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Author : Đoàn Đức Đề
E-mail: dedoan@gmail.com
Cell phone: (+084)938491888
INTRODUCTION TO CMMI
FOR
DEVELOPMENT VERSION 1.3
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►Process Improvement Concepts
►The CMMI Product Suite
►Business Benefits of CMMI
►Contents of the CMMI Model Document
►Model Representations
►Generic Goals and Practices
►Q&A
Agenda
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PROCESS IMPROVEMENT CONCEPTS
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Process Improvement Concepts
What is Process?
How do you define process?
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General Definitions of Process
Sequence of steps
performed for a
given purpose.
Logical organization
of people, materials,
energy, equipment,
and procedures into
work activities
designed to produce
a specified end
result.
A set of interrelated
activities, which
transform inputs
into outputs, to
achieve a given
purpose.
Pall, Gabriel A. Quality Process
Management. Englewood Cliffs, N.J.:
Prentice Hall, 1987.
IEEE PALL CMMI GLOSSARY
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Quality Leverage Points
While process is often described as a node of the process-people-
technology triad, it can also be considered the “glue” that ties the triad
together.
Everyone realizes the importance of having a motivated, quality work
force but even our finest people cannot perform at their best when the
process is not understood or operating at its best.
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Evolutionary Improvement Path
INSTITUTIONALIZED
IMPROVED
AD HOC
Improvised by
practitioners and their
management
Defined, documented,
and continuously
improved
“That’s the way we do
things around here.”
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What Is a Process Model?
A process model is a structured collection of practices that
describes the characteristics of effective processes.
Practices included are those proven by experience to be effective.
Process Model
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CMMI is a Process Model use in process improvement activities
as:
collection of best practices
framework for organizing and prioritizing activities
support for the coordination of multi-disciplined activities that
might be required to successfully build a product
means to emphasize the alignment of the process improvement
objectives with organizational business objectives
CMMI Process Model
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Processes enable you to understand what is going on.
By defining, measuring, and controlling the process, improvements
are more successful and sustained.
The likelihood that appropriate technology, techniques, and tools
are introduced successfully increases.
People develop their potential more fully and are more effective
within the organization.
Benefits of Improving Processes
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CMMI PRODUCT SUITE
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The CMMI Framework
The CMMI Framework is the basic structure that organizes
CMMI components, including common elements of the current
CMMI models, as well as rules and methods for generating
models, appraisal methods, and training materials.
Model
Appraisal
Methods
Training
Subset of the CMMI Product Suite relevant
to improvement in a particular area of
interest.
Complete set of products
developed around the
CMMI concept.
Development
Model
Training
CMMI Product Suite Constellations
Acquisition
Model
Training
Services
Model
Training
Appraisal
Methods
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Three Complementary Constellations
Shared
PA
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Note
A CMMI model is not a process.
A CMMI model describes the
characteristics of effective processes.
“All models are wrong,
but some are useful.”
— George Box
(Quality and Statistics Engineer)
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The Appraisal Method
Appraisal
Team
CMMI and SCAMPI Method
Appraisal Requirements
Organization Projects
Lessons Learned/Improvements
Organizational Processes
Findings, Recommendations
Actual Practice
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Appraisal Method Classes
Requirements Class A Class B Class C
Types of Objective
Evidence Gathered
Documents
and
interviews
Documents
and
interviews
Documents or
interviews
Ratings Generated Goal ratings
required
Not allowed Not allowed
Organizational Unit
Coverage
Required Not required Not required
Minimum Team Size 4 2 1
Appraisal Team
Leader Requirements
Lead
Appraiser
Person
trained and
experienced
Person
trained and
experienced
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The SEI Training for CMMI
* These courses address CMMI-DEV.
Services
Supplement for
CMMI-DEV, V1.3
Acquisition
Supplement for
CMMI-DEV, V1.3
CMMI Level 2
for
Practitioners*
CMMI Level 3
for
Practitioners*
Understanding
CMMI High
Maturity
Practices
Intermediate
Concepts of
CMMI, V1.3*
SCAMPI Lead
Appraiser
Training
CMMI, V1.3
Instructor
Training*
Introduction to
CMMI-DEV, V1.3
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BUSINESS BENEFITS OF CMMI
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Impacts: Costs and Benefits of CMMI
OUT
IN
BENEFITS
• Investments
• Expenses
• Cost
• Schedule
• Productivity
• Quality
• Customer
Satisfaction
Process
Capability and
Organizational
Maturity
Return on
Investment
and Cost
Benefits
COSTS
ROI
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Benefits of CMMI - Performance Measures
The performance results in the following table are from 30 different
organizations that achieved percentage change in one or more of
the six categories of performance measures below.
Performance Category Median Improvement
Cost 34%
Schedule 50%
Productivity 61%
Quality 48%
Customer Satisfaction 14%
Return on Investment 4:1
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Benefits of CMMI - Defect
The organization 3H Technology, with a little over 2 years of CMMI-
based process improvement, showed significant improvement in
average number of defects found.
