Chapter 3. How to Start Using CMMI
If you are new to CMMI, you may not know how to establish a process improvement program that will benefit your organization. This chapter is designed to help you learn how to get started using CMMI models, appraisal methods, and training to get you on your way to improving your organization’s processes.
Important Roles in Process Improvement
Before discussing some of the actions that must be taken to establish a CMMI-based process improvement program, it is important to explain the roles involved in such a program.
These roles are critical to the success of any changes your organization wishes to make to its processes. In some organizations, one person may perform more than one role.
The Executive Sponsor
For major change to happen, you must have executive sponsorship for the change. An executive sponsor must be a top-level executive in the organization and must be committed to the process improvement program from beginning to end.
The executive sponsor helps to ensure success through the following actions:
• Uses influence and provides resources to help the organization adopt CMMI
• Chooses the best people to manage the process improvement program
• Monitors the process improvement program to ensure that it is getting the resources it needs to be successful
• Is an advocate and spokesperson for the process improvement program
As an advocate for CMMI-based process improvement, the executive sponsor must ensure that other executives fully support the process improvement program and understand these three reasons to adopt CMMI.
1. CMMI improves performance, cost, and schedule.
2. CMMI enables collaboration with external stakeholders to integrate their expectations into day-to-day activities.
3. CMMI improves the organization’s ability to compete.
Executives who have successful process improvement programs typically take the following actions.
• They ask someone they trust to learn more about CMMI and report back to them.
• They speak with executives who have adopted CMMI in other organizations, participate in discussion groups and blogs, or attend a conference to learn from others who have adopted CMMI.
The Management Steering Group
Top managers form the management steering group. They oversee the improvement program and meet regularly. Their work includes reviewing progress and making decisions about what improvements should be made. This group typically is responsible for the following:
• Creating the strategic plan for the program
• Allocating resources to complete work for the program
• Providing guidance to the process group
• Removing barriers to success
The Process Group
The quality of the process group is another critical key to the success of a process improvement program. The process group is the center of all process work in the organization. It is responsible for the following:
• Being a role model for others in the organization
• Monitoring process improvement activities
• Supporting teams by providing help with chartering, training, planning, and so on
• Reporting progress and issues to the management steering group
• Being a champion for process improvement
• Teaching and encouraging others in the organization about process improvement
The Process Group Leader
The process group leader is the person who leads the process group and works with the executive sponsor to bring about change. This leader must understand quality management methods and be able to work with senior management effectively. The leader’s main function is to manage the process improvement program to get results.
An effective process group leader has formally defined responsibilities, has a full-time job as the process group leader, and is a member of the management team. The process group leader should be given an adequate budget and at least two years to get the process improvement program up and running.
The Working Groups
Working groups are subgroups or extensions of the process group who implement changes assigned by the process group to a particular area of the organization. Working groups are often responsible for the following:
• Describing the organization’s processes
• Comparing those processes to the CMMI model goals and practices and the organization’s business objectives
• Defining new processes
• Finding ways to help the organization adopt new processes
The SCAMPI Lead Appraiser or Team Leader
When it is time to do an appraisal, the lead appraiser (for SCAMPI A appraisals) or team leader (for SCAMPI B or C appraisals) works closely with the executive sponsor to set the objectives for an appraisal. (See the section The Purpose and Function of Appraisals later in this chapter for more information about when an appraisal is appropriate.)
The lead appraiser or team leader manages, coordinates, and makes decisions during an appraisal. Another responsibility is to share progress and issues with the executive sponsor. The person in this role can be an employee of the organization or a hired consultant.
The Appraisal Team
The appraisal team performs the work of an appraisal. They gather information about the organization’s processes and judge whether the processes satisfy the goals of the CMMI model the organization is using. The experience of the appraisal team affects the quality and credibility of the appraisal. Team members should have in-depth knowledge of the organization and its processes as well as a good understanding of CMMI. (All appraisal team members must receive CMMI Appraisal Team training before they can be members of an appraisal team.)
The experience of the appraisal team can supplement the knowledge of the lead appraiser or team leader to ensure the right level of knowledge and skills for the appraisal.
SCAMPI Appraisals
In general, an appraisal compares an organization’s processes to descriptions of effective practices in the reference model being used—a CMMI model. The appraisal method used with CMMI is called the SCAMPI method. This method has three different classes of appraisals.
SCAMPI class A is the most rigorous method and is the only method that can result in a rating.
SCAMPI class B is a flexible, less rigorous method that uses a standard scale for evaluating processes.
