CCSE 315 – Software Process

Models
Capability Maturity Model Integration
(CMMI)

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Lecture Objectives
 CMMI Motivations
 CMMI Maturity Levels
 CMMI Capability Levels
 Categories of CMMI Processes
 CMMI Process Area
 SCAMPI Appraisals

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Introduction
 The Software Engineering Institute (SEI) developed the
Capability Maturity Model (CMM) in the early 1990s.
 A framework to help software organizations improve their
software process maturity.
 The SEI believe that there is a close relationship between
the maturity of software processes and the quality of the
delivered software product.

The CMM was released in 1991 and its

successor, the CMMI model, was released in
2002.
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Introduction
 The focus of the CMMI is on improvements to the
software process to ensure that they meet business
needs more effectively.
 A process may include tools, methods, material and people.

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Introduction
 A process may be described by a process map which
details the flow of activities and tasks.
 The process map will include:
 The input to each activity
 The output from each activity.
 Often, the output from one activity will become the input to the next
activity.

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Introduction
 The CMMI is a process model, and it defines the
characteristics or best practices of good processes.

 It does not prescribe how the processes should be done

 Allows organization the freedom to interpret the model to suit
its particular context and business needs.

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Introduction

It also provides a roadmap for an organization to

get from where it is today to a higher level of
maturity.

The advantage of model-based improvement is that

it provides a place to start process
improvements and a common language and
shared vision.

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Introduction
 The CMMI model consists of five maturity levels with the
higher maturity levels representing advanced software
engineering capability.
 The lowest level is level 1 and the highest is level 5.
 The SEI developed an assessment methodology to
determine the maturity of software organizations
 Initially most organizations were assessed at level 1 maturity.
 Over time, companies embarked on improvement
initiatives and matured their software processes,
 Now, many companies are performing at the higher maturity
levels.

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Introduction
 The first company to be assessed at CMM level 5
maturity was the Motorola Plant in India.
 The success of the software CMM led to the
development of other process maturity models such as:
 The systems engineering capability maturity mode (CMM/SE)
 The people capability maturity model (P-CMM)

The fact that a company has been appraised at a

certain CMM or CMMI rating is no guarantee that
it is performing effectively as a commercial
organization.

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History of CMMI

CMMI V2.0
(2018)

https://resources.sei.cmu.edu/asset_files/TechnicalReport/2010_005_001_15287.pdf
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How was CMMI V2.0 Created?

DEV 1.3
CMMI DEV V2.0

ACQ 1.3 CMMI 2.0 CMMI SVC V2.0

Benchmark views CMMI SPM V2.0

SVC 1.3 Custom views Organization view

People

Developed by product teams with

members from industry and the CMMI
Institute
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The CMMI
 CMMI consists of five maturity levels with each maturity level
(except level 1) consisting of a number of process areas.
 Each process area consists of a set of goals
 Theses must be implemented by a set of related practices in order for
the process area to be satisfied.
 The practices specify what is to be done rather than how it should be
done.
 Processes are activities associated with carrying out certain
tasks, and they need to be defined and documented.
 The users of the process need to receive appropriate training
to enable them to carry out the process,
 Process discipline need to be enforced by independent audits.

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The CMMI
 Process performance needs to be monitored and
improvements made to ineffective processes.
 Maturity levels may not be skipped in the staged
implementation of the CMMI
 Each maturity level is the foundation for work on the next
level.

In practice, it is often necessary to implement several of

level 2 process areas before serious work can be done
on maturing a process to a higher capability level.

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The CMMI
 The emphasis for level 2 of the CMMI is on maturing
management.
 The emphasis on level 3 of the CMMI is on maturing
engineering and organization practices.
 Level 4 is concerned with ensuring that key processes are
performing within strict quantitative limits and adjusting
processes, where necessary, to perform within these
limits.
 Level 5 is concerned with continuous process
improvement.

