The Rational Unified Process and the Capability Maturity Model – … · 2016. 6. 13. · The...

© 2001 by Carnegie Mellon University RU{/CMMI Tutorial - ESEPG1

The Rational Unified Process®

and the Capability MaturityModel® – IntegratedSystems/Software Engineering

SM CMMI and CMM Integration are service marks of Carnegie Mellon University.

® Capability Maturity Model, Capability Maturity Modeling, and CMM are registered in the U.S. Patent & Trademark Office.

TM Rational Unified Process is a trademark of Rational Software.

® RUP is a registered trademark of Rational Software.

Brian Gallagher Lisa Brownsword

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Acknowledgements

Defense Integrated Military Human Resources System (DIMHRS)• K.C. King• Wade Brignac• Kenneth Buck• Paul Evitts• Jerry Perry• Robert Woods

Rational Software Corporation• Philippe Kruchten• Jim Smith


TopicsGoals and Purpose

CMMI Overview

RUP Overview

RUP to CMMI Mapping

Lessons Learned


What We’ve Heard

I’m trying to decide between using

RUP and CMMI

I’m using RUP, why would I want to

look at the CMMI?

I’m doing CMMI-based improvement, how can a tool

like RUP help me?

What’s the difference between

CMMI and RUP?

CMMI is more a ‘waterfall’ development process, I need

a more iterative approach

How can I use RUP to develop ‘systems’,

not just software?


Our Approach• Plan

- Set comparison objectives- Select review team- Identify the RUP/CMMI authoritative source and constituent

elements to be used in the comparison- Determine comparison information to capture

• Train review team on CMMI

• Determine how RUP supports CMMI

• Determine how CMMI supports RUP

• Report the results- Develop this tutorial- Develop a detailed Technical Report (~Aug 01)


Tutorial GoalsExplore commonalities between RUP and CMMI

Identify differences between RUP and CMMI

Recommend improvements in RUP and CMMI to strengthenboth


Intended AudienceOrganizations engaged in CMMI-based improvementconsidering using RUP

Organizations using RUP who are considering CMMI-basedimprovement

Appraisal teams using CMMI as a “yardstick” fororganizations or projects using RUP


Topics

Goals and Purpose

CMMI Overview

RUP Overview

RUP to CMMI Mapping

Lessons Learned


What Is CMMI?

A framework of the key process elements for a systemdevelopment

• structured collection of processes proven throughexperience

An integrated view of process improvement across multipledisciplines• sets process improvement goals and priorities

• provides guidance for quality processes

• provides a yardstick for assessing current practices

Based on concepts and approaches pioneered by Crosby,Deming, Juran, Humphrey, et. al


Elements of an Effective Process -1

= CMMI Key Elements


Elements of an Effective Process -2

= CMMI Key Elements = Your Project’s Additional Elements


Capability and Maturity

Process capability pertains to an individual process

• Knowing the process capabilities of a collection ofprocesses has implications for organizational maturity

Organizational maturity pertains to a set of processes

• Being at a particular level of organizational maturity hasprocess capability implications for multiple processes


CMMI Model RepresentationsTwo approaches to processimprovement• process capability• organizational maturity

CMMI models support each approach witha representation• process capability approach ==> continuous representation• organizational maturity approach ==> staged representation

Which representation to use is based on the purpose ofthe improvement task


CMMI Model Components

Capability LevelsGeneric

Practices

GenericGoals

Process Area 2Process Area 1 Process Area n

SpecificGoals

SpecificPractices


Continuous Representation Structure

Cap

abili

ty

Process

ProcessArea 1

ProcessArea n

ProcessArea 2

ProcessArea 3

Process performed well andcontinuously improved

Process not performed


Capability Levels

A capability level is

• A well-defined evolutionaryplateau describing thecapability of any ProcessArea

• A layer in the foundationfor continuous processimprovement

5 Optimizing

4 Quantitatively Managed

3 Defined

2 Managed

1 Performed

0 Incomplete


ProjectManagement

Process AreasCategory

Requirements ManagementRequirements DevelopmentTechnical SolutionProduct IntegrationVerificationValidation

Engineering

Configuration ManagementProcess and Product Quality AssuranceMeasurement and AnalysisCausal Analysis and ResolutionDecision Analysis and Resolution

Support

Project PlanningProject Monitoring and ControlSupplier Agreement ManagementIntegrated Project Management RiskManagementQuantitative Project Management

Organizational Process FocusOrganizational Process DefinitionOrganizational TrainingOrganizational Process PerformanceOrganizational Innovation and Deployment

ProcessManagement


Topics

Goals and Purpose

CMMI Overview

RUP Overview*

RUP to CMMI Mapping

Lessons Learned

*Material based on The Rational Unified Process; An Introduction,Philippe Kruchten, Second Edition. Addison-Wesley, 2000


What is RUP?

A software engineering process based on best practicesin modern software development

• A disciplined approach to assigning and managing tasksand responsibilities in a development organization

• Focused on high-quality software that meets theneeds of its end users within a predictable scheduleand budget

A process framework that can be tailored to specific organizationor project needs

A process product developed and marketed by Rational Softwarewith an interactive knowledge base integratedwith tools


Key Aspects of RUP

Risk-driven process• Risk management integrated into the development process

• Iterations are planned based on high priority risks

Use-case driven development• Use cases express requirements on the system’s functionality

and model the business as context for the system

• Use cases are defined for the intended system and are usedas the basis of the entire development process

Architecture-centric design activities• Architecture is the primary artifact to conceptualize, construct,

manage, and evolve the system

• Consists of multiple, coordinated views (or models) of thearchitecture


RUP Basic PrinciplesDevelop Software Iteratively• Driven by early risk identification and mitigation• Each iteration results in an executable release

Manage Requirements• Requirements inherently dynamic across the system’s life

Use Component-Based Architecture• Architectures that are resilient to change are essential

Visually Model Software• Promotes consistency and unambiguous communication of

development information

Continuously Verify Software Quality• Identify defects early, objective measure of project status

Control Changes to Software• Create and release a tested baseline at the end of each iteration


RUP ArchitectureRUP produces a software generation• A generation extends from idea to retirement of a single

version of the system

Static Structure• Describes the process in terms of who is doing what, how,

and when

Dynamic Structure• Describes the process in terms of how the process rolls out

over time• Expressed in terms of iterations, phases, and milestones


Static Process Elements

Worker (who)A role that defines theindividuals or a team thatshould carry out the work

Activity (how)Describes a piece ofwork a worker performs

Artifact (what)A piece of information thatis produced, modified, orused by an activity

Workflow (when)Specifies when a set of related activities is performed,by which workers, producing some artifact, whichprovides some observable value to the project


RUP Workflows - 1

Project Management

Business Modeling

Requirements

Analysis and Design

• Plan an iterative process• Decide duration and content of an iteration

• Understand the organization structure anddynamics in which a system is to be deployed

• Capture and manage requirements• Design a user interface focused on users

needs and goals

• Translate requirements into a specification thatdescribes how to implement the system


RUP Workflows - 2

Implementation

Test

Configuration andChange Management

Environment

Deployment

• Create, assemble, and integrate componentsand subsystem into an executable system

