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to create the plan for the project. It has similar application to otherprocess areas. Table 1 portrays relationships of Generic Practicesto Process Areas.Table 1: Generic Practices and Related Process AreasBy Richard B. Waina, P.E., Ph.D.Previous articles in this series addressed Capability Maturity ModelIntegration, appraisals and general implementation issues. Thisarticle will focus on how to implement specific processes usingprocess action teams.The first thing to understand is that CMMI Process Areas are notprocesses. They are sets of related practices grouped together forease of evaluation. You have to look at your business and technicalprocesses and decide what critical issues you are facing. The CMMIhelps you focus on issues that the general community believes meritattention to help the organization mature its processes.The staged and continuous representations of the CMMI are identicalat the detailed goal and practice level, except for the base andadvanced practices in the continuous representation. Therefore,implementation of the two versions (for the same components)will be identical. The only question is the order of componentimplementation. These priorities will be driven by the needs of theorganization, which are a function of the business purposes andcurrent problems.I suggest that the staged representation be used to develop the processimprovement strategy, and the continuous representation beused to develop the tactics of process improvement. By this I meanthat an organization should, per the staged model, focus on thoseLevel 2 and Level 3 Process Areas that support its business needs. Ingeneral, this will enhance the ability of the organization to establishan environment that will enable lasting process improvement. Indeveloping action plans for specific Process Areas, the organizationshould consider the continuous representation because this will givemore detailed guidance for the exact steps that need to be takento achieve maturity of a given process.Generic PracticeAn organization implementing processes using the CMMI shouldconsider that the generic practices are generally enabled by the basepractices of specific Process Areas. This has implications for boththe strategy and the tactics of process improvement. To achieveinstitutionalization of a Process Area you may have to implementsome Specific Practices of other Process Areas. For example, whenyou are achieving the specific goals of the Project Planning processarea, you are establishing and maintaining a plan that definesproject activities.One of the generic practices that applies to the Project Planningprocess area is “Establish and maintain the plan for performing theproject planning process.” When applied to this process area, thisgeneric practice ensures that you plan the approach you were takingGeneric PracticeGP 2.1 Establish an OrganizationalPolicyGP 2.2 Plan the ProcessGP 2.3 Provide ResourcesGP 2.4 Assign ResponsibilityGP 2.5 Train PeopleGP 2.6 Manage ConfigurationsGP 2.7 Identify and Involve RelevantStakeholdersGP 2.8 Monitor and Control theProcessGP 2.9 Objectively EvaluateAdherenceGP 2.10 Review Status with HigherLevel ManagementGP 3.1 Establish a Defined ProcessGP 3.2 Collect ImprovementInformationGP 4.1 Establish QuantitativeObjectives for the ProcessGP 4.2 Stabilize SubprocessPerformanceGP 5.1 Ensure Continuous ProcessImprovementGP 5.2 Correct Root Causes ofProblemsProcess Area that enables (or is partlysubsumed by) the generic practiceEnabled by Project PlanningEnabled by Project PlanningEnabled by Project PlanningEnabled by Organizational TrainingEnabled by Configuration ManagementEnabled by Integrated ProjectManagementEnabled by Project Monitoring andControlEnabled by Process and Product QualityAssuranceEnabled by Project Monitoring andControlEnabled by Integrated ProjectManagementSubsumes part of Integrated ProjectManagementEnabled by Organization ProcessPerformanceSubsumes part of QuantitativeProject ManagementEnabled by and subsumes part of OrganizationalInnovation and DeploymentSubsumes part of Causal Analysis andResolutionThink of generic practices as reminders. They serve the purposeof prompting you to do those things that help ensure processstabilization and continuation. The generic goals and practicesare expected model components that provide commitment andconsistency throughout an organization’s processes and activities.Consistency and commitment result in what is called “institutionalization."Process Action TeamsProcess Action Teams or some variant are generally used to implementprocesses or process changes. Getting them up to speedquickly is easier with a defined process. Figure 1 illustrates aneight-step life-cycle process to guide process improvement projects.The process is documented in ETVX (Entry, Task, Verification, Exit)format, and has assorted templates and guidelines for each step inthe process for both outputs and for reporting status.The PAT process must be tailored to the requirements of the specificimplementation being undertaken. A seven-person PAT addressingrequirements management for a medium-size organization usedthe following resources:Kick-off - 30 man hours; Requirements Gathering - 75 man hours;Design Process - 140 man hours; Document Preparation - 450 manhours; Review, training and roll out - 1000+ man hours.28CHIPS Dedicated to Sharing Information*Technology*Experience
