CAPABILITY MATURITY A workshop presentation for

the NITDA STRATEGIC

MODEL INTEGRATION CAPACITY BUILDING FOR
CEOs AND HEADS OF MDAs
( CMMI ®) 28 November 2020
AGENDA
oCommon Project/Process Challenges
oCMMI Insight
oCMMI – Body of Knowledge
oCCMI – History
oWhy CMMI?
oModels of CMMI
oStaged CMMI
oContinuous CMMI
oAppraisals
oConclusion
oReferences
COMMON PROJECT/PRODUCT/PROCESS CHALLENGES
 IMMATURE VS MATURE ORGANISATIONS

An immature organization would have A mature organization would have

the following characteristics − the following characteristics −
Process improvised during project Inter-group communication and
coordination
Approved processes being ignored
Work accomplished according to
Reactive, not proactive plan
Unrealistic budget and schedule Practices consistent with processes
Quality sacrificed for schedule Processes updated as necessary
No objective measure of quality Well-defined roles/responsibilities
Management formally commits
 WHAT IS CMM? …1/2
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.
 WHAT IS CMM? …2/2
CMM was originally developed for Software Development and Maintenance but later it was
developed for −
•Systems Engineering
•Supplier Sourcing
•Integrated Product and Process Development
•People CMM
•Software Acquisition
CMM Examples
•People CMM − Develop, motivate and retain
project talent.
•Software CMM − Enhance a software focused
development and maintenance capability.
 WHAT IS CMMI?
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 for 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.
CMMI DEFINITIONS
The Capability Maturity Model Integration (CMMI®) is a process
and behavioral model that helps organizations streamline process
improvement and encourage productive, efficient behaviors that
decrease risks in software, product and service development.

It is a capability improvement model that can be adapted to solve

any performance issue at any level of the organization in any
industry

The Model provides guidelines and recommendations for helping

your organization diagnose problems and improve performance.
 CMMI BODY OF
KNOWLEDGE
4 Major bodies of knowledge are
important for selecting a CMMI
Model:
Systems Engineering – SE CMM
Software Engineering – SW CMM
Integrated Product and Process
Development – IPD CMM
Supplier Sourcing/ Organizational
Workforce Capability Development (People
CMM) Developed.
HISTORY OF CMMI (…1/2)
In the 1980s, a Standish Group study found that over 30% of all large software projects failed to be
delivered, and of those delivered, 80% failed to be delivered on time and within budgetary provisions.

To address this problem and also lower overall cost of buying software, the Department of Defense
funded the Software Engineering Institute (SEI) at Carnegie Mellon University to find ways to help
defense contractors build software more economically. This became the Capability Maturity Model
(CMM) which eventually expanded into the CMMI of today as a very business tool and competitive
differentiator.

The first CMMI model (V1.02) was designed for use by development organizations in their pursuit
of enterprise-wide process improvement and was released in 2000. Two years later (in 2002) Version
1.1 was released and four years after that (2006), Version 1.2 was released.

In 2010 version 1.3 was released, and Version 2.0 was launched in 2018 with some notable changes
that make the model more accessible and effective for businesses in any industry.
HISTORY OF CMMI (…2/2)
1987 1991 1993 1995 1997 2000 2002 2010 2018

CMMI-SE/SW
First CMM SW-CMM v1.1 CMMI Version 1.3
Version 1.0
Published Published Launched
Published

Model Refined CMMI-SE/SW/IPPD/A

CMMI Initiative CMMI Version 2.0
and Published as Version 1.1
Launched Launched
SW-CMM v1.0 Published

Software Acquisition (SA-CMM),

Systems Engineering (SE-CMM),
Integrated Product Development (IPD-CMM),
Organizational Workforce Capability Development (People CMM)
Developed
BENEFITS OF CMMI

“The purpose of CMM Integration is

to provide guidance for
improving organizations’ processes and
ability to manage the development,
acquisition, and maintenance of products or
services.”
EXAMPLES: COST SAVINGS AT
DB SYSTEMS

Cost per function

reduced by 52%

Source: Performance Results of CMMI-Based Process Improvement, Aug 2006, Technical Report
CMU/SEI-2006-TR-004
 EXAMPLES: SCHEDULE
IMPROVEMENT AT NCR

Average days schedule

variance reduced from
approximately 130 days to
less than 20 days one year
after reaching CMMI
maturity level 2

Source: Performance Results of CMMI-Based Process Improvement, Aug 2006, Technical Report CMU/SEI-2006-TR-004
 EXAMPLES: PRODUCTIVITY
IMPROVEMENT AT IBM

Over 20 percent
improvement in account
productivity as the
organization moved from
SW-CMM maturity level 3
toward CMMI maturity level
5.

