cmmi

1. CAPABILITY MATURITY
MODEL INTEGRATION
(CMMI®)
A workshop presentation
for the NITDA STRATEGIC
CAPACITY BUILDING FOR
CEOs AND HEADS OF
MDAs
28 November 2020

2. AGENDA
oCommon Project/Process Challenges
oCMMI Insight
oCMMI – Body of Knowledge
oCCMI – History
oWhy CMMI?
oModels of CMMI
oStaged CMMI
oContinuous CMMI
oAppraisals
oConclusion
oReferences

3. COMMON PROJECT/PRODUCT/PROCESS
CHALLENGES

4. IMMATURE VS MATURE
ORGANISATIONS
An immature organization would
have the following characteristics
−
Process improvised during
project
Approved processes being
ignored
Reactive, not proactive
Unrealistic budget and schedule
Quality sacrificed for schedule
No objective measure of quality
A mature organization would
have the following
characteristics −
Inter-group communication
and coordination
Work accomplished according
to plan
Practices consistent with
processes
Processes updated as
necessary
Well-defined
roles/responsibilities

5. WHAT IS CMM? …1/2
CMM stands for Capability Maturity Model.
Focuses on elements of essential practices and processes from various bodies
of knowledge.
Describes common sense, efficient, proven ways of doing business (which you
should already be doing) − not a radical new approach.
CMM is a method to evaluate and measure the maturity of the software
development process of an organization.
CMM measures the maturity of the software development process on a scale of
1 to 5.
CMM v1.0 was developed by the Software Engineering Institute (SEI) at
Carnegie Mellon University in Pittsburgh, USA.

6. WHAT IS CMM? …2/2
CMM was originally developed for Software Development and Maintenance but
later it was developed for −
•Systems Engineering
•Supplier Sourcing
•Integrated Product and Process Development
•People CMM
•Software Acquisition
CMM Examples
•People CMM − Develop, motivate and
retain project talent.
•Software CMM − Enhance a software
focused development and maintenance
capability.

7. WHAT IS CMMI?
What is CMMI?
CMM Integration project was formed to sort out the problem of using multiple
CMMs. CMMI product team's mission was to combine three Source Models into
a single improvement framework for the organizations pursuing enterprise-
wide process improvement. These three Source Models are −
Capability Maturity Model for Software (SW-CMM) - v2.0 Draft C.
Electronic Industries Alliance Interim Standard (EIA/IS) - 731 Systems
Engineering.
Integrated Product Development Capability Maturity Model (IPD-CMM) v0.98.
CMM Integration
•Builds an initial set of integrated models.
•Improves best practices from source models based on
lessons learned.
•Establishes a framework to enable integration of future
models.

8. CMMI DEFINITIONS
The Capability Maturity Model Integration (CMMI®) is a
process and behavioral model that helps organizations
streamline process improvement and encourage productive,
efficient behaviors that decrease risks in software, product and
service development.
It is a capability improvement model that can be adapted to
solve any performance issue at any level of the organization in
any industry
The Model provides guidelines and recommendations for
helping your organization diagnose problems and improve
performance.

9. CMMI BODY OF
KNOWLEDGE
4 Major bodies of knowledge
are important for selecting a
CMMI Model:
Systems Engineering – SE CMM
Software Engineering – SW CMM
Integrated Product and Process
Development – IPD CMM
Supplier Sourcing/ Organizational
Workforce Capability Development
(People CMM) Developed.

10. HISTORY OF CMMI (…1/2)
In the 1980s, a Standish Group study found that over 30% of all large software
projects failed to be delivered, and of those delivered, 80% failed to be delivered on
time and within budgetary provisions.
To address this problem and also lower overall cost of buying software, the
Department of Defense funded the Software Engineering Institute (SEI) at Carnegie
Mellon University to find ways to help defense contractors build software more
economically. This became the Capability Maturity Model (CMM) which eventually
expanded into the CMMI of today as a very business tool and competitive
differentiator.
The first CMMI model (V1.02) was designed for use by development organizations
in their pursuit of enterprise-wide process improvement and was released in 2000.
Two years later (in 2002) Version 1.1 was released and four years after that (2006),
Version 1.2 was released.

