CMMI 1

1
The CMM Integration Project

• Dr. Jack R. Ferguson Dr. Rick Hefner
• CMMI Project Manager Assessment Team Co-Lead

2
Objectives

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

3
Agenda

• Introduction Dr. Jack Ferguson (SEI)
• Background
• Design Approach
• Comparison to SW-CMM v1.1 Dr. Rick Hefner (TRW)
• Comparison to EIA IS 731 (SECM)
• Assessment Methodology
• Comment Process Dr. Jack Ferguson (SEI)
• Transition Process
• Discussion

4
Background Dr. Jack Ferguson

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

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 Common Basis for Model-Based 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
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 sponsored
• Collaborative endeavor
• Industry
• Government
• Academia
• 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 J. Ferguson
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
15
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
• 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

17
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

18
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
Staged Representations

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

21
Staged Model
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
22
Continuous Representations

• A process area contains specific practices to
  achieve the purpose of the process area.
• Generic practices are grouped in 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.

23
Continuous Model
24
Source Model Terminology
25
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
26
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

27
Design Approach

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

28
The CMMI SolutionA Product Line Approach
29
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
30
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
31
Framework

• Components
• Construction rules
• Conceptual architecture

32
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
33
CMMI Terminology

• CMMI Models contain institutionalization
  (Generic) and implementation (Specific) parts
• Front matter
• Process Areas that contain
• Generic and Specific Goals
• Generic and Specific Practices(in Common
  Features in staged representation)
• Subpractices
• Notes
• Discipline-specific amplifications
• Glossary and tailoring guidelines

Required
Expected
Informative
34
CMMI V0.2 Process Areas - 1 Maturity Level 2

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

35
CMMI V0.2 Process Areas - 2 Maturity Level 3

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

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

36
CMMI V0.2 Process Areas - 3Maturity 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

37
CMMI Products

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

38
CMMI Models

• Staged and Continuous (with equivalent staging)
  versions of
• Software Engineering
• Systems Engineering
• Systems Engineering Software
• Systems Engineering Software with IPPD
• Tailoring Guidance

39
Assessment Material

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

40
Training Material

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

41
Model Developer Material

• Glossary
• Framework and model content criteria
• Framework Training

42
CMMI Schedule

• August 31, 1999 Release CMMI-SE/SW V0.2 for
  public review.
• Nov 30, 1999 Release CMMI-SE/SW/IPPD for public
  review
• Nov 1999-May 2000 Pilot assessments
• Jun-Aug 2000 Publish models V1.0

43
Issues Concerning Initial CMMI Drafts

• Size of model
• Complexity of model
• Normative model
• Goals and Themes
• Order of process areas
• ISO Consistency

• Equivalence between staged and continuous
  representations
• Advanced practices
• Process area boundaries
• Generic practices

CMMI team received 4000 change requests from
reviewers
44
CMMI-SE/SW compared to SW-CMM v1.1Dr. Rick
Hefner

• Objectives
• Philosophy
• Model Component Comparison
• Process Area Comparison
• Common Features Comparison

45
Philosophy - 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

46
Philosophy - 2

• CMMI- SE/SW staged representation is similar to
  SW-CMM v1.1
• Maturity Levels composed of Process Areas
• Goals are required implemented
  institutionalized
• Key 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

47
Model Component Comparison
CMMI Models SW CMM
Process Area Key Process Area
Generic Goal Planning Goal sometimes used v1.1,
Institutionalization Goal in 2.0
Specific Goal KPA Goal
Generic Practice Key practices from
institutionalization common features
Specific Practice Key Practice from Activities
Performed Common Features
Subpractice Subpractice
Maturity Level Maturity Level
Capability Level None
Notes Explanatory Material
Work Products Examples
For Software Engineering Examples and
explanatory materiel
48
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 Product Process Quality Assurance
Software configuration mgmt Configuration
Management Data Management Measurement and
Analysis
LEVEL 5 OPTIMIZING
LEVEL 4 MANAGED
LEVEL 3 DEFINED
LEVEL 2 REPEATABLE
49
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
Technical Solution PA
Product Verification PA
50
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
CMMI 50
51
Common Feature Comparison
Handled by the Measurement and Analysis PA
52
Conclusions

• Organizations using SW-CMM v1.1 should be able to
  smoothly transition to CMMI
• 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

53
Comparing CMMI-SE/SW to EIA IS 731-SECM

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

54
Philosophy - 1

• 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

55
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56
EIA 731 Focus Areas - 1

• Technical Focus Areas
• Define Stakeholder and System Level Requirements
• Define Technical Problem
• Define Solution
• Assess and Select
• Integrate System
• Verify System
• Validate System

