CMMI

TM

for

Dummies
Sandeep Kumar Seeram

SEI CMMI is a process improvement approach that provides organizations with the essential elements of
effective processes. CMMI can help you make decisions about your process improvement plans.

Process Improvement Is Continuous Improvement

We can never reach perfection. The CMM too is evolving and improving. The focus is on always doing
better.
Our reach should always exceed our grasp
What is CMM?

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.
CMM was originally developed for Software Development and Maintenance but later it was
developed for :
o Systems Engineering
o Supplier Sourcing
o Integrated Product and Process Development
o People CMM
o Software Acquisition

CMM Examples:

People CMM: Develop, motivate and retain project talent.

Software CMM: Enhance a software focused development and maintenance capability.

What is Maturity?
Definitions vary but mature processes are generally thought to be:

Well defined
Repeatable
Measured
Analyzed
Improved

The CMM helps to solve the maturity problem by defining a set of practices and providing a general
framework for improving them. The CMM focus is on identifying key process areas and the exemplary
practices that may comprise a disciplined software process.
Immature vs. Mature Organization:
There are following characteristics of an immature organization:

Process improvised during project

Approved processes being ignored
Reactive, not proactive
Unrealistic budget and schedule
Quality sacrificed for schedule
No objective measure of quality

There are following characteristics of an mature organization:

Inter-group communication and coordination

Work accomplished according to plan
Practices consistent with processes
Processes updated as necessary
Well defined roles/responsibilities
Management formally commits

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 to be used
by 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.

Difference between CMM and CMMI:

CMM is a reference model of matured practices in a specified discipline like Systems Engineering CMM,
Software CMM, People CMM, Software Acquisition CMM etc. But they were difficult to integrate as and
when needed.
CMMI is the successor of the CMM and evolved as a more matured set of guidelines and was built
combining the best components of individual disciplines of CMM (Software CMM, People CMM etc.). It
can be applied to product manufacturing, People management, Software development etc.
CMM describes about the software engineering alone whereas CMM Integrated describes both software
and system engineering. CMMI also incorporates the Integrated Process and Product Development and
the supplier sourcing.
CMMI and Business Objectives
Following are obvious objectives of CMMI:

Produce quality products or services: The process-improvement concept in CMMI models

evolved out of the Deming, Juran, and Crosby quality paradigm: Quality products are a result of
quality processes. CMMI has a strong focus on quality-related activities including requirements
management, quality assurance, verification, and validation.

Create value for the stockholders: Mature organizations are more likely to make better cost
and revenue estimates than those with less maturity, and then perform in line with those
estimates. CMMI supports quality products, predictable schedules, and effective measurement to
support management in making accurate and defensible forecasts. This process maturity can
guard against project performance problems that could weaken the value of the organization in
the eyes of investors.

Enhance customer satisfaction: Meeting cost and schedule targets with high-quality products
that are validated against customer needs is a good formula for customer satisfaction. CMMI
addresses all of these ingredients through its emphasis on planning, monitoring, and measuring,
and the improved predictability that comes with more capable processes.

Increase market share: Market share is a result of many factors, including quality products and
services, name identification, pricing, and image. Customers like to deal with suppliers who have
a reputation for meeting their commitments.

Gain an industry-wide recognition for excellence: The best way to develop a reputation for
excellence is to consistently perform well on projects, delivering quality products and services

within cost and schedule parameters. Having processes that conform to CMMI requirements can
enhance that reputation.
The CMMI is structured as follows:

Maturity Levels (staged representation) or Capability Levels (continuous representation)

Process Areas
Goals: Generic and Specific
Common Features
Practices: Generic and Specific

This chapter will discuss about two CMMI representations and rest of the subjects will be covered in
subsequent chapters.
A representation allows an organization to pursue different improvement objectives. An organization can
go for one of the following two improvement paths:
Staged Representation:
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 toward achieving improved organizational processes.
CMMI Staged Representation:

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 comparisons among
organizations.

Thus Staged Representation provides a pre-defined roadmap for organizational improvement based on
proven grouping and ordering of processes and associated organizational relationships. You cannot
divert from the sequence of steps.

CMMI Staged Structure:

Following picture illustrate CMMI Staged Model Structure.

Continuous Representation:
The 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 improve relative to it. The
continuous representation uses Capability Levels to characterize improvement relative to an
individual process area.
CMMI Continuous Representation:

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-processarea basis.
Provides an easy migration from EIA 731 (and other models with a continuous
representation) to CMMI.

Thus Continuous Representation provides flexibility for organizations to choose which

processes to emphasize for improvement, as well as how much to improve each process.
CMMI Continuous Structure:
Following picture illustrate CMMI Continuous Model Structure.

Continuous vs. Staged Representations:

Continuous Representation

Staged Representation

Process areas are organized by process area

categories.

Process areas are organized by maturity level.

Improvement is measured using capability levels.

Capability levels:

Improvement is measured using maturity levels.

