CMMI-DEV® v1.3: Everything you need to know!
Jeff Dalton, President Broadsword, an SEI Partner SCAMPI Lead Appraiser CMMI Instructor Agile Envangelist ScrumMaster Visit me at “AskTheCMMIAppraiser.com
SCAMPI and CMMI are registered trademarks of Carnegie Mellon University All materials copyright © 2011 Broadsword Solutions Corporation unless otherwise noted. All rights reserved.
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Jeff Dalton President of Broadsword Cer4fied Lead Appraiser Cer4fied CMMI Instructor SCAMPI Candiidate Observer Co-‐Chair of the SEI Partner Board Author of AgileCMMI Methodology h#p://www.askTheCMMIAppraiser.com h#p://www.broadswordsolu;ons.com “You cut through the noise and get us to the solu4on” -‐ Client who named our company “Broadsword.”
Thinner without the beard . . .
Welcome back my friends . . . to the show that never ends!
Par%cipate! Ask ques%ons! Make comments!
This event will be more interesting if . . .
Actually, your phone is muted, because 100 people talking at once is annoying. You can ask ques4ons on my blog hPp://asktheCMMIAppraiser.com and I’ll answer within 24 hours.
A 2-‐hour webinar not an effec%ve subs%tute for the three-‐day Introduc%on to CMMI Class!
We are focusing on what you NEED to know!
Welcome!
Appraisals – Training – Consulting – Accelerators
The full presentation will be available on our website at:
http://www.broadswordsolutions.com/resources
• About the CMMI • History and Background • Maturity Levels • CMMI Model Architecture • Goals and Practices • CMMI v1.3 upgrade schedule • The Generic Practices • Process Areas • SCAMPI Appraisals and “Getting a Level”
What this Webinar is about . . .
The CMMI is not a death-‐march that saps your powers and transforms you in zombies . . . .
If you only remember ONE THING….
If you think that maybe you’ve been a victim . . .
. . . of a well-‐meaning, but bad, implementa%on
Clues that your implementation will be a disaster
Your boss says you need to “get a level” by Tuesday He/she says “we need to go right to Level Five” Two minutes after achieving Level Two someone says “When is Level three?” Your “consultant” says “the SEI makes you do . . . “ Your “consultant” says the “CMMI makes you do it” Anyone uses the expression “implementing CMMI” Two dozen consultants descend on your company to “do CMMI” to you No one has any idea why you’re “doing CMMI” but you’re doing it anyway No one can articulate what the organization is trying to achieve You’ve bought a tool that promises “CMMI in six months or less”
CMMI was intended to make your company GREAT!
Focus on the “Path to Greatness” and a nice certificate will likely follow . . .
I’ve heard CMMI is only for huge companies
What Maturity Level are most companies?
Can we get to ML3 by Tuesday?
• Capability Maturity Model Integration v1.3
– A model that defines how a great organization performs – Not a process, but a model that guides YOUR processes – Developed and supported by the SEI, a joint venture between the DOD and
Carnegie Mellon University – The SEI is a Federally Funded Research Center (FFRC) – CMMI evolved out of the SW-CMM – More complex in depth and breadth than SW-CMM
• Greater reach across the enterprise • More fully integrated around a product or project’s complete life-cycle • Twenty-two Process Areas (PA) • Hundreds of Specific Practices (SP’s) and Generic Practices (GPs)
– An accompanying Appraisal Method (“SCAMPI”) • SCAMPI is performed by Certified Lead Appraisers only! • To maintain your “level,” performed every three years • It is not a “Certification”
What is the CMMI?
CMMI: The Maturity Levels
Quantitatively Managed
Performed
Managed
Optimizing
Defined
Focus on process improvement 5
Process measured and controlled 4
Process characterized for the organization and is proactive
3
Process characterized for projects and is often reactive
2
Process unpredictable, poorly controlled and reactive
1
Staged Representation
Specific Goals
Maturity Levels
Generic Practices Specific
Practices
Generic Goals
Process Area
Basic Architecture of the CMMI
Staged Representation
Specific Goals
Maturity Levels
Generic Practices Specific
Practices
Generic Goals
Process Area
Process Areas
A Process Area is a “cluster of related practices.” There are 22 Process Areas in CMMI-DEV. • ML2 has seven PAs • ML3 has eleven PAs • ML4 has two PA’s • ML5 has two PA’s It does not represent a Process! They are simply a way to organize the information!