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Benefits of CMMI - schedule variance
The Software Maintenance Group at Warner Robins Air Logistics
Center, a maturity level 5 organization, significantly reduced schedule
variance.
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Real World Benefits: Bosch Gasoline Systems
CMM-based improvements
Predictability – internal on-time delivery improved by 15%
Less Rework – first pass yield improved by 10%
Product Quality – reduction in error cases in the factory by one
order of magnitude
From Critical success factors for improvement in a large embedded systems organisation.
Wolfgang Stolz, Robert Bosch GmbH Gasoline Systems GSEC/ ESP and Hans-Jü rgen Kugler, Q-
Labs Software Engineering, ESEPG 2003.)
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The Bottom Line
Process improvement should
be done to help the business—
not for its own sake.
“If you can’t describe what
you are doing as a process,
you don’t know what
you’re doing.”
— W. Edwards Deming
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Contents of the CMMI Model Document
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CMMI for Development Model Document Contents
Note 1: Chapter 6 is in the Addison Wesley book. It does not appear in the technical report
form of the model.
Generic Goals
and Generic Practices,
and the Process Areas
Part Two
A. References
B. Acronyms
C. CMMI V1.3 Project
Participants
D. Glossary
Part Three
The Appendices
Part One
About CMMI for
Development
Preface
1. Introduction
2. Process Area Components
3. Tying It All Together
4. Relationships Among
Process Areas
5. Using CMMI Models
6. Essays and Case Studies
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Process Areas (PAs) - 1
The 22 process areas (in alphabetical order by acronym) are
Causal Analysis and Resolution CAR
Configuration Management CM
Decision Analysis and Resolution DAR
Integrated Project Management IPM
Measurement and Analysis MA
Organizational Process Definition OPD
Organizational Process Focus OPF
Organizational Performance Management OPM
Organizational Process Performance OPP
Organizational Training OT
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Process Areas (PAs) - 2
Product Integration PI
Project Monitoring and Control PMC
Project Planning PP
Process and Product Quality Assurance PPQA
Quantitative Project Management QPM
Requirements Development RD
Requirements Management REQM
Risk Management RSKM
Supplier Agreement Management SAM
Technical Solution TS
Validation VAL
Verification VER
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Process Areas – Process Management
Organizational
Process
Definition
(OPD)
The purpose of OPD is to establish and
maintain a usable set of organizational
process assets, work environment standards,
and rules and guidelines for teams.
Organizational
Process Focus
(OPF)
The purpose of OPF is to plan, implement,
and deploy organizational process
improvements based on a thorough
understanding of current strengths and
weaknesses of the organization’s processes
and process assets.
Organizational
Performance
Management
(OPM)
The purpose of OPM is to proactively manage
the organization’s performance to meet its
business objectives.
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Process Areas – Process Management - 1
Organizational
Process
Performance (OPP)
The purpose of OPP is to establish and maintain a
quantitative understanding of the performance of selected
processes in the organization’s set of standard processes in
support of achieving quality and process performance
objectives, and to provide process performance data,
baselines, and models to quantitatively manage the
organization’s projects
Organizational
Training (OT)
The purpose of Organizational Training (OT) is to develop
skills and knowledge of people so they can perform their
roles effectively and efficiently
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Process Area – Project management 1
Integrated Project
Management (IPM)
The purpose of IPM is to establish and manage the project
and the involvement of relevant stakeholders according to
an integrated and defined process that is tailored from the
organization’s set of standard processes.
Project Monitoring
and Control (PMC)
The purpose of PMC is to provide an understanding of the
project’s progress so that appropriate corrective actions
can be taken when the project’s performance deviates
significantly from the plan.
Project Planning
(PP)
The purpose of PP is to establish and maintain plans that
define project activities.
Supplier Agreement
Management
(SAM)
The purpose of SAM is to manage the acquisition of
products and services from suppliers.
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Process Area – Project management 2
Quantitative Project
Management
(QPM)
The purpose of QPM is to quantitatively manage the
project to achieve the project’s established quality and
process performance objectives
Requirements
Management
(REQM)
The purpose of REQM is to manage requirements of the
project’s products and product components and to ensure
alignment between those requirements and the project’s
plans and work products.
Risk Management
(RSKM)
The purpose of RSKM is to identify potential problems
before they occur so that risk handling activities can be
planned and invoked as needed across the life of the
product or project to mitigate adverse impacts on
achieving objectives
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Process Area - Engineering
Requirements
Development (RD)
The purpose of Requirements Development (RD) is to
elicit, analyze, and establish customer, product, and
product component requirements.
Technical
Solution(TS)
The purpose of Technical Solution (TS) is to select, design,
and implement solutions to requirements..
