SM

CMMI

Terry Bahill
Systems and Industrial Engineering
01/24/11
University of
1
Arizona Bahill
 SM

References CMMI

• M. B. Chrissis, M. Konrad and S. Shrum, CMMI:

Guidelines for Process Integration and Product
Improvement, Pearson Education Inc., Boston, 2003.
• D. M. Ahern, A. Clouse and R. Turner, CMMI Distilled: A
Practical Guide to Integrated Process Improvement,
Addison-Wesley, 2001.
• Some of the slides of this presentation were downloaded
from these sites:
• http://www.sei.cmu.edu/sei-home.html
• http://www.sei.cmu.edu/cmmi/
• They are Copyright 2002 Carnegie Mellon
University, used by permission.

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 SM

What is CMMI? CMMI

• The Capability Maturity Model

Integration (CMMI) is a collection of
best practices from leading
engineering companies.
• It provides a model that you can base
your company processes on.

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A system CMMI

can be implemented with

• software
• hardware
• bioware
• algorithms
• organizations
• processes

• You can call these types of systems.

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What is process? CMMI

A process is a set of practices

performed to achieve a given purpose;
it may include tools, methods,
materials, and/or people.

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 Why focus on process? CMMI
SM

Process provides a constructive, high-leverage

focus...
• as opposed to a focus on people
- Your work force is as good as it is trained to be.
- Working harder is not the answer.
- Working smarter, through process, is the answer.
• as opposed to a focus on technology
- Technology applied without a suitable roadmap
will not result in significant payoff.
- Technology provides the most benefit in the
context of an appropriate process roadmap.

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When creating a process CMMI

the most important facets are

• illustrating tasks that can be done in parallel
• suggesting feedback loops
• including a process to improve the process
• configuration management

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 Why use CMMI? CMMI
SM

CMMI provides guidance for improving your

organization’s processes and your ability to
manage the development, acquisition, and
maintenance of products or services.

CMMI places proven approaches into a

structure that
- helps your organization examine the
effectiveness of your processes
- establishes priorities for improvement
- helps you implement these improvements

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Objective Force Warrior Solicitation CMMI

2.1.1.1 LTI Process Capability. A multidisciplinary, structured, and

integrated development process with a strong emphasis on systems
engineering, software engineering and integrated product and process
development (IPPD) will be a cornerstone of the program. Capability
Maturity Model Integration, Version 1.1, will be used as a
guideline and benchmark when evaluating offeror’s systems
engineering, software engineering and IPPD maturity and
capabilities. Certification by relevant Capability Maturity Models (e.g.,
SECAM, SE-CMM, IPDCMM, etc.) is not required, except for Software
Engineering, however, if such certifications have been obtained, that
certification information will be considered during the Government’s
evaluation process. … The LTI shall implement software management
processes maintained at no less than level 3 of the Capability Maturity
Model for Software (SW-CMM).

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Areas CMMI

Your company’s divisions

can be evaluated for
• Software
• Systems
• IPPD*

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 CMM IntegrationSM Project CMMI
SM

The CMM Integration Project was formed to

• build an initial set of integrated models
• establish a framework to enable integration of
future models
• create an associated set of appraisal and training
products
Source models serving as the starting point for CMMI
were
• SW-CMM (software), V2.0 Draft C
• EIA 632 (engineering)
• EIA/IS-731 (systems engineering)
• IPD-CMM (integrated product development), V0.98

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 CMMI development team
SM
CMMI

Membership from
• industry
• U.S. government
• Software Engineering Institute
Membership characteristics
• average of about 21 years experience
• from organizations with solid
process improvement credentials
Financing from DoD

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 Development strategy
SM
CMMI

Base the model content on current industry

best practices as represented in widely-
accepted source models.
Conduct public reviews of the models.
Conduct pilots of the product suite prior to
official product release.
Update the product suite based on feedback
from pilots and reviewers.
Release v1.0 of the product suite.
Update the product suite based on feedback
from users.
Release v1.1 of the updated product suite.

