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IDEALSM: A User's Guide for Software Process Improvement

1. Resources Figure 6 1 Components of a Typical SPI Infrastructure 146 CMU SEI 96 HB 001 6 0 Manage the Software Process Improvement Program 6 2 Organizing the SPI Program CMU SEI 96 HB 001 First and most important is the SEPG sometimes called the process group The SEPG performs many functions for the organization in its SPI programs The SEPG helps to sustain support for the SPI program in an environment of change builds and reinforces sponsorship nurtures and sustains the individual improvement activities ensures coordination of these activities throughout the organization The SEPG is chartered by the MSG This charter acts as the contract between management and the SEPG The charter typically outlines the role responsibility and au thority of the SEPG It cannot be emphasized too strongly that the SEPG is not the implementor of the improvements The role of the SEPG is that of a facilitator helping to guide the process improvement activity The SEPG also plays a support role helping the projects with any difficulties that they may en counter as they implement process improvement In most cases members of the SEPG arerecruited from the organization s existing staff of software engineering profes sionals The support that the organization s management demonstrates for the SPI program will influencethe ability to recruit quality people for membership in the SEPG Membership in the SEPG is on both a
2. Identify the SPI climate for change Identify current policies regulations and initiatives that will support or impede the launching of a SPI program For example a company may have a policy regarding annual management training may besubject to government agency regulations such as the F ood and Drug Administration or may have an initiative to achieve ISO 9001 certification These all may affect a SPI program Get information on how to do SPI Identify different approaches and support groups Select an approach that fits the needs and environment of the organization best Establish consulting and training support for the approach selected CMU SEI 96 HB 001 N oO The Initiating Phase Identify Business Needs and Drivers for Improvement 1 2 Purpose Objectives Entry Criteria Exit Criteria Tasks CMU SEI 96 HB 001 Identify Business Needs and Drivers for Improvement The purpose of this step is to understand from a manage ment perspective the key business needs driving the re quirement for a SPI program SPI champions usually have many good reasons why an or ganization should launch a SPI program but their reasons are rarely couched in business terms or aligned with the or ganization s business needs This activity will establish the need for a SPI program in management business terms aligned with current business needs Identify key business needs that drivea requirement for SPI Link
3. C 0 Purpose Establish Organization Process Maturity Baseline There are many different ways to establish the process ma turity baseline of an organization s strengths and weak nesses Organizations have used a variety of assessment methods in the past and new variations are constantly be ing developed A variety of baselining methods are needed because of the differences between organizations size pre vious baselining activity funds available and so on Rath er than describe just one method this appendix describes a generic series of assessment activities based on the Soft ware Engineering Institute SEI capability maturity mod el CMM based appraisal for internal process improve ment CBA IPI method The intent is to provide an under standing of the types and kind of activities involved in conducting a baseline The software engineering process group SEPG should determine the type of baseline it wishes to conduct and get training on that method Appraisals that are based on the CMM usea set of common requirements that are described in the CMM Appraisal Framework Version 1 0 1 This document can be used by lead appraisers for training appraisal team members by appraisal method developers for developing CMM based appraisal methods and by appraisal sponsors to determine if a specific appraisal method will fulfill their needs The organization process maturity baseline establishes the software process maturity lev
4. Gather information and data on what achievements best of class organizations are accomplishing Define high level goals from vision business plan key business issues and past history of improvement ef forts CMU SEI 96 HB 001 1 0 1 9 1 9 Purpose Objectives Entry Criteria Exit Criteria Tasks CMU SEI 96 HB 001 The Initiating Phase Define the Guiding Principles of the SPI Program Define the Guiding Principles of the SPI Program The SPI program can be used as a model and a mechanism for experimenting with different processes and behaviors that are desired A typical guiding principle is to use the SPI program to experiment with revised management pro cesses such as new forms of planning tracking etc New methods can fail on a SPI task with much less dramatic effect on the organization s customers F ailurein this sense means that the new process does not work as well or effi ciently as initially expected a common flaw of first time pilots of a new or revised process Any such guiding principles should be documented for peo ple to use as guidance in the SPI strategic action plan Define guiding principles for SPI program Lessons learned from past efforts are identified Guiding principles defined and documented in the Guid ing Principles section of the SPI strategic action plan Review other organizations guiding principles for SPI Select and define guiding principles fo
5. 128 establishing 36 in SPI infrastructure 56 60 62 73 152 kickoff workshop 52 leader 148 157 168 170 173 180 lessons learned 173 member characteristics 147 168 174 recruiting 148 refining rollout strategy and plan 117 roles and responsibilities 84 assessments 207 scope of 154 solution providers identification of 108 SPIAC participation in 179 staffing 11 168 173 tasks 174 technology transition responsibility for 97 transition to on call support role 126 TWG lessons learned report given to 114 TWG liaison to 92 TWG products and artifacts of retaining 112 173 software process improvement SP1 activities overview of 6 CMU SEI 96 HB 001 agenda 196 197 artifacts of 42 assumptions 195 building sponsorship for 66 business issues 78 79 champions 7 13 15 19 21 148 dimate for 47 48 continuing 139 directing 164 165 goals general 49 50 66 88 195 goals specific 66 88 195 guiding principles 51 impediments to 20 improvements installing 122 123 incorporating improvements to process 127 infrastructure 30 46 141 165 196 charters 185 193 components 146 152 167 183 large organizations in 151 152 152 167 roles and responsibilities 62 84 85 196 initiating 11 52 installation plan 153 defined 215 template 200 201 launching program 52 lessons learned 42 44 178 179 linking to business needs 60 monitoring 159 163 macro evaluation 161 163 metrics for 159 161 micro evaluation 160 161 motivations for
6. Approve broad installation of improvements dependent on results of pilot activities Report progress to executive council EC Facilitate EC meetings 171 A 0 Components of the Software Process Improvement Infrastructure A 2 The Software Engineering Process Group SEPG A 2 Purpose Facilitate SPI Throughout the Organization 172 The Software Engineering Process Group SEPG The SEPG is the focal point for the organization s SPI pro gram It is responsible for and facilitates the activities that relate to software process improvement such as action planning process improvement technology improvement and other activities The SEPG also exchanges information between the organization s SPI program and the programs of other SEPGs across the country The SEPG coordinates and plans all of the organization s SPI programs The SEPG also leads the organization s improvement efforts The SEPG maintains an organizational awareness of the overall SPI effort and serves as a facilitator to insure the successful completion of improvement activities As the catalyst for the SPI program one of the biggest challenges for the SEPG is to maintain the motivation and enthusi asm for process improvement across and between all levels of the organization Facilitating SPI throughout the organization means that the SE PG has to obtain and maintain management support for the initiative at all levels and across all functionality T
7. Purpose Objectives Entry Criteria Exit Criteria Tasks CMU SEI 96 HB 001 Pilot Potential Solutions Pilot projects are used to test out the solutions in both the process centered and problem centered approaches The solutions will require some tailoring and refinement to fit them into projects across the organization and the pilots will help determine the tailoring needs and guidelines for the rest of the organization Several pilots may berun for a solution and there may be several iterations between the solution development and piloting steps to get the solution ready for deployment across the organization Verify the solution in a real project in the organization Capturelessons learned and results of pilot torefinethe solution and the installation of the solution Solution components process description procedures metrics methods and tools Training and installation needs identified and planned Completed pilot Pilot project completion criteria are met Lessons learned and results of pilot have been captured and preserved by TWG Develop pilot selection and completion criteria Identify potential pilot projects Select pilot project team Train pilot project team Install solution in pilot project Execute and monitor pilot project Evaluate results of pilot Capture lessons learned from pilot 107 4 0 The Acting Phase 4 4 Select Solution Providers 4 4 Purpose Objectives Entry C
8. Tasks 136 Review Sponsorship and Commitment As you have probably recognized during the previous cycle sponsorship and commitment are critical to the success of SPI As you did the first time through the Initiating phase make sure you have sufficient sponsorship and commit ment to support the SPI program Insure that management is committed tothe SPI effort and will continue to provide the sponsorship and com mitment necessary for the program to succeed Insure that resources will be available to continue the SPI program Revised approach to SPI agreed upon and documented Management has confirmed continuing sponsorship and commitment to the SPI program Management has agreed to provide resources and over sight to the SPI program Review commitment and sponsorship levels required with senior management Review revised SPI approach with senior management Review resources required with senior management CMU SEI 96 HB 001 5 0 The Leveraging Phase 5 5 Establish High Level Goals 5 5 Establish High Level Goals Purpose Asin thelnitiating phase general high level goals need to be established These goals will be made more specific dur ing the action planning activity of the Establishing phase Clearly defined measurable goals are necessary to provide guidance and to assist in developing tactics for improve ment They also allow objective measurement of the im provement results Objectives Entry Crit
9. a series of briefings that can be tai lored tovarious organization components covering what the effort is all about why it is being initiated how it will affect the audience and what the desired outcomes are Develop briefings to cover senior managers and their staff software managers and their staff software practitioners other interested parties corporate senior managers if applicable Enlist key stakeholders to deliver briefings where pos sible or appropriate Brief organization in as many different forums as possi ble Establish dialogues with key stakeholders during briefings to help form the SPI program Follow up with key stakeholders to get feedback and buy in CMU SEI 96 HB 001 27 1 0 The Initiating Phase 1 5 Obtain Approval for SPI Proposal and Initial Resources 1 5 Obtain Approval for SPI Proposal and Initial Resources Purpose Present the SPI proposal to senior management and get their approval and allocation of time and resources neces sary to launch the SPI program There may be some iteration from Step 1 1 on page 19 through this step 1 5 until agreement is reached on the proposal and resources to continue with the SPI initiative or to abandon the SPI initiative if agreement cannot be reached Objectives Obtain approval and resources from senior manage ment and buy in from other key stakeholders Obtain agreement to establish MSG Obtain approval for resources for SEPG Obtain senior
10. and architects and pilot project eaders attend A corporate SEPG sets up periodic perhaps annual meetings to bring the various local SE PGs together Incentives and recognition are provided for participat ing in local and global meetings Track long term usage of practices to see how widely they are adopted Exit Criteria As Ilong as the SPI programs are running in organiza tions information should be shared among the various participants Meetings should occur at frequent enough intervals so that practices can be shared before they are reinvented CMU SEI 96 HB 001 41 The Initiating Phase 1 0 1 6 Establish Software Process Improvement Infrastructure 1 6 5 Retain Lessons Learned and Improvements Developed 1 6 5 Purpose 42 Retain Lessons Learned and Improvements Developed While the information sharing activities described previ ously facilitate sharing of lessons learned successes and typical problems and their resolution they only do so for theimmediate timeframe As SE PGs evolve and personnel rotate these lessons become lost and forgotten and the SEPGs find themselves reinventing the wheel when they run into the same or similar problem later Lessons learned should be formally documented and saved for future reference Specific activities to gather lessons learned should be incorporated and planned into the SPI activities The SPI program must establish or integrate with an exist ing lon
11. baselining activity and post baselining activity peri ods Get a team trained in the baseline method selected Determine the scope of the baseline and select projects and functional area representatives to participatein the baselining activity CMU SEI 96 HB 001 C 0 Establish Organization Process Maturity Baseline C 1 Prepare for Baselines Entry Criteria Education Training Communication CMU SEI 96 HB 001 Make therest of the organization to be baselined aware of what a baselining activity is how it fits into the over all SPI program and what will happen in terms of ac tivities and outputs during and immediately after the baselining Finalize dates for the key baselining activity events and develop detailed plans and schedules for all activities Prepare all logistics materials to be used files tem plates briefings etc and ensure that all tools equip ment and materials are ready and in place A team has been established and resources committed to conduct the baseline A training session for an baselining team occurs during this phase The purpose is to train a team in the specific mechanics and skill requirements of the selected baselin ing method as well as to provide any required background information Two groups have responsibility for most communication ac tivities during this period the management steering group MSG and the SEPG The MSG should publicly sponsor and support the baselin
12. briefings to the Management Steering Group MSG f The SEPG Chair will be an associate member of the MSG 8 EXPECTED PRODUCTS a Documented processes and procedures on the execution of the Division s software processes b Status review briefings toMSG c TWG Status Reports d Newsletter input to Software Engineering News e Monthly update newsletter on electronic mail f Presentations to Division workforce on process improvement g Process improvement promotional materials h Process improvement metrics reports 9 MILESTONE PLAN Tobe presented and approved by the MSG at the first meeting 10 TERMINATION The SEPG will function indefinitely Daniel A Gibson Director Software Engineering Division 190 CMU SEI 96 HB 001 B 0 B 3 Charters and Templates Software Process Improvement Advisory Committee Charter B 3 Software Process Improvement Advisory Committee Charter Corporate Accounting Services CAS Software Process Improvement SPI Advisory Committee AC Charter 1 PURPOSE The purpose of the CAS SPI Advisory Committee SPIAC is to support the long term process improvement activities of the SEPGs by facilitating interaction among the CAS SEPGs which will promote information sharing and provide a mechanism for the SEPGs to address common problems 2 SCOPE This Charter applies tothe membership of the SPIAC and joint activities of the individual SEPGs established by CAS The scope of this charter
13. builds a feeling of ownership and participation in the pro gram 167 A 0 Components of the Software Process Improvement Infrastructure An example of an infrastructure is shown in Figure A 1 on page 168 The first of the three components shown is a management steering group MSG whose membership is drawn from the organization s existing management struc ture Reporting totheM SG is thesoftware engineering pro cess group SEPG The leader of the SEPG also partici pates as a non voting member and sometimes serves as the facilitator for the MSG Membership of the SEPG is drawn from the practitioners who are working on the projects in the organization Depending on the size of the organiza tion SEPG membership can be on a full time part time or some combination of full and part time basis In all cases there should be a full time person leading the SEPG Reporting tothe MSG with dotted line relationship to the SEPG are the technical working groups TWGs M ember ship on the TWGs is drawn from those areas of the organi zation that would be affected by any recommendations for improvement change made by the TWG m C gt Sb amp oy fas NS on SE ge es Figure A 1 Example of Infrastructure The components that make up the SPI infrastructure each havea specific rolein the SPI program The infrastructure that is created should be sized based on the needs of the SPI program Care should be taken that the size and
14. ed from the organizations practitioners See Appendix A O on page 167 for more information on the various infra structure entities and their definitions Objectives Create theinfrastructure component that will facilitate and guide the SPI activities Select qualified personnel for membership Entry Criteria SPI proposal approved Tasks Determine SEPG member qualifications Interview and select SEPG members Define SEPG roles and responsibilities Define relationship with MSG Define relationships with TWGs and the rest of the or ganization including reporting tracking and support requirements Select SEPG leader if not already assigned likely to be SPI champion Develop SEPG charter Conduct team building for the SEPG and between SEPG and other entities defined 36 CMU SEI 96 HB 001 1 0 The Initiating Phase 1 6 Establish Software Process Improvement Infrastructure 1 6 2 Establish Software Engineering Process Group SEPG Responsibility of MSG Develop process to provide for succession and member replacement Plan for succession and member replacement Exit Criteria SEPG members selected SEPG charter developed and approved SEPG leader appointed CMU SEI 96 HB 001 37 1 0 The Initiating Phase 1 6 Establish Software Process Improvement Infrastructure 1 6 3 Maintain Visibility 1 6 3 Maintain Visibility Purpose The purpose of maintaining visibility of a SPI program isto keep senior management
15. giving the feedback to the SEPG to further refine the installation and deployment processes By providing feedback tothe SEPG the methods and techniques used during the implementation can be in corporated into the next round of improvements Gather lessons learned from deploying improvements and apply to future deployments Organization has fully deployed the improvement and has been using it for a few cycles Installation plans for projects are completed Process metrics reports are completed Organization rollout strategy and plan are completed Plan and schedule lessons learned meeting s Survey organization to collect top level lessons issues and remaining actions Compile lessons learned survey results Conduct lessons learned meeting to clarify findings Package lessons learned findings and review with orga nization Revise generic templates for rollout strategy and plans and installation plans Develop action plan to resolve outstanding issues and finish remaining actions Execute action plan and review results with organiza tion Lessons learned from solution rollout captured CMU SEI 96 HB 001 4 0 The Acting Phase 4 9 Rollout Solution 4 9 7 Evaluate Deployment CMU SEI 96 HB 001 SEPG has revised generic rollout strategy and plans and rollout plan templates Lessons learned report is completed Revised generic rollout strategy and plans and rollout plan templates are completed 125 4 0
16. result in a substantial change in their work assignments within the organization The discovery team will regularly communicate the results of its work to the entire organization and to key organiza tion stakeholders and senior management in particular These communications take the form of general informa tion exchanges about what the team is learning and what is happening along with specific requests for decisions and commitment from senior management Senior management must communicate the business objec tives goals and rationale for the SPI program and the ur gency of those efforts They must show to the organization active commitment to the effort Once the infrastructure is formed the MSG and SEPG must maintain a steady flow of communication throughout the organization about what is happening In the absence of any specific information people tend to assume the worst A change effort of this magnitude causes substantial fear and uncertainty throughout the organiza tion resistance to change will show up for a variety of rea sons Regular and effective communications will alleviate CMU SEI 96 HB 001 1 0 The Initiating Phase Entry Criteria Exit Criteria CMU SEI 96 HB 001 some of that concern Developing and following a communi cations plan will pay dividends Organizations may initiatea SPI program because of some disaster or impending disaster in their business that in cludes their software capabilities
17. 0 The Establishing Phase 3 11 Transform the General Software Process Improvement SPI Goals to Specific Measurable Goals 3 11 Purpose Objectives Entry Criteria Exit Criteria Tasks 88 Transform the General Software Process Improvement SPI Goals to Specific Measurable Goals Now that the results of the baseline activities have been reconciled sufficient data should be available to take the general long term and short term goals developed in Step 1 8 on page 49 and makethem specific This is done by incorporating the measurement of the current state of those goals and defining an aggressive but achievable im provement in those measures For example one general goal could have been to make software projects more predictable in terms of cost and schedule The measurement baseline established that 80 percent of current projects exceed their original cost and schedule estimates by more than 25 percent The trans formed goal could be to improve that measure such that 80 percent of all projects complete within 10 percent of their original estimates adjusted for changes of scope along the way within 2 years The above is an example of how to transform a general business goal into a specific measurable process improve ment goal Transform all general goals into specific measurable goals Measurement baseline complete High level goals defined during the Initiating phase available Measurable goals finalized
18. 4 9 5 Purpose Objectives Entry Criteria Tasks 120 Train Project The solution developed will probably require new skills and knowledge to be acquired by the line organization To pro vide the maximum benefit to the line organization mem bers training and practice must be integrated into the project plans SEPG and line organization managers ar range training and detailed briefings for line personnel in new process methods tools etc Although the tasks 4 9 5 Train Project 4 9 6 Install Im provement and 4 9 7 Evaluate Deployment appear to be sequential they are usually done somewhat in parallel and may take some iteration F or example a tool may have to be installed for training to effectively be provided for it Additionally it may not be possible to identify certain needed skills until their absence becomes apparent Al though the order of these tasks represents an ideal situa tion the actual implementation must be determined by the existing situation and environment Plan the training for the project Schedule instructors and briefers Set up support relationships for the project Project agrees to rollout plan Installation plan for project completed Training resources are available to project Assess project skills and knowledge in area of change Plan curriculum to meet skills and training needs of people in the project Schedule courses and enroll people from the project Conduct cour
19. 6 Purpose Objectives Entry Criteria Exit Criteria Tasks CMU SEI 96 HB 001 Describe the Motivations to Improve People must understand why the organization is spending so much time and effort on a SPI program As their under standing grows so will their support They must be moti vated to join in the effort and assist it The motivation should address the following points Why change What s wrong with the status quo Why should care When will be affected immediately or sometimein the future Typically successful motivations sell the pain of the status quo as opposed to selling the promise of the desired state These motivations should be documented in the SPI strate gic action plan Also the communication plan should be up dated to insure that communications of the motivations to improve is given to the entire organization Define motivations for SPI program Motivations identified from the vision or similar sources Defined motivations are documented in SPI strategic ac tion plan Motivations section Build list of motivations from the goals and problems identified in previous steps Frame motivations in terms of the difference between the current state and the desired state Document motivations in Motivations section of the SPI strategic plan 81 3 0 The Establishing Phase 3 7 Identify Current and Future Planned Improvement Efforts 3 7 Purpose Objectives Entry
20. Activity Purpose 1 0 The Initiating Phase Learn about process improvement commit initial resources and build process infrastructure 2 0 The Diagnosing Phase Establish current levels of process maturity process descriptions metrics etc Initiate action plan development 3 0 The Establishing Phase Establish goals and priorities complete action plan 4 0 The Acting Phase Research and develop solutions to process problems Expand successful process improvements to entire organization 5 0 The Leveraging Phase Prepare for the next cycle through the IDEAL model Apply the lessons learned to refine the SPI process 6 0 Manage the Software Process Provide oversight to the improvement 141 Improvement Program projects and resolve issues In general the chapter structure has been limited to three levels of detail Additional detail is provided in the appen dices 6 CMU SEI 96 HB 001 Introduction Purpose Some Assembly Required One Size Does Not Fit All The guide is intended to be general and does not presup pose or force any particular methodology F or a list of sources that can be used to support and help ensure a suc cessful SPI program see the Software Engineering Insti tute SEI Annotated Listing of Documents This document is intended to provide an organization with a guide to establishing and carrying out a SPI program It is written primarily from the point of view of the organiza tion sett
21. Communication Entry Criteria 56 The commitment that senior management makes for the Diagnosing phase is the time resources and training re quired to complete the phase All members of the organization are also making a commit ment that the baselines will be conducted under an agree ment of confidentiality and that no attempt to find out the source of any piece of information will be tolerated Each of the baselining activities will have specific commu nication needs In addition getting the organization ready for baselining will require considerable communication es tablishing dialogue between various levels and areas in the organization to maximize the effectiveness of the baselin ing teams Communicating the results of the baselining activities will have several positive effects on the SPI program It will demonstrate that there are no secrets regarding the SPI program and it will give everybody a clear understanding of the strengths and opportunities for improvement that the organization faces SPI infrastructure particularly MSG and software en gineering process group SEPG is in place and operat ing Resources are available to perform the baselines The MSG has decided that the SPI strategic action plan needs to be updated CMU SEI 96 HB 001 2 0 The Diagnosing Phase The organization s vision business plan and SPI goals are synergistic Exit Criteria Baseline Findings and Recommendation Repo
22. Figure 3 1 on page 71 for a pictorial representation of the tasks for the Establishing phase CMU SEI 96 HB 001 3 0 The Establishing Phase 3 1 Select and Get Training in a Strategic Planning 3 2 Review Organization s Vision 3 8 Finalize Roles and Responsibilities of the Various Infrastructure 3 9 Prioritize Activities and Develop Improvement Process Entities 3 3 Review Organization s Business Plan 3 4 Determine Key Business Issues 3 5 Review Past Improvement Efforts 3 6 Describe the Motivations to Improve 3 7 Identify Current and Future Planned Improvement Efforts 3 10 3 11 Reconcile the Transform the General Existing Planned Software Process Improvement Efforts with gt Improvement SPI Goals the Baseline Findings to Specific Measurable and Recommendations Goals 3 12 Create Update the SPI Strategic Plan 3 13 Build Consensus Review and Approve the SPI Strategic Plan and Commit Resources to Action 3 14 Form the Technical Working Group TWG Figure 3 1 Process Flow for Establishing Phase CMU SEI 96 HB 001 Agenda 71 3 0 The Establishing Phase Tasks The tasks for the Establishing phase are shown in thetable below Page Number 3 1 Select and Get Training in a Strategic Planning Process 3 2 Review Organization s Vision 3 3 Review Organization s Business Plan 3 4 Determine Key Business Issues 3 5 Review Past Improvement Efforts 3 6 Desc
23. Goals will be measured and how the organi zation will recognize success in achieving those goals Describe how improvement activities will be measured and evaluated at both the organizational and project levels 9 Improvement This section provides the what of the action plan The ef Agenda forts are described at a high level resource requirements are identified and the relationships between each major act ivity are described so that the reader can see how these different activities are integrated 196 Provide a high level description of all current improvement efforts in terms of what they are doing what resources are currently committed to the activity and what resources are required to complete the activity Describe how the above existing activities map to the recommendations from the assessment dentify any gaps partial or otherwise between the recommenda tions and the current improvement activities CMU SEI 96 HB 001 B 0 Charters and Templates B 4 SPI Strategic Action Plan CMU SEI 96 HB 001 Provide a high level description of all additional im provement activities that will be needed to completely address all of the recommendations and achieve the goals and objectives of this action plan This description should be expressed in terms of what each activity will accomplish and what resources are required to accom plish the activity Define how activities will be prioritized and what the priority a
24. Organiza tion section of the SPI strategic plan 85 3 0 The Establishing Phase 3 9 Prioritize Activities and Develop Improvement Agenda 3 9 Purpose Objectives Entry Criteria Exit Criteria Tasks 86 Prioritize Activities and Develop Improvement Agenda The baselines particularly the maturity baseline typically identify issues and provide recommendations based on a much broader consensus than may have been available be fore These issues and recommendations serve to provide some guidance and often a prioritization of actions Publicly document an objective approach to deciding which of the many competing SPI recommendations and actions will be launched and funded This approach will be depen dent on the business needs of the organization This proce dure will be used whenever new ideas are added tothe list of actions awaiting resources Define criteria for selection of SPI projects Prioritization criteria developed from key business issues has been defined Criteria for selection of SPI projects defined and document ed in the SPI Improvement Agenda section of the SPI strategic plan Define criteria to be used to select improvement action items from a list and launch them Define a process to apply those criteria Define a process to add new improvement actions and to remove outdated improvement actions from the pend ing list Document the criteria in the Improvement Agenda sectio
25. SPI program It also provides a mech anism for familiarizing new personnel with the operation as they join the SPI program Physically the process data base will probably be a combination of artifacts in file drawers multiple forms of data held in some machine read able form that belongs to the SEPG and or such things as electronic mail messages CMU SEI 96 HB 001 6 0 Manage the Software Process Improvement Program 6 2 Organizing the SPI Program Objectives Entry Criteria Additional Components CMU SEI 96 HB 001 Establish infrastructure to guide and manage the SPI program Create organizational awareness of the SPI program Commitment to establish and implement a SPI program In some instances benefit can be gained from having addi tional components to the SPI infrastructure Typically these additional components are formed in organizational environments that are either very large and or have wide geographical disbursement The first of these additional components is an executive council EC Members of the EC are made up of the senior management from each division The EC provides broad guidance and interpretation of the organization s vision and mission and communicates this interpretation to the divisions At the division level it is the responsibility of the MSG for the division to ensure that the improvement activities in each division are responsive to the organization s vision and mission as provided by
