CMMI - Introduction

"A process is a leverage point for an organization’s sustained improvement."

The purpose of CMM Integration is to provide guidance for improving an organization’s processes and your ability to manage the development, acquisition, and maintenance of products or services. CMMI places proven approaches into a structure that helps the organization appraise its' organizational maturity or process area capability, establish priorities for improvement, and implement these improvements.

CMMI is supported by a framework that provides the ability to generate multiple models and associated training and appraisal materials. The models encompass content from established bodies of knowledge. An organization can use a CMMI model to help set process improvement objectives and priorities, improve processes, and provide guidance for ensuring stable, capable, and mature processes. CMMI can serve as a guide for improvement of organizational processes.

Professional judgment must be exercised to interpret CMMI specific and generic practices. While process areas depict behavior that should be emulated by the organization, all practices must be interpreted using an in-depth knowledge of the CMMI model being used, and in conjunction with the organizations previaling culture, its' business environment and the circumstances prevailing at a point in time.

The organization should map its' processes to CMMI process areas. This mapping enables it to control process improvement by tracking the level of conformance to the CMMI model (continuous or staged).^[Note]

Model Representation - Continuous or Staged

There are two predominent CMMI models in use. An organization should decide which representation best fits its' process-improvement requriements. The representation, either continuous or staged, will determine the bodies of knowledge you want to be included in the model used by the organization. The following lists describe some of the possible advantages and disadvantages to selecting each of the two representations.

Model
Highlights

Continuous
Figure 1: CMMI Contiuous Representation model

Specific goals organize specific practices and the generic goals organize generic practices.
Each specific and generic practice corresponds to a capability level.
Specific goals and specific practices apply to individual process areas.
Generic goals and generic practices apply to multiple process areas.
Generic goals and generic practices define a sequence of capability levels that represent improvements in the implementation and effectiveness of all the processes you choose to improve.
uses capability levels to measure process improvement,
permits flexibility in the order of improvement that best meets the organization’s business objectives and mitigates the organization’s areas of risk

Enables comparisons across and among organizations on a process area by process area basis or by comparing results through the use of equivalent staging

Affords an easy comparison of process improvement to International Organization for Standardization and International Electrotechnical Commission (ISO/IEC) 15504, because the organization of process areas is similar to ISO/IEC 15504

uses six capability levels, capability profiles, target staging, and equivalent staging as organizing principles for the model components.
groups process areas by affinity categories and designates capability levels ^[Note] for process improvement within each process area.
capability levels provide a recommended order for approaching process improvement within each process area.
allows some flexibility for the order in which the process areas are addressed.

Staged Figure 2 - CMMI Staged Model

Maturity levels provide a recommended order for approaching process improvement in stages.
Maturity levels organize the process areas.
Within the process areas are generic and specific goals as well as generic and specific practices.
Common features organize generic practices.
focuses on best practices for an organization to improve processes in the process areas within a designated maturity level
uses maturity levels to measure process improvement,
Provides a proven sequence of improvements, beginning with basic management practices and progressing through a predefined and proven path of successive levels, each serving as a foundation for the next
Permit comparisons across and among organizations by the use of maturity levels
Provide a single rating that summarizes appraisal results and allows comparisons among organizations
Provides a way to predict the future performance of an organization within a given discipline or set of disciplines.

Levels

All CMMI models with a continuous representation reflect capability levels in their design and content. 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. As the generic and specific goals for a process area are satisfied at a particular capability level, that capability level is achieved and the organization reaps the benefits of process improvement.

Capability levels focus enhancing the organization’s ability to perform, control, and improve its performance in a process area. They enable the tracking, assessment, and demonstration of processes improvements. Capability levels are cumulative, providing a sequencing for process improvement initiatives.

Maturity levels provides a way to predict the future performance of an organization within a given discipline or set of disciplines. A maturity level is a defined evolutionary plateau of process improvement. Each maturity level stabilizes an important part of the organization’s processes. The staged representation identifies the maturity levels through which an organization should evolve to establish a culture of excellence. Because each maturity level forms a necessary foundation on which to build the next level, trying to skip maturity levels is usually counterproductive. Achieving a designated Maturity level assumes the organizaiton has achieved all the pre-requisite activities, goals and objectives of all previous levels.

