This document discusses the Capability Maturity Model Integrated (CMMI) framework. It provides an overview of CMMI maturity levels and key process areas. A software company president's priorities are discussed, including operating efficiency, predictability, repeatability, and cost/effort control. Obstacles to achieving these goals and how CMMI can help improve a company's ability to achieve its goals are also summarized. Specific CMMI process areas, goals, and practices for project management, engineering, support, and process management are then outlined.

1. CMMI
Capability Maturity Model Integrated

2. Priorities of a Software Company
You are president of a software company.
What are your priorities or goals for operation?
1. Operating Efficiency (speed)
2. Predictability
3. Repeatability (consistency)
4. Cost / effort control
5.

3. Obstacles to Achieving Goals
What do you think are likely to be major obstacles to a
software company's goals?
1. personnel turn-over
2. lack of visibility – few measurements or objective way
to evaluate progress
3. project complexity
4. insufficient skill or knowledge
5. lack of defined processes

4. How to Improve Ability to Achieve
 How can you improve your company's ability to achieve
its goals?
 hire better developers?
 offer more incentives? (pay, ownership, bonuses)
 more training?
 ...training in what?
 use project management software?

5. Claimed Benefits of CMMI
 Predictability
 progress and completion of project follows plan
more closely
 Repeatability
 can reliably estimate new project complexity based
on past performance
 Improved Productivity
 some organizations report 30% reduction in cost
 Better Quality
 following a defined method (that includes testing,
review, and audit) reduces omissions and missed
tasks

6. Process & Quality
The SEI premise:
"the quality of a system or product is highly influenced
by the quality of the process used to develop and
maintain it."

7. Overview of CMMI - Maturity Levels
5
4
3
2
1
0
"Optimizing"
“Quantitatively
Managed"
“Defined"
"Managed"
"Performed"
“Incomplete"
Ad hoc
not repeatable
Has process model
but varies project to
project; repeatable
Process and procedures are
standard, managed, improved
over time
Process measurements; adapt to
problems to reduce variance;
predictable performance
Process is
not followed
Focus on process improvement;

8. CMMI Model
Maturity Level m
Process Area 1 Process Area 2 ...
Specific Goals Generic Goals
• Commitment to Perform
• Ability to Perform
• Directing Implementation
• Verifying Implementation
Generic Practices
Specific Practices

9. What does CMMI offer?
Process Area
Generic Practices
Generic Practices
Generic Goals
Generic Goals
Expected Informative
Informative
Required
KEY:
Purpose
Statement
Introductory
Notes
Related
Process Areas
Subpractices
Subpractices
Specific Goals
Specific Goals
Specific Practices
Specific Practices
Typical Work
Products
Typical Work
Products
Subpractices
Subpractices Subpractices
Generic Practice
Elaborations

10. Key Process Areas
 "Process Areas" are general areas
 They can be grouped into 4 categories:
Process Management
Project Management
Engineering
Support

11. Project Management
 What process areas do you think a software company
should have for "Project Management"?

12. Project Management
PP Project Planning
PMC Project Monitoring and Control
SAM Supplier Agreement Management
IPM Integrated Project Management +IPPD
RSKM Risk Management
QPM Quantitative Project Management
These acronyms are used frequently in CMMI documentation.
IPPD = Integrated Product and Process Development:
processes are developed along with the products they support

13. Engineering Discipline
 What process areas do you think a software company
should have for "Engineering"?

14. Engineering
REQM Requirements Management
RD Requirements Development
TS Technical Solution
PI Product Integration
VER Verification
VAL Validation

15. Support (Supporting Processes)
 What process areas do you think a software company
should have for "Support"?

16. Support
CM Configuration Management
PPQA Process and Product Quality Assurance
MA Measurement and Analysis
DAR Decision Analysis and Resolution
CAR Causal Analysis and Resolution

17. Process Management
 What process areas do you think a software company
should have for "Process Management"?

18. Process Management
OID Organizational Innovation and Deployment
OPD Organizational Process Definition +IPPD
OPF Organizational Process Focus
OPP Organizational Process Performance
OT Organizational Training

19. How to Evaluate a Process Area
 How do you know if your organization's "process"
incorporates a process area?
 Ask project staff?
Answer may be designed to please.

