1. Capability Maturity Model® Integration (CMMISM) Personal Prof. Dr. ir J. De Man
CMMI (personal)

2. Personal CMMI Introduction
In this lecture we explore the application of the CMMI to personal (software) processes
To clarify the practical interpretation of the CMMI
To appreciate that the CMMI can be applied to small organizations (if it applies to a single person)
To discover the limitations and boundaries of the CMMI
CMMI (personal)

3. Personal CMMI Introduction
CMMI models cover development, acquisition and maintenance of products and services
It should be possible to apply the CMMI to software development by an individual
And perhaps also to other creative processes as learning or research?
CMMI (personal)

4. Personal CMMI Rationale
For an organization to operate at a certain level of maturity, the individuals in the organization must also have compatible personal processes
Examples:
Project planning requires contribution to size and effort estimation by project team members
Monitoring an Control requires disciplined registration of effort spent on assigned tasks and estimation of effort to complete
Formal configuration management of selected work products requires individuals to check-out/check in configuration items, create and track problem reports to closure
CMMI (personal)

5. Personal CMMI 5 Maturity Levels – an interpretation
Continuously
Improving
Process
A maturity level is an
evolutionary plateau
in process maturity
Measured,
Predictable
Process
Optimizing 5
Team
Standard
Process?
Quantitatively
Managed 4
Persons have
a disciplined
Process
Defined 3
Ad hoc
Chaotic
Managed 2
Practices at a lower level must be
established to enable practices at
a higher level to be efficient and effective
Initial 1
CMMI (personal)

6. Personal CMMI Levels of maturity – an interpretation
Level 2 Managed
Basic time management practices
Estimating, planning, tracking of size and effort
Taking corrective actions as required
Level 3 Defined
Processes aligned within a team (if applicable)
Collecting data for reuse and process improvement
Level 4 Quantitatively Managed
Define measurement program focused on improvement
Level 5 Optimizing
Identification of common causes of inefficiencies
Measurable improvements of personal processes
CMMI (personal)

7. CMMI Process Areas Definition
Specific Goals
Generic Goals
Specific Practices
Generic Practices
Specific goals/practices
are specific for each PA
define capability level 1 (performed)
Generic Goals/Practices
are common to all Process Areas
define capability levels 2 - 5
CMMI (personal)

8. CMMI Goals Specific Goals
Unique characteristics of process areas that must be implemented to satisfy the process area
Generic Goals
Generic goals appear in all process areas
Goals are required model components
Essential to achieving process improvement
Used to determine organizational maturity
CMMI (personal)

9. CMMI Practices Specific practices
Activities that are considered important in achieving the associated specific goal
Generic practices
Generic practices provide institutionalization to ensure that the processes associated with the process area will be effective, repeatable and lasting
Practices are expected components
Explain what will typically be done to achieve a goal
Do not specify how
Guide model users and appraisers
Alternatives are possible
CMMI (personal)

10. CMMI Process Areas by Maturity Level (Staged)
Requirements Management
Project Planning
Project Monitoring and Control
Supplier Agreement Management
Measurement and Analysis
Process and Product Quality Assurance
Configuration Management 2
Requirements Development
Technical Solution
Product Integration
Verification
Validation
Organizational Process Focus
Organizational Process Definition + IPPD
Organizational Training
Integrated Project Management + IPPD
Risk Management
Decision Analysis and Resolution 3
Process Areas at lower level
must be addressed before Process Areas at higher levels
Organizational Process Performance
Quantitative Project Management 4
Organizational Innovation and Deployment
Causal Analysis and Resolution 5
IPPD = Integrated Product and Process Development
CMMI (personal)

11. Level 2: Managed Project Planning
SG 1 Estimates of project planning parameters are established and maintained
Estimate the scope of your work
Establish estimates of work products and task attributes
Define project life cycle
Determine estimates of effort and cost
In practice
Establish a list of work product and tasks
Estimate for each work product the size, and for each task the effort
Prioritize tasks
CMMI (personal)

12. Level 2: Managed Project Planning (2)
SG 2 A project plan is established and maintained as the basis for managing the project
Establish budget and schedule
Plan for data management, project resources, needed knowledge and skills, plan stakeholder involvement
Establish project plan
In practice
Make a schedule (based on due dates, task dependencies)
Identify personal efficiency tools: spreadsheet, diary, PDA,…
Identify training you need to accomplish your tasks
Identify people affecting your work, affected by your work
Write down your plan (in a spreadsheet, your diary)
CMMI (personal)

13. Level 2: Managed Project Planning (3)
SG 3 Commitments to the project plan are established and maintained
Review plans that affect the project
Reconcile work and resource levels
Obtain plan commitment
In practice
Establish agreements with other people to perform work for you
Ensure you allocate enough time to accomplish your tasks
Is this a realistic plan? Can you commit yourself to executing this plan?
CMMI (personal)

