1. Capability Maturity Method (CMM)

2. WHAT IS THE CMM? Concept: Model: Guidelines: Basis for Measurement:
The application of process management and quality improvement concepts to software development and maintenance
Model:
A model for organizational improvement
Guidelines:
A guide for evolving toward a culture of engineering excellence.
Basis for Measurement:
The underlying structure for reliable and consistent software process assessments, software capability evaluations, and interim profiles

3. The Management Culture of The Company
OBJECTIVES OF CMM
The CMM is an application of Total Quality Management principles to software engineering.
Emphasis should be on customer satisfaction.
The result should be higher quality software products produced by more competitive companies.
To make CMM
The Management Culture of The Company
Trusted By Customers

4. MATURATY LEVELS FOR PROCESS IMPROVEMENT
Based on Continuous Process Improvement: Based on many small, evolutionary steps rather than revolutionary innovations.
Plateau: A maturity level is a well-defined evolutionary plateau toward achieving a mature software process.
Foundation: Each maturity level provides a layer in the foundation for continuous process improvement.
Priority Order: The levels also help an organization prioritize its improvement efforts.

5. LEVEL 1 -- INITIAL Activities Performed by the Organization
Activities Performed by the Projects
Resulting Process Capability
Organization lacks sound management practices
Good software engineering practices are undermined by ineffective planning and reaction-driven commitment systems
During a crisis, projects abandon planned procedures
Even a strong software engineering process cannot overcome the instability created by the absence of sound management practices
Software Process Capability is unpredictable because the process is constantly changed or modified as the work progresses (i.e., the process is ad hoc)
Few stable processes in evidence

6. CMM LEVEL 1
to produce
Activity
Results
Just do it.

7. LEVEL 2 -- REPEATABLE Activities Performed by the Organization
Activities Performed by the Projects
Resulting Process Capability
Establishes software project management policies and procedures
Institutionalizes effective project management processes which allow new projects to repeat successful practices developed on earlier projects, although the specific project’s processes may differ
Make realistic project commitments based on previous project results and current project requirements
Track software costs, schedules, and functionality to identify problems meeting commitments
Control requirements and work products and assure project standards are followed
Software Process Capability is disciplined because project planning and tracking is stable and earlier successes can be repeated
Project process is under the effective control of a project management system, following realistic plans

8. CMM LEVEL 2
Preparation
to produce
Activity
Results
input to
Evaluation
to improve
Think before you act, and think after you act, just to make sure you did it right.

9. LEVEL 3 -- DEFINED Activities Performed by the Organization
Activities Performed by the Projects
Resulting Process Capability
Documents the organization’s standard process for developing and maintaining software
Integrates project management and software engineering processes; exploits effective software engineering practices
Provides process support (SEPG) and training program to ensure skills development
Projects tailor the organization’s standard software process to develop their own defined software process for the project
Because the software process is well defined, management has good insight into technical progress on all projects
Software Process Capability is standard and consistent because both software engineering and management activities are stable and repeatable
Cost, schedule and functionality are under control, and software quality is tracked

10. CMM LEVEL 3 Use your lessons learned. input to Preparation to produce
Standards
Activity
Results
input to
input to
Evaluation
to improve
Use your lessons learned.

11. LEVEL 4 -- MANAGED Activities Performed by the Organization
Activities Performed by the Projects
Resulting Process Capability
Sets quantitative quality goals for both software products and processes
Measures productivity and quality for important software process activities across all projects as part of an organizational measurement program
Provides a foundation for quantitative evaluation
Projects achieve control over their products and processes by narrowing the variation in their process performance to fall within acceptable quantitative boundaries
The risks involved in moving up the learning curve of a new application domain are known and carefully managed
Software Process Capability is predictable because the process is measured and operates within measurable limits
Allows for predictive trends in process and quality within quantitative bounds and allows for corrective action when limits are exceeded

12. CMM LEVEL 4
Preparation
input to
to forecast
to produce
Standard
Activity
Results
input to
input to
Evaluation
to improve
Predict the results you need and expect and then create opportunities to get those results

13. LEVEL 5 -- OPTIMIZING Activities Performed by the Organization
Activities Performed by the Projects
Resulting Process Capability
Entire organization is focused on continuous process improvement with the goal of defect prevention
Data is used for cost-benefit analysis of new technology and new process changes
Innovations in software engineering practices are transferred to the entire organization
Project teams analyze defects and determine their causes
Project teams evaluate processes to prevent known types of defects from recurring
Software Process Capability is continuously improving because the organization continuously improves the range of capability and process performance of projects
Improvement occurs both by incremental advancement of existing process and by innovations using new technologies and methods

14. CMM LEVEL 5
Preparation
to forecast
input to
to produce
Standard
Activity
Results
input to
input to
Evaluation
to improve
to improve
Create lessons learned, and use lessons learned to create more lessons learned, and use more lessons learned to create even more lessons learned, and use even more lessons learned to create... etc.