Process Areas by Maturity Level
Quality Productivity
Level Focus Process Area
5 Optimizing Continuous Process Improvement
• Organizational Performance Management • Casual Analysis & Resolution
4 Quantitatively Managed
Quantitative Management
• Organizational Process Performance
• Quantitative Project Management
3 Defined Process Standardization
• Requirements Development • Technical Solutions • Product Integration • Verification • Validation • Organizational Process Focus
• Organizational Process Definition • Organizational Training • Integrated Project Management • Risk Management • Decision Analysis & Resolution
2 Managed Basic Project Management
• Requirements Management • Project Planning • Project Monitoring & Control • Supplier Agreement Management
• Measurement & Analysis • Process & Product Quality Assurance • Configuration Management
1 Initial
Staged Representation
Specific Goals
Maturity Levels
Generic Practices Specific
Practices
Generic Goals
Process Area
Specific Goals
Specific Goals represent “what” things that need to be achieved. - Create estimates - Develop plans - Design products - Review designs
These represent work practitioners perform and are considered a “required” component of the CMMI
Specific Goals (ML2)
Requirements Management (REQM) SG1: Manage Requirements
Project Planning (PP) SG1: Establish Estimates
SG2: Develop a Project Plan
SG3: Obtain Commitment to the Plan
Project Monitoring & Control (PMC) SG1: Monitor Project Against Plan
SG2: Manage Corrective Action to Closure
Measurement & Analysis (MA) SG1: Align Measurement and Analysis Activities
SG2: Provide Measurement Results
Process & Product Quality Assurance (PPQA)
SG1: Objectively Evaluate Processes & Work Products
SG2: Provide Objective Insight
Configuration Management (CM) SG1: Establish Baselines
SG2: Track and Control Changes
SG3: Establish Integrity
Staged Representation
Specific Goals
Maturity Levels
Generic Practices Specific
Practices
Generic Goals
Process Area
Generic Goals
Generic Goals represent what we need to achieve to make our Process useful, successful, and part of our culture. 1) Achieve Specific Goals 2) Institutionalize a “Managed” process 3) Institutionalize a “Defined” process
Generic Goals are related to ML 1-3
Performed
Managed
Defined Process characterized for the organization and is proactive
3
Process characterized for projects and is often reactive
2
Process unpredictable, poorly controlled and reactive
1
Staged Representation
Specific Goals
Maturity Levels
Generic Practices Specific
Practices
Generic Goals
Process Area
Specific Practices
Specific Practices represent BEHAVIORS (“what they do”) that engineers and project managers exhibit. “size a project” “participate in a peer review” “design a piece of software” “review status with team” These are considered “expected” components
Specific Practices (Verification)
Specific Practice 2.1 à Prepare for Peer Reviews Specific Practice 2.2 à Conduct Peer Reviews Specific Practice 2.3 à Analyze Peer Review Data
Staged Representation
Specific Goals
Maturity Levels
Generic Practices Specific
Practices
Generic Goals
Process Area
Generic Practices
Generic Practices represent ATTRIBUTES of your process that will make it useful and successful. “train people” “assign responsibility” “provide resources”
Generic Practices – ML2
Generic Practice 2.1 à Establish an organization Policy Generic Practice 2.2 à Plan the Process Generic Practice 2.3 à Provide Resources Generic Practice 2.4 à Assign Responsibility Generic Practice 2.5 à Train People Generic Practice 2.6 à Control Work Products Generic Practice 2.7 à Identify and Involve Relevant Stakeholders Generic Practice 2.8 à Monitory and Control the Process Generic Practice 2.9 à Objectively Evaluate Adherence Generic Practice 2.10 à Review Status with Higher Level Management
Jeff’s Rules of Thumb
Don’t think of the CMMI as “things you are forced to do,” overhead, or “filling out forms. It was not intended this way! If this is what you think, someone didn’t do their job. Think of the CMMI as guidelines that were gathered from 100s of successful projects to help you develop processes that will replicate that success. If you follow the “Path to Greatness” you WILL achieve a Maturity Level!
