

1. Select qualified suppliers– Include software management in

selection process

2. Agree to commitments– Get them in writing

3. Maintain ongoing communication

4. Track performance against commitments– Reviews, audits, etc.




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Sample Behaviors• Program manager:– Includes software manager in software supplier

selection process– Establishes policies and procedures for

managing suppliers

• Software manager and subcontract manager:– Track supplier schedule, effort, size, risks, etc. – Take corrective action when there are

significant deviations from plan– Hold periodic reviews of supplier project status




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Special Issues

• Suppliers may not like to be reviewed and audited – Diplomacy, tact, and firm management skills

are needed– A cooperative approach based on mutual

goals for quality can lead to more openness and more accurate information

– Standards and regulations can provide leverage in negotiations

“We trust you, but ISO 9000 requires that we do an audit”




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Special Issues

• Other parts of your own company are suppliers too!– They may not require all the formality, but

the principles are still the same:• Statement of work, commitment, tracking, etc.




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Module Summary• The CMM and CMMI can be used as a

descriptive or a normative model

• Each level has process areas and other common elements

• The level 2 process areas are fundamental to good management and correspond to major sections of this course




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END OFMODULE 36

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