2018 CMMI Institute 1

Transcription

1 2018 CMMI Institute 1

2 Copyright 2018 CMMI Institute THIS CMMI INSTITUTE MATERIAL IS FURNISHED ON AN AS-IS BASIS. TO THE MAXIMUM EXTENT ALLOWED BY LAW, THE CMMI INSTITUTE SPECIFICALLY DISCLAIMS ALL WARRANTIES, WHETHER EXPRESS, IMPLIED, OR STATUTORY, REGARDING OR RELATING TO THE CAPABILITY MATURITY MODEL INTEGRATION (CMMI), AND ALL MODEL CONTENT, INCLUDING THE CMMI V2.0 PRODUCT SUITE, CMMI METHOD DEFINITION DOCUMENT, CMMI ADOPTION AND TRANSITION GUIDANCE, CMMI MODEL, AND CMMI MODEL VIEWER ( CMMI CONTENT ), INCLUDING ALL IMPLIED WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, NONINFRINGEMENT, USAGE OF TRADE, AND COURSE OF DEALING OR PERFORMANCE. CMMI Institute owns all copyright, trademark, and all other intellectual property rights in the CMMI Content. You may not reproduce, duplicate, copy, sell, resell, assign, transfer, create derivative works of, incorporate in any software or tool, or commercially exploit any portion of the CMMI Content, without express written permission by CMMI Institute. You are solely responsible for your use of the CMMI Content, and agree to defend, indemnify and hold CMMI Institute harmless from any claims, liability, damages, costs or expenses incurred by CMMI Institute arising from your use of the CMMI Content CMMI Institute 2

3 About this Document This Quick Reference Guide is intended to provide an overview of the CMMI Method Definition Document (MDD) contents. This document is provided for reference only and may not be used to conduct CMMI appraisals. To conduct a CMMI appraisal, the MDD requirements must be met, and the appraisal must be conducted by a Certified CMMI Lead Appraiser. This document summarizes the contents of the MDD. The MDD provides a defined set of methods for conducting appraisals relative to the CMMI V2.0 model. The MDD document defines the requirements, boundaries of tailoring, and implementation guidance for the application of the appraisal method for: CMMI V2.0 Benchmark s CMMI V2.0 Sustainment s CMMI V2.0 Action Plan Reappraisals (APRs) CMMI V2.0 Evaluation s This document consists of two parts, with overviews at different levels of detail: MDD Summary: A high-level general summary, including the purpose, inputs, activities, outputs, and exit criteria for each main activity in each phase in the MDD MDD Activity Detail: A more detailed summary, helpful for Team Members on an appraisal, listing each phase, activity, and a breakdown of activities within them The MDD, available for purchase from the CMMI Institute, contains detailed information about appraisal requirements. For more information, contact info@cmmiinstitute.com. Document Change History Version Date Description December 2018 Initial baseline release CMMI Institute 3

4 CMMI Process The following figure details the CMMI process for each of the four phases of a CMMI. The MDD Summary and MDD Activity Detail below contain more information about each phase and activity. For complete detail on each activity, refer to the MDD CMMI Institute 4

5 MDD Summary Phase 1: Plan and Prepare for 1.1 Analyze Requirements Purpose The ATL determines the appraisal objectives based on business objectives. In coordination with the Sponsor, the ATL determines the OU and appraisal scope including the model scope and organizational sample. Additional requirements activities include to: Determine the amount of OE to be collected based on OE sufficiency requirements Identify the appraisal outputs to provide to the Sponsor. Analysis results can be contained in a draft appraisal plan or as a separate document Entry Criteria Inputs Activities Outputs Exit Criteria An Sponsor requests an appraisal. Initial requirements and constraints Business objectives ATL certification requirements Identify ATL Determine appraisal objectives Determine appraisal scope Determine OE adequacy and sufficiency Determine appraisal outputs Requirements and Analysis Results Sponsor approves appraisal requirements CMMI Institute 5