26. SPI tasks are developed major functional elements defined and key interfaces and requirements are also defined and agreed upon This high level plan will guide the organization through completion of the Establishing phase at which time a SPI action plan will be completed Typically a dis covery team will be formed to explore the issues and to de velop a SPI proposal to senior management F ollowing the approval of the SPI proposal the infrastructure for launch ing the SPI program will be formed The organization needs to decide how it will organize its improvement efforts who will be involved both at the practitioner and management levels and how much of those people s time will be allocated to the effort Based on these initial decisions the charter and staffing for the man agement steering group MSG software engineering process group SEPG and other organizational entities can be completed These entities then develop working pro cedures plans and schedules to steer the organization through the process improvement program Appendix A O on page 167 further defines the organizational infrastruc ture for SPI Planning is very important in this step Once the baselin ing efforts in the Diagnosing phase are under way the MSG and SEPG will come under increasing pressure to produce It is usually very difficult to allocate enough time 1 0 The Initiating Phase Purpose Objectives Education Skills at that point to
27. The Acting Phase 4 10 Transition to Long Term Support 4 10 Purpose Objectives Entry Criteria Exit Criteria Tasks 126 Transition to Long Term Support The process improvement should not require constant vig ilance if it does it should to be retuned or rethought The development team should be able to continue without a lot of guidance and support but should be able to call in exper tise when needed When the line organization demon strates that it can repeatedly execute the new process SEPG involvement falls back toan on call support role and the long term support group takes over Support the line organization in normal use of the process Changes rolled out to all projects in the organization Long term support agreements and funding in place New environment makes existing contracts obsolete Line organization calls on long term support provider instead of SEPG when problems arise new training is needed specific tailoring is required etc SEPG monitors long term support provider to ensure adequate support for line organization MSG periodically reviews long term support to ensure that proper funding and contractual commitments are being met CMU SEI 96 HB 001 5 0 The Leveraging Phase 5 0 Overview Purpose CMU SEI 96 HB 001 The Leveraging Phase Now that the organization has completed one cycle through IDEAL it is necessary to review what happened during that cycle and prepare f
28. The TWG will then complete the remainder of the template and submit the completed plan to the MSG for approval Pilot plans are generated from an existing template sup plied to the TWG by the SEPG It is a plan that is used to guide the first installation of a potential solution to one of the findings from the baselining activities This plan is completed in conjunction with the organization component that has agreed to pilot the solution It is approved by the management of the organization that is to receive the pilot installation This plan is developed after successful installation of the pilot solution applying any lessons learned from the pilot activity It is used to guide the deployment of the solution organization wide It is approved by the MSG These plans are developed and updated throughout the SPI activity to keep the organization informed of the SPI activ ities Keeping the organization aware of what is happening will contribute to achieving buy in and sponsorship for the SPI program CMU SEI 96 HB 001 1 0 The Initiating Phase 1 0 Overview CMU SEI 96 HB 001 The Initiating Phase This is the initial step in the IDEAL model In this phase the organization s senior management first understands the need software process improvement SPI commits to a SPI program and defines the context for SPI This step is similar to the definition of a new system An initial high level SPI plan and schedule for initial
29. a lot of things for the SEPGs and TWGs that areon the front lines trying to accomplish process improve ment CMU SEI 96 HB 001 31 The Initiating Phase Establish Software Process Improvement Infrastructure t Oo The infrastructure can provide resources when they are needed provide counseling about the direction scope and speed of the effort remove roadblocks so the SPI program proceeds smoothly Purpose Maintain visibility for the SPI program Facilitate and encourage information sharing Capture and retain lessons learned and improvements developed Provide a support resource Figure 1 2 on page 33 shows these elements as they sup port SPI Objectives Establish the infrastructure Start ongoing infrastructure activities Facilitate the SPI program Advise and monitor the efforts of the SEPG Coordinate process improvement activities Provide visible and effective sponsorship for the SPI program Entry Criteria SPI proposal approved and resources allocated Exit Criteria Infrastructure defined in terms of specific people orga nizational entities roles and responsibilities and inter faces Infrastructure charters created Infrastructure in place and operating Although the task of establishing the infrastructure has a definite exit many of the activities that are begun in this task start continuous ongoing activities that last for the life of the SPI program 32 CMU SEI 96 HB 001 The I
30. and strengths and weaknesses that have been found Objectives Provide initial feedback to the participants on the re sults of the baselining activities Build support and consensus regarding the validity of the findings Entry Criteria Baselining data collection activities completed Baselining team has reached consensus on the strengths and weaknesses discovered Exit Criteria Briefing of the findings to all participants has been con ducted Tasks Prepare briefing for participants that includes method used data sources strengths weaknesses next steps 64 CMU SEI 96 HB 001 2 0 The Diagnosing Phase 2 5 Develop Final Findings and Recommendations Report 2 5 Purpose Objectives Entry Criteria Exit Criteria Tasks CMU SEI 96 HB 001 Develop Final Findings and Recommendations Report The Final Findings and Recommendations Report docu ments the baselining effort and provides a lasting repre sentation of the organizations current state The baselining team will develop a set of recommendations to go along with the findings that were discovered during the baselin ing activity The baselines particularly the process maturity baseline typically identify issues and provide recommendations based on a much broader consensus than may have been available before These issues and recommendations serve to provide some guidance and often a prioritization of ac tions The results of the baselines will be incor
31. and approved Resources for SPI program authorized Business needs identified Tasks Review and select baselines that are needed Review resource requirements for the SPI program Tailor guide activities as appropriate for the organiza tion Develop sponsorship activities Introduce concepts of managing technological change and technology transition Obtain training on ability to recognize and deal with re sistance to change that will present themselves to the improvement program CMU SEI 96 HB 001 145 6 0 Manage the Software Process Improvement Program 6 2 Organizing the SPI Program ae a 6 2 Organizing the SPI Program Purpose As a SPI program gets under way an infrastructure must be developed and put in place This infrastructure will have the responsibility of providing guidance for the SPI pro gram In most cases there will be three components to the organi zation s SPI infrastructure 1 Software engineering process group SEPG 2 Management steering group MSG 3 Technical working group TWG These are generic names and may vary from organization to organization The components of the infrastructure and their relationship to each other are largely determined by such factors as organization size and geographical diversi ty Figure 6 1 below is an illustration of the components of atypical SPI infrastructure Steering Group a Human Finance Manufacturing Development Management
32. and determine how those key process areas can be applied and used in the SPI pro gram itself List critical assumptions e g sponsorship work load resource availability and describe how each affects the plan Discuss the risks implied by these assumptions Identify the barriers including the non technological barriers to the improvement program and describe the strategies to reduce those barriers Note If using the Managing Technological Change implementation plan tie it in here 195 B 0 Charters and Templates B 4 SPI Strategic Action Plan 6 Organization for Process Improvement 7 Responsibility Matrix 8 Criteria for Success Define and describe theinfrastructurethat isin place or being created to support the improvement program Describe the organizational entities e g MSG SEPG etc created to support process improvement in terms of their composition roles responsibilities and interfaces Reference the charters for these groups and attach those charters to Section 9 Improvement Agenda Identify the sponsor and what current resources are committed Note this is summarized from the resourc es identified in Section 9 Describe which group is responsible for what through out the SPI program List theSEPG coordinating activities with theMSG and TWGs Describe which group is responsible for what through out the SPI program Describe how the goals from Section 3 Process m provement
33. and their specific areas of expertise SEPG members spend some amount of time outside their home organizations helping other SEPGs Exit Criteria This activity must continue as long as the various SEPG members across the company need support which is likely to be as long as their own program is running 46 CMU SEI 96 HB 001 NO The Initiating Phase Assess the Climate for SPI 1 7 Purpose Objectives Entry Criteria Exit Criteria CMU SEI 96 HB 001 Assess the Climate for SPI The purpose of assessing the climate for SPI is to identify barriers and leverage points across the organization that will have an impact on the SPI program and to develop ef fective plans to ensure that the improvements made during the SPI program last A substantial portion of this task is based on concepts of managing technological change Identify key organizational barriers toa SPI program Define strategies to reduce those barriers Define strategies to interact with other related pro grams and initiatives Develop a strategy for enhancing and maintaining sponsorship of the SPI program Update the organization s SPI communications plan Develop a program to enhance change agent abilities MSG and SEPG members have taken a course in man aging technological change The infrastructure has been defined in terms of specific people organizational entities roles and responsi bili ties and interfaces The infrastructure
34. attention focused on the long term program provide information to the organization as a whole to see the effort and progress of the SPI program provide ongoing recognition of what is happening with in the SPI program as it evolves SPI programs are launched and sponsored by executive management but they are often forgotten or become invis ible after the initial fanfare is over Having a regular time set aside at all levels of management for paying attention to the SPI program keeps the program in focus and main tains its visibility This will enable management to respond to situations that arise at individual sites before these sit uations become crises Successes can be shared and a com mon vision and approach to the SPI program can be devel oped across the entire organization Maintaining visibility of the SPI program and its activities is crucial to the survival of the program During the early part of the program the SPI program does not provide highly visible results There is a tendency to lose sight of the objectives and long term nature of the SPI program es pecially during periods of organizational upheaval and cri sis Quite often SPI programs die through neglect rather than deliberate termination as individuals become more concerned and involved with day to day crises and lose fo cus on the long term benefits The Maintain Visibility activity is initiated once the orga nization has decided to undertake a SPI program
35. big a scope and have failed to complete the effort A guideline for determining the scope of the TWGs project should be something that can be accomplished in 6 to 9 months or less Improvement teams are trying to strike a balance be tween showing early results to the organization and com ing up with the best solution There is nothing wrong with taking a twoor three step approach to developing an im provement intermediate benefits can be shown along the way Complete the tactical action plan sections not specified by the MSG and fill in other areas of the plan Review and narrow the scope of the project if necessary to something that can be done in a relatively short amount of time 6 9 months Tactical plan template from MSG Tactical plan approved by MSG Review draft tactical plan with MSG sponsor and SEPG liaison Review data from baselining phase with SEPG liaison Develop task sorting and selection criteria 101 4 0 The Acting Phase 4 1 Complete Tactical Plan for Technical Working Group TWG Explore problem area to get preliminary directions for the team Create work breakdown structure WBS for the TWG Organize WBS tasks into a schedule with milestones and deliverables Review and refine the tactical plan with MSG sponsor and SEPG liaison 102 CMU SEI 96 HB 001 4 0 The Acting Phase 4 2 Develop Solutions 4 2 Develop Solutions Purpose This is the step where solutions to the process issues fo
36. for SPI CMU SEI 96 HB 001 5 0 The Leveraging Phase 5 3 Revise Organizational Approach 5 3 Purpose Objectives Exit Criteria Entry Criteria Tasks CMU SEI 96 HB 001 Revise Organizational Approach The purpose of this step is to make the next cycle through the SPI process more effective and efficient Any enhance ments you can make to the SPI process will allow you to make improvement changes more effectively reduce resis tance to change and allow SPI to proceed at a faster pace Develop more effective and efficient SPI process Reduce resistance to SPI Insure effective sponsorship for SPI SPI approach modified for entry into the next cycle through the IDEAL model The documented approach to SPI has been revised tore flect the corrections and additions resulting from the re view and analysis of lessons learned Lessons learned have been reviewed and analyzed Interviews with participants have been conducted Industry trends have been reviewed Artifacts plans procedures etc from previous SPI cy cle are available Results from the analysis of lessons learned and the re sults from participant interviews regarding the previ ous SPI cycle are available Revise the previous approach to SPI Document the new approach Make changes to infrastructure if necessary 135 5 0 The Leveraging Phase 5 4 Review Sponsorship and Commitment 5 4 Purpose Objectives Entry Criteria Exit Criteria
37. full time and a part time basis Obviously it is most desirable to have all mem bers of the SEPG dedicated 100 but this is not always achievable in practice Part time members can be used for periods of time when the SEPG has a lot of activity occur ring for a finite period of time It is strongly recommended that the organization have at least one person dedicated full time to the SEPG and that he or she be the SEPG lead er Characteristics of a typical member of the SEPG include 147 6 0 6 2 148 Manage the Software Process Improvement Program Organizing the SPI Program experience as a practitioner expert knowledge in one or more domains good interpersonal skills respect of their peers in the organization It will bea difficult task to draw these people whoaresome of the best and the brightest that the organization has away from a project manager who has responsibility for a critical project Some staff will want to become members of the SEPG The ease with which staff can be recruited will depend on the perceived level of management support for the SPI pro gram Projects may lose some of their best people to the SEPG This must be allowed to happen The organization should not sacrifice long term gain for the organization as a whole in favor of short term gain for an individual project In the long run the organization must do all it can to en sure the success of the SPI program yet this has to be bal anced ag
38. how to adopt and institutionalize proven im provement accomplishments Appendix B 0 on page 185 has an assortment of sample plans templates and charters along with some discussion of their use and application Define goals of the SPI program Provide focus and direction for the SPI activities Determine resources required for the SPI program Show commitment for the SPI program CMU SEI 96 HB 001 6 0 Manage the Software Process Improvement Program 6 3 Planning the SPI Program Entry Criteria Tasks CMU SEI 96 HB 001 MSG established SEPG established Organizational strategic business plan exists Review existing baselines and determine if new base lines need to be developed Plan for and schedule training required for the selected baselines and strategic planning activities Develop organizational plan for the SPI program Based on results from the baselining activities develop SPI action plan Based on prioritized results from the baselining activi ties develop tactical plans Develop detailed schedules through completion of base lining and strategic planning Review and approve plans developed MSG 155 6 0 Manage the Software Process Improvement Program 6 4 Staffing the SPI Program 6 4 Purpose 156 Staffing the SPI Program In most organizations existing personnel will staff the SPI program These resources will include those that are allo cated to the improvement work itself and
39. in SPI strategic plan Transform the goals into measurable specific improvement goals CMU SEI 96 HB 001 3 0 The Establishing Phase 3 12 Create Update the SPI Strategic Plan 3 12 Create Update the SPI Strategic Plan Purpose Now that all sections of the SPI strategic action plan are ready the plan has been reconciled with the baseline re sults and the goals transformed the plan has to be put to gether edited and finalized Objectives Finalize the SPI strategic plan Entry Criteria All sections of the strategic action plan completed or in puts finalized Exit Criteria Complete SPI strategic plan written Tasks Mergethe various sections developed during previous steps in this process Edit resolving inconsistencies etc Prepare final draft for review CMU SEI 96 HB 001 89 3 0 The Establishing Phase 3 13 Build Consensus Review and Approve the SPI Strategic Plan and Commit Resources to Action 3 13 Purpose Objectives Entry Criteria Exit Criteria Tasks 90 Build Consensus Review and Approve the SPI Strategic Plan and Commit Resources to Action The action plan will be no good if it is built in a vacuum and only a small group believes in it To be useful it has to be sold and consensus has to be developed The action plan that is developed needs to be communicat ed to the organization You are expecting the components and personnel within the organization to make this plan work
40. ing activity preferably through individual staff meetings and at group briefings The SEPG will conduct informational briefings for the or ganization as a whole on what the baseline is how it re lates tothe SPI program and what will be happening This is typically done through briefings to sections of the organi zation with most of the people in that section attending along with the section s manager The SEPG should also brief the selected participants on their roles responsibilities detailed schedules and the 207 C 0 Establish Organization Process Maturity Baseline C 1 Prepare for Baselines overall baselining process concentrating on how the partic ipants information is to be used Exit Criteria All preparations are completed for the assessment Invita tions have been issued functional area representatives FARs and project leaders are briefed everything is sched uled and ready to go and a complete dry run of the process has been satisfactorily completed Tasks Determine scope of the baseline Select and train team in the baselining method chosen Set expectations Determine baselining participants Finalize baseline dates plans and schedules Prepare and test logistics for the baselining activity Hold dry run or team walk through of the baselining process Plan development activities for the final report and rec ommendations 208 CMU SEI 96 HB 001 C 0 Establish Organization Process Maturity B
41. is in place and operating Organizational diagnostics are complete Sponsorship strategies and organization communica tion plan have been completed Interfaces and interactions with other programs and in itiatives have been defined Change management strategy developed 47 NO Tasks 48 The Initiating Phase Assess the Climate for SPI Updated organization SPI communication plan and sponsorship enhancement and maintenance strategies Using organizational diagnostics assess the history of barriers to implementing similar change programs Assess the organization s culture and identify related barriers and leverage points Assess sponsorship for SPI and determine what is need ed to improve it Assess current resistance to a new SPI program and identify related barriers and leverage points Identify what other improvement activities and major developments are already occurring and determine how to interface and interact with them Develop change management strategies to reduce or re move barriers capitalize on leverage points cascade sponsorship for SPI managetarget resistance to chang es and generally increase the organization s capacity for change Update the organization communication plan including messages audiences media sequencing and monitor ing to implement the change management strategies CMU SEI 96 HB 001 The Initiating Phase Define General SPI Goals 1 8 Define General SPI G
42. is to learn from the mistakes or omissions that you may have made in the previous cycle and modify and change your approach so you don t repeat them You are looking for ways to make things better for all on this next cycle through the model Analyze past practices and processes for improvements to make to them to make the next cycle through IDEAL work better Consider deleting and replacing processes that did not work well Consider adding new processes that will make SPI work better Completion of the previous phases of the IDEAL model accomplished Lessons learned artifacts and other information re garding the previous cycle through IDEAL readily available Data from the interviews of SPI participants regarding the previous SPI cycle are available Review and analysis of the activities performed in the previous I DEAL cycle completed Adjustments or plans for adjustments in the SPI ap proach confirmed 133 5 0 5 2 Tasks 134 The Leveraging Phase Analyze Lessons Learned Review lessons learned reports Review artifacts produced Review overall approach to SPI Review communications activity Review interview results from SPI participants regard ing previous SPI cycle Review effectiveness of the SPI infrastructure that was in place Interview all levels of management to include their in puts Survey other organizations and the literature to see what others are doing regarding the process
43. it is only proper that you communicate what is in it and expected of them Approve SPI strategic action plan Build consensus and commitment to the plan Completed draft plan ready SPI action plan finalized and approved Present review the plan at all levels of the organization Collect comments and suggestions and resolve conflict ing ideas Incorporate all changes and have all senior line manag ers as well as the organization s senior manager sign the plan Publicize the plan send a copy to everyone in the orga nization CMU SEI 96 HB 001 3 0 The Establishing Phase 3 14 Form the Technical Working Group TWG 3 14 Purpose Objectives Entry Criteria Exit Criteria Tasks CMU SEI 96 HB 001 Form the Technical Working Group TWG For improvements that take more than a couple of days of one person s time and affect several people a team ap proach usually works best Theteam should be composed of volunteers from the target audience those who will ulti mately adopt the process improvement who are enthusias tic about working on theimprovement This group of people can be identified during the baselining portion of the activ ity ln the recommendation generating step of the maturity baseline people can be asked to rank the alternatives by their own enthusiasm When a particular solution area is decided upon these people can be contacted to commit to the project for real Build a team from
44. line management 14 strategic business plan defined 218 strategic level activities 5 strategic plans 73 153 support long term 126 T tactical action plan 91 92 97 153 171 177 178 185 defined 218 template 198 199 tactical level activities 5 tactical plan for TWG 101 102 target group 97 defined 218 task sorting and selection criteria 101 technical working group TWG 142 149 151 176 178 approaches to process improvements 94 artifacts from 112 113 baselines use of 54 charter 176 198 defined 218 communication with other groups 97 composition of 149 defined 218 defining roles and responsibilities for 85 disbanding 114 education and skills 56 69 95 128 forming 91 92 kickoff meeting 92 leader 176 lessons learned 114 long term support 110 MSG sponsor 91 176 objectives 177 products of 112 113 project planning 101 102 relationship with SEPG 35 rolein Acting phase 95 roles and responsibilities 84 rollout strategy and plan template created by 111 SEPG liaison 92 solution providers 108 109 solutions pilot 107 SPI providing input on 132 staffing 156 157 168 176 support long term 110 tactical action plan see plans tactical action 222 task sorting and selection criteria 101 tasks 177 178 types 149 work breakdown structure WBS 102 199 technological change managing 47 48 technology transition 97 training plan 121 TWG seetechnical working group TWG V vision statement 21 vision organizational 3
45. management time participation in follow on activities MSG assessing climate launching SPI etc Entry Criteria Business rationale for establishing a SPI program is clear The proposal is completed and ready to be delivered Exit Criteria Proposal approved Resources allocated Organization communication updated or Proposal rejected and program cancelled Tasks Present the proposal to the key organization stakehold ers and senior management Obtain approval of the proposal 28 CMU SEI 96 HB 001 The Initiating Phase Obtain Approval for SPI Proposal and Initial Resources Allocate initial resources to begin work primarily the MSG and SEPG Establish funding strategy identify who is responsible for providing and managing what resources Budget for needed resources F ind obtain distribute resources including senior man agement time to participate in follow on activities Update the organization communication plan CMU SEI 96 HB 001 29 The Initiating Phase Establish Software Process Improvement Infrastructure 1 6 Overview 30 Establish Software Process Improvement Infrastructure To effectively manage the SPI program an infrastructure must bein place or created The elements of the infrastruc ture must have clearly defined duties and responsibilities along with authority to properly ensure the success of the SPI program Appendix A O on page 167 describes the pro cess improvement
46. operational levels within a process im provement initiative A strategic level in which there are processes that are the responsibility of senior management A tactical level in which processes are modified created and executed by line managers and practitioners 6 0 Manage the Software Process Improvement Program 1 0 The 5 0 The Initiating Leveraging Phase Phase Diagnosing Establishing Phase Phase Figure Intro 2 Two Dimensional View of a Process Improvement Activity CMU SEI 96 HB 001 The flow depicted in Figure Intro 2 should be viewed as a continuous flow As improvement activity is completed both the strategic level and tactical level activities return to the Leveraging phase where management commitment is reaffirmed new baselines are planned and strategy may or may not be redirected Introduction Structure of the This document describes the 5 phases of the DEAL model Guide shown in Figure ntro 1 on page 2 These phases of the IDEAL model contain a set of tasks that are executed dur ing the implementation of a SPI program A sixth activity that of providing management oversight to the program is described in the final chapter of this guide Descriptions of these activities make up the remaining six chapters of this guide The IDEAL phases in Figure ntro 1 match the chapters within the document The activities in the guide are listed and briefly summa rized in the following table Activity Name
47. or through a desire to maintain or improve their competitive edge through the quality and productivity of their software processes U sual ly there are one or more champions of SPI who lobby to get an effort started and investigate ways tolaunch a program The key entry criteria are Critical business needs to improve software develop ment processes exist and are fully understood Organization champion s for SPI are identified E xperience has shown that there are some key factors that will enhance the chances for a successful SPI program Having the correct levels of sponsorship for the program developing an infrastructure staffed with respected mem bers from the organization developing a communications plan and implementing an incentive and recognition pro gram for SPI will return large benefits Theinitial SPI infrastructure has been established and is reinforcing sponsorship and promoting SPI concepts and activities Organization has linked the SPI initiative with the or ganization s business strategy Initial organization communication plan for the SPI initiative is completed Recognition program established to publicly demon strate rewards for SPI results An initial organization specific SPI plan has been cre ated to guide the program through the Initiating Diag nosing and Establishing phases of the IDEAL model 1 0 The Initiating Phase See Figure 1 1 on page 17 for a pictorial representation of the
48. or two meet ings to be devoted to instruction on team concepts and meeting effectiveness Document current processes Assess current processes Improve current processes Develop plan to pilot improved process Pilot the new improved process Activities that are performed by a TWG include the follow ing Research problem and identify solutions Formulate solution Revise tactical action plan to fit selected solution Present possible solutions to MSG along with proposed solution Select initial prototype group Begin prototyping 177 A 0 Components of the Software Process Improvement Infrastructure A 3 The Technical Working Group TWG Evaluate results of prototype Revise tactical action plan with lessons learned from prototype 178 CMU SEI 96 HB 001 A 0 Components of the Software Process Improvement Infrastructure A4 The Software Process Improvement Advisory Committee SPIAC A 4 Purpose CMU SEI 96 HB 001 The Software Process Improvement Advisory Committee SPIAC The purpose of the SPIAC is to support the long range pro cess improvement activities of the organization by facilitat ing interaction among the organization s SEPGs promot ing information sharing and providing a mechanism for the SEPGs to address common problems The SPIAC can bea very valuable resource for those orga nizations that have multiple SE PGs These SEPGs may be operating in the same or different geographical locati
49. people with diverse backgrounds whoall have a stake in the area of improvement TWG charter and draft tactical action plan from MSG SEPG High level process descriptions from process baselining step Process maturity issues from maturity baselining step Related recommendations and low hanging fruit from maturity baselining step Key process metrics from metrics baselining step TWG established Assign MSG sponsorship responsibility for the TWG to one MSG member The TWG needs one person on the MSG to act as primary sponsor and advocate This per son is usually the process owner of the particular area the TWG is going to be improving The MSG sponsor will have the responsibility to communicate issues about the TWG activities to other MSG members and to give feedback to the TWG from the MSG 91 3 0 The Establishing Phase 3 14 Form the Technical Working Group TWG Assign SEPG liaison responsibility for the TWG to one SEPG member The SEPG liaison acts as facilitator or quality advisor see Scholtes Peter R The TEAM Handbook How to UseTeams to mprove Quality to the TWG brings the data from the baselining steps to the other TWG members facilitates the flow of information between the various people and groups involved in process improvement such as between the TWG and the MSG and other organizations and among the team members themselves acts as the surrogate leader when the TWG is beginning
50. provement initiative Regardless of whether the improve ments are viewed as a good thing or a bad thing there will still be change and there will be resistance Being able to recognize that this resistance to change is oc curring and being able to deal with it effectively is critical to the success of the SPI program The type and amount of resistance will vary from organiza tion to organization depending on the culture that exists within the organization Resistance will occur in two forms overt and covert It is easier for management to deal with the overt resistance as it is out in the open and easily recognized The harder chal lenge will be to surface covert resistance so that it is more recognizable and easier to deal with Being aware that re sistance will occur that it is not always on the surface and being able to recognize it when it is surfaced will make CMU SEI 96 HB 001 6 0 Manage the Software Process Improvement Program 6 1 Setting the Stage for Software Process Improvement SPI things go a lot smoother However managing the SPI pro gram will still be a difficult challenge Objectives Establish priorities for the SPI program Approve SPI strategic action plans Allocate resources Monitor improvement progress against plan Develop reward system Provide continuing visible sponsorship Entry Criteria Commitment made to establish and implement a SPI program Proposal for SPI program completed
51. range of possibilities among providers CMU SEI 96 HB 001 4 0 4 4 The Acting Phase Select Solution Providers Narrow down theset of providers to one or twothat best meet needs and are ready to work with the organiza tion Develop contracts with solution providers CMU SEI 96 HB 001 109 4 0 The Acting Phase 4 5 Determine Long Term Support Needs 4 5 Purpose Objectives Entry Criteria Exit Criteria Tasks 110 Determine Long Term Support Needs Long term solutions will require long term support As the solution is implemented in other parts of the organization people will have to be trained problems may crop up and additional tailoring may be needed This step identifies the requirements for long term support in terms of knowledge and skills required how defects are fixed installation and configuration consulting etc The improvement should be planned to last for a few years possibly as part of some larger improvement effort Ongoing support for any tools methods classes materials etc should be planned in par allel with the solution development step Identify long term support needs and potential sources for support Plan internal long term support mechanisms Secure funding for long term support List of recommended support providers from SEPG Specific support provider s chosen Support contracts drafted Work with support providers to satisfy needs of TWG and pilot solution Re