11. HISTORY OF CMMI (…2/2)
1987 1991 1995 1997 2000 2002
First CMM
Published
Model Refined
and Published as
SW-CMM v1.0
SW-CMM v1.1
Published
1993
Software Acquisition (SA-CMM),
Systems Engineering (SE-CMM),
Integrated Product Development (IPD-CMM),
Organizational Workforce Capability Development (People CMM)
Developed
CMMI Initiative
Launched
CMMI-SE/SW
Version 1.0
Published
CMMI-SE/SW/IPPD/A
Version 1.1
Published
CMMI Version 1.3
Launched
2010
CMMI Version 2.0
Launched
2018

12. BENEFITS OF CMMI
“The purpose of CMM Integration is
to provide guidance for
improving organizations’
processes and
ability to manage the
development, acquisition, and
maintenance of products or services.”

13. EXAMPLES: COST SAVINGS AT DB
SYSTEMS
Source: Performance Results of CMMI-Based Process Improvement, Aug 2006, Technical Report
CMU/SEI-2006-TR-004
Cost per function
reduced by 52%

14. EXAMPLES: SCHEDULE
IMPROVEMENT AT NCR
Source: Performance Results of CMMI-Based Process Improvement, Aug 2006, Technical Report CMU/SEI-2006-TR-004
Average days schedule
variance reduced from
approximately 130
days to less than 20
days one year after
reaching CMMI maturity
level 2

15. EXAMPLES: PRODUCTIVITY
IMPROVEMENT AT IBM
Over 20 percent
improvement in
account productivity as
the organization moved
from SW-CMM maturity
level 3 toward CMMI
maturity level 5.
Source: Performance Results of CMMI-Based Process Improvement, Aug 2006, Technical Report
CMU/SEI-2006-TR-004

16. EXAMPLES: QUALITY
IMPROVEMENT AT IBM
40 percent reduction in
overall production and over
80 percent reduction in
Severity 1 problems, as the
organization moved from SW-
CMM maturity level 3 toward
CMMI maturity level 5
Source: Performance Results of CMMI-Based Process Improvement, Aug 2006, Technical Report
CMU/SEI-2006-TR-004

17. EXAMPLES: INCREASED CUSTOMER
SATISFACTION IN LOCKHEED MARTIN
MANAGEMENT AND DATA SYSTEMS
Source: Performance Results of CMMI-Based Process Improvement, Aug 2006, Technical Report
CMU/SEI-2006-TR-004
Customer satisfaction most frequently
defined by the results of customer surveys.
 Award fees are sometimes used as surrogate
measures.
An example from Lockheed Martin
Management and Data Systems
 Increased award fees by 55 percent

18. EXAMPLES: INCREASED ROI IN RAETHON
CORPORATION
Source: Performance Results of CMMI-Based Process Improvement, Aug 2006, Technical Report
CMU/SEI-2006-TR-004
ROI defined by cost avoidance measures and improvements
including:
 Rework avoided due to fewer defects
 Improved productivity
 Increased revenue due to shorter cycle times
Example from Raytheon Corporation, anonymous site
 6:1 ROI in a CMMI maturity level 3 organization

19. MODELS OF CMMI
The Software Engineering Institute (SEI) identified 25 total processes and put them into the
CMMI. These processes can be applied in two representations depending on which approach
suits the development/process best:
Staged: Here, organizations may choose
to apply pre-determined processes in a
specific sequence to achieve “maturity” in
managing development.
• Most like other currently accepted
models.
• Maturity scale has 5 Levels.
• Focuses on all process areas
contained within a level
• Used for Maturity Level ratings for
contract awards
• Start with any Process Area within
a level.
oContinuous: Here, organizations may
choose the processes most important to
their business and apply the necessary
rigor to achieve a “capability” for
managing development.
• Was designed to focus on specific,
individual process areas
• Capability scale has 6 Levels
• Process areas are arranged into
functional categories
• Start with any Process Area.
Each organization
may choose the
model that best
fits its needs