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CMMI
 The processes implemented during a CMMI initiative will
generally include the following:
 Developing and managing requirements
 Design and development
 Project management
 Selecting and managing subcontractors
 Managing change and configurations
 Peer reviews
 Risk management and decision analysis
 Testing
 Audits

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The CMMI - Motivations
 Enhance the credibility of the company
 Marketing benefits of CMMI Maturity level
 Implementation of best practice in software engineering
 Logical path to improvement
 It increase the capability and maturity of an organization
 It provides improved technical and management practices
 It allows the measurement of processes and products
 It improves customer satisfaction
 ………

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The CMMI - Motivations
 DB Systems GmbH reported that its costs dropped 48 percent
from a baseline prior to SW-CMM maturity level 2 as the
organization moved toward CMMI maturity level 3

 As the organization moved from SW-CMM maturity level 3 to CMMI

maturity level 5, IBM Australia Application Management Services
saw its on-time delivery increase by 10 percent, its on-budget
delivery improves by 41 percent, customer satisfaction rise by 33
percent, and application development productivity improves by 76
percent, resulting in a cumulative costs savings of AU$412 million
to the company’s client.

 Northrop Grumman IT Defense Enterprise Solutions, a CMMI

maturity level 5 organization whose engineers had undergone
Personal Software Process (PSP) training, reduced identified
defects from 6.6 to 2.1 per KLOC over three causal analysis and
resolution cycles.
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CMMI Maturity Levels Optimizing (L5)
Organizational Performance Management
Causal Analysis and Resolution

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CMMI Maturity Levels – Level 1

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CMMI Maturity Levels

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CMMI Maturity Levels – Level 3

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CMMI Maturity Levels – Level 5

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CMMI Maturity Levels – Level 5

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CMMI Maturity Levels

Maturity Level Description

Initial Level 1

Managed Level 2

Defined Level 3

Quantitatively Managed Level 4

Optimizing Level 5

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CMMI Representations
 The CMMI is available in the staged and continuous
representations.

 The staged approach is concerned with organization

maturity and allows statements of organization maturity
to be made.
 Well-known improvement roadmap from maturity level 1
through improvement cycles until the organization has
achieved its desired level of maturity.

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CMMI Representations
 The continuous representation is concerned with individual
process capability.
 Improve the capability of selected processes and give the
organization the freedom to choose the order of
improvements that best meet their business needs.
 The continuous representation allows statements of individual
process capability to be made.
 It employs 4 capability levels (V1.3), and a process is rated at a
particular capability level.
 0. Incomplete
 1. Performed
 2. Managed
 3. Defined
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CMMI capability levels for continuous
representation

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CMMI capability levels for continuous
representation

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Comparison of Capability and Maturity
Levels

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Categories of CMMI Processes
Maturity Level Description

Process Process Management process areas contain the

Management cross-project activities related to defining,
planning, deploying, implementing, monitoring,
controlling, appraising, measuring, and improving
processes. They include:

- Organizational Process Definition (OPD)

- Organizational Process Focus (OPF)
- Organizational Performance Management (OPM)
- Organizational Process Performance (OPP)
- Organizational Training (OT)

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Categories of CMMI Processes
Maturity Level Description

Project Project Management process areas cover the

Management project management activities related to planning,
monitoring, and controlling the project. The seven
Project Management process areas in CMMI-DEV
are as follows:

- Integrated Project Management (IPM)

- Project Monitoring and Control (PMC)
- Project Planning (PP)
- Quantitative Project Management (QPM)
- Requirements Management (REQM)*
- Risk Management (RSKM)
- Supplier Agreement Management (SAM)
* Moved from Engineering in CMMI V1.2

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Categories of CMMI Processes
Maturity Level Description

Engineering Engineering process areas cover the

development and maintenance activities that
are shared across engineering disciplines. The
five Engineering process areas in CMMI-DEV
are as follows:

- Product Integration (PI)

- Requirements Development (RD)
- Technical Solution (TS)
- Validation (VAL)
- Verification (VER)

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Categories of CMMI Processes
Maturity Level Description

Support Support process areas cover the activities that

support product development and maintenance.
The five Support process areas in CMMI-DEV are
as follows:

- Causal Analysis and Resolution (CAR)

- Configuration Management (CM)
- Decision Analysis and Resolution (DAR)
- Measurement and Analysis (MA)
- Process and Product Quality Assurance (PPQA)