Product Integration
(PI)
The purpose of Product Integration (PI) is to assemble the
product from the product components, ensure that the
product, as integrated, behaves properly (i.e., possesses the
required functionality and quality attributes), and deliver
the product.
Verification(VER) The purpose of Verification (VER) is to ensure that selected
work products meet their specified requirements
Validation(VAL) The purpose of Validation (VAL) is to demonstrate that a
product or product component fulfills its intended use
when placed in its intended environment.
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Process Area - Support
Causal Analysis and
Resolution (CAR)
The purpose of CAR is to identify causes of selected
outcomes and take action to improve process performance
Configuration
Management (CM)
The purpose of CM is to establish and maintain the
integrity of work products using configuration
identification, configuration control, configuration status
accounting, and configuration audits.
Decision Analysis
and Resolution
(DAR)
The purpose of DAR is to analyze possible decisions using a
formal evaluation process that evaluates identified
alternatives against established criteria.
Measurement and
Analysis (MA)
The purpose of MA is to develop and sustain a
measurement capability used to support management
information needs.
Product Quality
Assurance (PPQA)
The purpose of PPQA is to provide staff and management
with objective insight into processes and associated work
products.
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Structure of Process Area Components
Expected
Informative
Required
Specific
Practices
(SP)
Generic
Practice
Elaborations
Subpractices
Subpractices
Example Work
Products
Introductory
Notes
Related
Process Areas
Purpose
Statement
Generic Goals
(GG)
Specific Goals
(SG)
Generic
Practices
(GP)
Process
Area (PA)
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Process Area Contents
All process areas contain the following
Purpose Statement
Introductory Notes
Related Process Areas
Specific Goal and Practice Summary
Specific Practices by Goal
Specific Goals and Specific Practices
Generic Practices by Goal
Generic Goals and Generic Practices
In “Generic Goals and
Generic Practices”
section in the model.
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Process Area Components -1
Expected
Informative
Required
Specific
Practices
(SP)
Generic
Practice
Elaborations
Subpractices
Subpractices
Example Work
Products
Introductory
Notes
Related
Process Areas
Purpose
Statement
Generic Goals
(GG)
Specific Goals
(SG)
Generic
Practices
(GP)
Process
Area (PA)
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Purpose Statement
Describes the purpose of the process area
Project Planning example
Purpose
The purpose of Project Planning (PP) is to establish and maintain plans
that define project activities.
DESCRIPTION
EXAMPLE
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Introductory Notes
This section describes the major concepts covered in the
process area.
Project Planning example
Planning includes estimating the attributes of work products and
tasks, determining the resources needed, negotiating
commitments, producing a schedule, and identifying and
analyzing project risks.
DESCRIPTION
EXAMPLE
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Related Process Areas
This section lists references to related process areas and
reflects the high-level relationships among the process areas.
Project Planning example
Refer to the Risk Management process area for more information
about identifying and analyzing risks and mitigating risks.
DESCRIPTION
EXAMPLE
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The titles of the specific goals and specific practices for that
process area are summarized at the beginning of each process
area.
Specific Goal and Practice Summary
Project Planning example
SG 1 Establish Estimates
SP 1.1 Estimate the Scope of the Project
SP 1.2 Establish Estimates of Work Product and Task Attributes
SP 1.3 Define Project Lifecycle Phases
SP 1.4 Estimate Effort and Cost
DESCRIPTION
EXAMPLE
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Expected
Informative
Required
Process Area Components -2
Specific
Practices
(SP)
Generic
Practice
Elaborations
Subpractices
Subpractices
Example Work
Products
Introductory
Notes
Related
Process Areas
Purpose
Statement
Generic Goals
(GG)
Specific Goals
(SG)
Generic
Practices
(GP)
Process
Area (PA)
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A specific goal is a required model component that describes
the unique characteristics that must be present to satisfy the
process area.
Specific Goals (SGs)
Project Planning example
SG 1: Estimates of project planning parameters are established and
maintained.
Specific goals are numbered starting with the prefix SG (e.g., SG 1). The
number is only there to uniquely identify the goal.
DESCRIPTION
EXAMPLE
NUMBERING
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Project Planning example
SP 1.4: Estimate the project’s effort and cost for work products
and tasks based on estimation rationale.
Specific Practices (SPs)
Specific practices are expected model components that are
considered important in achieving the associated specific goal.
Specific practices are of the form SP x.y where
x is the same number as the goal to which the specific practice maps.
y is the sequence number of the specific practice under the specific goal.
DESCRIPTION
EXAMPLE
NUMBERING
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Example work products are informative model components that
provide sample outputs from a specific practice.
Example Work Products
For example, project cost estimates might be an example work
product for the Project Planning specific practice SP 1.4,
“Estimate the project’s effort and cost for work products and
tasks based on estimation rationale.”
DESCRIPTION
EXAMPLE
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Subpractices are informative model components that provide
guidance for interpreting and implementing specific or generic
practices.
