Standard CMMI Appraisal Method for Process Improvement (SCAMPI)

276 Pages·2011·1.09 MB·English

®
Standard CMMI Appraisal Method for
SM
Process Improvement (SCAMPI ) 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 ix
Abstract xiii
Part I: Overview 1
About this Document 3
Part I: Overview 3
Part II: Process Definitions 3
Part III: Appendices, References, and Glossary 4
Audiences for this Document 5
How to Use this Document 5
Feedback Information 7
Executive Summary 9
What Is SCAMPI A? 9
Core Concepts and Approach 10
SCAMPI A Methodology 10
SCAMPI A Tailoring 12
Time Frame and Personnel Requirements 12
SCAMPI A Method Overview 13
Method Context 13
Method Objectives and Characteristics 13
Summary of SCAMPI V1.3 Changes 14
Key SCAMPI V1.3 MDD Change Concepts 16
Broadened Applicability of SCAMPI Method 16
Terminology Changes 16
Appraisal Scoping and Sampling 17
Data Coverage Rules 17
Data Collection 18
Appraisal Team Qualifications 18
Modes of Usage 18
Method Concepts 20
Data Collection, Rating, and Reporting 25
Generating Findings 26
Instruments and Tools 27
Conducting Cost-Effective Appraisals 28
Strategies for Planning Cost-Effective SCAMPI Appraisals 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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List of Tables
Table 1: Part I Contents 3
Table 2: Part II Contents 4
Table 3: Part III Contents 4
Table 4: Process Definition Elements 6
Table 5: Activity Elements 7
Table 6: Essential Characteristics of the SCAMPI A Method 14
Table 7: Summary of SCAMPI A V1.3 Updates 15
Table 8: SCAMPI A Modes of Usage 19
Table 9: SCAMPI A Phase Summary: Plan and Prepare for Appraisal 31
Table 10: SCAMPI A Phase Summary: Conduct Appraisal 32
Table 11: SCAMPI A Phase Summary: Report Results 34
Table 12: An Objective Evidence Database Schema 187
Table 13: Sample Database Record Structure 188
Table 14: Appraisal Team Roles and Responsibilities 195
Table 15: Other Appraisal Participants - Roles and Responsibilities 197
Table 16: Appraisal Team – Role Obligations and Access Rights 199
Table 17: Submissions Requirements for SCAMPI Appraisals 201
Table 18: Examples of Key Work Products 206
Table 19: Example of Sampling Factors - Customer 211
Table 20: Example of Sampling Factors – Basic Units 211
Table 21: Subgroups Defined by Sampling Factors 215
Table 22: Subgroups and Sample Size (Blue Business Unit) 216
Table 23: Subgroups and Sample Size (Blue Business Unit LA and Dayton Locations) 217
Table 24: Subgroups and Sample Size (Blue Business Unit LA and Dayton
Locations/Large Projects) 217
Table 25: Summary of the Blue Business Unit’s Organizational Unit and Scope Alternatives 218
Table 26: Subgroups and Sampled Process Areas (Blue Business Unit) 220
Table 27: Subgroups and Sampled Process Areas (LA and Dayton Locations Only) 221
Table 28: Subgroups and Sampled process areas (LA and Dayton Locations/Large Projects Only) 222
Table 29: Subgroups Defined by Sampling Factors 225
Table 30: Subgroups and Sample Size (The Whole Company) 226
Table 31: Subgroups and Sample Size (The Red Company/C3I Contracts) 227
Table 32: Subgroups and Sample Size (The Red Company/Non-Classified Contracts) 227
Table 33: Summary of Organizational Unit and Scope Alternatives 228
Table 34: Subgroups and Sampled Process Areas (The Red Company) 230
Table 35: Subgroups and Sampled Process Areas (The Red Company/C3I Contracts) 231
Table 36: Subgroups and Sampled Process Areas (The Red Company/Non-Classified Contracts) 232
Table 37: Number of Projects in the Green Company Divisions 234
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Table 38: Definition of Subgroups 235
Table 39: Subgroups and Number of Sampled Basic Units 236
Table 40: Process Areas and Basic Units/Support Functions 237
Table 41: Basic Unit/Support Function versus Process Area Map 238
Table 42: Basic Unit/Support Function versus Process Area Map (continued) 239
Table 43: Tailoring Checklist 247

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