1. CMMI (Capability Maturity Model–Integrated) Overview
Dan Weinberger
Mgr., Software Process Engineering
iDEN Systems Division, Motorola Inc.
Prof. Paul Rogoway, Judea and Samaria University and Consultant to Motorola Corporate Quality

2. CMMI - Rogoway, Weinberger
What we will Discuss
CMMI – why, provenance, releases
Terminology shifts from CMM
How is the CMMI different from CMM
Maturity Level definition has changed
Level by Level content changes
Process Area structure
Summary
In a hurry? – see pp & 34
March 1, 2001
CMMI - Rogoway, Weinberger

3. Motivation/requirements
CMMI Background 1 of 4
Motivation/requirements
Integrate the many CMMs: software, systems engineering, integrated product [and process] development,SW acquisition,people
Integrate the assessment process
Strengthen process areas at higher maturity levels
Strengthen link of model to business results
Add benefit from SPI experience over many years
Harmonize with international process standards, e.g. ISO/IEC (SPICE)
Respond to specific change requests
March 1, 2001
CMMI - Rogoway, Weinberger

4. CMMI - Rogoway, Weinberger
CMMI Background 2 of 4
Who ? Whence ? What ?
Project Team
Sponsors: OSD + NDIA, other Govt. orgs.
Steering Group: DoD, SEI, Defense industry
SEI Proj. Mgr., 40+ authors, 60 Stakeholder/Reviewers
Source models:
CMM SW v1.1, CMM SW v2.0d, EIA IS731, IPD v0.98
Products
Continuous and staged representations of:
CMMI-SE/SW
With and without IPPD
ARC (Assessment Requirements for CMMI)
SCAMPI (Standard CMMI Assessment Method for Process Improvement)
Training
Common CMM framework (CCF) for easy extensibility
March 1, 2001
CMMI - Rogoway, Weinberger

5. CMMI - Rogoway, Weinberger
CMMI Background 3 of 4
CMMI Releases
First Release of CMMI – August 1999
Numerous public comment periods
Current Status
Version 1.02 of CMMI-SE/SW and CMMI-SE/SW/IPPD released Dec. 4,‘00
Version 1.02d of CMMI-SE/SW/IPPD/A (addition of the Acquisition discipline amplification)
Version 1.1 Dec – next major release
Training 
March 1, 2001
CMMI - Rogoway, Weinberger

6. CMMI - Rogoway, Weinberger
CMMI Background 4 of 4
Training
Introductory classes for SE/SW
Staged
Continuous
CMMI Intermediate concepts class
For prospective CMMI teachers and Lead Assessors
Lead Assessor training (SCAMPI)
March 1, 2001
CMMI - Rogoway, Weinberger

7. CMMI - Rogoway, Weinberger
CMMI Terminology 1 of 2
Vocabulary Shift
KPA is now Process Area (PA)
Key Practices are now Practices
“Software” dropped from many terms
“Organization’s Standard SW Process” (OSSP) is now “Organization’s Set of Standard Processes”
“Project’s defined software process” now simply “project’s defined process”
CAF -> ARC (Assessment Requirements for CMMI)
CBA-IPI -> SCAMPI (Standard CMMI Assessment Method for Process Improvement)
March 1, 2001
CMMI - Rogoway, Weinberger

8. CMMI - Rogoway, Weinberger
CMMI Terminology 2 of 2
New Terms in the CMMI
Generic Goals and Practices
Process architectures
Process elements
Product life cycle
Organizational support environment
Organizational measurement repository
Project development plan
Achievement/Target capability level profile
March 1, 2001
CMMI - Rogoway, Weinberger

9. CMMI - Rogoway, Weinberger
CMMI Broadens Scope
Overview 1 of 4 10
Project
Initiation 9
System
Requirements
Baselined 8
Allocated 7
Contract
Book
Baselined &
Approved 6
Design
Readiness 5
System Test 4
Ready for
Field
Test
Software Engineering
System Engineering
Integrated Product & Process Development
Current CMM-SW covers Allocated SW Reqts -> SW Test
Integrated CMMI-SE/SW covers Product Development
Integrated CMMI-SE/SW/IPPD adds collaborative support
March 1, 2001
CMMI - Rogoway, Weinberger

