CMMI Survival Guide: Just Enough Process Improvement
暫譯: CMMI 生存指南:適度的流程改進

Suzanne Garcia, Richard Turner

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Praise for CMMI® Survival Guide

"Traveling down the CMMI road can be difficult and time-consuming. Garcia and Turner have given us a practical roadmap that addresses the key points to learn as well as the many potholes to avoid. Their Survival Guide is a most valuable resource for the journey. It will help immeasurably in achieving the process improvement that you seek."

—Dr. Howard Eisner, Distinguished Research Professor, George Washington University

"Helps you get to the 'red meat' of the CMMI quickly and with minimum pain."

—Donald J. Reifer, President, Reifer Consultants, Inc.

"The best words I can offer potential readers is that you must have this book, not on your shelf, but with you for repeated reading to glean new ideas or reinforce old ones you gained from the past readings. If you have ever been directly involved in a process improvement initiative or if you are starting one, this book can only help you to do a better job. And while [the authors] may not have written this book explicitly for experienced consultants, I found it a great reference even for those of us who helped start this industry, because it provides clear and useful answers to those tough questions we are asked all of the time."

—Tim Kasse, CEO and Principal Consultant, Kasse Initiatives LLC

"This book contains practical (working) tips for the 'getting started' phase of process improvement, which is the hardest one in the road to improving one's processes."

—Agapi Svolou, Principal of Alexanna, LLC, and SEI CMMI Transition Partner

"The authors have done an outstanding job in providing guidance for process improvement from a practical perspective. Instead of focusing on a single technique or approach, they have provided a variety of methods for process improvement implementation and have framed their discussion with rich context from lessons learned. The concepts described in this book will be useful to both those starting CMMI implementations and to those who are well into their journey but are still looking for ways to lessen the pain and provide value-added improvements. Reading the book is like being in the audience during a live presentation by SuZ and Rich—they wrote the book as they would present the information to a live audience."

—Bill Craig, Director, Software Engineering Directorate, AMRDEC, RDECOM

"I have been involved in process improvement since the early 90's and many of the mistakes that I made could have been prevented if this book had been available then."

—Claude Y. Laporte, Professor, ETS Universite du Quebec

"Primarily, the book is practical. The guidance presented is geared toward someone who is not exactly sure why they need process improvement, but is presented with the fact that they must do it. Very often these are smaller organizations, with limited resources, and uncertain support from above. As I read the book, I thought almost immediately of a couple of organizations with which I am familiar who could use this kind of tutelage. There are real, and useful, techniques in this book that I believe can help these kinds of organizations prioritize and establish reasonable plans for improving the processes in the organization. I also like the sidebars and personal observations. Discussions of experience can really help organizations through the various pitfalls that are part of developing and deploying processes. It makes the book more of a 'real life' guide, and not a theoretical exercise. Finally, the book is an enjoyable read. The conversational style of the book (and the humor) make it much easier to read than many of the books I have read in the past."

—Alexander Stall, Principal Process Improvement Engineer, Systems and Software Consortium

The CMMI provides a framework for process improvement spanning the life cycle of a product or service, from conception through delivery and maintenance. Widely and beneficially adopted around the world, the size and apparent complexity of the framework have nonetheless been daunting to some organizations. That need not be so. With a proper guide to help navigate around unknown dangers, potential pitfalls, and false paths, you too, can realize substantial business value from a successful CMMI implementation. This book is such a guide, full of the real-life examples to ease your way, and written in a lighter style to ease your reading.

The CMMI® Survival Guide is an effective resource for multiple readerships. If you are just now considering a process improvement program, with the CMMI among your options, the authors' discussion of relevant issues will enhance your business case right from the start. If you have already decided to implement the CMMI, the authors' practical knowledge will help you make the most of your efforts. Even if you are well into a CMMI implementation, but are lost, stuck, or going around in circles, the authors' valuable advice will help you regain your direction.