Source: Performance Results of CMMI-Based Process Improvement, Aug 2006, Technical Report
CMU/SEI-2006-TR-004
 EXAMPLES: QUALITY
IMPROVEMENT AT IBM

40 percent reduction in overall

production and over 80 percent
reduction in Severity 1 problems, as
the organization moved from SW-
CMM maturity level 3 toward
CMMI maturity level 5

Source: Performance Results of CMMI-Based Process Improvement, Aug 2006, Technical Report
CMU/SEI-2006-TR-004
 EXAMPLES: INCREASED CUSTOMER
SATISFACTION IN LOCKHEED MARTIN
MANAGEMENT AND DATA SYSTEMS
Customer satisfaction most frequently defined by the
results of customer surveys.
 Award fees are sometimes used as surrogate measures.
An example from Lockheed Martin Management and
Data Systems
 Increased award fees by 55 percent

Source: Performance Results of CMMI-Based Process Improvement, Aug 2006, Technical Report
CMU/SEI-2006-TR-004
 EXAMPLES: INCREASED ROI IN
RAETHON CORPORATION
ROI defined by cost avoidance measures and improvements including:
 Rework avoided due to fewer defects
 Improved productivity
 Increased revenue due to shorter cycle times

Example from Raytheon Corporation, anonymous site

 6:1 ROI in a CMMI maturity level 3 organization

Source: Performance Results of CMMI-Based Process Improvement, Aug 2006, Technical Report
CMU/SEI-2006-TR-004
MODELS OF CMMI
The Software Engineering Institute (SEI) identified 25 total processes and put them into the CMMI. These
processes can be applied in two representations depending on which approach suits the development/process
best:

Staged: Here, organizations may choose to apply o Continuous: Here, organizations may choose the
pre-determined processes in a specific sequence to processes most important to their business and
achieve “maturity” in managing development. apply the necessary rigor to achieve a “capability”
• Most like other currently accepted models. for managing development.
• Maturity scale has 5 Levels. • Was designed to focus on specific,
• Focuses on all process areas contained individual process areas
within a level • Capability scale has 6 Levels
• Used for Maturity Level ratings for • Process areas are arranged into functional
contract awards categories
• Start with any Process Area within a level. • Start with any Process Area.

Each organization
may choose the model
that best fits its needs
STAGED CMMI- PROCESS AREA BY MATURITY LEVEL
 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 towards achieving improved

organizational processes.
 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.
CONTINUOUS CMMI- PROCESS AREA BY CAPABILITY
• 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 make improvements based on it.

• The continuous representation uses Capability Levels to characterize improvement relative to an individual
process area

• 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-process-area basis.

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

• Thus Continuous Representation provides flexibility to organizations to choose the processes for
improvement, as well as the amount of improvement required.
 CONTINUOUS VS STAGED REPRESENTATIONS

Continuous Representation Staged Representation

Process areas are organized by process area categories. Process areas are organized by maturity levels.
Improvement is measured using capability levels. Improvement is measured using maturity levels. Maturity
Capability levels measure the maturity of a particular levels measure the maturity of a set of processes across an
process across an organization; it ranges from 0 through 5. organization: it ranges from 1 through 5.
There are two types of specific practices: base and There is only one type of specific practice.
advanced. All specific practices appear in the continuous
representation.
Capability levels are used to organize the generic Common features are used to organize generic practices.
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 There is no need for an equivalence mechanism to back the
level from an organization's achievement profile. continuous representation because each organization can
choose what to improve and how much to improve using
the staged representation.
THINGS TO NOTE:

• There is one CMMI Model with two representations, Staged

and Continuous
• The material in both representations is the same just organized
differently
• Each representation provides different ways of implementing
processes
• Equivalent Staging provides a mechanism for relating Maturity
Levels to Capability Levels
• The CMMI model should be applied using intelligence,
common sense, and professional judgment
 BEHAVIOURS AT THE 5 LEVELS
Maturity Level Process Characteristics Behaviors

Focus on "fire prevention";

Focus is on continuous
Optimizing improvement anticipated and
quantitative improvement desired, and impacts assessed.

Quantitatively Process is measured Greater sense of teamwork and inter-

and controlled dependencies
Managed

Process is characterized Reliance on defined process. People

Defined for the organization and understand, support and follow the process.
is proactive

Process is characterized Over reliance on experience of good

Managed for projects and is often people – when they go, the process
reactive goes. “Heroics.”