52. shape of the infrastructure does not get in the way of the SPI pro gram Each component has a scope of clearly defined duties 168 CMU SEI 96 HB 001 A 0 Components of the Software Process Improvement Infrastructure and responsibilities Figure A 2 below is an expansion of the infrastructure to support a SPI program Ga TWG Figure A 2 Expansion of Infrastructure in Figure A 1 CMU SEI 96 HB 001 169 A 0 Components of the Software Process Improvement Infrastructure A 1 The Management Steering Group MSG A 1 Purpose 170 The Management Steering Group MSG The MSG is made up of the management team that repre sents the highest level of management in the organization Its purposeis to guidethe SPI implementation activities in the organization The MSG will establish the goals and ob jectives and set the direction and priorities for the SPI pro gram The MSG should also apply improvement activities to the existing management processes The MSG will supply the resources necessary to carry out the SPI program It will charter TWGs for specific process improvement approve training to support the SPI program determine the measurement and success criteria used to evaluate the program The MSG will also serve to resolve issues that arise during the SPI program that cannot be handled by the SEPG and TWGs The MSG removes barriers tothe SPI program and creates a recognition and reward structureto recognize the efforts
53. tasks associated with the Initiating Phase of the DE AL model CMU SEI 96 HB 001 1 0 The Initiating Phase 1 1 Getting Started 1 2 1 3 Identify Business Needs Build a Software Process and Drivers for Improvement Improvement SPI Proposal 1 4 Educate and Build Support 1 5 Obtain Approval for SPI Proposal and Initial Resources 1 6 Establish Software Process Improvement Infrastructure 1 7 Assess the Climate for SPI 1 8 Define General SPI Goals 1 9 Define the Guiding Principles of the SPI Program 1 10 Launch the Program Figure 1 1 Process Flow for Initiating Phase CMU SEI 96 HB 001 17 1 0 The Initiating Phase Tasks The tasks for the Initiating phase are shown in the table below Page Number 1 1 Getting Started 1 2 Identify Business Needs and Drivers for Improvement 1 3 Build a Software Process Improvement SPI Proposal 1 4 Educate and Build Support 18 CMU SEI 96 HB 001 The Initiating Phase Getting Started 0 1 1 Getting Started Purpose The purpose of this activity is to organize a discovery team to put together a proposal to management for launching a SPI program This team will gather information about current business needs organizational policies and regulations that may affect a SPI program other change programs or similar initiatives that exist in the organization or that may be planned for the fu ture ways torun a SPI program The team will t
54. the most challenging and in some sense the most rewarding responsibility Significant challenges will come from the or ganization s resistance to change cost schedule demands and inevitable slow progress that seem to characterize all improvement efforts Management must keep the SPI pro gram focused on improvements connected to the organiza tion s vision and mission To keep the SPI program focused over the long term a management infrastructure will be required This manage ment infrastructure will be required to make changes of fo cus and adjustments to priorities many times as the effort proceeds These changes will be driven by both internal and external factors changes in the marketplace shortage of resources critical skill availability availability of new or improved technologies and any of a host of other factors One of the biggest challenges that the management infra structure will have to deal with is the organization itself The organization has a culture and the SPI program in some cases will be asking this culture to change Guiding an organization through a change in culture takes time A significant challenge related to dealing with the organi zation is management itself Management must be able to recognize that they area significant part of the organiza tional culture and that they may also be required to change as the organization changes Managers must be able to divorce themselves from cultural bias
55. the EC The second additional component is usually called some thing similar to software process improvement advisory committee SPIAC This committee is usually created when an organization has multiple SEPGs resulting in multiple improvement efforts occurring across different lo cations within the organization Multiple SEPGs are typi cally appropriate when an organization is large and or geographically dispersed The SPIAC serves as a forum where each of the multiple SEPGs arerepresented Through this forum sharing of ex periences lessons learned and improvements accom plished will benefit the overall program A forum in which SEPGs can exchange information reduces the number of false starts so that SEPGs do not have to duplicate work that other SEPGs have already done 151 6 0 Manage the Software Process Improvement Program 6 2 Organizing the SPI Program Figure 6 2 below illustrates how an improvement infra structure might look in a very large organization Figure 6 2 Typical SPI Infrastructure in a Large Organization Tasks Establish the MSG Establish the SEPG Develop charter for the SEPG MSG Demonstrate sponsorship for the improvement activi ties Develop charter template for the TWGs 152 CMU SEI 96 HB 001 6 0 Manage the Software Process Improvement Program 6 3 Planning the SPI Program 6 3 Purpose CMU SEI 96 HB 001 Planning the SPI Program There will be many plans that will be d
56. the MSG Recruit qualified staff for SEPG membership Recruit and or assign proper representation to TWGs MSG established SEPG established Assign management staff to the MSG Create job descriptions for the SEPG members Recruit staff for the SEPG Develop guidelines for TWG membership 157 6 0 6 4 158 Manage the Software Process Improvement Program Staffing the SPI Program Recruit and or assign staff to the TWGs Review resource requirements for each baselining activ ity against resources available CMU SEI 96 HB 001 6 0 Manage the Software Process Improvement Program 6 5 Monitoring the SPI Program 6 5 Purpose CMU SEI 96 HB 001 Monitoring the SPI Program As the SPI program proceeds one of the responsibilities of the MSG will be to periodically review progress of the ini tiative against the milestones and goals that are defined and documented in the SPI strategic action plan These progress reviews of the SPI program will be regularly scheduled and occur at the monthly meeting of the MSG The format that the reviews will take should be defined in advance by the MSG documented in the TWG charter and should have the same format from review to review It may take a few cycles of review meetings to determine the most productive format for the review and any associated arti facts that are used or distributed at the review Evaluation activities encompass all facets of an organiza tion s SPI prog
57. to gather the factual information required to support the SPI effort The information gathered will present a snapshot of the organi zations strengths and weaknesses relative to its software development and software development management prac tices Gather actual information regarding the strengths and weaknesses of the organization processes used in software development activities Consensus and agreement on the baseline activities schedule Baselining team selected and trained Agreement understanding regarding confidentiality of the findings data Policies procedures and guidelines that the organiza tion has established for use in its software development activities are readily available Baselining team has information to create a findings and recommendations report Outbriefing for the baseline participants has been pre pared Interview members of the software development staff Interview members of the software development man agement staff Review and analyze policy procedures and guidelines for software development activities Validation of findings by review with participants 63 2 0 The Diagnosing Phase 2 4 Present Findings ee ere ee 2 4 Present Findings Purpose The baselining team at the end of its baselining data col lection activities presents to the participants what it has found This is in the form of a briefing that describes the method used the participants areas of investigation
58. 5 49 53 57 67 68 69 74 75 137 182 195 216 CMU SEI 96 HB 001
59. 7 initial commitment 13 proposal to 23 sponsorship and commitment reaffirmed by 129 sponsorship of SPI program 68 see also management steering group MSG Managing Technological Change 47 80 220 implementation plan 195 maturity baseline 203 214 measurement see metrics metrics 98 105 106 107 159 161 170 196 200 process 91 process metrics reports 124 MSG seemanagement steering group MSG O organization communication plan 15 23 26 29 48 52 81 defined 216 organization strategic plan for SPI defined 216 organizational approach revising 135 P pilot defined 216 pilot plan 153 defined 216 pilot solutions 107 plans availability for subsequent SPI cycles 135 briefing 27 business 49 67 68 69 76 77 78 82 communications 10 continuing guidance to SPI program developing 127 deployment or rollout 10 high level SPI 11 24 installation 122 153 185 defined 215 template 200 201 Managing Technological Change implementation 195 organization communication 15 23 26 29 47 48 52 81 defined 216 organization strategic for SPI defined 216 defined 10 216 pilot defined 10 rollout strategy and 95 111 115 118 124 153 defined 217 refining 117 tailoring 119 SPI strategic action 9 11 51 153 approval of 145 171 building commitment to 90 completed 89 creating 67 70 developing 53 developing new revised 138 development of 172 guiding principles section 51 improvement agenda section of
60. 81 195 organization communication plan 23 29 48 52 216 organization strategic plan for defined 216 organizing for 146 152 phases of 2 6 pilot plan 153 defined 216 planning for 153 155 principles guiding 51 195 progress review 159 162 163 project selection 63 86 proposal 11 23 28 35 36 52 defined 218 risks 195 rollout strategy and plan 95 111 115 153 217 sponsorship for 12 sponsorship for reaffirming 128 sponsorship for reviewing 136 staffing 7 8 156 158 strategic action plan see plans SPI strategic action support network 45 46 support long term 110 126 tactical action plan 91 92 97 218 training 120 121 173 175 visibility maintaining 38 39 software process improvement SPI strategic action plan defined 217 software process improvement advisory committee SPIAC 151 179 181 chair 180 charter 191 193 defined 217 italicized page number indicates that the item appears in a table or figure 221 Index in SPI infrastructure 152 objectives 180 tasks 180 181 software process improvement networks SPINs 40 180 defined 218 Software Process mprovenent Roadmap vi software quality assurance 161 solution providers 108 109 solutions pilot 107 SPI see software process improvement SPIAC see software process improvement advisory com mittee SPIAC SPINs see software process improvement networks SPINs staffing see software process improvement SPI staffing stakeholders 7 defined 218
61. 83 86 incorporating baseline results into 65 incorporating baselines into 87 initiating development of 55 motivations documented in 81 motivations section of 81 organization section of 62 84 85 template 194 197 updating 56 strategic 73 153 strategic business 155 defined 218 tactical action 10 91 92 97 104 153 171 177 178 CMU SEI 96 HB 001 Index 185 defined 218 template 198 199 tactical for TWG 101 102 templates 194 201 training 121 practitioners 11 building involvement from 55 defined 216 education and skills 13 56 69 95 process action team see technical working group TWG process database 163 173 174 180 defined 150 217 process maturity baseline 203 214 processes refining 104 105 project selection criteria for 63 86 proposal SPI 11 23 28 35 36 52 revising 138 Q quality assurance QA 161 R resistance dealing with 144 review meetings see software process improvement SPI progress review Roadmap see Software Process Improvement Roadmap rollout strategy and plan 95 111 115 153 defined 217 S SEPG see software engineering process group SEPG software capability evaluation SCE 60 software engineering process group SEPG 147 149 172 175 approval for resources 28 briefing on strategy given by 116 charter 147 defined 217 example of 188 190 communication with TWG 97 defined 217 defining roles and responsibilities for 85 education and skills 13 56 69 95
62. 96 HB 001 69 3 0 The Establishing Phase Training Facilitation Line TA MSG SEPG TWG Managers Practitioners X X X esmes TX Te TT A Commitment Communication Entry Criteria Exit Criteria 70 This step requires a substantial commitment from senior management primarily of their own time to work on de veloping the SPI strategic action plan Senior managers must commit toleading the SPI program by demonstrating to everyone that even they are willing to take the time to develop a good plan for their team s activities and then to follow it In the process senior management should learn and use the same methods and techniques that the techni cal working groups TWGs will havetolearn Demonstrat ing visible sponsorship in this way can go a long way to ward convincing people that management is serious about software process improvement The MSG will be communicating with other non software senior management in developing objectives and goals The baseline teams have reported issues results and recom mendations which will support and be incorporated into the SPI strategic action plan The SPI infrastructure is in place and operating The MSG has decided that the SPI strategic action plan needs to be updated Baselining activities have been completed The SPI strategic action plan is complete and approved The organizations vision business plan and SPI strate gic action plan are synergistic See
63. A recommended minimum set of baselines includes organization process maturity baseline See Appendix C 0 on page 203 process description baseline initial software process map metrics baseline initial level of business and process metrics to measure progress against 53 2 0 54 The Diagnosing Phase For each baseline many effective methods of gathering in formation are available For the process maturity baseline an authorized lead appraiser can conduct a Capability Ma turity Model CMM based appraisal for internal process improvement CBA IPI or the organization s own person nel can be trained to appraise their process maturity Ap praisals that are based on the CMM usea set of common re quirements that are described in the CMM Appraisal Framework Version 1 0 1 The MSG must choose the number and type of baselines that best achieve the objectives it has set so that a findings and recommendations report can be obtained from each Information about the current state of the organization flows to the MSG by means of the Baseline Findings and Recommendations Reports Because the baseline reports will not necessarily coincide in time information will flow irregularly As information is available the MSG incorpo rates it intothe improvement plans Baselines do not deter mine the strategy however The strategy for improvement must be based on business goals and needs The baselines can help determine the current st
64. AL model Initiating phase installation plan 122 153 185 defined 215 template 200 201 ISO 9000 9 60 ISO 9001 20 L lessons learned 42 44 114 173 178 179 analyzing 133 134 deployment 117 124 gathering 132 Leveraging phase see DEAL model Leveraging phase Malcolm Baldridge evaluation 60 management steering group MSG 149 170 171 agreement to establish 28 approval of rollout strategy and plan by 115 baselines use of 171 briefing on strategy 116 chair 170 charter defined 216 example of 186 187 choosing baselines 54 communication 97 defined 216 defining roles and responsibilities for 85 education and skills 13 56 69 95 128 establishing 35 in SPI infrastructure 56 60 62 73 146 152 monitoring SPI program 161 163 objectives 171 refining rollout strategy and plan 117 relationship to software engineering process group SEPG 36 rolein SPI 35 rolein SPI strategic action plan 67 68 roles and responsibilities 84 171 assessments 207 securing commitments 96 staffing 11 157 strategic direction providing 164 tactical direction providing 164 165 171 tasks 171 TWG lessons learned report given to 114 TWG sponsorship of 91 168 171 management line 7 35 67 90 96 173 defined 216 education and skills 13 69 95 management middle 19 67 96 209 210 212 214 defined 216 management senior 7 11 14 19 24 27 28 38 52 67 68 70 90 96 170 182 209 210 212 214 building involvement from 55 defined 21
65. CARNEGIE MELLON UNIVERSITY MAKES NO WARRAN TIES OF ANY KIND EITHER EXPRESSED OR IMPLIED AS TO ANY MATTER INCLUDING BUT NOT LIMITED TO WARRANTY OF FITNESS FOR PURPOSE OR MERCHANTIBILITY EXCLUSIVITY OR RESULTS OBTAINED FROM USE OF THE MATERIAL CARNEGIE MELLON UNIVERSITY DOES NOT MAKE ANY WARRANTY OF ANY KIND WITH RESPECT TO FREEDOM FROM PATENT TRADEMARK OR COPYRIGHT INFRINGEMENT This work was created in the performance of Federal Government Contract Number F19628 95 C 0003 with Carnegie Mellon University for the operation of the Software Engineering Institute a federally funded research and development center The Government of the United States has a royalty free government purpose license to use duplicate or disclose the work in whole or in part and in any manner and to have or permit others to do so for government purposes pursuant to the copyright license under the clause at 52 227 7013 This document is available through Research Access Inc 800 Vinial Street Pittsburgh PA 15212 Phone 1 800 685 6510 FAX 412 321 2994 RAI also maintains a World Wide Web home page The URL is http www rai com Copies of this document are available through the National Technical Information Service NTIS For informa tion on ordering please contact NTIS directly National Technical Information Service U S Department of Commerce Springfield VA 22161 Phone 703 487 4600 This document is also available through the Defense Technical
66. Criteria Exit Criteria 82 Identify Current and Future Planned Improvement Efforts Identify other initiatives the organization may have under way This is done during a review of the organizations vi sion business plan and past improvement efforts Typically most organizations have many different im provement efforts under way Often these initiatives are un coordinated and compete with each other for scarce re sources If an organization is to maximize the effectiveness of its investment in software process improvement it must evaluate all of the initiatives under way and determine how much it is investing in each one and in total Resistance to change is also directly correlated to the total amount of change required of individuals For an organiza tion to get the best results the cumulative impact of all im provement efforts should not be overwhelming to anyone Theresults from the baselining activities will be prioritized against and reconciled with the existing and currently planned initiatives Identify all existing and or anticipated improvement ef forts in this organization either internally or externally driven such as corporate initiatives Initiatives identified from a business plan or similar sourc es Other initiatives identified prioritized and preferably rec onciled with the results documented in the SPI strategic plan CMU SEI 96 HB 001 3 0 The Establishing Phase 3 7 Identify Current a
67. Develop Baseline Findings and Recommendations Report Generate first draft of findings fragments Conduct recommendations brainstorming or focus group sessions with practitioners middle management and senior management Cluster categorize and merge recommendations Generate first draft of recommendations fragments Distribute review and update first draft with the MSG and other selected stakeholders Develop briefing Distribute review and update final draft report and briefing Deliver report and brief recommendations CMU SEI 96 HB 001 Glossary agents appraisal team baseline findings and recommendations report capability maturity model CMM champions discovery team executive council functional area representative FAR installation plan CMU SEI 96 HB 001 Glossary The SEPG and others responsible for coordinating the day to day activities of the SPI effort A teamtrainedintheCMM and an appraisal method who are chartered by the SPI sponsors to collect analyze and document software process data needed to meet appraisal objectives Report describing the current state in a specificarea with prioritized recommendations A description of the stages through which software orga nizations evolve as they define implement measure con trol and improve their software processes Respected organization members who understand SPI and the CM M for software and who educate about SP a
68. Development Manager Network Development Manager Customer Support Center Manager Quality Assurance Manager Systems Software Development Manager Documentation Development 7 ASSOCIATE MEMBERSHIP Manager SEPG 8 CONDUCT OF OPERATIONS The Management Steering Group will meet bi monthly or as called for by the Management Steering Group Chairman Meetings will have a formal agenda distributed at least three days prior to the meeting and all meetings will be documented 9 TERMINATION Not applicable Daniel A Gibson Director Software Engineering Division CMU SEI 96 HB 001 187 B 0 Charters and Templates B 2 Software Engineering Process Group Charter B 2 Software Engineering Process Group Charter General Research Company Electronics Group Research Development and Engineering Center Software Engineering Division Cooperstown New York Software Engineering Process Group SEPG Charter 12 December 1991 1 PURPOSE The purpose of this Charter is to authorize and approve a The establishment of a Software Engineering Process Group b Membership c Conduct of operations 2 SCOPE This Charter applies to all organizations and personnel located at the Electronics Group Software Engineering Division Cooperstown New York 3 AUTHORITY Director Software Engineering 4 MISSION a TOmanage the Electronics Groups process improvement program b To organize and initiate the prioritized actions in the approved El
69. EC based on the product pro duced and market opportunities in their business environ ments Membership on the EC is kept very small There are no more than three to five members who are the organiza tion s most senior management Meetings should be held semi annually At the meetings members of the EC review and discuss the progress of the SPI programs Changes in direction or focus should be com municated to the infrastructure Provide management oversight to a large geographical ly dispersed SPI initiative Monitor SPI initiative Evaluate SPI initiative Provide corrective actions as necessary tothe SPI initia tive CMU SEI 96 HB 001 A 0 Components of the Software Process Improvement Infrastructure A 5 The Executive Council EC Tasks Some of the activities performed by an executive council in clude the following Hold meetings as necessary Semi annually Evaluate progress of SPI activities against defined cri teria Review SPI activities against business needs Institute corrective actions as necessary CMU SEI 96 HB 001 183 A 0 Components of the Software Process Improvement Infrastructure A 5 The Executive Council EC 184 CMU SEI 96 HB 001 B 0 Charters and Templates B 0 Purpose CMU SEI 96 HB 001 Charters and Templates A charter is an important document in a software process improvement SPI program A charter serves as an agree ment or contract between two parties On one hand th
70. EPGs Share solutions developed with other SEPGs Establish common position on critical SPI issues CMU SEI 96 HB 001 A O A 4 CMU SEI 96 HB 001 Components of the Software Process Improvement Infrastructure The Software Process Improvement Advisory Committee SPIAC Advise management on global SPI matters Identify benefits of SPI implementations Maximize the use of SPI resources across the organiza tion 181 A 0 Components of the Software Process Improvement Infrastructure A 5 The Executive Council EC A 5 Purpose Objectives 182 The Executive Council EC The EC is concerned with how the overall improvement ef forts tie in with the vision and mission that the organiza tion has set for itself Typically the EC reviews the SPI and other process improvement efforts with knowledge of the corporation s future directions and guides the SPI program to support that vision The EC wants to ensure that the overall improvement ef forts including SPI are proceeding in a direction to sup port the corporate vision Tosupport its direction for the or ganization the council may elect to communicate certain broad improvement strategies down the infrastructure chain of command to guide the improvement efforts This broad guidance based on strategic opportunities becomes more focused moving down the SPI infrastructure The di visions or individual business units can enhance and add focus to the guidance from the
71. Handbook CMU SEI 96 HB 001 IDEALs A User s Guide for Software Process Improvement Bob McFeeley February 1996 Handbook CMU SEI 96 HB 001 February 1996 IDEAL A User s Guide for Software Process Improvement Bob McFeeley Industry Sector Unlimited distribution subject to the copyright Software Engineering Institute Carnegie Mellon University Pittsburgh Pennsylvania 15213 This report was prepared for the SEI Joint Program Office HQ ESC AXS 5 Eglin Street Hanscom AFB MA 01731 2116 The ideas and findings in this report should not be construed as an official DoD position It is published in the interest of scientific and technical information exchange FOR THE COMMANDER signature on file Thomas R Miller Lt Col USAF SEI Joint Program Office This work is sponsored by the U S Department of Defense Copyright 1996 by Carnegie Mellon University Permission to reproduce this document and to prepare derivative works from this document for internal use is granted provided the copyright and No Warranty statements are included with all reproductions and derivative works Requests for permission to reproduce this document or to prepare derivative works of this document for external and commercial use should be addressed to the SEI Licensing Agent NO WARRANTY THIS CARNEGIE MELLON UNIVERSITY AND SOFTWARE ENGINEERING INSTITUTE MATERIAL IS FURNISHED ON AN AS IS BASIS
72. I 96 HB 001 B 0 Charters and Templates B 5 Tactical Action Plan 5 Interfaces Dependencies 6 Work Breakdown Structure WBS 7 Schedule 8 Risks 9 Status Monitoring CMU SEI 96 HB 001 Each working group has an interface with other groups Define and document these interfaces in this section Break the overall task into small manageable pieces that can be used as the basis for planning identifying mile stones reporting and control Describe when each of the task elements described in the WBS are to be completed Use Gantt or PERT charts Key accomplishments should be made into milestones and tracked against original estimates Provide a basis for risk management and contingency plan ning Describe how status will be reported Note Completed status reports should be appended tothe tactical action plan to maintain a history of all activity Discuss how progress will be monitored comparisons of actual progress against proposed schedules Discuss how significant schedule deviations or changes will be handled 199 B 0 Charters and Templates B 6 Installation Plan B 6 Purpose Contents 1 Introduction Overview 2 Goals Objectives and Purpose 3 Technology Description 4 Tailoring 5 Education and Training 200 Installation Plan This plan will define the steps necessary to install an im provement into a sub unit of the organization The plan will contain the obje
73. Information Center DTIC DTIC provides access to and transfer of scientific and technical information for DoD personnel DoD contractors and potential contrac tors and other U S Government agency personnel and their contractors To obtain a copy please contact DTIC directly Defense Technical Information Center 8725 John J Kingman Road Suite 0944 Ft Belvoir VA 22060 6218 Phone 703 767 8222 or 1 800 225 3842 Use of any trademarks in this report is not intended in any way to infringe on the rights of the trademark holder Contents About This Guide vii Introduction The Initiating Phase a Getting Started X Identify Business Needs and Drivers for Improvement i 1 3 Build a Software Process Improvement SP 1 Proposal 23 1 4 Educate and Build Support 26 1 5 Obtain Approval for SP Proposal and Initial Resources 28 1 6 Establish Software Process Improvement Infrastructure 30 1 7 Assess the Climate for SPI 47 1 8 Define General SPI Goals 49 1 9 Define the Guiding Principles of the SP Program 51 1 10 Launch the Program 52 2 0 ue Diagnosing Phase Determine What Baseline s Are Needed gt Plan for the Baseline s A 2 3 Conduct Baseline s 63 2 4 Present Findings 64 2 5 Develop Final Findings and Recommendations Report 65 2 6 Communicate Findings and Recommendations to Organization 66 3 0 ve Establishing Phase Select and Get Training in a Strategic Planning Process Review Organization s Vision 3 3 Review Organi
74. PA 15212 Phone 1 800 685 6510 FAX 412 321 2994 CMU SEI 96 HB 001 Introduction Organization vs Corporate Considerations full time and one part time person to SPI At least two peo ple are needed to provide synergy and backup in activities Smaller organizations those with 30 to 50 people or so will require a strong commitment to sustain a SPI effort Orga nizations of this size have successfully conducted SPI pro grams Scale issues need to be addressed for organizations of this size as they are probably not complex enough to warrant the typical SPI infrastructure Regardless of size it is recommended that at least one person be applied full time to facilitate and execute SPI On the other hand process groups in large organizations can become too bureaucratic and could lose contact with the technical staffs they are designed to help Large orga nizations more than 600 people should consider dividing process groups into the corporate organizational model de scribed in 6 2 Organizing the SPI Program beginning on page 146 This guide is primarily focused on organization specific ac tivities To be successful such activities do not requirea corporate program A corporate program cannot fulfill all or many of the functions of an organization program It is too far away There is too much normalization That is the organization subcultures are too different for a single set of practices and solutions T
75. PG sites on a rotating basis Thus the host site and others in close proximity may have more than one representative attend the meetings Remote sites would be represented by as many SEPG mem bers that the site could afford to send but at least one member preferably the SEPG leader should attend each meeting The chair of the SPIAC is elected for a term of one to two years The chair is responsible for the agenda and for coor dinating the meeting activities schedule location and so forth The site hosting the meeting is usually responsible for the local arrangements meeting minutes and other ac tivities necessary to facilitate the meeting The main objective of a SPIAC is to provide an organiza tional forum for sharing information regarding the SPI ac tivities that are being undertaken by different parts of the organization Additionally the SPIAC can advise management on SPI matters establish common positions on critical SPI issues identify the benefits of SPI implementations identify the requirements for SPI implementations maintain the process database for items that are suit able for implementation across all locations maximize the sharing of SPI resources across the orga nization participate with external organizations and software process improvement networks SPINs for SPI pro grams Activities of the SPIAC include the following Hold regularly scheduled meetings quarterly Share lessons learned with other S
76. PONSORS David F Wilson Director CAS West William J ohnson Director CAS South J ames W Davison Director CAS East Robert Smithwel Director CAS International CMU SEI 96 HB 001 193 B 0 Charters and Templates B 4 SPI Strategic Action Plan B 4 Purpose Contents 1 Overview 2 Executive Summary 194 SPI Strategic Action Plan This plan provides an introduction tothe SPI program with context and background for how the organization has ar rived at this point It is based on baseline Findings and Recommendations Report It describes the motivation and direction for addressing the findings within an SPI program It defines long range and near term goals The suggested sections in the SPI strategic action plan are identified in the left column and comments arein the right column Provide context and background on how the organization arrived at this point Explain how this action plan will integrate all software process improvement activities at this center Explain how the current improvement efforts will be linked to recommendations from the assessment and how those efforts and future efforts will be integrated coordinated and tied to the vision Explain also that this strategic action plan will provide answers to the following questions Note Examine these questions If they are not the right ones for your organization change them Make sure that there are sections within the plan that add
77. Phase Review Organization s Vision Review existing vision for adequate linkage to SPI pro gram Modify or generate new vision if current one is inade quate Identify goals for the SPI program based on the vision Identify motivations for the SPI program based on the vision CMU SEI 96 HB 001 75 3 0 The Establishing Phase 3 3 Review Organization s Business Plan 3 3 Purpose Objectives Entry Criteria 76 Review Organization s Business Plan The purpose of this activity is to clearly link the SPI strat egy to the organization s business plan so that guidance to the SPI program can be consistent with guidance to other activities within the organization While not all process im provement activities can easily be linked toa business plan or goals that does not mean that they are not needed Some things must be done because they make the business run better but they do not directly contribute to the bottom line This activity may repeat some of the work done in the Ini tiating phase page 11 Sometimes this repetition is not needed but often the MSG has different members than those who set up the SPI program and they will need to cover some of the same topics to develop their own under standing and strategy When this step is entered as a result of a subsequent cycle through the IDEAL model these top ics should be reviewed at a minimum Review and possibly modify current business plan Generate ne
78. Program CMU SEI 96 HB 001 A 0 Components of the Software Process Improvement Infrastructure A 0 Objectives Purpose CMU SEI 96 HB 001 Components of the Software Process Improvement Infrastructure This appendix provides a brief discussion the three princi pal components of the software process improvement SP1 infrastructure Thereader should become familiar with the roles and responsibilities that are outlined for each compo nent The identified roles and responsibilities are only a starting point they can be expanded or contracted to fit specific or ganizations In some instances benefit can be gained from having addi tional components to the SPI infrastructure These compo nents are described in A 4 on page 179 and A 5 on page 182 Typically these additional components are formed in organizational environments that areeither very large and or are geographically dispersed Executive management will determine the size scope and responsibilities of the infrastructure to support the SPI program Taking into account such things as the organiza tion s size needs strategy and culture management will determinethe number of layers authority and responsibil ity for each component and who should be represented within the infrastructure To build buy in for the SPI program the infrastructure is created and staffed with representatives from all parts of the organization Involving all parts of the organization