Maturity levels

Measure maturity of a particular process

across an organization.
Range from 0 through 5.

Measure maturity of a set of processes

across an organization
Range 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. The

concepts of base and advanced practices are not
used. All specific practices appear in the staged
representation except when a related baseadvanced pair of practices appears in the
continuous representation, in which case only the
advanced practice appears in the staged
representation.

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 achievement
profile.

There is no need for an equivalence mechanism

back to the continuous representation because
each organization can choose what to improve and
how much to improve it using the staged
representation.

Which Representation is better?

Because each representation has advantages over the other, some organizations use both
representations to address particular needs at various times in their improvement programs.
Organizational maturity is the focus of the staged representation, whereas process area capability is the
focus of the continuous representation.
Organizational maturity and process area capability are similar concepts. The difference between them is
that organizational maturity pertains to a set of process areas across an organization, while process area
capability deals with a set of processes relating to a single process area or specific practice.
Below is the pictorial diagram depicting both the presentations, In this diagram ML indicates Maturity
Level and PA Indicates Process Area.

We will discuss maturity levels and capability levels in subsequent chapters.

A maturity level is a well-defined evolutionary plateau toward achieving a mature software process. Each
maturity level provides a layer in the foundation for continuous process improvement.
In CMMI models with a staged representation, there are five maturity levels designated by the numbers 1
through 5
1.
2.
3.
4.
5.

Initial
Managed
Defined
Quantitatively Managed
Optimizing
CMMI Staged Representation- Maturity Levels

Now we will give more detail about each maturity level. Next section will list down all the process areas
related to these maturity levels.
Maturity Level Details:
Maturity levels consist of a predefined set of process areas. The maturity levels are measured by the
achievement of the specific and generic goals that apply to each predefined set of process areas. The
following sections describe the characteristics of each maturity level in detail.
Maturity Level 1 - Initial
At maturity level 1, processes are usually ad hoc and chaotic. The organization usually does not provide a
stable environment. Success in these organizations depends on the competence and heroics of the
people in the organization and not on the use of proven processes.
Maturity level 1 organizations often produce products and services that work; however, they frequently
exceed the budget and schedule of their projects.
Maturity level 1 organizations are characterized by a tendency to over commit, abandon processes in the
time of crisis, and not be able to repeat their past successes.
Maturity Level 2 - Managed
At maturity level 2, an organization has achieved all the specific and generic goals of the maturity level
2 process areas. In other words, the projects of the organization have ensured that requirements are
managed and that processes are planned, performed, measured, and controlled.
The process discipline reflected by maturity level 2 helps to ensure that existing practices are retained
during times of stress. When these practices are in place, projects are performed and managed according
to their documented plans.
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.
Commitments are established among relevant stakeholders and are revised as needed. Work products
are reviewed with stakeholders and are controlled.
The work products and services satisfy their specified requirements, standards, and objectives.
Maturity Level 3 - Defined
At maturity level 3, an organization has achieved all the specific and generic goals of the process areas
assigned to maturity levels 2 and 3.
At maturity level 3, processes are well characterized and understood, and are described in standards,
procedures, tools, and methods.
A critical distinction between maturity level 2 and maturity level 3 is the scope of standards, process
descriptions, and procedures. At maturity level 2, the standards, process descriptions, and procedures
may be quite different in each specific instance of the process (for example, on a particular project). At
maturity level 3, the standards, process descriptions, and procedures for a project are tailored from the
organization's set of standard processes to suit a particular project or organizational unit. The

organization's set of standard processes includes the processes addressed at maturity level 2 and
maturity level 3. As a result, the processes that are performed across the organization are consistent
except for the differences allowed by the tailoring guidelines.
Another critical distinction is that at maturity level 3, processes are typically described in more detail and
more rigorously than at maturity level 2. At maturity level 3, processes are managed more proactively
using an understanding of the interrelationships of the process activities and detailed measures of the
process, its work products, and its services.
Maturity Level 4 - Quantitatively Managed
At maturity level 4, an organization has achieved all the specific goals of the process areas assigned to
maturity levels 2, 3, and 4 and the generic goals assigned to maturity levels 2 and 3.
At maturity level 4 Sub processes are selected that significantly contribute to overall process
performance. These selected sub processes are controlled using statistical and other quantitative
techniques.
Quantitative objectives for quality and process performance are established and used as criteria in
managing processes. Quantitative objectives are based on the needs of the customer, end users,
organization, and process implementers. Quality and process performance is understood in statistical
terms and is managed throughout the life of the processes.
For these processes, detailed measures of process performance are collected and statistically analyzed.
Special causes of process variation are identified and, where appropriate, the sources of special causes
are corrected to prevent future occurrences.
Quality and process performance measures are incorporated into the organizations measurement
repository to support fact-based decision making in the future.
A critical distinction between maturity level 3 and maturity level 4 is the predictability of process
performance. At maturity level 4, the performance of processes is controlled using statistical and other
quantitative techniques, and is quantitatively predictable. At maturity level 3, processes are only
qualitatively predictable.
Maturity Level 5 - Optimizing
At maturity level 5, an organization has achieved all the specific goals of the process areas assigned to
maturity levels 2, 3, 4, and 5 and the generic goals assigned to maturity levels 2 and 3.
Processes are continually improved based on a quantitative understanding of the common causes of
variation inherent in processes.
Maturity level 5 focuses on continually improving process performance through both incremental and
innovative technological improvements.
Quantitative process-improvement objectives for the organization are established, continually revised to
reflect changing business objectives, and used as criteria in managing process improvement.
The effects of deployed process improvements are measured and evaluated against the quantitative
process-improvement objectives. Both the defined processes and the organization's set of standard
processes are targets of measurable improvement activities.