Subpractices
The following is an example of a subpractice from the “Identify
and analyze project risks” specific practice (SP 2.2) in the Project
Planning process area:
3. Review and obtain agreement with relevant stakeholders on
the completeness and correctness of documented risks.
DESCRIPTION
EXAMPLE
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Expected
Informative
Required
Process Area Components - 3
Specific
Practices
(SP)
Generic
Practice
Elaborations
Subpractices
Subpractices
Example Work
Products
Introductory
Notes
Related
Process Areas
Purpose
Statement
Generic Goals
(GG)
Specific Goals
(SG)
Generic
Practices
(GP)
Process
Area (PA)
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Generic goals are required model components that describe
characteristics that must be present to institutionalize
processes that implement a process area.
Achievement of a generic goal in a process area signifies
improved control in planning and implementing the processes
associated with that process area.
Generic goals are called generic because the same goal
statement applies to multiple process areas.
Generic Goals (GGs) -1
Generic goal example
The process is institutionalized as a defined process.
DESCRIPTION
EXAMPLE
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Generic goals are numbered starting with the prefix GG (e.g., GG 2).
The number corresponds to the capability level of the GG.
Note: We will talk more about generic goals in Module 4.
Generic Goals (GGs) -2
NUMBERING
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Generic practices are expected model components that are
considered important in achieving the associated generic goal.
Generic practices are called generic because the same practice
appears in multiple process areas.
Generic Practices (GPs) -1
Generic practice example
GP 2.5: Train the people performing or supporting the process as
needed.
DESCRIPTION
EXAMPLE
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Generic Practices (GPs) -2
Generic practices are of the form GP x.y where
x corresponds to the number of the generic goal.
y corresponds to the sequence number of the generic practice.
Note: We will talk more about generic practices in Module 4.
NUMBERING
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Generic practice elaborations are informative model components
that appear after a generic practice to provide guidance on how
the generic practice could be applied uniquely to a process area.
Generic Practice Elaborations
Project Planning process area example
GP 2.8: Monitor and Control the Process
Examples of measures and work products used in monitoring
and controlling include the following:
- Number of revisions to the plan
- Cost, schedule, and effort variance per plan revision
- Schedule for development and maintenance of program
plans
DESCRIPTION
EXAMPLE
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There are many places in CMMI models where further information is
provided.
This further information is provided in the form of the following
components:
Examples
References
Notes
Supporting Informative Components
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An example is a component comprising text and often a list of
items, usually in a box, that can accompany nearly any other
component and provides one or more examples to clarify a
concept or described activity.
Examples
Project Planning SP 1.2 example
Examples of attributes to estimate include the following:
• Number of functions
• Function points
• Source lines of code
• Number of pages
DESCRIPTION
EXAMPLE
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A reference is a pointer to additional or more detailed
information in related process areas and can accompany
nearly any other model component. A reference is an
informative model component.
References
Project Planning SP 2.2 example
Refer to the Risk Management process area for more information
about identifying potential problems before they occur so that risk
handling activities can be planned and invoked as needed across
the life of the product or project to mitigate adverse impacts on
achieving objectives.
DESCRIPTION
EXAMPLE
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A note is text that can accompany nearly any other model
component. It may provide detail, background, or rationale. A
note is an informative model component.
Notes
The example below shows a note that accompanies the specific
practice 1.3 in the Project Planning process area.
Project Planning SP 1.3 example
The determination of a project’s lifecycle phases provides for
planned periods of evaluation and decision making. . . .
DESCRIPTION
EXAMPLE
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Process area components are grouped into three categories. These
categories reflect how to interpret the process area components.
Required, Expected, and Informative Model Components
Informative
Required
Expected
1
2
3
Three
Categories
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Required components are CMMI components that are essential to
achieving process improvement in a given process area. This
achievement must be visibly implemented in an organization’s processes.
Goal satisfaction is used in appraisals as the basis for deciding whether a
process area has been achieved and satisfied.
Specific goals and generic goals are the required components in CMMI
models.
Required Components
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Expected Components are CMMI components that describe the
activities that are important in achieving a required CMMI component.
Expected components guide
those who implement improvements
those who perform appraisals
Specific practices and generic practices are the expected
components in CMMI models.
Before goals can be considered to be satisfied, either their practices as
described, or acceptable alternatives to them, must be present in the
planned and implemented processes of the organization.
Expected Components
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Informative components are CMMI components that help model
users understand the required and expected components of a
model.
Examples of informative components include
sub practices
example work products
generic practice elaborations
goal and practice titles
notes
references
Informative Components
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Expected
Informative
Required
Reviewing Process Area Components
Specific
Practices
(SP)
Generic
Practice
Elaborations
Subpractices
Subpractices
Example Work
Products
Introductory
Notes
Related
Process Areas
Purpose
Statement
Generic Goals
(GG)
Specific Goals
(SG)
Generic
Practices
(GP)
Process
Area (PA)
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Glossary term example
Establish and maintain . . . Create, document, use, and revise work products as necessary to ensure they remain useful.
