1. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 1 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level SE470 - Other Software Engineering Processes SEI CMM and ISO9000 Repeatable Level Defined Level Managed Level Initial Level Optimizing Level Larry Dribin, Ph.D. - DePaul University Phone: (847)807-7390 - Fax: (847)459-1650 Email: dribin@cs.depaul.edu Copyright  2002 - Larry Dribin, Ph.D. - v1.1 04-07-02 Excellence in Software Engineering

2. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 2 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level Software Engineering Institute (SEI)  Organization funded by the Department of Defense (DOD) to improve software in DOD operations.  Established in December 1984.  Located at Carnegie Mellon University.  Research and publications oriented.  Most publications available to public. The SEI Mission is to improve the state of the practice of software engineering.

3. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 3 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level In 1991 SEI Developed the Capability Maturity Model - CMM S W The SEI developed the CMM to characterize the capabilities of software organizations and help them improve. Each of the five levels of the CMM defines a set of processes which determine an organization’s capability to develop software. Each level provides a foundation for the levels above. Organized collections of best practices Based on work by Crosby, Deming, Juran, Humphrey... Systematic ordered approach to process improvement Means of measuring organizational capability and maturity Have proven to bring significant return on investment in productivity and quality Provide easy to use models for process improvement

4. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 4 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level CMM-SW Vision “ I wanted to get software organizations to adopt Deming’s approach to continuous improvement, but I realized it had to be done in stages.” Watts Humphrey, creator of the CMM-SW Key Stages: - First, eliminate chaos (Level 2) - Second, establish common processes (Level 3) - Third, understand process capability and control variation in process performance (Level 4) - Fourth, continuously improve capabilities of critical processes (Level 5) Repeatable – Level 2 Defined - Level 3 Managed - Level 4 Excellence in IT Functioning Initial – Level 1 Optimizing - Level 5

5. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 5 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level CMM S W - Software Process Maturity Model Level Characteristic Process optimization using continuous process improvement. Cost and schedule under control with very high quality. Process metrics gathered automatically and analyzed. Problem prevention processes in place. Cost, schedule and quality in control. Development process defined and followed by staff. Process group established. Reliable cost and schedules, but quality varies. Basic project controls in place, reasonable control over schedules, but cost and quality vary widely. Chaotic, Ad Hoc, each project run differently, missed schedules, over budget and low quality. Optimizing Managed Defined Repeatable Initial Provided a framework for better management.

6. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 6 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level Key Process Areas of the CMM-S W R I S K

7. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 7 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level CMM-SW is a Staged Model  Each of the five levels of the CMM define a set of processes and practices (Key Process Areas – KPAs)  Each level provides a foundation for the levels above and cannot be skipped Optimizing Initial Disciplined project management is practiced but each project may use a different set of processes. Consistent processes from organization- wide Process Asset Library applied to all projects Repeatable Process measurement used in decision making Defined Managed Continuous organization- wide process improvement Ad hoc environment with each project run differently and varying project management discipline

8. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 8 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level SEI CMM SW Level 2 Key Process Areas  Requirements Management - the practices associated with managing requirements between the software developer and the user  Software Quality Assurance - the practice of providing quality assurance for the software development projects  Software Project Planning - the practices associated with planning and estimation software projects  Software Project Tracking - the practices associated with tracking a software development project throughout its life  Configuration Management - the practices associated with managing the composition of and version numbering of a software product release  Subcontractor Management - the practices associated with managing software subcontractors such as Operating Level Agreements

9. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 9 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level Prerequisites for Success  Project Team - processes in place & followed  Management - commitment and support  Users - willingness to change

10. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 10 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level CMM S W - Related Software Process Models CMM - Capability Maturity Model - CMM Focuses on organizational performance. Team Software Process - TSP Focuses on team performance. Personal Software Process PSP - Focuses on individual performance.

11. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 11 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level CMM S W - CMM Issues in the Commercial World  Too many companies focus on CMM level and not “real” process improvements such as: Fewer defects, more productivity, faster time to market  CMM process focus is on software development and it doesn’t cover some key Commercial IT areas:  Business Strategy and its linkage to IT  Front End - Project Selection  Back End - Operations, support, help desk, maintenance  Organization structures and staff capabilities  Applications portfolio  We often need to supplement the CMM in areas it does not cover  Often implement a CMM Lite with less stringent process definitions

12. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 12 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level “The State of Software Engineering Practice: A Preliminary Report”, Watts Humphrey, et. al., SEI, February 1989. 1998 1988 807 (261) Organizations 54% (29%) Commercial 29% (41%) DoD/Fed Contractor 13% (23%) Military 4 %(07%) Other CMM S W - State of Practice 1998 vs. 1988

13. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 13 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level CMM Maturity Level 01230123 3.5 3 2.5 2 1.5 1 0.5 0 Ratio of Actual to Estimated Cost CMM SW Results - Project Cost vs. CMM Level Source: Software a Challenge for Management, Watts Humphrey, Cspin Presentation, November 7, 1996

14. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 14 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level CMM SW Results - Master Business Systems Those organizations at high CMM levels produce traditional applications well and also produce Internet, Web and eBusiness applications well.

15. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 15 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level The CMM works well for those organizations that implement it effectively. Not all organizations do! CMM SW Results - The CMM SW Works The CMM SW enables organizations to develop software:  Faster- Reduces development time  Better - Produces products with fewer defects and which better satisfy user requirements  Cheaper- Lower development costs

16. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 16 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level How to get more information on the SEI CMM: Research Access Incorporated orCustomer Relations 800 Vinial StreetSoftware Engineering Institute Pittsburgh, Pa 15213 Carnegie Mellon University Pittsburgh, PA 15213 Phone: (800)685-6510 (412)268-5800 Fax: (412)321-2992 http://www.rai.comhttp://www.sei.cmu.edu and ask for documents: CMU/SEI-93-TR24 (ESD-TR-93-24) CMU/SEI-93-TR25 (ESD-TR-93-25)

17. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 17 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level ISO 9000 - The Global Quality Standard  Adopted in 1987.  A minimum set of quality system standards.  Over 50 Nations have adopted ISO 9000 as their own national standard for Quality  The United States has Adopted ISO 9000 as ANSI/ASQC Q90 Series.  Each of the 12 member nations of the EC has adopted ISO.  Voluntary standard, but in some cases required by the EC and other governments.

18. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 18 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level ISO 9000 Series ISO # ANSI# ISO9000 (Q90) ISO 9001 (Q91) ISO 9002 (Q92) ISO 9003 (Q93) ISO 9004 (Q94) ISO 9000-3 Description – Quality Management and Quality Assurance Standards - Guidelines for Selection and Use. – Quality Systems - Model for Quality Assurance in Design and Development, Production, Installation and Servicing. – Production and Installation only. – Final Inspection and Test only. – Quality Management and Quality System Elements - Guidelines – Guidelines for the Application of ISO 9001 to the development, supply and maintenance of software.

19. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 19 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level ISO 9000 Requirements 0.0 Introduction 1.0 Scope 2.0 References 3.0 Definitions 4.0 Quality System Requirements 4.1 Management Responsibility 4.2 Quality System 4.3 Contract Management 4.4 Design Control 4.5 Document Control 4.6 Purchasing 4.7 Purchaser Supplied Product 4.8 Product Identification & Traceability 4.9 Process Control 4.10 Inspection and Testing 4.11 Inspection, Measuring and Test Equipment 4.12 Inspection and Test Status 4.13 Control of Nonconforming Product 4.14 Corrective Action 4.15 Handling, Storage, Packaging and Delivery 4.16 Quality Records 4.17 Internal Quality Audits 4.18 Training 4.19 Servicing 4.20 Statistical Techniques

20. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 20 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level ISO 9000 Registration ISO9001 Registration:  Registration is by specific site and a specific “scope of work.”  Provides for a consistent repeatable process.  Could be registered and still have poor products - concrete life jackets.  Requires an audit by a third party like UL. Why Register for ISO 9001?  Reasons for a company to pursue Registration:  The European Community has embraced ISO 9000.  Many other governments are requiring ISO 9000 registration of their suppliers.  Many large global customers are beginning to require ISO 9000 registration of their suppliers.  Adherence to ISO 9000 can improve quality.  ISO 9000 can provide a foundation for a quality improvement program.

21. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 21 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level ISO 9000 Registration Process: 1. Make decision to register. 2.Train staff and evaluate quality systems. 3. Develop a compliance plan. 4. Implement compliance plan. 5. Document quality system. 6. File Quality Manual with Agency. 7. Agency Audit. 8. Correct discrepancies. 9. Registration Certificate. 10. Must be renewed each year.

22. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 22 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level ISO 9000-3 Guidelines for Software Development  ISO 9001 (1987) is a requirements document  Was written in hardware terms  Software means TV Media, Publications and Computer programs in general.  ISO 9000-3 (1993) is a set of guideline (not a requirement) to help interpret 9001 for computer software development.  A company would still register for ISO 9001  Custom software development between two parties  Entire life-cycle model (irrespective of life-cycle)  Quality Plan  Development Plan  Verification - The process of evaluating the products of a given phase to ensure correctness and consistency with respect to the process standards for that phase  Validation - the process of evaluating software to ensure compliance with specified requirements

23. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 23 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level ISO 9000, the SEI CMM and Other Quality Standards No Quality System ISO 9001* SEI’s CMM 3 Malcolm Baldridge Award Deming Prize Continuously Improving Quality System * ISO 9001 for software development using ISO 9000-3

24. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 24 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level The SEI CMM and ISO 9000  DOD funds SEI but also looking at ISO 9000.  An SEI level 3 should allow an organization to be registered for ISO 9001.  SEI tells you where you are at and how to get to the next level.  ISO 9000 more focused on verifying your quality process.  Both standards are driving companies to improve the level of their software development processes.  Prediction: ISO 9000 will spread rapidly and in 3-5 years will be a significant distinguishing factor among companies.  Will start with big and medium companies and will spread to the smaller ones.

25. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 25 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level Full Life Cycle Software Engineering Processes Needs Analysis Design Build Operate Project Planning Project Tracking & Oversight Subcontractor Management Quality Assurance Configuration Management & Documentation Standards Performance Measurement Systems Management Call Management Tech. Support & Maintenance Requirements Management Software Product Engineering Project Evaluation & Prioritization (Work Request) Technology Organization Technology Strategy Organization Process Function IT Value Chain

26. Copyright  2002 - Larry Dribin, Ph.D. SE470_OtherSEProc_v1_1.pp SE470 Other SE Processes - 26 Excellence in Software Engineering Repeatable Level Defined Level Manage d Level Initial Level Optimized Level Other Software Engineering Processes SE Processes Reviewed in Class:  Rational Unified Process  Extreme Programming  Capability Maturity Model  ISO 9001 Other SE Processes:  Crystal  SCRUM  DSDM  Adaptive Software Development  Feature-Driven Development  Pragmatic Programming Project Management Iter#1 Analysis Design Implement Iter#2 Analysis Design Implement Iter#3 Analysis Design Implement Iter#N Analysis Design Implement Iter#4 Analysis Design Implement... Start-up Start-up Iterative Frameworks: High Level Analysis & Architecture