SCAMPI class C is the most flexible and least rigorous method that uses a scale defined by the organization for evaluating processes.
For more information about SCAMPI training, see the SEI website at www.sei.cmu.edu/training/find/ and search by the keyword “SCAMPI.”
The Purpose and Function of Appraisals
An appraisal can be used at various points in an organization’s process improvement program to (1) identify weaknesses that should be addressed, (2) monitor the success of the program, and (3) prove that the program has achieved a level of success. Typically, SCAMPI B or C appraisals are used for (1) and (2) and a SCAMPI A appraisal is used for (3).
Appraisal Ratings
Many organizations conduct a SCAMPI A appraisal to achieve a maturity level rating or capability level rating. These ratings can be used to formally acknowledge the organization’s successful process improvement.
Appraisal ratings can be published on the SEI website with the organization’s permission. Many choose to publish their ratings so that they can refer customers and others to the site as evidence of their achievement. See the SEI website for published appraisal results at http://sas.sei.cmu.edu/pars/pars.aspx.
Finding the Right SCAMPI Lead Appraiser or Team Leader
See the Get the Right Help section later in this chapter for more information about how to find and hire the right lead appraiser or team leader for your process improvement program.
Appraisal Quality Assurance
The SEI quality assurance policy and processes ensure the high quality of appraisal results. Besides ensuring that all lead appraisers and team leaders meet stringent requirements before they can become lead appraisers or team leaders, the quality assurance team also reviews data from appraisals.
These reviews ensure that the appropriate processes were followed during appraisals and that the lead appraiser or team leader took appropriate action during the appraisal. These reviews ensure that when you hire a lead appraiser or team leader you get what you expect.
CMMI Training
Training plays an important role throughout a process improvement program. Those who are involved in the various roles necessary to improve the organization’s processes must have the knowledge and skills to make it happen.
All of those involved in the process group and working groups must be trained in CMMI concepts. The executive sponsor must understand the concepts and methods of CMMI-based process improvement. Lead appraisers, team leaders, and instructors must have the appropriate training and credentials to be effective.
The SEI and its partners have many different training courses available. Some training is available only from the SEI. SEI Partners also have specialized training courses available. Your organization may also want to supplement purchased training with organization-developed training.
Some of the SEI training courses that may be useful to your organization include the following:
• CMMI-Based Process Improvement Overview
• Mastering Process Improvement
• Introduction to CMMI for Services
• Introduction to CMMI for Development
• Acquisition Supplement for CMMI for Development, Version 1.3
• Development Supplement for CMMI for Services, Version 1.3
• Services Supplement for CMMI, Version 1.3
• Defining Software Processes
• Understanding CMMI High Maturity Practices
• CMMI and Six Sigma: Strategies for Joint Implementation
• SCAMPI Lead Appraiser Training
• SCAMPI B and C Team Leader Training
• CMMI-SVC Instructor Training
For descriptions of these training courses and more information about SEI training courses, see the SEI website at www.sei.cmu.edu/training/find/ and search by selecting the “CMMI” category.
An Approach to Getting Started
Process improvement is about evaluating and possibly changing the way your organization operates. At first you don’t know where this change will focus, how much will have to change, or who should be involved in making this change happen. All of this uncertainty can make process improvement seem overwhelming at first.
Collect Information
Before you begin, you must collect information about CMMI.
The SEI website contains information about CMMI at www.sei.cmu.edu/cmmi/. See www.sei.cmu.edu/cmmi/tools/svc for all the latest information on CMMI-SVC.
The latest CMMI models are available on the SEI website, as are appraisal method descriptions, presentations, and answers to frequently asked questions. The website contains CMMI related reports, articles, and links to books about CMMI. You’ll also find links to early adopters of new models who can provide advice and information they have found helpful.
Information about CMMI related courses is obtainable at www.sei.cmu.edu/training/find/ by selecting the “CMMI” category. This listing contains descriptions of SEI courses and when they are offered. A three-day introductory course, called Introduction to CMMI for Services, is available for the CMMI for Services model. If you would like to know when this course is scheduled, check the Education and Training listing or contact [email protected].
The SEI has a large number of partner organizations serving a worldwide clientele. Many of these partners are licensed to provide CMMI training and appraisal services and may also provide help for planning process improvement programs, implementing model best practices, and other related services. Some of these partner organizations have websites, publications, and tools that can help you to use CMMI for process improvement. To see a list of SEI Partners that offer CMMI related services, visit www.sei.cmu.edu/partners/directory/organization/.