Glossary
The glossary defines the basic terms used in CMMI models.
It was designed to document the meaning of words and terms
that should have the widest use and understanding by users of
CMMI products.
Definitions of terms were selected based on recognized sources
that have a widespread readership (e.g., ISO, IEEE).
DESCRIPTION
EXAMPLE
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MODEL REPRESENTATIONS
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There are two representations in CMMI models:
staged
continuous
A representation in CMMI is analogous to a view into a data set
provided by a database.
Both representations provide ways of implementing process
improvement to achieve business objectives.
Both representations provide essentially the same content and use the
same model components but are organized in different ways.
CMMI Model Representations
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The continuous representation offers a flexible approach to process
improvement.
An organization may choose to improve the performance of a single
process-related trouble spot, or it can work on several areas that
are closely aligned to its business objectives.
A continuous representation also allows an organization to improve
different processes at different rates.
Continuous Representation
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Continuous Representation: PAs by Category
Project
Management
Process Areas
Category
Product Integration
Requirements Development
Technical Solution
Validation
Verification
Engineering
Causal Analysis and Resolution
Configuration Management
Decision Analysis and Resolution
Measurement and Analysis
Process and Product Quality Assurance
Support
Integrated Project Management
Project Monitoring and Control
Project Planning
Quantitative Project Management
Requirements Management
Risk Management
Supplier Agreement Management
Organizational Process Definition
Organizational Process Focus
Organizational Performance Management
Organizational Process Performance
Organizational Training
Process
Management
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The staged representation offers a systematic, structured way to
approach process improvement one step at a time.
Process areas are organized by maturity levels.
The staged representation prescribes the order of implementing
each process area according to maturity levels, which define the
improvement path for an organization from the initial level to the
optimizing level.
Staged Representation
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Staged Representation: PAs by Maturity Level
Causal Analysis and Resolution
Organizational Performance Management
5 Optimizing
4 Quantitatively
Managed
3 Defined
2 Managed
Quantitative
Management
Process
Standardization
Basic Project
Management
Organizational Process Performance
Quantitative Project Management
Decision Analysis and Resolution
Integrated Project Management
Organizational Process Definition
Organizational Process Focus
Organizational Training
Product Integration
Requirements Development
Risk Management
Technical Solution
Validation
Verification
Configuration Management
Measurement and Analysis
Project Monitoring and Control
Project Planning
Process and Product Quality Assurance
Requirements Management
Supplier Agreement Management
1 Initial
Process Areas
Level Focus
Continuous
Process
Improvement
Risk
Rework
Quality
Productivity
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The organization builds an infrastructure that contains effective, usable,
and consistently applied processes.
The organizational culture conveys the process.
Management nurtures the culture.
Culture is conveyed through role models and recognition.
Institutionalized processes endure after the people who originally
defined them have gone.
Process Institutionalization
Institutionalization means the ingrained way of doing business
that an organization follows routinely as part of its corporate
culture: “That’s the way we do things around here.”
DESCRIPTION
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Staged
ML 1
ML2
ML3
ML4
ML5
. . .for an established
set of process areas across an
organization
Continuous
. . .for a single process area
or a set of process areas
PA PA
Process
Area
Capability
PA
Comparing Model Representations
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GENERIC GOALS AND PRACTICES
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Generic Goals and Generic Practices : Building Blocks
Generic goals and generic practices contribute to process
institutionalization.
The generic goals and generic practices are the model components
that provide for commitment and consistency throughout an
organization’s processes and activities.
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The degree of institutionalization is embodied in the generic goals and
expressed in the names of the processes associated with each goal as
indicated below.
Generic Goals and Institutionalization
* This generic goal is only used in the continuous representation.
GG 1
GG 3
GG 2
Generic Goal and Title Progression of Processes
Institutionalize a Defined Process
Institutionalize a Managed Process
Achieve Specific Goals*
Defined Process
Managed Process
Performed Process
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Each generic goal provides a foundation for the next. Therefore, the
following conclusions can be made:
Generic Goals Evolve
GG 1
GG 3
GG 2
A defined process includes and builds on a
managed process
A managed process includes and builds on a
performed process
A performed process
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GG 1
GG1 Achieve Specific Goals
The specific goals of the process area are supported by the
process by transforming identifiable input work products into
identifiable output work products.
• A performed process accomplishes the work necessary to
produce work products.
• All specific goals of the process area are
satisfied.
• Essential activities are performed and the
work is accomplished.
• The definition, planning, monitoring, and
controlling of the process may be
incomplete.
• The process may be unstable and
inconsistently implemented.
GG1: Performed Process
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GP
1.1
GG1 Generic Practices
Perform Specific Practices
Perform the specific practices of the process area to
develop work products and provide services to achieve
the specific goals of the process area
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GG 2
GG 2: Managed Process
Institutionalize a Managed Process
The process is institutionalized as a managed process.