Level 1 - Performed
Level 2 - Managed
Level 3 - Defined
Project
Initiate Plan Design Execute
Initiate Plan Design Execute
In
In
In
Out
Out
Out
Another perspective - Visibility By increasing visibility we can better predict what will happen, reduce our risk, and avoid serious issues.
CMMI v1.3 Upgrade Timeline
November 2010 CMMI v1.3 is
Released
You can conduct either a CMMI v1.2 OR v1.3 Appraisal
using SCAMPI v1.2
March 2011 SCAMPI v1.3 Is Released
You can conduct
either a CMMI v1.2 OR v1.3 Appraisal
using SCAMPI v1.2 OR SCAMPI v1.3
(just to keep it simple)
November 2011 CMMI v1.2 is
toast!
You can conduct ONLY a CMMI v1.3
Appraisal using EITHER SCAMPI v1.2
OR SCAMPI v1.3
March 2012 SCAMPI v1.3
Follows
Finally! Everything is in Harmony!
CMMI and SCAMPI
= v1.3
Q410 Q111 Q411 Q112
(Will Hays)
FI LI NI
So, c’mon Jeff, get to the details
I’m busy here!
Here’s comes the MOST IMPORTANT part of the
CMMI Model!
The Generic Practices
The Generic Practices (GP’s) represent the most important part of the model – and poor implementation will ALWAYS lead to
process failure.
Remember overhead, filling out forms, and useless process? You can avoid them with the Generic Practices.
• Generic Practice 2.1 – Establish an Organizational Policy
– This policy establishes organizational expectations for performing the process for all practitioners
• Generic Practice 2.2 – Plan the Process
– Establish and maintain the plan for performing the process • For example, the plan for performing the measurement and analysis
process could be included in the project plan
• Generic Practice 2.3 – Provide Resources
– Provide adequate resources for performing the process, developing the work products, and providing the services of the process
• For example, process quality personnel may be employed full-time or part-time
• A measurement group may or may not exist to support measurement activities across multiple projects
– Examples of other resources provided include • Statistical packages, software, and computers • Packages that support data collection over networks
• Generic Practice 2.4 – Assign Responsibility
– Assign responsibility and authority for performing the process, developing the work products, and providing the services of the process.
– For example, who leads a JAD workshop, who performs estimates?
• Generic Practice 2.5 – Train People
– Train the people performing or supporting the process
– For example: • Project Managers are trained in estimating and planning • BA’s are trained in requirement traceability and running JAD
workshops • Engineers are trained to perform peer reviews
• Generic Practice 2.6 – Control Work Products
– Place designated work products of the process under appropriate levels of configuration management
– Examples of work products placed under configuration management include
• Specifications of base and derived measures • Data collection and storage procedures • List of configuration items • Design tempaltes
• Generic Practice 2.7 – Identify and Involve Relevant Stakeholders
– Identify and involve relevant stakeholders of the process as planned
– Examples: – Who attends reviews? – What was their participation – Was anyone there who should not be there? – Who consistently doesn’t show up?
• Generic Practice 2.8 – Monitor and Control the Process
– Monitor and control the process against the plan for performing the process and take appropriate corrective action
– How is the process performing? – Are we getting the results we expected? – How can we make it better?
• Generic Practice 2.9 – Objectively Evaluate Adherence
– Objectively evaluate adherence of the process against its process description, standards, and procedures, and address noncompliance
– Examples:
• Are people using the process? • How could they get more value out of it? • What did we do wrong?
• Generic Practice 2.10 – Review Status with Higher Level Management
– DOES MANAGEMENT CARE?
• Generic Practice 3.1 – Establish a Defined Process
– Define how each process is going to be performed within the context of the project
• Generic Practice 3.2 - Collect Process Related Experiences – Collect ways of “doing it better” next time.