6 1.2 Develop Plan Purpose Record the appraisal plan including requirements, agreements, risks, COI, tailoring, and logistics. Obtain and record Sponsor approval of the appraisal plan. Entry Criteria Inputs Activities Outputs Exit Criteria Sponsor and ATL agree on the appraisal requirements. requirements Tailor method Develop OE collection plan Select team members Identify resources, cost, and schedule Identify and manage Conflicts Of Interest (COIs) Identify and manage Risks Obtain and record commitment to appraisal plan Approved appraisal plan ATL and Sponsor review and approve final appraisal plan. 1.3 Ensure Readiness to Conduct the Purpose Ensure readiness to conduct the appraisal in terms of team preparedness, availability of OE, risks, and logistics in determining the feasibility of the appraisal as planned. Entry Criteria Inputs Activities Outputs Exit Criteria Sponsor commitment to proceed Plan Prepare team Obtain and inventory OE Perform readiness review Conduct participant briefing OE inventory Initial set of OE Revised appraisal plan Team is prepared Level of adequacy of the inventory of OE is determined, according to plan Preparations for OE collection have been made 2018 CMMI Institute 6

7 Phase 2: Conduct 2.1 Collect and Examine OE Purpose Examine information about processes implemented in the OU to meet the intent of model practices or model components. Verify the sufficiency of OE to determine whether the intent of model practices or model components for each sampled organizational or in-scope project has been met. Describe and record any gaps in processes or exemplary processes related to model practice or model components. Entry Criteria Inputs Activities Outputs Exit Criteria OE collection planned plan approved team prepared Participants informed of their role Initial OE OE collection plan Examine artifacts Examine affirmations Verify OE and record gaps Update OE collection plan Updated OE collection plan Identified model practice or model component gaps or exemplary implementation 2.2 Characterize Practices and Validate Preliminary Results Coverage of appraisal scope achieved Team ready to produce appraisal outputs Purpose Characterize the extent to which processes that meet the intent of the model are implemented. Validate preliminary findings, including weaknesses and strengths, with members of the organizational sample. Entry Criteria Inputs Activities Outputs Exit Criteria Coverage of appraisal scope achieved Model practice or model component gaps and exemplary process implementatio n identified Characterize model practices Generate preliminary findings Validate preliminary results Preliminary practice characterizations Validated preliminary findings Preliminary results validated with members of the OU 2018 CMMI Institute 7

8 2.3 Generate Results Purpose The appraisal team derives appraisal results based on validation activities. For Benchmark and Sustainment s, rate PA satisfaction based on the extent of persistent and habitual processes implemented that meet intent of the model practices throughout the organizational sample. Aggregate ratings are based on PA satisfaction. Entry Criteria Inputs Practices Outputs Exit Criteria Preliminary findings have been validated (optional for Evaluation s) Additional evidence has been considered Practice characterizations have been updated or finalized Validated preliminary findings Characterized practices Derive final findings Determine practice group ratings Determine PA and ML/CL ratings Record appraisal results Final findings ADS Final findings presented to the OU 2018 CMMI Institute 8

9 Phase 3: Report Results 3.1 Deliver Results Purpose The appraisal team provides the Sponsor and the OU with results that can be used to determine future improvements. Strengths and weaknesses of the current set of processes are represented, and ratings (if applicable) that accurately reflect the maturity or capability level of processes used by the OU are provided. Entry Criteria Inputs Activities Outputs Exit Criteria Team consensus on appraisal results results ADS Deliver appraisal results Conduct optional activities Sponsor agreement of appraisal results results delivered to the OU 3.2 Package and Archive Assets Purpose The ATL works with the ATMs and the Sponsor to ensure that important appraisal data is preserved. The appraisal team disposes of sensitive appraisal materials in an appropriate manner. Entry Criteria Inputs Activities Outputs Exit Criteria results delivered to the OU results ADS Generate Record Provide feedback to CMMI Institute Archive or dispose of artifacts Record information package Record provided to the Sponsor information package provided to CMMI Institute 2018 CMMI Institute 9

