This article describes how the Capability Maturity Model Integration can be supplemented by a new innovation model in promoting innovations within organizations

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Striking the Right Balance between Process Efficiency and
Innovativeness; Supplementing Capability Maturity Model Integration
(CMMi) with a Novel Innovation Process Model
Shanta R Yapa (Doctoral Candidate), Ilkka Kauranen Ph D
Asian Institute of Technology, Thailand
The Capability Maturity Model Integration is increasingly used in the software industry to successfully improve process efficiency.
However, striking the right balance between process efficiency and innovativeness still remains to be a major challenge. This article
shows how innovativeness can be enhanced in the CMMi environment. The CMMi is supplemented with a novel innovation process
model. Two of the process areas of the CMMi model are discussed.
Index Terms- Capability Maturity Models, Innovation process, Software
I.INTRODUCTION striking the right balance between process efficiency and
C
innovativeness by supplementing CMMi with a novel
apability Maturity Model Integration (CMMi) allows
Innovation Process Model. Two of the CMMi process areas
software firms to institutionalize best practices for process
are discussed.
efficiency. In implementation of such a model, all process
areas of operation are studied in detail. In order to ensure
Reaching process efficiency and innovativeness parallel is a
continuous improvement, the same processes are studied again
well-known challenge for the management of all
as and when appropriate. Process efficiency improvement has organizations. A delicate balancing act between play and
become an important paradigm for managing software discipline, ad hoc practices and established processes,
development [1]. The CMMi model helps software firms to creativity and efficiency is required for high levels of
ensure efficiency of all software processes. innovativeness [3].
Innovations are widely accepted as one of the most CMMi covers a wider scope of activities in an organization
important factors for organizations in sustaining their and promoting innovativeness is not the main aim of the
competitiveness [2]. Managing the innovation process within model. It is expected that this model leaves room for increased
firms from idea generation to successful commercialization innovativeness if the model is supplemented with a model that
demands a comprehensive understanding of the various stages specifically aims at enhancing innovativeness. The question
of the process, determinants and best practices of successful whether organizations implementing CMMI are more
organizations. The software industry is no exception to these innovative than other organizations is not discussed in this
requirements. Since a flexible environment encourages article.
innovations more than a controlled environment, the
management should decide on the degree of control imposed
on various processes of the organization. II. Capability Maturity Model Integration (CMMi)
It has become a dynamic challenge for organizations to CMMi for development is a collection of best practices that
maintain a balance between innovativeness and efficiency as emphasizes the work necessary to build and maintain the total
organizations continue to grow and develop, with most product or service in its lifecycle from conception through
companies tending to oscillate between innovativeness and delivery and maintenance. It can be implemented as a
efficiency enhancing modes [3]. The CMMi model makes a continuous representation or a staged representation. Under
software firm to build well established, documented, and the staged representation there are five maturity levels:
communicated processes and practices. It also requires that all
employees adhere to these processes and practices. In order 1. Initial
to exploit the well defined processes and practices in 2. Managed
promoting innovations the managers and key people involved 3. Defined
in software projects should have a thorough understanding of 4. Quantitatively managed
the innovation process to trigger innovation opportunities and 5. Optimizing
facilitate them from idea to commercialization.
The CMMi Version 1.2 of 2006 defines a process area as a
cluster of related practices in an area that, when implemented
The objective of the present article is to help firms in

2. 2
collectively, satisfy a set of goals considered important for looking at new ideas in this process. New ideas of assembling,
making improvement in that area. There are 22 process areas use of alternate components and reusable components need to
classified under the following 4 categories: (1) project be evaluated for technical feasibility and commercial viability.
management, (2) process management, (3) engineering and (4) As shown in the five stage model ideation is followed by
support in CMMi. synthesizing where the new idea is mixed, compared,
evaluated with existing and available technologies before
III. A five stage Innovation Process Model leveraging is done. Leveraging involves evaluation of the
synthesized idea for its commercial viability. This includes
resource availability, affordability, pricing, profitability,
Managing innovations has been accepted as an important
payback etc.
and challenging activity in today’s business firms. However,
lack of understanding of the innovation process and the
The two last stages of the five stage model, namely
complexity of available models tend practicing managers to
application and modification, are equally important in each
consider innovations as accidental, the process a black box
successive phase of building prototypes. Prototypes (virtual,
and their interference a gambling [4].
rapid, or physical) are constructed, evaluated, improved, and
reconstructed based on knowledge gained in the evaluation
Recently a novel innovation model has been developed so
process. As the CMMi model suggests, for software firms
that practicing managers could make use of the model in
there is great potential for innovations to follow the iterative
promoting innovations. This model is based on extensive
steps of constructing, evaluating, improving and
insight into best practices in software industry as well as on
reconstructing. Such innovations can bring results if managed
existing innovation models, including technology push
properly understanding the various stages of the process.
models, market pull models, the coupling theory, interactive
models, and stage gate theory. As part of ongoing testing of
“The degree of virtual versus physical prototyping required
this novel model, the merits of the model in supplementing
depends on the functionality of the design tools, the
CMMi are analyzed in this present article.
complexity of the product, and its associated risk. There is a
high probability that the product, integrated in this manner,
In the innovation model, the process of innovation is
will pass product verification and validation. For some
disintegrated into several meaningful stages namely
products and services, the last integration phase will occur
Imagination (or Ideation), Synthesizing, Leveraging,
when they are deployed at the intended operational site” [5].
Application and Modification. Imagination requires seamless
The five stage innovation process model also emphasizes the
and free thinking that is not constrained by boundaries of
need of feedback and modifications as the last stage of the
existing knowledge, work practices and mindsets.
innovation process. The product integration process in the
Synthesizing is the process of using existing knowledge in the
CMMi model thus gives software firms an enormous
industry to make use of the concept developed in stage one.
opportunity provided that they consciously address the first
Leveraging is the specific use of the new concept now
step of the innovation process model namely ideation. If no
synthesized with existing knowledge and resource availability
new idea is fed the likely result in the end is the planned
of the firm. Once the specific use is identified, the new
outcome. Product and process innovations necessarily begin
concept can be applied. This may include laboratory testing,
with new ideas.
trial delivery, prototyping or commercial production using the
new process or product technology. Through continuous
The Reusable Repository generally prepared by most
feedback the necessary modifications can be done.
CMMi certified software firms can be of immense value as a
quick guide for ideas in input alternatives in commencing the
IV. Process areas selected
product integration process.
Only two process areas have been selected for the
B. Requirement Development
discussion in this present article, namely product integration
and requirements development.
Three types of requirements namely customer requirements,
product requirements and product component requirements
A. Product Integration
which address various needs of relevant stakeholders are
described in this process which comes under Maturity level 2
Product integration is not necessarily a one off assembly of
and under the category of engineering. The requirements may
fabricated components according to the finalized design. It can
include those pertinent to various product lifecycle phases
also be an iterative process where components are assembled
(such as acceptance testing criteria), product attributes (safety,
and evaluated and the process repeated so that more
reliability, maintainability etc), and also constraints caused by
components are assembled and evaluated incrementally. This
the selection of design solutions (such as integration of
process may commence with analyses and simulations (e.g.,
commercial off-the-shelf products).
threads, rapid prototypes, virtual prototypes, and physical
prototypes) and steadily progress through increasingly more
All development projects have requirements. Requirements
realistic incremental functionality until the final product is
are the basis for design. Idea generation, synthesizing and
achieved [5]. Software firms can promote innovations by