PAT Process Phases0. Develop and obtain approvals for the PAT Project Plan to define and implementa specific process change.1. Kickoff meeting (2-3 hours): explain PAT process; desired outputs; availabledata; CMMI requirements; and review charter for this specific processimprovement.2. Requirements gathering (2-4 hours). Output is a requirements matrix. Meetwith selected process users. Review any other relevant requirements sources(e.g., CMMI, related processes).3. Process design (1 day): Output is Process Flow Model in ETVX format.Explore and focus on critical issues. Draft the new/revised process. Verifythat all relevant PA practices are addressed. Select appropriate processmeasures. Document the process flow.4. Process documentation (1-2 days). Output is Process Guides (policy, practice,procedures, templates, guides, etc.).5. User review (2-3 hour). Document and address critical issues/action items.Repeat previous steps to rework process as necessary.6. Training development (1 day or more). Output is training materials andschedule.7. Roll out planning/pilot implementation (1-2 days). Output is implementationplan. Plan for implementation and evaluation (including appropriatemeasurements). Address institutionalization issues and transition strategies.(See Transition Strategies below). Pilot, review and approve the process:(1) Review pilot results (1/2 day). Revise as necessary; (2) Obtain a processmandate from the Process Management Board. Roll out the new process.8. Final wrap-up (1/2 day) Update the Process Asset Library.Document Lessons Learned.Deliverables (for a PAT developing a requirements management(RM) process):Process Model (ETVX format)Requirements Management Process Flow (for example)Process Guide (Rules and Tools)RM Practice (see PA Activities References) – WHATRM Procedures - HOWRM Templates and GuidelinesRM Policy (what is relationship of Policy to Practice?)RM Roles and Responsibilities (where located in document set?)Process TrainingRM training materialProcess SupportRecommended RM metricsRecommended RM oversight mechanismsRecommended RM transition strategies and roll out/implementation planCompletion Criteria: (1) Documentation for the new process iscomplete, including a standard process document and other documentationas needed; (2) The processes have been piloted and anyneeded revisions made; (3) The SEPG (Software Engineering ProcessGroup), Process Management Board (PMB), selected senior management,and other involved groups have approved the procedures; (4)The SEPG and PMB agree the team charter has been met; (5) The newdocumentation has been entered in the Process Asset Library; (6) TheProcess Assurance Office has accepted the new/revised process; (7)The PAT team is no longer required for implementation.Management Tracking and Oversight: (1) Semiweekly progressreports to SEPG, based on project plan and schedule; (2) Weeklyreports to project sponsor.Assumptions, Dependencies and Constraints: (1) Requirementsdetermination is NOT addressed by this PAT; that topic will be thesubject of a future PAT; (2) Coordinate with SCM PAT to use commoncontrol processes where appropriate; (3) Project estimates need tobe based on project requirements; coordinate with Estimation PAT.Process Action Team RolesExecutive Sponsor Functions: (1) Act as director and coordinatoracross functional groups within the organization; (2) Keep seniormanagement informed of progress or issues; (3) Facilitate resolutionof unresolved issues or implementation problems; (4) Workwith senior management to insure implementation is completedand ongoing; (5) Approve charter and select team members withteam leader.Team Leader Functions: (1) Ensure that the team adequately representsall affected groups; (2) Make team assignments for tasks that arerequired by the transition effort to implement the process change;(3) Coordinate team meetings and ensure the smooth operation ofthe transition team (all those who have responsibility for implementingthe change); (4) Ensure all action items and issues are closed ina timely fashion; (5) Conduct presentations for senior and mid-levelmanagement and the SEPG; (6) Communicate progress and resultsto the organization; (7) Manage the development of documentedprocedures and processes for the transition effort; (8) Manage theimplementation and roll out of the transition team procedures.Team Member Functions: (1) Develop solutions for problems andsupport the mandate for change that will result from this transitioneffort; (2) Regularly update their respective organizations and seniormanagement regarding transition efforts and solicit their feedback;(3) Present the feedback from their organizations on a weeklySKick-offMeetingRequirementsGatheringProcessDesignProcessDocumentationPilot?YesPilotProjectsUserReviewTrainingDevelopmentImplementationPlan RolloutWrap upFigure 1. The Eight-Step Life Cycle Process to guide process improvement projects.ECHIPS Spring 2004 29
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