10. CMMI Is Tailorable Staged Model Continuous Model Optimizing
Overview 2 of 4
CMMI Is Tailorable
Staged Model
Continuous Model
Every PA [goal] can be at any Capability Level
Raises the bar for high maturity organizations
An organization can choose, for example, to be at least at Level 3 for all PAs, at Level 4 for a small number, and at Level 5 for a select few
Performed
Managed
Quantitatively Managed
Defined
Optimizing
March 1, 2001
CMMI - Rogoway, Weinberger

11. CMMIs Are Configurable
Overview 3 of 4
CMMIs Are Configurable
CMMI has a modular design to fit the varied needs of users, or to fit the needs of a single organization at various times in its improvement path
Disciplines
Today:
Software
System Engineering
Integrated P&P Dev.
Future:
Acquisition
Hardware Engineering
People\
Improvement Approach
Maturity or
Capability
Pick a combination of disciplines
CMMI-1
CMMI-2
Pick Staged or
Continuous
CMMI-3
SEI can generate a custom CMMI,
Training & Assessment Tool
March 1, 2001
CMMI - Rogoway, Weinberger

12. Model Structural Terms
Overview 4 of 4
Model Structural Terms
Generic Goals (GGs)
Apply to all Process Areas
GGs for Institutionalizing each Level
Generic Practices
Define activities for each GG
Common Features
Apply to Staged only !
GGs for
Commitment, Ability to Perform, Directing Implementation, Verification
Measurement replaced by Directing Implementation
Activities (CF) is now Practices
March 1, 2001
CMMI - Rogoway, Weinberger

13. CMM to CMMI Maturity Levels
24 Process Areas in Levels (# PA’s)
L1: Initial -> L0: Not Performed
L1: Performed
L2: Repeatable(6) -> Managed (7)
L3: Defined(7) -> Defined (11/13)
L4: Managed(2) -> Quantitatively Managed (2)
L5: Optimizing(3) -> Optimizing (2)
March 1, 2001
CMMI - Rogoway, Weinberger

14. Continuous CMMI Capability Levels - Model Only
6 Levels of capability
L0 Not Performed
L1 Performed
Specific practices (activities) performed but institutionalizing generic practices are not
Level same objective as CMM
Each PA may be implemented at its own Capability Level !
March 1, 2001
CMMI - Rogoway, Weinberger

15. Process Areas – Managed Level
L2: Managed 1 of 2
Similar to CMM,
Requirements Management
Project Planning
Project Monitoring and Control (Project Tracking & Oversight)
Supplier Agreement Management (expanded from Subcontract Management)
Process and Product Quality Assurance (expanded SQA)
Configuration Mgmt. (“Software” dropped)
Measurement is “promoted” and receives focus
Measurement and Analysis (huge change; “[The organization] develops and sustains a measurement capability in support of management information needs" )
March 1, 2001
CMMI - Rogoway, Weinberger

16. IPPD Changes – Managed Level
L2: Managed 2 of 2
IPPD Changes – Managed Level
New Practice added to Project Planning
Plan Stakeholder Involvement
New Practice added to Project Monitoring and Control
Monitor Stakeholder Involvement
New Generic Practice added to Directing Implementation (all Process Areas at Level 2)
Identify and Involve Relevant Stakeholders
March 1, 2001
CMMI - Rogoway, Weinberger

17. Process Areas – Defined Level
L3: Defined 1 of 3
Process Areas – Defined Level
Similar to CMM
Organizational Process Focus
Organizational Process Definition
Organizational Training (Training Program)
Integrated Project Management (Integrated SW Mgmt – risk management + Intergroup Coordination)
New
Decision Analysis and Resolution (applies to planning, budgeting, architecture, design, supplier selection, test planning, logistics, project control, and production)
Risk Management (…identifies potential problems before they occur, so that risk-handling activities may be invoked as needed…)
March 1, 2001
CMMI - Rogoway, Weinberger

18. Engineering Process Areas
L3: Defined 2 of 3
Engineering Process Areas
CMM’s Software Product Engineering is replaced by 5 PA’s
Direct influence of Systems Engineering model
The new PA’s are:
Requirements Development (produces requirements + preliminary functional architecture)
Technical Solution (transforms product requirements into a specification of physical components and interfaces) 
Product Integration
Verification (includes Peer Reviews; did we build the product right?)
Validation (did we build the right product?)
March 1, 2001
CMMI - Rogoway, Weinberger