Causal Analysis and Resolution (PM) Org Process
Technology Innovation (PM) Process Innovation
Deployment (PM)
Quantitative Mgmt of Quality and Process
(PM) Organizational Process Performance (PM)
Organizational Process Focus (PM) Organizational
Process Definition (PM) Organizational Training
(PM) Integrated Project Management (PM) Risk
Management (PM) Decision Analysis and Resolution
(PM) Customer and Product Requirements
(Eng) Technical Solution (Eng) Product
Integration (Eng) Product Verification (Eng)
Validation (Eng)
Project Planning (PM) Project Monitoring and
Control (PM) Configuration Management
(PM) Product and Process Quality Assurance
(PM) Supplier Agreement Management (PM) Data
Management (PM) Measurement and Analysis
(PM) Requirements Management (Eng)
57
EIA 731 Focus Areas - 2

• Management Focus Areas
• Plan and Organize
• Monitor and Control
• Integrate Disciplines
• Coordinate with Suppliers
• Manage Risk
• Manage Data
• Manage Configurations
• Ensure Quality

Causal Analysis and Resolution (PM) Org Process
Technology Innovation (PM) Process Innovation
Deployment (PM)
Quantitative Mgmt of Quality and Process
(PM) Organizational Process Performance (PM)
Organizational Process Focus (PM) Organizational
Process Definition (PM) Organizational Training
(PM) Integrated Project Management (PM) Risk
Management (PM) Decision Analysis and Resolution
(PM) Customer and Product Requirements
(Eng) Technical Solution (Eng) Product
Integration (Eng) Product Verification (Eng)
Validation (Eng)
Project Planning (PM) Project Monitoring and
Control (PM) Configuration Management
(PM) Product and Process Quality Assurance
(PM) Supplier Agreement Management (PM) Data
Management (PM) Measurement and Analysis
(PM) Requirements Management (Eng)
58
EIA 731 Focus Areas - 3
Causal Analysis and Resolution (PM) Org Process
Technology Innovation (PM) Process Innovation
Deployment (PM)

• Environment Focus Areas
• Define and Improve the Systems Engineering
  Process
• Manage Competency
• Manage Technology
• Manage Systems Engineering Support Environment

Quantitative Mgmt of Quality and Process
(PM) Organizational Process Capability (PM)
Organizational Process Focus (PM) Organizational
Process Definition (PM) Organizational Training
(PM) Integrated Project Management (PM) Risk
Management (PM) Decision Analysis and Resolution
(PM) Customer and Product Requirements
(Eng) Technical Solution (Eng) Product
Integration (Eng) Product Verification (Eng)
Validation (Eng)
Project Planning (PM) Project Monitoring and
Control (PM) Configuration Management
(PM) Product and Process Quality Assurance
(PM) Supplier Agreement Management (PM) Data
Management (PM) Measurement and Analysis
(PM) Requirements Management (Eng)
59
Whats New?

• Not a EIA 731 Focus Area(but in the content)
• Causal Analysis and Resolution
• Process Innovation Deployment
• Quantitative Process and Quality Mgmt
• Organizational Process Performance

Causal Analysis and Resolution (PM) Org Process
Technology Innovation (PM) Process Innovation
Deployment (PM)
Quantitative Mgmt of Quality and Process
(PM) Organizational Process Performance (PM)
Organizational Process Focus (PM) Organizational
Process Definition (PM) Organizational Training
(PM) Integrated Project Management (PM) Risk
Management (PM) Decision Analysis and Resolution
(PM) Customer and Product Requirements
(Eng) Technical Solution (Eng) Product
Integration (Eng) Product Verification (Eng)
Validation (Eng)
Project Planning (PM) Project Monitoring and
Control (PM) Configuration Management
(PM) Product and Process Quality Assurance
(PM) Supplier Agreement Management (PM) Data
Management (PM) Measurement and Analysis
(PM) Requirements Management (Eng)
60
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 IPPD-CMM practices

61
Assessment MethodologyDr. Rick Hefner
(TRW)Assessment Methodology Team Co-lead

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

62
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
63
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.

64
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

65
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

66
Comment ProcessDr. Jack Ferguson

• 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 November 30
• Comments due February 28
• Hold Focus Group discussions
• SEI Transition
• Assessors for both communities
• SPINs

67
Pilot Assessments

• Nine initial assessments (desired)
• Supported by 3 Product Development Team (PDT)
  members,
• Covering all CMMI models, staged and continuous
  representations
• Nine organizations (4 DoD 5 industry)
  volunteered to participate
• 1 - CMMI SE/SW with IPPD, staged or continuous
  representation
• 4 - CMMI SE/SW, staged representation
• 2 - CMMI SE/SW, continuous representation
• 1 - CMMI SE, continuous representation
• 1 - CMMI SW, staged representation
• 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

68
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
69
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...

70
Steps to Enterprise-wide Organizational Maturity
1. Vision, Goals, Buy-in
71
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.

72
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

73
Discussion