79. SPI program to business needs The SPI discovery team exists Senior management has articulated the organization s business strategy The key business needs have been defined and links es tablished as drivers toa SPI program High level description of the desired state of process im provement for the organization has been documented Collect business needs Review current vision statements and SPI business focus Collect any current needs identification documents Interview key management stakeholders 21 NO 22 The Initiating Phase Identify Business Needs and Drivers for Improvement Review needs to determine those that can be fully or partially satisfied through a SPI program Define how the SPI program can satisfy the business needs CMU SEI 96 HB 001 wo 1 3 Purpose Objectives Entry Criteria Exit Criteria Tasks CMU SEI 96 HB 001 The Initiating Phase Build a Software Process Improvement SPI Proposal Build a Software Process Improvement SPI Proposal The purpose of this step is to build a proposal for senior management that will explain what the SPI program is why it should be initiated what it will cost how long it will take to see results and what approach is selected The pro posal should answer the questions What do we want to do and Why do we want to do it This will lead to the next management decision point at which management decides whether or not to
80. This ac tivity will remain active for the duration of the SPI pro gram In the early stages of the SPI program this activity consists of building an awareness and generating support for the undertaking While the improvement program is 38 CMU SEI 96 HB 001 The Initiating Phase 1 0 1 6 Establish Software Process Improvement Infrastructure 1 6 6 3 Maintain Visibility Objectives Entry Criteria Tasks Exit Criteria CMU SEI 96 HB 001 underway this activity serves to continuously reinforce the benefits of the SPI program The organization can determine the effectiveness of the communications activity by surveying the members of the organization to see if the messages are being heard and are understood Keep all levels of management informed on the issues progress and results of the SPI program Keep the entire organization informed on the progress and results of the SPI program Publicly recognize efforts of individuals and teams in the SPI program SPI program approved and under way Conduct management and practitioner briefings and re views Establish organization wide communication vehicles such as newsletters town hall type meetings brown bag seminars to keep the entire organization informed on the progress and results of the SPI program Establish a recognition program that publicly demon strates rewards for SPI efforts and results The program must maintain visibility of its efforts through
81. actitioner sound knowl edge in one or more domains and respect of their peers in the line organizations The members must support the SPI program championing it to the rest of the organization They must also have the capability to effectively serve as agents of change as new and improved processes and technologies are introduced to the organization SEPG members are critical to the success of the SPI pro gram It would be a good practice for the MSG to set up a screening and or interview process for SEPG membership This would help ensure that members have the proper background experience and enthusiasm for the job In most organizations members of the SEPG are on tempo rary assignment ranging from one to two years Although they may return totheir regular jobs the SEPG continues Facilitate SPI throughout the organization Track and report status of SPI programs Serve as focal point for organizational learning Some of the tasks that are performed by the SEPG include the following Hold weekly meetings Identify and recommend improvement activities to MSG Track and report progress of improvements to MSG Determine effectiveness of improvements Develop and maintain process database CMU SEI 96 HB 001 A 0 Components of the Software Process Improvement Infrastructure A 2 The Software Engineering Process Group SEPG CMU SEI 96 HB 001 Develop training plans and arrange for training Provide consultation to
82. activi ties that will occur in the course of a software process im provement SPI program requires an effective infrastruc ture for support Additionally the infrastructure must be able to react in a timely manner tothe demands of the SPI program At the initiation of the SPI program an initial SPI infra structure was put in placeto manage the activities that the organization would be undertaking during its SPI pro gram A good time to review how well this infrastructure has performed is after some time has passed and the initial accomplishments building support obtaining sponsor ship gaining commitment completing the baselining activ ities and completing action planning have been achieved Some questions to answer about the performance of the in frastructure that was initially put in place are Has the infrastructure effectively linked the SPI program to the organization s mission and vision Has the infrastructure been able to obtain and allocate sufficient resources to ensure timely accomplishments Has the infrastructure monitored the SPI program properly and provided guidance and correction as neces sary As the organization moves from the initial baselining phase of the SPI program into the improvement implemen tation phase it is critically important to have in place a strong responsive and supportive infrastructure 141 6 0 Manage the Software Process Improvement Program The improvement activities wil
83. ainst the needs of the individual projects The SEPG candidates must support the SPI program be will ingtoact as champions for the SPI program and be willing to serve as agents of change tothe rest of the organization The leader of the SEPG must be a respected member of the organization with proven ability The SEPG leader should also have the confidence of his or her peers and be looked on as someone who can get things done The SE PG leader also must have the support and confidence of senior man agement In some instances organizations have written formal job descriptions describing the duties and responsibilities of an SEPG member They then have posted the open positions for all to see and review screened applications and con ducted a rigorous interview process in selection of the per sonnel to staff the SEPG By doing the staffing in this man ner management sends a clear message to the organiza tion about their view of the importance of the SPI program CMU SEI 96 HB 001 6 0 Manage the Software Process Improvement Program 6 2 Organizing the SPI Program CMU SEI 96 HB 001 The SEPG will report on their activities to the second com ponent of the infrastructure the MSG Additional names for the MSG include quality managenent board process improvement steering committee and management steering team etc The MSG is responsible for linking the SPI pro gram to the organization s vision and mission Some of the duties
84. anization s needs Clarify and refine rollout strategy and plan communi cate to organization Incorporate lessons learned from the pilot deployment F eedback has been provided from strategy briefings with the entire organization to modify the rollout strat egy and plan Rollout strategy and plan template completed Gather feedback from other tasks in this section Distill lessons learned and desired modifications from feedback Incorporate lessons learned in rollout strategy and plan Implement next task or sametask on next project with new rollout strategy and plan Communicate broad changes to entire organization Rollout strategy and plan is fully refined Refinement continues in parallel with the other tasks in this phase Revised rollout strategy and plan completed 117 4 0 The Acting Phase 4 9 Rollout Solution 4 9 3 Brief Project 4 9 3 Brief Project Purpose SEPG and MSG process owners brief individual organiza tion projects on the specifics of the change what it is why it is needed why they aretodoit at this specifictime etc More detail about the process improvement should be pro vided to the organization project at the point when it will be expected to adopt the change projects will probably adopt at different times and rates Objectives Describe how the process improvement is expected to fit into the project Entry Criteria Briefing s of the entire organization have been com pl
85. aseline C 2 Conduct Baselines C 2 Purpose Objectives Entry Criteria Communication CMU SEI 96 HB 001 Conduct Baselines The purpose of this activity is to conduct the baseline This typically starts with an opening participants briefing for all baselining participants where the events objectives and schedules are reviewed A questionnaireis filled out by the selected participants and then the baselining team an alyzes the responses to the questionnaire The baselining team then prepares questions and areas to probe further for the detailed interviewing and issue definition period and decides what supporting material it will need to exam ine Theteam finalizes plans and logistics for this follow up period and then begins it Gather information on the organization s software pro cess maturity level identify key process issues facing the organization and start to develop priorities for im provement Build consensus on the issues facing the organization and develop excitement and enthusiasm for making necessary changes Publicly report on the issues facing the organization and the strengths to build upon All preparations are completed for the baseline Invitations have been issued FARs and project leaders have been briefed and everything is scheduled and ready to go Five groups have responsibility for most communications during this period senior management middle manage ment the baselining team p
86. ate of the organization with respect to achieving those goals or being capable of achieving them Information on the current state will also be used by the technical working groups TWGs during the Acting phase page 93 to develop process improvement solutions K eep ing the momentum of process improvement between base lining and deployment is very important Baselines are intended to be iterative the major baselines conducted at this point provide a snapshot of the organiza tion s various capabilities processes and measures at a certain point in time Subsequent cycles through the IDE AL model will require repeated baselining to show what progress or changes have taken hold in the organization Software maturity baselines should be repeated every eigh 1 Masters Steve amp Bothwell Carol CMM Appraisal Framework Version 1 0 CMU SEI 95 TR 001 Pittsburgh Pa Software Engineering Institute Carnegie Mellon University 1995 CMU SEI 96 HB 001 2 0 The Diagnosing Phase Purpose Objectives Education Skills CMU SEI 96 HB 001 teen months to three years Metrics baselines should prob ably be taken more often depending on the business cycle of the organization if the organization goes through a full cycleonly every two years more frequent metrics baselines would probably not be useful On the other hand if the or ganization goes through a product cycle every three months metrics baselines could be taken annual
87. ate the completion of the activity Dissolve the team CMU SEI 96 HB 001 4 0 The Acting Phase 4 9 Rollout Solution 4 9 Rollout Solution Purpose The purpose of this step is to install the proven solution across the organization The solution has been developed and proven by pilot testing with a project Now the solution needs to be installed across the organization Objectives Install solution across the organization Entry Criteria A rollout strategy and plan has been created and ap proved by the MSG and the development organization s senior management it helps if these are same Specific process improvement materials are ready for development teams to use Training and ongoing support has been arranged for process improvement solution Exit Criteria Solution installed across the organization Subtasks The subtasks for this task are shown in the table below Subtask 4 9 1 Brief Entire Organization CMU SEI 96 HB 001 115 4 0 The Acting Phase 4 9 Rollout Solution 4 9 1 Brief Entire Organization 4 9 1 Purpose Objectives Entry Criteria Tasks Exit Criteria 116 Brief Entire Organization SEPG and MSG process owners brief the development or ganization on the change and the strategy for implement ing the change The development organization should have been kept informed on the progress of the working group during thesolution development phase The purpose of this briefing will be to ann
88. ations that could be sim ply and easily implemented in a short period of time Vol unteers are solicited to start working on some of those sim ple improvements The baselining team then consolidates the recommenda tions from all the sessions and creates final categories and descriptions of recommendations The findings and recom mendations are combined intoa report which is circulated through the baselining team the MSG the SEPG and oth er selected key stakeholders for review and comment The revised findings and recommendations are put into a Final Findings and Recommendations Report and this report is delivered along with a briefing to senior management Increase commitment of different levels of the organiza tion by involving practitioners and middle and senior management in the process of developing recommenda tions Develop recommendations for the organization to ad dress the findings identified during the baselining peri od Identify simple inexpensive improvements that can be gin immediately launch those efforts and start totrack them CMU SEI 96 HB 001 C 0 Establish Organization Process Maturity Baseline C 3 Develop Baseline Findings and Recommendations Report Entry Criteria Communication Exit Criteria CMU SEI 96 HB 001 Submit a report and briefing of the baselining team s findings and the composite organization s recommenda tions to senior management Secure senior management commitmen
89. ce of information for personnel involved in the next pass through the model Using this collected information an evaluation of the strat egy methods and infrastructure used in the SPI program can be performed By doingthis corrections or adjustments tothestrategy methods or infrastructure can be made pri or to the start Some questions that should be asked include Has the in frastructure MSG SEPG TWGs etc performance been appropriate Have the methods employed by the TWGs in their solution development activities been satisfactory Have the SPI communications activities been sufficient Does the sponsorship for SPI need to be reaffirmed Does another baselining activity need to be performed The re entry point intothe DEAL model for the next cycleis high ly dependent on the answers to questions such as these CMU SEI 96 HB 001 Introduction Applying the Model Strategic Level 4 Communication Commitment and Involvement Tactical Level When applying thel DEAL model it should be remembered that there are two components to a software process im provement activity a strategic component along with a tac tical component The strategic component based on the organizations busi ness needs and drivers will provide guidance and prioriti zation of the tactical activities Figure ntro 2 on page 5 shows a two dimensional view of the application of thel DEAL model This guideis intended to address these two
90. ck fix quick return improvement projects picking the so called low hanging fruit Implementing these quick fix im provements and communicating their occurrence will have many benefits It will help demonstrate to personnel within the organization the value of the initiative by showing 153 6 0 Manage the Software Process Improvement Program 6 3 Planning the SPI Program Objectives 154 some immediate benefit It will also help create enthusi asm and support for the initiative The SE PG works at both the tactical level and the strategic level within the SPI program but it will probably concen trate most of its efforts at the tactical level addressing is sues that arise as the SPI program proceeds There will be many plans developed modified discarded and completed as the SPI program proceeds as business conditions change and as personnel and organizational changes occur The SPI action plan developed as a result of the baselining activities will bethe overall guidetothe SPI program Subordinate plans will include plans to guide the organization to the point where the SPI action plan is developed Establishing phase plans for how the infrastructure will work plans and charters for the TWGs that will investigate and provide solutions within a specific problem area plans for pilot introduction of new or changed technolo gies plans for wide scale introduction and initiation of pilot ed changes plans on
91. ctive and purpose of the improvement a WBS of the activities schedules resource requirements and criteria for success The suggested sections in the installation plan are identi fied in the left column and comments are in the right col umn Identify the technology to be installed that this plan will support Provide an overview of what must be accomplished Describe what will Should be accomplished why it is needed and what kinds of projects or functional areas it applies to Note goals should be measurable Provide an accurate and concise description of the tech nology Include a definition of what the technology is and a list of the major activities and artifacts associated with us ing that technology Provide guidelines on how and when to tailor this tech nology and this installation plan Define the mandatory requirements and the optional components or requirements Define options in terms of types of projects types of functional areas etc Describe what training formal or informal and educa tion is a required and b desirable for installation and use of this technology CMU SEI 96 HB 001 B 0 Charters and Templates B 6 Installation Plan 6 Evaluation Procedures 7 Work Breakdown Structure 8 Schedule 9 Resources 10 Interfaces Dependencies 11 Risks 12 Status Monitoring CMU SEI 96 HB 001 Define where and when this training or education is available costs lead t
92. d coordinating the SPI program including roles and re sponsibilities of senior management organization support groups corporate support groups SEPG determine membership based on scope of improvement program MSG determine membership based on scope of improvement program funding sources and management control requirements other entities Develop high level plan Develop initial high level activities and schedule through the Establishing phase Determine basic resource requirements people training needs travel funds equipment consultants primarily for the SEPG key managers and staff in line organizations and expected baselining teams CMU SEI 96 HB 001 The Initiating Phase Build a Software Process Improvement SPI Proposal wo Determine benefits to the organization such as busi ness value include return on investment if appropri ate improved capabilities morale Write the proposal to senior management Conduct reviews to refine draft proposal with key stake holders Initiate creation of organization s SPI communication plan CMU SEI 96 HB 001 25 The Initiating Phase Educate and Build Support h RO 1 4 Educate and Build Support Purpose The purpose of this activity is to create awareness set ex pectations and build support for the SPI program across as much of the organization that will be affected by the SPI program as possible This activity starts early and contin ues
93. de cision that very much depends on the organization Many software organizations will have certain types of baselines determined for them such as Software Engineering I nsti tute SEI software capability evaluations SCEs for gov ernment contracts ISO 9000 certifications Malcolm Bald ridge evaluations or internal company audits Even in the face of external baselines an organization should create its own baseline activities that can be properly tuned to meet the business and information goals of the organiza tion Determine how many baselines to perform Determine what type of baselines to perform Understanding of the impetus for SPI Understanding of the purpose of the different baseline types Infrastructure established and operating MSG and SEPG Understanding of the structure and function of the or ganizational components Agreement on types of baselines to perform Agreement on number of baselines to perform CMU SEI 96 HB 001 2 0 2 1 Tasks The Diagnosing Phase Determine What Baseline s Are Needed Review organization structure and responsibilities of organization components Evaluate baseline information needed against organi zation structure and business drivers for SPI CMU SEI 96 HB 001 61 2 0 The Diagnosing Phase 2 2 Plan for the Baseline s 2 2 Purpose Objectives Entry Criteria Exit Criteria Tasks 62 Plan for the Baseline s To accomplish the basel
94. e veloped from the general goals that were defined in the ni tiating phase these measurable goals will be included in the final version of the SPI action plan Metrics necessary to monitor progress are also defined and resources are committed and training provided for the technical working groups TWGs The action plan devel oped will guide the SPI activity as it addresses the priori Introduction Acting Phase Leveraging Phase tized findings and recommendations from the Diagnosing phase Also during this phase tactical action plan tem plates are created and made available for the TWGs to com plete and follow In the Acting phase of the IDEAL model solutions to ad dress the areas for improvement discovered during the Di agnosing phase are created piloted and deployed through out the organization Plans will be developed to execute pi lots to test and evaluate the new or improved processes After successful piloting of the new processes and deter mining their readiness for organization wide adoption de ployment and institutionalization plans to accomplish the roll out are then developed and executed The objective of the Leveraging phase is to make the next pass through the IDEAL model more effective By this time solutions have been developed lessons have been learned and metrics on performance and goal achievement have been collected These artifacts are added to the pro cess database that will become a sour
95. e charter makes explicit the authority and responsibility of the entity being chartered and defines the scope and mis sion On the other hand the charter conveys commitment from and implied support by the chartering entity The first part of this appendix contains examples of actual charters that arein use by organizations that are pursuing software process improvement The second part of the appendix contains templates that can be used in the planning activities There aretemplates for a strategic action plan used by the organization in plan ning its SPI activities page 194 a template for a tactical action plan used by TWGs page 198 and atemplate for an installation plan used to install an improvement page 200 It should be remembered that these are only samples and suggestions What works in some organizations may not work in others Readers should tailor these instruments to fit their organizations 185 B 0 Charters and Templates B 1 Management Steering Group Charter B 1 Management Steering Group Charter Generalized Research Company Electronics Group Research Development and Engineering Center Software Engineering Division Cooperstown New York Management Steering Group MSG Charter 14 November 1991 1 PURPOSE The purpose of this Charter is to Establish the GRC EG Software Engineering Division SED MSG for Software Process mprovement Define the mission responsibilities membership and conduct of op
96. e awareness and in volvement with the SPI program Framework for SPI in the context of the organization s business A mental image of what an organization will be when its goals have been accomplished Initial implementation of an improvement usually on a small controlled scale before general installation Plan that defines the steps for conducting a pilot in an or ganization A person whois working within the software development framework The means by which people procedures methods equip ment and tools are integrated to produce a desired result See technical working group TWG CMU SEI 96 HB 001 Glossary process database rollout strategy and plan senior management software engineering process group SEPG software engineering process group SEPG charter software practitioners software process improvement SPI strategic action plan software process improvement advisory committee SPIAC software process improvement network SPIN software process improvement SPI proposal CMU SEI 96 HB 001 A repository of artifacts containing records of the data gathered and generated during the SPI process Definition of the strategy and plan for extending improve ment to the organization The top manager and his her direct reports in a medium tolarge organization Senior management focus is typical ly on the longer range business activities Group chartered by manag
97. e engineering process group SEPG Also during the Initiating phase plans are made for communicating the start of the SPI initiative and it is suggested that organizational assessments be performed to determine the readiness of the organization for a SPI ini tiative The Diagnosing phase of the IDEAL model starts the orga nization on the path of continuous software process im provement This phase lays the groundwork for the later phases In this phase the SPI action plan is initiated in ac cordance with the organization s vision strategic business plan lessons learned from past improvement efforts key business issues faced by the organization and long range goals Appraisal activities are performed to establish a baseline of the organization s current state The results and recommendations from appraisals and any other base lining activities will be reconciled with existing and or planned improvement efforts for inclusion into the SPI ac tion plan During the Establishing phase the issues that the organi zation has decided to address with its improvement activi ties are prioritized strategies for pursuing the solutions are also developed The SPI action plan draft will be com pleted in accordance with the organization s vision strate gic business plan lessons learned from past improvement efforts key business issues facing the organization and long range goals During the Establishing phase measurable goals are d
98. ectronics Groups Action Plan c To facilitate and monitor the development and implementation of process improvements d To create an atmosphere to foster change 5 RESPONSIBILITIES a Oversee process improvement activities and report progress b Serve as Electronics Group s Change Agent c Lead Electronics Group Software Process Assessments SPAs d Facilitate action planning 188 CMU SEI 96 HB 001 B 0 Charters and Templates B 2 Software Engineering Process Group Charter e Oversee Electronics Group s TQM Program f Facilitate and advise Technical Working Groups TWGs g Provide for training necessary to promote TQM and process improvement to maintain an atmosphere receptive to change h Serve as focal point for coordination of Electronics Group process improvement activities with SEI Corporate headquarters and sub contractor organizations i Oversee activities of all Electronics Group SEPGs 6 MEMBERSHIP The Software Engineering Process Group membership consists of Core Members and Review Members Membership will be re established during the planning phase for the next Electronics Group SPA effort The identification and responsibilities of Software Engineering Process Group members are defined below a Core Members will participate 100 percent of their time excluding leave and required administrative duties The Core Members shall perform the majority of overseeing implementation of the Action Pla
99. ed for your infrastructure and make any nec essary adjustments F or those who are reentering the Es tablishing phase from a previous cycle through the DEAL model you should have lessons learned that you may want to apply to the roles and responsibilities defined for the in frastructure This activity may repeat some of the work done in the Ini tiating phase page 11 Sometimes this repetition is not needed but often the MSG has different members than those who set up the SPI program and they will need to cover some of the same topics to develop their own under standing and strategy When this step is entered as a result of a subsequent cycle through the IDEAL model these top ics should be reviewed at a minimum Finalize roles and responsibilities for the SEPG MSG and any other SPI management and coordination groups Define typical roles and responsibilities for TWGs in terms of their responsibilities authority reporting re quirements etc Infrastructures charters available Action planning activity launched Roles and responsibilities defined and documented in the Organization section of the SPI strategic plan CMU SEI 96 HB 001 3 0 The Establishing Phase 3 8 Finalize Roles and Responsibilities of the Various Infrastructure Entities Tasks CMU SEI 96 HB 001 Define roles and responsibilities for the MSG SEPG TWGs etc or extract from their charter Document roles and responsibilities in the
100. eering Institute Carnegie Mellon University Pittsburgh PA 15213 3890 Internet rjl sei cmu edu FAX 412 268 5758 Phone 412 268 3156 1 Available from Research Access Inc 800 Vinial Street Pittsburgh PA 15212 Phone 1 800 685 6510 FAX 412 321 2994 CMU SEI 96 HB 001 About This Guide x CMU SEI 96 HB 001 Introduction Overview IDEAL Model CMU SEI 96 HB 001 Introduction This document describes a software process improvement SPI program model IDEAL which can be used to guide development of a long range integrated plan for initiating and managing a SPI program The purpose of this docu ment is to provide process improvement managers with a generic description of a sequence of recommended steps for SPI The model shown in Figure Intro 1 on page 2 depicts five phases of a SPI initiative which provide a continuous loop through the steps necessary for SP1 Itis important to note that the length of time it takes to complete a cycle through the DEAL model will vary from organization to organiza tion Organizations will find depending on the resources they areabletocommit totheSPI program many activities that can be pursued in a parallel fashion There will also be instances of some parts of the organization pursuing activ ities in one phase of the model while others are pursuing activities in a different phase In practice the boundaries between the phases of IDEAL are not as clearly defined as sh
101. el of the organization and identifies key areas for process improvement The SEPG usually plans organizes and leads its organization s as sessment F ollowing the baselining activity the SEPG for 1 Masters Steve amp Bothwell Carol CMM Appraisal Framework Version 1 0 CMU SEI 95 TR 001 Pittsburgh Pa Software Engineering Institute Carnegie Mellon University 1995 CMU SEI 96 HB 001 203 C 0 Establish Organization Process Maturity Baseline Objectives 204 mally documents the results of the baseline in a final re port The baselining team typically consists of the SEPG and other team members drawn either from outside the assessment site or from within the organization A key step of a CM M based software process improvement SPI program is identifying where the organization fits relative to the five levels of the maturity model These ac tivities identify a set of key issues that if addressed launch the organization on the road to improvement The baselining activity can be considered successful if two goals are met 1 A reasonable set of issues is identified and agreed upon by all involved and recommendations are developed to move the organization on the road to improvement 2 Theorganization becomes excited and interested in making changes at all levels from the lowest practitio ner to the senior manager This activity contains some of the most stressing moments for the SE PG both inter nally and
102. ement to build and reinforce sponsorship of SPI nurture and sustain improvement ac tivities and ensure coordination of the SPI effort through out the organization Document that defines the mission of an SEPG Technical professionals who develop maintain and sup port software Plan based on the results of the baselining efforts the organization improvement goals and the resources avail able which provides guidance for the overall SPI pro gram and addresses how the long range organization goals will be reached Forumin large or geographically dispersed organizations in which multiple SE PGs share experiences lessons learned and improvements accomplished A group of individuals banding together to explore their common interests related to software process improve ment Proposal that provides information to management that is necessary to launch a SPI program 217 Glossary stakeholder strategic business plan tactical action plan target group technical working group TWG technical working group TWG charter 218 Person who has a specific interest and would be affected by decisions and or changes in his or her areas of interest Plan that specifies the business mission business goals and strategy the organization will pursue for achieving them Plan that specifies charter scope and deliverables for specific improvement efforts A group on which attention is focused with the inten
103. entered Approach 4 7 Package the Improvement and Turn 4 8 Over to the Software Disband the TWG Engineering Process Group SEPG Figure 4 1 Process Flow for Acting Phase 4 3 Pilot Potential Solutions 4 9 Rollout Solution 99 4 0 The Acting Phase Tasks The tasks for the Acting phase are shown in the table be low Page Number 4 1 Complete Tactical Plan for Technical Working Group TWG 4 2 Develop Solutions 103 4 3 Pilot Potential Solutions 4 4 Select Solution Providers 4 5 Determine Long Term Support Needs 4 6 Develop Rollout Strategy and Plan Template 4 7 Package the Improvement and Turn Over to the Software Engineering Process 112 Group SEPG 4 8 Disband the TWG 114 4 9 Rollout Solution 4 10 Transition to Long Term Support 100 CMU SEI 96 HB 001 4 0 The Acting Phase 4 1 Complete Tactical Plan for Technical Working Group TWG 4 1 Purpose Objectives Entry Criteria Exit Criteria Tasks CMU SEI 96 HB 001 Complete Tactical Plan for Technical Working Group TWG The purpose of this step is to complete a tactical plan from a template that is supplied tothe TWG by the MSG The completed plan will be approved by the MSG The team s early efforts should be focused on narrowing the scope of the charter to the specific improvement on which they will work Defining the scope of the effort is a very important activity Too many times improvement teams have taken on too