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CMMI

The Bottom Line

Process
improvement
should be done
to help the
business—
not for its
own sake.

“In God we trust,

all others bring data.”
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 Categories of benefits
SM
CMMI

Process improvement benefits fall into these

general categories:
• improved schedule and budget
predictability
• improved cycle time
• increased productivity
• increased customer satisfaction
• improved employee morale
• increased return on investment
• improved quality (as measured by defects)
• decreased cost of quality

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Improved schedule and CMMI

budget predictability
140%
Over/Under Percentage

Results: Boeing Effort Estimation

. .
................................
... .... .. .... .
.
0% .
. . .. ... . . .. .. . ..............
.
. . . ... .. .. ... . . .....
. .. . .... .
. . ..
. .. . ..
. .. . . ...... . . .. .
..
. . .... . .. . .. . .
.. . . .. ..... .... .
. . .. .. .... .. . . . .
-140% . . . . ..
Without Historical Data With Historical Data
Variance between + 20% to - 145% Variance between - 20% to + 20%
(Mostly Level 1 & 2) (Level 3)
(Based on 120 projects in Boeing Information Systems)
Reference: John D. Vu. “Software Process Improvement Journey:From Level 1 to Level 5.”
7th SEPG Conference, San Jose, March 1997.
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CMMI

Improved cost & cycle time

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Increased productivity and quality

CMMI

Lockheed Martin Naval Electronics & Surveillance Systems (NE&SS) -

Radar Systems - Syracuse
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CMMI

Measurable return on investment

Process improvement provides
measurable
return on investment.

Return on software
improvement investment
was reported to be between
5:1 and 8:1.

(Herbsleb 94)

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 Improved program performance CMMI
SM

Performance to contract
• Cost at Completion = Budget
Increases in productivity
• 150% over 5 years
• Industry Cost / Schedule Estimation Tool
(COCOMO) projects 20% reduction in
effort for 1 level improvement
Decreases in Cost of Nonconformance
• 40% down to 10%
Increased customer satisfaction
ROI 5:1 and greater

Raytheon Missile Systems Software Center

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CMMI

Remember
The CMMI model is not a process.
This model shows what to do,
Not how to do it or who does it.

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CMMI
The
IDEAL SM Learning

Model Propose
Future
Analyze
and
Validate
Actions Implement
Solution

Refine
Solution

Set Build Charter

Stimulus for Change
Context Sponsorship Infrastructure Acting
Pilot/Test
Solution
Initiating
Characterize
Current &

The IDEAL Desired States

Create

model maps Diagnosing Develop

Solution

to the Recommendations

Plan
SIMILAR Set
Actions
Develop
Process
Priorities
Approach

SM
IDEAL is a service mark
of Carnegie Mellon University. Establishing
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CMMI
Using CMMI models with the
IDEAL model1
Initiating phase
CMMI models can assist an organization in
understanding how to build sponsorship
and in developing the infrastructure for
improvement.

Diagnosing phase
The Standard CMMI Appraisal
Methodology for Process Improvement
(SCAMPISM) provides a yardstick for
appraising processes based on CMMI.
SM
SCAMPI is a service mark of Carnegie Mellon University.

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Using CMMI models with the

CMMI

IDEAL model2
Establishing phase
CMMI process areas focus the process
improvement teams.

Acting phase
CMMI models provide guidance for defining or
improving processes.

Learning phase
Lessons learned are documented and are the
basis for revision of an organizational approach.

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CMMI

Process notation schemes1

Process notations should represent
• What activities are performed in the process?
• Who does them?
• Why are they done?
• When are they done?
• How are they done?
• What inputs must you have?
• What outputs do you produce?
• How do you measure performance?