20. STAGED CMMI- PROCESS AREA BY
MATURITY LEVEL
 The staged representation is the approach used in the Software CMM.
 It is an approach that uses predefined sets of process areas to define an
improvement path for an organization.
 This improvement path is described by a model component called a
Maturity Level.
 A maturity level is a well-defined evolutionary plateau towards achieving
improved organizational processes.
 Provides a proven sequence of improvements, each serving as a
foundation for the next.
 Permits comparisons across and among organizations by the use of
maturity levels.
 Provides an easy migration from the SW-CMM to CMMI.
 Provides a single rating that summarizes appraisal results and allows

21. CONTINUOUS CMMI- PROCESS AREA
BY CAPABILITY
• Continuous representation is the approach used in the SECM and the IPD-CMM.
• This approach allows an organization to select a specific process area and make
improvements based on it.
• The continuous representation uses Capability Levels to characterize improvement
relative to an individual process area
• Allows you to select the order of improvement that best meets your organization's
business objectives and mitigates your organization's areas of risk.
• Enables comparisons across and among organizations on a process-area-by-process-
area basis.
• Provides an easy migration from EIA 731 (and other models with a continuous
representation) to CMMI.
• Thus Continuous Representation provides flexibility to organizations to choose the
processes for improvement, as well as the amount of improvement required.

22. CONTINUOUS VS STAGED
REPRESENTATIONS
Continuous Representation Staged Representation
Process areas are organized by process area
categories.
Process areas are organized by maturity levels.
Improvement is measured using capability
levels. Capability levels measure the maturity of
a particular process across an organization; it
ranges from 0 through 5.
Improvement is measured using maturity levels.
Maturity levels measure the maturity of a set of
processes across an organization: it ranges from
1 through 5.
There are two types of specific practices: base
and advanced. All specific practices appear in
the continuous representation.
There is only one type of specific practice.
Capability levels are used to organize the
generic practices.
Common features are used to organize generic
practices.
All generic practices are included in each
process area.
Only the level 2 and level 3 generic practices are
included.
Equivalent staging allows determination of a
maturity level from an organization's
There is no need for an equivalence mechanism
to back the continuous representation because

23. THINGS TO NOTE:
• There is one CMMI Model with two representations,
Staged and Continuous
• The material in both representations is the same
just organized differently
• Each representation provides different ways of
implementing processes
• Equivalent Staging provides a mechanism for
relating Maturity Levels to Capability Levels
• The CMMI model should be applied using
intelligence, common sense, and professional
judgment

24. BEHAVIOURS AT THE 5 LEVELS
Initial
Managed
Defined
Quantitatively
Managed
Optimizing
Process is unpredictable,
poorly controlled, and
reactive
Process is characterized
for projects and is often
reactive
Process is characterized
for the organization and
is proactive
Process is measured
and controlled
Focus is on continuous
quantitative improvement
Maturity Level Process Characteristics Behaviors
Focus on "fire prevention";
improvement anticipated and
desired, and impacts assessed.
Greater sense of teamwork and inter-
dependencies
Reliance on defined process. People
understand, support and follow the process.
Over reliance on experience of good
people – when they go, the process
goes. “Heroics.”
Focus on "fire fighting";
effectiveness low – frustration high.

25. STAGED CMMI
Processes are well characterized and understood.
Processes, standards, procedures, tools, etc. are
defined at the organizational (Organization X ) level.
Proactive.
Processes are controlled using statistical
and other quantitative techniques.
Level 5
Initial
Level 1
Processes are unpredictable, poorly controlled, reactive.
Managed
Level 2
Processes are planned, documented, performed, monitored,
and controlled at the project level. Often reactive.
Defined
Level 3
Quantitatively
Managed
Level 4
Optimizing
Process performance continually
improved through incremental and
innovative technological
improvements.

26. MATURITY LEVELS AND PROCESS
AREAS …1/2
Within each of the 5 Maturity Levels, there are basic functions
that need to be performed – these are called Process Areas
(PAs).
For Maturity Level 2 there are 7 Process Areas that must be
completely satisfied.
For Maturity Level 3 there are 11 Process Areas that must be
completely satisfied.
Given the interactions and overlap, it becomes more efficient
to work the Maturity Level 2 and 3 issues concurrently.
Within each PA there are Goals to be achieved and within each
Goal there are Practices, work products, etc. to be followed that
will support each of the Goals.

