Process Management

1. 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

2. A Quick Overview of CMM (How You May Want to “Manage” 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 since1987

4. Process Management Premise • An undefinedprocess cannot be controlled (or measured) • An uncontrolledprocess cannot be improved • Attempting to improve an unstable process yields further instability Improve start Control Define Measure ExecuteProcess Adapted from SEI

5. A 5 Step Approach to Software Process Improvement (SPI) IDEALSM

6. Meeting Your Business (SPI) Goals With (some)Assessor’sProducts and Services -Executive Briefing Initiating -Pre-Assessment Consulting -Strategic &Tactical Planning -CMM Training Diagnosing (Assessing) -CMM Profiles(Pre-Assessments) -CBA -IPI (CMM based- internal process improvement assessment) -Process Definition Establishing -Process Templates -Action Planning Workshop -SEPG Development & Guidance -KPA/Process Improvement Training Acting -Process Implementation Plan -Post-Assessment Consulting Learning -Pilot Projects -Measurement Programs

7. 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: (no process!) Capability Maturity ModelSM Version 1.1

9. 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

10. Early Reported Benefits Results of Software Process Improvement in 13 Organizations Category Range MedianProductivity 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

11. Legend Level 1 Level 2 Level 3 Level 4 Level 5 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 SEI’s Process Maturity Profile of the Software Community Assessments through December 1998

13. Maturity Profile by Organization Type * Extracted from SEI’s 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% time/effort • Collaborative • Guidance on recommended process improvements • Results forwarded to SEI • Typically a 10 day activity

15. Legend = Activities completed prior to on-site visit CMMSM Profile (start) Projects Collect Documents Select Projects Process Data Fill Out Questionnaire Identify Scope Kick-Off Meeting -Organizational -Project -Implementation Review Documents -Project Leaders -Middle Managers -Practitioners -SEPG Interviews Findings Presentation -Findings -Next Steps

16. Training Pre Assessment Period Day 1 Day 2 Day 1 Day 2 Day 3 Kick-Off Meeting SEI Questionnaire Response SEI Questionnaire Trend Analysis Document Review Introduction CMM Training* Organizational Overview Assessment Activities Walkthrough Assessment Activities Walkthrough Project Selection Finalize Assessment Planning and Logistics Document Review Document Review Scripting Assessment Questions On-Site Notebook Development * Additional CMM training as Required CBA IPI Process Flow

17. On-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 CBA IPI Process Flow

18. Assessment of any Key Process Area(KPA) This is where the assessors earns his/her “money” !!! • 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

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 Note: CMM was developed mostly from 1987 to 1997.

20. 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

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(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

23. 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

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

25. 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)

26. 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

28. 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. Generic Practice 1 Generic Practice n Generic Practice 1 - - - - Generic Practice p Relationships of Goals and Practices - - - - 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 CL5 Optimizing + (Generic Goal 5) CL4 Quantitatively Managed + (Generic Goal 4) CL3 Defined + (Generic Goal 3) CL2 Managed + (Generic Goal 2) CL1 Performed + (Specific Goals) +(Generic Goal 1) CL0 Incomplete

31. Staged Model and Maturity Levels (MLs) ML5:Optimizing • Organizational Innovation & Deploy • 2. Causal Analysis & Resolution ML4:Quantitatively Managed • Organizational Process Performance, • Quantitative Proj. Mgmt ML3:Defined 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 ML2:Managed 1. Requirements Mgmt, 2. Project Planning, 3. Configuration Mgmt, 4.Supplier Agreement Mgmt, 5. Project Monitoring & Cntrl, 6. Measurement & Analysis, 7. Process & Product QA ML1:Initial No Process

32. May Use CMMI for 3 Separate Areas of Interest • Product and Service Development (CMMI for Development model) 2. Service Establishment, Management, and Delivery (CMMI for Servicesmodel) 3. Product and Service Acquisition (CMMI for Acquisition model)