104. erations for the MSG 2 SCOPE This Charter applies to all organizations and personnel including sub contract personnel located at the Electronics Group Cooperstown New York 3 AUTHORITY Director Software Engineering 4 MISSION Tosupport the operation of the Software Engineering Process Group and the execution of the approved Action Plan for software process improvement within SED Utilizing the Software Engineering Institute SEI capability maturity model CMM based appraisal for internal process improvement CBA IPI Software Process Assessment SPA methodology SE D s goals and objectives are to identify key areas for process improvement and to propose a framework for improvement actions consistent with the SED vision for software process improvement It will also include oversight support of Total Quality Management TQM initiatives 5 MANAGEMENT STEERING GROUP RESPONSIBILITIES To approve the establishment of Technical Working Groups TWGs To approve and support the membership of TWGs 186 CMU SEI 96 HB 001 B 0 Charters and Templates B 1 Management Steering Group Charter To provide guidance to TWGs work in progress To support the implementation of approved recommendations To approve TWG initiatives and recommendations To terminate TWGs as appropriate 6 MEMBERSHIP Director GRC SED Chair Assistant Director GRC SED Director Systems Support Director Operation and Engineering Manager Applications
105. eria Exit Criteria Tasks CMU SEI 96 HB 001 Refine the long term goals Refine the measurements and the measurement pro cess to objectively determine goal satisfaction Link the SPI program to the organization s vision and business needs Sponsorship and commitment have been reaffirmed Updated SPI process documented and agreed upon SPI strategic goals from last cycle is available Lessons learned regarding goal setting from past im provement efforts are available General goals for SPI reviewed and updated defined SPI program linked to the organizations vision and business needs High level goals for next cycle through IDEAL have been agreed upon and documented Review goals from previous cycle through IDEAL to de termine if they are still applicable Define new goals as appropriate and in concert with the organization s vision business needs and strategy Review lessons learned from prior cycle goal setting ac tivities 137 5 0 The Leveraging Phase 5 6 Develop New Revised Software Process Improvement SPI Proposal 5 6 Purpose Objectives Entry Criteria Exit Criteria Tasks 138 Develop New Revised Software Process Improvement SPI Proposal Until the strategic action plan is updated or recreated the SPI program needs some initial guidance The purpose of this step is to create a plan to guide the program up tothe action planning steps The activities will be very similar to tho
106. es metrics methods and tools CMU SEI 96 HB 001 105 4 0 The Acting Phase 4 2 Develop Solutions 4 2 2 Analyze and Fix the Problem Problem Centered Approach 4 2 2 Analyze and Fix the Problem Problem Centered Approach Purpose The problem centered approach is distinct from the pro cess centered approach in that it is more useful for easily identifiable problems and can provide results faster than the process centered approach When problems become complex or solutions unwieldy however the results of the problem centered approach are often overtaken by other problems that crop up when early problems are fixed Be cause it will get the momentum up and keep enthusiasm alive the problem centered approach is useful for getting a software process improvement SPI program started However the process centered approach will be more use ful for long term results Objectives Develop solutions to specific problems Entry Criteria Problem description and issue data from the baselining phase Tactical action plan Tasks State the problem Define solution goals Identify constraints Analyze the problem Generate and select alternatives to address problem Define solution metrics Select best solution from alternatives discovered Exit Criteria Solution components identified process descriptions pro cedures metrics methods and tools 106 CMU SEI 96 HB 001 4 0 The Acting Phase 4 3 Pilot Potential Solutions 4 3
107. es and gather responses Analyze responses and determine questions to be asked during interview periods as well as areas to probe in more depth Finalize plans and logistics Finalize preparation of supporting materials to be used during the interviewing period Conduct detailed interviews and hold focus group dis cussions with selected participants Identify issues and rank them CMU SEI 96 HB 001 C 0 Establish Organization Process Maturity Baseline C 2 Conduct Baselines CMU SEI 96 HB 001 Gather feedback on the issues identified and refine them as necessary Prepareand present a briefing tothe management team and the organization as a whole on the strengths and is sues identified and their consequences 211 C 0 Establish Organization Process Maturity Baseline C 3 Develop Baseline Findings and Recommendations Report C 3 Purpose Objectives 212 Develop Baseline Findings and Recommendations Report The purpose of this activity is to document the findings in more detail than was presented at the conclusion of the baselining period and to develop recommendations to ad dress those findings Typically the recommendations are developed through a series of brainstorming or focus group sessions held with practitioners middle level and senior level managers The participants in each session are asked to brainstorm recom mendations for each findings category They are then asked to identify those recommend
108. es and organizational biases and be aware of the differ ing perspectives from different groups that make up the or ganization They must work to integrate these different groups into the SPI program building consensus and sup port for the SPI program as they proceed 143 6 0 6 1 144 Manage the Software Process Improvement Program Setting the Stage for Software Process Improvement SPI As the organization progresses through the SPI program problems sometimes arise when new or different technolo gies are introduced to effect the improvements The difficulty in introducing a new technology lies not in the fact that the technology is new but in the fact that the technology will require change Change is the culprit As new or different technology is introduced during the SPI program people will be asked to do their jobs differently work with different equipment work with different tools or possibly change positions within the organization Peo ple will be asked to move out of their comfort zone into something that is unknown to them It is a very common occurrence within an improvement ef fort to require people to change the way they currently do their work and it is alsoa very common and natural for people to resist the change Why should they change some thing that they have grown comfortable with for something that is unknown to them The management infrastructure should be prepared for and expect resistance to the im
109. eted Rollout strategy and plan template completed Tasks Plan and schedule project briefings Tailor briefing to specific project and set of changes Conduct briefings Gather feedback from briefings to refine deployment Exit Criteria Project understands need for change and content of changes 118 CMU SEI 96 HB 001 4 0 The Acting Phase 4 9 Rollout Solution 4 9 4 Tailor Project Rollout Strategy And Plan 4 9 4 Tailor Project Rollout Strategy And Plan Purpose SEPG and project managers in the organization fill in the rollout strategy and plan template for the specific changes to be integrated in the context of the overall line organiza tion s plan s The process improvement is tailored to the project s environment and circumstances There will be ad ditional tailoring as the project continues to use the im provement Objectives Tailor the process improvement plans to fit the project Entry Criteria Project briefings completed Inputs Rollout plan template Tasks Using rollout plan template fill in appropriate dates resources costs names etc specific to this project s in stallation Review the tailored rollout plan with the project get ting buy in from affected targets for implementation Review tailored rollout plan with MSG Exit Criteria Project agreement with tailored rollout plan Tailored rollout plan CMU SEI 96 HB 001 119 4 0 The Acting Phase 4 9 Rollout Solution 4 9 5 Train Project
110. eveloped to guide and support the SPI program Strategic plans are the re sponsibility of management tactical plans to address spe cific improvement activities are the responsibility of the TWGs There are also installation plans for pilot adoption activity and plans for rollout and installation of improved processes on a broad scale Communication plans also need to be developed to insure that communication of the events associated with the SPI program are received properly by the organization Each of these plans will have schedules that must be monitored and defined milestones that must be reviewed These schedules and milestones will be used to evaluate progress toward a specific objective allowing management to provide the necessary oversight to the ef fort Developing the SPI strategic action plans for the improve ment activities starts with a review of the findings and rec ommendations that resulted from the baselining activities This input provides the starting point for development of the SPI strategic action plan These findings and recom mendations along with the organization s vision mission and business needs will help determine the content prior ity and sequence of activities for the SPI program One of the continuing activities of an improvement pro gram is build and maintain sponsorship and support for theinitiative Tohelp accomplish this objective it would be beneficial to the program to find and fix a few qui
111. fine TWG and pilot needs to enable best possible sup port for entire organization CMU SEI 96 HB 001 4 0 The Acting Phase 4 6 Develop Rollout Strategy and Plan Template 4 6 Purpose Objectives Entry Criteria Exit Criteria Tasks CMU SEI 96 HB 001 Develop Rollout Strategy and Plan Template Once the solution has been developed and piloted and the short and long term support needs have been addressed the solution will be ready to roll out to the organization The TWG will create a rollout plan template that gives guidancetothe development projects that will beinstalling the process improvement The plan will include what training they need what tools and methods to acquire installation steps information on how to get support etc This plan will be used as a template by the project to inte grate with their own project plans and by the MSG tointe grate the improvement into the overall organization stra tegic plan for SPI Create rollout plan template for the solution that can be customized by the projects during their rollout of the solu tion Successful pilot implementation Generic rollout plan template Tailoring guidelines for developing rollout plan fromthe template Guide for developing integrating rollout plans Rollout plan template reviewed and approved by organiza tion receiving solution Using generic templates create the rollout plan for this particular solution Review rollou
112. finite length of time usually defined in the TWG charter and are assigned very specific responsibilities within the SPI pro gram by the MSG CMU SEI 96 HB 001 6 0 Manage the Software Process Improvement Program 6 4 Staffing the SPI Program Objectives Entry Criteria Tasks CMU SEI 96 HB 001 A TWG will be formed by the MSG given its specific char ter and goals When its tasks are completed the TWG will be disbanded There are some instances in which a TWG is active continuously usually addressing broader issues and consuming a smaller percentage of a members time Typically TWG membership will rotate among the organi zation s development staff This will allow the organization to provide fresh insight into the problem solving process and also allow more personnel to become further exposed to and become a part of the SPI program Thelast component of the SPI infrastructurethat will need resources assigned to it is the MSG For the most part resources assigned to the MSG come from the organization s existing management structure al though it is not unheard of to have input from the customer community In most cases each major component of the organization is represented on the MSG by at least one member and lead ership of the MSG is provided by the senior executive Ad ditionally the SEPG is typically represented on the MSG by the SEPG leader usually in a non voting capacity Assign management level staff to
113. for the next cycle through the DEAL mod el Objectives Establish criteria and processes for information gather ing and retention Collect and disseminate lessons learned Develop generic reusable components of SPI program Entry Criteria SPI program under way Local SEPG established SPI program has information to share Tasks Establish criteria for information to retain Establish processes for collecting cataloging and disseminating information Create SPI repository Collect and catalog process information and lessons learned Periodically publish index of materials in repository Derive generic components templates tools methods etc for reuse by other SPI programs Disseminate lessons learned and generic components to all SPI participants Publicize use of repository items by using success sto ries recognition programs etc Track usage of components requests for specific types of information inflow and outflow of information and other measures that indicate the effectiveness of the re pository CMU SEI 96 HB 001 43 ak h DD The Initiating Phase Establish Software Process Improvement Infrastructure Retain Lessons Learned and Improvements Developed Ultimately assess whether the repository gets used stays current and becomes part of the standard operat ing environment of the organization Exit Criteria The collection and dissemination of information about SPI 44 must co
114. g Phase Purpose 94 lecting the candidate technology to be used for the improve ment This activity identifies a to be state The Acting phase is the point in time where you are asking the organization to change the way things were previously done Selecting the proper method to achieve the to be state is important to the overall success of the Acting phase This step is the process in which technical working groups TWGs develop specific improvements to specific process es There are two basic approaches to designing solutions 1 Focus on solving specific problems problem centered approach 2 Incrementally improve a particular process process centered approach In the first approach the TWGs focus on a specific problem and develop a solution using pilot projects to validate and refinethe solution In the second approach the TWGs focus on a particular process and develop incremental refine ments to it again using pilot projects to test out the refine ments There will probably be several of these TWGs run ning simultaneously This process represents the typical TWG lifecycle for producing process improvements and so is written from this point of view The SEPG and MSG are described primarily in Section 6 0 on page 141 which runs in parallel with this step The purpose of this phase is to develop improvements and solutions to the process issues found during the baselining phase The key processes and o
115. g term memory capability to facilitate the organiza tion s continued growth and maturity To achieve this cre ation of a repository or process database is vital This isa mechanism where lessons learned successes and exam ples of the artifacts coming out of SPI programs are main tained and distributed Information should be regularly captured on such things as the process for SPI processes and products produced examples of artifacts generated during a SPI program for example action plans solutions developed and how they were applied In addition to being used to collect information the sam ples collected should be transformed into generic tem plates and the lessons learned folded into a continuously updated approach that is disseminated to all SPI partici pants This kind of activity can be done within the SEPG and TWGs on a local basis or may require some focused corporate resources to be effective For most effective corpo rate wide learning all sites should contribute to and draw CMU SEI 96 HB 001 1 0 The Initiating Phase 1 6 Establish Software Process Improvement Infrastructure 1 6 5 Retain Lessons Learned and Improvements Developed from the collective repository n the absence of a corporate wide effort local SEPGs and TWGs could still perform this function for their organizations These lessons learned will be used during the Leveraging phase page 127 They will be reviewed and analyzed when preparing
116. ganize and catalog all the artifacts Bind the products and artifacts into one solution pack age CMU SEI 96 HB 001 4 0 The Acting Phase 4 7 Package the Improvement and Turn Over to the Software Engineering Process Group SEPG Review solution package content with the SEPG Archive the package with the SEPG adding to its data base of process improvement information and beginning the maintenance process on the solution package 113 CMU SEI 96 HB 001 4 0 The Acting Phase 4 8 Disband the TWG 4 8 Purpose Objectives Entry Criteria Exit Criteria Tasks 114 Disband the TWG As a final task the TWG should also do a final lessons learned report that will go to the SEPG and MSG to help improve the process for running and managing TWGs dur ing solution development The TWG has now completed its tasks A reward of some type given to the team for accomplishing its work is a strong show of sponsorship for SPI and an item for communication to the rest of the organization Finally the team should celebrate what it has accom plished Gather lessons learned from this effort Celebrate the accomplishments of this team All improvements packaged and accepted by the SEPG for long term support Lessons learned report delivered to SEPG All team members efforts recognized and rewarded Review the improvement project Gather lessons learned fromthe TWG toimprove the process of improv ing processes Celebr
117. go ahead with the SPI program see Step 1 5 on page 28 Develop and deliver a SPI proposal The SPI discovery team is formed and in place Existing initiatives policies and regulations that will affect the creation of a SPI program have been identi fied An approach to launching and conducting a SPI pro gram has been selected and SPI consulting support agreements established Business needs and drivers for the proposal are defined The proposal is completed and ready to be delivered Draft of an organization communication plan has been developed Identify key management stakeholders to get inputs for the proposal send draft proposal to them for review and comment 23 24 The Initiating Phase Build a Software Process Improvement SPI Proposal wo Come to consensus with senior management on the problem s addressed by the SPI program proposal Establish goals and objectives for the improvement pro gram ensuring consistency with business objectives and critical business needs previously identified See Step 1 8 on page 49 Initiate development of a vision of the desired state of the organization s process maturity Identify and communicate SPI resource expectations Determine scope Which departments R amp D marketing manufacturing quality etc will be included What kinds of software product embedded mission support etc will be included Determine organizational structure for managing an
118. hat the organization will be following Creation of this plan is started in the early part of the I ni tiating phase of thel DEAL model and carries the organiza tion through the completion of the baselining activities in the Diagnosing phase Responsibility for developing this plan is shared among the discovery team the management steering group and the software engineering process group Senior management will have approval responsibility for this plan This plan is created from input obtained from the baselin ing activities that take place during the Establishing phase Information gained from the baselining activities combined with input from the organizations vision and business needs are used to create the action plan that will guide the SPI effort for the next few years The SPI action plan contains the areas of improvement that will be addressed during the SPI activity their rela Introduction Tactical Action Plans Pilot Plans Deployment or Rollout Plans Communications Plans tive priorities and a description of the process that will be followed to accomplish the improvement This action plan is usually developed by the MSG with input and help from the SEPG These plans will provide guidance to the TWGs that are formed to address a specific improvement activity from the SPI action plan Usually there is a template of the format for this plan partially completed by the SEPG and given to the TWG at its start up
119. he SEPG is assisted in accomplishing this by working with the MSG todemonstrate commitment to practitioners and management of the organization TheSEPG will facilitate software process assessments and along with the organization s management and practitio ners will develop the SPI strategic action plan to guide the efforts The SEPG will also facilitate other baselining activ CMU SEI 96 HB 001 A 0 Components of the Software Process Improvement Infrastructure A 2 The Software Engineering Process Group SEPG Provide Process Consultation Track and Report SPI Progress Serve as Focal Point for Organizational Learning Size CMU SEI 96 HB 001 ities to provide definition for existing process definitions and measurement activities The SEPG supports the line managers and development projects by providing process consultation when required It also works closely with the line managers and projects to provide guidance and support when new improvement changes are being introduced It can assist the line organi zations in evaluation of new technology and can also help plan for the introduction and transition to new technolo gies Another activity of the SEPG is to monitor all of the SPI ac tivities in the organization The SEPG will report the sta tus of the various improvement activities that are in progress to the MSG The SEPG should establish and maintain a process database for retaining the various arti facts that re
120. hen select a specific approach Objectives Identify departments that will be stakeholders in a SPI program Evaluate and select an approach to conducting the SPI program Identify business needs Identify approaches to SPI Entry Criteria Critical business issues driving the need for process im provement are identified A desire to improve software development processes is present There is an organization champion s for SPI The champions may come from anywhere in the organiza tion including practitioners and middle or senior man agement There may be several champions within the organization or only one Exit Criteria TheSPI discovery team exists Existing and future initiatives policies and regulations that will affect the creation of a SPI program have been identified and analysis of their effect either as barriers or leverage points has been accomplished CMU SEI 96 HB 001 19 o Tasks 20 The Initiating Phase Getting Started An approach to launching and conducting a SPI pro gram has been selected and support agreements have been established This guideis such an approach but it requires tailoring and customizing to the local environ ment Form a discovery team Select a SPI champion with the necessary leadership skills to lead the team and do early planning and sponsorship building Select representatives from the stakeholder groups to be involved in the development of the SPI plans
121. here are never enough resources resources would be spread too thin However a corporate program can be beneficial in some ar eas the guide does include those activities for which a cor porate office would be responsible Within a corporation that is made up of a number of separate organizations there may and probably will exist a hierarchy of SPI pro grams The corporate program would perform activities in its corporate context including CMU SEI 96 HB 001 Introduction Plans SPI Plan SPI Action Plan CMU SEI 96 HB 001 Establishing infrastructure and links to support and coordinate the organization programs Looking outside the corporation for process reuse Supporting organizational activities through resources common practices communication etc Spreading findings practices information etc across a wider base within the corporation Acting as a focal point for outside process improvement influences such as those from the SEI ISO 9000 etc Within this guide there is some discussion around the plans that are developed to guide and provide focus to the SPI program This guide refers to some of the different types of plans that can be used during the SPI initiative Depending on the size culture and structure of an organi zation it may require more or possibly fewer plans to pro vide the SPI guidance required This plan is a high level plan with broad goals that outlines the SPI initiative t
122. ific process changes to the development orga nization The SEPG works closely with the line organiza tion to integrate the changes into the line organization s plans and activities TWG charter and tactical action plan template from MSG SEPG Process maturity issues from the Establishing phase Related recommendations and low hanging fruit quick fix quick return improvement projects from baselining step s High level process descriptions from process baselining step s 97 4 0 The Acting Phase Exit Criteria 98 Measurable goals identified during the Establishing phase Key process metrics from metrics baselining step The rollout strategy and plan is fully executed or being executed Solution packaged properly and turned over to SEPG Long term support has been arranged for The process improvement has begun to be institutional ized in the line organization See Figure 4 1 on page 99 for a pictorial representation of the tasks associated with the Acting phase of the DEAL model CMU SEI 96 HB 001 4 0 The Acting Phase 4 1 omplete Tactical Plan for Technical Working Group TWG 4 4 Select Solution Providers 4 5 Determine Long Term Support Needs 4 6 Develop Rollout Strategy and Plan Template 4 10 Transition to Long Term Support CMU SEI 96 HB 001 4 2 1 Refine the Process Process Centered Approach 4 2 Develop Solutions 4 2 2 Analyze and Fix the Problem Problem C
123. il Where additional detail is needed it is provided in the appendices Appendix A 0 Components of the Software Process m provement Infrastructure Appendix B 0 Charters and Templates Appendix C 0 Establish Organization Process Maturity Baseline Following these appendices we provide a glossary page 215 When we introduce a new term or key phrasein the text for the first time we print the term or phrase in 1 IDEAL is a service mark of Carnegie Mellon University CMU SEI 96 HB 001 vii About This Guide bold typeface to indicate that it is defined in the glossary There is also an index on page 219 Objectives The objective of this document is to communicate a path of actions that constitute a SPI initiative based on the expe riences the Software Engineering Institute SEI has gained while working with its respective government and industry clients We expect that an organization will tailor the steps outlined in this document to fit its resources vi sion and business objectives The guide is also based on the work of several projects at theSEI SEI projects whose work contributed directly or in directly tothe material in this guide include the following Capability Maturity Model Software Process Assessment Software Capability Evaluation Organization Capability Development Software Process Measurement and Soft ware Process Definition Acknowledgments IDEAL A User s Guide for Software Process Improve
124. imes for reserving training seats the process to be followed to request the training and from whom it is requested Describe how the project or functional area will evaluate their installation and use How will they know they haveit right Break the installation into small manageable pieces that can be used as the basis for planning reporting and con trol Define entry conditions and inputs task descriptions validation criteria and exit conditions and outputs for each task Describe when each of the task elements described in the WBS are to be completed Use Gantt or PERT charts Make key accomplishments into milestones and track against original estimates Describe resources required for this task including person nel money computer resources etc Also describe who is responsible for each task Each working group has an interface with other groups Define and document these interfaces in this section Provide a basis for risk management and contingency plan ning Describe how status will be reported Note Completed status reports should be appended to the plan to main tain a history of all activity Discuss how progress will be monitored comparisons of actual progress against proposed schedules Discuss how significant schedule deviations or changes will be handled 201 B 0 Charters and Templates B 6 Installation Plan 202 CMU SEI 96 HB 001 C 0 Establish Organization Process Maturity Baseline
125. in its relationship to senior management It is this cauldron that can either forge the SEPG intoa high performing team or can break the team The lat ter if it occurs usually leads to dissolution of the soft ware process improvement SPI program Prepare the team and organization for conducting the baseline Gather information on the organization s software pro cess maturity level identify key process issues facing the organization and start to develop a set of priorities for improvement Generate a report detailing all results of the baselining activity including the findings that were presented dur ing the final findings briefing at the end of the on site period and recommendations for addressing those find ings Increase involvement and commitment throughout the organization Identify barriers to change within the organization CMU SEI 96 HB 001 C 0 Establish Organization Process Maturity Baseline Continue team building for the SEPG Entry Criteria The baseline method for software process maturity as sessment has been selected A team has been established and resources committed to conduct the CBA IPI See Figure C 1 below for a pictorial representation of the tasks associated with establishing a maturity baseline C 3 C 1 C 2 Develop Baseline Prepare for Conduct Findings and Baselines Baselines Recommendations Report Figure C 1 Establish Organization Process Maturity Baseline Tasks Ta
126. infrastructure in more detail The primary purpose for establishing an infrastructure for a SPI programis to build the mechanisms necessary to help the organization institutionalize continuous process im provement The infrastructure established with any SPI program is critical to the success of that program A solid effective infrastructure can sustain a developing SPI pro gram until it begins to produce visible results A good infra structure can mean thedifference between a successful SPI program and a failure Unsupported SPI programs can be come isolated and die out during periods of stress and ten sion within their organizations Infrastructure concepts apply to both local site SPI pro grams and to corporate programs that consist of many dif ferent sites each running its own local SPI program When the individual SPI programs are a part of a larger organi zation there are activities that can be done and mecha nisms that can be established that will help ensurethat the individual programs survive and are effective provide economies of scale with reduced site costs enhance sharing of lessons learned across multiple sites The infrastructure will validate the program and lend cre dence to the efforts The infrastructure will guide and mon itor the SPI program and facilitate allocation of resources The infrastructure will also interact with external groups CMU SEI 96 HB 001 The Initiating Phase Establish Software Proce
127. ing up the program not from an external consult ant s or solution provider s point of view The expected us ers are the champions of SPI mainly SPI program manag ers Other users who would benefit from review of the document include senior managers line managers and in dividuals whoare interested and or havea stake in improv ing the software development capability of the organiza tion This guide is organized in a best case scenario There will always be real world events that prevent organizations from following a set sequence in process improvement SPI managers must tailor the guide to their particular situa tion Thesequence presented hereis recommended because as baselines are completed the SPI managers and practi tioners will come under increasing pressure to produce plans actions and results Because it will be difficult to al locate time for organizing and planning later in the pro cess managers must make sure that time is allocated up front to accomplish these activities Clear understanding of what will be done why by whom and when it will be done will be invaluable for maintaining the momentum of a SPI program This guide recommends that 1 3 of an organization s per sonnel be applied to managing and executing SPI Given these recommendations the guideis intended to be used by organizations that are large enough to assign at least one 1 Available from Research Access Inc 800 Vinial Street Pittsburgh
128. ining activities requires a signifi cant amount of coordination of people data facilities training activities and support services This activity may repeat some of the work done in the Ini tiating phase page 11 Sometimes this repetition is not needed but often the MSG has different members than those who set up the SPI program and they will need to cover some of the same topics to develop their own under standing and strategy When this step is entered as a result of a subsequent cycle through the IDEAL model these top ics should be reviewed at a minimum Insure that all aspects of the baselining activities are taken into account and have been planned for Document the activities needed to accomplish the base lines Infrastructure is in place and operating MSG and SEPG Baselining team selected Types of baselines to perform are identified Plan for conducting the baselines has been created and ap proved Roles and responsibilities defined and documented in the Organization section of the SPI strategic action plan Review activities for baselining efforts Review resources required for baselining efforts Recruit baselining team Train baselining team in appraisal method s CMU SEI 96 HB 001 2 0 The Diagnosing Phase 2 3 Conduct Baseline s 2 3 Purpose Objectives Entry Criteria Exit Criteria Tasks CMU SEI 96 HB 001 Conduct Baseline s The purpose of conducting the baselines is
129. ion competitive information vi sion and mission interpretations and input from the gen eral business environment Monitoring the SPI program and applying proper control procedures will ensure that the goals and objectives of the program are being met It will alsoensurethat the program 161 6 0 6 5 162 Manage the Software Process Improvement Program Monitoring the SPI Program is consistent with corporate strategies Each component of the infrastructure must periodically review its own progress and also review the progress of its subordinate or ganizations Individual improvement efforts are evaluated in thereview meetings that have been defined and documented in the schedules Periodically reviewing the progress of the improvement program enables detection of early warning signals that can indicate that the SPI program is off track Two key questions should be asked at each of the program reviews 1 Are we meeting the milestones set for this individual program 2 Arethe programs consistent with thestrategic direction of the corporation The format that the reviews will take should be defined in advance by the MSG and should be the same from review to review The plans that are developed to guide the improvement ac tivities will include identification of milestones scheduled review meetings and defined deliverables The regularly scheduled in process reviews will compare progress against the previously agreed