20. Evaluating Process Area
 How do you know if your organization's "process"
incorporates a process area?
1. Must meet "specific goals" of the process area.
and
2. Incorporate "specific practices" for the process
area.
See http://www.software-quality-assurance.org/index.htm
for detailed list of practices, subpractices, & work products

21. Example: Project Planning
SG 1 Establish Estimates
Practices for this goal:
 Estimate the Scope of the Project
 Estimate Work Product & Task Attributes
 Define Project Lifecycle
 Estimate Effort & Cost
See http://www.software-quality-assurance.org/index.htm
for detailed list of practices, subpractices, & work products

22. CMMI Level 2
Managed

23. Level 2 : Managed
At maturity level 2, requirements, processes, work
products, and services are managed.
The status of the work products and the delivery of
services are visible to management at defined points
(for example, at major milestones and at the completion
of major tasks).

24. Level 2 Benefits
The process discipline reflected by maturity level 2 helps
to ensure that practices are retained during times of
stress.
When these practices are in place, projects are
performed and managed according to their plans.
>> This doesn't mean the project will finish according to
plan.

25. Level 2 - Key Process Areas
CMMI suggests ("requires") our company implement
practices in these process areas:
 CM - Configuration Management
 MA - Measurement and Analysis
 PMC - Project Monitoring and Control
 PP - Project Planning
 PPQA - Process and Product Quality Assurance
 REQM - Requirements Management
 SAM - Supplier Agreement Management

26. Activity 1
 For your software projects, write down any practices
your team is using in these areas.
 Be specific!
 Name specific activities for your practices.
 CM - Configuration Management
 MA - Measurement and Analysis
 PMC - Project Monitoring and Control
 PP - Project Planning
 PPQA - Process and Product Quality Assurance
 REQM - Requirements Management
 SAM - Supplier Agreement Management

27. Generic Goals and Practices
 Each process area has specific goals and practices.
 There are also generic goals and practices that apply
to all process areas.

28. Generic Goals GG 1
GG 1 Achieve Specific Goals
 GP 1.1 Perform Specific Practices
Meaning:
Know just write it down... do it!

29. Generic Goals GG2
GG 2 Institutionalize a Managed Process
 GP 2.1 Establish an Organizational Policy
 GP 2.2 Plan the Process
 GP 2.3 Provide Resources
 GP 2.4 Assign Responsibility
 GP 2.5 Train People
 GP 2.6 Manage Configurations
 GP 2.7 Identify and Involve Relevant Stakeholders
 GP 2.8 Monitor and Control the Process
 GP 2.9 Objectively Evaluate Adherence
 GP 2.10 Review Status with Higher Level Mgmt

30. GG2 - connecting the goals
GP 2.1 Establish an
Organizational Policy
GP 2.2 Plan the Process
GP 2.4 Assign Responsibility
GP 2.3 Provide Resources
GP 2.5 Train People
GP 2.7 Identify and Involve
Relevant Stakeholders
GP 2.9 Objectively Evaluate
Adherence
GP 2.8 Monitor and Control the
Process
It needs commitment (from
management) to work
Plan first
Assign the jobs to someone
You need resources to do your
job
You need know-how to do it
Who cares about this? Get
their input
... is the job really being done?
... is it really working?

31. Generic Goals GG3 - GG5
 Apply to CMMI Maturity Levels 3 - 5.
 Ignore them until you are more mature.
CMMI Level 2 Software Engineer:

32. Activity 2: Generic Practices
Did you apply any GG2 practices in your projects?
 GP 2.1 Establish an Organizational Policy
 GP 2.2 Plan the Process
 GP 2.3 Provide Resources
 GP 2.4 Assign Responsibility
 GP 2.5 Train People
 GP 2.6 Manage Configurations
 GP 2.7 Identify and Involve Stakeholders
 GP 2.8 Monitor and Control the Process
 GP 2.9 Objectively Evaluate Adherence
 GP 2.10 Review Status with Higher Level Mgmt

33. Specific Goals and Practices
 OK, we got the general process areas we oughta' have.
 What should we really do?
 PP - Project Planning
 CM - Configuration Management
 MA - Measurement and Analysis
 PMC - Project Monitoring and Control
 PPQA - Process and Product Quality Assurance
 REQM - Requirements Management
 SAM - Supplier Agreement Management