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CMMI Process Area
Maturity Process Description
Level Area
Level 2 REQM Requirements management
This process area is concerned with managing the
requirements for the project and ensuring that the
requirements, project plan(s), and work products are
kept consistent
PP Project planning
This process area is concerned with estimation for the
project, developing and obtaining commitment to the
project plan, and maintaining the plan
PMC Project monitoring and control
This process area is concerned with monitoring
progress with the project and taking corrective action
when project performance deviates from the plan

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CMMI Process Area
Maturity
 ProcessProcess Description
and product quality assurance
Level Area
 This
Level 2 process
SAM area is concerned
Supplier with providing objective
agreement management
visibility to This process area is concerned with the selection of
suppliers, documenting the (legal) agreement/statement
 management on the extent of process compliance. Non-
of work with the supplier, and managing the supplier
compliance during the execution of the Agreement
 issues areMA documented
Measurementandand resolved
analysis by the project team
This process area is concerned with determining
management information needs and measurement
objectives. Measures are then specified to meet these
objectives, and data collection and analysis procedures
are defined. Data are collected and measurements
analyzed and communicated

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CMMI Process Area
Maturity Process Description
Level Area
Level 2 PPQA Process and product quality assurance
This process area is concerned with providing objective
visibility to management on the extent of process
compliance. Non-compliance issues are documented and
resolved by the project team
CM Configuration management
This process area is concerned with the management of
change. It involves setting up a configuration
management system; identifying the items that will be
subject to change control and controlling changes to
them. Configuration audits are conducted

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CMMI Process Area
Maturity Process Description
Level Area
Level 3 RD Requirements development
This process area is concerned with eliciting and
defining customer, product, and product–component
requirements and analyzing and validating the
requirements
TS Technical solution
This process area is concerned with the design,
development, and implementation of an appropriate
solution to the customer requirements.
PI Product integration
This process area is concerned with the assembly of the
product components to deliver the product, and
verifying that the assembled components function
correctly together
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CMMI Process Area
Maturity Process Description
Level Area
Level 3 VER Verification
This process area is concerned with ensuring that
selected work products satisfy their specified
requirements. This is achieved by peer reviews and
testing.
VAL Validation
This process area is concerned with demonstrating that
the product or product component is fit for purpose
and satisfies its intended use.
OPF Organization process focus
This process area is concerned with planning and
implementing process improvements based on a clear
understanding of the current strengths and weakness of
the organization’s processes.
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CMMI Process Area
Maturity Process Description
Level Area
Level 3 OPD Organization process definition
This process area is concerned with creating and
maintaining a usable set of organization processes. This
allows consistent process performance across the
organization
OT Organization training
This process area is concerned with developing the skills
and knowledge of people to enable them to perform
their roles effectively
IPM Integrated project management
This process area is concerned with tailoring the
organization set of standard processes to define the
project’s defined process. The project is managed
according to the project’s defined process
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CMMI Process Area
Maturity Process Description
Level Area
Level 3 RSKM Risk management
This process area is concerned with identifying risks and
determining their probability of occurrence and impact
should they occur. Risks are identified and managed
throughout the project
DAR Decision analysis and resolution
This process area is concerned with formal decision-
making. It involves identifying options, specifying
evaluation criteria and method, performing the
evaluation, and recommending a solution

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CMMI Process Area
Maturity Process Description
Level Area
Level 4 OPP Organization process performance
This process area is concerned with obtaining a
quantitative understanding of the performance of
selected organization processes in order to
quantitatively manage projects in the organization
QPM Quantitative project management
This process area is concerned with quantitatively
managing the project’s defined process to achieve the
project’s quality and performance objectives

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CMMI Process Area
Maturity Process Description
Level Area
Level 5 OID Organizational Performance Management
The purpose of this process area is to proactively
manage the organization’s performance to meet its
business objectives
QPM Causal analysis and resolution
This process area is concerned with identifying causes of
defects and taking corrective action to prevent a re-
occurrence in the future

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Components of CMMI Process Areas
 Each maturity level consists of a number of process areas
 Each process area consist of specific and generic goals
 They have specific and generic practices

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CMMI Model Components

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The specific goals and practices
 The specific goals and practices are unique to the process
area being implemented and are concerned with what
needs to be done to perform the process.
 The specific practices are linked to a particular specific goal,
and they describe activities that when performed achieve the
associated specific goal for the process area.

