Process Management Process Management in software started in late 1960’s (but informally and inconsistently) Software Engineering Institute (SEI) is the.

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)