Optimizing processes that are agile and innovative depends on the participation of an empowered
workforce aligned with the business values and objectives of the organization. The organization's ability to
rapidly respond to changes and opportunities is enhanced by finding ways to accelerate and share
learning. Improvement of the processes is inherently part of everybody's role, resulting in a cycle of
continual improvement.
A critical distinction between maturity level 4 and maturity level 5 is the type of process variation
addressed. At maturity level 4, processes are concerned with addressing special causes of process
variation and providing statistical predictability of the results. Though processes may produce predictable
results, the results may be insufficient to achieve the established objectives. At maturity level 5,
processes are concerned with addressing common causes of process variation and changing the process
(that is, shifting the mean of the process performance) to improve process performance (while
maintaining statistical predictability) to achieve the established quantitative process-improvement
objectives.
Maturity Levels shouldnt be skipped:
Each maturity level provides a necessary foundation for effective implementation of processes at the next
level.

Higher level processes have less chance of success without the discipline provided by lower
levels.
The effect of innovation can be obscured in a noisy process.

Higher maturity level processes may be performed by organizations at lower maturity levels, with the risk
of not being consistently applied in a crisis.

Maturity Levels and Process Areas:

Here is a list of all the corresponding process areas defined for a S/W organization. These process areas
may be different for different organization.
This section is just giving names of the related process areas, for more detail about these Process Areas
go through CMMI Process Areas Chapter.
Level

Focus

Key Process Area

Result

5
Optimizing

Continuous
Process
Improvement

Organizational Innovation and Deployment

Causal Analysis and Resolution

Highest Quality
/
Lowest Risk

4
Quantitatively
Managed

Quantitatively
Managed

Organizational Process Performance

Quantitative Project Management

Higher Quality /
Lower Risk

Process
Standardization

Requirements Development
Technical Solution
Product Integration

Medium Quality
/

3
Defined

2
Managed

Basic Project
Management

1
Initial

Process is
informal and
Adhoc

Verification
Validation
Organizational Process Focus
Organizational Process Definition
Organizational Training
Integrated Project Mgmt. (with IPPD extras)
Risk Management
Decision Analysis and Resolution
Integrated Teaming (IPPD only)
Org. Environment for Integration (IPPD only)
Integrated Supplier Management (SS only)

Requirements Management
Project Planning
Project Monitoring and Control
Supplier Agreement Management
Measurement and Analysis
Process and Product Quality Assurance
Configuration Management

Medium Risk

Low Quality /
High Risk

Lowest Quality
/
Highest Risk

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

A short description of each capability level is as follows:

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.
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. As the title of
this level indicates, you are actively managing the way things are done in your organization. You have
some metrics that are consistently collected and applied to your management approach.
Remember: metrics are collected and used at all levels of the CMMI, in both the staged and continuous
representations. It is a bitter fallacy to think that an organization can wait until Capability Level 4 to use
the metrics.
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 processimprovement information to the organizational process assets.
Capability Level 4: Quantitatively Managed
A capability level 4 processes 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: Optimizing
An optimizing process is a quantitatively managed process that is improved, based on an understanding
of the common causes of process variation inherent in 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 targets of improvement activities.

Capability Level 4 focuses on establishing baselines, models, and measurements for process
performance. Capability Level 5 focuses on studying performance results across the organization or
entire enterprise, finding common causes of problems in how the work is done (the process[es] used),
and fixing the problems in the process. The fix would include updating the process documentation and
training involved where the errors were injected.
Organization of Process Areas in Continuous Representation:
Category

Project
Management

Support

Engineering

Process
Management

Process Area

Project Planning
Project Monitoring and Control
Supplier Agreement Management
Integrated Project Management(IPPD)
Integrated Supplier Management (SS)
Integrated Teaming (IPPD)
Risk Management Quantitative Project Management

Configuration Management
Process and Product Quality Assurance
Measurement and Analysis Causal Analysis and Resolution
Decision Analysis and Resolution
Organizational Environment for Integration (IPPD)

Requirements Management
Requirements Development
Technical Solution
Product Integration
Verification
Validation

Organizational Process Focus

Organizational Process Definition
Organizational Training
Organizational Process Performance
Organizational Innovation and Deployment

A Process Area is a cluster of related practices in an area that, when implemented collectively, satisfy a
set of goals considered important for making significant improvement in that area. All CMMI process
areas are common to both continuous and staged representations.
The continuous representation enables the organization to choose the focus of its process improvement
efforts by choosing those process areas, or sets of interrelated process areas, that best benefit the
organization and its business objectives. Although there are some limits on what an organization can
choose because of the dependencies among process areas, the organization has considerable freedom
in its selection.