Comparison of Levels

Level	Capability (Continuous)	Maturity (Staged)
0 - Incomplete	Either not performed or partially performed. One or more of the specific goals of the process area are not satisfied.	Not Used
1 - Initial	Performed A process that satisfies the specific goals of the process area. supports and enables the work needed to produce identified output work products using identified input work products. satisfies all of the specific goals of the process area. practices may be done informally, without following a documented process description or plan. The rigor with which these practices are performed depends on the individuals managing and performing the work and may vary considerably.	Processes are usually ad hoc and chaotic. The organization usually does not provide a stable environment. ^[Note] In spite of this ad hoc, chaotic environment, maturity level 1 organizations often produce products and services that work; however, they frequently exceed the budget and schedule of their projects. 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.
2 - Managed	a performed process that is planned and executed in accordance with policy employs skilled people having adequate resources to produce controlled outputs involves relevant stakeholders is monitored, controlled, and reviewed is evaluated for adherence to its process description.	requirements are managed and that processes are planned, performed, measured, and controlled existing practices are retained during times of stress - projects are performed and managed according to their documented plans. the status of the work products and the delivery of services are visible to management at defined points (for example, at major milestones and at the completion of major tasks). commitments are established among relevant stakeholders and are revised as needed. work products are reviewed with stakeholders and are controlled. work products and services satisfy their specified requirements, standards, and objectives.
3 - Defined	a managed process that is tailored from the set of standard processes according to the tailoring guidelines; has a maintained process description contributes work products, measures, and other process-improvement information to the organizational process assets. provides a basis for planning, performing, and improving the project’s tasks and activities. ^[Note] provides provides qualitative predictability.	processes are well characterized and understood, and are described in standards, procedures, tools, and methods. The set of standard processes, which is the basis for maturity level 3, is established and improved over time.^[Note] management establishes process objectives based on the set of standard processes and ensures that these objectives are appropriately addressed.^[Note] processes are typically described in more detail and more rigorously than at maturity level 2. 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. processes are only qualitatively predictable.
4 - Quantitatively Managed	defined process that is controlled using statistical and other quantitative techniques quantitative objectives^[Note] for quality and process performance are established and used as criteria in managing the process quality and process performance are understood in statistical terms and are managed throughout the life of the process sub-processes that are significant contributors to overall process performance are statistically managed^[Note] quality and process performance measures are incorporated into the measurement repository to support future fact-based decision making quantitatively managed process is institutionalized by: Addressing the items that institutionalize a defined process Establishing and maintaining quantitative objectives for quality and process performance Stabilizing the performance of sub-processes critical to the performance of the process Establishing and maintaining an understanding of the ability of the process to achieve the established quantitative objectives for quality and process performance	Sub-processes, controlled using statistical and other quantitative techniques, are selected that significantly contribute to overall process performance. 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 are understood in statistical terms and are managed throughout the life of the processes. 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 organization’s measurement repository to support fact-based decision making in the future. the performance of processes is controlled using statistical and other quantitative techniques, and is quantitatively predictable processes are concerned with addressing special causes of process variation and providing statistical predictability of the results.
5 - Optimizing	a quantitatively managed process that is changed and adapted to meet relevant current and projected business objectives. focuses on continually improving the process performance through both incremental and innovative technological improvements. Process improvements that would address root causes of process variation and measurably improve the processes are identified, evaluated, and deployed as appropriate. ^[Note] Selected incremental and innovative technological process improvements are systematically managed and deployed. The effects of the deployed process improvements are measured and evaluated against the quantitative process-improvement objectives. An optimizing process is institutionalized by: Satisfying the items that institutionalize a quantitatively managed process Establishing and maintaining quantitative process-improvement objectives Identifying and deploying both incremental and innovative technological improvements that continually improve the range of< process performance	Processes are continually improved based on a quantitative understanding of the common causes of variation inherent in processes. focus is 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 set of standard processes are targets of measurable improvement activities. Process improvements to address common causes of process variation and measurably improve the processes are identified, evaluated, and deployed. Improvements are selected based on a quantitative understanding of their expected contribution to achieving the process-improvement objectives versus the cost and impact to the organization. ^[Note] 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.

Model Components

The components of a CMMI model are grouped into three categories that reflect how they are to be interpreted:

Required: These components must be achieved by an organization’s planned and implemented processes. Required components are essential to rating the achievement of a process area. Goal achievement (or satisfaction) is used in appraisals as the basis upon which process area satisfaction and organizational maturity are determined. Only the statement of the specific or generic goal is a required model component.
Expected: Expected components describe what an organization will typically implement to achieve a required component. Expected components guide those implementing improvements or performing appraisals. Either the practices as described, or acceptable alternatives to them, are expected to be present in the planned and implemented processes of the organization before goals can be considered satisfied.
Informative: Sub-practices, typical work products, discipline amplifications, generic practice elaborations, goal and practice titles, goal and practice notes, and references are informative model components that help model users understand the goals and practices and how they can be achieved. Informative components provide details that help model users get started in thinking about how to approach goals and practices.