If you work in a smaller or resource-strapped organization, you will particularly benefit from the authors' description of alternative paths to process improvement—approaches that are more incremental or agile, and less intensive, than you might imagine for a CMMI implementation. The authors draw on their extensive experience working with diverse organizations, and on the CMMI tools, techniques, and templates developed for those organizations.

Whatever your background or need, the CMMI® Survival Guide will help you survey the CMMI territory, consult possible road maps, learn from other CMMI explorers, weigh the benefits of hiring a living guide, and even consider whether the trip is right for you.

 

Table of Contents

List of Figures xiii

List of Tables xv

Foreword xvii

Preface xix

Acknowledgments xxiii

Part I Scouting the Territory 1

Chapter 1: Why We Think Process Is Important 3

1.1 A short history of process improvement 3

1.2 The role of processes in business 5

Chapter 2: Why Process Improvement Helps 9

2.1 Process improvement is about learning 10

2.2 Process improvement should be driven by business value 11

2.3 Process improvement can be valuable for organizations of all sizes 12

2.4 You have choices in your improvement approach 13

2.5 You have choices in the reference model 20

Chapter 3: Why Process Improvement Isn't Trivial 29

3.1 Building and sustaining sponsorship 30

3.2 Managing an appraisal life cycle 30

3.3 Developing and sustaining process improvement infrastructure 31

3.4 Deploying new and improved processes 32

3.5 Developing and measuring realistic goals 34

3.6 Advantages and disadvantages of different-size improvement efforts 35

3.7 Project management issues 38

3.8 Common pitfalls for PI initiatives 39

3.9 Summary of Part I 40

Part II Mapping the Route 43

Chapter 4: CMMI As Your Guide 45

4.1 Why CMMI? 45

4.2 CMMI primer 47

4.3 Some choices to think about in using CMMI 53

4.4 Using CMMI to guide your improvement 61

Chapter 5: A Decision-based Life Cycle for Improvement 65

5.1 Decide 71

5.2 Try initial (additional) model elements 80

5.3 Analyze 82

5.4 Commit 84

5.5 Reflect 86

5.6 Summary of Part II 88

Part III Surviving the Passage 91

Chapter 6: A PI Case Study 93

6.1 Decide (Cycle 1: To do or not to do) 93

6.2 Decide (Cycle 2: What to do, where, and when) 95

6.3 Try (Cycle 2: The first pilot) 96

6.4 Analyze (Cycle 2: The first pilot) 97

6.5 Commit (Cycle 2: The first pilot) 98

6.6 Reflect (Cycle 2: The first pilot) 99

6.7 Decide (Cycle 3: What's next) 100

Chapter 7: Survival and PI 103

7.1 Size up the situation 104

7.2 Undue haste makes waste 105

7.3 Remember where you are 106

7.4 Vanquish fear and panic 107

7.5 Improvise 109

7.6 Value living 110

7.7 Act like the natives 111

7.8 Live by your wits, learn basic skills 112

7.9 Summary of Part III 113

Part IV Experiencing the Journey 117

Chapter 8: Developing and Sustaining Sponsorship 119

8.1 Communicating with and sustaining sponsorship of organizational leadership 120

8.2 Seeking sponsors: Applying sales concepts to building and sustaining support 122

