CMMI 1

1
Capability Maturity Model Integration
(CMMISM)Presentation to Omaha SPINDec 2,
1999Bob Rassa, RaytheonDeputy Chair, CMMI
Project
Capability Maturity Model and CMM are
registered with the U.S. Patent and Trademark
Office SM - CMMI is a service mark of Carnegie
Mellon University
2
Objectives

• Present the background and current status of CMM
  Integration
• Discuss structure and sample content of the new
  maturity models
• Present timeline for public release of the models
  and pilot assessments
• Discuss transition from the current maturity
  models and assessment methods

3
Agenda

• Introduction
• Background
• Design Approach
• Comparison to SW-CMM v1.1
• Comparison to EIA IS 731 (SECM)
• Assessment Methodology
• Comment Process
• Transition Process
• Discussion

4
Background

• Objectives
• Review CMMI objectives
• Review key requirements and source material
• Discuss CMMI project
• Compare and contrast current maturity models
• CMM for Software, SECM, IPD-CMM
• Staged, continuous
• Introduce CMMI terminology

5
What are Capability Maturity Models?

• Organized collections of best practices
• Based on work by Crosby, Deming, Juran,
  Humphrey...
• Systematic ordered approach to process
  improvement.
• Means of measuring organizational maturity.
• Have proven to bring significant return on
  investment in productivity and quality.

6
How are CMMs used?

• Process Improvement
• Process Definition
• Competency Assessment
• Risk Management
• Communication

7
The Current Situation - every silver lining has a
dark cloud

• Explosion of CMMs and CMM-like models
• Multiple models within an organization

• Multiple assessments
• Multiple training
• Multiple expenses

8
Courtesy Sarah Sheard, SPC
9
Why is This a Problem?

• Similar process improvement concepts, but...
• Different model representations (e.g. staged,
  continuous, questionnaire, hybrid)
• Different terminology
• Different content
• Different conclusions
• Different appraisal methods

10
The Silver Lining - each model shares a common
basis for process improvement

• Improvement in any discipline is a function of
  performing
• Implementing practices that reflect the
  fundamentals of a particular topic (e.g.
  configuration management)
• Institutionalizing practices that lead to
  sustainment and improvement of an implementation

11
Thus all CMMI source models contain

• Implementing practices grouped by affinity
• Institutionalizing practices that vary from model
  to model, however all models specify levels that
  describe increasing capability to perform

12
Improvement Levels
Continuously
Optimizing
(5)
improving
process
Quantitatively Managed
(measured)
(4)
Predictable
process
(standard)
Standard,
Defined
(3)
consistent
process
(planned and tracked)
Managed
(2)
Disciplined
process
(performed)
Initial
(1)
Not performed (0)
13
The CMMI Project

• DoD and NDIA sponsored
• Collaborative endeavor
• Industry (NDIA Systems Engineering Committee)
• Government (OSD plus Services)
• SEI
• Over 100 people involved

14
CMM Integration Project
Steering Group
Stakeholder/ Reviewers
Co-Chairs P. Babel / B. Rassa
Product Development Team
Chief Architect R. Bate
Project Manager M. Phillips/D. Ahern
Coordinating IPT Team leads
Editors (CCB)
Training Meth. IPT
Assessment Meth. IPT
Reqmts. IPT
Architecture IPT
PA Author Groups
IPPD IPT
Usability Team
Lotus Notes Team
Pilot Planning
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The CMMI Development Team

• U.S. Air Force
• U.S. Navy
• Federal Aviation Administration
• National Security Agency
• Software Engineering Institute (SEI)
• ADP, Inc.
• Boeing
• Computer Sciences Corp.