14. Level 2: Managed Project Monitoring and Control
SG 1 Monitoring actual performance and progress
Monitor project planning parameters, commitments, project risks, data management, stakeholder involvement
Conduct progress reviews, milestone reviews
In practice
Log time and effort spent on tasks (in the planning table)
Also log estimated time to complete
Log unexpected, interrupting tasks as well!
Keep a “to-do” list and mark status of actions
Review status of your actual work against your plan periodically (weekly)
Review status of your work at the end/beginning of each major work package (e.g. delivery of software module)
CMMI (personal)

15. Level 2: Managed Project Monitoring and Control (2)
SG 2 Corrective actions are managed to closure when the project’s performance or results deviate significantly from the plan
Analyze issues
Take corrective action
Manage Corrective action
In practice
Adjust the plan if tasks were not finished on time, you spent/need more effort than anticipated, had to perform unplanned tasks
Notify affected people of any deviation as soon as possible
Plan overwork (skip leisure activities)
Skip tasks of lower priority
CMMI (personal)

16. Project Monitoring and Control Logging sheet
For each task/work product:
Short task/work product description (a few words)
Plan:
Orginally estimated size, effort, starting date, finishing date
Track:
Estimated effort to complete the task, estimated finishing date
Status
Record:
Actual size, effort, starting date and finishing date
Also register interrupting tasks!
If you use a spreadsheet, you can easily compute periodic (weekly) totals and averages, filter tasks by attributes,…
CMMI (personal)

17. Level 2: Managed Supplier Agreement Management
SG 1 Agreements with the supplier are established and maintained
Determine acquisition type, select suppliers, establish supplier agreement
In practice
Identify things you need to buy
Shop around for good price/quality
Buy
SG 2 Agreements with the supplier are satisfied by both the project and the supplier
CMMI (personal)

18. Level 2: Managed Measurement and Analysis
SG 1 Measurement objectives and activities are aligned with identified information needs and objectives
Establish measurement objectives
Specify measures, data collection and storage procedures, analysis procedures
In practice
Objectives are determined by other process areas, monitoring and control in particular
E.g. define your time tracking: granularity (hour, ¼ hour?), method (stopwatch?), periodicity of recording (daily?),…
How many errors do you make? How much time do you spend correcting them?
Define logging mechanism (paper, PDA, PC)
CMMI (personal)

19. Level 2: Managed Measurement and Analysis (2)
SG 2 Measurement results that address identified information needs and objectives are provided
Collect measurement data
Analyze measurement data
Store data an and results
Communicate results
In practice
Do what you planned to do: measure, keep a record, use it
CMMI (personal)

20. Level 2: Managed Process and Product Quality Assurance
SG 1 Adherence of the performed process and associated work products and services to applicable process descriptions, standards, and procedures is objectively evaluated
Objectively evaluate processes
Objectively evaluate work products and services
In practice
This evaluation can be performed by others, but you can also assume an external perspective yourself and assess how well you follow the rules you have imposed on yourself
Are you procrastinating, easily distracted, do the things you like instead of the things you need to do?
Use your measurements to obtain an objective view.
CMMI (personal)

21. Level 2: Managed Process and Product Quality Assurance (2)
SG 2 Noncompliance issues are objectively tracked and communicated, and resolution is ensured
Communicate and ensure resolution and noncompliance issues
Establish records
In practice
Draw lessons from the observations in SG1 and take corrective actions
CMMI (personal)

22. Level 2: Managed Configuration Management
SG 1 Baselines of identified work products are established
Identify configuration items
Establish a configuration management system
Create or release baselines
In practice
You also need to put your personal work products under configuration control (e.g. presentation slides for a course)
You need automated support, at least a well-organized directory structure on your PC with identification rules to distinguish between successive versions of documents
Establish the discipline to maintain documents in your CM system
CMMI (personal)

23. Level 2: Managed Configuration Management (2)
SG 2 Changes to the work products under configuration management are tracked and controlled
Track change requests
Control configuration items
In practice
Keep change requests in your task plan/log
Track progress by means of a status code in the list (created, started, finished, closed)
Identify versions of work products where change requests are implemented
CMMI (personal)

24. Level 2: Managed Configuration Management (3)
SG 3 Integrity of baselines is established and maintained
Establish configuration management records
Perform configuration audits
In practice
Periodically review you library of work products to ensure your CM rules have been applied and correct if necessary
Take frequent backups to minimize data loss in case of equipment failure or theft
CMMI (personal)

25. Level 2: Managed Summary
At level 2, you have a stable process
You manage your time professionally
Issues are identified in time and corrective actions are taken
Monitoring and control enables you to improve accuracy of your estimates based on personal history
Your measurements support this
You keep your work products under configuration management
But, you do not yet have enough insight in your processes to know where you are inefficient and to propose improvements
And you may not yet use common assets of the team, project or organization
CMMI (personal)

26. Level 3: Defined Introduction
We also start collecting information to obtain an better insight in the efficiency of our process and to identify and implement improvements
We keep a log of lessons-learned we can consult later to avoid having to solve the same problem over and over
In a way, we are establishing and documenting our personal software processes
If applicable, we also use common assets available in the team, project and organization level and contribute improvement information
CMMI (personal)