8.3 Being a sponsor: Welcome to the "foreign element" 127

Chapter 9: Setting and Measuring Against Realistic Goals 131

9.1 Setting goals and success criteria aligned with sponsor objectives 132

9.2 Understanding the current state of the organization:Readiness and Fit Analysis for CMMI 137

9.3 How do you tell if you've succeeded? 144

Chapter 10: Managing an Appraisal Life Cycle 151

10.1 To appraise or not to appraise: Is that really the question? 152

10.2 Different appraisal philosophies 153

10.3 Managing the resources needed to plan and conduct appraisal activities 156

Chapter 11: Developing Process Improvement Infrastructure 161

11.1 Developing and sustaining process improvement team members 162

11.2 Developing a team 164

11.3 Establishing improvement infrastructure to supportand sustain CMMI implementation 167

11.4 Staffing and organization 167

11.5 Creating and evolving a PAL (Process Asset Library) 170

11.6 Measurement system/repository 175

Chapter 12: Defining Processes 179

12.1 CMMI Business Analysis 180

12.2 Developing useful process guidance 181

12.3 Collecting/incorporating lessons learned from improvement activities 188

Chapter 13: Deploying Improved Processes 191

13.1 Finding/selecting pilots for CMMI implementation 191

13.2 Working with consultants 197

13.3 Deploying practices to the targeted organizational scope 199

13.4 Communication 207

Chapter 14: Looking Ahead 217

14.1 What's next for you? 217

14.2 What's next for PI? 219

14.3 Summary of Part IV 221

Part V Outfitting Your Expedition (PI Resources) 225

Chapter 15: Tools and Techniques 227

15.1 An example of setting SMART goals 228

15.2 Performing a CMMI Business Analysis 230

15.3 Performing a Readiness and Fit Analysis 235

15.4 One-Hour Process Description method 238

15.5 Infusion and diffusion measurement 245

15.6 CSI (Crime Scene Investigation) technique + Chaos Cocktail Party 262

15.7 Additional resources 265

Bibliography 273

Index 279

商品描述(中文翻譯)

#### 描述

**CMMI® 生存指南**的讚譽

「走上 CMMI 的道路可能是困難且耗時的。Garcia 和 Turner 為我們提供了一個實用的路線圖,涵蓋了需要學習的關鍵點以及需要避免的許多陷阱。他們的《生存指南》是這段旅程中最有價值的資源。它將在實現您所追求的流程改進方面提供巨大的幫助。」
—霍華德·艾斯納博士,喬治·華盛頓大學傑出研究教授

「幫助您快速且以最小的痛苦進入 CMMI 的核心。」
—唐納德·J·瑞佛,瑞佛顧問公司總裁

「我能給潛在讀者的最好建議是,您必須擁有這本書,不是放在書架上,而是隨身攜帶以便反覆閱讀,從中獲取新想法或加強您從過去閱讀中獲得的舊想法。如果您曾直接參與過流程改進計劃,或者如果您正在啟動一個,這本書將幫助您做得更好。雖然[作者]可能並不是專門為經驗豐富的顧問撰寫這本書,但我發現它對於我們這些幫助創建這個行業的人來說也是一個很好的參考,因為它提供了對我們經常被問到的那些棘手問題的清晰和有用的答案。」
—蒂姆·卡斯,Kasse Initiatives LLC 首席執行官及首席顧問

「這本書包含了針對流程改進的「入門」階段的實用(可行)建議,這是改善流程過程中最困難的一步。」
—阿加皮·斯沃盧,Alexanna LLC 首席及 SEI CMMI 轉型夥伴

「作者在提供實用的流程改進指導方面做得非常出色。他們沒有專注於單一技術或方法,而是提供了多種流程改進實施的方法,並用豐富的背景和經驗教訓來框架他們的討論。本書中描述的概念對於那些剛開始 CMMI 實施的人以及那些已經深入旅程但仍在尋找減少痛苦和提供增值改進方法的人都將非常有用。閱讀這本書就像是在聽 SuZ 和 Rich 的現場演講——他們以向現場觀眾呈現信息的方式撰寫了這本書。」
—比爾·克雷格,AMRDEC 軟體工程處主任

「自90年代初以來,我一直參與流程改進,許多我所犯的錯誤如果當時有這本書就能避免。」
—克勞德·Y·拉波特,魁北克科技大學教授

「這本書主要是實用的。所提供的指導針對那些不確定為何需要流程改進,但面臨必須進行改進事實的人。這些通常是資源有限且上級支持不確定的小型組織。當我閱讀這本書時,我幾乎立刻想到幾個我熟悉的組織,他們可以利用這種指導。這本書中有真實且有用的技術,我相信可以幫助這些組織優先考慮並制定合理的流程改進計劃。我也喜歡書中的側邊欄和個人觀察。經驗的討論可以真正幫助組織克服開發和部署流程過程中的各種陷阱。這使得這本書更像是一本「現實生活」指南,而不是理論上的練習。最後,這本書的閱讀體驗非常愉快。書中的對話風格(以及幽默感)使其比我過去讀過的許多書籍更容易閱讀。」
—亞歷山大·斯塔爾,系統與軟體聯盟首席流程改進工程師