• Assess product quality

• Track and maintain the integrity of evolvingproject assets

• Support the development organization withprocesses and tools

• Turn the finished software product over to itsusers


Additional Static Elements

Guidelines• Rules, recommendations, techniques, or heuristics to support

activities and artifacts

Templates• Models of artifacts that can be used to create the artifact• Usually associated with a tool

Concepts• Discussions on particular concepts (e.g., iteration, risk)

associated with the process

Tool mentors• Show how to perform a set of process steps using a specific

tool


Dynamic Element: Iterations

Each iteration results inan executable release

InitialPlanning Planning

RequirementsAnalysis and Design

Implementation

Deployment

Test

Evaluation

ManagementEnvironment


Dynamic Elements: Phases and Milestones

Inception Elaboration Construction Transition

time

Define scopeof project

Plan project,specify features,baselinearchitecture

Build product Transitionproduct toend usercommunity

LifecycleObjectives

LifecycleArchitecture

InitialOperationalCapability

… … … …


Static and Dynamic Process Structure

Project Management

Environment

Business Modeling

Implementation

Test & Assessment

Analysis & Design

Preliminary Iteration(s)

Iter.#1

PhasesCore Workflows

Supporting Workflows

Iter.#2

Iter.#n

Iter.#n+1

Iter.#n+2

Iter.#m

Iter.#m+1

Deployment

Configur. & Change Mgmt

Requirements

Elaboration TransitionInception Construction


System Evolution

• Four phases form one development cycle and produce ageneration of the system

• Significant user enhancement, business or mission changes,or technology changes trigger a new generation

I E C T

I E C T

I E C T

V1

V3

V2



CMMI Overview

RUP Overview

RUP to CMMI Mapping

• Project Management• Engineering• Support• Process Management• Generic Practices

Lessons Learned


Comparing Static Representations

CMMIRUP

OrganizationNeeds

ExternalConstraints

ProjectNeeds

OrganizationalStandard Processes Project Processes

Static

Dynamic

RUP-CMMIMapping


CaveatsWe are not assessing the Rational Unified Process

A project or organization is expected to tailor RUP to meet specificproject needs

We are not comparing the results of tailoring either RUP or CMMIfor an actual project or organization

Tailoring decisions could augment or deteriorate the results of ourcomparison

These comparisons are subjective: reasonable people may cometo different conclusions


Sources for Our ComparisonRational Unified Process, version 2000.02.10• all process elements (workflows, workflow details, activities,

artifacts, guidelines, templates)

Capability Maturity Model – Integrated for Systems and SoftwareEngineering (CMMI-SE/SW), Continuous Representation, Version1.02, December 2000• all Process Areas• Specific Goals within each Process Area• Specific Practices within each goal• Generic Practices


Capturing our ResultsRUP to CMMI

• HIGH: reviewers found a high degree of synergy betweenCMMI practices and RUP

• MEDIUM: reviewers were able to find some support for theCMMI practice

• LOW: reviewers had to stretch what we saw in RUP to supportthe CMMI practice, there were no mechanisms to support thepractice, or the practice was outside the scope of RUP

CMMI to RUP

• To be provided in a technical report (approximately ~Aug 01)



CMMI Overview

RUP Overview

RUP to CMMI Mapping


Lessons Learned


CMMI Basic Project Management

PPWhat To Build

What To Do

SAM

PMC

What To Monitor

Replan

Plans

Status,issues,results ofprogress andmilestonereviews

Product component requirements Technical issuesCompleted product componentsAcceptance reviews and tests

Engineeringand Support

process areas

Status, issues, results of process and product evaluations;measures and analyses

Commitments

Measurement needs

Corrective action

Supplier

Supplieragreement

Correctiveaction


Project Planning: Overview

PurposeEstablish and maintain plansthat define project activities.

CMMI RUPWorkflowProject Management, Environment

Synergy• RUP provides adequate support

mechanisms

• RUP does not provideassistance in sizing non-software project attributes (e.g.,labor, machinery, materials)


Project Planning: Mapping -1

SG 1: Establish Estimates

Estimates of project planningparameters are established andmaintained.

CMMI RUPWorkflow: Project ManagementWD: Conceive New ProjectWD: Develop SoftwareDevelopment Plan

SG 2: Develop a Project Plan

A project plan is established andmaintained as the basis formanaging the project.

Workflow: Project ManagementWD: Conceive New ProjectWD: Develop SoftwareDevelopment PlanWorkflow: EnvironmentWD: Prepare Environment forProject WD: Prepare Environmentfor an Iteration


Project Planning: Mapping -2

CMMI RUPSG 3: Obtain Commitment to thePlan

Commitments to the project planare established and maintained.

Workflow: Project ManagementWD: Develop SoftwareDevelopment Plan


Project Planning: SynergySpecific Goal

Establish Estimates

Specific Practice

• Estimate the Scope of the Project (H)• Establish Estimates of Project Attributes (M)• Define Project Life Cycle (H)• Determine Estimates of Effort and Cost (H)

Develop a ProjectPlan

• Establish the Budget and Schedule (H)• Identify Project Risks (H)• Plan for Data Management (M)• Plan for Project Resources (M)• Plan for Needed Knowledge and Skills (H)• Plan Stakeholder Involvement (H)• Establish the Project Plan (H)

Obtain Commitmentto the Plan

• Review Subordinate Plans (H)• Reconcile Work and Resource Levels (M)• Obtain Plan Commitment (H)


Project Planning: Detail ExampleSP1.2-1: Establish and document estimates of the attributes ofthe work products and tasks.

RUP Elements:Workflow: Project Management

Workflow Detail: Develop Software Development PlanActivity: Plan Phases and Iterations

Comments: RUP provides guidance on sizing a software effort.Sizing by analogy and sizing by analysis is discussed. RUPdoes not provide assistance in sizing non-software projectattributes (i.e. labor, machinery, materials, and methods that willbe required by the project).

Degree of Synergy: Medium



PPWhat To Build

What To Do

SAM

PMC

What To Monitor

Replan

Plans




process areas


Commitments

Measurement needs

Corrective action

Supplier

Supplieragreement

Correctiveaction


Project Monitor and Control: Overview

PurposeProvide understanding intothe project’s progressso that appropriate correctiveactions can be taken whenthe project’s performancedeviates significantly from theplan.

CMMI RUPWorkflowProject Management

Synergy• RUP provides strong

mechanisms to help monitora project

• Project’s using RUP shouldmake sure data managementis explicitly addressed


Project Monitor and Control: Mapping

SG 1: Monitor Project Against Plan

Actual performance and progress ofthe project is monitored against theproject plan.

CMMI RUPWorkflow: Project ManagementWD: Monitor and Control ProjectWorkflow: ConfigurationManagement

SG 2: Manage Corrective Action toClosure

Corrective actions are managed toclosure when the project'sperformance or results deviatesignificantly from the plan.

Workflow: Project ManagementWD: Monitor and Control Project


Project Monitor and Control: Synergy

Specific Goal

Monitor Project AgainstPlans

Specific Practice

• Monitor Project Planning Parameters (H)• Monitor Commitments (M)• Monitor Project Risks (H)• Monitor Data Management (M)• Monitor Stakeholder Interactions (H)• Conduct Progress Reviews (H)• Conduct Milestone Reviews (H)

ManageCorrective Actionsto Closure

• Analyze Issues (H)• Take Corrective Actions (H)• Manage Corrective Actions (H)


Project Monitor and Control: Detail Example

SP1.4-1 Monitor the management of project data.