10 Phase 4: Conduct Action Plan Reappraisal (APR) 4.1 Plan and Conduct APR, If Eligible An APR can address situations where the target ML or CL profile is not achieved, but only by a narrow margin. Accordingly, the APR is performed on a limited subset of the model scope and organizational sample. An organization can only conduct an APR after determining eligibility, getting a recommendation from the ATL, receiving approval from CMMI Institute, and correcting weaknesses reported in the initial appraisal. Purpose When no more than two PAs in the scope of an appraisal do not meet their targeted level, the organization may have the option to correct weaknesses and perform an APR if the weaknesses are not systemic. The appraisal team must perform an eligibility analysis. The following criteria must be met for APRs: If the weaknesses are not systemic If the weaknesses can be resolved within a 4-month timeframe If the resulting actions and improvements can be made persistent and habitual within the 4-month timeframe The team should analyze the weaknesses to determine if they cause effects in related PAs. If the eligibility analysis determines that an APR is an option, the ATL may recommend that the Sponsor request approval from CMMI Institute to conduct an APR. Prior to conducting the APR, the organization must implement an action plan to address the weaknesses and ensure that improvements are implemented and made persistent and habitual in the organizational and in-scope projects. If an APR is performed, it must be completed within 4 months of the end of the Conduct Phase of initial appraisal. Only one APR is permitted per Benchmark or Sustainment. During the APR, the PAs that had weaknesses identified, along with II and GOV, are re-evaluated and re-rated. If the PAs meet their targeted levels, any required ML or CL profile is also re-evaluated CMMI Institute 10

11 Entry Criteria Inputs Activities Outputs Exit Criteria Benchmark or Sustainment targeted ML or CL profile not achieved Interim findings from prior Benchmark or Sustainment Action plan for addressing weaknesses Analyze eligibility of APR Submit APR eligibility analysis to CMMI Institute for review and authorization Plan APR Conduct APR Report APR results Re-rated ML or CL profile Results agreed to by the Sponsor and ATMs 2018 CMMI Institute 11

12 MDD Activity Detail Phase 1: Plan and Prepare for 1.1 Analyze Requirements Comply with CMMI Method Requirements The ATL understands and follows all requirements in the MDD Identify ATL The Sponsor selects a certified ATL who has the appropriate certifications, experience, knowledge, and skills to take responsibility for and lead the appraisal Determine Objectives The ATL works with the Sponsor to determine the appraisal objectives based on business objectives Determine Scope The ATL works with the Sponsor to determine the appraisal scope, which consists of the model scope and the Organizational Unit. Information is collected and recorded to determine the organizational sample Identify OE Adequacy and Sufficiency Criteria OE for appraisals consists of artifacts and affirmations. The amount of OE evaluated impacts the credibility and cost-effectiveness of appraisals. Evaluation s have a wide range of options for OE sufficiency dependent on the appraisal objectives. Benchmark s and Sustainment s have more stringent OE adequacy and sufficiency requirements Determine Outputs Review the required appraisal outputs with the Sponsor and provide guidance on the optional appraisal outputs based on appraisal objectives, constraints, and results CMMI Institute 12

13 1.2 Develop Plan Tailor Method Tailoring options are selected by the ATL based on appraisal objectives and constraints Develop OE Collection Plan The OE collection plan may be standalone or part of the overall appraisal plan. The OE collection plan has implications for the appraisal in terms of the: Select Team Members Amount of time and effort expended by the organization in preparing for the appraisal Ability of the appraisal team to make accurate judgments Usefulness and accuracy of the appraisal results Overall cost of the appraisal This activity involves identifying available personnel, assessing their qualifications, and selecting them to become ATMs. Due to the nature of Benchmark s and Sustainment s, ATM qualifications are stringent Identify Resources, Cost, and Schedule Through iterative dialog, the ATL and the Sponsor determine the resources, cost, and schedule within which the appraisal is conducted. The preferences of the Sponsor, the limits of the method, and the consequent resource, cost, and schedule constraints are balanced to arrive at an optimal appraisal plan Identify and Manage Conflicts Of Interest (COI) This activity involves identifying and handling COI that may impair an appraisal team s ability to function objectively. The ATL is responsible for handling potential COIs by avoiding or developing strategies to manage them Identify and Manage Risk The ATL is responsible for recording and communicating risks and associated mitigation plans to the Sponsor and ATMs Obtain and Record Commitment to the Plan Record the results of appraisal planning including the requirements, agreements, estimates, risks, method tailoring, and practical considerations (e.g., schedules, logistics, and contextual information about the organization) associated with the appraisal. The appraisal plan constitutes a contract between the Sponsor and the ATL, so it is vital that this agreement be formal CMMI Institute 13

