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CMMI High Maturity AppraisalConsiderationsSoftware Engineering InstituteCarnegie Mellon UniversityPittsburgh, PA 15213Steve MastersSEC(R)November, 2007 2007 Carnegie Mellon University

AcknowledgementsThe CMMI implementation examples in the second half of this tutorialare derived from the October 17,, 2007 CMMI Workshopp presentationpIfYou Are Living the “High Life”, You Are Living the Informative Materialby Rusty Young, Bob Stoddard, and Mike Konrad.CMMI High Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University2

OutlineSCAMPISM OverviewHigh Maturity Skills in the SLA BOKStatistical and Quantitative ThinkingOrganizational Process Performance (OPP)Quantitative Project Management (QPM)Casual Analysis and Resolution (CAR)Organizational Innovation and DeploymentSummarySM SCAMPI and SCAMPI Lead Appraiser are service marks of Carnegie Mellon UniversityCMMI is registeredgin the US Patent and Trademark Office byy Carnegieg Mellon UniversityyCMMI High Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University3

SCSCAMPIOOVERVIEWCMMI HIGH Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University4

Three Classes of AppraisalsCharacteristicClass CClass BClass AAmount of objective evidenceLowMediumHighRatings generatedNoNoYesResource needsLowMediumHighSmallMediumLargeTeam SizeCMMI High Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University5

SCAMPI FamilySCAMPI C: provides a wide rangeof options, includingcharacterization of plannedapproaches to processimplementation according to ascale defined by the userSCAMPI B: provides options inmodel scope and organizationalscope but characterization ofscope,practices is fixed to one scale andis performed on implementedpracticesSCAMPI A: Is the most rigorousmethod, and is the only methodthat can result in ratingsbreadth of tailoringCBdepth ofinvestigationACMMI High Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University6

Approach, Deployment, lowRedSCAMPI family methods can be used in a range from looking at the approach planned to satisfy processimprovement goals, to examining deployment of processes in selected instances inan organizational unit (OU), to benchmarkingg the institutionalization of CMMI in an OUCMMI High Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University7

SCAMPI Class A ObjectivesProvide an accurate picture of the organization’s processes relative toCMMI: Understand the current implemented process. Identify process weaknesses (and strengths) in theorganizational unit. Determine degree of satisfaction of CMMI Process Area goalsinvestigated.g Assign ratings, if requested by appraisal sponsor.CMMI High Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University8

Comparison to SCAMPI ASCAMPI B provides more optionsin model scope and organizationalscope, but characterization of practicesis fixed to one scale and is performed onpppractices.ImplementedSCAMPI C provides a wide range of options,including characterization of plannedapproachesh tto process implementationi lt tiaccording to a scale defined by theorganization and appraisal team.This allows SCAMPI C to be used in aplanning and consultation context.CABBACCMMI High Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University9

Discipline Model (CMMI-DEV)In making inferences about the extent to which practices are or are notin pplace ((i.e.,, implemented),p), appraisersppare expectedpto draw uponp theentire model document as the basis for their decisions.Examples glossary definitions front matter subpracticesbti related process areasCMMI High Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University10

Determination of Practice ImplementationAssumptions1 The appraisal team understands the context in which the1.practice is being implemented.2. The appraisal team understands the practice intent.The basic approach to determination of practice implementation is to1. Characterize the degree to which the practice is implemented.2. Note any factors which should be considered in addition as theinstantiation data is aggregated (strengths, weaknesses, etc.).CMMI High Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University11

SCAMPI A Practice CharacterizationFully Implemented (FI) Direct artifacts present and adequate Supported by indirect artifact and/or affirmation No weaknesses notedLargely Implemented (LI) Partially Implemented (PI) Not Implemented (NI) Not Yet (NY) Direct artifacts present and adequate Supported by indirect artifact and/or affirmation One or more weaknesses notedDirect artifacts absent or judged inadequate Indirect artifacts or affirmations indicate some aspects ofthe practice are implemented One or more weaknesses notedOR Direct artifacts present and adequate No other evidence supports direct artifacts One or more weaknesses notedDirect artifacts absent or judged inadequate No other evidence supports the practice One or more weaknesses notedProject has not yet reached the stage in lifecycleCMMI High Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University12

SCAMPI B: Practice CharacterizationLabelMeaningRedThe intent of the model practice is judged to be absent or poorlyaddressed in the set of implemented practices – gaps or issues that willprevent goal achievement, if the deployment occurred in this way acrossthe organizational unit, were identified.YellowThe intent of the model practice is judged to be partially addressed in theset of implemented practices – some gaps or issues were identified,which might threaten goal achievement if the deployment occurred inthis way across the organizational unit.GreenThe intent of the model practice is judged to be adequately addressed inthe implemented set of practices examined – in a manner that wouldsupport goal achievement, if the practice were deployed across theorganizational unitunit.Not Yet(NY)Project has not yet reached the stage in lifecycle.CMMI High Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University13