Annual conferences are rich sources of information about CMMI. Conferences are great places to talk to those who have process improvement programs in their organization. Many of the presenters at these conferences recount the results of CMMI-based process improvement and the different variations of how they used the model, appraisals, and training to meet their process improvement and business objectives.
The SEPG conference series consists of four conferences: SEPG North America, SEPG Europe, SEPG Latin America, and SEPG Asia Pacific. See www.sei.cmu.edu/sepg/ for more information on these conferences.
Another annual conference is the CMMI Technology Conference and User Group. This conference is held every November in Denver, and is cosponsored by NDIA and the SEI. Check the NDIA website (www.ndia.org) and the SEI website (www.sei.cmu.edu/events/) in the summer to see more information about the upcoming conference.
A number of online groups, clubs, forums, and communities of CMMI users exchange information on a wide variety of CMMI related topics. If you belong to an online social network, find out if it already has a CMMI related group. We know of CMMI groups on Yahoo!, Facebook, and LinkedIn. A number of bloggers also write about CMMI.
Know Where You Are
Now that you are informed about CMMI, your next step is to collect information about your organization. If you already know what part of the organization should be the focus of process improvement (at least at first), then you are ahead of the game.
Collect information about your organization that will help you to build a picture of the status quo. Compare current processes to the practices in the CMMI model you plan to use. You can do this informally or you can use an established method, such as a SCAMPI appraisal, to create your picture of the status quo.
The picture that you create can take any form that you find useful. If senior management is accustomed to seeing a particular kind of representation, consider using it or something akin to it. You will have to present your analysis of the status quo to management, so it must be something that they can understand quickly and easily.
Figure 3.1 illustrates a picture of the status quo done using estimates of the percentage of process area goals already in place in the organization. Light green cells represent opportunities for improvement, dark green cells represent strengths, black cells represent areas not applicable to the organization’s process improvement objectives (or not present in the model), and gray cells identify the process areas targeted for early improvement.
Figure 3.1 Picture of Status Quo Using Percentage of Goal Satisfaction
Figure 3.2 illustrates a picture of the status quo done using capability levels to rate the degree to which process areas are already in place in the organization. This picture is commonly called a “capability profile” and can be the output of a SCAMPI appraisal.
Figure 3.2 Picture of Status Quo Using Capability Level Ratings
Gather information about your organization’s culture. You may need to conduct a survey of managers, work group leaders, and staff members to gauge their resistance to change. High resistance to change will require more investment of time, money, and effort than low resistance to change. If you find one area of the organization that embraces change easily, it might be a place to start with process improvement. Success in that area will provide momentum and evidence to build support for change in other areas of the organization.
A large number of books are devoted to organizational change. If your organization is highly resistant to change, investigate ways to overcome this shortcoming to accommodate process improvement as well as other improvements (e.g., technology) that can benefit your organization.
Know Where You Are Going
Now that you have a picture of the status quo, you can create a corresponding picture of where you want to be. If the difference between where you want to be and where you are is very great, it makes sense to define incremental steps in getting from the status quo to your objective. Characterizing your objective using the same style of picture as your status quo picture will provide a clear and concrete path to success.
To build a picture of where you are going, gather the views of management, work group leaders, and staff members to understand their objectives for improvement. Your aim is to create a picture of success that reflects the objective of each set of stakeholders, provides a clear path to integrated improvement, and ensures the support of all stakeholders required for the process improvement program to succeed. If you cannot build a picture of success they all can support, you are not ready to begin.
Figure 3.3 illustrates a picture of the organization’s process improvement objective using estimates of the percentage of process area goals desired. Dark green cells represent goals that do not need to be completely satisfied, light green cells represent goals that must be satisfied, and black cells represent areas not currently applicable to the organization’s process improvement objectives (or not present in the model).
Figure 3.3 Process Improvement Objective Using Percentage of Goal Satisfaction
Figure 3.4 illustrates a picture of the organization’s process improvement objectives using capability levels to rate the degree to which process areas will be achieved to reach process improvement objectives. This picture is commonly called a “target profile” and can be the output of a SCAMPI A appraisal.
Figure 3.4 Process Improvement Objectives Using Capability Level Ratings
Compare the picture of the status quo with the picture of where you are going. The difference between the two is the focus of your process improvement program. Develop a periodic (e.g., monthly, weekly) report that demonstrates your process improvement program’s progress as it reaches its objectives.