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 Process notation schemes2 CMMI
SM

Different notation schemes emphasize different

aspects of a process and, thus, have different
strengths and weaknesses.
Different notations may or may not have the
ability to conveniently represent
• sequencing of activities
• timing of activities
• data flow among activities
• hierarchical detail
• entry and exit criteria
• narrative information
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CMMI

Process notation schemes3

Other notation scheme attributes
• flexibility
• simplicity
• ease of training and understanding
• availability of tool support

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CMMI

Common process notations

• data flow diagrams
• flowcharts
• decision trees
• check lists
• task descriptors (narratives)
• activity diagrams (UML)
• functional flow block diagrams
• IDEF0

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 Simplified notation CMMI
SM

Flow chart to show activity sequencing

supplemented with activity details as structured narrative

•I•DENTIFY • •D•ETERMINE •
•P•ROBLEM •D•ISPOSITION
•Operator •OASB

•SCF •Decision to
•make change
•V•ALIDATE •
•P•ROBLEM •E•NTER • SCF-R•ELATED •
•I•NFO ••INTO • D•ATABASE
•Senior Analyst
•OASB Secretariat

•Validated
•SCF

•R•OUTE • SCF •TO•

•A•FFECTED • G•ROUPS •O•THER • •No
•OASB Secretariat •S•ITES •
•A•SSIGN • P•RIORITY •
•A•FFECTED •
•FOR • C•HANGE
•?
•Unknown

•P•ERFORM • T•ECHNICAL • •Yes

•& C•OST • A•NALYSIS
•AFMC/SSSG •D•ETERMINE • •M•AKE • S•OFTWARE •
•D•ISPOSITION •C•HANGE
•Each Affected Site •Software Engineers

•R•EVIEW • •Decision to
•make change
•R•ECOMMENDATIONS
•OASB Secretariat •D•ETERMINE • •V•ERIFICATION • &
•D•ISPOSITION •V•ALIDATION
•ITW/AA OAP (ASPC) •Certification Board

•D•ETERMINE • •Decision to
•D•ISPOSITION •make change
•Site OARB

•Decision to
•make change

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CMMI

Activity details

Activity Details
Activity • What is the purpose of this activity?
1 • Who participates in this activity?
• What are the inputs needed to perform the activity?
• What are the work products that are generated
by this activity?
Activity • How do you know when this activity should begin?
2 • How do you know when the activity has successfully
completed?
• What do you do to accomplish this activity?
What are the 3-6 subactivities that you perform to
Activity accomplish this activity?
3 • How do you determine or measure the performance
of this activity?
• What activity is performed prior and after this one?

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 Maturity levels
SM
CMMI

Optimizing
5 Focus on process
improvement

Quantitatively
4 Process measured Managed
and controlled

Process characterized for Defined

3
the organization and is
proactive
Managed
2 Process characterized
for projects and is often
reactive
Initial
1 Process
unpredictable,
poorly controlled,
and reactive

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 Process areas CMMI
SM

A process area (PA) is a cluster of related practices in

an area that, when performed collectively, satisfy a set
of goals considered important for making significant
improvement in that area.

Practices are actions to be performed to achieve the

goals of a process area.

All CMMI process areas are common to both

continuous and staged representations.

A process area is NOT a process description.

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CMMI

Level Focus Process Areas

Continuous Quality
Process Organizational Innovation and Deployment Productivity
5 Optimizing Causal Analysis and Resolution
Improvement
4 Quantitatively Quantitative Organizational Process Performance
Managed Management Quantitative Project Management

Requirements Development
Technical Solution
Product Integration
Verification
Validation
Organizational Process Focus
3 Defined Process
Organizational Process Definition
Standardization Organizational Training
Integrated Project Management for IPPD
Risk Management
Integrated Teaming
Integrated Supplier Management
Decision Analysis and Resolution
Organizational Environment for Integration
Requirements Management
Project Planning
Basic Project Monitoring and Control
2 Managed Project Supplier Agreement Management
Management Measurement and Analysis
Process and Product Quality Assurance
Configuration Management
Risk,
Rework
1 Initial
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 CMMI Model Process Areas
SM
CMMI

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 CMMI applied to your life CMMI
SM

High School
College B.S.
Graduate School M.S.
Buy a car
Get married
Have children
Did you plan the process?
Did you discover and manage requirements?
Did you use a formal analysis process for
important decisions?
Does your family work as a team?
Do you try to improve your personal
processes?*
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 Level 2 process areas1
SM
CMMI

Project Planning The purpose of PP is to establish and

maintain plans that define project activities.