Process Area

A process area is a cluster of related practices in an area that, when performed 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. In the continuous representation, process areas are organized by process area categories:

Area Basic Functions Advanced Functions
Process Management
Contains the cross-project activities related to defining, planning, resourcing, deploying, implementing, monitoring, controlling, appraising, measuring, and improving processes

Process Focus

Process Definition

Training

Process Performance

Innovation and Deployment

Project Management
Covers the project management activities related to planning, monitoring, and controlling the project.

Project Planning

Project Monitoring and Control

Supplier Agreement Management

Integrated Project Management for IPPD (or Integrated Project Management)

Risk Management

Integrated Teaming

Integrated Supplier Management

Quantitative Project Management

Engineering
Covers the development and maintenance activities that are shared across engineering disciplines (e.g., systems engineering and software engineering).^[Note]

Requirements Development
Requirements Management
Technical Solution
Product Integration
Verification
Validation

Support
Covers the activities that support product development and maintenance. The Support process areas address processes that are used in the context of performing other processes. In general the Support process areas address processes that are targeted towards the project, and may address processes that apply more generally to the organization.

Configuration Management
Process and Product Quality Assurance
Measurement and Analysis

Organizational Environment for Integration
Decision Analysis and Resolution
Causal Analysis and Resolution

Goals

Specific goals apply to a process area and address the unique characteristics that describe what must be implemented to satisfy the process area. Specific goals are required model components and are used in appraisals to help determine whether a process area is satisfied. There can be specific practices at different capability levels mapped to the same goal. However, every goal has at least one capability level 1 practice mapped to it.

Each capability level has only one Generic Goal that describes the institutionalization that the organization must achieve at that capability level. Thus, there are five generic goals; each appears in every process area. Achievement of a generic goal in a process area signifies improved control in planning and implementing the processes associated with that process area thus indicating whether these processes are likely to be effective, repeatable, and lasting. ^[Note]

Practices

A Specific practice is an activity that is considered important in achieving the associated specific goal^[Note]. The specific practices describe the activities expected to result in achievement of the specific goals of a process area. Every specific practice is associated with a capability level. Specific practices are expected model components. In the continuous representation, all the specific practices with a capability level of 1 are called “base practices” and all the specific practices with a capability level of 2 or higher are called “advanced practices.” For example, within the Requirements Management process area, “Develop an understanding with the requirements providers on the meaning of the requirements” is a capability level 1 specific practice, whereas “Obtain commitment to the requirements from the project participants” is a capability level 2 specific practice.

Sometimes an advanced practice builds on a base practice. When this happens, the advanced practice is included in the staged representation as a specific practice, but the base practice is not. Rather, the base practice is presented as informative material after the specific practice. This informative material explains how the base and advanced practices appear in the continuous representation. Other times, an advanced practice does not build on a base practice. When this happens, the advanced practice is automatically included in the staged representation as a specific practice.

Generic practices provide institutionalization to ensure that the processes associated with the process area will be effective, repeatable, and lasting. Generic practices are categorized by capability level and are expected components in CMMI models. In the continuous representation, each generic practice maps to one generic goal.

Some generic practices rely on the support of a process area. An example is the generic practice “Place designated work products of the process under appropriate levels of configuration management.” The Configuration Management process area supports this generic practice. This means that to implement this generic practice for another process area, you might choose to implement the Configuration Management process area, all or in part, to make it happen.

Other generic practices cannot be executed without an output from a process area. An example is the generic practice “Establish and maintain the description of a defined process.” This generic practice requires the process assets created by the implementation of the Organizational Process Definition process area. This means that to make full use of this generic practice for another process area, the Organizational Process Definition process area must be established as a pre-condition, all or in part, for securing the output needed to achieve the generic practice.

Sub-practices are detailed descriptions that provide guidance for interpreting specific or generic practices. Sub-practices may be worded as if prescriptive, but are actually an informative component in CMMI models meant only to provide ideas that may be useful for process improvement.

Level Profiles

In the continuous representation, a capability level profile is a list of process areas and their corresponding capability levels. This profile is a way for the organization to track its capability level by process area.

The profile is an achievement profile when it represents the organization’s progress for each process area while climbing up the capability levels. Alternatively, the profile is a target profile when it represents the organization’s process-improvement objectives. An achievement profile, when compared with a target profile, enables the measurement of process-improvement, and demonstrates progress to management.