• Ericsson Canada
• General Dynamics
• Honeywell
• Litton
• Lockheed Martin
• Marconi
• Northrop Grumman
• Pacific Bell
• Raytheon
• Rockwell Collins
• Thomson CSF
• TRW

16
CMMI Design Goals

• Integrate the models, eliminate inconsistencies,
  reduce duplication
• Reduce the cost of implementing model-based
  process improvement
• Increase clarity and understanding
• Common terminology
• Consistent style
• Uniform construction rules
• Common components
• Assure consistency with ISO 15504
• Be sensitive to impact on legacy efforts

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Benefits

• Efficient, effective assessment and improvement
  across multiple process disciplines in an
  organization
• Reduced training and assessment costs
• A common, integrated vision of improvement for
  all elements of an organization
• A means of representing new discipline-specific
  information in a standard, proven process
  improvement context

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The Challenge

• Extract the common or best features from the
  source models
• Provide users the ability to produce single- or
  multiple-discipline models, both continuous and
  staged, tailored to their organizational needs.
• Provide users the ability to assess and train
  based on these models.

19
CMMI Source Models

• Capability Maturity Model for Software V2, draft
  C (SW-CMM V2C)
• EIA Interim Standard 731, System Engineering
  Capability Model (SECM)
• Integrated Product Development Capability
  Maturity Model, draft V0.98 (IPD-CMM)

20
Source Model Terminology
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Staged Representations

• Key Process Areas are grouped in the stages
  (levels) from 2 to 5
• Each Key Process Area contains implementing
  practices (activities) to achieve the purpose of
  the process area.
• For a Key Process Area at a given stage,
  institutionalizing practices are integral to the
  process area.

22
Staged ModelSW-CMM V2.0 draft C
Level
Focus
Key Process Areas
Org Improvement Deployment Org Process and Tech
Innovation Defect Prevention
Continuous
5
process
Optimizing
improvement
4 Quantitatively Managed
Organization Process Performance Statistical
Process Management Org Software Asset Commonality
Quantitative management
3
Peer Reviews Project Interface Coordination Softwa
re Product Engineering Organization Training
Program Organization Process Definition Organizati
on Process Focus
Process Standardization
Defined
Software Configuration Management Software
Quality Assurance Software Acquisition
Management Software Project Control Software
Project Planning Requirements Management
Basic Project Management
1
Competent people and heroics
Initial
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Continuous Representations

• A process area contains Specific Practices to
  achieve the purpose of the Process Area. Some of
  these practices may reside at higher Capability
  Levels (Advanced Practices)
• Generic Practices are grouped to define
  Capability Levels
• Generic practices are added to the Specific
  Practices of each Process Area to attain a
  Capability Level for the Process Area.
• The order in which Process Areas are addressed
  can follow a recommended staging.

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Continuous Model
GP
GP
CL5
GP
GP
GP
CL4
GP
GP
GP
CL3
GP
GP
GP
GP
GP
CL2
GP
GP
GP
Implemented
NI
NA
NR
PA
PP

RQ
QA
PM
SA
CM
PD
QM
CA
PI
RS
PA - Process Area
CL
- Capability Level
GP - Generic Practice
NI - Not Implemented
NA - Not Applicable
NR - Not Rated
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CMMI Model Terminology
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Assessment Methods

• CBA IPI Method
• Rating of goals
• Single digit rating
• Full goal satisfaction
• More strict data validation requirement

• SECM Assessment Method
• Rating of practices
• Granularity options
• Partial credit options
• Less strict data validation requirement

Both methods use the same basic set of activities
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The CMMI Challenge

• Integrate three source models that have many
  differences
• Provide consistency with ISO 15504
• Maintain support from user communities
• Develop framework to allow growth to other
  disciplines

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Design Approach

• Objectives
• Review design goals
• Discuss framework for CMMI
• Describe CMMI components
• Outline CMMI products
• Discuss CMMI Schedule and current issues

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The CMMI SolutionA Product Line Approach
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The CMMI Product Line
The CMMI product line is a product suite sharing
a common, managed set of features that satisfy
specific needs of a selected domain.
pertain to
is satisfied by
share an
Products
guides development of
are built from
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CMMI Product Suite
Framework
Input
Transform
Output