Once you select the process areas, you must also select how much you would like to improve the
processes associated with those process areas (i.e., select the appropriate capability level). Capability
levels and generic goals and practices support the improvement of processes in individual process areas.
Conversely, you will see that the staged representation encourages you to always look at process areas
in the context of the maturity level to which they belong. The process areas are organized by maturity
levels to reinforce this concept. When you use a process area, you use the entire process area: all goals
and all practices.
The CMMI Process Areas (PAs) can be grouped into the following four categories to understand their
interactions and links with one another regardless of their defined level:

Process Management
Project Management
Engineering
Support

Each process area is defined by a set of goals and practices. There are two categories of goals and
practices:

Generic goals and practices: They are part of every process area.
Specific goals and practices: They are specific to a given process area.

A process area is satisfied when company processes cover all of the generic and specific goals and
practices for that process area.

Generic goals and practices:

Generic goals and practices are a part of every process area.
NOTATIONS: GG --> Generic Goals and GP --> Generic Practice

GG 1 Achieve Specific Goals

o GP 1.1 Perform Specific Practices
GG 2 Institutionalize a Managed Process
o GP 2.1 Establish an Organizational Policy
o GP 2.2 Plan the Process
o GP 2.3 Provide Resources
o GP 2.4 Assign Responsibility
o GP 2.5 Train People
o GP 2.6 Manage Configurations
o GP 2.7 Identify and Involve Relevant Stakeholders
o GP 2.8 Monitor and Control the Process
o GP 2.9 Objectively Evaluate Adherence
o GP 2.10 Review Status with Higher Level Management
GG 3 Institutionalize a Defined Process
o GP 3.1 Establish a Defined Process
o GP 3.2 Collect Improvement Information
GG 4 Institutionalize a Quantitatively Managed Process
o GP 4.1 Establish Quantitative Objectives for the Process
o GP 4.2 Stabilize Sub process Performance
GG 5 Institutionalize an Optimizing Process
o GP 5.1 Ensure Continuous Process Improvement
o GP 5.2 Correct Root Causes of Problems

Common Features:
The common features are attributes that indicate whether the implementation and institutionalization of a
key process area is effective, repeatable, and lasting. The five common features are listed below:

Commitment to Perform: Commitment to Perform describes the actions the organization must
take to ensure that the process is established and will endure. Commitment to Perform typically
involves establishing organizational policies and senior management sponsorship.

Ability to Perform: Ability to Perform describes the preconditions that must exist in the project or
organization to implement the software process competently. Ability to Perform typically involves
resources, organizational structures, and training.

Activities Performed: Activities Performed describes the roles and procedures necessary to
implement a key process area. Activities Performed typically involve establishing plans and
procedures, performing the work, tracking it, and taking corrective actions as necessary.

Measurement and Analysis: Measurement and Analysis describes the need to measure the
process and analyze the measurements. Measurement and Analysis typically includes examples
of the measurements that could be taken to determine the status and effectiveness of the
Activities Performed.

Verifying Implementation: Verifying Implementation describes the steps to ensure that the
activities are performed in compliance with the process that has been established. Verification
typically encompasses reviews and audits by management and software quality assurance.

The practices in the common feature Activities Performed describe what must be implemented to
establish a process capability. The other practices, taken as a whole, form the basis by which an
organization can institutionalize the practices described in the Activities Performed common feature.

Process Areas Detail:

The CMMI contains 22 process areas indicating the aspects of product development that are to be
covered by company processes.
Causal Analysis and Resolution (CAR)

A Support process area at Maturity Level 5

Purpose
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.
Specific Practices by Goal

SG 1 Determine Causes of Defects

o SP 1.1 Select Defect Data for Analysis
o SP 1.2 Analyze Causes
SG 2 Address Causes of Defects
o SP 2.1 Implement the Action Proposals
o SP 2.2 Evaluate the Effect of Changes
o SP 2.3 Record Data

Configuration Management (CM)

A Support process area at Maturity Level 2

Purpose
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.