Target staging is a sequence of target profiles that describe the desired path of process improvement. When building target profiles, the organization should pay attention to the dependencies between generic practices and process areas. When a generic practice is dependent upon a certain process area, either to carry out the generic practice or to provide a prerequisite product, the generic practice will be ineffective when the process area is not implemented. When a target profile is chosen with these dependencies accounted for, the target profile is admissible.

Equivalent Staging may be desirable to convert an achievement profile for an organization into a maturity level.

Process Institutionalization

"Institutionalization is a critical aspect of process improvement and is an important concept within each maturity level. When mentioned in the maturity level descriptions, institutionalization implies that the process is ingrained in the way the work is performed."

CMMI - Staged Representation, p. 33

Managed Process

Adhers to organizational policies
Follows established plans and process descriptions
Provides adequate resources (including funding, people, and tools)
Assigns responsibility and authority for performing the process
Trains the people performing and supports the process
Places designated work products under appropriate levels of configuration management
Identifies and involves relevant stakeholders
Monitors and controls the performance of the process against the plans and takes corrective actions when necessary
Objectively evaluates the process, its work products, and its services for adherence to the process descriptions, objectives, and standards, and addresses noncompliance
Reviews the activities, status, and results of the process with higher level management, and takes corrective action

Defined Process

Addresses the items that institutionalize a managed process
Establishes the description of the defined process for the project or organizational unit
Collects work products, measures, and improvement information derived from planning and performing the defined process

Quantitatively Managed Process

Addresses the items that institutionalize a defined process
Controls the process using statistical and other quantitative techniques such that product quality, service quality, and process performance attributes are measurable and controlled

Optimized Process

Addresses the items that institutionalize a quantitatively managed process
Improves the process based on an understanding of the common causes of variation inherent in the process such that the process focuses on continually improving the range of process performance through both incremental and innovative improvements

———> Next: Frameworks

Model	Highlights
Continuous	Specific goals organize specific practices and the generic goals organize generic practices. Each specific and generic practice corresponds to a capability level. Specific goals and specific practices apply to individual process areas. Generic goals and generic practices apply to multiple process areas. Generic goals and generic practices define a sequence of capability levels that represent improvements in the implementation and effectiveness of all the processes you choose to improve. uses capability levels to measure process improvement, permits flexibility in the order of improvement that best meets the organization’s business objectives and mitigates the organization’s areas of risk Enables comparisons across and among organizations on a process area by process area basis or by comparing results through the use of equivalent staging Affords an easy comparison of process improvement to International Organization for Standardization and International Electrotechnical Commission (ISO/IEC) 15504, because the organization of process areas is similar to ISO/IEC 15504 uses six capability levels, capability profiles, target staging, and equivalent staging as organizing principles for the model components. groups process areas by affinity categories and designates capability levels ^[Note] for process improvement within each process area. capability levels provide a recommended order for approaching process improvement within each process area. allows some flexibility for the order in which the process areas are addressed.
Staged	Maturity levels provide a recommended order for approaching process improvement in stages. Maturity levels organize the process areas. Within the process areas are generic and specific goals as well as generic and specific practices. Common features organize generic practices. focuses on best practices for an organization to improve processes in the process areas within a designated maturity level uses maturity levels to measure process improvement, Provides a proven sequence of improvements, beginning with basic management practices and progressing through a predefined and proven path of successive levels, each serving as a foundation for the next Permit comparisons across and among organizations by the use of maturity levels Provide a single rating that summarizes appraisal results and allows comparisons among organizations Provides a way to predict the future performance of an organization within a given discipline or set of disciplines.

Area	Basic Functions	Advanced Functions
Process Management Contains the cross-project activities related to defining, planning, resourcing, deploying, implementing, monitoring, controlling, appraising, measuring, and improving processes	Process Focus Process Definition Training	Process Performance Innovation and Deployment
Project Management Covers the project management activities related to planning, monitoring, and controlling the project.	Project Planning Project Monitoring and Control Supplier Agreement Management	Integrated Project Management for IPPD (or Integrated Project Management) Risk Management Integrated Teaming Integrated Supplier Management Quantitative Project Management
Engineering Covers the development and maintenance activities that are shared across engineering disciplines (e.g., systems engineering and software engineering).^[Note]	Requirements Development Requirements Management Technical Solution Product Integration Verification Validation
Support Covers the activities that support product development and maintenance. The Support process areas address processes that are used in the context of performing other processes. In general the Support process areas address processes that are targeted towards the project, and may address processes that apply more generally to the organization.	Configuration Management Process and Product Quality Assurance Measurement and Analysis	Organizational Environment for Integration Decision Analysis and Resolution Causal Analysis and Resolution