• Common
• content
• Discipline
• content
• Criteria for
• content

• Rules for
• generating
• products
• -Model
• -Assessment
• -Training

• Integrated
• model(s)
• Assessment
• method(s)
• Training
• materials

Repository
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Framework

• Components
• Construction rules
• Conceptual architecture

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The CMMI Framework

• Framework General
• Glossary
• Development Standards and Guidelines
• Document Templates
• Assessment Methodology
• Framework Training Materials

Shared (Discipline XY)
Discipline Y
Discipline X (DX) DX Amplifications DX Process
Areas DX Assessment Material DX Model Training
Material DX Assessment Training Material
Process Management Core (PMC) PMC Generic
Practices/Templates PMC Process Areas PMC
Assessment Material PMC Model Training
Material PMC Assessment Training Material
Integration Core (IC)IPPD Environment IC Generic
Practices/Templates IC Process Areas IC
Assessment Material IC Model Training Material IC
Assessment Training Material

Output Models Assessment Methods Model Training
Materials Assessment Training Materials
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CMMI V0.2 Staged Process Areas Maturity Level 2

• Process Management Core Engineering (SE SW)
• Project Planning Requirements Management
• Project Monitoring and Control
• Configuration Management
• Process Product Quality Assurance
• Supplier Agreement Management
• Data Management
• Measurement Analysis

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CMMI V0.2 Staged Process Areas Maturity Level 3

• Process Management Core
• Organizational Process Focus
• Organizational Process Definition
• Organizational Training
• Integrated Project Management
• Risk Management
• Decision Analysis Resolution

• Engineering (SE SW)
• Customer Product Requirements
• Technical Solution
• Product Integration
• Product Verification
• Validation

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CMMI V0.2 Staged Process AreasMaturity Levels 4
5

• Process Management Core
• Quantitative Management of Quality and Process
• Organizational Process Performance
• Causal Analysis and Resolution
• Organizational Process Technology Innovation
• Process Innovation Deployment

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CMMI Products

• CMMI Models
• Assessment Material
• Training Material
• Model Developer Material

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Assessment Material

• Assessment requirements
• Assessment methodology
• Assessment data collection methods and tools
  (e.g., questionnaires, interviews)
• Assessment Team qualifications

39
Training Material

• Model Training
• Assessment Training
• Team Training
• Lead Assessor Training

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Model Developer Material

• Glossary
• Framework and model content criteria
• Framework Training

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CMMI Schedule

• August 31, 1999 Release CMMI-SE/SW V0.2 for
  public review.
• Dec 15, 1999 Release CMMI-SE/SW/IPPD for public
  review
• Nov 1999-May 2000 Pilot assessments
• Jun-Aug 2000 Publish models V1.0

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CMMI-SE/SW compared to SW-CMM v1.1

• Objectives
• Describe Background
• Discuss Model Component Comparison
• Process Areas
• Common Features

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Background - 1

• SEI had completed updates to the SW-CMM when the
  CMMI project was started
• SW-CMM v2 Draft C was used as the source model
  for CMMI
• Adapted for compatibility with SE
• Most of the community is currently using SW-CMM
  v1.1
• Detailed traceability matrices are being developed

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Background - 2

• CMMI- SE/SW staged representation is similar to
  SW-CMM v1.1
• Maturity Levels composed of Process Areas
• Goals are required implemented
  institutionalized
• Practices are expected alternative practices are
  acceptable if effective at meeting the goals
• All else is informative
• CMMI- SE/SW continuous representation reflects
  the same info in a SPICE-like structure