RUP Components:Workflow: Configuration Management

Comments: Although not required, managing project datacould be called out in the Configuration Management Plan.




PPWhat To Build

What To Do

SAM

PMC

What To Monitor

Replan

Plans




process areas


Commitments

Measurement needs

Corrective action

Supplier

Supplieragreement

Correctiveaction


Supplier Agreement Management: Overview

PurposeManage the acquisition ofproducts and services fromsuppliers external to theproject for which there existsa formal agreement.

CMMI RUPWorkflownone

Synergy• RUP does not explicitly deal

with managing work fromexternal suppliers to the project

• RUP’s QA Plan, CM Plan, andSoftware Development Planhave sections labeled forsupplier and subcontractorcontrol


Supplier Agreement Management: Mapping

SG 1: Establish SupplierAgreements

Agreements with the suppliers areestablished and maintained.

CMMI RUPWorkflow: noneOutside of the scope of RUP

SG 2: Satisfy Supplier Agreements

Agreements with the suppliers aresatisfied by both the project and thesupplier

Workflow: noneOutside of the scope of RUP


Supplier Agreement Management: Synergy

Specific Goal

Establish SupplierAgreements

Specific Practice

• Analyze Needs and RequirementsDetermined by the Project (L)

• Select Suppliers (L)• Establish Supplier Agreements (L)

Satisfy Supplier Agreements

• Acquire COTS Products (L)• Execute the Supplier Agreement (L)• Conduct Acceptance Testing (L)• Transition Products (L)


CMMI Advanced Project ManagementProcess Performance Objectives, Baselines, Models

QPM

Organization’s Std. Processes and Supporting Assets

IPM

RSKM

LessonsLearned,Planning and Performance Data

Project’sDefinedProcess

Statistical Mgmt Data

Risk Status

Risk MitigationPlans

CorrectiveAction

Risk Taxonomies

& Parameters

Process Managementprocess areas

BasicProject Management

process areas

Risk exposure due to unstable processes

Quantitative objectives;subprocesses to statistically manage

Identified risks

Engineering and Supportprocess areas

Coordination,commitments,issues to resolve

ProductArchitecture

for StructuringTeams



Integrated Project Management: Overview

PurposeEstablish and manage theproject and the involvement ofthe relevant stakeholdersaccording to an integrated anddefined process that is tailoredfrom the organization’s set ofstandard processes.

CMMI RUPWorkflowProject Management, Environment

Synergy• RUP encourages developing

integrated plans

• RUP supports tailoring forproject unique needs throughthe development case artifact


Integrated Project Management: Mapping

SG 1: Use the Project’s DefinedProcessThe project is conducted using adefined process that is tailoredfrom the organization's set ofstandard processes.

CMMI RUPWorkflow: EnvironmentWD: Prepare Environment for Project/IterationWorkflow: Project ManagementWD: Develop SoftwareDevelopment PlanWD: Monitor and Control Project

SG 2: Coordinate and Collaboratewith Relevant Stakeholders

Coordination and Collaboration ofthe project with relevantstakeholders is conducted.

Workflow: Project ManagementWD: Close-out Phase


Integrated Project Management: Synergy

Specific Goal

Use the Project’sDefined Process

Specific Practice

• Establish the Project’s Defined Process (M)• Use Organizational Assets for Planning

Project Activities (M)• Integrate Plans (M)• Manage the Project Using the Integrated

Plans (H)• Contribute to the Organization’s

Process Assets (H)

Coordinate andCollaborate withRelevant Stakeholders

• Manage Stakeholder Involvement (H)• Manage Dependencies (L)• Resolve Coordination Issues (H)


Integrated Project Management:Detail ExampleSP1.1-1 Establish and maintain the project's defined process.

RUP Components:Workflow: Environment

Workflow Detail: Prepare Environment for Project/Iteration

Comments: Using RUP, a project would assess the currentsoftware development organization and select the processesand tools to support the project. This is less formal than havingan “organizational standard process” comprised of a suite oflifecycles and processes to choose from complete with tailoringguidelines.




QPM


IPM

RSKM




Risk Status


CorrectiveAction

Risk Taxonomies

& Parameters



process areas



Identified risks



ProductArchitecture




Risk Management: Overview

PurposeIdentify potential problemsbefore they occur, so that risk-handling activities may beplanned and invoked asneeded across the life cycle tomitigate adverse impacts onachieving objectives.


Synergy• RUP is a risk driven

development process

• Activities are performed tomitigate the highest risks andtackle the hardest jobs first


Risk Management: Mapping

SG 1: Prepare for Risk Management

Preparation for Risk Management isconducted.

CMMI RUPWorkflow: Project ManagementWD: Develop SoftwareDevelopment Plan

SG 2: Identify and Analyze Risks

Risks are identified and analyzed todetermine their relative importance.

Workflow: Project ManagementWD: Conceive New Project

SG 3: Mitigate Risks

Risks are handled and mitigated, whereappropriate, to reduce adverse impactson achieving objectives.

Workflow: Project ManagementWD: Conceive New Project


Risk Management: SynergySpecific Goal

Prepare for RiskManagement

Specific Practice

• Determine Risk Sources and Categories (H)• Define Risk Parameters (M)• Establish a Risk Management Strategy (M)

Analyze Risks • Identify Risks (H)• Evaluate, Classify, and Prioritize Risks (H)

Mitigate Risks • Develop Risk Mitigation Plans (H)• Implement Risk Mitigation Plans (H)


Risk Management: Detail ExampleSP2.1-1 Identify and document the risks.

RUP Components:Workflow: Project Management

Workflow Detail: Conceive New ProjectActivity: Identify and Assess Risks

Comments: RUP calls for identifying risks. The resulting artifact,the Risk List, documents the identified risks.

Degree of Synergy: High



QPM


IPM

RSKM




Risk Status


CorrectiveAction

Risk Taxonomies

& Parameters



process areas



Identified risks



ProductArchitecture




Quantitative Project Management: Overview

PurposeQuantitatively manage theproject’s defined process toachieve the project’sestablished quality andprocess performanceobjectives.

CMMI RUPWorkflowEnvironment

Synergy• Quantitatively managing the

project’s processes is outsidethe scope of RUP

• RUP provides some guidanceon measures pertinent to RUP


Quantitative Project Management: Mapping

SG 1: Quantitatively Manage theProjectThe project is quantitativelymanaged using quality and processperformance objectives.

CMMI RUPWorkflow: EnvironmentWD: Prepare Environment forProject

SG 2: Statistically ManageSubprocess Performance

The performance of selectedsubprocesses within the project’sdefined process is statisticallymanaged.

Workflow: none


Quantitative Project Management: Synergy

Specific Goal

Quantitatively Managethe Project

Specific Practice

• Establish the Project’s Objectives (L)• Compose the Defined Process (M)• Select the Subprocesses to be Managed (L)• Manage Project Performance (L)

Statistically ManageSubprocessPerformance

• Select Measures and Analytic Techniques (L)• Apply Statistical Methods to UnderstandVariation (L)

• Monitor Performance of the SelectedSubprocesses (L)

• Record Statistical Management Data (L)


Quantitative Project Management:Detail ExampleSP1.2-1 Select the processes and process elements thatcomprise the project’s defined process based on historicalstability and capability data.