Commit Resources
Remember that a process improvement program is a set of work established to focus on and achieve process improvement objectives. It must have the resources it needs to survive and succeed, including a plan, budget, and staff.
Choose the best staff members to manage the process improvement program. Ensure that they have the appropriate skills, experience, responsibility, and authority to be successful. Monitor the process improvement program over time to ensure that it is vital and strong.
Get the Right Help
If you want to hire experts to help you to achieve process improvement in your organization, consider hiring an SEI Partner organization. These organizations offer training, appraisal services, and process improvement advice.
Take these basic steps to ensure that you are selecting the right SEI Partner for your organization.
1. Check the SEI website to confirm that an SEI Partner is currently active. Only currently active partners are listed on the website. These SEI Partners receive the latest materials and information from the SEI pertaining to the services the SEI Partner is authorized to provide.
2. Interview at least three SEI Partner organizations so that you can compare their knowledge, services, and prices.
3. Ask the SEI Partner organization for a list of the services it provides, how it recommends that your organization adopt CMMI, and how it charges for its services. If you know you need help with a particular part of CMMI, be sure to ask the partner about its experience with that specific aspect of CMMI (e.g., configuration management).
4. If you plan to have a SCAMPI appraisal as part of your relationship with the SEI Partner, ask if you will be able to interview and select your SCAMPI lead appraiser or team leader.
5. If you plan to purchase training as part of your relationship with the SEI Partner, ask if you will be able to interview and select your instructor.
6. Ask the SEI Partner organization what types of customers it has served before and how these customers differ from and resemble your organization. Ask for references. There is no better recommendation than from a satisfied customer.
Selecting a SCAMPI Lead Appraiser or Team Leader
Take these basic measures to ensure that you are selecting the right SCAMPI lead appraiser or team leader for your organization.
1. Check the SEI website to see if the SCAMPI lead appraiser or team leader is currently certified or authorized, respectively. Only currently certified SCAMPI lead appraisers and authorized SCAMPI team leaders are listed on the SEI website.
2. Ask the lead appraiser or team leader about his or her experience, including how many appraisals he or she has led and how many he or she has participated in. Find out if he or she is both a lead appraiser and a team leader.
3. Ask the lead appraiser or team leader what his or her approach is to collecting evidence, analyzing data, and presenting information that the organization can use to plan its future process improvement. Evaluate how well his or her style will fit with your organization’s culture.
4. Ask the lead appraiser or team leader what types of customers he or she has served before and how these customers differ from and resemble your organization.
5. Ask the lead appraiser or team leader about his or her availability for answering questions before and after the appraisal.
Selecting a CMMI Instructor
Take these basic measures to ensure that you are selecting the right training instructor for your organization.
1. Check the SEI website to see if the instructor is authorized for the course you want. Only currently authorized or certified instructors are listed on the SEI website.
2. Ask the instructor about his or her experience, including how many courses he or she has taught and when he or she taught last.
3. Ask the instructor what his or her approach is to teaching and how he or she interprets the materials the SEI provides.
4. Ask the instructor what types of students he or she has taught before and how these students differ from and resemble the students you have in your organization.
5. Ask the instructor about his or her availability for answering questions before and after the class is held.
How to Get There
Each organization should develop an improvement strategy that meets its needs. Consequently, before you can determine the best improvement strategy, you must know the organization’s business objectives. The improvement strategy, to be effective, must support and be designed to meet the organization’s business objectives.
Scope of Improvement
Your process improvement strategy must target a portion of your organization, called an “organizational unit.” If you have a very small organization, it may make sense to target the entire organization. However, for most organizations, a work unit, department, site, or set of projects is an appropriate beginning.
Choose the organizational unit carefully. Your first organizational unit is ideally one for which the process group can demonstrate the value of process improvement as quickly as possible. Such an approach will help to get others involved and eager to expand the process improvement into other areas.
If you hire an SEI Partner organization, its consultant may provide advice in the selection of an organizational unit for process improvement.
Reference Model Selection
Not only must you select the organizational unit you wish to improve, but you also must select the objectives for your process improvement program. Part of this selection is deciding which CMMI model to use and which process areas or capability levels (or maturity levels) to target.
Since you’ve selected the CMMI for Services model, you have already decided which model you want to use. If you want to achieve a particular maturity level, you have already selected the minimum set of process areas you wish to target for improvement.
However, there are other considerations. Which process areas are most critical to support the core of your business? For example, if you differentiate yourself from your competitors by your ability to make your services available under any circumstances, then the Service Continuity process area would immediately be identified as a critical process area for you.