27. MATURITY LEVELS AND PROCESS
AREAS …2/2
Maturity Level Focus Project Managment Engineering Process Management Support
5
Optimizing
Continuous
Process
Improvement
Organizational Innovation & Deployment Causal Analysis & Resolution
4
Quantitatively
Managed
Quantitative
Management
Quantitative Project Mngt Organizational Process Performance
3
Defined
Process
Standardizatio
n
Integrated Project Mngt
Risk Management
Requirements Development
Technical Solution
Product Integration
Verification
Validation
Organizational Process Focus
Organizational Process Definition
Organizational Training
Decision Analysis & Resolution
2
Managed
Basic Project
Management
Project Planning
Project Monitoring & Control
Supplier Agreement Mngt
Requirements Mngt Measurement & Analysis
Process & Product Quality Assurance
Configuration Mngt
1
Initial

28. MATURITY LEVEL 1: INITIAL
Processes are usually ad hoc and chaotic
Organization usually does not provide a stable environment
Maturity level 1 organizations often produce products and
services that work
Maturity level 1 organizations are characterized by:
 Tendency to over commit
 Abandon processes in the time of the crisis
 Not be able to repeat their past successes

29. MATURITY LEVEL 2: MANAGED …1/2
Organization has
achieved all the specific
and generic goals
Projects of the
organization have
ensured that:
 Requirements are managed
 Processes are planned
 Performed, measured, and
controlled
• REQUIREMENTS MANAGEMENT
The purpose of Requirements Management (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.
• PROJECT PLANNING
The purpose of Project Planning (PP) is to establish and
maintain plans that define project activities.
• PROJECT MONITORING AND CONTROL
The purpose of Project Monitoring and Control (PMC)
is to provide an understanding of the project’s
progress so that appropriate corrective actions can be
taken when the project’s performance deviates
significantly from the plan.
• SUPPLIER AGREEMENT MANAGEMENT
Process Areas

30. MATURITY LEVEL 2: MANAGED …2/2
Organization has
achieved all the specific
and generic goals
Projects of the
organization have
ensured that:
 Requirements are managed
 Processes are planned
 Performed, measured, and
controlled
MEASUREMENT AND ANALYSIS
The purpose of Measurement and Analysis (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 Process and Product Quality Assurance
(PPQA) is to provide staff and management with objective
insight into processes and associated work products.
CONFIGURATION MANAGEMENT
The purpose of Configuration Management (CM) is to
establish and maintain the integrity of work products
using configuration identification, configuration control,
configuration status accounting, and configuration audits.
Process Areas

31. MATURITY LEVEL 3: DEFINED …1/2
Processes are well
characterized, and
understood, are
described in
standards,
procedures, tools
and methods
The organizations
set of standard
processes, is
established and
improved over
time
Establishing
consistency across
the organization
REQUIREMENTS DEVELOPMENT
The purpose of Requirements Development (RD) is to produce and analyze
customer, product, and product component requirements.
TECHNICAL SOLUTION
The purpose of Technical Solution (TS) is to design, develop, and
implement solutions to requirements. Solutions, designs, and implementations
encompass products, product components, and product-related lifecycle
processes either singly or in combination as appropriate.
PRODUCT INTEGRATION
The purpose of Product Integration (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 Verification (VER) is to ensure that selected work products
meet their specified requirements.
VALIDATION
The purpose of Validation (VAL) is to demonstrate that a product or
product component fulfills its intended use when placed in its intended
environment.
DECISION ANALYSIS AND RESOLUTION
Process Areas

