Değerli, M. (2020). Practical Suggestions to Successfully Adopt the CMMI V2.0 Development for Better Process, Performance, and Products. 5th International Conference on Computer Science & Engineering (UBMK 2020). 10.1109/UBMK50275.2020.9219438 - https://ieeexplore.ieee.org/xpl/conhome/9212329/proceeding

1. Practical Suggestions to Successfully Adopt the
CMMI V2.0 Development for Better Process,
Performance, and Products
Mustafa DegerL
Graduate School ofInformatics
Middle East Technical University
Ankara, Turkey
mustafa.degerli@metu.edu.tr
Abstract—A significant number of the organizations in
systems and software development industry are interested in the
Capability Maturity Model Integration (CMMI) for better
processes, performance, and products. The CMMI Institute has
lately released version 2 (V2.0) of the CMMI and all interested
organizations need to do the transition. This transition journey
obliges some planned and devoted efforts. In this paper, I share
the relevant experiences in adopting the new version of the
model and the specifics of the pertinent transition journey for
an organization. Specifically, I purposefully give information
about how new and most significantly changed practice areas
can be addressed. Besides, I give details about the novel gap
analysis report template that I crafted to be used in analyzing
the gaps to become compliant. Moreover, the original transition
plan template that I created to manage and implement the
transition process is provided. I think these noble distillations
and experiences are going to be beneficial for organizations in
successfully adopting the new model for better processes,
performance, and products.
Keywords—CMMI V2.0, development, improvement, process,
performance, transition
I. In t r o d u c t io n
Quality is there to meet relevant needs and provide
satisfaction to stakeholders [1], Owing to this, a noteworthy
number of organizations are constantly interested in practices
to ensure the expected quality. Besides, given the harsh
competitive conditions, many systems and software
development organizations mostly look for better processes,
performance, and products. As people, processes, and
technologies are the main drivers of the quality, organizations
pay distinctive attention to processes that they use to develop
and deliver their products (goods and services).
In general, organizations invest in process improvements
to attain better quality and performance. We know that all
roads lead to Rome. Yet, the culture and contextual realities
of an organization shall govern the selection of a process
improvement technique. Besides, the process of improvement
journey must never stop [2], Moreover, principal success
factors for process improvements can be listed as management
commitment, staff involvement, allocated resources, and pilot
projects. Conversely, major barriers for process improvements
may be itemized as lack of resources, inexperienced staff,
organizational politics, and time pressure [3],
Additionally, the Capability Maturity Model Integration
(CMMI) is a relatively popular model for process and
performance improvements. As reported by the CMMI
Institute [4], CMMI appraisals by year increase each year, and
specifically in 2019 there are more than 3000 appraisals
conducted while this number also was greater than 3000 in
2018. Besides, since 2008, there have been more than 23,000
appraisals conducted worldwide, 109 of which completed in
Turkey and 4392 of which done in the US. Furthermore,
CMMI is not a silver bullet, yet it is something remarkably
useful and beneficial for engineering and management
practices for systems and software development organizations
[5], Moreover, the CMMI Institute reported [6] that
performance results of CMMI V2.0 adoption are: Increased
productivity (14%), reduced rework (70%), increased
profitability (57%), rate of on-time delivery (97%), reduction
of the defect (20%), and improved estimation accuracy (17%).
Likewise, in a study [7], it was concluded that professionals
and managers working in software industries of different
countries decisively recognize that the CMMI contributed to
notable improvements.
Lately, the CMMI Institute has released version 2 of the
CMMI [8] and all involved organizations need to do the
transition. In this context, the CMMI Appraisal Method
Definition Document was also updated to version 2 in order to
comply with the CMMI V2, to provide more flexibility, to
highlight the focus on performance improvement, and to
improve dependability and credibility [9].
II. A d d r e s s in g N e w & M o s t Sig n if ic a n t l y Ch a n g e d
P r a c t ic e A r e a s
With version 2 of the CMMI, there are some new and
significantly changed practice areas. Fig. 1 shows the details.
Fig. 1. New and most significantly changed practice areas.
A. NewPracticeAreas
Estimating'. This practice area includes forecasting the
size, effort, and cost. Especially considering the “size”,
organizations need to do forecasting. Organizations might
define and deploy estimation process assets (guidelines and
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2. pertinent forms) to comply with the intent and value of this
practice area. Since the size estimation is highlighted in the
new version, organizations should specifically take this
concern into account.
Peer Reviews'. This practice area includes practices for
identifying solution defects or issues. In the previous versions
of the CMMI, this practice was covered under verification
practices. However, in the new version, peer reviews become
a new practice area with a very special focus on performance
improvements. Therefore, organizations need to revise their
pertinent process assets with a sound focus on performance
improvements.
