Introduction to CMMI

By
Ms. Kiran Khot
CMC Limited
 What is SEI CMMI

SEI CMMI is the successor of SEI CMM

CMM describes about the software engineering alone where as
CMM Integrated describes both software and system engineering.
CMMI evolved as a more matured set of guidelines and was built
combining the best components of individual disciplines of CMM
(Software CMM, People CMM etc).
The goal of the CMMI project is to improve usability of maturity
models for software engineering and other disciplines, by integrating
many different models into one framework.
There are 3 constellations of CMMI in the new version: CMMI
Development (Software Engineering and System Engineering),
CMMI Services (Operations and Support) and CMMI Acquisition.
CMMI Model is not a process, it describes the characteristics of
effective processes.

6th July 2007 Introduction to CMMI, CMC Ltd 2

 Benefits of CMMI
Implementing a disciplined process in an organization helps in
achieving:

Improvement in organizations control over execution of projects

Increase the ability to meet project goals and improve profitability
Improvement in productivity, quality, decrease in project cycle time
Improvement in customer satisfaction, meeting business objectives
Improvement in business and growth

The return is also indicated as decrease in Cost of Quality and decrease

in Cost of Poor Quality (COPQ).

6th July 2007 Introduction to CMMI, CMC Ltd 3

 Representations in CMMI

There are two types of representations in CMMI

Staged
Continuous

6th July 2007 Introduction to CMMI, CMC Ltd 4

 Staged Representation
It is an approach used in CMM Software
It uses predefined sets of process areas to define an improvement
path for an organization
This improvement path is described by a model component called
maturity level
A maturity level is well defined evolutionary plateau towards
achieving improved organization processes
Maturity levels, apply to an organizations process improvement
achievement across multiple process areas
There are five maturity levels, numbered 1 through 5

6th July 2007 Introduction to CMMI, CMC Ltd 5

 Staged Representation

Maturity Levels

Process Area 1 Process Area 2 Process Area 3

Specific Generic
Goals Goals

Specific Generic
Practices Practices

6th July 2007 Introduction to CMMI, CMC Ltd 6

 Continuous Representation
It uses capability levels to characterize improvement relative to an
individual process area
This approach allows an organization to select a specific process
area and improve relative to it
Capability levels, apply to an organizations process improvement
achievement in individual process area
These levels are means for incrementally improving the processes
corresponding to a given process area
There are six capability levels, numbered 0 through 5

6th July 2007 Introduction to CMMI, CMC Ltd 7

 Continuous Representation

Process Area 1 Process Area 2 Process Area 3

Specific Generic
Goals Goals

Specific Generic
Practices Practices
Capability levels

6th July 2007 Introduction to CMMI, CMC Ltd 8

Components Associated with Representations

Process Area:
A process area is a cluster of related practices in an area that, when
implemented collectively, satisfies a set of goals considered
important for making significant improvement in that area.

Specific Goals:
A specific goal describes the unique characteristics that must be
present to satisfy the process area.

Specific Practices:
The activities expected to result in achievement of specific goals.

6th July 2007 Introduction to CMMI, CMC Ltd 9

Components Associated with Representations

Generic Goals:
A generic goal describes the characteristics that must be present to
institutionalize the processes that implement a process area.
They are termed generic, because the same goal statement
appears in multiple process areas. There are 5 generic goals

Generic Practices:
The activities expected to result in achievement of generic goals.

6th July 2007 Introduction to CMMI, CMC Ltd 10

 Generic Goals and Practices
Goal 1: Achieve Specific Goals:
Practices:
Perform base practices to develop work products and provide services to
achieve the specific goals of the process area.

Goal 2: Institutionalize a Managed Process:

Practices:
Establish an organization policy
Plan the process
Provide Resources
Assign Responsibility
Train People
Manage Configurations
Identify and involve relevant stake holders
Monitor and control the process
Objectively evaluate adherence
Review status with high level management

6th July 2007 Introduction to CMMI, CMC Ltd 11

 Generic Goals and Practices
Goal 3: Institutionalize a Defined Process:
Practices:
Establish a defined process
Collect improvement information

Goal 4: Institutionalize a Quantitatively managed Process:

Practices:
Establish quantitative objectives for the process
Stabilize sub process performance

Goal 5: Institutionalize an Optimizing Process:

Practices:
Ensure continuous process improvement
Correct Root Cause of Problems

6th July 2007 Introduction to CMMI, CMC Ltd 12

 Capability Levels
Capability 0: Incomplete:
An incomplete process is a process that is either partially performed or not
performed at all.
One or more SG of the PA are not satisfied
No GG exist for this level

Capability 1: Performed:
A performed process satisfies the SG of the respective PA.
Supports some GG (typically the work needed to produce work products)

Capability 2: Managed:
A managed process has a basic infrastructure in place to support the
process
It is planned and executed in accordance with policy
Employs people who have adequate resources to produce controlled
outputs
Is monitored, controlled, reviewed and evaluated for adherence to its
process description

6th July 2007 Introduction to CMMI, CMC Ltd 13

 Capability Levels
Capability 3: Defined:
A defined process is a managed process that is tailored from the
organizations set of standard processes according to the tailoring
guidelines
Contributes work products, measures, and other process improvement
information to the organizational process assets

Capability 4: Quantitatively Managed:

A quantitatively managed uses statistical and quantitative techniques
Quantitative objectives for quality and process performance are established

Capability 5: Optimizing:
An optimizing process is quantitatively managed process that is improved
based on an understanding of the common causes of variation in the
process
The focus is on continually improving the range of process performance
through both incremental and innovative improvements

6th July 2007 Introduction to CMMI, CMC Ltd 14

 Maturity Levels
Maturity 1: Initial:
Processes are usually ad hoc and chaotic
No stable environment in the organization to support the processes
Success depends on competence and heroics of the people in the
organization and not on the use of processes
Frequently, schedules are not met and projects exceed budgets

Maturity 2: Managed:
Processes have ensured that requirements are managed and that
processes are planned, performed, measured and controlled
Ensures that existing practices are retained during times of stress
Work products and delivery of services are visible to management at
defined points
Work products are appropriately controlled

Maturity 3: Defined:
Processes are well characterized and understood and are described in
standards, procedures, tools and methods
Processes are used to establish consistency across the organization

6th July 2007 Introduction to CMMI, CMC Ltd 15

 Maturity Levels
Maturity 4: Quantitatively Managed:
Organization and projects establish quantitative objectives for quality and
process
Special causes of variation are identified and appropriately are corrected to
prevent future occurrences
Quality and process performance measures are incorporated into the
organizations measurement repository to support fact based decision
making

Maturity 5: Optimizing:
Organization continuously improves its processes, based on quantitative
understanding of common causes of variation inherent in the processes
Both the defined processes and organizations set of standard processes
are targets of measurable improvement activities

6th July 2007 Introduction to CMMI, CMC Ltd 16

 Discipline: Support Process Areas
Covers the activities that support product development and maintenance and address
processes that are used in performing other PAs.

CMMI Level Process Areas

2 Configuration Management

2 Measurement and Analysis

2 Process and Product Quality

Assurance

3 Decision Analysis and Resolution

3 Organizational environment for

Integration

5 Causal Analysis and Resolution

6th July 2007 Introduction to CMMI, CMC Ltd 17

 Discipline: Engineering Process Areas

These PAs apply to the development of any product or service in the engineering
development domain (e.g. s/w products, h/w products, services or processes)

CMMI Level Process Areas

2 Requirements Management

3 Verification

3 Product Integration

3 Requirements Development

3 Technical Solution

3 Validation

6th July 2007 Introduction to CMMI, CMC Ltd 18

 Discipline: Project Management Process Areas
Covers the project management activities related to planning, monitoring, and
controlling the project.
CMMI Level Process Areas
2 Project Monitoring and Control

2 Project Planning

2 Supplier Agreement Management

3 Integrated Project Management

3 Integrated Supplier Management

3 Integrated Teaming

3 Risk Management

4 Quantitative Project Management

6th July 2007 Introduction to CMMI, CMC Ltd 19

 Discipline: Process Management Process Areas
The PAs contain the cross project activities related to defining, planning, deploying,
implementing, monitoring, controlling, appraising, measuring, and improving
processes.

CMMI Level Process Areas

3 Organizational Process
Definition
3 Organizational Process Focus

3 Organizational Training

4 Organizational Process
Performance
5 Organizational Innovation and
Deployment

6th July 2007 Introduction to CMMI, CMC Ltd 20

 Configuration Management (ML 2)
Purpose: To establish and maintain the integrity of work products using
configuration identification. Configuration control, configuration status
accounting and configuration audits.