32. MATURITY LEVEL 3: DEFINED …2/2
Processes are well
characterized, and
understood, are
described in
standards,
procedures, tools
and methods
The organizations
set of standard
processes, is
established and
improved over time
Establishing
consistency across
the organization
• ORGANIZATIONAL TRAINING
The purpose of Organizational Training (OT) is to develop the skills
and knowledge of people so they can perform their roles effectively and
efficiently.
ORGANIZATIONAL PROCESS FOCUS
The purpose of Organizational Process Focus (OPF) is to plan,
implement, and deploy organizational process improvements based on a
thorough understanding of the current strengths and weaknesses of the
organization’s processes and process assets.
ORGANIZATIONAL PROCESS DEFINITION
The purpose of Organizational Process Definition (OPD) is to
establish and maintain a usable set of organizational process assets and
work environment standards.
INTEGRATED PROJECT MANAGEMENT
The purpose of Integrated Project Management (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.
RISK MANAGEMENT
The purpose of Risk Management (RSKM) is to identify potential
Process Areas

33. MATURITY LEVEL 4: QUANTITATIVELY
MANAGED
Subprocesses are selected that
significantly contribute to
overall process performance
As criteria in managing
process the quantitative
objects for quality are
established
Quantitative objectives are
based on:
 Needs of a customer
 End users
 Organization
 Process implements
For these processes, detailed
measures of process
performance are collected and
statistically analyzed
ORGANIZATIONAL PROCESS PERFORMANCE
The purpose of Organizational Process
Performance (OPP) is to establish and maintain a
quantitative understanding of the performance of
the organization’s 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 organization’s projects.
QUANTITATIVE PROJECT MANAGEMENT
The purpose of Quantitative Project
Management (QPM) is to quantitatively manage the
project’s defined process to achieve the project’s
established quality and process-performance
objectives.
Process Areas

34. MATURITY LEVEL 5: OPTIMISING
Focuses on continually
improving process
performance through:
 Incremental technological
improvements
 Innovative technological
improvements
Both processes are the
organization’s set of
measurable improvement
activities
ORGANIZATIONAL INNOVATION AND DEPLOYMENT
The purpose of Organizational Innovation and
Deployment (OID) is to select and deploy incremental
and innovative improvements that measurably improve
the organization’s processes and technologies. The
improvements support the organization’s quality and
process-performance objectives as derived from the
organization’s business objectives.
CAUSAL ANALYSIS AND RESOLUTION
The purpose of Causal Analysis and Resolution
(CAR) is to identify causes of defects and other
problems and take action to prevent them from
occurring in the future.
Process Areas

35. CMMI CAPABILITY LEVELS
A capability level is a well-defined evolutionary plateau describing the
organization's capability relative to a process area
A capability level consists of related specific and generic practices for a
process area that can improve the organization's processes associated with
that process area.
Each level is a layer in the foundation for continuous process improvement.
Thus, capability levels are cumulative, i.e., a higher capability level includes
the attributes of the lower levels.
In CMMI models with a continuous representation,
there are six capability levels designated by the
numbers 0 through 5.
0 − Incomplete
1 − Performed
2 − Managed
3 − Defined
4 − Quantitatively Managed
5 − Optimizing

36. CMMI CAPABILITY LEVELS EXPLAINED
…1/3
Capability Level 0: Incomplete
An "incomplete process" is a process that is either not performed or partially
performed. One or more of the specific goals of the process area are not
satisfied and no generic goals exist for this level since there is no reason to
institutionalize a partially performed process.
This is tantamount to Maturity Level 1 in the staged representation.
Capability Level 1: Performed
A Capability Level 1 process is a process that is expected to perform all of the
Capability Level 1 specific and generic practices. Performance may not be
stable and may not meet specific objectives such as quality, cost, and schedule,
but useful work can be done. This is only a start, or baby-step, in process
improvement. It means that you are doing something but you cannot prove
that it is really working for you.

37. CMMI CAPABILITY LEVELS EXPLAINED
…2/3
Capability Level 2: Managed
A managed process is planned, performed, monitored, and controlled for
individual projects, groups, or stand-alone processes to achieve a given
purpose. Managing the process achieves both the model objectives for the
process as well as other objectives, such as cost, schedule, and quality
Capability Level 3: Defined
A capability level 3 process is characterized as a "defined process." A defined
process is a managed (capability level 2) process that is tailored from the
organization's set of standard processes according to the organization's
tailoring guidelines, and contributes work products, measures, and other
process-improvement information to the organizational process assets.