14 1.3 Ensure Readiness to Conduct the Prepare Team The ATL ensures that ATMs are sufficiently prepared for performing the planned appraisal activities. This preparation includes ensuring team members are familiar with the appraisal scope, the appraisal method, the appraisal plan, and the tools and techniques to be used during the appraisal. The ATL assigns roles and responsibilities for appraisal tasks. The team participates in team building exercises to practice facilitation skills and reach consensus in understanding the team objectives and how they will be satisfied Obtain and Inventory OE Obtain information that facilitates preparation and an understanding of the implementation of processes that meet the intent of model practices or model components across the OU. Identify potential issues, gaps, or risks to aid in refining the plan Perform Readiness Review The purpose of the readiness review is to determine whether the appraisal team and appraised organization are ready to conduct the appraisal as planned, and in the time allocated. The readiness review addresses several aspects of readiness to conduct the appraisal: OE readiness, team readiness, logistics readiness, and appraisal risk status. The readiness review results in a decision to continue as planned, re-plan or reschedule, or cancel the appraisal. The ATL and Sponsor are responsible for identifying and recording the criteria that will determine whether an appraisal will proceed Conduct Participant Briefing Members of the organization who participate in the appraisal are informed of their role and the expectations of the Sponsor and appraisal team. The ATL typically briefs appraisal participants and other members of the OU to provide an overview of the appraisal process, purpose, and objectives. The ATL also communicates specific information about scheduled events and the locations where they occur during this briefing CMMI Institute 14

15 Phase 2: Conduct 2.1 Collect and Examine OE Collect and Examine Artifacts Artifact review is an effective means to gain detailed insight about the processes implemented in the OU, and how those processes are performed. However, without a clear focus on the OE being sought, artifact review can consume a great deal of time as team members may attempt to read everything hoping that something useful will be discovered. Likewise, if artifact review is not well planned, the team will be more likely to accept artifact(s) that do not completely address or support the intent of the model practices or components in scope Collect and Examine Affirmations Affirmations are used to confirm or support implementation of processes that meet the intent of model practices or model components within the organizational sample of the appraisal. The appraisal team holds interviews, as well as using other affirmation techniques (e.g., presentations, questionnaires, and demonstrations), with managers and practitioners responsible for the work being performed. The appraisal team uses affirmations to understand how the processes are implemented Verify OE and Record Gaps The primary intent of this activity is to derive, from the OE gathered and reviewed, records that describe the gap between what the OE shows and what the appraisal team requires to support a claim that the intent of model practices or model components has been met Update OE Collection Plan The OE collection plan and inventory of OE provide a means for the appraisal team to continuously monitor progress toward sufficient coverage of appraisal model practices in preparation for practice characterization. The appraisal team regularly reviews estimates of the additional OE collection effort. If the feasibility of the appraisal schedule is called into question, the team may need to re-plan. The OE collection status summarizes the differences between the OE reviewed so far, and the evidence needed to support the development of appraisal outputs (e.g., findings and ratings) CMMI Institute 15