Governance'. This practice area provides guidance to
senior management on their role in ensuring that work is
performed in a way that is relevant and important to the
business and organization. This is another new practice area
in version 2 of the CMMI. At this point, an important point is
that the governance is the only practice area where the actors
and responsible people to perform the process are clearly
noted, who are senior management. By the way, if
organizations are already performing strategic planning and
management practices, they are somehow lucky for this
context as the expectations of this practice can easily be
merged into the pertinent strategic management practices.
Nonetheless, other organizations might define and deploy a
devoted “Governance Process” and pertinent process assets
(e.g. presentation templates covering practices defined in the
practice area, action item logs, minutes of meetings, etc.).
Implementation Infrastructure'.This practice area provides
a framework that ensures the processes of an organization are
persistently used and improved. Normally, organizations may
refine their own process management processes to comply
with the expectations of this new practice area. As the old
“generic practices” became new “practice areas” (governance
and implementation infrastructure) in the new version of the
CMMI, it is a good idea to merge the expectations of this
practice area into the organization’s already defined process
management process and/or relevant process assets.
B. Significantly Changed Practice Areas
Managing Performance and Measurement'. This practice
area ensures that benefits and business objectives are the
leading factors driving performance and improvement. A very
important change and reality is that now CMMI is more
focused on performance improvements. In the old days, if
organizations are not interested in the high maturity (maturity
level 4 and 5), they weren’t extensively interested in
performance improvements in detail. However, with the
version 2 of the CMMI, all organizations, irrespective of the
maturity level they target, need to address performance
improvements. That’s why there is a significant change in this
practice area. Organizations shall revisit all of their critical
processes and practices with a sound performance
improvement focus to comply with the CMMI V2.
Risk Management and Opportunity Management'. This
practice area ensures identifying threats and opportunities, and
evaluating their likelihood of occurrence and impact. What is
new here is the opportunity management. In addition to
threats, now organizations need to address opportunities. A
solution for organizations may be refining their risk
management processes and relevant process assets to include
not only threats but also opportunities in the scope of risk
management.
Verification and Validation: This practice area ensures
requirements are met and solutions function as intended in
target environments. Plainly, the old two verification and
validation process areas now became a single practice area
with a sole focus on performance improvements. There is not
many things to do for organizations other than refining their
defined processes with a sound performance improvement
focus.
Requirements Development and Management: This
practice area ensures developing and keeping updated a
common understanding of needs and expectations. Definitely,
the old two requirements development and requirements
management process areas now became a single practice area
with a net focus on performance improvements. There is not
many things to do for organizations except for refining their
already defined relevant process assets with a solid
performance improvement focus.
III. Ga p An a l y s is Re po r t Te mpl a t e
For the relevant transition journey, a very important
preparatory and initial activity must be the comprehensive
analysis of any relevant gaps in order to become fully
compliant with the expectations of the CMMI V2. In this
context, a gap analysis report is going to be highly beneficial
and instrumental.
In this part, I provide the outline and details for the novel
gap analysis report that I crafted. I created this template to let
organizations benefit from in preparing their own reports to
determine points to improve and revise in becoming compliant
with the CMMI V2.
Followings are the main headings and some explanations
concerning the content of the template for gap analysis
reports:
1. Goal
The reasonfor thepreparation ofthis report shall be
documented.
2. References
Pertinent references including applicable process
assets and relevant CMMI clauses must be clearly
referred to with the defining date and revision
details.
3. Intent, Value, Additional Required Practice Area
Information, and Practice Summary
a. Intent
“
Intent”part of therelated practice area
must be copiedform the CMMI V2 and must
be pasted here.
b. Value
“Value”part of therelated practice area
must be copiedform the CMMI V2 and must
be pasted here.
c. Additional Required Information
“
Additional Required Information”part of
the related practice area must be copied
form the CMMI V2 and must be pasted
here.
d. Practice Summary
“
Practice Summary” portion of the
relevantpractice area must be copiedform
the CMMI V2 and must be pasted here.
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3. 4. Analysis Results
A table shall be included and populated with the
following specifics:
• Model’
s practice details
• What is currently done in this context
• Percentage about meeting the model’
s
expectations
• Characterization about needfor an update
on process assets
5. Improvement Opportunities
a. Must Items
Regarding the analysis results, must items
to comply -with the relevantpractice area’
s
intent, value, and the additional required
information must be listed in sufficient
detail.
b. Effort and Time Estimations for Must Items
Effort and time estimations for must items
shall be given shall be given.
c. Nice to Have Items
Regarding the analysis results, nice to have
items to comply with the relevant practice
area’
s explanatory information must be
listed in sufficient detail.
d. Effort and Time Estimations for Nice to
Have Items
Effort and time estimationsfor nice to have
items shall be given.