Workflow Detail: Prepare Environment for ProjectGuidelines: Process Discriminates

Comments: While selection of processes and processelements aren’t selected based on historical stability (meaningstatistically understood), RUP provides guidelines to helpprojects select processes based on characteristics.




CMMI Overview

RUP Overview

RUP to CMMI Mapping


Lessons Learned


CMMI Engineering Process Areas

RD PI

Val

CustomerTS

Ver

REQM Requirements

Customer needs

Product and product component requirements

Product components, work products, verification and validation reports

Productcomponents

Alternativesolutions

Require-ments

Product


Requirements Management: Overview

PurposeManage the requirements ofthe project’s product andproduct components and toidentify inconsistenciesbetween those requirementsand the project’s plans andwork products.

CMMI RUPWorkflowRequirements

Synergy• RUP provides adequate support

mechanisms

• RUP integrates the tracking (orchange management) ofrequirements with capturing andanalyzing requirements


Requirements Management: Mapping

SG 1: Manage Requirements

Requirements are managed andinconsistencies with project plansand work products are identified.

CMMI RUPWorkflow: RequirementsWD: Understand Stakeholder NeedsWD: Manage the Scope of the SystemWD: Manage Changing RequirementsWorkflow: Analysis and DesignWD: Analyze BehaviorWD: Design ComponentsWD: Design DatabaseWD: Design Real-time


Requirements Management: SynergySpecific Goal

Manage Requirements

Specific Practice

• Obtain an Understanding of Requirements (H)• Obtain Commitment to Requirements

(Level 2) (H)• Manage Requirement Changes (H)• Maintain Bi-Directional Traceability of

Requirements (Level 2) (H)• Identify Inconsistencies between Project Work

and Requirements (H)


Requirements Management: Detail Example

SP1.2-2: Obtain commitment to the requirements from the projectparticipants.

RUP Elements:Workflow: Requirements

Workflow Detail: Manage the Scope of the SystemActivity: Prioritize Use Cases

Comments: RUP employs use cases to plan and package the work to bedone. The architect comes up with a first cut at a list of prioritized usecases. The project team is involved in revising the prioritized list basedon project risks, availability of resources, and stakeholder needs.




RD PI

Val

CustomerTS

Ver

REQM Requirements

Customer needs



Productcomponents


Require-ments

Product


Requirements Development: Overview

PurposeProduce and analyzecustomer, product, andproduct componentrequirements.

CMMI RUPWorkflowsRequirements, Configuration andChange Management, Analysis andDesign, Implementation, Test

Synergy• RUP provides good support mechanisms

• RUP “features” equivalent to customerrequirements

• Interfaces treated as one kind ofrequirement

• Prototyping key approach forrequirements (incl. interfaces) validation


Requirements Development: Mapping -1

SG 1: Develop CustomerRequirements

Stakeholder needs, expectations,constraints, and interfaces arecollected and translated intocustomer requirements.

CMMI RUPWorkflow: RequirementsWD: Understand Stakeholder NeedsWD: Analyze the ProblemWD: Define the SystemWorkflow: Configuration and ChangeManagementWD: Manage Change Requests

SG 2: Develop ProductRequirements

Customer requirements are refinedand elaborated to develop productand product componentrequirements for the productlife cycle.

Workflow: RequirementsWD: Refine the System DefinitionWD: Develop Software DevelopmentPlanWorkflow: Analysis and DesignWD: Analyze Behavior


Requirements Development: Mapping -2CMMI RUP

SG 3: Analyze and ValidateRequirements

The requirements are analyzedand validated, and a definition ofrequired functionality is developed.

Workflow: RequirementsGuidelines: Use-case StoryboardWD: Analyze the Problem,Understand Stakeholder Needs,Define the System, Manage theScope of the System, Refine theSystem Definition, Manage ChangingRequirementsWorkflow: Analysis and DesignWD: Define a CandidateArchitectureWorkflows: Implementation, Test(to create and assess prototypes)


Requirements Development: Synergy -1

Specific Goal

Develop CustomerRequirements

Specific Practice

• Collect Stakeholder Needs (H)• Elicit Needs (Level 2) (H)• Transform Stakeholder Needs, Expectations,

Constraints, and Interfaces into CustomerRequirements (H)

Develop ProductRequirements

• Establish Product and Product ComponentRequirements (H)

• Allocate Product ComponentRequirements (M)

• Identify Interface Requirements (H)


Requirements Development: Synergy -2

Specific Goal

Analyze and ValidateRequirements

Specific Practice

• Establish Operational Concepts andScenarios (H)

• Establish a Definition of RequiredFunctionality (H)

• Analyze Requirements (H)• Evaluate Product Cost, Schedule and

Risk (Level 3) (H)• Validate Requirements (H)• Validate Requirements with

Comprehensive Methods (Level 2) (H)


Requirements Development: Detail ExampleSP2.2-1: Allocate the requirements for each product component.

RUP Elements:Workflow: Analysis and Design

Workflow Detail: Analyze BehaviorActivity: Use-case Analysis, Identify Design Elements

Comments: RUP transforms the behavioral descriptions from the usecases into a set of design elements for the product using an object-oriented approach for analysis and design. RUP does not refer to thisset of activities as “requirements flowdown”.

CMMI stipulates that higher-level functionality that becomes theresponsibility of 2+ product components must be partitioned for uniquecomponent allocation. This can lead to a functional design, which RUPexplicitly avoids.




RD PI

Val

CustomerTS

Ver

REQM Requirements

Customer needs



Productcomponents


Require-ments

Product


Technical Solution: Overview

PurposeDevelop, design, andimplement solutions torequirements. Solutions,designs and implementationsencompass products, productcomponents, and productrelated processes either singlyor in combinations asappropriate.

CMMI RUPWorkflowsAnalysis and Design, Implementation,Deployment, Project Management

Synergy• RUP addresses the central goals of

forming, designing, and implementingengineered solutions

• RUP provides greater guidance onarchitecture development and validationthan CMMI

• RUP does not explicitly coverconsideration of design alternativesexcept at the architectural level

• RUP does not explicitly cover the use ofselection criteria for product solutions orcomponents


Technical Solution: Mapping -1

SG 1: Select Product ComponentSolutions

Product or product componentsolutions, including applicableproduct related processes, areselected from alternative solutions.

CMMI RUPWorkflow: Project ManagementWD: Conceive New ProjectArtifact: Business CaseWorkflow: Analysis and DesignWD: Define a Candidate ArchitectureWD: Refine the Architecture

SG 2: Develop the Design

Product or product componentdesigns are developed.

Workflow: Analysis & Design(all workflow details, activities,guidelines, artifacts)


Technical Solution: Mapping -2

CMMI RUPSG 3: Implement the Product Design

Product components, and associatedsupport documentation, areimplemented from their designs.