SG 1: Establish Baselines:
Practices:
Identify CIs
Establish a configuration management system and change management
system
Create or release baselines

SG 2: Track and Control Changes:

Practices:
Track change requests
Control configuration items

SG 3: Establish integrity:
Practices:
Establish Configuration Management Records
Perform Configuration Audits

6th July 2007 Introduction to CMMI, CMC Ltd 21

 Causal Analysis and Resolution (ML 5)

Purpose: To identify causes of defects and other problems and take action
to prevent them for occurring in the future.

SG 1: Determine causes of defects:

Practices:
Select defect data for analysis
Analyze causes

SG 2: Address causes of defects:

Practices:
Implement action proposals
Evaluate the effect of changes
Record data

6th July 2007 Introduction to CMMI, CMC Ltd 22

 Decision Analysis and Resolution (ML 3)

Purpose: To analyze possible decisions using a formal evaluation process

that evaluates identified alternatives against established criteria.

SG 1: Evaluate Alternatives:
Practices:
Establish guidelines for decision analysis
Establish Evaluation Criteria
Identify Alternative Solutions
Select methods to evaluate alternative solutions against established criteria
Evaluate Alternatives
Select Solutions

6th July 2007 Introduction to CMMI, CMC Ltd 23

 Integrated Project Management (ML 3)
Purpose: To establish and manage the project and the involvement of relevant stakeholders
according to an integrated and defined process that is tailored from the organizations set of
standard processes.

SG 1: Use the Projects Defined Process:

Practices:
Establish the projects defined process
Use organizational process assets for planning project activities
Integrate Plans
Manage the project using the integrated plans
Contribute to the Organizational Process Areas

SG 2: Coordinate and collaborate with relevant stakeholders:

Practices:
Manage stakeholder involvement
Manage dependencies
Resolve coordination issues

SG 3: Use the Projects shared vision for IPPD:

Practices:
Define projects shared vision context
Establish the projects shared vision

SG 4: Operate Integrated Teams for IPPD:

Practices:
Determine Integrated team structure for the project
Develop a preliminary distribution of requirements to integrated teams
Establish Integrated teams
6th July 2007 Introduction to CMMI, CMC Ltd 24
 Integrated Supplier Management (ML 3)

Purpose: To proactively identify sources of products that may be used to

satisfy the projects requirements and to manage selected suppliers while
maintaining a cooperative project supplier relationship.

SG 1: Analyze and select sources of products:

Practices:
Analyze potential sources of products
Evaluate and Determine sources of products

SG 2: Coordinate work with suppliers:

Practices:
Monitor selected supplier processes
Evaluate selected supplier work products
Revise the supplier agreement or relationship

6th July 2007 Introduction to CMMI, CMC Ltd 25

 Integrated Teaming (ML 3)

Purpose: To form and sustain an integrated team for the development of

work products.

SG 1: Establish Team Composition:

Practices:
Identify Team Tasks
Identify needed knowledge and skills
Assign appropriate team members

SG 2: Govern Team Operation:

Practices:
Establish a shared vision
Establish a team charter
Define roles and responsibilities
Establish operating procedures
Collaborate among interfacingteams

6th July 2007 Introduction to CMMI, CMC Ltd 26

 Measurement and Analysis (ML 2)

Purpose: To develop and sustain a measurement capability that is used to

support management information needs.

SG 1: Align Measurement and Analysis Activities:

Practices:
Establish Measurement objectives
Specify Measures
Specify Data Collection and storage procedures
Specify analysis procedures

SG 2: Provide Measurement Results:

Practices:
Collect Measurement Data
Analyze measurement data
Store data and results
Communicate results

6th July 2007 Introduction to CMMI, CMC Ltd 27

Organizational Environment for Integration (ML 3)
Purpose: To provide an Integrated Product and Process Development
(IPPD) infrastructure and manage people for integration.

SG 1: Provide IPPD Infrastructure:

Practices:
Establish the organizations shared vision
Establish an integrated wok environment
Identify IPPD-Unique Skill Requirements

SG 2: Manage People for Integration:

Practices:
Establish Leadership Mechanisms
Establish incentives for integration
Establish Mechanisms to Balance Team and Home Organization
Responsibilities

6th July 2007 Introduction to CMMI, CMC Ltd 28

Organizational Innovation and Deployment (ML 5)
Purpose: To select and deploy incremental and innovative improvements
that measurably improve the organizations processes and technologies.
The improvements support the organizations quality and process
performance objectives as derived from the organizations business
objectives.