19. IPPD Changes for Defined Level
L3: Defined 3 of 3
IPPD Changes for Defined Level
Integrated Project Management given a collaborative focus – goals for:
Using Shared Vision
Organizing Integrated Teams
New PA: Organizational Environment for Integration
Provide IPPD Infrastructure – share vision, integrate work environment
Manage People for Integration – leadership, incentives
New PA: Integrated Teaming
The purpose of Integrated Teaming is to form and sustain an integrated team for the development of products.
Like Intergroup Coordination but much much more
March 1, 2001
CMMI - Rogoway, Weinberger

20. Process Areas at L4: Quantitatively Managed
Organizational Process Performance
Formerly a goal of QPM, now a PA to emphasize its importance
Provides the organizational data, baselines, and models to support quantitative management of both the organization's and the projects' processes
Quantitative Project Management
Combines CMM’s SQM (product) and QPM (process)
“…quantitatively manage the project’s defined process to achieve the project’s established quality and process performance objectives
Statistical control
Quantitative quality goals and controls during the project
March 1, 2001
CMMI - Rogoway, Weinberger

21. Process Areas at L5: Optimizing
Process Change Management and Technology Change Management have been restructured into Organizational Innovation and Deployment
Continually select and deploy incremental and innovative improvements
Identification and evaluation of potential changes, prioritized using quantitative performance measures produced by Organizational Process Performance (L4)
Technology here is to support, enhance or automate processes (the Technical Solution PA addresses the broader areas of technology)
Defect Prevention has been transformed into Causal Analysis and Resolution
Identifies causes of defects in the project’s defined process to take action to prevent them from occurring in the future
Broadened to address “other problems” besides defects, e.g. cycle time
March 1, 2001
CMMI - Rogoway, Weinberger

22. Specifics & Generics in Staged Model
Staged 1 of 3
Specifics & Generics in Staged Model
PA - Project Monitoring and Control
SG1 Monitor Project Against Plan
SP 1.1 Monitor Project Planning Parameters
SP 1.2 Monitor Commitments
SP 1.3 Monitor Risks
SP 1.4 Monitor Data Management
SP 1.5 Monitor Stakeholder Involvement
SP 1.6 Conduct Progress Reviews
SP 1.7 Conduct Milestone Reviews
SG2 Manage Corrective Action to Closure
SP 2.1 Analyze Issues
SP 2.2 Take Corrective Action
SP 2.3 Manage Corrective Action
Specific Practices
Correspond to Activities
In the CMM
March 1, 2001
CMMI - Rogoway, Weinberger

23. Specifics & Generics in Staged Model
Staged 2 of 3
Specifics & Generics in Staged Model
GG2 Institutionalize a Managed Process
GP CO1 Establish an Organizational Policy
GP AB1 Plan the Process
GP AB2 Provide Resources
GP AB3 Assign Responsibility
GP AB4 Train People
GP DI1 Manage Configurations
GP DI2 Identify and Involve Relevant Stakeholders
GP DI3 Monitor and Control the Process
GP VE1 Objectively Evaluate Adherence
GP 2.10 VE2 Review Status with Higher-level Mgmt.
For all L2 Process Areas
March 1, 2001
CMMI - Rogoway, Weinberger

24. Specifics & Generics in Staged Model
Staged 2 of 3
Specifics & Generics in Staged Model
GG3 Institutionalize a Defined Process
In addition to GP 2.1 – 2.10
GP 3.1 (AB1) Establish a Defined Process
GP 3.2 (DI4) Collect Improvement Information
For all L3, L4, & L5 Process Areas
March 1, 2001
CMMI - Rogoway, Weinberger

25. Specifics & Generics in Continuous Model
Continuous 1 of 3
Specifics & Generics in Continuous Model
PA - Project Monitoring and Control
SG1 Monitor Project Against Plan
SP 1.1 Monitor Project Planning Parameters
SP 1.2 Monitor Commitments
SP 1.3 Monitor Risks
SP 1.4 Monitor Data Management
SP 1.5 Monitor Stakeholder Involvement
SP 1.6 Conduct Progress Reviews
SP 1.7 Conduct Milestone Reviews
SG2 Manage Corrective Action to Closure
SP 2.1 Analyze Issues
SP 2.2 Take Corrective Action
SP 2.3 Manage Corrective Action
March 1, 2001
CMMI - Rogoway, Weinberger