Workflow: ImplementationWD: Implement ComponentArtifact: Programming GuidelinesWorkflow: DeploymentWD: Develop Support Materials


Technical Solution: Synergy -1Specific Goal

Select ProductComponent Solutions

Specific Practice

• Develop Alternative Solutions andSelection Criteria (M)

• Develop Detailed Alternative Solutionsand Selection Criteria (Level 2) (L)

• Evolve Operational Concepts andScenarios (Level 2) (H)

• Select Product Component Solutions (M)


Technical Solution: Synergy -2Specific Goal

Develop the Design

Specific Practice

• Use Effective Design Methods (H)• Develop a Technical Data Package (H)• Establish a Complete Technical Data

Package (Level 3) (H)• Establish Interface Descriptions (H)• Design Comprehensive Interface

(Level 3) (H)• Perform Make, Buy, or Reuse Analyses

(Level 3) (L)

Implement theProduct Design

• Implement the Design (H)• Establish Product Support

Documentation (H)


Technical Solution: Detail ExampleSP1.1-1: Develop alternative solutions and establish selection criteria.RUP Elements:Workflow: Project Management

Artifact: Business CaseWorkflow: Analysis and Design

Workflow Details: Define a Candidate Architecture, Refine theArchitecture

Comments: The Business Case describes at least two approaches to realizing thesystem Vision, and analyze these in terms of capability, risk impact, schedule, andeconomic outcomes. Project options might include differing contractual bases,differing project lifecycles, differing mixes of 'make' and 'buy', and so on During theProject Approval Review, one of the offered choices is selected. RUP providesreferences to sources for risk and decision analysis techniques but does notexplicitly establish criteria.While RUP is very architecture focussed, it does not provide guidance on productcomponent selection.




RD PI

Val

CustomerTS

Ver

REQM Requirements

Customer needs



Productcomponents


Require-ments

Product


Product Integration: Overview

PurposeAssemble the product from theproduct components, ensurethat the product, as integrated,functions properly and deliverthe product.

CMMI RUPWorkflowsImplementation, Test, Deployment,Change & ConfigurationManagement, Analysis & Design

Synergy• RUP supports the general intent of

product integration

• RUP does not single interfaces outfor special treatment but does treatthem as first class elements of anydesign and integration


Product Integration: Mapping -1

SG 1: Prepare for ProductIntegration

The strategy for conducting productintegration is established andmaintained.

CMMI RUPWorkflow: ImplementationWD: Plan the IntegrationArtifact: Integration Build PlanWorkflow: Change and ConfigurationManagementWD: Create Project CM EnvironmentActivity: Create Integration Workspace

SG 2: Ensure Interface Compatibility

The product component interfaces,both internal and external, arecompatible.

Workflow: Analysis and DesignArtifact: Design ModelWorkflow: ImplementationWD: Structure the Implementation Model,Integrate each Subsystem, Integrate theSystemWorkflow: TestWD: Execute Integration Tests, ExecuteSystem Test


Product Integration: Mapping -2CMMI RUP

SG 3: Assemble ProductComponents and Deliver the Product

Verified product components areassembled and the integrated,verified, and validated product isdelivered.

Workflow: ImplementationWD: Implement ComponentActivity: Perform Unit TestsWD: Integrate Each SubsystemWD: Integrate the SystemWorkflow: TestWD: Execute Test in Integration TestStageWorkflow: DeploymentWD: Product Deployment UnitWD: Package ProductWD: Provide Access to DownloadSite


Product Integration: Synergy -1Specific Goal

Prepare for ProductIntegration

Specific Practice

• Establish a Product Integration Strategy (H)

• Establish the Product Integration Environment(Level 2) (H)

• Define Detailed Product IntegrationProcedures (Level 3) (H)

Ensure InterfaceCompatibility

• Review Interface Descriptions forCompleteness (H)

• Manage Interfaces (H)


Product Integration: Synergy -2Specific Goal

Assemble ProductComponents andDeliver the Product

Specific Practice

• Confirm Readiness of Product (H)• Components for Integration (H)• Assemble Product Components (H)• Checkout Assembled Product

Components (H)• Package and Deliver the Product or

Product Components (H)


Product Integration: Detail ExampleSP2.1-1: Review interface descriptions for coverage andcompleteness.RUP Elements:Workflow: Analysis and Design

Artifact: Design ModelWorkflow: Implementation

Workflow Details: Structure the Implementation Model, Integrateeach Subsystem, Integrate the System

Workflow: TestWorkflow Details: Execute Integration Tests, Execute System Test

Comments: Interfaces are a critical part of the architecture anddesign in RUP. The primary review mechanism is buildingarchitectural prototypes and integrating and testing theexecutables in each iteration such that the interfaces areexercised in a more realistic setting.Degree of Synergy: High



RD PI

Val

CustomerTS

Ver

REQM Requirements

Customer needs



Productcomponents


Require-ments

Product


Verification: Overview

PurposeAssure that selected workproducts meet their specifiedrequirements.

CMMI RUPWorkflowsTest, Environment, Implementation

Synergy• RUP provides good support for

verification practices

• Verification occurs with eachiteration


Verification: Mapping

SG 1: Prepare for Verification

Preparation for verification isconducted.

CMMI RUPWorkflow: TestWD: Plan TestWD: Design TestWorkflow: EnvironmentWD: Support Environment

SG 2: Perform Peer Reviews

Peer reviews are performed onselected work products.

Work Guideline: Reviews (appliesto all work products in all workflows)

SG 3: Verify Selected Work Products

Selected work products are verifiedagainst their specified requirements.

Workflow: TestWD: Execute Integration TestWD: Execute System TestWD: Evaluate TestWorkflow: ImplementationWD: Implement Component


Verification: SynergySpecific Goal

Prepare for Verification

Specific Practice

• Establish a Verification Strategy (H)• Establish the Verification Environment

(Level 2) (H)• Establish Detailed Verification

Plans (Level 3) (H)

Perform PeerReviews

• Prepare for Peer Reviews (H)• Conduct Peer Reviews (H)• Analyze Peer Review Data (Level 2) (H)

Verify Selected WorkProducts

• Perform Verification (H)• Analyze Verification Results and

Identify Corrective Actions (Level 2) (H)• Perform Re-Verification (H)


Verification: Detail ExampleSP3.3-1: Perform re-verification of corrected work products andensure that work products have not been negatively impacted.

RUP Elements:Workflow: Test

Workflow Detail: Execute TestsActivity: Execute Tests in Integration Test StageActivity: Execute Tests in System Test StageActivity: Fix a Defect

Comments: In iterative development, regression testing occurs witheach iteration. If bugs fix are needed, another iteration is performed withits own test activities. For each iteration a new version of the test modelis developed that contains old tests (as regression tests), and new teststhat take new functionality into account.




RD PI

Val

CustomerTS

Ver

REQM Requirements

Customer needs



Productcomponents


Require-ments

Product


Validation: Overview

PurposeDemonstrate that a product orproduct component fulfills itsintended use when placed inits intended environment.

CMMI RUPWorkflowsProject Management, Deployment

Synergy• RUP begins validation early with

use case reviews with the usersand continues with eachiteration’s executable evaluatedin a pre-release setting withselected users

• Product acceptance is definedas part of the project plan


Validation: Mapping

SG 1: Prepare for Validation

Preparation for validation isconducted.

CMMI RUPWorkflow: Project ManagementWD: Develop Product AcceptancePlanWorkflow: DeploymentWD: Beta Test Product

SG 2: Validate Product or ProductComponents

The product or product componentsare validated to ensure that they aresuitable for use in their intendedoperating environment.