34. PP - Project Planning
Specific Goals and Practices:
SG 1 Establish Estimates
 Estimate the Scope of the Project
 Estimate Work Product & Task Attributes
 Define Project Lifecycle
 Estimate Effort & Cost
See http://www.software-quality-assurance.org/index.htm
for specific subpractices & work products

35. PP - Project Planning (continued)
SG 2 Develop a Project Plan
 Establish the Budget and Schedule
 Identify Project Risks
 Plan for Data Management
 Plan for Project Resources
 Plan for Needed Knowledge and Skills
 Plan Stakeholder Involvement
 Establish the Project Plan

36. Project Planning - subpractices
SP 2.1 Establish the Budget and Schedule
 identify major milestones
 identify task dependencies
 identify constraints
 define a budget and schedule
Work Products
Schedule
Schedule Dependencies
Budget

37. PP - Project Planning (continued)
SG 3 Obtain Commitment to the Plan
 Review Plans
 Reconcile Work and Resource Levels
 Obtain Plan Commitment

38. Activity 3
 What Project Planning practices did you really use?
 Describe the actual activity/practice use used.
 If none, they write "none".

39. CM - Configuration Management
SG 1 Establish Baselines
 Identify Configuration Items
 Establish a Configuration Management System
 Create or Release Baselines
SG 2 Track and Control Changes
 Track Change Requests
 Control Configuration Items
SG 3 Establish Integrity
 Establish Configuration Management Records
 Perform Configuration Audits

40. Activity 4
 What Configuration Management practices did you
really use?
 Describe the actual activity/practice use used.
 If none, they write "none".

41. MA - Measurement & Analysis
SG 1 Align Measurement and Analysis Activities
 Establish Measurement Objectives
 Specify Measures
 Specify Data Collection and Storage Procedures
 Specify Analysis Procedures
SG 2 Provide Measurement Results
 Collect Measurement Data
 Analyze Measurement Data
 Store Data and Results
 Communicate Results

42. PMC - Project Monitoring and Control
SG 1 Monitor Project Against Plan
 Monitor Project Planning Parameters
 Monitor Commitments
 Monitor Project Risks
 Monitor Data Management
 Monitor Stakeholder Involvement
 Conduct Progress Reviews
 Conduct Milestone Reviews
SG 2 Manage Corrective Action to Closure
 Analyze Issues
 Take Corrective Action
 Manage Corrective Action

43. Activity 5
 What Project Monitoring & Control practices did you
really use?
 Describe the actual activity/practice use used.
 If none, they write "none".

44. PPQA - Process & Product QA
SG 1 Objectively Evaluate Processes and Work Products
 Objectively Evaluate Processes
 Objectively Evaluate Work Products and Services
SG 2 Provide Objective Insight
 Communicate and Ensure Resolution of
Noncompliance Issues
 Establish Records

45. PPQA subpractices
SP 1.2 Objectively Evaluate Work Products & Services
 clearly state the criteria for evaluating work products
 use the stated criteria for evaluation
 evaluate products before they are delivered to
customer
 evaluate work products at milestones
 record results of evaluation
 identify lessons learned that could improve processes
in the future

46. Activity 6
 What Product and Process QA practices did you really
use?
 Describe the actual activity/practice use used.
 If none, they write "none".

47. REQM - Requirements Management
SG 1 Manage Requirements
 Obtain an Understanding of Requirements
 Obtain Commitment to Requirements
 Manage Requirements Changes
 Maintain Bidirectional Traceability of Requirements
 Identify Inconsistencies Between Project Work and
Requirements

48. SAM - Supplier Agreement Management
SG 1 Establish Supplier Agreements
 Determine Acquisition Type
 Select Suppliers
 Establish Supplier Agreements
SG 2 Satisfy Supplier Agreements
 Execute the Supplier Agreement
 Monitor Selected Supplier Processes
 Evaluate Selected Supplier Work Products
 Accept the Acquired Product
 Transition Products

49. Beyond Level 2...
Process Areas from Level 3

50. Validation - "do the right thing"
The purpose of Validation is to show that a product
fulfills its intended use in the intended environment.
SG 1 Prepare for Validation
 Select Products for Validation
 Establish the Validation Environment
 Establish Validation Procedures and Criteria
SG 2 Validate Product or Components
 Perform Validation
 Analyze Validation Result

