Process Management

1
Process Management

• Software Engineering Institute (SEI)
• Watts Humphrey (retired IBMer who joined SEI) was
  the key proponent of
• (in sequential order)
• CMM
• Process maturity of organization
• Personal Software Process
• Process maturity of individual
• CMMI
• Follow-on to CMM

2
A Quick Overview of CMM

• How You May Want to Manage
• Toward Change Certification

3
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 1989

4
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

Improve
Control
Define
Measure
ExecuteProcess
Adapted from SEI
5
A 5 Step Approach to SoftwareProcess Improvement
(SPI)
IDEALSM
6
Meeting Your Business Goals With (some)Assessors
Products and Services
-Executive Briefing
Initiating
-Pre-Assessment Consulting
-Strategic Tactical Planning
-CMM Training
Diagnosing (Assessing)
-CMM Profiles(Pre-Assessments)
-CBA IPI
-Process Definition
-Process Templates
Establishing
-Action Planning Workshop
-SEPG Development Guidance
-KPA/Process Improvement Training
-Process Implementation Plan
Acting
-Post-Assessment Consulting
-Pilot Projects
Learning
-Measurement Programs
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Improvement Framework
Productivity and Quality
Optimizing - Level 5
Total Organization Involvement
Continuous Improvement
Managed - Level 4
Quantifiable Predictability
Quantitative Understanding
Defined - Level 3
Engineering Process
Consistency
Focus
Repeatable - Level 2
Management Process
Disciplined
Initial - Level 1
RISK
Chaos
Capability Maturity ModelSM Version 1.1
Behavioral Characteristics
8
Optimizing - Level 5
Improvement Framework
Managed - Level 4
Defect Prevention Technology Change Mgmt Process
Change Mgmt.
Productivity and Quality
Defined - Level 3
Quantitative Process Management Software Quality
Management
RISK
Organization Process Focus Organization
Process Definition Training Program
Integrated Software Management Software Product
Engineering Intergroup Coordination Peer
Reviews
Repeatable - Level 2
Requirements Management Software Project
Planning Software Project Tracking Oversight
Subcontract Management Software Quality
Assurance Software Configuration
Management
Initial - Level 1
Capability Maturity ModelSM Version 1.1
9
Why Use The CMM?

• Provides a framework for benchmarking the process
• 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

10
Reported Benefits
Results of Software Process Improvement in 13
Organizations
Category Range MedianProductivity gain per
year 9 - 67 35Early detection gain per
year 6 - 25 22 (defects discovered
pre-test) Yearly reduction in time to market 15
- 23 19Yearly 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 ----- 15 years ago
11
Process Maturity Spanning the Years
Level 3
Level 1
129 Organizations
Level 1
1987 - 1991
There was a 737 increase in the number of
organizations assessed from 1987 through 1998
951 Organizations
1998
1987 - 1991
1998
92
81
7
15
2
4
12
Trends in Process Maturity
Organizations Assessed 1987-1998
523 (55)
Year Org.
1987 - 1991 129 1992 219 1993 317 1994 414
1995 506 1996 632 1997 782 1998 951
Number of Assessments
247 (26)
143 (15)
28 (3)
10 (1)
Extracted from SEIs Process Maturity Profile
of the Software Community Assessments through
December 1998
13
Maturity Profile by Organization Type
Extracted from SEIs Process Maturity Profile
of the Software Community Assessments through
December 1998
14
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
• Collaborative
• Guidance on recommended process improvements
• Results forwarded to SEI
• Typically a 10 day activity

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CMMSM Profile
Projects Collect Documents
Select Projects
Identify Scope
Fill Out Questionnaire
Process Data
Kick-Off Meeting
Organizational Project Implementation
Review Documents
Project Leaders Middle Managers Practitioners SEPG
Interviews
Findings Presentation
Findings Next Steps
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CBA IPI Process Flow
17
CBA IPI Process Flow
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Assessment of any Key Process Area(KPA)

• Components of assessment
• Commitment organizational/management
  commitment
• Ability availability of resources
  and skills
• Activity specific functions performed
• Measurement what and how status is gauged
• Verification what and how are the activities
  verified

19
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

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Types of Organizations by SIC codeSIC (Standard
Industry Classification)

• 27.9 - Service Industry (business,
  engineering,health, etc.)
• 16.4 - Manufacturing (electronic,printing,instru
  ments,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
21
Based on 1104 organizations who reported size
(employees in software development maintenance)
201 to 2000 30.3
1 to 100 45.9
101 to 200 23.8
22
Personal Software Process

• Understanding the persons individual
• Productivity
• Skills
• Methodology
• Keeping track of the persons individual
• Efforts (e.g. requirements, design, coding,
  testing, etc.)
• Quality (errors and fixes)
• Allows improvements
• Estimation
• Task performance

23
CMMI (CMM Integrated)

• CMMI model is a fairly recent extension/modificati
  on of CMM
• 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

24
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

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Levels for Continuous versus Staged models in
CMM I
Optimizing
Optimizing
Level 5
Quantitatively Managed
Quantitatively Managed
Level 4
Level 3
Defined
Defined
Level 2
Managed
Managed
Level 1
Performed
Initial
- - - - - -
Level 0
Incomplete
Continuous (Capability Levels)
Staged (Maturity Levels)
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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

27
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

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Capability Level by Process Areas forContinuous
Representation
5
4
3
Capability Levels
2
1
0
- - - - -
Process Area 1
Process Area 2
Process Area 3
Process Area 25
For Continuous Model, each Process Area is
Assessed at its own Level. So, we can compare
process by process within an organization.
29
Relationships of Goals and Practices
Generic Practice 1
Generic Practice n
Generic Practice 1
- - - -
Generic Practice p
- - - -
Generic Goal 1
Generic Goal 5
- - - -
Process Area 1
Process Area 25
- - - - - - - - - - - - - - - - -
Specific Goal 1
Specific Goal z
Specific Goal 1
Specific Goal x
- - - -
- - - -
Specific Practice k
Specific Practice 1
Specific Practice 1
Specific Practice w
- - -
- - -
30
Achieving the Capability Levels by each
Process Area in the Continuous Representation
Model
Optimizing
CL5
(Generic Goal 5)
Quantitatively Managed
CL4
(Generic Goal 4)
CL3
Defined
(Generic Goal 3)
CL2
Managed
(Generic Goal 2)
Performed
CL1
(Specific Goals)
(Generic Goal 1)
Incomplete
CL0
31
Staged Model and Maturity Levels (MLs)
ML5Optimizing

• Organizational Innovation Deploy
• 2. Causal Analysis Resolution

ML4Quantitatively Managed

• Organizational Process Performance,
• Quantitative Proj. Mgmt

ML3Defined
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
ML2Managed
1. Requirements Mgmt, 2. Project
Planning, 3. Configuration Mgmt, 4.Supplier
Agreement Mgmt, 5. Project Monitoring Cntrl,
6. Measurement Analysis, 7. Process
Product QA
ML1Initial
No Process