Workflow: Project ManagementWD: Close-out ProjectArtifact: Product Acceptance PlanWorkflow: DeploymentWD: Beta Test Product


Validation: SynergySpecific Goal

Prepare for Validation

Specific Practice

• Establish a Validation Strategy (H)

• Establish the Validation Environment(Level 2) (H)

• Define Detailed Validation Procedures(Level 3) (H)

Validate Product orProduct Components

• Perform Validation (H)• Capture and Analyze Validation Results (H)


Validation: Detail ExampleSP1.1-1: Establish and maintain a validation strategy.

RUP Elements:Workflow: Deployment

Workflow Detail: Beta Test ProductActivity: Manage Beta Test

Workflow: Project ManagementWorkflow Detail: Develop Product Acceptance Plan

Comments: Inherent to RUP is the continual validation of eachiteration’s executable by actual users in order to identify defectsor disconnects as early as possible. The product acceptanceplan is co-developed with the users.




CMMI Overview

RUP Overview

RUP to CMMI Mapping


Lessons Learned


CMMI Basic Support Process Areas

PPQAMA

CM

All process areas

Measurements,analyses

Information needs

Configuration items;

change requests

Baselines;audit reports

Processes and work products;standards and

procedures

Quality and noncompliance

issues


Configuration Management: Overview

PurposeEstablish and maintain theintegrity of work products usingconfiguration identification,configuration control,configuration status accounting,and configuration audits.

CMMI RUPWorkflowConfiguration and ChangeManagement

Synergy• RUP provides good support

mechanisms


Configuration Management: Mapping -1

SG 1: Establish BaselinesBaselines of identified work productsare established and maintained.

CMMI RUPWorkflow: Configuration andChange ManagementWD: Plan Project Configuration &Change ControlWD: Change & DeliverConfiguration ItemsWD: Manage Baselines & Releases

SG 2: Track and Control ChangesChanges to the work products underconfiguration management aretrackedand controlled.

Workflow: Configuration and ChangeManagementWD: Manage Change Requests


Configuration Management: Mapping -2

CMMI RUPSG 3: Establish Integrity

Integrity of baselines is establishedand maintained.

Workflow: Configuration and ChangeManagementWD: Monitor and ReportConfiguration Status


Configuration Management: SynergySpecific Goal

Establish Baselines

Specific Practice

• Identify Configuration Items (H)• Establish a Configuration Management

System (H)• Create or Release Baselines (H)

Track and ControlChanges

• Track Changes (H)• Control Changes (H)

Establish Integrity • Establish ConfigurationManagement Records (H)

• Perform Configuration Audits (H)


Configuration Management: Detail Example

SP1.3-1: Create or release baselines for internal use and fordelivery to the customer.

RUP Elements:Workflow: Configuration and Change Management

Workflow Detail: Change and Deliver Configuration ItemsWorkflow Detail: Manage Baselines and Releases

Comments: RUP provides for the creation of internal as well asexternal baselines (i.e., deployment unit = an executablecollection of components, documents (end-user support materialand release notes) and installation artifacts).




PPQAMA

CM

All process areas


Information needs


change requests



procedures


issues


Process and Product Quality Assurance:Overview

PurposeProvide staff and managementwith objective insight into theprocesses and associatedwork products.


Synergy• RUP implements process and

product quality throughout allworkflows, phases, anditerations

• RUP Activity, Artifacts,Guidelines, Checkpoints, andTemplates “encode” whatshould be evaluated


Process and Product Quality Assurance:Mapping

SG 1: Objectively EvaluateProcesses and Work ProductsAdherence of the performed processand associated work products andservices to applicable processdescriptions, standards andprocedures is objectively evaluated.

CMMI RUPWorkflow: Project ManagementArtifact: Quality Assurance PlanWD: Monitor and Control ProjectActivity: Assess IterationArtifact: Review Record (reviews andcheckpoints in each workflow)

SG 2: Provide Objective InsightNoncompliance issues areobjectively tracked andcommunicated, and resolution isensured.

Workflow: Project ManagementArtifact: Problem Resolution PlanWD: Monitor and Control Project:Activity: Handle Exceptions andProblemsArtifact: Review Record (reviews andcheckpoints in each workflow)


Process and Product Quality Assurance:SynergySpecific Goal

Objectively EvaluateProcesses and WorkProducts

Specific Practice

• Objectively Evaluate Processes (H)• Objectively Evaluate Work Products

and Services (H)

Provide ObjectiveInsight

• Communicate and Ensure Resolutionof Noncompliance Issues (H)

• Establish Records (H)


Process and Product Quality Assurance:Detail ExampleSP2.1-1: Communicate quality issues and ensure resolution ofnoncompliance issues with the staff and managers.


Workflow Detail: Monitor and Control ProjectActivity: Handle Exceptions and Problems

Comments: Following the Problem Resolution Plan, problemmanagement procedures are triggered in Activity: HandleExceptions & Problems based on problems identified in a StatusAssessment, raising of Change Requests to track defects,anomalies discovered during reviews, or through non-conformances raised during process audits and reviews.




PPQAMA

CM

All process areas


Information needs


change requests



procedures


issues


Measurement and Analysis: Overview

PurposeDevelop and sustain ameasurement capabilitythat is used to supportmanagement informationneeds.


Synergy• RUP provides good support

mechanisms including extensiveguidelines on candidatemeasures of project, process,and product

• RUP does not explicitly addressthe communication ofmeasurement results to dataproviders


Measurement and Analysis: Mapping

SG 1: Align Measurement andAnalysis Activities

Measurement objectives andpractices are aligned with identifiedinformation needs and objectives.

CMMI RUPWorkflow: Project ManagementWD: Develop SoftwareDevelopment PlanActivity: Develop Measurement PlanGuidelines: Metrics

SG 2: Provide Measurement Results

Measurement results that addressidentified information needs andobjectives are provided.

Workflow: Project ManagementWD: Monitor and Control the ProjectActivity: Monitor Project StatusActivity: Report Status


Measurement and Analysis: SynergySpecific Goal

Align Measurementand Analysis Activities

Specific Practice

• Establish Measurement Objectives (H)• Specify Measures (H)• Specify Data Collection and Storage

Procedures (H)• Specify Analysis Procedures (H)

Provide MeasurementResults

• Collect Measurement Data (H)• Analyze Measurement Data (H)• Store Data and Results (H)• Communicate Results (H)


Measurement and Analysis: Detail Example

SP2.4-1: Report results of measurement and analysis activities to allaffected stakeholders.


Workflow Detail: Monitor and Control the ProjectActivity: Report StatusArtifact: Status Assessment

Comments: Artifact: Status Assessment is drawn from the ProjectMeasurements in Activity: Monitor Project Status. Status Assessment isused to ensure that expectations (i.e., Project Review Authority, projectmanager, and team leads in the functional areas) are synchronized andconsistent. Data providers are not explicitly identified as receivers ofmeasurement data.



CMMI Advanced Support Process Areas

DAR

All process areas

CAR

Defects and other problems

Selected issues

Processimprovementproposals

Structured decisions

ProcessManagement

Process Areas

ProcessManagement

Process Areas


Decision Analysis and Resolution: Overview

PurposeMake decisions using astructured approach thatevaluates identifiedalternatives againstestablished criteria.