CMMI 提供了一個涵蓋產品或服務生命週期的流程改進框架,從概念到交付和維護。雖然在全球範圍內被廣泛且有益地採用,但該框架的規模和顯著的複雜性對某些組織來說仍然是令人畏懼的。但這不必如此。只要有適當的指導來幫助您避開未知的危險、潛在的陷阱和錯誤的道路,您也可以從成功的 CMMI 實施中實現可觀的商業價值。這本書就是這樣的指南,充滿了真實的例子來幫助您,並以輕鬆的風格撰寫以便於閱讀。

**CMMI® 生存指南**是多個讀者群的有效資源。如果您現在正在考慮一個流程改進計劃,CMMI 是您的選項之一,作者對相關問題的討論將從一開始就增強您的商業案例。如果您已經決定實施 CMMI,作者的實用知識將幫助您充分利用您的努力。即使您已經深入 CMMI 實施,但感到迷失、卡住或在原地打轉,作者的寶貴建議將幫助您重新找回方向。

如果您在一個較小或資源有限的組織工作,您將特別受益於作者對流程改進替代路徑的描述——這些方法比您想像中的 CMMI 實施更具漸進性或敏捷性,且強度較低。作者利用他們在與各種組織合作中的豐富經驗,以及為這些組織開發的 CMMI 工具、技術和模板。

無論您的背景或需求如何,**CMMI® 生存指南**將幫助您調查 CMMI 領域,諮詢可能的路線圖,向其他 CMMI 探險者學習,權衡雇用現場導遊的好處,甚至考慮這次旅程是否適合您。

#### 目錄

**圖表清單** xiii
**表格清單** xv
**前言** xvii
**序言** xix
**致謝** xxiii

**第一部分 探索領域** 1
**第1章:為什麼我們認為流程很重要** 3
1.1 流程改進的簡短歷史 3
1.2 流程在商業中的角色 5

**第2章:為什麼流程改進有幫助** 9
2.1 流程改進是關於學習 10
2.2 流程改進應由商業價值驅動 11
2.3 流程改進對各種規模的組織都能帶來價值 12
2.4 您在改進方法上有選擇 13
2.5 您在參考模型上有選擇 20

**第3章:為什麼流程改進不是微不足道的** 29
3.1 建立和維持贊助 30
3.2 管理評估生命週期 30
3.3 開發和維持流程改進基礎設施 31
3.4 部署新改進的流程 32
3.5 開發和衡量現實目標 34
3.6 不同規模改進努力的優缺點 35
3.7 專案管理問題 38
3.8 流程改進計劃的常見陷阱 39
3.9 第一部分總結 40

**第二部分 繪製路線圖** 43
**第4章:CMMI 作為您的指導** 45
4.1 為什麼選擇 CMMI? 45
4.2 CMMI 入門 47
4.3 使用 CMMI 時需要考慮的一些選擇 53
4.4 使用 CMMI 指導您的改進 61

**第5章:基於決策的改進生命週期** 65
5.1 決定 71
5.2 嘗試初始(附加)模型元素 80
5.3 分析 82
5.4 承諾 84
5.5 反思 86
5.6 第二部分總結 88

**第三部分 生存之道** 91
**第6章:流程改進案例研究** 93
6.1 決定(循環1:做或不做) 93
6.2 決定(循環2:做什麼、在哪裡、何時) 95
6.3 嘗試(循環2:第一次試點) 96
6.4 分析(循環2:第一次試點) 97
6.5 承諾(循環2:第一次試點) 98
6.6 反思(循環2:第一次試點) 99
6.7 決定(循環3:接下來做什麼) 100

**第7章:生存與流程改進** 103
7.1 評估情況 104
7.2 不必要的急躁會造成浪費 105