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SE362 Lecture 32: CMMI & Process Improvement
Todd Veldhuizen July 25, 2007 Contents 1 Software process assessment: CMMI and SPICE Final exam ? Aug 8, 12:30-3pm, PAC 7 ? Format will be similar to midterm: – Multiple choice – Short answer, marks given for explanations, not yes/no ? Scope: – ≥ 90% of the exam will be on material June 6 or later – ≤ 20% of questions will be based on readings ? In the longer readings, e.g., Olson and Olson, focus on ‘big ideas’. – Balance of questions drawn from lecture notes 1 – No emphasis on architecture, design, assessment of the software, deployment – Overemphasizes quality by ‘policing’: peer reviews, inspections, traditional QA; neglects ?nding big ?aws in architecture – CMM requires more documents, more checkpoints, more artifacts, more reviews, more plans. ? The thicker the documents, the better – Activity based: if you do these activities, you are mature. (Nothing to characterize if you are doing these activities competently.) – Emphasized process over outcomes CMMI History Source: [3] ? CMMI resulted from a team of 100 people from defense contractors (Boeing, Lockheed, Raytheon, etc.) and SEI ? There were 34 models based on CMM that were integrated to form the CMMI ? The CMMI is a ‘meta-model’ that tries to be general enough to subsume all the CMM variants ? ‘Needless to say, any set of documents created by a hundred people by de?nition must be a compromise solution.’ CMMI History

1 Software process assessment: CMMI and SPICE Software Process Assessment (SPA) Sources: [1, 2] ? SPAs are audits that assess an organization’s software processes. ? CMMI (Capability Maturity Model Integration) – CMM now obsolete; CMMI introduced in 2000 (?), CMM appraisals expire December 31, 2007. – Updates the CMM to be consistent with modern thinking on SE ? ISO/IEC 15504 ‘SPICE’ (Software Process Improvement and Capability dEtermination) CMM Source: [5]

? Introduced in 1990. ? De?nes 5 levels of ‘software maturity’ – Level 1 (initial): immature or unde?ned process – Level 2 (repeatable): requirements management, (Figure—Source: [1]) project planning, tracking, quality assurance, con?gCMMI uration management – Level 3 (de?ned): ‘organizational process focus’, Sources: [5, 1] process de?nition, training program, peer reviews ? Process areas (22): – Level 4 (managed): process measurement and – Causal Analysis and Resolution (CAR) (identify causes analysis, quality management, defect prevention of selected defects, take action to prevent them in the – Level 5 (optimizing): technology innovation, process future) change management – Con?guration Management (CM) ? Most organizations aimed for Level 3. – Requirements Development (RD) ? Criticisms of CMM (by Royce the younger): – Requirements Management (RM) – ... – Activities + artifacts encourage waterfall mentality: – Validation (VAL) requirements spec frozen before design, ‘big design – Veri?cation (VER) up front’, etc. 1

? Generic Practices: apply across the process areas

points for software... Estimate the attributes of the work products and tasks.” – Establish an Organizational Policy (de?ne organizational expectations for a process) – Plan the Process (process description, roles, etc.) – Provide Resources (provide adequate resources for ? CMMI cannot be used as a guide for process development the work) on its own; instead you need to ‘?ll in the blanks’ – Assign Responsibility (for performing the process etc.) – Train People (to perform or support the process) – Manage Con?gurations – Identify and Involve Relevant Stakeholders – Monitor and Control the Process – Objectively Evaluate Adherence – Review Status with Higher Level Management – ... – Ensure Continuous Process Improvement CMMI – Correct Root Causes of Problems – – – – Project Planning Project Monitoring and Control Supplier Agreement Management Integrated Project Management (integration with the organization, e.g., managing stakeholder involvement) – Risk Management – Quantitative Project Management (metrics)

? CMMI addresses six project management areas:

? Also has ?ve maturity levels (in the staged ?avour of CMMI; also available in a ‘continuous’ ?avour) – Level 1 (initial): ad hoc methods and unpredictable results – Level 2 (managed): repeatable project performance. Requirements management, project planning, con?guration management, etc. – Level 3 (de?ned): processes consistent across projects, multi-stakeholder requirements, evolutionary design, veri?cation + validation, risk management, training – Level 4 (quantitatively managed): collecting metrics + exploiting historical results of projects to achieve tradeoffs between cost, quality, and timeliness; statistical quality-control methods – Level 5 (optimized): rapidly recon?gurable + quantitative, continuous process improvement. ? CMMI also focuses on activities, but incorporates many modern best practices, and discourages waterfall mentality (e.g. explicit feedback loop between requirements development and delivery/demo of products to customer) ? Things CMMI encourages that are consistent with iterative methods: – – – – – Attack risks early with an iterative lifecycle Establish a change management environment Enhance change freedom with round-trip engineering Instrument the process for objective quality control Establish a scalable, con?gurable process