15. CMM FIVE LEVELS High Low 5. Optimization Focus on process improvement
Process Maturity
Initial
Unpredictable and
Poorly controlled
5. Optimization
Focus on process
improvement
Continuously
Improving
Process
Process Capability
Initial
Unpredictable and
Poorly controlled
4. Managed
Process measured
and controlled
Predictable
Process
Process Performance
Managing Change
Initial
Unpredictable and
Poorly controlled
Standard,
Consistent
Process
3. Defined
Process characterized,
fairly well understood
Low
Product and Process Quality
Disciplined
Process
Initial
Unpredictable and
Poorly controlled
2. Repeatable
Can repeat previously
Mastered tasks
Integrated Engineering Process
1. Initial
Unpredictable and
Poorly controlled
Initial
Unpredictable and
Poorly controlled
Project Management

16. TRANSITION TO A HIGHER LEVEL
Target Level 3
Current Level 2
Transition State
PRODUCTIVITY

17. BENEFITS OF CMM (I)
The CMM models improve upon the best practices of previous models in many important ways. CMM best practices enable organizations to do the following:
More explicitly link management and engineering activities to business objectives
Expand the scope of and visibility into the product life cycle and engineering activities to ensure that the product or service meets customer expectations
Incorporate lessons learned from additional areas of best practice (e.g., measurement, risk management, and supplier management)
Implement more robust high-maturity practices
Address additional organizational functions critical to its products and services
More fully comply with relevant ISO standards

18. BENEFITS OF CMM (II) Win more projects due to customers’ trust
Risk mitigation and reduced
Make large international projects possible
Make projects success possible when team members dynamically change.

19. BENEFITS OF CMM (III)
High cost: training, additional employees for SEPG, writing documents and synchronizing practice and documents
Succeeded
Projects
CMM
Level 1 2 3 4 5
Cost
CMM
Level 1 2 3 4 5

20. BENEFITS OF CMM (IV)
Profits
CMM
Level 1 2 3 4 5

21. CMM LEVEL 2 KEY PROCESS AREA
Requirements
Management
Software
Quality
Assurance
Software Project Planning
Software
Configuration
Management
Software
Project Tracking
and Oversight
Software
Subcontract
Management L2

22. REQUIREMENT MANAGEMENT
Purpose
Goals
To establish a common understanding between the customer and the software project of the customer’s requirements that will be addressed by the software project
1. System requirements allocated to software are controlled to establish a baseline for software engineering and management use
2. Software plans, products, and activities are kept consistent with the system requirements allocated to software
Scope
Involves establishing and maintaining an agreement with the customer on the requirements for the software project
Agreement is the basis for estimating, planning, performing, and tracking the project’s software activities L2

23. PROJECT PLANNING
Purpose
Goals
To establish reasonable plans for performing the software engineering and for managing the software project
1. Software estimates are documented for use in planning and tracking the software project.
2. Software project activities and commitments are planned and documented.
3. Affected groups and individuals agree to their commitments related to the software project.
Scope
Involves:
o developing estimates for the work to be performed
o establishing the necessary commitments
o defining the plan to perform the work
Plan provides the basis for initiating the software effort and managing the work L2

24. PROJECT TRACKING AND OVERSIGHTING
Purpose
Goals
To provide adequate visibility into actual progress so that management can take effective actions when performance deviates significantly from the plan
1. Actual results and performances are tracked against the software plans.
2. Corrective actions are taken and managed to closure when actual results deviate significantly from the software plans.
3. Changes to software commitments are agreed to by the affected groups and individuals.
Scope
Involves:
o tracking and reviewing software accomplishments and results against documented estimates, commitments, and plans
o adjusting plans based on actual accomplishments and results L2

25. QUALITY ASSURANCE Goals
Purpose
Goals
To provide management with appropriate visibility into the process being used and the products being built
1. Software quality assurance activities are planned.
2. Adherence of software products and activities to the applicable standards, procedures, and requirements is verified objectively.
3. Affected groups and individuals are informed of software quality assurance activities and results.
4. Noncompliance issues that cannot be resolved within the software project are addressed by senior management.
Scope
Involves:
o reviewing and auditing the software products and activities to ensure that they comply with the applicable procedures and standards
o providing the software project and other appropriate managers with the results of those reviews and audits L2