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SW-CMM v1.1 CMMI
Defect prevention Causal Analysis and
Resolution Technology change mgmt Org. Process
Technology Innovation Process change mgmt Process
Innovation Deployment Quantitative process
mgmt Org. Process Performance Software quality
mgmt Quantitative Mgmt of Quality
Process Organization process focus Organization
process focus Organization process definition
Organization process definition Training
program Organizational training Integrated
software mgmt Integrated project management Risk
Management Software product engr Customer and
Product Reqmts Technical Solution Product
Integration Intergroup coordination Product
Verification Peer reviews Validation Decision
Analysis and Resolution Requirements
management Requirements management Software
project planning Project planning Software
project tracking oversight Project Monitoring
and Control Software subcontract mgmt Supplier
Agreement Management Software quality
assurance Process Product Quality Assurance
Software configuration mgmt Configuration
Management Data Management Measurement and
Analysis
LEVEL 5 OPTIMIZING
LEVEL 4 MANAGED
LEVEL 3 DEFINED
LEVEL 2 REPEATABLE
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Software Product EngineeringSW-CMM v1.1
Activities

• 1 Appropriate software engineering methods and
  tools are integrated into the project's defined
  software process.
• 2 The software requirements are developed,
  maintained, documented, and verified by
  systematically analyzing the allocated
  requirements according to the project's defined
  software process.
• 3 The software design is developed, maintained,
  documented, and verified, according to the
  project's defined software process, to
  accommodate the software requirements and to form
  the framework for coding.
• 4 The software code is developed, maintained,
  documented, and verified, according to the
  project's defined software process, to implement
  the software requirements and software design.
• 5 Software testing is performed according to the
  project's defined software process.

Customer and Product Req PA
Technical Solution PA
Product Verification PA
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Software Product EngineeringSW-CMM v1.1
Activities (continued)

• 6 Integration testing of the software is planned
  and performed according to the project's defined
  software process.
• 7 System and acceptance testing of the software
  are planned and performed to demonstrate that the
  software satisfies its requirements.
• 8 The documentation that will be used to operate
  and maintain the software is developed and
  maintained according to the project's defined
  software process.
• 9 Data on defects identified in peer reviews and
  testing are collected and analyzed according to
  the project's defined software process.
• 10 Consistency is maintained across software work
  products, including the software plans, process
  descriptions, allocated requirements, software
  requirements, software design, code, test plans,
  and test procedures.

Product Integration PA
Product Verification PA
Validation PA
CMMI 47
48
Common Feature Comparison
Handled by the Measurement and Analysis PA
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Conclusions

• Organizations using SW-CMM v1.1 should be able to
  smoothly transition to CMMI, accommodating the
  following changes
• Measurement and Analysis Data Mgmt at L2
• Risk Management Decision Analysis and
  Resolution at L3
• Expansion of Software Product Engineering
• Configuration Management for all Process Areas

50
Comparing CMMI-SE/SW to EIA IS 731-SECM

• Objectives
• Background
• Process Area Comparison
• Planned IPPD Extensions

51
Background

• EIA 731 was created as a merger of the SE-CMM and
  INCOSE SECM models
• Used as a source model for CMMI
• CMMI-SE/SW merges software ideas
• Staged representation of SE available
• Continuous representation with equivalent
  staging

52
Comparison of Elements
SE-CMM
CMMI
SECM
Engineering
Engineering
Technical
PA06 Understand Customer Needs and
Expectations PA02 Derive and Allocate
Requirements PA03 Evolve System
Architecture PA01 Analyze Candidate Solutions
PA05 Integrate System PA07 Verify and
Validate System PA04 Integrate Disciplines
1.1 Define Stakeholder and System Level
Requirements 1.2 Define Technical
Requirements 1.3 Define Solution 1.4 Assess and
Select 1.5 Integrate System 1.6 Verify System 1.7
Validate System
Reqs Management Customer and Product
Reqs Technical Solution Product
Integration Product Verification Validation
Support
2.3
53
Comparison of Elements (contd)
SE-CMM
SECM
CMMI
Project Management
Management
Project
Project Planning Project Mon and Ctl Supplier
Agree Mgt Integrated Proj Mgt Risk Management
PA12 Plan Technical Effort PA11 Monitor and
Control Technical Effort PA10 Manage Risk PA09
Manage Configurations PA08 Ensure Quality
2.1 Plan and Organize 2.2 Monitor and Control
2.3 Integrate Disciplines 2.4 Coordinate with
Suppliers 2.5 Manage Risk 2.6 Manage Data 2.7
Manage Configurations 2.8 Ensure Quality
PA04
Support
PA18
Configuration Mgt Data Management Proc and Prod
QA Meas and Analysis Decision An and Resolution