Process is unpredictable, Focus on "fire fighting";

Initial poorly controlled, and effectiveness low – frustration high.
reactive
STAGED CMMI
Level 5 Process performance continually
improved through incremental and
innovative technological improvements.
Optimizing
Level 4

y
rit
Processes are controlled using statistical and other
atu Quantitatively
quantitative techniques.
Managed
sM
es

Level 3
oc

Processes are well characterized and understood. Processes,

Pr

standards, procedures, tools, etc. are defined at the

Defined
organizational (Organization X ) level. Proactive.
Level 2

Managed Processes are planned, documented, performed, monitored, and

controlled at the project level. Often reactive.
Level 1

Initial Processes are unpredictable, poorly controlled, reactive.

MATURITY LEVELS AND PROCESS AREAS …1/2
Within each of the 5 Maturity Levels, there are basic functions that need to
be performed – these are called Process Areas (PAs).
For Maturity Level 2 there are 7 Process Areas that must be completely
satisfied.
For Maturity Level 3 there are 11 Process Areas that must be completely
satisfied.
Given the interactions and overlap, it becomes more efficient to work the
Maturity Level 2 and 3 issues concurrently.
Within each PA there are Goals to be achieved and within each Goal there
are Practices, work products, etc. to be followed that will support each of the
Goals.
MATURITY LEVELS AND PROCESS AREAS …2/2
Maturity Level Focus Project Managment Engineering Process Management Support
5 Continuous Organizational Innovation & Deployment Causal Analysis & Resolution
Optimizing Process
Improvement
4 Quantitative Quantitative Project Mngt Organizational Process Performance
Quantitatively Management
Managed
3 Process Integrated Project Mngt Requirements Development Organizational Process Focus Decision Analysis & Resolution
Defined Standardizatio Risk Management Technical Solution Organizational Process Definition
n Product Integration Organizational Training
Verification
Validation
2 Basic Project Project Planning Requirements Mngt Measurement & Analysis
Managed Management Project Monitoring & Control Process & Product Quality Assurance
Supplier Agreement Mngt Configuration Mngt

1
Initial
MATURITY LEVEL 1: INITIAL
Processes are usually ad hoc and chaotic
Organization usually does not provide a stable environment
Maturity level 1 organizations often produce products and services that
work
Maturity level 1 organizations are characterized by:
 Tendency to over commit
 Abandon processes in the time of the crisis
 Not be able to repeat their past successes
MATURITY LEVEL 2: MANAGED …1/2
Process Areas
• REQUIREMENTS MANAGEMENT
The purpose of Requirements Management (REQM) is to manage
Organization has achieved all the requirements of the project’s products and product components
the specific and generic goals and to identify inconsistencies between those requirements and the
Projects of the organization project’s plans and work products.
have ensured that: • PROJECT PLANNING
 Requirements are managed
The purpose of Project Planning (PP) is to establish and
 Processes are planned maintain plans that define project activities.
 Performed, measured, and
controlled • PROJECT MONITORING AND CONTROL
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.

• SUPPLIER AGREEMENT MANAGEMENT

The purpose of Supplier Agreement Management (SAM) is to
manage the acquisition of products from suppliers.
MATURITY LEVEL 2: MANAGED …2/2
Process Areas
MEASUREMENT AND ANALYSIS
The purpose of Measurement and Analysis (MA) is to develop and
Organization has achieved all sustain a measurement capability that is used to support management
the specific and generic goals information needs.
Projects of the organization PROCESS AND PRODUCT QUALITY ASSURANCE
have ensured that: The purpose of Process and Product Quality Assurance (PPQA) is
 Requirements are managed to provide staff and management with objective insight into processes
 Processes are planned
and associated work products.
 Performed, measured, and
controlled
CONFIGURATION MANAGEMENT
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.
 MATURITY LEVEL 3: DEFINED
Process Areas …1/2
REQUIREMENTS DEVELOPMENT
The purpose of Requirements Development (RD) is to produce and analyze customer,
Processes are well product, and product component requirements.
characterized, and TECHNICAL SOLUTION
understood, are The purpose of Technical Solution (TS) is to design, develop, and implement solutions to
described in requirements. Solutions, designs, and implementations encompass products, product
standards, procedures, components, and product-related lifecycle processes either singly or in combination as
tools and methods appropriate.
PRODUCT INTEGRATION
The organizations set The purpose of Product Integration (PI) is to assemble the product from the product
of standard processes, components, ensure that the product, as integrated, functions properly, and deliver the product.
is established and
improved over time VERIFICATION
The purpose of Verification (VER) is to ensure that selected work products meet their
Establishing specified requirements.
consistency across the
VALIDATION
organization
The purpose of Validation (VAL) is to demonstrate that a product or product component
fulfills its intended use when placed in its intended environment.
DECISION ANALYSIS AND RESOLUTION
The purpose of Decision Analysis and Resolution (DAR) is to analyze possible decisions
using a formal evaluation process that evaluates identified alternatives against established
 MATURITY LEVEL 3: DEFINED …2/2
Process Areas
• ORGANIZATIONAL TRAINING
The purpose of Organizational Training (OT) is to develop the skills and knowledge
Processes are well of people so they can perform their roles effectively and efficiently.
characterized, and
ORGANIZATIONAL PROCESS FOCUS
understood, are The purpose of Organizational Process Focus (OPF) is to plan, implement, and
described in standards, deploy organizational process improvements based on a thorough understanding of the
procedures, tools and current strengths and weaknesses of the organization’s processes and process assets.
methods ORGANIZATIONAL PROCESS DEFINITION
The purpose of Organizational Process Definition (OPD) is to establish and
The organizations set of maintain a usable set of organizational process assets and work environment standards.
standard processes, is
INTEGRATED PROJECT MANAGEMENT
established and The purpose of Integrated Project Management (IPM) is to establish and manage
improved over time 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.
Establishing consistency
across the organization RISKThe
MANAGEMENT
purpose of Risk Management (RSKM) is to identify potential problems before
they occur so that risk-handling activities can be planned and invoked as needed across
the life of the product or project to mitigate adverse impacts on achieving objectives.
 MATURITY LEVEL 4: QUANTITATIVELY MANAGED
Process Areas