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leveraging can help to come up with a better design by technically feasible and commercially viable. To know when
evaluating alternatives. The development of requirements as to leave hierarchy out of the process and when to bring it back
mentioned in the CMMi (2006) includes the following again [3] is a typical challenge faced by an organization with
activities: established practices and the innovation model introduced can
certainly help the managers to make right decisions in this
 Elicitation, analysis, validation, regard.
and communication of customer
needs, expectations, and Capability Maturity Model Integration (CMMi) emphasizes
constraints to obtain customer resource mobilization, technical evaluation of suggestions,
requirements that constitute an prototyping, feedback and modifications in most of the
understanding of what will satisfy processes. The entry criterion, inputs, outputs and exit are also
stakeholders defined. In certain processes, such as Organizational
 Collection and coordination of Innovation and Deployment, the necessity of promoting new
stakeholder needs ideas is highlighted. Relaxing the established procedures and
 Development of the lifecycle thereby shifting from controls to flexibility in order to
requirements of the product encourage innovations is a challenge to the managers. The
 Establishment of the customer proposed innovation model would give practicing software
requirements engineers and managers a clear cut idea of the innovation
 Establishment of initial product process that would supplement CMMi to promote
and product component innovativeness in the industry.
requirements consistent with
customer requirements Appendix 1
The five stage innovation process model can assist software Process Area Category Maturity Level
teams in elicitation, analysis and validation. Two regularly
cited objectives of software process innovations are reducing Causal Analysis & Resolution Support 5
Configuration Management Support 2
development costs through improved developer productivity
Decision Analysis & Support 3
and improving end user satisfaction with the resulting Resolution
software by reducing software defects [6]. Throughout the Integrated Project Project Management 3
phases of the product lifecycle the requirements are identified Management
Measurement & Analysis Support 2
and refined. Design decisions, subsequent corrective actions,
Organizational Innovation & Process Management 5
and feedback during each phase of the product’s lifecycle are Deployment
analyzed for impact on derived and allocated requirements. In Organizational Process Process Management 3
the case of an iterative product lifecycle the use of the Definition
Organizational Process Focus Process Management 3
proposed five stage model will enable the software teams to
Organizational Process Process Management 4
come up with innovative solutions in iterations. Performance
Organizational Training Process Management 3
Product Integration Engineering 3
V. Conclusion
Project Monitoring & Project Management 2
Controlling
Project Planning Project Management 2
A CMMi certified organization is well set to promote
Process & Product Quality Support 2
innovations as the vital processes are identified, documented Assurance
and implemented replicating best practices. Triggering Quantitative Project Project Management 4
innovation in such an environment is relatively easy. A proper Management
Requirements Development Engineering 3
understanding of the innovation process covering the various
Requirements Management Engineering 2
stages of the process and the determinants at each stage would Risk Management Project Management 3
help practicing mangers to promote innovations with Supplier Agreement Project Management 2
confidence. Management
Technical solution Engineering 3
Validation Engineering 3
A major input through the proposed innovation model is the Verification Engineering 3
importance placed on imagination or ideation as the first step
of the process which invites continuous input changes. An
established process would ensure the anticipated outcome, be The Process Areas under CMMi
it a tangible product or a service with minimum deviations. In (Source: CMMi Version 1.2, 2006)
order to have improved and novel products from such a
system, a conscious effort in changing the inputs is necessary.
Innovation in a way is changing factor prepositions for
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