Project Monitoring and Control The purpose of PMC is

to provide understanding of the project’s progress
so that appropriate corrective actions can be taken
when the project’s performance deviates
significantly from the plan.

Requirements Management The purpose of REQM is to

manage the requirements of the project’s products
and product components and to identify
inconsistencies between those requirements and
the project’s plans and work products.

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 Level 2 process areas2 CMMI
SM

Supplier Agreement Management The purpose of SAM is

to manage the acquisition of products and services
from suppliers for which there exists a formal
agreement.

Measurement and Analysis The purpose of MA is to

develop and sustain a measurement capability that is
used to support management information needs.

Process and Product Quality Assurance The purpose of

PPQA is to provide staff and management with
objective insight into the processes and associated
work products.

Configuration Management The purpose of CM is to

establish and maintain the integrity of the work
products using configuration identification,
configuration control, configuration status accounting,
and configuration audits.
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 Level 3 process areas1 CMMI
SM

Requirements Development The purpose of RD is to

produce and analyze customer, product, and product
component requirements.

Technical Solution The purpose of TS is to develop,

design, and implement solutions to requirements.

Product Integration The purpose of PI is to assemble the

product from the product components, ensure that the
product, as integrated, functions properly, and deliver
the product.

Verification The purpose of VER is to assure that the

selected work products meet their specified
requirements.

Validation The purpose of VAL is to demonstrate that a

product or product component fulfills its intended use
when placed in its intended environment.
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 Level 3 process areas2 CMMI
SM

Integrated Project Management The purpose of IPM is to

establish and manage the project and the involvement
of the relevant stakeholders according to an integrated
and defined process that is tailored from the
organization’s set of standard processes.

Integrated Teaming The purpose of IT is to form and

sustain an integrated team for the development of
work products.

Decision Analysis and Resolution The purpose of DAR is

to analyze possible decisions using a formal
evaluation process that evaluates identified
alternatives against established criteria.

Risk Management The purpose of RSKM is to identify

potential problems before they occur, so that risk-
handling activities may be planned and invoked as
needed across the life cycle to mitigate adverse
impacts on achieving objectives.
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 Level 3 process areas3 CMMI
SM

Organizational Process Focus The purpose of OPF is to

plan and implement organizational process
improvement based on a through understanding of
current strengths and weakness of the organization’s
processes.

Organizational Process Definition The purpose of OPD is

to establish and maintain a usable set of organizational
process assets.

Organizational Training The purpose of OT is to develop

the skills and knowledge of people so they can perform
their roles effectively and efficiently.

Organizational Environment for Integration The purpose of

OEI is to provide an integrated product and process
development infrastructure and manage people for
integration.
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 Level 4 process areas CMMI
SM

Organizational Process Performance The purpose of

OPP is to establish and maintain a quantitative
understanding of the performance of the
organization’s set of standard processes, and to
provide the process performance data, baselines,
and models to quantitatively manage the
organization’s projects.

Quantitative Project Management The purpose of QPM

is to quantitatively manage the project’s defined
processes to achieve the project’s established
quality and process performance objectives.

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 Level 5 process areas CMMI
SM

Organizational Innovation and Deployment The

purpose of OID is to select and deploy incremental
and innovative improvements that measurably
improve the organization’s processes and
technologies.

Causal Analysis and Resolution The purpose of CAR

is to identify causes of defects and other problems
and take action to prevent them from occurring in
the future.

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Homework CMMI

Go through the list of CMMI process areas and

state whether or not you think that I used
that process in designing and managing this
course, SIE-454/554A.
Give examples of what I did do and examples
of what I could have done.

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CMMI

Specific Goals (SG)

A specific goal applies to a process area and
addresses the unique characteristics that
describe what must be implemented to
satisfy the process area.
Example from the DAR process area:
SG 1 Evaluate Alternatives.