• A managed process is a performed process that is
planned and executed in accordance with policy;
employs skilled people having adequate
resources to produce controlled outputs;
involves relevant stakeholders; is monitored,
controlled, and reviewed; and is evaluated for
adherence to its process description.
• Management of the process is concerned
with institutionalization and the achievement
of specific objectives established for the
process, such as cost, schedule, and
quality objectives.
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The generic practices for managed processes are the same for
all process areas.
Establish an Organizational Policy
Establish and maintain an organizational policy for planning
and performing the process.
Plan the Process
Establish and maintain the plan for performing the process.
GG 2 Generic Practices -1
GP
2.1
GP
2.2
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GG 2 Generic Practices -2
Provide Resources
Provide adequate resources for performing the process,
developing the work products, and providing the services of the
process.
Assign Responsibility
Assign responsibility and authority for performing the process,
developing the work products, and providing the services of the
process.
Train People
Train the people performing or supporting the process as
needed.
GP
2.3
GP
2.4
GP
2.5
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GG 2 Generic Practices -3
Control Work Products
Place selected work products of the process under appropriate
levels of control.
Identify and Involve Relevant Stakeholders
Identify and involve the relevant stakeholders of the process
as planned.
Monitor and Control the Process
Monitor and control the process against the plan
for performing the process and take appropriate
corrective action.
GP
2.6
GP
2.7
GP
2.8
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GG 2 Generic Practices -4
Objectively Evaluate Adherence
Objectively evaluate adherence of the process and selected work
products against the process description, standards, and procedures,
and address noncompliance.
Review Status with Higher Level Management
Review the activities, status, and results of the process with higher
level management and resolve issues.
GP
2.9
GP
2.10
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GG 3: Defined Process
Institutionalize a Defined Process
The process is institutionalized as a defined process.
• A defined process is a managed process that is
tailored from the organization’s set of standard
processes according to the organization’s
tailoring guidelines.
• A defined process has a maintained process
description.
• A defined process contributes process related
experiences to the organizational process
assets.
• The organization’s set of standard
processes is established and improved
over time.
GG
3
GG 3
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The generic practices for defined processes are the same
for all process areas.
Establish a Defined Process
Establish and maintain the description of a defined process
Collect Process Related Experiences
Collect process related experiences derived from planning
and performing the process to support the future use and
improvement of the organization’s processes and process
assets.
GG 3 Generic Practices
GP
3.1
GP
3.2
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Summarizing Generic Goals and Practices
GG 2
Institutionalize
a Managed
Process
GG 3
Institutionalize
a Defined
Process
GG 1
Achieve
Specific Goals
GP 2.1
GP 2.2
GP 2.3
GP 2.4
GP 2.5
GP 2.6
GP 2.7
GP 2.8
GP 2.9
GP 2.10
Establish an Organizational Policy
Plan the Process
Provide Resources
Assign Responsibility
Train People
Control Work Products
Identify and Involve Relevant Stakeholders
Monitor and Control the Process
Objectively Evaluate Adherence
Review Status with Higher Level Management
GP 1.1 Perform Specific Practices
GP 3.1
GP 3.2
Establish a Defined Process
Collect Process Related Experiences
Generic Practices
Generic Goals
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All process areas have generic practices that apply to them.
Generic practices ensure sustainability of the specific
practices in the processes over time.
For example, GP 2.2, “Establish and maintain the plan for
performing the process,” when applied to Project Planning,
ensures that you planned the activities for creating the plan
for the project.
Applying Generic Practices
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QUESTIONS AND ANSWERS
Notas do Editor
Module 8: Product Development 2
Review the class schedule for recommended timing for this module.
Module Summary
This module presents the Technical Solution, Product Integration, Verification, and Validation process areas.
Note
It includes one exercise at the end of the module (Exercise 4: Impact of an Engineering Change)
Show this page at the beginning of the module.
Note that this shows an example of a specific goal and practice summary table. Each process area has a table like this.
Note that the specific goal and practice summary lists specific practice titles. Explain the difference between the practice title and the practice statement. Use examples from Project Planning.
Note that each goal and practice has a title and a statement.
Note that the hierarchy on the left side represents specific goals, specific practices, subpractices, and example work products.
Note that specific goals and practices relate to the actual performance of the work of the process area.
Note that in the next few slides, we will look at the goals and practices that are specific to the work of the process area.
Define specific goal and illustrate with the example.
Note that specific goals are always labeled SG.
Mention that only the statement of the specific goal is a required model component. The title of a specific goal (preceded by the goal number) and any notes associated with the goal are considered informative model components. We’ll learn about required and informative model components later in this module.
Mention that goals will be discussed in depth in Module 4.
Define specific practice using the example of the page.
Note that in order to satisfy the (required) goals you are expected to perform the practices.
Call attention to the numbering system and explain the notation.
Note the difference between SP 1.4 title and statement.