L2 GP
1.4

Not in SE-CMM
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Comparison of Elements (contd)
SE-CMM
SECM
CMMI
Environment
Organization
Process Management
PA13 Define Organizations SE Process PA14 Improve
Organizations SE Process PA17 Provide Ongoing
Knowledge and Skills PA15 Manage Product Line
Evolution PA16 Manage SE Support
Environment PA18 Coordinate With Suppliers
3.1 Define and Improve the SE Process 3.2 Manage
Competency 3.3 Manage Technology 3.4 Manage SE
Support Environment
Org Process Focus Org Process Def Organizational
Tng Quant Mgt of Quality and Process Org Process
Perf Causal An and Res Org Process Tech
Innovation Process Innovation Deployment
L4 GP
L4 GP
L5 GP
2.4
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Conclusions

• EIA 731 users should be able to smoothly
  transition to the CMMI-SE/SW model
• Continuous representation ( equivalent staged
  representation)
• Some lower level differences
• Integrated Product and Process Development (IPPD)
  will be added
• Based on IPD-CMM and other practices

56
Summary - Inherited Features from Source Models

• SW CMM
• Goals normative
• Informative material in Vol II
• 731
• Practices/activities mapped to Goals
• Advanced practices (technical PAs only)
• Added practices to goals as levels increase
• Generic Attributes (optional in pilots)
• Effectiveness of processes
• Value of products

57
Assessment Methodology

• Objectives
• Assessment approach
• Assessment Requirements for CMMI (ARC)
• SCAMPI assessment method
• Lead Assessor program, transition plan

58
Assessment Methods

• CBA IPI Method
• Rating of goals
• Single digit rating
• Full goal satisfaction
• More strict data validation requirement

• SECM Method
• Rating of practices
• Granularity options
• Partial credit options
• Less strict data validation requirement

Essentially the same activities in the two methods
59
Assessment Requirements for CMMI (ARC)

• Similar to the current CMM Appraisal Framework
  (CAF) V1.0
• Specifies the minimum requirements for full,
  comprehensive assessment methods, e.g., SCAMPI
• Other assessment methods may be defined for
  situations not requiring a comprehensive
  assessment
• initial assessment, quick-look, process
  improvement monitoring, etc.

60
Standard CMMI Assessment Method for Process
Improvement (SCAMPI)

• Similar to CBA IPI method
• Led by authorized Lead Assessor
• Tailorable to organization and model scope
• Artifacts
• SCAMPI Method description document
• Maturity questionnaire, work aids, templates
• Current activities
• Merger of SECM appraisal method features

61
CMMI Lead Assessor Program

• Similar to existing SEI Lead Assessorand Lead
  Evaluator programs
• Grandfather current Lead Assessors
• Under consideration
• Delineate by discipline, e.g., SW Lead Assessors,
  SE Lead Assessors?
• Details of transition process for current Lead
  Assessors and other assessment leaders
• Required training in CMMI models

62
Comment Process

• Release CMMI-SE/SW v0.2 August 31
• Available at http//www.sei.cmu.edu
• Public comments due November 30
• Release CMMI-SE/SW/IPPD December 1
• Comments due February 28
• Hold Focus Group discussions
• SEI Transition
• Assessors for both communities
• SPINs

63
Pilot Assessments

• Nine initial assessments (desired)
• Supported by 3 Product Development Team (PDT)
  members,
• Covering all CMMI models, staged and continuous
  representations
• Product Development Team (PDT) member roles
• CMMI Product Suite Training
• Coaching and structured observation
• Structured feedback from assessment participants
• Assessors and Sponsors, and
• Participating organization members