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CMMI

Specific Practices (SP)

A specific practice is an activity that is
considered important in achieving the
associated specific goal.
Practices are the major building blocks in
establishing the process maturity of an
organization.

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 Specific DAR ExampleCMMI SM

Practice Specific Practice Name

Number
1.1 Decide if formal evaluation When to do a
process is warranted trade study

1.2 Establish Evaluation Criteria What is in a

1.3 Identify Alternative Solutions good trade
study
1.4 Select Evaluation Methods
1.5 Evaluate Alternatives
1.6 Select Preferred Solutions

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CMMI
The Decision Analysis and Resolution (DAR) Process

Decision to
Not Proceed Establish Evaluation
Evaluation
Criteria Criteria

Decide if
Selection Formal Problem Select Evaluate Select Preferred
Problem
Evaluation
Statement
Evaluation S Alternatives Solutions Solutions
Process is Methods
Warranted

Ide ntify Formal Manage the DAR

Alternative
Solutions Evaluations process

Expert
Proposed Review Recommendation
These tasks are drawn Alternatives
serially, but they are not
Present
performed in a serial Results to
manner. Rather it is an Decision
Maker
iterative process with
many unshown feedback
loops. Put in PAL

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 Generic Goals (GG)
SM
CMMI

Achievement of a generic goal in a process

area signifies improved control in planning
and implementing the processes associated
with that process area.
• Generic goals are called “generic”
because the same goal statement appears
in multiple process areas.
• Each process area has only one generic
goal at each level.

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 Level 2 generic goal CMMI
SM

The generic goal for all maturity level 2

process areas is:
GG 2: The xxx process is institutionalized as
a managed process.

A managed process is a performed process

that is planned and executed in accordance
with policy; employs skilled people having
adequate resources to produce controlled
outputs; involves relevant stakeholders; is
monitored, controlled, and reviewed; and is
evaluated for adherence to its process
description.

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CMMI

Generic Practices (GP)

Generic practices are activities that ensure
that the processes associated with the
process area will be effective, repeatable,
and lasting.
Generic practices contribute to the
achievement of the generic goal when
applied to a particular process area.

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CMMI

Generic Practices Under GG 21

Generic practices for all maturity level 2
process areas:
GP 2.1: Establish an Organizational Policy
Establish and maintain an organizational policy
for planning and performing the xxx process.
GP 2.2: Plan the Process
Establish and maintain the plan for performing
the xxx process.

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CMMI

Generic Practices Under GG 22

GP 2.3: Provide Resources
Provide adequate resources for performing the
xxx process, developing the work products, and
providing the services of the process.
GP 2.4: Assign Responsibility
Assign responsibility and authority for performing
the process, developing the work products, and
providing the services of the xxx process.
GP 2.5: Train People
Train the people performing or supporting the xxx
process as needed.

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 Generic Practices Under GG 23
SM
CMMI

GP 2.6: Manage Configurations

Place designated work products of the xxx
process under appropriate levels of
configuration management.
GP 2.7: Identify and Involve Relevant
Stakeholders
Identify and involve the relevant stakeholders of
the xxx process as planned.
GP 2.8: Monitor and Control the Process
Monitor and control the xxx process against the
plan for performing the process and take
appropriate corrective action.

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CMMI

Generic Practices Under GG 25

GP 2.9: Objectively Evaluate Adherence
Objectively evaluate adherence of the xxx process
against its process description, standards, and
procedures, and address non-compliance.
GP 2.10: Review Status with Higher Level Management
Review the activities, status, and results of the xxx
process with higher level management and resolve
issues.

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 Product Development Process CMMI
SM

Deployment-Improvement
ISO wants us to plan, control
and improve our processes
ISO

Deploy Measure
Raytheon standard CMMI measures the
processes guide “goodness” of our
our business processes and the
effectiveness of
deployment

Improve
Following R6σ methods, we use
CMMI metrics to guide
improvements to our processes and
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