Specific Practices by Goal

SG 1 Establish Baselines
o SP 1.1 Identify Configuration Items
o SP 1.2 Establish a Configuration Management System
o SP 1.3 Create or Release Baselines
SG 2 Track and Control Changes
o SP 2.1 Track Change Requests
o SP 2.2 Control Configuration Items
SG 3 Establish Integrity
o SP 3.1 Establish Configuration Management Records
o SP 3.2 Perform Configuration Audits

Decision Analysis and Resolution (DAR)

A Support process area at Maturity Level 3

Purpose
The purpose of Decision Analysis and Resolution (DAR) is to analyze possible decisions using a
formal evaluation process that evaluates identified alternatives against established criteria.
Specific Practices by Goal

SG 1 Evaluate Alternatives
o SP 1.1 Establish Guidelines for Decision Analysis
o SP 1.2 Establish Evaluation Criteria
o SP 1.3 Identify Alternative Solutions
o SP 1.4 Select Evaluation Methods
o SP 1.5 Evaluate Alternatives
o SP 1.6 Select Solutions

Integrated Project Management +IPPD (IPM)

A Project Management process area at Maturity Level 3

Purpose
The purpose of Integrated Project Management +IPPD (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.
Specific Practices by Goal

SG 1 Use the Project's Defined Process

o SP 1.1 Establish the Project's Defined Process
o SP 1.2 Use Organizational Process Assets for Planning Project Activities
o SP 1.3 Establish the Project's Work Environment
o SP 1.4 Integrate Plans
o SP 1.5 Manage the Project Using the Integrated Plans
o SP 1.6 Contribute to the Organizational Process Assets
SG 2 Coordinate and Collaborate with Relevant Stakeholders
o SP 2.1 Manage Stakeholder Involvement

o
o

SP 2.2 Manage Dependencies

SP 2.3 Resolve Coordination Issues

IPPD Addition:

SG 3 Apply IPPD Principles

o SP 3.1 Establish the Project's Shared Vision
o SP 3.2 Establish the Integrated Team Structure
o SP 3.3 Allocate Requirements to Integrated Teams
o SP 3.4 Establish Integrated Teams
o SP 3.5 Ensure Collaboration among Interfacing Teams

Measurement and Analysis (MA)

A Support process area at Maturity Level 2

Purpose
The purpose of Measurement and Analysis (MA) is to develop and sustain a measurement capability
that is used to support management information needs.
Specific Practices by Goal

SG 1 Align Measurement and Analysis Activities

o SP 1.1 Establish Measurement Objectives
o SP 1.2 Specify Measures
o SP 1.3 Specify Data Collection and Storage Procedures
o SP 1.4 Specify Analysis Procedures
SG 2 Provide Measurement Results
o SP 2.1 Collect Measurement Data
o SP 2.2 Analyze Measurement Data
o SP 2.3 Store Data and Results
o SP 2.4 Communicate Results

Organizational Innovation and Deployment (OID)

A Process Management process area at Maturity Level 5

Purpose
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.
Specific Practices by Goal

SG 1 Select Improvements
o SP 1.1 Collect and Analyze Improvement Proposals
o SP 1.2 Identify and Analyze Innovations
o SP 1.3 Pilot Improvements
o SP 1.4 Select Improvements for Deployment

SG 2 Deploy Improvements
o SP 2.1 Plan the Deployment areas
o SP 2.2 Manage the Deployment
o SP 2.3 Measure Improvement Effects

Organizational Process Definition +IPPD (OPD)

A Process Management process area at Maturity Level 3

Purpose
The purpose of Organizational Process Definition +IPPD (OPD) is to establish and maintain a usable
set of organizational process assets.
Specific Practices by Goal

SG 1 Establish Organizational Process Assets

o SP 1.1 Establish Standard Processes
o SP 1.2 Establish Life-Cycle Model Descriptions
o SP 1.3 Establish Tailoring Criteria and Guidelines
o SP 1.4 Establish the Organization's Measurement Repository
o SP 1.5 Establish the Organization's Process Asset Library

IPPD Addition:

SG 2 Enable IPPD Management

o SP 2.1 Establish Empowerment Mechanisms
o SP 2.2 Establish Rules and Guidelines for Integrated Teams
o SP 2.3 Balance Team and Home Organization Responsibilities

Organizational Process Focus (OPF)

A Process Management process area at Maturity Level 3

Purpose
The purpose of Organizational Process Focus (OPF) is to plan and implement organizational process
improvement based on a thorough understanding of the current strengths and weaknesses of the
organization's processes and process assets.
Specific Practices by Goal

SG 1 Determine Process Improvement Opportunities

o SP 1.1 Establish Organizational Process Needs
o SP 1.2 Appraise the Organization's Processes
o SP 1.3 Identify the Organization's Process Improvements
SG 2 Plan and Implement Process Improvement Activities
o SP 2.1 Establish Process Action Plans
o SP 2.2 Implement Process Action Plans
SG 3 Deploy Organizational Process Assets and Incorporate Lessons Learned
o SP 3.1 Deploy Organizational Process Assets
o SP 3.2 Deploy Standard Processes

o
o

SP 3.3 Monitor Implementation

SP 3.4 Incorporate Process-Related Experiences into the Organizational Process Assets

Organizational Process Performance (OPP)

A Process Management process area at Maturity Level 4

Purpose
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.
Specific Practices by Goal