16 2.2 Characterize Practices and Validate Preliminary Results Characterize Model Practices When the OE available from the OU has been verified, the appraisal team then characterizes the implementation of processes that meet the intent of model practices. For each model practice, and each instance sampled (i.e., sampled organizational or inscope project), the appraisal team will characterize the extent to which the model practice has been implemented. The sampled organizational or in-scope project-level characterizations are then aggregated to the OU level. These characterizations reflect the consensus of the appraisal team on the extent to which implemented processes satisfy the intent of model practices. When the appraisal team is ready to perform the ratings for a Benchmark or Sustainment, these characterizations serve to simplify the judgments and enable the team to focus on the aggregation of weaknesses observed to determine the practice group satisfaction ratings Generate Preliminary Findings In preparation for validating OE collected (or missing), the appraisal team generates preliminary findings that summarize potential strengths or weaknesses that support judgments about the extent to which the OU process, as supported by OE, meets the intent of model practices in the appraisal scope. Record the preliminary findings in reference to model practices, PAs, or CAs, and abstract to the level of the OU, unless the ATL and the Sponsor tailor the appraisal to allow for project-level preliminary findings Validate Preliminary Results Validation of preliminary findings is an OE collection activity, and the intent is to validate the appraisal team s understanding of the processes implemented within the OU. Feedback from participants may result in modifications to the appraisal team s practice characterizations, findings, practice characterizations, and OE inventory. Consider the results of the validation activities in the formulation of final findings and ratings. Final findings and ratings activities cannot commence until after the validation activities have occurred CMMI Institute 16

17 2.3 Generate Results Derive Final Findings The final findings contain a summary of the recorded strengths and weaknesses for each PA within the appraisal scope, as well as additional information that provides context for the findings Determine Practice Group Ratings The appraisal team determines practice group ratings for Benchmark s and Sustainment s in accordance with the practice group definitions in the CMMI V2.0 model. Ratings for practice groups are binary, they are either satisfied or unsatisfied Determine Practice Area and Maturity Level or Capability Level Profile Rating PA ratings are based on practice group level ratings. PA ratings are then used to determine the ML or CL profile Record Results The results of conducting the appraisal are recorded for reporting. Verbal reports of the rating outcomes or oral explanations of process implementation weaknesses discovered by the team are not sufficient to communicate the appraisal results CMMI Institute 17

18 Phase 3: Report Results 3.1 Deliver Results Deliver Final Findings The appraisal final findings contain a summary of the recorded strengths and weaknesses for each PA within the appraisal scope, as well as additional information that provides the context for the findings. This activity relates to the communication of these results to the Sponsor and appraised OU. These findings may be in a summarized form, with the detailed findings provided as backup information Conduct Optional Follow-on Activities The optional follow-on activities are defined in the appraisal plan, reflecting Sponsor requests for additional appraisal tasks and products necessary to meet appraisal objectives, or for a commitment to act on the appraisal results. 3.2 Package and Archive Assets Generate Record OE collected throughout the appraisal is summarized into a permanent record of the appraisal conduct (including the results). A required component of the Record is the ADS. The OE summary along with the appraisal plan, appraisal outputs, and the ADS is referred to as the Record and is delivered to the Sponsor for retention Provide Feedback to CMMI Institute The appraisal team collects and reports appraisal information required by CMMI Institute. This information includes a subset of the Record used by CMMI Institute to aggregate and analyze appraisal information for reporting to the community and monitoring the quality of performed appraisals Archive or Dispose of Key Artifacts After the appraisal artifacts are delivered to the appropriate stakeholders, the ATL is responsible for properly retaining or disposing of the appraisal data, in accordance with the agreement made with the Sponsor and recorded in the appraisal plan CMMI Institute 18

19 Phase 4: Conduct Action Plan Reappraisal (APR) 4.1 Plan and Conduct APR, If Eligible Determine Eligibility to Perform APR After the target ML or CL profile for Benchmark or Sustainment is not achieved, the ATL works with CMMI Institute and the Sponsor to determine if the OU meets the criteria for performing an APR Plan APR If an OU is eligible, and the Sponsor elects to perform an APR, the ATL plans for the conduct of the APR Conduct APR The APR is conducted in accordance with the plan, and with the requirements of the MDD CMMI Institute 19