Post on 01-Jan-2016
Process Management
• Process Management in software started in late 1960’s (but informally and inconsistently)
• Software Engineering Institute (SEI) is the center • Watts Humphrey (retired IBMer who joined SEI)
was a key proponent of:
(in sequential order)
– CMM (capability maturity model)• Process maturity of organization
– PSP (personal software process)• Process maturity of individual
– CMMI (capability maturity model integrated)• Follow-on to CMM
A Quick Overview of CMM
(How You May Want to “Manage”
Change & Certification)
Software Engineering Institute (SEI)
Federally Funded Research & Development Center (FFRDC) at Carnegie Mellon University
Mission is to foster improvement of software processes
Developed Capability Maturity Model and Assessment Methodology
Educate “Authorized Lead Assessors” and organizations
Many Assessors have been leading process improvement efforts since 1987
Process Management Premise
• An undefined process cannot be controlled (or measured)
• An uncontrolled process cannot be improved
• Attempting to improve an unstable process yields further instability
ControlControl
ExecuteProcess
ExecuteProcess
DefineDefine
Adapted from SEI
MeasureMeasure
ImproveImprovestart
A 5 Step Approach to Software Process Improvement (SPI)
SetContext
BuildSponsorship
CharterInfrastructure
CharacterizeCurrent &Desired States
DevelopRecommendations
SetPriorities Develop
Approach
PlanActions
CreateSolution
Pilot/TestSolution
RefineSolution
ImplementSolution
AnalyzeandValidate
ProposeFutureActions
Stimulus for Change
Initiating
Diagnosing
Establishing
Acting
Learning
IDEALSM
Meeting Your Business (SPI) GoalsWith (some)Assessor’s Products and Services
-SEPG Development & Guidance
-Strategic &Tactical Planning
-Pilot Projects
-Process Templates
-Post-Assessment Consulting-Process Implementation Plan
-CMM Training
-KPA/Process Improvement Training
-CBA -IPI (CMM based- internal process improvement assessment)
-Executive Briefing
-CMM Profiles(Pre-Assessments)
-Pre-Assessment ConsultingInitiating
Diagnosing (Assessing)
Establishing
Acting
Learning-Measurement Programs
-Action Planning Workshop
-Process Definition
BehavioralCharacteristics
ManagementProcess
Engineering Process
QuantitativeUnderstanding
ContinuousImprovement
Focus
Improvement Framework
Capability Maturity ModelSM Version 1.1
Disciplined
Consistency
Quantifiable Predictability
Total Organization Involvement
Chaos
Repeatable - Level 2
Defined - Level 3
Initial - Level 1
Managed - Level 4
Optimizing - Level 5
RISK
Productivity and Quality
Improvement Framework
Organization Process Focus Organization Process DefinitionTraining Program Integrated Software ManagementSoftware Product Engineering Intergroup CoordinationPeer Reviews
Repeatable - Level 2
Defined - Level 3
Initial - Level 1: (no process!)
Quantitative Process ManagementSoftware Quality Management
Defect PreventionTechnology Change MgmtProcess Change Mgmt.
Managed - Level 4
Optimizing - Level 5
RISK
Productivityand
Quality
Capability Maturity ModelSM Version 1.1
Requirements Management Software Project PlanningSoftware Project Tracking & Oversight Subcontract ManagementSoftware Quality Assurance Software Configuration
Management
Why Use The CMM?• Provides a framework for: benchmarking the process and the
organization
• CMM is not prescriptive; it does not tell an organization how to improve
– Provides good “common sense” engineering and management practices
– The key practices do not
• Limit the choice of life cycle
• Require or preclude specific software technologies or language (e.g., prototyping, design method, coding or testing practices)
• Require that documentation conform to any particular set of standards
• The key practices are the result of “national consensus”– Use of standardized language and goals
Early Reported Benefits
Results of Software Process Improvement in 13 Organizations
Category Range Median
Productivity gain per year 9% - 67% 35%Early error 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 reportsValue returned on each dollar invested 4.0 - 8.8 5.0
Source: Software Engineering Institute, 1994 ----- 17 years ago
Process Maturity “Spanning the Years”
80%
12%7%
1%
1%
55%26%
15%
3%
1%
Level 1Level 2Level 3Level 4Level 5
Legend
Level 1
Level 1
Level 3
1987 - 1991
19981987 - 1991 1998
92%
7%
2%
81%
15%
4%
129 Organizations
951 OrganizationsThere was a 737% increase in the number of organizations assessed from 1987 through 1998
Trends in Process Maturity*
0
100
200
300
400
500
600
Initial Repeatable Defined Managed Optimizing
Organizations Assessed1987-1998
1987 - 1991 129
1992 219
1993 317
1994 414
1995 506
1996 632
1997 782
1998 951
Year Org.