26. CONFIGURATION MANAGEMENT
Purpose
Goals
To establish and maintain the integrity of the products of the software project throughout the software life cycle
1. Software configuration management activities are planned.
2. Selected software work products are identified, controlled, and available.
3. Changes to identified software work products are controlled.
4. Affected groups and individuals are informed of the status and content of software baselines.
Scope
Involves:
o identifying configuration items/units
o systematically controlling changes o maintaining integrity and traceability of the configuration throughout the software life cycle L2

27. SUBCONTRACT MANAGEMENT
Purpose
Goals
To select qualified software subcontractors and manage them effectively
1. The prime contractor selects qualified software subcontractors.
2. The prime contractor and the software subcontractor agree to their commitments to each other.
3. The prime contractor and the software subcontractor maintain ongoing communications.
4. The prime contractor tracks the software subcontractor’s actual results and performances against its commitments.
Scope
Involves:
o selecting a software subcontractor
o establishing commitments with the subcontractor o tracking and reviewing the subcontractor’s performance and results L2

28. CMM LEVEL 3 KEY PROCESS AREA
Organization
Process
Focus
Organization
Process
Definition
Training
Program
Inter-group
Coordination
Peer Reviews
Integrated
Software
Management
Software
Product
Engineering L3

29. ORGANIZATION FOCUS
Purpose
Goals
To establish the organizational responsibility for software process activities that improve the organization’s overall software process capability
1. Software process development and improvement activities are coordinated across the organization.
2. The strengths and weaknesses of the software processes used are identified relative to a process standard.
3. Organization-level process development and improvement activities are planned.
Scope
Involves:
o developing and maintaining an understanding of organization and project software processes
o coordinating the activities to assess, develop, maintain, and improve these processes L3

30. ORGANIZATION PROCESS DEFINITION
Purpose
Goals
To develop and maintain a usable set of software process assets that improve process performance and provide a basis for cumulative, long-term benefits
1. A standard software process for the organization is developed and maintained.
2. Information related to the use of the organization’s standard software process by the software projects is collected, reviewed, and made available.
Scope
Involves developing and maintaining the organization’s standard software process and related process assets
The organization’s standard software process describes the fundamental elements that each project incorporates and tailors to fit the project L3

31. INTEGRATED SOFTWARE MANAGEMENT
Purpose
Goals
To integrate the project’s software engineering and management activities into a coherent, defined software process tailored from the organization’s software process assets
1. The project’s defined software process is a tailored version of the organization’s standard software process.
2. The project is planned and managed according to the project’s defined software process.
Scope
Involves:
o developing the project’s defined software process by tailoring the organization’s standard software process
o managing the software project according to this defined software process L3

32. SOFTWARE PRODUCT ENGINEERING
Purpose
Goals
To consistently perform a well-defined engineering process that integrates all the software engineering activities to produce correct, consistent software products effectively and efficiently
1. The software engineering tasks are defined, integrated, and consistently performed to produce the software.
2. Software work products are kept consistent with one another.
Scope
Involves performing the engineering tasks to build and maintain the software using appropriate tools and methods
Includes requirements analysis, design, coding, integration, and testing L3

33. INTERGROUP COORDINATION
Purpose
Goals
To establish a means for the software engineering group to participate actively with the other engineering groups so the project is better able to satisfy the customer’s needs effectively and efficiently
1. The customer’s requirements are agreed to by all affected groups.
2. The commitments between the engineering groups are agreed to by the affected groups.
3. The engineering groups identify, track, and resolve inter-group issues.
Scope
Involves the disciplined interaction and coordination of the project engineering groups with each other to address system-level requirements, objectives, and plans L3

34. TRAINING PROGRAM 1. Training activities are planned.
Purpose
Goals
To develop the skills and knowledge of individuals so they can perform their roles effectively and efficiently
1. Training activities are planned.
2. Training for developing the skills and knowledge needed to perform software management and technical roles is provided.
3. Individuals in the software engineering group and software-related groups receive the training necessary to perform their roles.
Scope
Involves:
o identifying the training needs of the organization, the projects, and individuals
o developing and/or procuring training to address these needs L3

35. PEER REVIEWS 1. Peer review activities are planned.
Purpose
Goals
To remove defects from the software work products early and efficiently before unit test.
To develop a better understanding of the software work products and of defects that might be prevented
1. Peer review activities are planned.
Defects in the software work products are identified and removed.
A matrix of review results is generated
Scope
Involves a methodical examination of work products by the producer’s peers to identify defects and areas where changes are needed L3

36. KEY DIFFERENCES OF LEVEL 1, LEVEL 2 & LEVEL 3
Difference between Level 1 and Level 2: Level 1 is ad hoc and occasionally chaotic; few processes are defined, and success depends on individual effort.
Level 2:
Basic project management processes are established to track cost, schedule, and functionality.
The necessary process discipline is in place to repeat earlier successes on projects with similar applications.
Difference between Level 2 and Level 3: Level 3 encompasses integrated and standardized management and engineering activities; projects tailor the organization’s standard software process to meet their needs.