SG 1 Establish Performance Baselines and Models

o SP 1.1 Select Processes
o SP 1.2 Establish Process Performance Measures
o SP 1.3 Establish Quality and Process Performance Objectives
o SP 1.4 Establish Process Performance Baselines
o SP 1.5 Establish Process Performance Models

Organizational Training (OT)

A Process Management process area at Maturity Level 3

Purpose
The purpose of Organizational Training (OT) is to develop the skills and knowledge of people so they
can perform their roles effectively and efficiently.
Specific Practices by Goal

SG 1 Establish an Organizational Training Capability

o SP 1.1 Establish the Strategic Training Needs
o SP 1.2 Determine Which Training Needs Are the Responsibility of the Organization
o SP 1.3 Establish an Organizational Training Tactical Plan
o SP 1.4 Establish Training Capability
SG 2 Provide Necessary Training
o SP 2.1 Deliver Training
o SP 2.2 Establish Training Records
o SP 2.3 Assess Training Effectiveness

Product Integration (PI)

An Engineering process area at Maturity Level 3

Purpose
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.

Specific Practices by Goal

SG 1 Prepare for Product Integration

o SP 1.1 Determine Integration Sequence
o SP 1.2 Establish the Product Integration Environment
o SP 1.3 Establish Product Integration Procedures and Criteria
SG 2 Ensure Interface Compatibility
o SP 2.1 Review Interface Descriptions for Completeness
o SP 2.2 Manage Interfaces
SG 3 Assemble Product Components and Deliver the Product
o SP 3.1 Confirm Readiness of Product Components for Integration
o SP 3.2 Assemble Product Components
o SP 3.3 Evaluate Assembled Product Components
o SP 3.4 Package and Deliver the Product or Product Component

Project Monitoring and Control (PMC)

A Project Management process area at Maturity Level 2

Purpose
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.
Specific Practices by Goal

SG 1 Monitor Project Against Plan

o SP 1.1 Monitor Project Planning Parameters
o SP 1.2 Monitor Commitments
o SP 1.3 Monitor Project Risks
o SP 1.4 Monitor Data Management
o SP 1.5 Monitor Stakeholder Involvement
o SP 1.6 Conduct Progress Reviews
o SP 1.7 Conduct Milestone Reviews
SG 2 Manage Corrective Action to Closure
o SP 2.1 Analyze Issues
o SP 2.2 Take Corrective Action
o SP 2.3 Manage Corrective Action

Project Planning (PP)

A Project Management process area at Maturity Level 2

Purpose
The purpose of Project Planning (PP) is to establish and maintain plans that define project activities.
Specific Practices by Goal

SG 1 Establish Estimates
o SP 1.1 Estimate the Scope of the Project
o SP 1.2 Establish Estimates of Work Product and Task Attributes

o SP 1.3 Define Project Life Cycle

o SP 1.4 Determine Estimates of Effort and Cost
SG 2 Develop a Project Plan
o SP 2.1 Establish the Budget and Schedule
o SP 2.2 Identify Project Risks
o SP 2.3 Plan for Data Management
o SP 2.4 Plan for Project Resources
o SP 2.5 Plan for Needed Knowledge and Skills
o SP 2.6 Plan Stakeholder Involvement
o SP 2.7 Establish the Project Plan
SG 3 Obtain Commitment to the Plan
o SP 3.1 Review Plans that Affect the Project
o SP 3.2 Reconcile Work and Resource Levels
o SP 3.3 Obtain Plan Commitment

Process and Product Quality Assurance (PPQA)

A Support process area at Maturity Level 2

Purpose
The purpose of Process and Product Quality Assurance (PPQA) is to provide staff and management
with objective insight into processes and associated work products.
Specific Practices by Goal

SG 1 Objectively Evaluate Processes and Work Products

o SP 1.1 Objectively Evaluate Processes
o SP 1.2 Objectively Evaluate Work Products and Services
SG 2 Provide Objective Insight
o SP 2.1 Communicate and Ensure Resolution of Noncompliance Issues
o SP 2.2 Establish Records

Quantitative Project Management (QPM)

A Project Management process area at Maturity Level 4

Purpose
The purpose of the Quantitative Project Management (QPM) process area is to quantitatively manage
the project's defined process to achieve the project's established quality and process-performance
objectives.
Specific Practices by Goal

SG 1 Quantitatively Manage the Project

o SP 1.1 Establish the Project's Objectives
o SP 1.2 Compose the Defined Processes
o SP 1.3 Select the Sub processes that Will Be Statistically Managed
o SP 1.4 Manage Project Performance
SG 2 Statistically Manage Sub process Performance
o SP 2.1 Select Measures and Analytic Techniques
o SP 2.2 Apply Statistical Methods to Understand Variation

o
o

SP 2.3 Monitor Performance of the Selected Sub processes

SP 2.4 Record Statistical Management Data

Requirements Development (RD)

An Engineering process area at Maturity Level 3

Purpose
The purpose of Requirements Development (RD) is to produce and analyze customer, product, and
product-component requirements.
Specific Practices by Goal