A few minutes on the Process Areas
Quality Productivity
Level Focus Process Area
5 Optimizing Continuous Process Improvement
• Organizational Performance Management • Casual Analysis & Resolution
4 Quantitatively Managed
Quantitative Management
• Organizational Process Performance
• Quantitative Project Management
3 Defined Process Standardization
• Requirements Development • Technical Solutions • Product Integration • Verification • Validation • Organizational Process Focus
• Organizational Process Definition • Organizational Training • Integrated Project Management • Risk Management • Decision Analysis & Resolution
2 Managed Basic Project Management
• Requirements Management • Project Planning • Project Monitoring & Control • Supplier Agreement Management
• Measurement & Analysis • Process & Product Quality Assurance • Configuration Management
1 Initial
You can download the entire CMM model free at www.broadswordsolutions.com/resources
APPRAISALS!
SCAMPI v1.3 – the Appraisal Method
Standard
Process
CMMI
Appraisal
Method for
Improvement
Findings, Recom
mendations
Actual Practice
Appraisal Requirements
Organizational Process Suite
Appraisal Team
Organization/Projects
CMMI +
MDD
Unlike CMMI, SCAMPI is a Process, not a Process Model. So, it is a “HOW-‐TO” and a “WHAT-‐TO” But it is not a “WHY-‐TO” Mature, Agile organiza4on’s strive to understand the “WHY!” To earn a Maturity Level, successfully complete a SCAMPI “A” Must be performed every three years
What is this thing . . . called SCAMPI*?
But what is it really? Is it an Audit?
One 4me I followed a Lead Appraiser that insisted on seeing a work product for each Prac4ce . . . Each SUB Prac4ce! Ahhhhhh!
Secret Projects
ATM’s worked 12-‐14 hour days all week!
It drove all the wrong behaviors, wasted money, and made them hate CMMI!
But what is it really? Is it an Exam?
I followed another Lead Appraiser that tested each prac44oner by having them recite the Generic Prac4ces… Backwards! Ouch!
Talk about looking for data in all the wrong places!
It’s really about LEARNING about ourselves
“Wow! We Planned and that project turned out to be faster! AWWWESOME!”
Appraisal Fundamentals
• Start with a process reference model
• Approach the appraisal collaboratively
• Use a defined appraisal method
• Involve senior management as an appraisal sponsor
• Observe non-attribution
Select a Maturity Level or PA to Appraise
Quantitatively Managed
Performed
Managed
Optimizing
Defined
Focus on process improvement 5
Process measured and controlled 4
Process characterized for the organization and is proactive
3
Process characterized for projects and is often reactive
2
Process unpredictable, poorly controlled and reactive
1
Decide which Class of Appraisal
Characteristics Class A Class B Class C
Amount of objective evidence gathered
(relative) High Medium Low
Ratings generated Yes No No
Resource needs (relative)
High Medium Low
Team size (relative)
Large Medium Small
Appraisal Team Leader Requirements
Lead Appraiser
Lead Appraiser or B/C Team
Leader
Lead Appraiser or B/C Team
Leader
Introduc4on of Standard (Required) Sampling Factors:
• Loca4on – Where is the work being performed?
• Customer – Who is it being performed for?
• Funding Source – Who is funding the work?
• Management Structure – Who leads what work?
• Type of Work being Performed – Sofware, engineering?
Understand and Apply Sampling Rules
These factors will determine the “Sub Groups” that are part of the sample. Think of these as “virtual divisions” or the Organiza4onal Unit.
Sampling Factors (example)
Three large
Projects for IT
Four small
projects for the DOD
8 Projects for the
IRS
3 projects
from Newark
1 project for
marketing
Organizational Unit
Each of these examples is a “sub group” and each has within it “basic units.” Think of these as Projects are support groups (like SEPG teams). Still with me?
Sampling Formula . . . Seriously.
Minimum number of Basic Units to be selected from a given subgroup
Number of Subgroups
Number of Basic units in a given Subgroups
Total number of Basic Units =
X
The “three project minimum” rule is gone forever….
This is very bad news for professional level-seekers. You know who you are!
Plan the Appraisal (whew!)