If you are not interested in a maturity level or capability profile as part of your improvement, you are free simply to select the process areas most important to your organization.
If you hire an SEI Partner organization, its consultant may provide advice in the selection of the appropriate model scope for process improvement in your organization.
CMMI adoption is not a one-size-fits-all approach. CMMI can be used with other improvement approaches effectively. Some organizations have adopted CMMI with or in addition to other approaches such as the following:
• Agile methods
• Balanced Scorecard
• CobiT
• IEEE standards
• ISO 9000/20000
• ITIL
• People CMM
• RUP
• Six Sigma
• TSP/PSP
An Appraisal Approach
Since an appraisal measures the organization’s processes against descriptions of effective practices, selecting which parts of the organization to appraise and which processes to appraise is critical. Such a selection is made based on the organization’s business objectives and the process weaknesses identified by an informal mapping of CMMI goals and practices to the organization’s processes.
In general, your appraisal strategy will closely follow the organizational unit and model scope selected for your process improvement program. However, that isn’t required. You could select a representative subset of your process improvement program for appraisal.
As mentioned before, an appraisal can serve many purposes, including the following: (1) Identify weaknesses that should be addressed, (2) monitor the success of the program, and (3) prove that the program has achieved a level of success. Your appraisal strategy will cover when and which kind of appraisal you will use for which purpose as part of your overall process improvement program.
For example, you may begin with a SCAMPI C appraisal to identify strengths and weaknesses. Based on the information gained from this appraisal you will plan to determine the model scope and organizational units to pursue. A SCAMPI B appraisal might be scheduled a year from then to determine if the improvement project is on track. Finally, you might forecast a date when you think the process improvement program will have achieved its objectives and schedule a SCAMPI A appraisal to confirm it.
That is just one example. Your plan may be different based on your organization’s needs and resources. If you hire an SEI Partner organization, its consultant may provide advice about creating an appraisal strategy.
A Training Program
If your organization is small, the best value is to purchase training from the SEI or an SEI Partner organization. If your organization is very large, you may want to consider becoming an SEI Partner and sending employees through training to become authorized instructors. Contact the SEI for more information and advice on the best approach for you.
A Strategy for Change
You need to make a number of decisions to establish a process improvement program. Without the right information, the risk of making mistakes or wasting time increases. That is why research and networking with others who have tried and succeeded with process improvement are invaluable in determining what is best for your organization.
Do You Want an Appraisal Rating or Not?
Appraisal ratings can be invaluable for organizations whose customers expect to see a maturity level or capability profile that will help them distinguish among providers. Sometimes an appraisal rating can be a factor that can help you differentiate yourself from the competition.
However, not all organizations need a rating. They can benefit from the process improvement benefits of CMMI, but the appraisal ratings are of little value to them. If this situation describes your organization, then you are lucky. Your CMMI-based process improvement program can be very flexible and you can select the process areas most critical to your business objectives without restriction.
Do You Want to Hire an SEI Partner or Not?
You might assume that if you don’t want an appraisal rating, you don’t need help from an SEI Partner, but that isn’t necessarily true. If you have employees with extensive experience with CMMI and SCAMPI appraisals, you may not need to hire an SEI Partner. However, if you plan to select process areas solely on the basis of their benefit to your organization, you may need more help in selecting process areas that best answer your business needs.
Is Your Organization Ready for Change?
There are a variety of ways to determine whether your organization is ready for change. The culture of the organization must be receptive to change, and management must be willing to be consistent and support the change.
Before initiating a process improvement program, it is important to know the risks involved in undertaking such a program. Determine if your organization is ready for change by doing the following.
• Examine the history of the organization to evaluate how it has handled change in the past.
• Determine how committed each level of management is to making change happen.
• Identify areas of resistance to change from those in the organization who would be affected by the change.
• Identify areas of the organization that should not change because they are working well.
After collecting this information and analyzing it, you should be able to determine if the organization is ready for change and what the risks are for beginning a process improvement program.
These elements must be present in the organization for effective change to take place.
• A reason for change must exist. Members of the organization must be aware of organizational issues that are having an impact on the business.
• Executive management is leading the change.
• The top-level management team is committed to the change.
• A process group has valued resources assigned to it, including a process change leader who has a mandate to initiate change.
• A system of performance measures is in place that can be used to drive and track change.
If you hire an SEI Partner organization, its consultant may provide advice in determining the readiness of your organization for change and identifying the risks to making changes in your organization.