 The specific practices are concerned with process

implementation (Explained in detail later)

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The generic goals and practices
 The generic goals and practices are common to all
process areas for that maturity level
 They are concerned with process institutionalization at that
level.

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Generic Goals and Generic Practices
 GG 1 Achieve Specific Goals
 GP 1.1 Perform Specific Practices
 GG 2 Institutionalize a Managed Process
 GP 2.1 Establish an Organizational Policy
 GP 2.2 Plan the Process
 GP 2.3 Provide Resources
 GP 2.4 Assign Responsibility
 GP 2.5 Train People
 GP 2.6 Manage Configurations
 GP 2.7 Identify and Involve Relevant Stakeholders
 GP 2.8 Monitor and Control the Process
 GP 2.9 Objectively Evaluate Adherence
 GP 2.10 Review Status with Higher Level Management
 GG 3 Institutionalize a Defined Process
 GP 3.1 Establish a Defined Process
 GP 3.2 Collect Improvement Information

CMMI for Development - Version 1.3 – pp65

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Components of CMMI Process Areas
 The implementation of the generic practices
institutionalizes the process and makes it ingrained in the
way that work is done.
 Institutionalization means that the process is defined,
documented, and understood.
 Process users are appropriately trained and the process is
enforced by independent audits.

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Components of CMMI Process Areas –
Example of Five Specific Practices

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Components of CMMI Process Areas
 Components of CMMI model are grouped into three
categories
 Required category – essential to achieve goals in a particular area and
includes the specific and generic goals that must be implemented and
institutionalized.
 Essential to achieving process improvement in a given process area.
 Expected category – the specific and generic practices that an
organization will typically implement to perform the process effectively.
 Describe the activities that are important in achieving a required CMMI
component.
 Informative category – information to guide the implementer on how
best to approach the implementation of the specific and generic goals
and practices.
 Help model users understand CMMI required and expected components

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SCAMPI Appraisals
 SCAMPI: Standard CMMI Appraisal Method for Process
Improvement
 Organizations that embark on a CMMI improvement initiative
will arrange to have an appraisal conducted to better
understand their current software process maturity.
 The appraisal is an independent examination of the process
used in the organization against the CMMI standard.

Its objective is to identify strengths and weaknesses in

the process and to prioritize improvements for the
next cycle.

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SCAMPI Appraisals
 CMMI appraisals come in three distinct flavors: SCAMPI
Classes A, B and C
 Class A – large organizations who are interested in a
formal SCAMPI.
 This allows it to obtain a formal CMMI rating that may be
reported back to the SEI,
 It may then benchmark itself against other organizations.
 Class B or C Appraisal delivers less detailed results, and
they are not published on the SEI website.
 Smaller organizations who are interested in identifying strengths
and weakness in its processes.
 SCAMPI B or C Appraisals are less effort.

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SCAMPI Appraisals
 Scope of the appraisal includes
 Process areas to be examined
 Project and organization unit.

 It may be limited to the level 2 process areas or the level

2 and level 3 process areas, and so on.

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SCAMPI Appraisals
 The scope depends on how active the organization has
been in process improvement and the extend to which it
has implemented software engineering best practices.

 The appraisal will identify gaps that exist with respect to

the implementation of the CMMI practices for each
process area within the scope of the appraisal.

Findings are used to plan and prioritize the next

improvement cycle.

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Key Points
 CMMI is a framework to assist an organization in the
implementation of best practice in software engineering.
 CMMI emphases on the needs to be a focus on the
process as well as on the product to assist in the creation
of high-quality processes.
 CMMI consists of five maturity levels with each maturity
level (except level 1) consisting of several process areas.
 Each maturity level acts as a foundation for improvement
for the next improvement level.

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Key Points
 Each process area consists of a set of specific and generic
goals
 Theses must be implemented by an associated set of specific
and generic practices.
 The SCAMPI appraisal methodology is used to determine
the maturity of software organization.
 Systematic examination of the processes, and
 It includes interviews and reviews of documentation.
 A successful SCAMPI Class A appraisal allows the
organization to report its maturity rating to the SEI

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