Nu
mb
er
of
As
se
ss
me
nts
* Extracted from SEI’s Process Maturity Profile of the Software Community Assessments through December 1998
10 (1%)
28 (3%)
143 (15%)
247 (26%)
523 (55%)
Maturity Profile by Organization Type
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
Initial Re peatable Defined Managed Optimizing
Commercial DOD/Fede ral Contractor Mi litary/Fede ral Othe r/Unknown
* Extracted from SEI’s Process Maturity Profile of the Software Community Assessments through December 1998
Assessment Overview• CMM Profile:
– Informal quantitative evaluation
– Excellent mechanism as a interim or pre-assessment
– Non-intrusive to organization
– Guidance on recommended process improvements
– Results not forwarded to SEI
– Typically a 3-5 day activity
• CBA IPI (CMM Based Assessment Internal Process Improvements):
– Formal Assessment
– Automated approach saving your organization up to 40% time/effort
– Collaborative
– Guidance on recommended process improvements
– Results forwarded to SEI
– Typically a 10 day activity
CMMSM Profile
Kick-OffMeeting
Interviews
ReviewDocuments
FindingsPresentation
IdentifyScope
-Findings-Next Steps
-Organizational-Project-Implementation
-Project Leaders-Middle Managers-Practitioners-SEPG
SelectProjects
ProjectsCollect
Documents
Fill OutQuestionnaire
ProcessData
= Activities completed prior to on-site visit
Legend
(start)
CBA IPI Process Flow
Day 1 Day 2
Pre Assessment Period
Day 1 Day 2 Day 3
Kick-Off Meeting
SEI Questionnaire Response
SEI Questionnaire Trend Analysis
Document Review
DocumentReview
Document Review
Scripting Assessment Questions
On-Site Notebook
Development
IntroductionCMM Training*
Organizational Overview
Assessment Activities
Walkthrough
Assessment Activities
Walkthrough
Project Selection
Finalize Assessment Planning and
Logistics
Training
* Additional CMM training as Required
CBA IPI Process FlowOn-site Period
Day 1 Day 2 Day 3 Day 4 Day 5
Project Leader Interviews
Functional Area Rep Interviews
Functional Area Rep Interviews
Consolidate Data
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
Assessment of any Key Process Area(KPA)
• 5 Components of Assessment of any Process:
– Commitment : organizational/management commitment
– Ability : availability of qualified/skilled resources
– Activity : specific functions performed
– Measurement : what and how status is recorded & gauged– Verification : what and how are the activities verified
This is where the assessors earns his/her “money” !!!
More Recent (2002) Data
• CBA IPIs and SPAs conducted since 1987 through Dec. 2001 and returned to SEI by Jan. 2002– 2164 assessments
• 1676 CBA IPIs (CMM-Based Assessment- Internal Process Improvement)
• 488 SPAs (Software Process Assessment)
– 1638 organizations• 8925 projects
• 456 participating companies
• 427 reassessed organizations
• Assessments conducted from 1997 through Dec. 2001– 1158 organizations (38% of which is offshore)
• 5624 projects
• 365 participating companies
Note: CMM was developed mostly from 1987 to 1997.
Types of Organizations by SIC (Standard Industry Classification) code
• 27.9% - Service Industry (business, engineering,health, etc.)
• 16.4 % - Manufacturing (electronic,printing,instruments,metal, chemical,etc.)
• 6.1% - Public Administration• 5.9% - Finance, Insurance, etc.• 4.5% - Transportation, Utility, etc.• 38.0% - off shore (non-SIC coded)• 1.2% - others
Note
Based on 1104 organizations who reported size (employees in software development & maintenance)
1 to 10045.9 %
201 to 2000+ 30.3%
101 to 200 23.8%
Personal Software Process(championed by W. Humphrey)
• Understanding the person’s individual – Productivity
– Skills
– Methodology
• Keeping track of the person’s individual– Efforts (e.g. requirements, design, coding, testing, etc.)