Synergy• Decision analysis and resolution

processes are outside the scopeof RUP


Decision Analysis and Resolution: Mapping

SG 1: Evaluate Alternatives

Decisions are based on anevaluation of alternatives usingestablished criteria.

CMMI RUPWorkflow: noneOutside the scope of RUP

SG 2: Provide Measurement Results

Measurement results that addressidentified information needs andobjectives are provided.

Workflow: noneOutside the scope of RUP


Decision Analysis and Resolution: Synergy

Specific Goal

Evaluate Alternatives

Specific Practice

• Establish and Use Guidelines for DecisionAnalysis (L)

• Select Evaluation Technique (L)• Establish Evaluation Criteria (L)• Identify Proposed Alternatives (L)• Evaluate Alternative Solutions (L)• Select Solutions (L)


CMMI Advanced Support Process Areas

DAR

All process areas

CAR

Defects and other problems

Selected issues

Processimprovementproposals

Structured decisions

ProcessManagement

Process Areas

ProcessManagement

Process Areas


Causal Analysis and Resolution: Overview

PurposeIdentify causes of defects andother problems and take actionto prevent them from occurringin the future.


Synergy• In RUP, the iteration

assessment supplies a naturalpoint in each iteration tointegrate causal analysis andresolution

• Projects would need to developtheir own quantitatively-basedcausal analysis techniques


Causal Analysis and Resolution: Mapping

SG 1: Determine Causes of Defects

Root causes of defects and otherproblems are systematicallydetermined.

CMMI RUPWorkflow: Project ManagementWD: Manage IterationActivity: Assess IterationArtifact: Iteration Assessment

SG 2: Address Causes of Defects

Root causes of defects and otherproblems are systematicallyaddressed to prevent their futureoccurrence.

Workflow: Project ManagementWD: Plan for Next IterationActivity: Develop Iteration PlanArtifact: Development CaseWorkflow: TestActivity: Execute System Tests


Causal Analysis and Resolution: Synergy

Specific Goal

Determine Causesof Defects

Specific Practice

• Select Data for Analysis (M)• Analyze Causes (L)

Address Causesof Defects

• Implement the Action Proposals (M)• Evaluate the Effect of Changes (M)• Record Data (L)


Causal Analysis and Resolution: DetailExample

SP1.2-1: Perform causal analysis of selected defects and other problemsand propose actions to address them.RUP Elements:Workflow: Project Management

Workflow Detail: Manage IterationActivity: Assess Iteration, Artifact: Iteration Assessment

Comments: In RUP, each iteration ends with an assessment of the iteration’sobjectives, risks, and defects that is used to modify the project or improve theprocess. Artifact: Iteration Assessment captures the result of an iteration, thedegree to which the evaluation criteria was met, lessons learned, and changes tobe done. While RUP provides an appropriate context for causal analysis, thisCMMI practice assumes a statistical basis for the selection of defects andproblems to address and the use of causal analysis techniques to analyze thedefects. These aspects would need to be added to the iteration assessment,planning the next iteration, updating the development case, and specifying specificproduct and process measures in the measurement plan.

Degree of Synergy: Low



CMMI Overview

RUP Overview

RUP to CMMI Mapping


Lessons Learned


CMMI Basic Process ManagementProcess Areas

OPF OPDResources and

Coordination

OT

Std Processand OtherAssets

Training for Projectsand Support Groups inStd Process and Assets

Organization’sprocess needsand objectives

Std Process and Other

Assets

Senior Management

Organization’sbusiness objectives

Project Management,Support, and

Engineering processareas

Training needs

Improvement information(e.g., lessons learned, data, artifacts)

Process ImprovementProposals; Participationin defining, assessing,and deploying processes


Organizational Process Focus: Overview

PurposeEstablish and maintain anunderstanding of theorganization's processes andprocess assets, and to identify,plan, and implement theorganization's processimprovement activities.


Synergy• RUP is primarily a project level

tool

• Organizations wanting to useRUP for process managementprocess areas may need to addworkflows to addressorganizational process focusand definition issues


Organizational Process Focus: Mapping

SG 1: Determine ProcessImprovement OpportunitiesStrengths, weaknesses, andimprovement opportunities for theorganization's processesare identified periodically and asneeded.

CMMI RUPWorkflow: EnvironmentWD: Prepare Environment forProjectActivity: Development-OrganizationAssessment

SG 2: Plan and implement ProcessImprovement Activities

Improvements are planned andimplemented, process assets aredeployed, and process-relatedexperiences are incorporated into theorganization’s process assets.

Workflow: EnvironmentWD: Prepare Environment forProjectActivity: Development-OrganizationAssessment


Organizational Process Focus: Synergy

Specific Goal

Determine ProcessImprovementOpportunities

Specific Practice

• Establish Organizational Process Needs (L)• Assess the Organization’s Processes (H)• Identify the Organization’s ProcessImprovements (H)

Plan and ImplementProcessImprovementActivities

• Establish Process Action Plans (M)• Implement Process Action Plans (L)• Deploy Process and Related Assets (L)• Incorporate Process-Related Experiencesinto the Organization’s Process Assets (L)


Organizational Process Focus:Detail ExampleSP1.2-1: Assess the processes of the organization periodicallyand as needed to maintain an understanding of their strengthsand weaknesses.


Workflow Detail: Prepare Environment for ProjectActivity: Development Organization Assessment

Comments: When preparing for a new project, RUP provides anactivity to assess the organization’s processes





Coordination

OT





Assets

Senior Management




Training needs




Organizational Process Definition:Overview

PurposeEstablish and maintain ausable set of organizationalprocess assets.


Synergy• Organizations could use RUP as

the basis for their OrganizationalStandard Process

• Organizations would need topay attention to Medium andLow synergy areas


Organizational Process Definition:Mapping

SG 1: Create OrganizationalProcess Assets

A set of organizational processassets is available.

CMMI RUPWorkflow: EnvironmentWD: Develop GuidelinesConcept: Implementing a Process inan OrganizationConcept: Process Configuration

SG 2: Make Supporting ProcessAssets Available

Process assets that support the useof the organization’s set of standardprocesses are available.

Concept: Process Configuration


Organizational Process Definition:SynergySpecific Goal

Create OrganizationalProcess Assets

Specific Practice

• Establish Standard Processes (M)• Establish Life-Cycle Model Descriptions (M)• Establish Tailoring Criteria and Guidelines (M)

Make SupportingProcess AssetsAvailable

• Establish An Organizational MeasurementRepository (L)

• Establish An Organizational-Process AssetLibrary (M)


Organizational Process Definition:Detail ExampleSP1.2-1: Establish and maintain descriptions of the life-cycleprocess models approved for use in the organization.

RUP Components:Concepts: Process Configuration

Comments: Supplementary information suggests that RUP canbe the organization's standard process. Following RUP shouldallow organizations to describe many life cycle types. RUPsuggests that there may be more than one organization-wideprocess, one for each different type of development.





Coordination

OT





Assets

Senior Management




Training needs




Organizational Training: Overview

PurposeDevelop the skills andknowledge of people so theycan perform their roleseffectively and efficiently.


Synergy• Organizational training issues

are outside the scope of RUP


Organizational Training: Mapping

SG 1: Identify Training Needs andMake Training AvailableTraining to support the organization’smanagement and technical roles isidentified and made available.


SG 2: Provide Necessary TrainingTraining necessary for individuals toperform their roles effectively isprovided.