130. is to a Delineate the mission of the SPIAC b Define the concept of operations c Define the membership 3 MISSION a Provide a forum for sharing of process improvement issues information successful practices and lessons learned among the CAS SEPGs b Advise CAS management on process improvement matters c Establish joint positions on critical software engineering process improvement issues d Identify benefits of and requirements for process improvement implementation across the SEPGs e Maintain software engineering process definitions improvement methodologies improvement tools and process improvement metrics that are suitable for implementation across the centers sites CMU SEI 96 HB 001 191 B 0 B 3 192 Charters and Templates Software Process Improvement Advisory Committee Charter f Maximize the sharing of available Software Engineering Institute SEI and other process improvement resources across CAS SEPGs to include coordinating common education on process improvement g Participate with government organizations industry academia and Software Process mprovement Network SPIN process improvement efforts 4 CONCEPT OF OPERATIONS a The SPIAC will conduct its activities in an atmosphere of non attribution b The following roles will be established for the functioning of the SPIAC facilitator member scribe minute taker time keeper host and technical advisor The specific resp
131. its work until the designated or agreed upon TWG leader can take over Get the enthusiastic people from the organization to work on the team During the recommendations step people prioritize improvements based on their enthusi asm for the improvement area No commitment is im plied at that time however Now that the improvement areas have been identified the same people should be contacted to see if they are still interested Their com mitment and the commitment of their managers must be secured for them to work on the team Plan and conduct a team kickoff meeting with sponsor attending The first team meeting should be conducted with all TWG members the SEPG liaison andthe MSG sponsor present to officially start up the TWG Materi als should have been exchanged before this time but this is the official hand off of the draft charter and draft tactical action plan from the MSG to the TWG For oth er activities that should go on during the first meeting refer to The TEAM Handbook Set up initial schedulefor TWG TheTWG should set up an initial schedule of working meetings to get through the next two or three steps CMU SEI 96 HB 001 4 0 The Acting Phase 4 0 Overview CMU SEI 96 HB 001 The Acting Phase The Acting phase is where the improvements are devel oped put into practice and deployed across the organiza tion The various improvements that the working groups have developed are complete and their value wi
132. ivity is consistent with corporate objectives plans for the SPI program are being followed progress toward improvement goals is being made TWGs are defined and operational Working group plans have been developed and ap proved The infrastructure evaluates the SPI program at the micro level by measuring progress of the SPI program quantita tively This evaluation includes the existing process and technologies and also the setting of expectations from new or different processes and technologies not yet in use by the organization but being considered for adoption Process performance also should be evaluated The effec tiveness of old and or existing processes should have some type of metric that can easily be applied to determine whether or not these processes are contributing to the over all mission of the organization Processes should also be measured to enable comparison of current performance to new performance when new or improved processes are im plemented Once new processes are implemented they should be continuously monitored and their performance evaluated to ensure that the benefits expected from their introduction are being achieved CMU SEI 96 HB 001 6 0 Manage the Software Process Improvement Program 6 5 Monitoring the SPI Program Macro Evaluation CMU SEI 96 HB 001 Quality performance of the processes is also evaluated at the micro level During the baselining process and during the development of plans fo
133. l not occur in a vacuum nor will they occur in a serial fashion Oncethe SPI program is under way there will be multiple improvement activities occurring across different organizational units For exam ple there may be technical working groups TWGs ad dressing configuration management requirements man agement project planning and peer reviews all simulta neously The infrastructure must keep track of all this and be prepared to providethe required oversight and guidance to the efforts The supporting infrastructure must be aware that TWGs can and probably will operate in parallel At any time the improvement infrastructure must be prepared to Offer support for a technology being introduced Coordinate training resources Continue to build and provide sponsorship Provide planning expertise Assess organizational impact Show lessons learned In short the infrastructure must perform many manage ment functions for the organization as it progresses with the SPI program Tasks The tasks for this phase are shown in the table below Page Number 6 1 Setting the Stage for Software Process Improvement SPI 6 2 Organizing the SPI Program 142 CMU SEI 96 HB 001 6 0 Manage the Software Process Improvement Program 6 1 Setting the Stage for Software Process Improvement SPI 6 1 Purpose CMU SEI 96 HB 001 Setting the Stage for Software Process Improvement SPI Once the SPI program is started management has
134. launch ingSPI projects based in part on theidentified business issues 79 3 0 The Establishing Phase 3 5 Review Past Improvement Efforts 3 5 Purpose Objectives Entry Criteria Exit Criteria Tasks 80 Review Past Improvement Efforts Peopletypically repeat past behaviors including those that lead to success and those that do not The organization must ensure that mistakes are not repeated that may have caused similar initiatives to fail in the past The information collected in Step 1 7 on page 47 is re viewed and analyzed identifying past change or improve ment projects and assessing how successful or unsuccessful they were and why Review past change and or improvement efforts and iden tify successful practices to leverage and unsuccessful prac tices to avoid The MSG and SEPG have completed training in a plan ning process Assessment data from Step 1 7 is available Barriers and leverage points from past efforts are identi fied and strategies for reducing the barriers defined for this initiative Identify successful and unsuccessful change or improve ment projects and determine what made them so Complete necessary assessments from the Managing Technological Change course if not already done in Step 1 7 Define strategies to deal with trends and barriers iden tified by organizational diagnostics CMU SEI 96 HB 001 3 0 The Establishing Phase 3 6 Describe the Motivations to Improve 3
135. ll be prov en to the organization by piloting them The management steering group MSG and thesoftware engineering process group SEPG will be managing and supporting the devel opment piloting and deployment of the improvements their tasks are explained further in Section 6 0 on page 141 The Acting phase links the mission of the SPI program to improve processes and the mission of the development or ganization to produce products It is the culmination of the SPI efforts to this point To decide on and introduce improvement the current orga nizational practices used in creating the software work products must be researched and evaluated so that they are fully understood and documented It is also important to identify the effects of change in a particular area these effects should be identified as early as possible so that they can be dealt with in a timely fashion To help understand the current practices techniques are available to model and assess the current practice These will define and document the as is state To determine the areas for improvement the as is candidate processes must be screened and evaluated After this evaluation and creation of the as is state the organization needs to de fine a to be state and select from appropriate solution candidates to achieve the to be state After this evalua tion and selection informed decisions can be made for se 93 4 0 The Actin
136. ly Determine what baselines are required Perform baselining activities Produce Findings and Recommendations report The purpose of this phase is to perform the baselining ac tivity toget a picture of the organizations current strengths and weaknesses This information gathered from the base lines will then be used to initiate development of the SPI strategic action plan that will provide guidance and direc tion to the SPI program in the years to come The baselining activities must be self verifying The credi bility of the baselines depends on their perceived ability to extract real meaningful information from the organization and present it back to the organization in a coherent ac tionable form Understand the working of the current processes and the organizational interactions and how they contribute to the organization s business Gather information on the current strengths and oppor tunities for improvement in the organization for input to the SPI strategic action planning process Build involvement from the senior management team down to the practitioners for process improvement tasks that will make the work of the organization more effective Detail the starting point for measuring improvement Training and skill development for the Diagnosing phaseis shown in the following table 55 2 0 The Diagnosing Phase Education Skills Appraisal Practitioners Team TWG Bisre owe f 7 C Commitment
137. ment is the successor to the SoftwareProcess mprovenent Road map which was a collaboration between the SEI and the Hewlett Packard Company The information in this guideis based on the application of the DEAL model to software process improvement practic es and the lessons learned from these experiences Con cepts in the guide were proven with the SEI client base within the Department of Defense and internal software process improvement activities at Hewlett Packard The author gratefully acknowledges the contributions of the many people without whom this guide would not have been possible Thanks go to Bill Peterson Steve Masters and Donna Dunaway for their helpful comments and suggestions 1 The names given here reflect the names of the projects at the time the work was done Names have changed since then fi McFeeley Robert S McKeehan David W amp Temple Timothy Software Process Improvement Road map SEI 94 SR 2 is a limited distribution document not approved for public release viii CMU SEI 96 HB 001 About This Guide Suggestions for Improving the Guide For alist of the important published findings in the field of software process improvement please refer to the SEI An notated Listing of Documents The guide was edited formatted and indexed by Bob Lang at the SEI We would appreciate any suggestions you may have for how this document could be improved Send comments to Bob Lang Software Engin
138. ments to the process This approach is useful for achieving long term improvements in the process However because of the immediate pres sures and uncertainties typical of lower level maturity or ganizations it is difficult to maintain this focus in such or ganizations Sustaining a process centered approach re quires strong management commitment and organization al momentum and enthusiasm Even with the requirement for strong management commitment the problem centered approach is recommended for first time process improve ment programs Objectives Understand the existing process Refine the existing process to eliminate errors and re duce variations Set up a continuous improvement cycle for the process Entry Criteria TWG formed and trained Process baseline and maturity issue data from the base lining phase Tactical action plan Tasks Identify process stakeholders and understand their needs Determine current process scope boundaries context Describe the desired state of the process the to be Analyze the gap between the as is and to be states Create refined process Determine process modeling objectives Model the new process 104 CMU SEI 96 HB 001 4 0 The Acting Phase 4 2 Develop Solutions 4 2 1 Refine the Process Process Centered Approach Specify process metrics Implement the process Exit Criteria Solution components identified process descriptions pro cedur
139. n of the SPI strategic plan CMU SEI 96 HB 001 3 0 The Establishing Phase 3 10 Reconcile the Existing Planned Improvement Efforts with the Baseline Findings and Recommendations 3 10 Reconcile the Existing Planned Improvement Efforts with the Baseline Findings and Recommendations Purpose Theresults of the baselines should beincorporated intothe SPI strategic action plan and reconciled with all other ex isting and or planned improvement efforts This will re sult in one single strategy dealing with all software process improvement actions and all related improvement efforts affecting the same groups of people Objectives Incorporate baseline results into the SPI strategic plan Reconcile baseline results with all other existing and or planned software improvement activities Entry Criteria Baselining activities completed and findings and recom mendations report available Other existing or planned improvement efforts identi fied SPI strategic action plan draft Exit Criteria A single coherent strategy incorporating baseline re sults and other improvement efforts Matrix relating baseline recommendations and issues to other existing planned activities Reconciled plan Tasks Review the results of the baseline efforts Build a matrix relating recommendations from the baselines to existing and planned activities Document motivations to improve Review revise goals as appropriate CMU SEI 96 HB 001 87 3
140. n toward process improvement The Core Members are David Rimson SEPG Manager J ohn Sibling SEPG Member Renee Doyle SEPG Member Barbara Cott SEPG Member J anet Dempsey SEPG Administrative b Review Members will contribute up to 10 percent of their time The Review Members are a representative group of managers and practitioners who meet as required to provide insight additional data and consensus on the implementation of the Action Plan Review Members will also act as a focal point to identify experts within their organization on particular topics The Review Members are Systems Support C Royce Applications Development T Royce Hasek Customer Support R Davidson Systems Software P Thomas Operations amp Engineering R Fichter D J ockel CMU SEI 96 HB 001 189 B 0 Charters and Templates B 2 Software Engineering Process Group Charter Network Development T Dzik Quality Assurance J Potoczniak Publications M Burkitt 7 CONDUCT OF OPERATIONS a The SEPG will report to and receive guidance from the Assistant Director Software Engineering Division Electronics Group b SEPG will hold regular meetings as required c The SEPG will keep the Division Director Assistant Director Division management and Sub contractor management informed via regular reports through the Assistant Director d The SEPG will facilitate TWG M eetings e The SEPG will present periodic status reviews and conceptual
141. nalization process should be documented and analyzed These are re tained in the process database for use in future adoption and institutionalization activities From time to time course correction or change of focus of the SPI program may be necessary for such reasons as business opportunity organizational or personnel changes funding issues and others This is not unusual and should not be cause for dismay By having scheduled periodic re views of the activities of the SPI program the MSG will be able to provide the necessary guidance and be able to make informed decisions regarding the overall effort at the earli est opportunity Define procedures for SPI status progress reviews Develop schedule for SPI status progress reporting meetings Review progress against SPI strategic action plan Review process performance against plan Review strategic direction 163 6 0 Manage the Software Process Improvement Program 6 6 Directing the SPI Program 6 6 Purpose 164 Directing the SPI Program The SPI program needs direction on two levels strategic and tactical The strategic level direction insures that the overall goals of the organization will be met The tactical level direction insures that specific improvement activity consistent with the strategic goals is accomplished The MSG is charged with providing this direction to the effort At the strategic level the MSG will ensure that the SPI ef forts are li
142. nd advocate SPI in the organization Team that explores issues and develops a SP proposal to senior management Group in large organizations that defines strategy and di rection for the organization s process improvement efforts Representative of a specific software functional area e g configuration management testing coding etc who con tributes to a discussion group during a software process assessment SPA Plan that defines steps for installing an improvement ina sub unit of an organization 215 Glossary line management management steering group MSG management steering group MSG charter middle management organization communication plan organization strategic plan for software process improvement SPI organization vision pilot pilot plan practitioner process process action team 216 The first and second level of management in a medium to large organization whose focus is on the day to day activ ity of the organization Group responsible for linking the SPI program to the or ganization s vision and mission demonstrating sponsor ship allocating resources monitoring progress and pro viding guidance and correction Document that defines the mission of an MSG Those levels of management between senior management and line management in a medium to large organization whose focus is on short to mid range business activities Plan for creating organization wid
143. nd Future Planned Improvement Efforts Tasks CMU SEI 96 HB 001 Identify all existing and or anticipated improvement ef forts in this organization either internally or externally driven such as corporate initiatives Estimate resource investments in each and resources required to complete including deploying the resulting improvements throughout the organization Estimate the total amount of resources that the organi zation is able and willing to commit to these initiatives Prioritize the unique initiatives based on resource limi tations and determine what areas the organization is willing to apply resources to and how many resources it is willing to apply Document the results in related initiatives identified in Improvement Agenda section of the SPI strategic plan see Appendix B O on page 185 83 3 0 The Establishing Phase 3 8 Finalize Roles and Responsibilities of the Various Infrastructure Entities 3 8 Purpose Objectives Entry Criteria Exit Criteria 84 Finalize Roles and Responsibilities of the Various Infrastructure Entities Initial charters along with a definition of the roles and re sponsibilities of the infrastructure may now be outdated For those going through the DEAL cycle for the first time you should now havea lot more knowledge about what SPI is and what is needed to make it successful It would be beneficial to review the roles and responsibilities that you initially defin
144. nd selection criteria will be Identify how improvement projects will be selected to participate in the SPI program 197 B 0 Charters and Templates B 5 Tactical Action Plan B 5 Purpose Contents 1 Introduction Overview 2 Objectives Charter 3 Detailed Description 4 Resources 198 Tactical Action Plan This plan identifies the activities schedules and deliver ables of aTWG The plan also discusses resource requirements interfaces and dependencies with other groups assumptions risks and risk mitigation and schedules and milestones Specify the charter and scope the effort of the TWG Guide the TWG efforts The suggested sections in the tactical action plan are iden tified in the left column and comments are in the right col umn Identify the recommendation that this plan will sup port Provide an overview of what must be accomplished Describe the objectives and purpose of this working group Note If this information already exists in the form of a charter that document should be appended to the action plan Describe the scope of the working group s efforts Provide an accurate and concise description of the task Include a definition of what the task is and a list of the major activities and artifacts associated with it Describe resources required for this task including person nel money computer resources etc Also describe who is responsible for each task CMU SE
145. nd support for the SPI program Gain support and sponsorship for SPI Gain consensus on areas that SPI will be addressing Gain additional input regarding potential solutions Tell organization what the next steps are Final Findings and Recommendations completed Outbriefing from baselining activities is available All members of the organization have heard the same message and understand what the next steps are Documented findings and recommendations distributed to employees Prepare a briefing for all employees of the organization on results of baselining activities and next steps CMU SEI 96 HB 001 3 0 The Establishing Phase 3 0 Overview CMU SEI 96 HB 001 The Establishing Phase Creating the strategic action plan for software process im provement SPI is one of the most critical in the SPI initia tive and most often neglected This is where the manage ment team develops or updates a SPI strategic action plan based on the organization s vision business plan and past improvement efforts along with the findings from the base lining efforts This is a step that is repeated as needed Usually it is trig gered by a lack of an action plan for an organization on its first cycle through the IDEAL model For those organiza tions on a subsequent cycle this step can be triggered by a need to update the previous plan goals or directions The management steering group MSG has the responsi bility for creati
146. ned that were gathered during each phase it will be hard to remember the activities that occurred during previous phases Hopefully you have been gathering lessons learned throughout the SPI activity and this data resides in the or ganizations process database If it doesn t it needs to be gathered from wherever it may reside Insure that all lessons learned information regarding the activities performed during the previous cycle are available for review Refresh your memory regarding the activities from the previously completed phases of the IDEAL model Acting phase has been completed for some or most of the TWGs Lessons learned from previous phases of IDEAL are avail able Gather lessons learned from previous SPI activities Interview SPI process participants to get their perspec tives on previous SPI activity technical working group TWG leaders members pilot project personnel management infrastructure members CMU SEI 96 HB 001 5 0 The Leveraging Phase 5 2 Analyze Lessons Learned 5 2 Purpose Objectives Entry Criteria Exit Criteria CMU SEI 96 HB 001 Analyze Lessons Learned The purpose of this step is to make sure that the process you are using for SPI is the best that you can make it Now that you have gathered all of the information and ar tifacts from the previous cycle through IDEAL it is timeto reflect on the processes you followed or didn t follow The purpose of this activity
147. needs have to be clearly defined measur able and understood to provide a common view to the SPI teams mprovements should be selected based in part on their ability to satisfy these business needs As described previously not all process improvement activities can eas ily be linked to current business issues however the busi ness issues identified should be used to prioritize SPI projects This activity may repeat some of the work done in the Ini tiating phase page 11 Sometimes this repetition is not needed but often the MSG has different members than those who set up the SPI program and they will need to cover some of the same topics to develop their own under standing and strategy When this step is entered as a result of a subsequent cycle through the IDEAL model these top ics should be reviewed at a minimum Determine the key business issues driving the need for software process improvement The MSG and SEPG have completed training in a plan ning process Organizations vision is documented Organization s business plan is up to date CMU SEI 96 HB 001 3 0 The Establishing Phase 3 4 Determine Key Business Issues Exit Criteria Tasks CMU SEI 96 HB 001 The key business drivers have been clearly defined Criteria for prioritizing SPI projects have been devel oped Review the current short term and long term business issues as they affect SPI Develop prioritization criteria for selecting and
148. ness issues in order to determine how the SPI program fits It then considers the results of baselining activities and incorporates these results intothe SPI strategic action plan TheMSG alsointegrates theSPI strategicaction plan with the organization s vision and business plan making modifications and revisions as necessary The SPI strategic action plan will be based on the results of the baselining efforts performed in the Diagnosing phase of IDEAL the organization improvement goals and the re sources available It should provide guidance for the overall SPI program define the long range goals and address how those goals will be reached It is important that the process improvements are driven by business needs as opposed to process improvement for its own sake There is a strong temptation at this point to immediately begin making changes Experience shows that without careful planning the efforts will eventually falter get side tracked or will not meet the unwritten expectations of se nior management The reason for the plans is not just to identify the improvement but to meet the organization s critical business needs by installing those improvements across the organization dentification of the improvements is often the easiest part Getting everyone throughout the CMU SEI 96 HB 001 3 0 The Establishing Phase organization to change the way they dothings is always the most difficult part of any improvement effort P
149. nitiating Phase Establish Software Process Improvement Infrastructure Successful Software Process Improvement Process Improvement Program Strategy and Tactics Facilitate and Capture and Maintain Encourage Retain Lessons Provide a Visibility Information Learned and Support Sharing Improvements Network Developed Business Objectives Figure 1 2 Successful Process Improvement CMU SEI 96 HB 001 33 1 0 The Initiating Phase 1 6 Establish Software Process Improvement Infrastructure Subtasks The subtasks for this step are shown in the table below Page Subtasks Number 1 6 1 Establish Management Steering Group MSG 1 6 2 Establish Software Engineering Process Group SEPG Responsibility of MSG 34 CMU SEI 96 HB 001 1 0 The Initiating Phase 1 6 Establish Software Process Improvement Infrastructure 1 6 1 Establish Management Steering Group MSG 1 6 1 Establish Management Steering Group MSG Purpose The purpose of establishing an MSG is to assign project re sponsibility for the SPI program The MSG is essentially the project manager for SPI It provides sponsorship to the effort arranging for resources as necessary to support the effort It also monitors the progress of the SPI program and provides guidance and corrective actions as necessary to keep the SPI program linked to the organization vision and business needs If a similar group already exists revise expand their char ter to reflect this new re
150. nked tothe organization s overall vision and mis sion Working at this strategic level the MSG is concerned with a broad set of issues that can affect the SPI program Some additional areas for review and evaluation include market opportunities organizational structure technology advances available resources etc Some of the responsibilities include reviewing and linking together the existing policies of the organization evaluating how these existing policies help or hinder the SPI program and how they integrate with the over all vision and mission The MSG will tie all this together Integrating all of this with the findings and recommendations from the baselin ing efforts is a critical step in determining the priorities of the SPI program Direction at the tactical level is focused on getting the prov en improvement activities completed and institutionalized The MSG must resolve any and all impediments discovered during the evaluation of existing organization policy and procedures TWGs must be chartered to address specific improvement areas that have been previously agreed upon and priori tized by the MSG Thecharters that will be developed must be drafted so that the schedule milestones and resources CMU SEI 96 HB 001 6 0 Manage the Software Process Improvement Program 6 6 Directing the SPI Program Objectives Entry Criteria Tasks CMU SEI 96 HB 001 are understood by all members of the TWG Additionall
151. ntinue as long as the organization wants to contin uetolearn from and improve on its past efforts and not lose organizational memory CMU SEI 96 HB 001 1 0 The Initiating Phase 1 6 Establish Software Process Improvement Infrastructure 1 6 6 Provide a Support Network 1 6 6 Provide a Support Network Purpose For most organizations SPI is a new activity thus new knowledge skills and behaviors must belearned and some old ways of doing things stopped This requires personal as well as organizational change and the people involved need support to keep making progress in learning new ways of doing things With an informal peer to peer support network estab lished SE PGs and other SPI participants can godirectly to their peers in other organizations or at other sites to get ad vice and support They can find qualified experienced peo ple to help fill the gaps where they might not have suffi cient resources to do something They can call on their peers to get advice and try out their ideas To make this effective they have to know their peers and trust them They may start to build a super team consist ing of SEPGs across all sites establishing an informal net work of SPI programs This cannot be accomplished just through information sharing mechanisms Team building activities should be planned and coordinated Some mech anisms that have been used effectively are common training collaboration on assessments joint p
152. oals Purpose Software process improvement is a long term investment Clearly defined measurable goals are necessary to provide guidance and to assist in developing tactics for improve ment They also allow objective measurement of the im provement results Good goals are few in number critical to the organization highly visible and built with consensus both horizontally and vertically To build good goals will require a substan tial amount of bi directional communication between dif ferent management groups and between management and practitioners Both long term and short term goals are necessary to focus the effort The goals produced at this point tend to be gen eral in nature until sufficient information is collected to quantify them The quantification step is described in Step 3 11 on page 88 Objectives Define long term and short term goals Determine what measurements are needed to objective ly determine goal satisfaction Entry Criteria SPI strategy can be clearly linked to the vision SPI strategy can be clearly linked to the business plan The key business drivers have been clearly defined Barriers and leverage points from past efforts are iden tified and strategies for reducing the barriers defined Understanding of the priorities and key near and long term business issues Exit Criteria General SPI goals defined CMU SEI 96 HB 001 49 Tasks 50 The Initiating Phase Define General SPI Goals
153. ocess Flow for Initiating Phase Successful Process Improvement Process Flow for Diagnosing Phase Process Flow for Establishing Phase Process Flow for Acting Phase Process Flow for Leveraging Phase Components of a Typical SPI Infrastructure Typical SPI Infrastructure in a Large Organization Example of Infrastructure Expansion of Infrastructure in Figure A 1 Establish Organization Process Maturity Baseline Tasks CMU SEI 95 UG 001 130 146 152 168 169 205 vi CMU SEI 95 UG 001 About This Guide Organization of the Guide About This Guide Software process improvement SPI is a challenging un dertaking for any organization We hope that the guide lines given in this document will help those undertaking a SPI initiative for the first time and also those who are con tinuing an existing SPI initiative We describe the major activities of software process im provement relative to the five phases of the DEALS mod el in Chapters 1 0 through 5 0 Chapter 6 0 provides guid ance for developing a software process improvement infra structure and also describes the roles and responsibilities of that infrastructure The format of Chapter 6 0 Manage the Software Process Improvement Program is different from the other chapters because the management and in frastructure activities discussed there are continuous and and not part of the IDEAL model phases In general we limit the chapter structure to three levels of deta
154. of the MSG include demonstrating sponsorship for the SPI program allocating resources for the improvement activities monitoring the progress of the SPI program providing guidance and correction to the improvement activities as necessary Membership of the MSG is usually includes senior manag er as leader and selected members of his or her manage ment team making up the rest of the group This team makes up a standing committee meeting regularly to ad dress matters relative to the SPI program The MSG usu ally meets monthly but in the early stages of a SPI pro gram it may meet more frequently to insure a proper start The third main component of the SPI infrastructure is the TWGs Additional names for these groups include process action teams and process improvenent teams etc These working groups are created to address a particular focus of the SPI program For example there could bea configuration management TWG or a project planning TWG addressing a specific software engineering domain AlsotheTWGs donot necessarily have to address technical domains for improvement they could address such things as travel reimbursement software standardization or pur chasing for example The TWG is typically made up of those practitioners in the organization who have knowledge and experience of the area under evaluation Membership will alsoinclude those who would be affected by any improvement changes that would be implemented as a res