64
CMMI Transition Plan

• Development Phase
• Development of CMMI products
• Verification and Validation of CMMI products
• Transition Phase
• Approval of a CMMI Product for public release
• Evidence of sufficient use
• Transition planning to help organizations use
  CMMI products
• Sustainment Phase
• Upkeep continuous improvement of the product
  suite
• Additional evidence of adoption and use

Sustainment Phase
Transition Phase
Development Phase
65
Transitioning to Use of CMMI

• Understand how models are used
• Steps to enterprise-wide process improvement
• Apply Lessons Learned in transitioning from
  single-discipline models
• Federal Aviation Administrations experiences
  with iCMM
• US Air Force experiences with transitioning
  between models
• Others
• Perform gap analysis between current processes
  and CMMI

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Steps to Enterprise-wide Organizational Maturity
1. Vision, Goals, Buy-in
67
CMMI Benefits

• CMMI product users can expect to
• Efficiently and effectively improve and assess
  multiple disciplines across their organization
• Reduce costs (including training) associated with
  improving and assessing processes
• Deploy a common, integrated vision of process
  improvement that can be used as a basis for
  enterprise-wide process improvement efforts.

68
The promise...

• CMMI team is working to assure the CMMI Product
  Suite addresses needs of software and systems
  engineering communities of practice
• Use of an integrated model to guide enterprise
  process improvement promises to be one of the
  more sustainable profitable initiatives that
  any organization might pursue

69
Current Status

• CMMI project is on schedule.
• Initial comments on Release V0.2 are very
  positive.
• Development of Training and Assessment
  Methodology has begun-
• First Pilot Training conducted Sept 1999 (see
  quote)
• Training will be conducted each quarter
• Opportunity still exists to participate in CMMI
  Product Development
• Model Updates based on Change Requests
• IPPD
• Assessment Methodology
• Training Development
• Call Bob Rassa, [phone],
  RCRassa_at_west.raytheon.com

70
CMMI Steering Group

• Phil Babel, USAF -retiring Dec 30 (Ajmel Dulai,
  replacement) - Chair
• Bob Rassa, Raytheon - Deputy Chair
• Tom Parry, OSD
• Clyde Chittister, SEI
• Bill Peterson, SEI
• Bob Lentz, General Dynamics
• Hal Wilson, Litton-PRC
• Joan Weszka, Lockheed Martin
• Mike Devine, USA
• Dave McConnell, USN
• Linda Ibrahim, FAA
• Motorola Representative (for commercial industry)

71
And finally, a few statistics---
Product PAs/FAs Goals/Themes
Activities/Practices SW-CMM V1.1 18 52 150 SW-C
MM V2c 19 62 127 EIA/IS 731 19 77 381 CMMI
V0.1 27 149 324 CMMI V0.2 24 57 196
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And Food For Thought

• SW-CMM and EIA/IS-731 will be sunset 2 years
  after final release of CMMI (now scheduled for
  August 2000)
• Time to start planning for CMMI!
• CMMI Training Courses have begun at the SEI
• 1st one conducted November 1999
• Scheduled quarterly through 2000
• There is still room on the Development Team
• CMMI will transition to Sustainment Mode after
  Summer 2000
• SEI providing User Support as they did for SW-CMM
• We are expanding the ranks of Transition
  Partners
• Seven (7) used on SW-CMM, many more for CMMI

73
Quote from Pilot Training attendee

• There is a lot more positive than negative in
  this model. We dont need to wait 2-3 years to
  adopt. There is an amazing amount of value. Just
  the added scope is great. We mapped different
  models against the organizations processes.
  SW-CMM covers 1/3 of it. SE covers 75 and IPPD
  85. The difference in scope is amazing. We need
  to endorse this model. What we say is what will
  happen.