Organizational Training: SynergySpecific Goal

Identify Training Needsand Make TrainingAvailable

Specific Practice

• Establish the Strategic Training Needs (L)• Determine which Training Needs are

the Responsibility of the Organization (L)• Establish and Maintain Organizational Training

Tactical Plan (L)• Establish and Maintain Training Capability (L)

Provide NecessaryTraining

• Deliver Training (L)• Establish Training Records (L)• Assess Training Effectiveness (L)


CMMI Advanced Process ManagementProcess Areas

Senior Management

OPPProgress toward

achieving businessobjectives

OID

Quality and process performance objectives,

measures, baselines, models

Cost and benefitdata from pilotedimprovements

Quality and processperformance objectives,

measures, baselines,models

Process performanceand capability data

“Basic Set” of ProcessManagement

Process Areas



Ability to developand deploy processand supporting assets

Organization Improvements

Common measures


Organizational Process Performance:Overview

PurposeEstablish and maintain aquantitative understanding ofthe performance of theorganization’s set of standardprocesses, and to provide theprocess performance data,baselines, and models toquantitatively manage theorganization’s projects.


Synergy• Establishing a quantitative

understanding of anorganization’s set of processesis outside the scope of RUP


Organizational Process Performance:Mapping

SG 1: Establish PerformanceBaselines and ModelsBaselines and models thatcharacterize the expected processperformance of the organization's setof standard processes areestablished and maintained.



Organizational Process Performance:SynergySpecific Goal

Establish PerformanceBaselines and Models

Specific Practice

• Select Processes (L)• Establish Process Performance Measures (L)• Establish Quality and Process PerformanceObjectives (L)

• Establish Process Performance Baselines (L)• Establish Process Performance Models (L)


CMMI Advanced Process ManagementProcess Areas

Senior Management

OPPProgress toward

achieving businessobjectives

OID

Quality and process performance objectives,

measures, baselines, models

Cost and benefitdata from pilotedimprovements

Quality and processperformance objectives,

measures, baselines,models

Process performanceand capability data

“Basic Set” of ProcessManagement

Process Areas



Ability to developand deploy processand supporting assets

Organization Improvements

Common measures


Organizational Innovation and Deployment:Overview

PurposeSelect and deploy incrementaland innovative improvementsthat measurably improve theorganization’s processes andtechnologies. Theimprovements support theorganization’s quality andprocess performanceobjectives as derived from theorganization’s businessobjectives.


Synergy• Establishing measurable

objectives for incremental andinnovative process improvementis outside the scope of RUP


Organizational Innovation and Deployment:Mapping

SG 1: Select ImprovementsProcess and technologyimprovements that contribute tomeeting quality and processperformance objectives are selected.


SG 2: Deploy ImprovementsMeasurable improvements to theorganization’s processes andtechnologies are continually andsystematically deployed.



Organizational Innovation and Deployment:Synergy

Specific Goal

Select Improvements

Specific Practice

• Collect and Analyze ImprovementProposals (L)

• Identify Innovations (L)• Pilot Improvements (L)• Select Improvements for Deployment (L)

Deploy Improvements • Plan the Deployment (L)• Manage the Deployment (L)• Measure Improvement Effects (L)



CMMI Overview

RUP Overview

RUP to CMMI Mapping


Lessons Learned

Conclusions


Continuous Representation Structure

GenericGoals

& Generic Practices

GenericGoals

& Generic Practices Specific

Goals&

SpecificPractices

SpecificGoals

& SpecificPractices


The Capability Levels

5 Optimizing

4 Quantitatively Managed

3 Defined

2 Managed

1 Performed

0 Incomplete


Capability Level 0

Generic Goal

There are none

Generic Practices

• There are none


Capability Level 1

Generic Goal

Achieve Specific Goals

Generic Practices

• Identify Work Scope• Perform Base Practices


Capability Level 2

Generic Goal

Institutionalize aManaged Process

Generic Practices

• Establish and Maintain an Organizational Policy• Plan the Process• Provide Resources• Assign Responsibility• Train People• Manage Configurations• Identify and Involve Relevant Stakeholders• Monitor and Control the Process• Objectively Evaluate Adherence• Review Status with Higher-Level Management


Capability Level 3

Generic Goal

Institutionalize aDefined Process

Generic Practices

• Establish a Defined Process• Collect Improvement Information


Capability Level 4

Generic Goal

Institutionalize aQuantitativelyManaged Process

Generic Practices

• Establish Quality Objectives• Stabilize Subprocess Performance


Capability Level 5

Generic Goal

Institutionalize anOptimizing Process

Generic Practices

• Ensure Continuous Process Improvement• Correct Common Causes of Problems


Topics

Goals and Purpose

CMMI Overview

RUP Overview

RUP to CMMI Mapping

Lessons Learned


… On Planning the Comparison• Determining the goals/objectives for the comparison

before doing the comparison is key

• Comparison objectives, expected results, degree of rigor,and needed resources must be consistent to achievereasonable results

• Determining the “level” on which to base the comparisonmust be part of setting the objectives and expected results

• Determining how comparison results will be capturedbefore the review starts expedites the review

• Having all reviewers capture their findings in a similarmanner is vital for later consolidation and reporting


… On Executing the Comparison• Prototyping the level of comparison to see if you get the

desired results before the review saves rework

- Avoid comparisons below the Specific Practice level

• Determining the basic principles that drive both the CMMIand the target process are essential to any validcomparison

• Determining the lexicon of the target process is essentialfor a valid review

- Vital to understand the intent of a CMMI specific practicebut don’t expect an exact match of terminology


… On Resources Used in the Comparison

• Reviewers need to be familiar (but not necessarily experts)with CMMI and the target process

• Reviewers must include resources that have in-depthunderstanding of CMMI and the target process (notnecessarily the same person)

• Reviewers need to have a common understanding

- Comparison objectives and expected results

- Level of comparison, “rating” scheme, form of findingscapture

- Lexicon and basic principles of the target process

- Intent of CMMI process areas


CMMI Observations

CMMI provides good guidance on general systems developmentpractices and institutionalization of process practices

CMMI could better address

• Architecture-related practices

• Recursive nature of the process elements in the engineeringprocess areas

• “Waterfall” appearance of the engineering process areas


RUP ObservationsRUP provides strong engineering, basic support, and basic projectmanagement practices• Clear definition of roles and responsibilities• Integration of engineering and project management activities• Use of iterations to mitigate risks as early as possible• Validation of requirements and solutions• Focus on early architecture definition and validation

Organizations using RUP may have need to address• Statistical process control• Organizational process elements• Subcontractor or vendor management practices• Institutionalization of processes


Parting Thoughts

RUP is a software engineering process that is integrated with asuite of software development tools.

CMMI is a process framework that integrates systems andsoftware engineering process elements and the organizationalprocesses necessary to institutionalize them.

RUP and CMMI complement each other in achieving a maturesoftware development organization.


Contact Information

Brian Gallagher

Software EngineeringInstitute4500 5th AvePittsburgh, PA 15213USA

Voice: +1 412.268.7157Email: [email protected]

Lisa Brownsword

Software EngineeringInstitute4301 Wilson Blvd, Suite 902Arlington, VA 22203USA

Voice: +1 703.908.8203Email: [email protected]

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