Obtain & Examine Artifacts
Plan, Prepare, and Train
Conduct Interviews
Consolidate & Analyze Data
Prepare Findings
Validate Findings
Present Results
PA/Goal Findings
D1 D2 D3 D4 D6 D7 D5
Participants Briefing
Month 3 Month 1 Month 2
SCAMPI Appraisal Team Fundamentals Fairly & honestly appraise process performance using CMMI as a benchmark
Have fun!
• Do not judge or audit work performance
• Take opinions into consideration ONLY when debating the Objective Evidence and its compliance with CMMI
Make positive observations
Maintain confidentiality
• Remember, there is no “passing” of “failing”
• Classify observations as areas of “strength” or areas of “weakness” • Do not classify anything (observations, performance, etc.) as “good” or “bad”
• Destroy detailed notes about interviews once the findings have been completed • Do not attribute comments or “weaknesses” to any individual or team
• Do not reveal the status of any interviews or findings until they are complete
• Strive to work normal hours
• Remember, this work is contributing to the improvement of the work environment • Consider participation as a career enhancement for the whole team
• Good humor is mandatory and must be enforced!
Affirmations
What to Expect at the Appraisal
Documents
Presentations
Appraisal Interviews
• Project Manager (and other project team members, as necessary)
• One or more 60-90 minute interviews
• Specific questions focused on the project and all process areas under appraisal
• General responses, not project specific, to verify process adoption at the organizational level
Project Interviews Functional Area Representative (FAR) Interviews
• Teams of practitioners in similar roles: Project Managers (5-10) Engineers/Developers (5-10) Line Managers Sponsor(s) Requirements/Test (5-10)
• Broad questions focused on roles and associated responsibilities
• One or more 60-90 minute interviews
• Specific responses to verify process adoption at the project level
Ex: Possible Objective Evidence
PP SP1.1: Outputs and artifacts:
• top-level workplan • task descriptions • work package descriptions
Affirmations: • “I worked on the PM team” • “We used a workplan”
Supporting artifacts: • meeting minutes • team charter • WBS development notes
to estimate the scope of the project. Establish a top-level work breakdown structure (WBS)
Characterizing Practice Implementation
Implementation Characterization
Description
Fully Implemented (FI) • Appropriate artifacts and affirmations present • No weaknesses noted
Largely Implemented (LI) • Appropriate artifacts and affirmations present
• One or more weaknesses noted
Partially Implemented (PI)
• Artifacts absent or judged inadequate
• affirmations indicate some aspects of the practice are implemented
• One or more weaknesses noted
Not Implemented (NI) • Any situation not covered by above
Planning • Data collec4on planning is now required • New Data Sufficiency rules to replace “Focus” and “non-‐Focus” concepts • All teams must be trained for EACH appraisal • Team must meet at least ONCE before each appraisal • Experience requirement excludes Lead Appraiser! • Plan and submit to appraisal record to SAS at LEAST 30 days in advance* • Lead Appraisers can only perform 3 SCAMPI A’s per quarter* Evidence • Indirect and Direct Evidence is OUT! Whooo hooo! Oh wait. • Now we have just “Ar4fact” and “Affirma4on.” *these were actually slip-‐streamed into v1.2 in 2010.
Some changes to SCAMPI v1.3
The CMMI is NOT a process, it’s a model that guides you in developing your process and engineering approach The CMMI is about changing your culture – not about filling out forms! The CMMI should be used to make your company great! Forget about levels (as much as possible) The Generic Prac%ces are what make you successful (see above) Involve Senior Management for the beginning Have a clear vision of WHY you are trying to “achieve a Level” Engage with a Lead Appraiser 6-‐12 months prior to your target
So now you know enough to get started!
My advice? Focus on Learning – not Levels!
Now that we’re mature can I borrow the car?
What? This wasn’t enough for you? APend one of the classes on our CMMI ROAD SHOW! Sept 14th – 16th Introduc4on to CMMI v1.3 Huntsville, AL Nov 2nd – 3rd Introduc4on to CMMI 1.3 Troy, MI . . . or aPend another one of our FREE Webinars! The next one is:
July 8th The Secrets of SCAMPI Appraisals
Click over to www.broadswordsolu4ons.com today and register!
Thank you!
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