51. Verification - "do the thing right"
The purpose of Verification is to ensure that work
products meet their specified requirements.
SG 1 Prepare for Verification
 ... see documentation
SG 2 Perform Peer Reviews
 SP 2.1 Prepare for Peer Reviews
 SP 2.2 Conduct Peer Reviews
 SP 2.3 Analyze Peer Review Data
SG 3 Verify Selected Work Products
 ... see documentation

52. Process Assets
Artifacts that describe, implement, and improve
processes.
Includes:
 Organization’s set of standard processes, including the
process architectures and process elements
 Descriptions of approved life-cycle models
 Guidelines and criteria for tailoring a standard process
 Organization’s measurement repository
 Organization’s process asset library

53. Measurement Repository
 Repository used to collect and make available
measurement data on processes and work products
Examples:
 estimated size of work products
 effort estimates
 cost estimates
 defect estimates
 actual size of work products
 actual effort
 actual cost
 actual defects

54. Process Asset Library
Homework
 research and make a list of the kind of items that can
be in a process asset library. Make a table as follows:
Process Asset Description How can we
(or do we)
implement this
asset at KU-
CPE
How would it
be beneficial to
our software
projects?
Project
Management
Plan templates
templates for
PMP and plan
components,
such as
configuration
mgmt plan
Word and HTML
files of IEEE
format with
descriptive text
1. save time in
preparing plan
documents
2. ensure we
include key
areas in our plan

55. Resources
 http://www.software-quality-assurance.org/index.htm
tabulated and annotated list of CMMI for software,
organized by process area and activity
 http://www.sei.cmu.edu/cmmi/ CMMI Web site
 CMMI for Development, Version 1.2 (free PDF at SEI)
http://www.sei.cmu.edu/publications/documents/06.rep
orts/06tr008.html
 Process Area (CMMI) at Wikipedia.org
overview of process areas and activities

56. IUP (Irrational Unified Process)
Some rational process suggestions
by the 219342-2550 class,
offered at the end of semester

57. Suggestions for an IUP Process
Our suggestions for a better IUP are to include or
improve these areas:
 CM Configuration Management
 MA Measurement and Analysis
 PMC Project Monitoring and Control
 PP Project Planning
 PPQA Process and Product Quality Assurance
 REQM Requirements Management
 SAM Supplier Agreement Management

58. PP - Project Planning
Problem: the project plan is not useful or relevant
(nobody reads or follows it)
1, template is too long and complex, too much work
to write
2. a Wiki would be better
3. students don't like reading (long) documents
4. written for instructor not for the (student) user
Solutions:
1. simplify project plan
2. iterate over the plan; revise plan ½-way through
course
3. make it more useful to the student

59. PP - Project Planning Problems
Problem: Project leader cannot control team
 members do not perform assigned tasks
 sol'n: get instructor involved in enforcing work
Problem: Relying on "heroes"
 not enough time (too much coursework)
 student may give priority to other classes
 members are lazy (not motivated to work)
 inability to acquire needed knowledge/skill

60. CM - Configuration Management
Problem: Need a back-up mechanism
Problem: Need something other than Subversion for
document management
Solutions:
 find a "document control system"
 use a structured Wiki with templates

61. PMC - Project Monitoring and Control
 oral progress report by weekly group meetings
 in case of lateness, other members help with task
 changing requirements causes project lateness
Suggestions
 need reward for completing work earlier, consistency
 must be able to monitor progress
 small extra credit would be significant motivation
 frequent milestones, reviewed by instructor
SP 1.6 Conduct Progress Reviews
SP 1.7 Conduct Milestone Reviews

62. MA - Measurement and Analysis
Problem: lack ability to collect useful measurements for
metrics (can't evaluate performance)
Solution: Tools to assist in collecting measurements
Problem: What to measure?
 defects
 time? (man hours) related to work products/tasks
 tasks completed
 delays, missed commitments
 lines of code
 use cases
 project complexity

63. Other Suggestions
 more concrete software requirements specification
 difficulty translating oral requirements into specs
 prescriptive process that can apply to all projects
 "process methodology" is descriptive and vague
 students don't have time or experience to research
concrete practices
 need practical and useful method, not IEEE/ISO std