37. CMM KEY PROCESS AREA CHECKLIST
This checklist is intended to focus senior management attention on key process areas in relation to their business goals.
A typical use for this checklist would be as follows:
Review and gather responses to the checklist as part of a quarterly review meeting with senior management.
Identify the priorities indicated for areas rating the highest impact and highest urgency.
Assign responsibility for investigating specific actions to address issues in those areas.
Review feasibility of actions, and initiate appropriate actions.
Critical Questions for each Key Process Area:
Are we satisfied with our current performance? (Yes or No)
If not satisfied (No) then answer the following:
What is the negative impact on the achievement of our business goals? (H M L)
What is the urgency for us to take action to address the relevant issues? (H M L)
(Next steps: Assign responsibility for investigating specific actions, then review feasibility)

38. CHECKLIST 1 Key Process Area Purpose Requirements Management2 3
Requirements Management
Establishing and maintaining a common understanding between the customer and the project of the customer’s requirements that will be addressed.
Yes No H M L
Software Project Planning
Establishing reasonable plans for engineering tasks and for managing the project, developing estimates, establishing commitments, and defining the plans.
Software Project Tracking and Oversight
Providing adequate visibility into actual progress so that management can take effective actions when the project’s performance deviates significantly from plan.
Software Subcontract Management
Selecting qualified subcontractors and managing them effectively.
Software Quality Assurance
Providing management with appropriate visibility through reviews and audits of products and activities to verify that they comply with applicable procedures.
Software Configuration Management
Establishing and maintaining the integrity of the products throughout the life cycle, systematically controlling changes to the configuration.

39. CHECKLIST 2 & 3 Key Process Area Purpose Organization Process Focus1 2 3
Organization Process Focus
Establishing and maintaining a common understanding between the customer and the project of the customer’s requirements that will be addressed.
Yes No H M L
Organization Process Definition
Developing and maintaining process-related documentation and data that improve performance across projects and provide a basis for cumulative long-term benefits to the organization.
Training Program
Developing the skills and knowledge of individuals so that they can perform their roles effectively and efficiently, identifying and procuring needed training.
Key Process Area
Purpose 1 2 3
Integrated Software Management
Integrating the engineering and management activities into a coherent, defined process, and managing the project using this defined process.
Yes No H M L
Software Product Engineering
Consistently performing a well-defined engineering process that integrates all activities to produce correct, consistent products, effectively and efficiently.
Intergroup Coordination
Establishing participation with other engineering groups to establish requirements, plan and manage technical working interfaces, conduct regular reviews and technical interchanges.
Peer Reviews
Removing defects from work products early and efficiently, and as a side-effect, to better understand the products and the defects that might be prevented.

40. CHECKLIST 4 & 5 Key Process Area Purpose1 2 3
Quantitative Process Management
Controlling the process performance of the project, identifying the special causes of variation in a measurably stable process, and correcting the circumstances leading to the transient variation.
Yes No H M L
Software Quality Management
Developing a quantitative understanding of the quality of the project’s products and achieving specific quality goals.
Key Process Area
Purpose 1 2 3
Defect Prevention
Identifying causes of defects and preventing them from recurring.
Yes No H M L
Technology Change Management
Identifying beneficial new technologies, tools, methods, processes, and transferring them into the organization in an orderly manner.
Process Change Management
Continually improving the processes, incremental improvements, and innovative improvements, and providing them to the entire organization.

41. ISSUES WITH CMM (I)
Focus mostly on activities and supporting artifacts associated with a conventional waterfall process: requirements specifications, documented plans, quality assurance audits and inspections and documented processes and procedures.
It does not address evolving results, (i.e., the software product) and associated engineering artifacts (use-case models, design models, source code, or executable code) that capture the real target product.
No emphasis on the architecting/design process, assessment process, or deployment process, all of which have proven to be key discriminators for project success.

42. ISSUES WITH CMM (II)
CMM overemphasizes peer reviews, inspections, and traditional quality assurance “policing” method. These activities rarely uncover the architecturally significant flaws.
Most organizations define their process based strictly on traceability to the CMM for passing an audit, rather than on a complete assessment framework to measure real improvement along project performance dimensions: estimated time to market, probable cost to complete, and predicted quality product.
CMM is activity-based, i.e., it does not have an accurate measure of an organization’s current maturity level.

43. CMMI Capability Maturity Method Integration
For details refer to the documents in the subfolder CMMI