6. Process Assets to be Updated
A full list of process assets to be updated must be
provided. If there is a need to define new process
asset(s), this should also be documented along with
recommendations, if any.
7. Additional Notes
If there are any additional notes to be taken into
account by the readers of this report, these must be
noted here. If there is nothing to add, a “
None. ”
statement must be -written here.
IV. Tr a n s it io n P l a n Te m p l a t e
In this part, I deliver the outline and descriptive details for
the original transition plan that I created. I crafted this
template to let the organization take advantage of in
formulating their own plans to implement and manage the
transition process to become compliant with the new version.
Relevant changes and improvements must be planned in
sufficient detail in order to manage and implement the change
process effectively and efficiently. This is the main motivation
for me to create this transition plan template.
Followings are the main headings and some clarifications
concerning the content of the template for transition plans:
A. Templatefor the Transition Plan
1. Introduction
a. Goal and Scope
The goal and scope of the plan shall be
documented. It must be explained why this
plan isprepared and -what it includes.
b. References
Both normative and informative references
shall be listed -with date & revision details.
2. Principles
General principles for the transition period must be
listed and explained. Top management’
s policy,
directions, and expectations shall be documented.
General rules shall be clarified in sufficient detail to
let all stakeholders understand the general scheme
and context. Improvement policy and other relevant
documented information might be referred to.
3. Projects
a. Projects Included and Justifications
A list ofprojects included andjustifications
for their inclusions must be provided.
b. Further Steps for Projects Included
A step-by-step to-do list must be provided.
How projects are expected to perform as of
determined date should be clearly
communicated. Relevant organizational
process assets may be referred to.
c. Projects Excluded and Justifications
A list of allprojects excluded andpertinent
legitimatejustificationsfor their exclusions
must be provided in sufficient detail.
4. Departments
A list ofprocesses andprocedures to be implemented
by relevant departments must be explained. For each
department, it must be clearly communicated
regarding what they are expected to do including
answers for why, who, when, where, and how
questions.
5. Reflection of Updates to the Projects Included
A comprehensive table must be provided to include
each and every process asset and their applicability
to projects included. Level, identifier, asset name,
revision number, project identifier, project name,
and relevant justifications must be included in the
pertinent table.
6. Managing Issues during the Implementation of
Transition Plan
As transition periods are somehow complex and
unpredictable to a certain extent, an issue
managementflow shall be documented. Details for
handling issues related to the transition period,
actors, channels, and decision authorities must be
documented.
V. Co n c l u s io n
In this paper, I shared the relevant experiences in adopting
the new version of the CMMI model and the particulars of
related transition ride for an organization. Explicitly, I
provided practical suggestions to address the new and most
significantly changed practice areas, the novel gap analysis
report template to analyze the gaps, and the original transition
plan template to manage and implement the transition process.
Organizations wanting to successfully adopt the new
model for better process, performance, and products might
benefit from these distilled and established suggestions to
easily become compliant with the CMMI V2. Precisely,
organizations may update their relevant process assets and
practices with respect to the suggestions defined in this paper.
Additionally, they can simply reuse the novel gap analysis
report template and the original transition plan template,
defined comprehensively in the paper.
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4. R e f e r e n c e s
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uran's quality handbook. New York": McGraw-Hill, 1999.
[2] KPMG, Beyond CMMI. 2012.
[3] A. A. Khan and J. Keung, “Systematic review of success factors and
barriers for software process improvement in global software
development,” IET S
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, vol. 10, no. 5, pp. 125-135, 2016.
[4] CMMI Institute, CMMIAdoption Trends. 2019.
[5] R. Kenett and E. R. Baker, "Process improvement and CMMI for
systems and software". Boca Raton: Auerbach Publications, 2010.
[6] CMMI Institute, Take Organizational Performance to the Next Level
with CMMI V2.0". 2019.
[7] S. B. D. Oliveira, R. Valle, and C. F. Mahler, “A comparative analysis
of CMMI software project management by Brazilian, Indian and
Chinese companies,” Software Quality.Journal, vol. 18, no. 2, pp. 177—
194, 2009.
[8] CMMI Institute, CMMIDevelopment V2.0. 2019.
[9] CMMI Institute, CMMI Method Definition Document V2.0. 2019.
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