Standard CMMI Appraisal Method for Process Improvement ...

Standard CMMI? Appraisal Method for Process Improvement (SCAMPISM) A, Version 1.3: Method Definition Document

SCAMPI Upgrade Team March 2011 HANDBOOK CMU/SEI-2011-HB-001

Software Engineering Process Management

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Table of Contents

Acknowledgments

Abstract

Part I: Overview

About this Document Part I: Overview Part II: Process Definitions Part III: Appendices, References, and Glossary Audiences for this Document How to Use this Document Feedback Information

Executive Summary What Is SCAMPI A? Core Concepts and Approach SCAMPI A Methodology SCAMPI A Tailoring Time Frame and Personnel Requirements

SCAMPI A Method Overview Method Context Method Objectives and Characteristics Summary of SCAMPI V1.3 Changes

Key SCAMPI V1.3 MDD Change Concepts Broadened Applicability of SCAMPI Method Terminology Changes Appraisal Scoping and Sampling Data Coverage Rules Data Collection Appraisal Team Qualifications Modes of Usage Method Concepts Data Collection, Rating, and Reporting Generating Findings Instruments and Tools Conducting Cost-Effective Appraisals Strategies for Planning Cost-Effective SCAMPI Appraisals

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xiii

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3 3 3 4 5 5 7

9 9 10 10 12 12

13 13 13 14

16 16 16 17 17 18 18 18 20 25 26 27 28 29

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Part II: Process Definitions

35

1 Plan and Prepare for Appraisal

37

1.1 Analyze Requirements

37

1.1.1 Determine Appraisal Objectives

40

1.1.2 Determine Data Collection Strategy

42

1.1.3 Determine Appraisal Constraints

45

1.1.4 Determine Appraisal Scope

46

1.1.5 Determine Appraisal Outputs

54

1.1.6 Obtain Commitment to Initial Appraisal Plan

56

1.2 Develop Appraisal Plan

59

1.2.1 Tailor Method

62

1.2.2 Identify Needed Resources

64

1.2.3 Develop Data Collection Plan

66

1.2.4 Determine Cost and Schedule

70

1.2.5 Plan and Manage Logistics

72

1.2.6 Document and Manage Risks

73

1.2.7 Obtain Commitment to Appraisal Plan

75

1.3 Select and Prepare Team

76

1.3.1 Identify Appraisal Team Leader

79

1.3.2 Select Team Members

81

1.3.3 Document and Manage Conflicts of Interest

86

1.3.4 Prepare Team

89

1.4 Obtain and Inventory Initial Objective Evidence

96

1.4.1 Obtain Initial Objective Evidence

99

1.4.2 Inventory Objective Evidence

101

1.5 Prepare for Appraisal Conduct

104

1.5.1 Perform Readiness Review

107

1.5.2 Re-Plan Data Collection

111

2 Conduct Appraisal

113

2.1 Prepare Participants

113

2.1.1 Conduct Participant Briefing

115

2.2 Examine Objective Evidence

116

2.2.1 Examine Objective Evidence from Artifacts

119

2.2.2 Examine Objective Evidence from Affirmations

122

2.3 Document Objective Evidence

128

2.3.1 Take/Review/Tag Notes

131

2.3.2 Record Presence/Absence of Objective Evidence

133

2.3.3 Document Practice Implementation

135

2.3.4 Review and Update the Data Collection Plan

137

2.4 Verify Objective Evidence

139

2.4.1 Verify Objective Evidence

142

2.4.2 Characterize Implementation of Model Practices and Generate Preliminary Findings144

2.5 Validate Preliminary Findings

149

2.5.1 Validate Preliminary Findings

151

2.6 Generate Appraisal Results

155

2.6.1 Derive Findings and Rate Goals

158

2.6.2 Determine Process Area Ratings

160

2.6.3 Determine Process Area Profile

162

2.6.4 Determine Maturity Level

163

2.6.5 Document Appraisal Results

164

3 Report Results

165

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3.1 Deliver Appraisal Results

165

3.1.1 Deliver Final Findings

168

3.1.2 Conduct Executive Session(s)

170

3.1.3 Plan for Next Steps

171

3.2 Package and Archive Appraisal Assets

173

3.2.1 Collect Lessons Learned

176

3.2.2 Generate Appraisal Record

177

3.2.3 Provide Appraisal Feedback to the SEI

180

3.2.4 Archive and/or Dispose of Key Artifacts

181

Part III: Appendices, References, and Glossary

183

Appendix A The Role of Objective Evidence in Verifying Practice Implementation

185

Appendix B Alternative Practice Identification and Characterization Guidance

191

Appendix C Roles and Responsibilities

195

Appendix D Reporting Requirements and Options

201

Appendix E Managed Discovery

203

Appendix F Scoping and Sampling in SCAMPI A Appraisals

209

Appendix G SCAMPI A Appraisals Including Multiple Models

241

Appendix H SCAMPI A Tailoring Checklist

247

References/Bibliography

249

Glossary

251

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List of Figures

Figure 1: SCAMPI A Rating Process

25

Figure 2: Sampling Formula

49

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