Note that only the statement of the specific practice is an expected model component. The title of a specific practice (preceded by the practice number ) and any notes associated with the specific practice are considered informative model components.
Define example work products and list some of them.
Note that a list of example work products might not quite match a list of products in the participants’ own organizations. They simply are a starter set so that people have an indication of what might result from performing a specific practice.
Note that subpractices provide ideas that may be useful for process improvement.
Note that subpractices are not required or expected, but are informative. They are useful because they provide deeper insight into the intent of the practice.
State that now we will look at the generic goals and generic practices as well as the elaborations they go with them.
Also note that generic practices also have subpractices, but that they are listed in the Generic Goals and Practices section of Part Two, before the process areas.
Define generic goals as indicated in the slide.
Emphasize that generic goals—and the practices that go with the generic goals—make the practices under the specific goals sustainable over time, i.e., institutionalized.
Emphasize that generic goals—and the practices that go with the generic goals – apply to all process areas. Hence the term “generic”. This contrasts to specific goals which are unique to specific process areas.
Note that “defined process” in the slide here has a specific meaning in the model. Consider going to the Glossary and looking it up with the class. Follow by looking up the term “managed process.”
Note that only the statement of the generic goal is a required model component. The title of a generic goal (preceded by the goal number) and any notes associated with the goal are considered informative model components.
Note that the Generic Goals and Generic Practices may be found in the beginning of Part 2 of the CMMI model, prior to the Process Areas.
Note that generic goals are numbered just the same as specific goals.
Define generic practices and emphasize their role in fostering sustainability of the specific practices in the model.
Note the relationship between GP 2.5 and the Organizational Training process area. Relationships between generic practices and process areas will be covered more deeply later in this course.
Ask the students what type if training would be useful to perform project planning.
Note that generic practices are numbered just the same as specific practices.
Define generic practice elaborations.
Explain that the elaborations are in the Generic Goals and Generic Practices section in the model, not each individual process area.
Read through a couple of other elaborations to illustrate the point in the slide.
Note that GP 2.8 applies to activities and selected work products.
State that examples are just that: examples. They are intended to illustrate options or other information.
Note that, for example, the Examples for SP 1.2 in Project Planning (Establish estimates of work product and task attributes.) gives us some examples of what attributes could be estimated.
Note that attributes typically relate to size.
Note that there are typically more relationships between PAs than are listed in the model. The model identifies the critical relationships among PAs in the Related Process Areas section.
State that the notes are often valuable for understanding the goal, practice, or subpractice as intended. They provide both information and insight that can be useful.
Review the three categories and distinguish among them.
Note that sometimes the sum of the required and expected material is sometimes referred to as the “normative” material.
State that “required“ is in reference to a rating against the model. Required components indicate that an organization is satisfying a process area.
Note that the only required components in the model are specific and generic goals.
Note that there are activities that would normally be expected when an organization is satisfying the specific and generic goals.
Note that these activities are the expected components in the model.
Note that the specific practices and generic practices are expected.
Note that the way a practice might be implemented could vary from organization to organization. The model allows for acceptable alternatives, that is, alternative practices that meet the intent of the practices articulated in the model, but perhaps in a different way.
State that the last set of components of the model are informative. As the list shows, informative components are designed to provide guidance, information, or elaboration with respect to the required and expected components.
State that the informative material plays an important role in understanding the model. It is often impossible to adequately describe the behavior required or expected of an organization using only a single goal or practice statement. The model’s informative material provides information necessary to achieve the correct understanding of goals and practices and thus cannot be ignored.
Review of the components of a process area. Point out those elements that are required, expected, or informative.
State that the glossary is an indispensable part of the model. Questions on terminology should be answered here.
State that the glossary is used extensively by appraisal teams.
Have participants turn to the Glossary and read through a couple of key words (e.g., “managed process” and “defined process”).
Review the notes at the beginning of the glossary. Note that the glossary is neither required, expected, or informative. Interpret the terms in the glossary in the context of the model component in which they appear. For example, if “establish and maintain” is used in a goal statement, the glossary definition is required. Note the components associated with each glossary entry.
Note that as was mentioned in the last module, the process areas can be seen as the content of a database. A representation is a view into the database.
Note that there are two representations for the model: Staged and Continuous.
Note that the two representations exist because organizations approach improvement differently, with different priorities and needs.
Review the slide.
Mention that the last paragraph is very important to keep in mind. It would be silly, for example, to work hard on Project Management and Control if you don’t have plan to work with. It’s important to keep in mind the natural dependencies across PAs when selecting a subset to work with in the continuous representation.
Note that some organizations don’t do full lifecycle development. In an outsourcing arrangement, for example, your organization might only be responsible for Requirements Development, Requirements Management, Supplier Agreement Management, Verification, and Validation activities. In this context, the continuous representation makes the most sense for improvement.
State that this is one of the two standard ways to view the model. This is the Continuous Representation, and the process areas are organized by process area category.