155. of the people involved in accomplishing the process improvement The MSG is made up of the senior site manager as chair and other members drawn from his or her management team The MSG meets monthly probably more frequently in the early stages of the SPI program moving toward a fixed monthly schedule It would be a good practice to have the SEPG leader be the facilitator for the MSG meetings The meeting is mandatory for all MSG members and oper ates formally with agendas minutes and action items By its actions the M SG can demonstrate tothe organization its commitment and support of the SPI program The MSG will exist for the duration of the SPI program Members may change as the organization changes and ma CMU SEI 96 HB 001 A 0 Components of the Software Process Improvement Infrastructure A 1 The Management Steering Group MSG Objectives Tasks CMU SEI 96 HB 001 tures but the roles and responsibilities tothe SPI program will remain Link SPI program to organization s vision and mission Allocate resources and insure work distribution Monitor implementation results and provide corrective actions as necessary Activities that will be performed by the MSG include the following Approve SPI strategic action plans Establish TWGs Draft TWG charters Draft tactical action plan Hold monthly meetings 2 4 hours Review results of baselining activities Allocate resources Monitor working group progress
156. ommunication 96 The SEPG must keep working with both the MSG and the lineorganizations to ensure that the commitment to install and institutionalize the change exists and is strong enough The MSG must secure the commitment of the de velopment organization and cascade this commitment down to the line organizations The line organization man ager must secure the commitment of the project members to implement the change and get commitment from the SEPG for support during the transition Since the TWG receives its charter from the MSG overall commitment tothe TWG charter is assumed However ad ditional sponsorship and deeper commitment for the specif ic changes staffing and commitments of pilot projects and building the capability of the organization to receive the TWG products is needed Commitment should come from several distinct groups Senior management The TWG must periodically refresh the commitment of the MSG through progress reports dar ification on issues and goals and involvement in organiza tion wide decisions Middle management The TWGs must gain commitment from middle managers for their own time and the time re quired from pilot projects to develop solutions Line management and practitioners The TWGs will need to establish the commitment and consensus of those who will be implementing the process improvement as part of their product development projects This requires getting early feedback and continuing
157. on of the SPI strategic action plan Ina sense this is the creation of a management baseline sim ilar to the more process oriented or technical baselines de veloped in the Diagnosing phase page 53 There is a strong tendency to delegate this step to the soft ware engineering process group SEPG Experience has shown however that this usually is not the best approach Line managers must demonstrate their active sponsorship by taking the timeto be actively involved in developing this plan owning it and committing to it J ust as the practitio ners and middle management develop ownership of the technical baselines and issues identified through their in volvement so must the senior management develop owner ship and consensus on the directions to be taken and how to get there Without a solid strategy to guide the SPI program it will havea tendency to drift with the problems and priorities of the month or day in some cases causing the initiative 67 3 0 68 The Establishing Phase to degenerate into not much more than another fire fight ing activity The MSG begins by determining what kind of strategic planning process it will follow Most organizations have their favorite approach to strategic planning Regardless of the specific method used the important thing is to develop a solid plan The MSG then reviews the organization s vision business plan past improvement performance and current key busi
158. ons The SPIAC will provide the organization a vehicle for shar ing information about the organization s SPI programs Each member site of the SPIAC will contribute lessons learned and reports of successful improvement activities which will benefit other SEPGs in the organization Much valuable information can be exchanged techniques used for improvement activities technology evaluations vendor experiences etc The purpose of an SPIAC is to foster communication Each of the participating sites has learned some valuablelessons as it has progressed Having a forum where these lessons can beshared along with successful improvement activities will benefit the entire organization Member sites will be able to capitalize on work that has already been done at other sites SPI ACs should meet quarterly At the beginning of the SPI program it would be advantageous to meet more frequent ly to resolve all of the start up issues such as charter offic ers length of term etc Meeting duration is at least one full day as there will be plenty of work to accomplish Occasion ally the meeting may last for two days Overall membership includes all members of all of the or ganization s SEPGs with one voting member for each SEPG represented 179 A 0 Components of the Software Process Improvement Infrastructure A 4 The Software Process Improvement Advisory Committee SPIAC Objectives Tasks 180 Meetings can be held at different SE
159. onsibilities for these roles will be agreed to by the SPIAC The SPIAC will meet quarterly and will be scheduled if possible to coincide with the annual SEPG National Meeting and the annual Software Engineering Symposium SPIAC meetings will coincide with CAS Directors meeting as necessary ie Q Site and agenda for each meeting will be determined by mutual consent of the SPIAC e SPIAC members will execute tasks as agreed upon during meetings f SPIAC can recommend supplemental PAT s working groups for software process improvement Reports recommendations and minutes will be submitted to the CAS Directors All SE PG members are welcometo attend all meetings OnNeSEPG member will be designated to represent each site with all attendees having equal voice discussions a D 5 MEMBERSHIP a The recognized CAS SEPG sites are as follows CAS West San Diego CAS South Atlanta CAS East Philadelphia CAS International New York CMU SEI 96 HB 001 B 0 Charters and Templates B 3 Software Process Improvement Advisory Committee Charter b Membership is open to all SEPG members from these sites c The Software Engineering Institute is invited to attend SPIAC meetings in a technical advisory role 6 REVISION This charter will be reviewed and revised as deemed necessary by the SPIAC and its sponsors 7 TERMINATION TheSPIAC will function continuously until such time as it is no longer needed 8 S
160. or the next cycle through the model Rather than re enter I DEAL at the nitiating phase on sub sequent cycles through the model by performing the activ ities of this Leveraging phase you will reenter IDEAL at the Diagnosing phase The Leveraging phase in addition to preparing for the next cycle through IDEAL gives you the opportunity to tune up the software process improvement SPI process before starting again There were probably some false starts omissions and some activities you would like to do over that occurred dur ing the initial cycle through IDEAL Since you have kept track of the lessons learned from each of the SPI activities you will now apply them during the Leveraging phase to make the SPI process work better during the next cycle through the IDEAL model Review and analyze lessons learned from prior phases Incorporate improvements into the SPI processes Review motivation for SPI Review and evaluate goals Evaluate sponsorship and commitment Develop plan to provide continuing guidance to the SPI program 127 5 0 The Leveraging Phase Objectives Incorporate lessons learned from previous phases into SPI approach Gain visibility into value of SPI Reaffirm continuing SPI sponsorship Establish adjust high level goals for next cycle Determine new or additional baselines that may be nec essary Create a plan to guide the organization through the next cycle Education Skills Training and
161. organizing theeffort A clear understanding by both the MSG and the SEPG of what will be done how and when before the baselining activities is essential for setting the stage for effective work afterwards Recognize and understand the stimulus for improve ment Set context and establish sponsorship for the SPI pro gram Launch the SPI program by building an understanding and an awareness of the costs and benefits Commit the resources necessary Establish the initial infrastructure needed to imple ment and manage the program Build initial awareness skills and knowledge to start SPI Gain an understanding of what commitment is neces sary for successful SPI Determine readiness to proceed Create a proposal for a SPI program outlining the needs for SPI the scope of the program and resource re quirements Recommend a schedule and infrastructure to manage the program Plan for and commit to the next steps Training and skill development for the Initiating phase is shown in the following table Because the organization is probably just starting to learn about SPI and how to go about launching a SPI program this step requires substantial education and training The table below shows the breakdown of education and training needs CMU SEI 96 HB 001 1 0 The Initiating Phase Discovery Line Education Skills Team Managers Practitioners Cmo xX TX TT Managing Technological X X X Change Vision
162. ounce to the organization the formal adoption of the change or set of changes explain the ra tionale for adopting the change and explain the strategy for deploying the change across the organization The MSG process owner is the primary sponsor for the change and will give or lead the briefing to show maxi mum support for the changes Inform the organization about any changes in policy be cause of the adoption of process improvement s Inform the organization about the strategy for adoption the benefits of the change and the linkage to the orga nization s business goals and needs Solution has been successfully piloted Briefing kit information completed Deployment strategy completed Plan and schedule briefings The briefings should be planned and scheduled to cover the entire organization Conduct briefings Gather feedback from briefing participants Revise future briefings based on feedback Organization briefing completed Lessons are learned from the organization on the de ployment strategy CMU SEI 96 HB 001 4 0 The Acting Phase 4 9 Rollout Solution 4 9 2 Refine Rollout Strategy and Plan 4 9 2 Purpose Objectives Entry Criteria Tasks Exit Criteria CMU SEI 96 HB 001 Refine Rollout Strategy and Plan Based on feedback from individual projects and the line or ganization as a whole the SEPG and MSG process owners modify the rollout strategy and plan to better accommodate the org
163. out its lifetime There is no exit from communi cating progress and results unless the entire programis terminated Specific messages must be effectively communicated The members of the organization should be periodically surveyed to ensure that the messages are being re ceived 39 The Initiating Phase 1 0 1 6 Establish Software Process Improvement Infrastructure 1 6 4 Facilitate and Encourage Information Sharing 1 6 4 Purpose 40 Facilitate and Encourage Information Sharing The busier SPI programs get theless timethereis toshare information between the SEPG and the rest of the organi zation especially those not directly involved in a SPI pro gram and also between other SE PGs in the organization Sometimes these organizations are solving some of the same or related problems or breaking the same ground on how to become more effective in their SPI work More for mal and informal mechanisms to facilitate and encourage information sharing can help prevent reinventing the wheel The purpose of such mechanisms is simply to cause infor mation tobe shared in a regular structured fashion sothat such exchanges do not get lost in the day to day business of the SPI program There are two main dimensions to information sharing lo cal site information sharing and global information shar ing between organizations Local information is shared through a variety of means such as monthly newsletters brown bag lunches a
164. own in the model It is alsoimportant to note that the infrastructure set up to accomplish SPI will play a significant role in the success or failureof a SPI initiative The valuethat theinfrastructure brings toa SPI initiative its understanding of its roles and responsibilities cannot be underestimated Introduction Initiating Initiating Phase Leveraging amp Probes Diagnosing Figure Intro 1 The IDEAL Model The Initiating phase of the IDEAL model is the starting point Here is where the initial improvement infrastruc tureis established the roles and responsibilities for the in frastructure are initially defined and initial resources are assigned In this phase a SPI plan is created to guide the organization through the completion of the Initiating Di agnosing and Establishing phases Approval for the SPI initiative is obtained along with a commitment of future re sources for the job ahead The general goals of the SPI program are defined during the Initiating phase They are established from the busi ness needs of the organization and will berefined and made specific during the Establishing phase of IDEAL The initial infrastructure to support and facilitate SPI will be established during the Initiating phase Two key compo CMU SEI 96 HB 001 Introduction Diagnosing Phase Establishing Phase CMU SEI 96 HB 001 nents are typically established a management steering group MSG and a softwar
165. porated into the SPI strategic action plan and reconciled with other existing and or planned improvement efforts This will result in a single strategy dealing with all software process improve ment actions and all related improvement efforts affecting the same groups of people Create a set of recommendations that address each of the findings from the baselining effort Findings briefing from end of baselining activity avail able Artifacts that were produced or reviewed during the baselining activity are available A Final Findings and Recommendations Report has been agreed upon and created Review data collected during baselining activities to de velop recommendations regarding potential solutions Write Final Findings and Recommendations Report 65 2 0 The Diagnosing Phase 2 6 Communicate Findings and Recommendations to Organization 2 6 Purpose Objectives Entry Criteria Exit Criteria Tasks 66 Communicate Findings and Recommendations to Organization People will be wondering about all the activity that was oc curring during the baselining To alleviate any fears that may have developed or that could develop it is recom mended that the results of the baselining activities be com municated to the entire organization The organization can accomplish this by holding a series of briefings such that all members of the organization hear the same message This will contribute to building sponsor ship a
166. program Select a planning process and approach Contract for schedule and hold planning training 73 3 0 The Establishing Phase 3 2 Review Organization s Vision 3 2 Purpose Objectives Entry Criteria Exit Criteria 74 Review Organization s Vision The purpose of this activity is to clearly link the SPI strat egy to the organization s vision and direction so that guid ancetothe SPI program can be consistent with guidance to other activities within the organization This activity may repeat some of the work done in the Ini tiating phase page 11 Sometimes this repetition is not needed but often the MSG has different members than those who initiated the SPI program and they will need to cover some of the same topics to develop their own under standing and strategy When this step is entered as a result of a subsequent cycle through the IDEAL model these top ics should be reviewed at a minimum Review and possibly modify current vision Generate new vision if one does not exist or if the exist ing one is not adequate Identify goals and motivations for the SPI program The MSG and the SEPG have completed training in the strategic planning process The SPI goals that are driven by the vision are identi fied The motivations for the SPI program that derive from the vision are identified The vision and SPI strategy are synergistic CMU SEI 96 HB 001 3 0 3 2 Tasks The Establishing
167. projects Facilitate CBA IPIs Facilitate MSG meetings 175 A 0 Components of the Software Process Improvement Infrastructure A 3 The Technical Working Group TWG A 3 Purpose 176 The Technical Working Group TWG TWGs are the solution developers for the SPI program They are formed to address a specific area in the overall im provement process Their responsibility is to address a spe cific area for process improvement and they are given a charter resources and authority to complete their activity The purpose of a TWG is toimprove the process that it has been chartered to evaluate and improve The TWG is formed by the MSG to address a specific process area To properly carry out its job the TWG must be given proper guidance by the MSG This is documented in its charter which defines a clear mission states the objectives and delegates authority toaccomplish the mission Alsoimplied is a commitment of necessary resources and the support of management to get the job done The TWGs can address processes at any level in the orga nization They can be made up of managers addressing high level cross functional processes or they can be made up of practitioners addressing lower level single function processes Key tothe membership of the TWG are that the members are drawn from staff who are knowledgeable about the process being evaluated work in the process would be affected by changes made for the improvement of
168. provement SP1 Proposal 138 5 7 Continue With SPI 139 6 0 Manage the Software Process Improvement Program 141 6 1 Setting the Stage for Software Process Improvement SP 1 143 6 2 Organizing the SPI Program 146 6 3 Planning the SPI Program 153 6 4 Staffing the SPI Program 156 6 5 Monitoring the SPI Program 159 6 6 Directing the SPI Program 164 ii CMU SEI 96 HB 001 A 0 Components of the Software Process Improvement Infrastructure 167 A 1 The Management Steering Group MSG 170 A 2 The Software Engineering Process Group SEPG 172 A 3 The Technical Working Group TWG 176 A 4 The Software Process Improvement Advisory Committee SPIAC 179 A 5 The Executive Council EC 182 B 0 Charters and Templates 185 B 1 Management Steering Group Charter 186 B 2 Software Engineering Process Group Charter 188 B 3 Software Process Improvement Advisory Committee Charter 191 B 4 SPI Strategic Action Plan 194 B 5 Tactical Action Plan 198 B 6 Installation Plan 200 C 0 Establish Organization Process Maturity Baseline 203 C 1 Prepare for Baselines 206 C 2 Conduct Baselines 209 C 3 Develop Baseline Findings and Recommendations Report 212 Glossary 215 CMU SEI 96 HB 001 iii CMU SEI 96 HB 001 List of Figures Figure Intro 1 The IDEAL Model Figure Intro 2 Two Dimensional View of a Process Improvement Activity Figure 1 1 Figure 1 2 Figure 2 1 Figure 3 1 Figure 4 1 Figure 5 1 Figure 6 1 Figure 6 2 Figure A 1 Figure A 2 Figure C 1 Pr
169. r new or revised processes quality expectations and quality metrics are defined and implemented within the processes to verify their benefits Later as the improvements are implemented a longer range comparison of expected or planned results can be made The monitoring evaluating and reporting on process qual ity and effectiveness is typically the responsibility of the software quality assurance group The SEPG will play a supporting rolein this effort TheSEPG will not bethe only group assisting in this effort Project staff will also provide input regarding quality and effectiveness of processes used in the development activity Working groups will provide input about expectations for new processes being introduced and the quality and effec tiveness of existing processes that they are investigating At the micro level of evaluation members of the SEPG quality assurance personnel the TWGs and the project staff are responsible for evaluating the performance of the process and recommending and applying control mecha nisms to achieve the expected results Evaluations of the SPI program at the macro level tend to be more qualitative and are therefore the responsibility of the MSG When designing the new processes consideration must be given to the data that management needs to make these more qualitative evaluations at the macro level Manage ment will also consider data that is input from other sourc es such as market informat
170. r problems discovered dur ing the Diagnosing phase have been prioritized and select ed during the Establishing phase the process described in this step is where the actual work of providing refinements to the key processes or fixing those problems is performed The results of this work will be turned over to the SEPG and MSG and to project development teams to finally in corporate into their project execution CMU SEI 96 HB 001 4 0 The Acting Phase Objectives Develop or refine the software development processes as prioritized in the action plan Bring line organizations up to speed on the improve ment s they will be using Integrate the process improvements with new or exist ing project development plans Monitor and support the line organizations as they use the new or modified processes The TWG will plan the improvement project understand the process including customers needs and develop refinements to it process orientation investigate the problem and develop a solution problem orientation pilot a solution validate and refine it develop rollout strategy and plan template for applying the solution evaluate the solution in use reiterate the cycle for further improvements Education Skills Training and skill development for the Acting phase is shown in the following table Line a Education Skills Managers Practitioners CMU SEI 96 HB 001 95 4 0 The Acting Phase Commitment C
171. r the SPI pro gram Document guiding principles in Guiding Principles section of the SPI strategic action plan 51 0 The Initiating Phase 1 1 1 10 Launch the Program ee ere ne a 1 10 Launch the Program Purpose The purpose of this activity is to moveinto the main part of the SPI program and start the continuous cycle of the pro cess improvement program Usually this begins with an SEPG kickoff workshop that refreshes the memory of the MSG and SEPG members about what the process improvement activity is and what kinds of things the SEPG and MSG will have to do in sub sequent steps Objectives Transition from initial activities to ongoing activities Entry Criteria SPI proposal approved Sponsorship and organization communication strategy and plans completed Interfaces and interactions with other programs and in itiatives defined Infrastructure established in terms of specific people organizational entities roles responsibilities and in terfaces Exit Criteria Program and infrastructure in place and operating Agreement and approval to move to next the step Tasks Learn about the SPI techniques and the SPI process se lected Conduct an SEPG kickoff workshop Review the SPI proposal Review organizational assessment results from Step 1 7 on page 47 Review interaction plans for other programs and initia tives Obtain senior management approval to move to the next phase
172. ram Evaluators ask such questions as Are we doing it right Are we doing the right thing Have we achieved the expected benefits Are the improvement projects on schedule To monitor the SPI program a measurement system to evaluate progress must be in place The key to evaluating the SPI program will be the metrics that are selected for measurement and the ease with which they can be gath ered Measurement will occur at many levels throughout the organization from very low level measurements such as coding errors that are found during inspections or test ingtohigher level measures such as the rate and or volume of field trouble calls All these measures should be main tained so that a history of the benefits of the SPI program will be available when needed There are generally two forms of evaluation of the SPI pro gram 159 6 0 Manage the Software Process Improvement Program 6 5 Monitoring the SPI Program Objectives Entry Criteria Micro Evaluation 160 1 Micro level evaluation whose parameters are defined during the baselining and planning activities This mi cro level evaluation deals with such things as project schedules milestones process performance process quality and other quantitative measures 2 Macro level evaluation which deals with a set of broad er more qualitative issues such as business issues business value competitive factors market conditions etc Ensure that improvement act
173. ress each question however What are our goals for the SPI program What is our motivation to improve What assumptions are we making Who are the players How will we measure successes CMU SEI 96 HB 001 B 0 Charters and Templates B 4 SPI Strategic Action Plan 3 Process Improvement Goals 4 Objectives 5 Assumptions and Risks CMU SEI 96 HB 001 How will we continue to improve Define the long term 3 5 years and short term 1 year or product cycle goals for the improvement program List the strategic goals that have been developed as a result of the assessment e g productivity quality risk maturity goals from the action plan structure ma terials List the strategic goals that have developed from the vi sion or other sources N ote Keep goals few concise un ambiguous and measurable First describe why this SPI program is important and why anyone should care and want to do anything List the principal motivations e g increase competitiveness avoid consolidation or closure that will drive the SPI program State the objectives e g to improve the quality and productivity of the organization s products services and resources and the consequences of maintaining status quo Second define the guiding principles to be followed during the SPI program to achieve the goals and objectives e g using the SPI program to model higher maturity behavior Look at the next maturity level
174. ribe the Motivations to Improve 3 7 Identify Current and Future Planned Improvement Efforts 73 3 8 Finalize Roles and Responsibilities of the Various Infrastructure Entities 3 9 Prioritize Activities and Develop Improvement Agenda 86 3 10 Reconcile the Existing Planned Improvement Efforts with the Baseline Findings and Recommendations 3 11 Transform the General Software Process Improvement SPI Goals to Specific Measurable Goals 3 12 Create Update the SPI Strategic Plan 3 13 Build Consensus Review and Approve the SPI Strategic Plan and Commit Resources to Action 3 14 Form the Technical Working Group TWG 72 CMU SEI 96 HB 001 3 0 The Establishing Phase 3 1 Select and Get Training in a Strategic Planning Process 3 1 Purpose Objectives Entry Criteria Exit Criteria Tasks CMU SEI 96 HB 001 Select and Get Training in a Strategic Planning Process The purpose of this activity is to choose a consistent ap proach to planning for the SPI program and to develop Skills in building a solid planning foundation upon which to sustain the SPI program Select a planning process Train the MSG and SEPG in the process and methods The SPI infrastructure particularly the MSG and SEPG is in place and operating and has started a strategic planning effort The MSG and SEPG have completed training in the pro cess Review strategic planning methods already in use Review planning needs for the SPI
175. riteria Exit Criteria Tasks 108 Select Solution Providers There may be several sources of support for the process im provement solution some competing others complementa ry Solution providers can be internal or external to the or ganization and solution providers could be the TWG or some subset of the TWG Given the organization s varying needs the TWG must determine the best source for provid ing the solution During this phase the TWG should work closely with the SEPG to use established and vetted solu tion providers This step can run in parallel with the solution creation steps The solution provider s may be part of determining the solution or in some cases the selection criteria for choosing providers may not be determined until well into pilot testing the solution When several tools are compet ing the TWG must establish working relationships with various vendors to get the best solution for the organiza tion Investigate various providers of solutions and their track records to find ones that best match the needs of the orga nization both short and long term TWG has selected or developed a solution for the process is sue at hand Designated solution provider s for the solution are ready to implement and provide support Obtain contacts for potential providers of solutions from SEPG Contact providers and arrange briefing sessions Develop selection criteria based on organization needs and
176. rocess improvement projects across the organization With a corporate SPI infrastructure there are opportuni ties for economies of scale that are not availablein a single site activity If a majority of the members of a single site SEPG leave for some reason usually the new group must go outside for new training and orientation The new group may even have to back up several steps and start again with all the facilitation and support provided at their start up This can become very expensive over a large number of CMU SEI 96 HB 001 45 1 0 The Initiating Phase 1 6 Establish Software Process Improvement Infrastructure 1 6 6 Provide a Support Network sites especially in an environment in which people regular ly rotate assignments or in which staff downsizing is oc curring Furthermore SEPG members at a singlesite have to translate all advice from their facilitators and teachers to their context and have to keep calling on that initial start up support organization for assistance and advice Objectives Establish a broad informal company wide network of SEPGs Establish programs and mechanisms for SEP Gs to work together Entry Criteria SPI program underway Local SEPG established Tasks Provide common training for all SEPGs Plan supporting activities between SEPGs such as col laboration on assessments and joint cross organiza tional improvement projects Create a directory of SEPG members across the compa ny
177. roject leaders and FARs Senior management should publicly sponsor and support the baseline establishment process and ensure that their line managers support the process as well particularly by allocating time for the participants Senior management 209 C 0 Establish Organization Process Maturity Baseline C 2 Conduct Baselines Exit Criteria Tasks 210 also should emphasize that open and honest responses are desired and should accept and acknowledge the findings Middle management should support the process and en sure that any of their people who are participating in the baselining process are ableto beat their assigned activities on time and without interruptions The baselining team will be providing information to the participants on the process and detailed schedules In addi tion they provide feedback to participants and formally present the results of the baselining activities back to the organization The project leaders will be providing information about their projects and giving feedback to the baselining team about completeness accuracy and credibility of the find ings TheF ARs will be providing their perspective on issues that get in the way of accomplishing their jobs They will also identify strengths and provide feedback to the baselining team on the completeness and accuracy of the findings The on site period has been successfully completed Brief baseline participants Administer questionnair
178. rt deliv ered to the MSG and accepted The draft of the SPI strategic action plan is initiated See Figure 2 1 on page 58 for a pictorial representation of the tasks associated with the Diagnosing phase of the IDE AL model CMU SEI 96 HB 001 57 2 0 58 The Diagnosing Phase 2 1 Determine What Baseline s are Needed 2 2 Plan for the Baseline s 2 3 Conduct Baseline s 2 4 Present Findings 2 5 Develop Final Findings and Recommendations Report 2 6 Communicate Findings and Recommendations to Organization Figure 2 1 Process Flow for Diagnosing Phase CMU SEI 96 HB 001 2 0 The Diagnosing Phase Tasks The tasks for the Diagnosing phase are shown in the table below Tasks 2 1 Determine What Baseline s Are Needed 2 2 Plan for the Baseline s 2 3 Conduct Baseline s 2 4 Present Findings 2 5 Develop Final Findings and Recommendations Report 2 6 Communicate Findings and Recommendations to Organization CMU SEI 96 HB 001 59 2 0 The Diagnosing Phase 2 1 Determine What Baseline s Are Needed 2 1 Purpose Objectives Entry Criteria Exit Criteria 60 Determine What Baseline s Are Needed The organization has compelling reasons for undertaking a SPI program The purpose of deciding how many and what type of baselines are to insure that the focus of the SPI pro gram is linked to the business needs of the organization Determining what to baseline and how to baseline is a
179. rtifacts and documentation to support imple mentation of process improvement Specific installation tasks vary widely depending on the nature of the change New tools require software upgrades installations file system changes etc while a new proce dure requires an update to hard and soft copy documenta tion The tasks listed here are very generic and shouldn t limit the actual installation Plan and schedule installation upgrades etc to occur at a time when they won t affect critical project tasks Carry out installation upgrade etc verifying correct new operation in the given environment CMU SEI 96 HB 001 4 0 The Acting Phase 4 9 Rollout Solution 4 9 6 Install Improvement Walk through new operation with affected peoplein the changed environment Clean up any problems associat ed with the installation Run through new operation at normal speed Clean up any problems associated with the installation Review installation with project for final approval Update install hard and soft copy documentation Exit Criteria Project has sufficient support for the improvement CMU SEI 96 HB 001 123 4 0 The Acting Phase 4 9 Rollout Solution 4 9 7 Evaluate Deployment 4 9 7 Purpose Objectives Entry Criteria Tasks Exit Criteria 124 Evaluate Deployment The line organization conducts an evaluation of the rollout to gather lessons learned regarding deployment of the new process during their project
180. s are established for the next cycle See Figure 5 1 on page 130 for a pictorial representation of the tasks associated with the Leveraging phase of the IDE AL model CMU SEI 96 HB 001 129 5 0 The Leveraging Phase 5 1 Gather Lessons Learned 5 2 Analyze Lessons Learned 5 3 Revise Organizational Approach 5 4 Review Sponsorship and Commitment 5 5 Establish High Level Goals 5 6 Develop New Revised Software Process Improvement SPI Proposal 5 7 Continue With SPI Figure 5 1 Process Flow for Leveraging Phase 130 CMU SEI 96 HB 001 5 0 The Leveraging Phase Tasks The tasks for the Leveraging phase are shown in the table below Page Number 5 1 Gather Lessons Learned 132 5 2 Analyze Lessons Learned 5 3 Revise Organizational Approach 5 4 Review Sponsorship and Commitment 5 5 Establish High Level Goals 5 6 Develop New Revised Software Process Improvement SPI Proposal 5 7 Continue With SPI CMU SEI 96 HB 001 131 5 0 The Leveraging Phase 5 1 Gather Lessons Learned 5 1 Purpose Objectives Entry Criteria Exit Criteria Tasks 132 Gather Lessons Learned The purpose of this step is to insure that all of the lessons learned data is available for review prior to starting the next cycle through IDEAL A reasonable amount of time has passed since you last went through the prior phases of IDEAL possibly as long as 18 to 24 months Without the documented lessons lear