SG 1 Develop Customer Requirements

o SP 1.1 Elicit Needs
o SP 1.2 Develop the Customer Requirements
SG 2 Develop Product Requirements
o SP 2.1 Establish Product and Product-Component Requirements
o SP 2.2 Allocate Product-Component Requirements
o SP 2.3 Identify Interface Requirements
SG 3 Analyze and Validate Requirements
o SP 3.1 Establish Operational Concepts and Scenarios
o SP 3.2 Establish a Definition of Required Functionality
o SP 3.3 Analyze Requirements
o SP 3.4 Analyze Requirements to Achieve Balance
o SP 3.5 Validate Requirements

Requirements Management (REQM)

An Engineering process area at Maturity Level 2

Purpose
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.
Specific Practices by Goal

SG 1 Manage Requirements
o SP 1.1 Obtain an Understanding of Requirements
o SP 1.2 Obtain Commitment to Requirements
o SP 1.3 Manage Requirements Changes
o SP 1.4 Maintain Bidirectional Traceability of Requirements
o SP 1.5 Identify Inconsistencies between Project Work and Requirements

Risk Management (RSKM)

A Project Management process area at Maturity Level 3

Purpose
The purpose of Risk Management (RSKM) is to identify potential problems before they occur so that riskhandling activities can be planned and invoked as needed across the life of the product or project to
mitigate adverse impacts on achieving objectives.
Specific Practices by Goal

SG 1 Prepare for Risk Management

o SP 1.1 Determine Risk Sources and Categories
o SP 1.2 Define Risk Parameters
o SP 1.3 Establish a Risk Management Strategy
SG 2 Identify and Analyze Risks
o SP 2.1 Identify Risks
o SP 2.2 Evaluate, Categorize, and Prioritize Risks
SG 3 Mitigate Risks
o SP 3.1 Develop Risk Mitigation Plans
o SP 3.2 Implement Risk Mitigation Plans

Supplier Agreement Management (SAM)

A Project Management process area at Maturity Level 2

Purpose
The purpose of Supplier Agreement Management (SAM) is to manage the acquisition of products from
suppliers for which there exists a formal agreement.
Specific Practices by Goal

SG 1 Establish Supplier Agreements

o SP 1.1 Determine Acquisition Type
o SP 1.2 Select Suppliers
o SP 1.3 Establish Supplier Agreements
SG 2 Satisfy Supplier Agreements
o SP 2.1 Execute the Supplier Agreement
o SP 2.2 Monitor Selected Supplier Processes
o SP 2.3 Evaluate Selected Supplier Work Products
o SP 2.4 Accept the Acquired Product
o SP 2.5 Transition Products

Technical Solution (TS)

An Engineering process area at Maturity Level 3

Purpose
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
life-cycle processes either singly or in combination as appropriate.

Specific Practices by Goal

SG 1 Select Product-Component Solutions

o SP 1.1 Develop Alternative Solutions and Selection Criteria
o SP 1.2 Select Product Component Solutions
SG 2 Develop the Design
o SP 2.1 Design the Product or Product Component
o SP 2.2 Establish a Technical Data Package
o SP 2.3 Design Interfaces Using Criteria
o SP 2.4 Perform Make, Buy, or Reuse Analysis
SG 3 Implement the Product Design
o SP 3.1 Implement the Design
o SP 3.2 Develop Product Support Documentation

Validation (VAL)

An Engineering process area at Maturity Level 3

Purpose
The purpose of Validation (VAL) is to demonstrate that a product or product component fulfills its
intended use when placed in its intended environment.
Specific Practices by Goal

SG 1 Prepare for Validation

o SP 1.1 Select Products for Validation
o SP 1.2 Establish the Validation Environment
o SP 1.3 Establish Validation Procedures and Criteria
SG 2 Validate Product or Product Components
o SP 2.1 Perform Validation
o SP 2.2 Analyze Validation Results.

Verification (VER)

An Engineering process area at Maturity Level 3

Purpose
The purpose of Verification (VER) is to ensure that selected work products meet their specified
requirements.
Specific Practices by Goal

SG 1 Prepare for Verification

o SP 1.1 Select Work Products for Verification
o SP 1.2 Establish the Verification Environment
o SP 1.3 Establish Verification Procedures and Criteria
SG 2 Perform Peer Reviews
o SP 2.1 Prepare for Peer Reviews
o SP 2.2 Conduct Peer Reviews
o SP 2.3 Analyze Peer Review Data

SG 3 Verify Selected Work Products

o SP 3.1 Perform Verification
o SP 3.2 Analyze Verification Results

Changes made in Version 1.2

Only changes made to the set of Process Areas are considered here. For a more detail visit the SEI
homepage.