– Quality (errors and fixes)
• Allows improvements in– Estimation
– Task performance
CMMI (CMM Integrated)• CMMI model is a fairly recent extension/modification of CMM
(developed around 2002 and still growing & changing)• We are interested in CMMI for Software Engineering. (there
are others such as CMMI for Systems Engineering, Supplier Sourcing, and Integrated Product and Process Development)
• There are 2 models : i) Staged and ii) Continuous– Different levels
• 5 levels for Staged• 6 levels for Continuous
– 25 major processes grouped into 4 categories:• Organizational• Project management• Engineering• Support Category
– There are Goals and Practices for Each Process – to be satisfied for both models
Levels for Continuous versus Staged Models
– A. Continuous model has 6 capability levels where each process moves through these 6 different levels of capability:
• Level (0) Incomplete – not performed or partially performed• (1) Performed - perform the basic practice• (2) Managed - institutionalized process (performed according to policy)• (3) Defined - tailored & institutionalized specifically to the organization • (4) Quantitatively Managed – process is quantitatively managed• (5) Optimizing – process is continuously improved and adapted
– B. Staged model has 5 maturity levels (like traditional CMM) each of which contains different processes that must be mastered:
• Level (1) Initial• (2) Managed• (3) Defined• (4) Quantified• (5) Optimizing
Levels for Continuous versus Staged models in CMM I
Level 5
Level 4
Level 3
Level 2
Level 1
Level 0
Continuous(Capability Levels)
Staged(Maturity Levels)
Incomplete
Performed
Managed
Defined
Quantitatively Managed
Optimizing
Quantitatively Managed
Initial
Managed
Defined
Optimizing
- - - - - -
4 CMMI Process Areas• Process Management (5 processes)
– Organizational Process Focus– Organizational Process Definition– Organizational Training– Organizational Process Performance– Organizational Innovation and Deployment
• Project Management (8 processes)– Project planning– Project Monitoring and Control– Supplier Agreement Management– Integrated Project Management– Risk Management– Quantitative Project Management– Integrated Supplier Management – Quantitative Project Management
4 CMMI Process Areas (cont.)
• Engineering: (6 processes)– Requirements Management
– Requirements Development
– Technical Solution
– Product Integration
– Verification
– Validation
• Support: (6 processes)– Configuration Management
– Process and Product Quality Assurance
– Measurement and Analysis
– Organizational Environment for Integration
– Decision Analysis and Resolution
– Causal Analysis and Resolution
Capability Level by Process Areas forContinuous Representation
CapabilityLevels
0
1
2
3
4
5
ProcessArea 1
ProcessArea 2
ProcessArea 3
- - - - -
ProcessArea 25
For Continuous Model, each Process Area is Assessed at its own Level.So, we can compare process by process within an organization.
Relationships of Goals and Practices
ProcessArea 1
ProcessArea 25
- - - - - - - - - - - - - - - - -
SpecificGoal 1
SpecificGoal x- - - -
SpecificPractice 1
SpecificPractice w- - -
SpecificGoal 1
- - - - SpecificGoal z
GenericGoal 1
GenericGoal 5- - - -
GenericPractice 1
GenericPractice n
GenericPractice 1- - - - - - - -
SpecificPractice 1
SpecificPractice k
GenericPractice p
- - -
Achieving the “Capability Levels” by each Process Area in the Continuous Representation Model
Incomplete
Performed
Managed
Defined
Quantitatively Managed
Optimizing
CL0
CL1
CL2
CL3
CL4
CL5
+ (Specific Goals) +(Generic Goal 1)
+ (Generic Goal 2)
+ (Generic Goal 3)
+ (Generic Goal 4)
+ (Generic Goal 5)
Staged Model and Maturity Levels (MLs)
ML1:Initial
ML2:Managed
ML3:Defined
ML4:Quantitatively Managed
ML5:Optimizing
No Process
1. Requirements Mgmt, 2. Project Planning, 3. Configuration Mgmt, 4.Supplier Agreement Mgmt, 5. Project Monitoring & Cntrl,
6. Measurement & Analysis, 7. Process & Product QA
1. Req. Development, 2. Technical solutions, 3. Product Integration, 4. Verification, 5. Validation, 6. Organizational Process Focus, 7. Organiz. Process Definition, 8. Organiz. Training, 9. Integrated Proj. Mgmt, 10. Risk Mgmt, 11.Integrated Teaming, 12. Integrated Supplier Mgmt, 13. Decision Analysis and Resloution, 14. Organiz. Environment for Integration
1. Organizational Process Performance, 2. Quantitative Proj. Mgmt
1. Organizational Innovation & Deploy2. Causal Analysis & Resolution
May Use CMMI for 3 Separate Areas of Interest
1. Product and Service Development (CMMI for Development model)
2. Service Establishment, Management, and Delivery (CMMI for Services model)
3. Product and Service Acquisition (CMMI for Acquisition model)