27. Level 3: Defined Generic Practices
GP 3.1 Establish and maintain the description of a defined process
In practice
If you have faced a difficult problem and found the solution, write it down in your engineering notebook for later reference
Document your personal software process
Template for planning/logging actions
“To-do” list template
How you maintain schedules
A structure of folders, filters for incoming mail, classification of outgoing mail,…
Standard directory structure on your PC
Establish a common standard in your team to facilitate aggregation
CMMI (personal)

28. Level 3: Defined Generic Practices (2)
GP 3.2 Collect work products, measures, measurement results, and improvement information derived from planning and performing the process to support the future use and improvement of the organization’s processes and process assets
In practice
Inefficiency is mainly caused by detecting/correcting defects
As a first step, you have to ensure that defects are detected as early as possible to avoid rework later in the process
It may already be possible to identify sources of defects (specific and common) to identify improvements
CMMI (personal)

29. Level 3: Defined Collecting Defect data
We already have the practice of registering defects and the time it takes to resolve them from level 2
We now need to collect more data
Activity where the defect was injected: requirements, design, code, error correction,…
Activity in which defect was found
Category of defect: spelling error, interface problem, variable not initialized,…
Based on the effort and number of occurrence of each category of defects, we can focus improvement actions on issues with the highest leverage
CMMI (personal)

30. Level 3: Defined Organizational Training
SG 2 Training necessary for individuals to perform their roles effectively is provided
Deliver training, establish training records, assess training effectiveness
In practice
Actively work on your personal development, identify your training need
Obtain commitment for training and ensure you have enough time to follow the training
CMMI (personal)

31. Level 3: Defined Risk Management
SG 1 Preparation for risk management is conducted
Determine risk sources and categories
Define risk parameters
Establish a risk management strategy
SG 2 Risks are identified and analyzed to determine their relative importance
Identify risks
Evaluate, categorize, and prioritize risks
SG 3 Risks are handled and mitigated, where appropriate, to reduce adverse impacts on achieving objectives
Develop risk mitigation plans
Implement risk mitigation plans
CMMI (personal)

32. Level 3: Defined Decision Analysis and Resolution
SG 1 Evaluate Alternatives
Establish Guidelines for Decision Analysis
To which type of issues will we apply DAR?
Establish Evaluation Criteria
What are the criteria, priorities,…
Identify Alternative Solutions
Select Evaluation Methods
Expert judgment, simulations, surveys
Evaluate Alternatives
Apply the selected method
Select Solutions
Based on the results of the evaluation and risk assessment
CMMI (personal)

33. Level 4 Quantitatively Managed Organizational Process Performance
SG 1 Baselines and models that characterize the expected process performance of the organization’s set of standard processes are established and maintained
Select processes
Establish process performance measures
Establish quality and process-performance objectives
Establish process performance baselines
Establish process performance models
Also for personal processes you can move from a generic measurement process to one that matches your individual requirements, objectives, strengths and weaknesses
CMMI (personal)

34. Level 5 Optimizing Organizational Innovation and Deployment
SG 1 Process and technology improvements that contribute to meeting quality and process-performance objectives are selected
Collect and analyze improvement proposals
Identify and analyze innovations
Pilot improvements
Select improvements for deployment
In practice
Based on historical record, identify categories of inefficiencies with highest leverage
Identify changes in your personal process
Pilot the changes
CMMI (personal)

35. Level 5 Optimizing Organizational Innovation and Deployment (2)
SG 2 Measurable improvements to the organization’s processes and technologies are continually and systematically performed
Plan the deployment, manage the deployment, measure improvement effects
In practice
Adapt your spreadsheets, checklists
Track the impact of the changes with your measurements
Apply your personal process consistently but remain sensitive for improvements, listen to comments of others, monitor evolution of personal efficiency technology, stay open for change
CMMI (personal)

36. Level 5 Optimizing Causal Analysis and Resolution
SG 1 Root causes of defects and other problems are systematically determined
Select data for analysis
Analyze causes
In practice:
Categorize the errors you have made
Apply the 5 whys technique to identify the root cause until you find an “actionable” cause, one you can do something about
CMMI (personal)

37. Level 5 Optimizing Causal Analysis and Resolution (2)
SG 2 Root causes of defects and other problems are systematically addressed to prevent their future occurrence
Implement the action proposals
Evaluate the effect of changes
Record data
In practice:
Just the awareness of the typical errors you are making may help you in preventing them in the future
Identify personal rules, tools, training to improve your performance
Use measurements to monitor whether you are actually improving
CMMI (personal)

38. CMMI Summary
The CMMI can be interpreted for personal processes of people operating
in the context of an organization
in the context of a team
as individuals
Increase in maturity in the organization (team) must be supported by a corresponding increase in maturity of the teams (individuals) in the organization (team)
CMMI (personal)