26. Specifics & Generics in Continuous Model
Continuous 2 of 3
Specifics & Generics in Continuous Model
GG1 Achieve Specific Goals
GP 1.1 Identify Work Scope
GP 1.2 Perform Base Practices
GG2 Institutionalize a Managed Process
GP CO1 Establish an Organizational Policy
GP AB1 Plan the Process
GP AB2 Provide Resources
GP AB3 Assign Responsibility
GP AB4 Train People
GP DI1 Manage Configurations
GP DI2 Identify and Involve Relevant Stakeholders
GP DI3 Monitor and Control the Process
GP VE1 Objectively Evaluate Adherence
GP 2.10 VE2 Review Status with Higher-level Mgmt.
March 1, 2001
CMMI - Rogoway, Weinberger

27. Specifics & Generics in Continuous Model
Continuous 3 of 3
Specifics & Generics in Continuous Model
GG3 Institutionalize a Defined Process
GP 3.1 Establish a Defined Process
GP 3.2 Collect Improvement Information
GG4 Institutionalize a Quantitatively Managed Process
GP 4.1 Establish Quality Objectives
GP 4.2 Stabilize Subprocess Performance
GG5 Institutionalize an Optimizing Process
GP 5.1 Ensure Continuous Process Improvement
GP 5.2 Correct Common Cause of Problems
Applies to each Process Area !
As well as product faults
March 1, 2001
CMMI - Rogoway, Weinberger

28. What you can learn from the Model Documents
Both Staged & Continuous model documents have:
Model Structure
Model Terminology
Understanding the Model
Using the Model
In addition to the PA definitions.
March 1, 2001
CMMI - Rogoway, Weinberger

29. So what’s Changed from CMM SW v1.1, Really ?
Clarification of “Measurement”
Expansion of Software Product Engineering
Support for Risk Management and Decision Making
“Redundant” common feature definitions have become “Generics”
The “mitosis” of SQM / QPM into Process Capability + Quant. Process Management
PCM + TCM -> Organizational Innovation and Deployment
March 1, 2001
CMMI - Rogoway, Weinberger

30. And what else has changed?
SE, IPPD & (soon) Acquisition disciplines
Integration of CMMs into “one” model
Support for Staged and Continuous
Model support – ARC, SCAMPI, Training, Transition Plan
Thorough defined
Transition Plan couched in legalese
March 1, 2001
CMMI - Rogoway, Weinberger

31. Benefits of using the CMMI (1 of 2)
Better alignment with Total Product Mgmt.
Focuses on alignment of process with business goals and results
Covers more of the development life-cycle
Makes possible an integrated assessment to cover multiple discipline-based assessments SW,SE,IPPD
Evolutionary
Relatively smooth transition from CMM 1.1 to CMMI SW Staged
More precise definitions for measurement practices and Risk Management
March 1, 2001
CMMI - Rogoway, Weinberger

32. Benefits of Using the CMMI (2 of 2)
Tailorable to organization’s needs (Staged and/or Continuous)
Clear and unambiguous at higher maturity levels
Intentional closer compatibility with emerging international standards
“A26. The method shall define a mechanism for translating assessment observations into associated process attribute outcomes in accordance with ISO/IEC TR [SPICE] clause 7.6.”
March 1, 2001
CMMI - Rogoway, Weinberger

33. CMMI - Rogoway, Weinberger
Risks of Using the CMMI
CMMI IPPD is not soup yet…
V1.1 Release target 12/01 ( 2.25 yrs from Day 1 )
CMMI SW/SE training piloted
SCAMPI pilots under way
Transitioning from CMM requires re-orientation
Continuous or Staged ?
When used for maturity verification the bar is higher
Linkage to ISO 9000 & 9000:2000 has been done on a case by case basis – no consensus among ISO registrars at this time on ISO – CMMI equivalency
March 1, 2001
CMMI - Rogoway, Weinberger

34. CMMI - Rogoway, Weinberger
For more information
CMMISM
                                                                                                                                                           
General Information
News and Communications
Publications and Transition Materials
Product Suite
Organizing Documents
Related Web Pages
March 1, 2001
CMMI - Rogoway, Weinberger