The following Process Areas have been removed (all on Maturity Level 3):
o Organisational Environment for Integration (OEI)
o Integrated Teaming (IT)
o Integrated Supplier Management (ISM)
The following additions have been made within existing Process Areas:
o IPM. SG3 and SG4 were eliminated, new SG3 was added (all IPPD PAs)
o OPD. SG was added, turning it in an IPPD PA
o OPF. two SPs were extracted from SG and created SG3 together with two new SPs
o REQD. SP3.5 was renamed Validate Requirements
o SAM. SP2.1 was eliminated, two new SPs added in SG2
o TS. SP1.2 was eliminated
o VER. SP3.2 was renamed Analyze Verification Results

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 require planning. When planning an appraisal of your organization, determine the scope of the
organizational unit, which disciplines to include, whether the appraisal team will consist of members
internal or external to your organization, projects to be included, individuals to be interviewed, and the
type or class of appraisal necessary.
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): 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): currently the only approved Class A appraisal method.

SCAMPI is currently the only approved CMMI Class A Appraisal Method. That is, SCAMPI satisfies all the
requirements of an ARC Class A Appraisal Method and has been approved by the SEI.
There are three classes of CMMI Appraisal Methods: Class A, Class B, and Class C.

SCAMPI Class A Appraisal:

SCAMPI 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.

SCAMPI Class B Appraisal:

A SCAMPI B is called for when an organization needs to assess its progress towards a target CMMI
Maturity Level, but at a lower cost than a SCAMPI A. SCAMPI B appraisals provide detailed findings and
indicate the likelihood that the evaluated practices would be rated as satisfactorily implemented in
SCAMPI A appraisal.
A SCAMPI Class B appraisal, one of three SEI appraisal methods, helps an organization understand, with
a relatively high degree of confidence, the status of its software and systems engineering process relative
to the CMMI. A SCAMPI B is often performed when an organization needs to accurately assess its
progress towards a target CMMI Maturity Level.
You can expect following outcomes from a SCAMPI B:

Detailed findings that describe the strengths and weaknesses of your organization's process
relative to the CMMI.
Practice characterizations indicating the likelihood that the examined practices would satisfy the
goals and meet the intent of the CMMI.
Consensus regarding the organization's key process issues.
A FIDO database that the organization can continue to use to monitor process improvement
progress and to support future appraisals.

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 Class C appraisals, the least formal of the SEI's suite of appraisal methods, are highly flexible
and can be conducted to address a variety of needs. Typically much shorter in duration than Class A and
B appraisals, 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.

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-?-vis the CMMI.
Recommended process improvement actions.
A FIDO database that the organization can continue to use to monitor process improvement
progress and to support future appraisals.

Appraisal Class Characteristics:

Each class is distinguished by the degree of rigor associated with the application of the method. Class A
is the most rigorous. Class B is slightly less rigorous; and Class C is the least rigorous. Following table
gives some idea of the expected differences between the methods in each class.
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

SCAMPI Fundamentals:
SCAMPI is an acronym that stands for Standard CMMI Appraisal Method for Process Improvement. A
SCAMPI assessment must be led by an SEI Authorized SCAMPI Lead Appraiser. SCAMPI is supported
by the SCAMPI Product Suite, which includes the SCAMPI Method Description, maturity questionnaire,
work aids, and templates.
Currently, SCAMPI is the only method that can provide a rating, the only method recognized by the SEI,
and the method of most interest to organizations.
SCAMPI is based on experience from previous methods, including:

CBA IPI: CMM-Based Appraisal for Internal Process Improvement

SCE: Software Capability Evaluation
EIA/IS 732.2: the interim international standard entitled Systems Engineering Assessment
Method
SDCE: Software Development Capability Evaluation.
FAA Appraisal Method

This chapter discusses the major players involved with a process improvement effort. Group and
individual responsibilities are highlighted. However, your organization may require more - or fewer groups.
Note that one person can fulfill many of these roles simultaneously or serially, depending on the size of
your organization and the complexity of your process improvement (PI) effort.
Process Improvement Champions, Sponsors, and Groups
Process improvement efforts generally require the following individuals and groups:

PI Sponsor: The person from the organization responsible for over-seeing the entire PI effort.
This person generally has the power to allocate funds and personnel. This person is usually at
the directorate level or above.

PI Champion: This is the public relations person for the PI effort. This person may or may not
also serve as the EPG Lead. This person markets the idea, approach, and results of PI.

Engineering Process Group (EPG) Lead: This person leads the group that reviews processes.
This person assigns tasks to the EPG members, monitors their efforts, and plans the daily duties
of the EPG.

EPG Members: These individuals serve on the EPG as committee members. They are
responsible for ensuring that process improvement documentation is written and followed. They
are also responsible for generating metrics to track the process improvement process. They lead
the PATs.

Process Action Teams (PATs): These teams generate the process improvement
documentation, policies, processes, procedures, charters, and Action Plans.

Transition Partner: Usually one or two individuals who are outside consultants brought in to help
set up, plan, lead, and monitor progress in organizational process improvement. These
individuals bring experience doing process improvement from several other organizations and
industries.