Briefly describe each category and move to the next slide.
Review the slide.
Note that the staged representation has the advantage of providing a preselected path for improvement. This is most effective when the organization does full-scale development, or at least has a major part in a full-scale development activity.
Note that the other advantage of the staged representation is that it provides a single maturity rating across several PAs, rather than multiple capability ratings. In some organizations, this level of simplicity is preferable.
State that this is the other standard view of the model, called the staged representation. The process areas are organized here by maturity level, which is a defined plateau of process maturity based on a preselected set of process areas.
Mention that the two representations will be discussed in much greater detail later in the course.
Ask what does it mean to be "institutionalized?"
Discuss that institutionalized means:
• Building an infrastructure and a corporate culture that support the aims, methods, practices, and procedures of the organization so that these practices survive the departure of the individuals who originally defined them
• An internalized process, applied instinctively
• A common vision
State that gradual development is usually necessary before a process is institutionalized.
Example: PPQA has become institutionalized only when developers and managers reflexively ask for PPQA when a customer doesn't require them to.
Note that institutionalization occurs through the generic goals and practices.
The reason they are called generic is that they apply to all process areas.
Note that the names reflect progression of process institutionalization.
Mention that institutionalization implies that the process is ingrained in the way work is performed and there is commitment and consistency to performing the process.
An institutionalized process is more likely to be retained during times of stress.
Note that GG 1 is only used in the continuous representation.
Review the slide.
State that we’ll now work through this evolution by looking at the generic goals and practices.
Review the slide.
Ask the class participants to turn to the section of the model “Generic Goals and Generic Practices”
Note that GG1 applies to the continuous representation of the model, and is intended to distinguish between
adequate but unsustainable performance of the specific practices, and
incomplete or inadequate performance of the specific practices for a given process area.
Have the class participants turn to the section of the model “Generic Goals and Generic Practices”
Note that there is only one generic practice for GG1.
If all of the specific practices are being performed, then generic goal one is being satisfied.
Review the definition of a managed process.
Ask the class to notice each of the clauses in the definition. Note that they will see these clauses again when we look at the generic practices associated with Generic Goal 2.
Note that a managed process achieves the objectives of the plan and is institutionalized for consistent execution.
Point out to the class that there are elaborations associated with each generic practice that provide guidance on how the generic practice could be applied uniquely to process areas.
Review the generic practices.
Note that “policy” may be a loaded term in an organization. Not all organizations have formal policies. The intent here is to identify the written manner in which an organization sets expectations for its employees.
Note that GP 2.1 is the way in which an organization establishes expectations. When expectations are set, the organization incurs two obligations:
the obligation to provide the ability to meet the expectations
the obligation to verify that the expectations were met
GP 2.2 is the first generic practice that sets the stage for providing the ability to meet the expectations set in GP 2.1.
Emphasize that both of these practices have the words “establish and maintain” in them. In fact, each practice must meet the meaning of “establish and maintain,” which includes creating, documenting, using and revising.
Show the students the definition of “establish and maintain” in the glossary.
Note that this phrase is common in the model and participants should understand its full meaning.
Review the practices.
Note that these three generic practices continue meeting the obligation the organization made by setting expectations of process improvement in GP 2.1. Each of these practices is a way to provide the ability to meet the expectations.
Review the practices.
Note that these three practices are essential for making sure that the specific practices are sustainable over time.
Note that controlling work products, and monitoring and controlling the process are essential for exercising clear and consistent control over process performance.
Review the practices.
Note that these two practices represent the organization verifying that the expectations set in GP 2.1 have been met.
Mention that the titles of the same generic practices generally match the clauses in the definition of a managed process. Turn back to the definition slide and illustrate this point.
Review the slide.
Note that the defined process is built on the managed process. The distinction is that there is now a set of organizational assets from which to define multiple instantiations as appropriate to the needs of the situation.
Review the slide.
Note that the essence of establishing and maintaining a defined process is the ability to (1) define the process, and (2) continually improve it. This requires collecting improvement information and building it back into the description of the process.
Note that examples of process related experiences include work products, measures, measurement results, lessons learned, and process improvement suggestions. The information and artifacts are collected so that they can be included in the organizational process assets and made available to those who are (or who will be) planning and performing the same or similar processes. The information and artifacts are stored in the organization’s measurement repository and the organization’s process asset library.
Review the generic goals and practices.
Review the slide.
Emphasize that the generic practices can often be satisfied or reinforced through the performance of particular process areas: Configuration Management for GP 2.6, Process and Product Quality Assurance for GP 2.9, and others. (Refer the students to Table 7.2 in the book or Table 6.2 in the technical report to show them the complete list.)
Emphasize also that, in some cases, generic practices are recursive, such as in the example on the slide.
Note to the instructor: The reference to Table 7.2 in the notes above identifies one of the differences between the book and the technical report of the model found on the SEI web site.