181. se performed in the Initiating phase when the initial proposal for SPI was cre ated Provide guidance to the SPI program until any necessary baselines are completed and a new action plan is created Sponsorship and commitment reaffirmed High level goals established Infrastructure in place and operating A plan to provide guidance for the SPI program is docu mented and approved Develop plan to provide initial guidance for SPI program CMU SEI 96 HB 001 5 0 The Leveraging Phase 5 7 Continue With SPI 5 7 Continue With SPI Purpose The purpose of this activity is to moveinto the main part of the SPI program and start the continuous cycle of the pro cess improvement program Objectives Transition from the Leveraging phase into the Diagnosing phase Entry Criteria Revised updated approach to SPI documented and ap proved SPI goals reviewed updated Sponsorship and commitment has been reaffirmed Infrastructure in place and operating Exit Criteria Agreement and approval to continue SPI program Tasks Obtain senior management approval to continue the SPI program CMU SEI 96 HB 001 139 5 0 5 7 140 The Leveraging Phase Continue With SPI CMU SEI 96 HB 001 6 0 Manage the Software Process Improvement Program 6 0 Overview CMU SEI 96 HB 001 Manage the Software Process Improvement Program Software process improvement will be a significant under taking for an organization To coordinate the many
182. ses CMU SEI 96 HB 001 4 0 The Acting Phase 4 9 Rollout Solution 4 9 5 Train Project Exit Criteria CMU SEI 96 HB 001 Reassess project skills and knowledge retrain as neces Sary Project is trained in specifics of this process change Project has ongoing support for installing and using changes Training plan is completed Support agreements include project 121 4 0 The Acting Phase 4 9 Rollout Solution 4 9 6 Install Improvement 4 9 6 Purpose Objectives Entry Criteria Tasks 122 Install Improvement Before a new tool method or process can be used the asso ciated supporting environment must be installed Various projects in the line organization must tailor the solution to fit their environments and needs The installation is when the tailoring is performed the tailoring is planned for in Step 4 9 4 on page 119 For lower maturity organizations in which there is more variation across the line organization more tailoring to ac commodate individual needs may be required As the orga nization moves up the maturity ladder less local tailoring will be required for organization wide improvements Ensure that the local project installs and can successfully use the process improvement Installation plan for project is approved Project included in support contracts Installation plan and support plans for the project are completed Project trained in specifics of process improvement Tools a
183. setting Consulting skills CMM for software SPI processes 1 CMM is a service mark of Carnegie Mellon University Commitment Commitment and sponsorship are key Without strong in formed and steadfast commitment and sponsorship from senior management the effort is doomed from the start If the champion cannot obtain the level of commitment and sponsorship described in this guide the effort is better de ferred until the commitment and sponsorship are present Senior management s initial commitment is to allow the discovery team to form and to explore the issues and develop a SPI proposal provide the discovery team with the business need for process improvement provide the discovery team with the resources neces sary to develop the proposal This is followed by committing to implement the SPI pro posal and backed up by assigning resources to the SEPG and creating and resourcing other necessary SPI infra structure elements CMU SEI 96 HB 001 13 1 0 The Initiating Phase Communication The line management stakeholders also must commit time and effort to participate in SPI form and commit time to the MSG form and commit resources to the SEPG plan tomanagethe SPI program and develop a strategy in the steps that follow commit time for practitioners to participate on technical working groups TWGs Prospective SE PG members also must commit timeto work on the SEPG and understand that this commitment could
184. skill development for the Leveraging phaseis shown in the following table y Line ae Education Skills Managers Practitioners Team Development CMM for software SPI skills Planning skills Commitment The commitment expectations for the Leveraging phase are similar to those of the Initiating phase Management must provide the business need for continuing the SPI ac tivities and must be willing to commit the necessary re sources for the SPI effort Communication As with commitment the communications aspect of the Le veraging phase is very similar to that of the Initiating phase One difference though is that there should now be a greater amount of information to communicate now that you have completed one cycle of IDEAL 128 CMU SEI 96 HB 001 5 0 The Leveraging Phase Some of the things that you should communicate to the or ganization are results from the first cycle through IDEAL enhanced business objectives and goals changes that may have occurred to the infrastructure updated revised approach to SPI Entry Criteria Acyclethrough the previous phases of the DEAL mod el has been completed Lessons learned reports from each of the previous phas es are available Artifacts produced during SPI implementation are available Exit Criteria Lessons learned are analyzed and improvements incor porated into SPI processes Sponsorship and commitment have been reaffirmed with senior management High level goal
185. sks The tasks are shown in the table below C 1 Prepare for Baselines C 2 Conduct Baselines 209 C 3 Develop Baseline Findings and Recommendations Report 212 CMU SEI 96 HB 001 205 C 0 Establish Organization Process Maturity Baseline C 1 Prepare for Baselines C 1 Purpose Objectives 206 Prepare for Baselines The purpose of this activity is to lay the groundwork for a smooth and successful baselining activity A critical initial activity is to establish the scope of the baseline by identify ing the parts of the organization that will be baselined and identifying the depth or level of coverage needed from the baseline This is usually followed by selecting a team that represents those parts of the organization to be baselined and training that team in the specific baselining method chosen Key baselining activity dates must be negotiated and finalized such as dates for initial data gathering and analysis detailed interviewing and definition of issues development of recommendations delivery of final report Then the participants particularly the projects and func tional area representatives must be selected and briefed on their roles and activities The rest of the organization to be baselined must understand what will happen and how it relates tothe SPI program Typically this information is conveyed through a series of briefings Detailed plans should be developed for all steps of the pre baselining activ ity
186. sponsibility Membership is select ed from the organizations line management See Appendix A 0 on page 167 for more information on the various infra structure entities and their definitions Objectives Create the infrastructure component that will provide management oversight and guidance to the SPI program Entry Criteria SPI proposal approved Tasks Select members chairperson Define roles and responsibilities Define relationship with the SEPG TWGs and other parts of the organization including reporting require ments Develop revise charter for MSG Conduct team building for MSG and between MSG and any other entities defined Develop process to provide for succession and member replacement Exit Criteria MSG members selected MSG charter developed and approved MSG leader appointed CMU SEI 96 HB 001 35 1 0 The Initiating Phase 1 6 Establish Software Process Improvement Infrastructure 1 6 2 Establish Software Engineering Process Group SEPG Responsibility of MSG 1 6 2 Establish Software Engineering Process Group SEPG Responsibility of MSG Purpose The purpose of establishing an SEPG is to assign responsi bility for facilitation and coordination of the SPI program The SEPG is not the implementor of SPI but plays the role of facilitator guiding the process improvement activity If a similar group already exists revise expand their char ter to reflect this new responsibility Membership is select
187. ss Improvement Infrastructure to maintain an awareness of the state of the practice relat ing to process improvement When establishing the SPI infrastructure the size struc ture and culture of the organization undertaking the SPI must be considered This along with any geographic consid erations will guide the creation of the SPI infrastructure so that management s view of the SPI program is absolutely clear At the core of the improvement infrastructure is the SEPG that facilitates the SPI program There should also be a lo cal MSG to advise the SEPG and monitor its efforts F or larger organizations that span multiple sites or for efforts that span several organizations a representative from each of the SEPGs or MSGs should meet to coordinate pro cess improvement activities across several SEPGs In very large organizations there should be an executive council EC to deal with strategy and direction for the or ganization s SPI program Other components of the infra structure TWGs sometimes known as process action teams PATs will come and go existing for finite periods of time to accomplish their specific goals These different entities are further described in Appendix A 0 on page 167 which also includes sample charters for each entity SPI is a significant undertaking for any organization and it is almost impossible to accomplish anything without a supporting infrastructure The management infrastruc ture will do
188. sult from the improvement activities Timely reporting of SPI status will allow the MSG to make in formed decisions that will support and enhancethe success of the SPI program The SEPG will also serve as the focal point of the organiza tion s SPI activities It will arrange for or conduct training in process improvement and continuing education in other subjects relevant tothe SPI program F rom the process da tabase the SEPG will be ableto maintain and disseminate lessons learned as a result of the SPI program The SEPG should be staffed at a full time level that is equivalent to 1 3 of the organization s development staff In some smaller organizations fewer than 100 profession als at least one person the SEPG leader should be devot ed full time to SEPG responsibilities From time to time the SEPG will need additional resources to function effec tively These resources can be borrowed from the line organiza tions on a part time basis Assignments to the SEPG are 173 A 0 Components of the Software Process Improvement Infrastructure A 2 The Software Engineering Process Group SEPG Membership Objectives Tasks 174 usually made for a fixed period of time on the order of one to two years after which the practitioners return to their line organizations and their place on the SEPG is filled by another practitioner Characteristics of members of the SEPG include experi ence as a software development pr
189. t plan template with MSG SE PG for ap proval 111 4 0 The Acting Phase 4 7 Package the Improvement and Turn Over to the Software Engineering Process Group SEPG 4 7 Purpose Objectives Entry Criteria Exit Criteria Tasks 112 Package the Improvement and Turn Over to the Software Engineering Process Group SEPG During solution development the TWG has probably devel oped several intermediate products and artifacts These must be collected into a package that can be turned over to the SEPG for long term maintenance and support This task will be much simpler if the TWG is doing this as it goes along Collect and clean up all intermediate products and arti facts Package products and artifacts for archival with the SEPG Process improvement s are ready for distribution Long term support arrangements are in place and solu tion providers are ready to implement solutions throughout the organization Artifacts from the TWG activities are available min utes notes plans templates diagrams charts etc Training and support is available for the organization All necessary artifacts are collected in a single place for long term support SEPG accepts the package Identify various intermediate products and artifacts the team has produced Collect clean copies of each product and or artifact Write descriptive material for those intermediate prod ucts and artifacts for which it is needed Or
190. t to proceed to the next phase action planning The baselining activity has been successfully completed Four groups have responsibility for most communications during this period the MSG middle management the SEPG and practitioners The MSG should publicly sponsor and support the recom mendations process and ensure that lower level managers support the process as well particularly by allocating time for the participants Senior management also should pro vide input on recommendations in the senior management brainstorming session Lastly senior management will provide feedback and review on the report Middle management should support the process and en sure that people who are participating are able to be at their assigned activities on timeand without interruptions Middle managers should also provide their inputs on rec ommendations during their brainstorming session The baselining team will be consolidating information on recommendations generating details on the findings and consequences and facilitating the brainstorming sessions They will consolidate distribute and brief the report The practitioners should provide their inputs on recom mendations The baseline Findings and Recommendations Report has been delivered and briefed to senior management and a commitment has been received to proceed to the E stablish ing phase 213 C 0 C 3 Tasks 214 Establish Organization Process Maturity Baseline
191. the Diagnosing phase page 53 52 CMU SEI 96 HB 001 2 0 The Diagnosing Phase 2 0 Overview CMU SEI 96 HB 001 The Diagnosing Phase The management steering group MSG must understand the organization s current software process baselinesothat it can develop a plan that will achievethe business changes specified in the organization s software process improve ment SPI goals The baselining activities performed in the Diagnosing phase will provide this information intothe SPI planning and prioritization process TheSPI strategic action plan which will be developed after the baselining activities are complete is critical it is need ed to provide clear guidance for the various process im provement actions that will be taken over the next few years It should provide clear business reasons for conduct ingtheSPI program and should be clearly and measurably linked to the organization s business plan and vision The baselines will provide information on how and how well the organization currently performs its software activ ities The knowledge of the strengths and opportunities for improvement is an essential prerequisite for identifying and prioritizing an effective and efficient SPI program The primary output of this phaseis the Final Findings and Recommendations Report which is produced as a result of the baselining activities Secondary outputs may be revi sions to the organization s vision and business plan
192. the process The leader of the TWG should be the owner of the process that is being evaluated For example a TWG formed to evaluate and improve the testing process would have the manager of testing as the TWG leader Other members of the TWG would be selected to provide alternative perspec tives to the process being studied Having TWG members who are either customers of the process or suppliers to the process is also beneficial If possible the members of the CMU SEI 96 HB 001 A 0 Components of the Software Process Improvement Infrastructure A 3 The Technical Working Group TWG Objectives Tasks CMU SEI 96 HB 001 TWG should be volunteers as opposed to being assigned to theteam This will ensurethat the team members have an expressed interest in the activity Participation on a TWG also provides for broadening of support and additional buy in tothe improvement activities The frequency of TWG meetings varies Some teams meet weekly for an hour at a fixed time and day Other teams may meet every other Tuesday for four hours Regardless of the frequency the meeting is mandatory for all team members is very focused and is fast moving The team fol lows a formal agenda and at the end of the meeting timeis reserved to evaluate the meeting It will take a few meet ings for the team to get to know and be comfortable with each other before they start functioning effectively If pos sible it would be a good idea for the first one
193. those that are as signed to the SPI infrastructure to guide and manage the SPI program In addition to the resources devoted to the management structure additional resources allocated to the SPI pro gram take two forms The first are personnel resources that are allocated full time and make up the SE PG Staff to fill the positions in the SEPG will usually come from within the organization s development ranks The success of the SEPG and the effec tiveness of the SPI program depend largely on the quality of the people that are recruited for the SEPG The SEPG is a small organization typically it has a staff size that is equal to 1 to 3 of the organization s practi tioners Occasionally extra resources will be needed for some specific tasks To provide these additional resources for the SE PG when required there may be some temporary members assigned to the SEPG These assignments are usually for a finite period of time allowing the members enough time to complete their specific task before return ing to their previous duties A second set of resources will be required to staff the TWGs that will be formed to address specific improvement issues Resources for the TWGs are usually committed as a per cent of a full time person for example J ohn we would like you to spend 20 of your time for the next 8 months work ing on the TWG that is solving our requirements manage ment problem These resources are committed for a
194. throughout the entire program adjusting the type and level of information presented to match the current phase and level of activities Theintent is to answer the question What is going on and why are we doing this Support is built by involving the people affected by the program in the early defining parts of the program when they can more easily make a differ ence and increase their stake in the outcomes Objectives Communicate the business need for SPI tothe organiza tion Communicate the approach that the organization will be taking for the SPI initiative Introduce and involve key stakeholders in communicating and forming the SPI program Entry Criteria TheSPI discovery team is formed and in place Existing initiatives policies and regulations that will affect the creation of a SPI program have been identi fied An approach to launching and conducting a SPI pro gram has been selected and SPI program support agree ments established Exit Criteria Organization SPI communication plan is completed Briefing kits for communications sessions are complet ed Messages that must be communicated at this point in the program have effectively reached their audiences 26 CMU SEI 96 HB 001 1 0 The Initiating Phase 1 4 Educate and Build Support There is no real exit from this activity as the need to edu cate and build support for process improvement continues throughout the program Tasks Build or obtain
195. tion of influencing them to change the way they approach their work Groups created to address a particular focus of the SPI program Document that defines the mission of a TWG CMU SEI 96 HB 001 Index Index A Acting phase see DEAL model Acting phase appraisal team education and skills 56 assessments 203 214 Baldridge evaluation 60 Baseline Findings and Recommendations Report 194 212 214 defined 215 delivered to MSG 57 see also baselines findings and recommendations baselines 53 57 baselining team 64 65 determining new or additional 128 findings and recommendations 69 reconciling with planned improvement efforts 87 management 67 maturity 86 91 metrics 91 metrics baseline 53 55 process 91 process description baseline 53 process maturity baseline 54 65 203 214 purpose of 55 63 recommended minimum set of 53 results of 65 reviewing 145 use of 53 briefing plan 27 briefings project 118 business issues 78 79 business plans see plans business C CAF seeCMM Appraisal Framework capability maturity model CMM 204 defined 215 capability maturity model CMM based appraisal for internal process improvement CBA I PI 54 CBA IPI see capability maturity model CMM based appraisal for internal process improvement CBA IPI champions see software process improvement SPI champions change resistance to 14 15 technological 47 48 charters 185 193 infrastructure 32 initial 84 MSG defined 216 de
196. to elicit input and gain agreement from the various projects on the content of the process improvement as well as how it is tobe initiated and supported The TWGs have to communicate with project personnel project management subject matter experts along with the SEPG and MSG In addition the TWG will be working with solution providers to get the best solution in the orga nization CMU SEI 96 HB 001 4 0 The Acting Phase Entry Criteria CMU SEI 96 HB 001 Specific communications include the following TWG to SEPG primarily status updates and requests for information and assistance TWG toMSG primarily status updates and requests for resource level approvals occasionally requests for arbi tration decisions affecting the organization that the TWG or the SEPG cannot make TWG to target groups The TWG must elicit require ments and feedback from the eventual target groups to ensure that the needs of these groups are met by the eventual solution In addition the TWG should solicit interest in pilot participation from the affected target groups TWG to pilots For the TWG to get the appropriate feed back to refine the process improvement solution signif icant communication is required to ensure the proper execution of the pilot project The SEPG will be primarily responsible for insuring tech nology transition of the change into the line organization The MSG and SEPG communicate the rollout strategy and plan and spec
197. ttendance by the SEPG at various staff meetings etc Global information is shared by holding periodic meetings at least quarterly where the SEPGs from different organizations are brought together prefera bly away from their work environments with a structured agenda to share lessons learned problems encountered and successes Where several SEPGs are close to each oth er geographically local software process improvement networks SPINs may bea vehicle for information sharing These usually meet monthly CMU SEI 96 HB 001 1 0 The Initiating Phase 1 6 Establish Software Process Improvement Infrastructure 1 6 4 Facilitate and Encourage Information Sharing To validate the effectiveness of the information sharing ac tivities you can conduct surveys as to what information is being shared and the value of such sharing Objectives Establish periodic planned SPI program meetings to share information locally about effective practices and learn from others efforts Establish periodic planned cross organizational meetings of SEPGs to share information globally about effective practices and progress and tolearn from other organizations Entry Criteria SPI program under way For multi organizational sharing more than one organization must have a SPI program under way Tasks Thelocal SEPG sets up periodic perhaps quarterly meetings that the key participants in the SPI pro gram MSG members TWG leaders process owners
198. ult of the investigation 149 6 0 6 2 150 Manage the Software Process Improvement Program Organizing the SPI Program TheTWGs typically havea finite life the duration of which is usually defined in the charter After the completion of the TWG objective it is disbanded and the members re turn to their normal duties During the early phases of the SPI program issues of scope usually cause TWGs to underestimate the time required to complete their objectives This results in TWGs going back to the MSG requesting more time or a reduced scope Knowledge gained from TWG experience will reduce these occurrences as the scope of the working groups comes to be more specifically defined TheTWGs report tothe MSG At the monthly meeting that the MSG holds the agenda will always include a status briefing from each of the active TWGs The TWGs also have a dotted line reporting relationship to the SEPG This al lows the SEPG to fulfill its charter of being the focal point for process improvement for the organization by keeping abreast of the improvement activities that are under way in the organization This also allows the SEPG to create a repository of artifacts that have been produced and or used during the improvement process This repository also called the process database contains records of the data gathered and generated during the improvement process This process database provides a ready reference for mea suring results of the
199. und during the Diagnosing phase are developed The purpose of this task is to create solutions to the problems or processes that the organization has determined are necessary to meet the business needs of the organization The solution selected should be compatible with the organi zation s culture so that it will be readily accepted and easi er to institutionalize Objectives Investigate alternative solutions to process issues dis covered during the baselining activity Select solution that best fits the business needs and culture of the organization Entry Criteria Baselining activity completed TWGs established TWGs trained Final briefing from baselining activity available Final Findings and Recommendations Report available Policies procedures guidelines etc available Exit Criteria Solutions selected and documented Plan template for piloting the solution developed Subtasks The subtasks for this task are shown in the table below Page Subtask Number 4 2 1 Refine the Process Process Centered Approach 104 4 2 2 Analyze and Fix the Problem Problem Centered Approach 106 CMU SEI 96 HB 001 103 4 0 The Acting Phase 4 2 Develop Solutions 4 2 1 Refine the Process Process Centered Approach 4 2 1 Refine the Process Process Centered Approach Purpose The process centered approach deals with understandinga specific key process identified during the baselining phase and applying incremental refine
200. upon schedules In this man ner the MSG will be able to get early warning of any diffi culty occurring within the SPI program and be able to pro vide corrective action After evaluating available alternatives and selecting a so lution to provide for improvement an approach for intro ducing the selected solution must be formalized This in cludes obtaining sponsorship planning the implementa tion evaluating risk and selling the new technology to pilot users After selecting the pilot and testing the technol ogy and approach to implementation with the pilot the re sults are evaluated This evaluation answers these ques tions CMU SEI 96 HB 001 6 0 Manage the Software Process Improvement Program 6 5 Monitoring the SPI Program Tasks CMU SEI 96 HB 001 Did the new technology improve the process it was selected to improve Are there any downstream effects that were not planned for What lessons were learned in the pilot that can be ap plied so that implementation has minimal impact From the lessons learned with the pilot the implementa tion approach is revised for wide scale adoption The re vised plan from the pilot is used to introduce the technology on a broader scale across the organization During the time that the implementation has been occur ring across the organization a support mechanism for the new technology must be established Also at this time les sons learned during the adoption and institutio
201. urpose The purpose of this step is to develop or refine a SPI stra tegic action plan that will provide guidance and direction to the SPI program in the years to come The SPI strategic ac tion plan is critical in that it is needed to provide clear guid ance to the various process improvement actions that will be taken over the next few years It should provide clear business reasons for conducting the SPI program and should be clearly and measurably linked to the organiza tion s vision and business plan The primary output of this step is the SPI strategic action plan Secondary outputs may be revisions to the organiza tion s vision and business plan Objectives Develop update a long term three to five year SPI strategic action plan that encompasses the entire orga nization s software process improvement activities and integrates them with any other total quality manage ment TQM initiatives already planned or in process Develop update long range three to five year and short term one year measurable goals for the organi zations SPI program Integrate the baseline findings and recommendations into the SPI strategic action plan Integrate the SPI strategic action plan with the organi zation s business plan mission and vision Education Skills Training and skill development for the Establishing phase is shown in the following table es Line a Training Managers Practitioners Strategic planning CMU SEI
202. veloping or revising 35 example of 186 187 SEPG defined 217 developing 36 CMU SEI 96 HB 001 example of 188 190 SPIAC 191 193 TWG 91 198 defined 218 CMM Appraisal F ramework 54 203 communication facilitating and encouraging 40 41 179 SEPGs between 40 41 46 179 vehicles for 39 communication plan see organization communication plan D Diagnosing phase see DEAL model Diagnosing phase discovery team 14 19 20 defined 11 215 education and skills 13 forming 20 organizing 19 E Establishing phase seeIDEAL model Establishing phase executive council EC 31 151 182 183 defined 215 tasks 183 F Final Findings and Recommendations Report 53 developing 65 functional area representative FAR 208 defined 215 G goals establishing 24 general 49 50 195 high level establishing 137 specific 195 IDEAL model 2 Acting phase 5 93 126 process flow diagram of 99 applying 4 5 Diagnosing phase 53 66 process flow diagram of 58 Establishing phase 5 67 92 process flow diagram of 71 Initiating phase 5 11 52 process flow diagram of 17 Leveraging phase 5 127 139 process flow diagram of 130 overview of 1 5 preparing for subsequent cycles of 43 improvements italicized page number indicates that the item appears in a table or figure 219 Index installing 122 123 information sharing see communication infrastructure see software process improvement SPI infrastructure Initiating phase seel DE
203. w business plan if one does not exist or if the existing plan is not adequate Identify goals and other possibly competing initia tives The MSG and SEPG have completed training in the strategic planning process Organizations vision is defined and communicated CMU SEI 96 HB 001 3 0 The Establishing Phase 3 3 Review Organization s Business Plan Exit Criteria Tasks CMU SEI 96 HB 001 The SPI goals that are driven by the business plan are identified Other improvement efforts that complement or compete with the SPI program are identified The business plan and SPI strategic plan are synergis tic Review existing business plan for adequate linkage to SPI program Modify or generate new business plan if current one is inadequate Identify goals for the SPI program driven by the busi ness plan Identify other initiatives that may support or compete with the SPI program and the degree of impact 77 3 0 The Establishing Phase 3 4 Determine Key Business Issues 3 4 Purpose Objectives Entry Criteria 78 Determine Key Business Issues Unless the SPI program is driven by the current business needs and understood and agreed to by management it will likely be difficult to sustain the program over the long haul This is because it will be difficult to clearly demon strate to senior management that the initiative is achiev ing real value for the organization in business terms The key business
204. y the progress reporting requirements should be defined and scheduled for the duration of the TWG Directing the activities of the SPI program will not be as easy as it appears Consideration must be given to the way in which changes in one area no matter how minor can have a ripple effect on the entire organization Such events can be prevented by making sure that the proper people are represented on the TWGs and that changes are piloted in a controlled setting before being re leased across the organization The working group should include users of the process suppliers to the process and receivers of the finished product By itself this will not en surethat the problem will be solved but it will significantly reduce its chance of occurring Ensure that SPI program direction is consistent with the organization s vision and mission Organization s vision and mission are defined and doc umented Organization policy that provides guidance to the soft ware development activities exists Strategic plan is available that prioritizes the improve ment activities Review existing policies and procedures Evaluate existing policies and procedures to determine priorities for establishing TWGs Authorize and initiate TWGs as required Evaluate criteria and make informed decisions regard ing priority and direction of SPI program 165 6 0 6 6 166 Manage the Software Process Improvement Program Directing the SPI
205. zation s Business Plan 76 3 4 Determine Key Business Issues 78 3 5 Review Past Improvement Efforts 80 3 6 Describe the Motivations to Improve 81 3 7 Identify Current and Future Planned Improvement Efforts 82 3 8 Finalize Roles and Responsibilities of the Various Infrastructure Entities 84 3 9 Prioritize Activities and Develop Improvement Agenda 86 3 10 Reconcile the Existing P lanned Improvement Efforts with the Baseline Findings and Recommendations 87 3 11 Transform the General Software Process Improvement SP1 Goals to Specific Measurable Goals 88 3 12 Create Update the SPI Strategic Plan 89 CMU SEI 96 HB 001 i 3 13 Build Consensus Review and Approve the SPI Strategic Plan and Commit Resources to Action 90 3 14 Form the Technical Working Group TWG 91 4 1 Complete Tactical Plan for Technical Working Group TWG 101 4 2 Develop Solutions 103 4 3 Pilot Potential Solutions 107 4 4 Select Solution Providers 108 4 5 Determine Long Term Support Needs 110 4 6 Develop Rollout Strategy and Plan Template 111 4 71 Package the Improvement and Turn Over to the Software Engineering Process Group SEPG 112 4 8 Disband the TWG 114 4 9 Rollout Solution 115 4 10 Transition to Long Term Support 126 5 0 The Leveraging Phase 127 5 1 Gather Lessons Learned 132 5 2 Analyze Lessons Learned 133 5 3 Revise Organizational Approach 135 5 4 Review Sponsorship and Commitment 136 5 5 Establish High Level Goals 137 5 6 Develop New Revised Software Process Im

IDEALSM: A User's Guide for Software Process Improvement

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