Subprocesses are selected that ORGANIZATIONAL PROCESS PERFORMANCE

significantly contribute to overall The purpose of Organizational Process Performance
process performance (OPP) is to establish and maintain a quantitative
As criteria in managing process the understanding of the performance of the organization’s set of
quantitative objects for quality are standard processes in support of quality and process-
established performance objectives, and to provide the process-
Quantitative objectives are based on: performance data, baselines, and models to quantitatively
 Needs of a customer manage the organization’s projects.
 End users
 Organization
 Process implements QUANTITATIVE PROJECT MANAGEMENT
The purpose of Quantitative Project Management (QPM)
For these processes, detailed measures
of process performance are collected
is to quantitatively manage the project’s defined process to
and statistically analyzed achieve the project’s established quality and process-
performance objectives.
 MATURITY LEVEL 5: OPTIMISING
Process Areas

Focuses on continually ORGANIZATIONAL INNOVATION AND DEPLOYMENT

improving process performance
through: The purpose of Organizational Innovation and Deployment
 Incremental technological (OID) is to select and deploy incremental and innovative
improvements improvements that measurably improve the organization’s processes
 Innovative technological and technologies. The improvements support the organization’s
improvements quality and process-performance objectives as derived from the
organization’s business objectives.
Both processes are the
organization’s set of measurable CAUSAL ANALYSIS AND RESOLUTION
improvement activities
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.
CMMI CAPABILITY LEVELS
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
CMMI CAPABILITY LEVELS EXPLAINED …1/3
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.
CMMI CAPABILITY LEVELS EXPLAINED …2/3
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

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 process-improvement information to the organizational process assets.
CMMI CAPABILITY LEVELS EXPLAINED …3/3
Capability Level 4: Quantitatively Managed
A capability level 4 process 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: Optimising

An optimizing process is a quantitatively managed process that is improved, based on an
understanding of the common causes of process variation inherent to 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
the targets of improvement activities
ORGANIZATION OF PROCESS AREAS IN CONTINUOUS
REPRESENTATION
 APPRAISALS
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 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) − It 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) is currently the only approved Class A appraisal method.
 SCAMPI CLASS A APPRAISAL
A SCAMPI Class 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 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 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.
 OUTCOMES OF CLASS C APPRAISAL
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-a-vis
the CMMI.
•Recommended process improvement actions.
APPRAISAL CLASS CHARACTERISTICS
Characteristics Class A Class B Class C
Amount of objective High Medium Low
evidence gathered

Rating generated Yes No No

Resource needs High Medium Low
Team size Large Medium Small
Data sources Requires all three data Requires only two Requires only one
(instruments, sources data sources (one data source
interviews, and must be interviews)
documents)
Appraisal team leader Authorized Lead Authorized Lead Person trained and
requirement Appraiser Appraiser or person experienced
trained and
experienced
CONCLUSION
Many organizations can and have benefited from the use of CMMI
globally, in many ways. Some of these include:

Efficiently and effectively improve and assess multiple disciplines

across their organization
Reduce costs (including training) associated with improving and
assessing processes
Deploy a common, integrated vision of process improvement that
can be used as a basis for enterprise-wide process improvement
efforts.
Use of an integrated model to guide enterprise process improvement
promises to be one of the more sustainable & profitable initiatives
that any organization might pursue
Use a SCAMPI to guide your implementation, measure your
progress, and verify your achievements.
THANK
YOU!