SG 1: Select Improvements:
Practices:
Collect and Analyze improvement proposals
Identify and analyze innovations
Pilot improvements
Select Improvements for Deployment

SG 2: Deploy Improvements:
Practices:
Plan the Deployment
Manage the Deployment
Measure improvement effects

6th July 2007 Introduction to CMMI, CMC Ltd 29

 Organizational Process Definition (ML 3)

Purpose: To establish and maintain a usable set of organizational process

assets.

SG 1: Establish Organizational Process Assets:

Practices:
Establish Standard Processes
Establish Life cycle model descriptions
Establish Tailoring Criteria and guidelines
Establish the Organizations Measurement Repository
Establish the Organizations Process Asset Library

6th July 2007 Introduction to CMMI, CMC Ltd 30

 Organizational Process Focus (ML 3)

Purpose: To plan and implement organizational process improvement based

on a thorough understanding of the current strengths and weaknesses of
the organizations processes and process assets.

SG 1: Determine Process Improvement Opportunities:

Practices:
Establish Organizational Process needs
Appraise the organizations processes
Identify the organizations process improvements

SG 2: Plan and implement process improvement activities:

Practices:
Establish process action plans
Implement process action plans
Deploy organizational process assets
Incorporate process related experiences into the organizational process
assets

6th July 2007 Introduction to CMMI, CMC Ltd 31

 Organizational Process Performance (ML 4)

Purpose: To establish and maintain a quantitative understanding of the

performance of the organizations set of standard processes in support of
quality and process performance objectives, and to provide the process
performance data, baselines and models to quantitatively manage the
organizations projects.

SG 1: Establish Performance baselines and models:

Practices:
Select processes
Establish Process performance measures
Establish quality and process performance objectives
Establish process performance baselines
Establish process performance models

6th July 2007 Introduction to CMMI, CMC Ltd 32

 Organizational Training (ML 3)

Purpose: To develop skills and knowledge of people so they can perform

their roles effectively and efficiently.

SG 1: Establish an organizational training capability:

Practices:
Establish the strategic training needs
Determine which training needs are the responsibility of the organization
Establish an organizational training tactical plan
Establish training capability

SG 2: Provide necessary training:

Practices:
Deliver training
Establish Training Records
Assess training effectiveness

6th July 2007 Introduction to CMMI, CMC Ltd 33

 Product Integration (ML 3)
Purpose: To assemble the product from the product components, ensure
that the product, as integrated, functions properly, and deliver the product.

SG 1: Prepare for product integration:

Practices:
Determine integration sequence
Establish the product integration environment
Establish product integration procedures and criteria

SG 2: Ensure Interface Compatibility:

Practices:
Review interface descriptions for completeness
Manage interfaces

SG 3: Assemble product components and deliver the product:

Practices:
Confirm readiness of product components for integration
Assemble product components
Evaluate Assembled Product Components
Package and Deliver the Product or Product Component

6th July 2007 Introduction to CMMI, CMC Ltd 34

 Project Monitoring and Control (ML 2)
Purpose: To provide an understanding of the projects progress so that
appropriate corrective actions can be taken when the projects performance
deviates significantly from the plan.

SG 1: Monitor Project Against Plan:

Practices:
Monitor project planning parameters
Monitor commitments
Monitor project risks
Monitor data management
Monitor Stakeholder involvement
Conduct progress reviews
Conduct milestone reviews

SG 2: Manage Corrective Action to Closure:

Practices:
Analyze issues
Take corrective action
Manage corrective action

6th July 2007 Introduction to CMMI, CMC Ltd 35

 Project Planning (ML 2)
Purpose: To establish and maintain plans that define project activities.

SG 1: Establish Estimates:
Practices:
Estimate the scope of the project
Establish estimates of work product and task attributes
Define project life cycle
Determine estimates of effort and cost

SG 2: Develop a Project Plan:

Practices:
Establish the budget and schedule
Identify project risks
Plan for data management
Plan for project resources
Plan for needed knowledge and skills
Plan stakeholder involvement
Establish the Project Plan

SG 3: Obtain Commitment to the Plan:

Practices:
Review plan that affects the project
Reconcile work and resource levels
Obtain Plan commitment

6th July 2007 Introduction to CMMI, CMC Ltd 36

Process and Product Quality Assurance (ML 2)

Purpose: To provide staff and management with objective insight into

processes and associated work products.