SCAMPI C: Example Characterization Scale-AppraisalFocus “Approach”ApproachLabelMeaningLOWThe intent of the model practice is judged absent, or inadequatelyaddressed in the approach – goal achievement is judged unlikelybecause of this absence or inadequacy.MEDIUMThe intent of the model practice is judged to be partially addressed in theapproach – and only limited support for goal achievement is evident.HIGHThe intent of the model practice is judged to be adequately addressed inthe set of practices (planned or deployed) – in a manner that supportsachievement of the goal in the given process context.CMMI High Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University14

Aggregation Across InstantiationsWhen there is objective evidence for two or more instantiations of apractice,, how is the organizationalpgunit characterization derived?SCAMPI A and SCAMPI B provide aggregation rules to assist the teamin efficiently, effectively, and consistently aggregating acrossinstantiations.instantiationsCMMI High Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University15

SCAMPI A Aggregation RulesInstantiationsOutcomeAll FI/NY withith att leastlt one FIFIAll LI/FI/NY with at least one LILIAt least one LI/FI and at least onePI/NILI or PI*All PI/NI/NY with at least one PIPIAll NI/NY withith at least one NINIAll NYNY*** Team judgment is applied to choose LI or PI based on whether the weaknessesweaknesses,in aggregate, have a significant negative impact on goal achievement** If all instantiations in the OU have not reached the stage in the OU to haveimplemented a practice, no associated goal rating can be givenCMMI High Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University16

SCAMPI B Aggregation Rules*OU CharacterizationInstance CharacterizationsRedAll instantiations characterized RedYellowAll instantiations characterized YellowGreenAll instantiations characterized GreenTeam judgment subject tobelow**belowAll conditions not included above**The OU characterization shall not be Red unless at least one instancecharacterizationht i ti iis RRedd andd shallh ll nott bbe GGreen unlesslatt lleastt one iinstancetcharacterization is Greenp*OptionalCMMI High Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University17

Goal Rating Rules for SCAMPI AThe goal is rated “satisfied” if and only if There are no findings that document weaknesses associatedwith a goal.OR (a) All associated practices are characterized at theorganizational unit level as either Largely Implemented or FullyImplemented,p, and (b)( ) the aggregategg gof weaknesses associatedwith the goal does not have a significant negative impact on goalachievement.Otherwise the goal is rated “unsatisfiedOtherwise,unsatisfied.”CMMI High Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University18

Rating Process Areas for SCAMPI AWhen a process area is determined to be outside of the organizational unit’sscope of work, the process area is designated as “not applicable” and is notrated. The only PA in CMMI-DEV that can be not applicable is SAM (asdetermined by the appraisal team).When a process area is outside of the appraisal reference model scope, theprocess area is designated as “out of scope” and is not rated. If the associatedfindings do not meet the method’s defined criteria for data coverage, theprocess area is designated as “not rated” and is not rated.Continuous RepresentationThe process area is given acapability level rating based uponthe highest level for which thegeneric goal is satisfied. If nogeneric goals are satisfied thenthe capability level rating is 00.Staged RepresentationThe process area is “satisfied” ifand onlyy if all of its specific andgeneric goals are rated“satisfied.”CMMI High Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University19

Assigning Maturity Level in SCAMPI AA maturity level for a staged representation is achieved if all processareas within the level and within each lower level are either satisfied ornot applicable.A maturity level for a continuous representation is achieved if thecapability level profile is at or above the target profile for all processareas for that maturity level and all lower maturity levels in theequivalent staging, excepting those process areas that are designatedas not applicable.ppCMMI High Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University20

HIGHG MATURITY SKILLSSS IN THESCAMPI LEAD APPRAISER BODYOF KNOWLEDGE (SLA BOK)CMMI HIGH Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University21

What the SLA BOK isThe SCAMPI Lead AppraiserSM Body of Knowledge (SLA BOK) is a multidimensional view of the competencies and skills needed to be an effectiveand successful SCAMPI A Lead Appraiser. Codifies what Lead Appraisers have been doing Intended to document explicitly much that has been implicit for manyyearsThe SLA BOK has recently been published as an SEI technical report(CMU/SEI-2007-TR-019).CMMI High Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University22

What the SLA BOK is notThe SLA BOK is not An articulation of detailed CMMI practice requirements (it doesnot replace the CMMI model) A definition of the requirements for conducting a SCAMPI Aappraisal (it does not replace the SCAMPI MDD) A detailed reference on the theory and concepts underlying HighMaturityy practicesp A definition of competencies required for process improvementconsulting or organizational change managementCMMI High Maturity Appraisal ConsiderationsNovember 2007 2007 Carnegie Mellon University23