(Figure—Basic Project Management Process Areas [1])

CMMI

? CMMI is somewhat vague: it often tells you what to do, but not how to do it. E.g., estimation – part of Project Planning (PP) – Develop a Work Breakdown Structure (WBS), identify work packages in enough detail to allow estimation – “Use appropriate methods to determine the attributes of the work products and tasks that will be used to estimate the resource requirements... Examples of current methods include... Lines of code or function

2 (Figure—Advanced Project Management Process Areas [1])

CMMI

? Five categories of processes: – Customer-Supplier (CUS) – Engineering (ENG) – Project process category (PRO) – Support process category (SUP) – Organizational process category (ORG) ? Also has ?ve capability levels: – Level 1: Performed – Level 2: Managed – Level 3: Established (process de?nition & deployment) – Level 4: Predictable (process measurement & control) – Level 5: Optimising (innovation & optimization) ? Very high-level, e.g., ENG.3.1 Develop software architectural design. Transform the software requirements into a software architecture that describes the top-level structure and identi?es its major (Figure—Engineering Process Areas [1]) components. CMMI vs. Agile Methods ? Hence, numerous approaches can be made compatible Source: [6] with 15504. ? Comparison of CMMI to agile methods, by experts in ? Appears to be ‘big design up front’, with some allowances agile methods and CMMI at USC workshop for staged release ? Classi?ed the 40 components of CMMI as con?ict- ? Emphasis on documentation and traceability. ing/supporting/neutral of agile methods. ? SEI is working to improve the compatability of CMMI ? Found 17/40 components con?icted with ISO/IEC 15504. ? Found 22/40 components supportive or neutral Bibliography ? Philosophical differences identi?ed by survey: References – What provides customer trust? [1] CMMI Product Team. CMMI for Development, Version 1.2. ? CMMI: Process infrastructure Technical Report CMU/SEI-2006-TR-008, Carnegie Mellon ? Agile: Working software, participation Software Engineering Institute, August 2006. bib pdf – Scope of approach: [2] Robert T. Futrell, Donald F. Shafer, and Linda I. Shafer. ? CMMI: Broad, inclusive, organizational Quality Software Project Management. Prentice-Hall, 2002. ? Agile: Small, focused bib – Where knowledge created during projects resides: [3] Donald J. Reifer. The CMMI: it’s formidable. Journal of ? CMMI: Process assets Systems and Software, 50(2):97–98, 2000. bib pdf ? Agile: People [4] Terence P. Rout. ISO/IEC 15504—Evolution to an international standard. Software Process Improvement and Practice, – Perceived mindset of practitioners: 8:27–40, 2003. bib pdf ? CMMI: Disciplined, follow rules, risk averse [5] Walker Royce. CMM vs. CMMI: From conventional to modern ? Agile: Informal, creative, risk taking software management. Technical report, Rational Software – Scaling challenges: Corporation, February 2002. bib pdf ? CMMI: Scaling down: doable, but dif?cult [6] Richard Turner and Apurva Jain. Agile meets CMMI: Culture ? Agile: Scaling up: unde?ned clash or common cause? In Don Wells and Laurie A. Williams, – Goals of the approach: editors, Extreme Programming and Agile Methods - XP/Agile Universe 2002, Second XP Universe and First Agile Universe ? CMMI: Predictability, stability Conference Chicago, IL, USA, August 4-7, 2002, Proceedings, ? Agile: Performance, speed SPICE Source: [4] ? Software Process Improvement and Capability dEtermination (SPICE) aka ISO/IEC 15504 ? ISO/IEC standard for software process assessment ? Inspired by CMM and ISO 9001, but tries to harmonize numerous models ? Conducted trials of the draft standard: – Companies implemented the draft standard and providing feedback ? http://www.sqi.gu.edu.au/spice/
volume 2418 of Lecture Notes in Computer Science, pages 153–165. Springer, 2002. bib pdf

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