38. CMMI CAPABILITY LEVELS EXPLAINED
…3/3
Capability Level 4: Quantitatively Managed
A capability level 4 process is characterized as a "quantitatively managed
process." A quantitatively managed process is a defined (capability level 3)
process that is controlled using statistical and other quantitative techniques.
Quantitative objectives for quality and process performance are established
and used as criteria in managing the process. Quality and process performance
is understood in statistical terms and is managed throughout the life of the
process.
Capability Level 5: Optimising
An optimizing process is a quantitatively managed process that is improved,
based on an understanding of the common causes of process variation
inherent to the process. It focuses on continually improving process
performance through both incremental and innovative improvements. Both the
defined processes and the organization's set of standard processes are the
targets of improvement activities

39. ORGANIZATION OF PROCESS AREAS IN
CONTINUOUS REPRESENTATION

40. APPRAISALS
The CMMI Appraisal is an examination of one or more processes by a trained team of
professionals using an appraisal reference model as the basis for determining
strengths and weaknesses of an organization
Appraisals consider three categories of model components as defined in the CMMI −
•Required − specific and generic goals only.
•Expected − specific and generic practices only.
•Informative − includes sub-practices and typical work products.
The SEI has released two guiding documents for CMMI assessments −
 Appraisal Requirements for CMMI (ARC) − It contains the requirements for three
classes of appraisal methods Class A, Class B, and Class C. These requirements are
the rules for defining each class of appraisal method.
 Standard CMMI Appraisal Method for Process Improvement (SCAMPI) − Method
Description Document (MDD) is currently the only approved Class A appraisal
method.

41. SCAMPI CLASS A APPRAISAL
A SCAMPI Class A appraisal is typically conducted when an organization has
implemented a number of significant process improvements and needs to
formally benchmark its process relative to the CMMI. A SCAMPI A is the only
appraisal method that provides CMMI Maturity Level or Capability Level
ratings.
You can expect following outcomes from a SCAMPI A −
•A Maturity Level rating or Capability Level ratings.
•Findings that describe the strengths and weaknesses of your organization's
process relative to the CMMI.
•Consensus regarding the organization's key process issues.
•An appraisal database that the organization can continue to use, to monitor
process improvement progress and to support future appraisals

42. SCAMPI CLASS C APPRAISAL
SCAMPI C appraisals are shorter and more flexible than SCAMPI A and
B appraisals and are conducted to address a variety of special needs,
from a quick gap analysis to determining an organization's readiness
for a SCAMPI A
SCAMPI C appraisals are often performed for reasons such as −
Provide a quick gap analysis of an organization's process relative to
the CMMI.
Assess the adequacy of a new process before it is implemented.
Monitor the implementation of a process.
Determine an organization's readiness for a SCAMPI A.
Support the selection of a supplier.

43. OUTCOMES OF CLASS C APPRAISAL
You can expect following outcomes from a SCAMPI C −
•Findings that describe the strengths and weaknesses of the assessed
processes. Depending on the appraisal scope and strategy, findings
may be mapped to the relevant CMMI components.
•Characterizations that summarize the adequacy of the assessed
processes vis-a-vis the CMMI.
•Recommended process improvement actions.

44. APPRAISAL CLASS CHARACTERISTICS
Characteristics Class A Class B Class C
Amount of
objective evidence
gathered
High Medium Low
Rating generated Yes No No
Resource needs High Medium Low
Team size Large Medium Small
Data sources
(instruments,
interviews, and
documents)
Requires all three
data sources
Requires only two
data sources (one
must be
interviews)
Requires only one
data source
Appraisal team
leader
requirement
Authorized Lead
Appraiser
Authorized Lead
Appraiser or
person trained
and experienced
Person trained
and experienced

45. CONCLUSION
Many organizations can and have benefited from the use of
CMMI globally, in many ways. Some of these include:
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.
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
Use a SCAMPI to guide your implementation, measure
your progress, and verify your achievements.

46. THANK
YOU!