SG 1: Objectively evaluate Processes and Work Products:

Practices:
Objectively evaluate processes
Objectively evaluate work products and services

SG 2: Provide Objective Insight:

Practices:
Communicate and ensure resolution of noncompliance issues
Establish Records

6th July 2007 Introduction to CMMI, CMC Ltd 37

 Quantitative Project Management (ML 4)

Purpose: To quantitatively manage the projects defined process to achieve

the projects established quality and process performance objectives.

SG 1: Quantitatively Manage the Project:

Practices:
Establish the projects objectives
Compose the defined process
Select the subprocesses that will be statistically managed
Manage Project Performance

SG 2: Statistically Manage Subprocess Performance:

Practices:
Select measures and analytic techniques
Apply statistical methods to understand variation
Monitor performance of the selected subprocesses
Record statistical management data

6th July 2007 Introduction to CMMI, CMC Ltd 38

 Requirements Development (ML 3)
Purpose: To produce and analyze customer, product, and product-component
requirements.

SG 1: Develop Customer Requirements:

Practices:
Collect stakeholders needs
Elicit needs
Develop the customer requirements

SG 2: Develop Product Requirements:

Practices:
Establish Product and Product-Component requirements
Allocate Product-Component requirements
Identify interface requirements

SG 3: Analyze and Validate Requirements:

Practices:
Establish operational concepts and scenarios
Establish a definition of required functionality
Analyze requirements
Analyze requirements to achieve balance
Validate requirements

6th July 2007 Introduction to CMMI, CMC Ltd 39

 Requirements Management (ML 2)

Purpose: To manage the requirements of the projects products and product

components and to identify inconsistencies between those requirements
and the projects plans and work products.

SG 1: Manage Requirements:
Practices:
Obtain an understanding of requirements
Obtain commitment to requirements
Manage requirements changes
Maintain bidirectional traceability of requirements
Identify inconsistencies between project work and requirements

6th July 2007 Introduction to CMMI, CMC Ltd 40

 Risk Management (ML 3)
Purpose: To identify potential problems before they occur so that risk
handling activities can be planned and invoked as needed across the life of
the product or project to mitigate adverse impacts on achieving objectives.

SG 1: Prepare for Risk Management:

Practices:
Determine risk sources and categories
Define risk parameters
Establish a risk management strategy

SG 2: Identify and Analyze Risks:

Practices:
Identify risks
Evaluate, categorize and prioritize risks

SG 3: Mitigate Risks:
Practices:
Develop mitigation plans
Implement risk mitigation plans

6th July 2007 Introduction to CMMI, CMC Ltd 41

 Supplier Agreement Management (ML 2)

Purpose: To manage the acquisition of products from suppliers for which

there exists a formal agreement.

SG 1: Establish Supplier Agreements:

Practices:
Determine acquisition type
Select suppliers
Establish Supplier Agreements

SG 2: Satisfy Supplier Agreements:

Practices:
Review COTS products
Execute the supplier agreement
Accept the acquired product
Transition products

6th July 2007 Introduction to CMMI, CMC Ltd 42

 Validation (ML 3)

Purpose: To demonstrate that a product or product component fulfills its

intended use when placed in its intended environment .

SG 1: Prepare for Validation:

Practices:
Select products for validation
Establish the validation environment
Establish validation procedures and criteria

SG 2: Validate Product or Product Components:

Practices:
Perform validation
Analyze validation results

6th July 2007 Introduction to CMMI, CMC Ltd 43

 Verification (ML 3)
Purpose: To ensure that selected work products meet their specifications.

SG 1: Prepare for Verification:

Practices:
Select work products for verification
Establish the verification environment
Establish verification procedures and criteria

SG 2: Perform Peer Reviews:

Practices:
Prepare for peer reviews
Conduct Peer Review
Analyze peer review data

SG 3: Verify Selected Work Products:

Practices:
Perform Verification
Analyze Verification Results and Identify Corrective Action

6th July 2007 Introduction to CMMI, CMC Ltd 44

 References
www.sei.cmu.edu
http://chrguibert.free.fr/cmmi12
CMMI (Pearson Education) by Mary Beth Chrissis, Mike
Konrad and Sandy Shrum

6th July 2007 Introduction to CMMI, CMC Ltd 45

 Thank You!!

6th July 2007 Introduction to CMMI, CMC Ltd 46