H. Overview of Capability Maturity Model (CMM)

H. Overview of Capability Maturity Model (CMM)
1. Introduction 1.1 Background The Capability Maturity Model (RD1) came about because the US DOD asked the SW Engineering Institute ( to come up with an approach of evaluating software subcontractors. The resulting approach or model relies on the assumption that Organisation's mastery of IT Depends on A. Level of mastery of development processes (5 levels in CMM) + B. Level of technology reached & its coherence with processes used (2 levels in CMM)

In theory one can then classify an organisation within a grid of 10 positions. In practice, some of the positions won't arise as illustrated by the following from RD2: B Basic Methods Standard Data collected & Zero Errors (!) A Ineffectual Serious cost & schedule problems standards SW process Quantified 1 Initial 2 Repeatable 3 Defined 4 Managed 5 Optimizing Black means that "B & 1" and "A & 5" are very unlikely to be true at same time. Grey means that it is possible "B & 2" to occur together; similarly, for "A & 4".

1.2 Outline of levels: Process mastery (1/2) 1. Initial: Procedures and lines of authority are badly defined. Organisation does not apply sound software engineering principles in a coherent way to software development Organisation does not use technology and modern tools, or else uses them badly. 2. Repeatable: Generally, the organisation has learned how to manage cost and schedule. Repeatable processes are in place. Standard methods are used to manage such activities as cost estimation, planning, change management of specifications and code, and project reviews. 3. Defined: Processes are well defined and reasonably complete. The procedures are defined in terms of SW engineering standards & methods. Improvements have been effected in both methods and organisational structure. In particular, improvements have been made in design & code reviews, and training programs have been established for programmers and review moderators. A key improvement is putting in place of a dedicated SW engineering group.

1.2 Outline of levels: Process mastery (2/2) 4. Managed: Processes are not only understood but are also quantified, measured and quite well mastered. The organisation bases its operational decisions on quantified data. Analysis is focussed on data collected during reviews and tests. Tools are used to improve process mastery and management, as well as to collect and analyse data. Estimates of error rates are reasonably accurate. 5. Optimized: Organisation has not only achieved a high degree of mastery of the different processes but is also oriented towards improvement and optimization of these processes. This implies that there is sophisticated analysis of collected data on errors and costs, and that investigations are made of the causes of errors and how to prevent them. The data are analysed iteratively to improve processes and to achieve optimal performance.

1.3 Outline of levels: Technological mastery A. Ineffectual: While there may be several tools and automated methods in use within the organisation, the technology is either not very good or is not being used effectively. B. Basic: Technologies of proven effectiveness are in place. An organisation that uses proven basic software development technology will be reasonably effective and, depending on its mastery of processes, will regularly deliver satisfactory performance.

1.4 Some general remarks on CMM (a) In these slides, we present just an outline of the basic CMM but be aware that there have been substantial developments over the years. In particular, CMM was upgraded to CMMI (Capability Maturity Model Integration) in 2000. (b) According to RD2 (which is quite a while ago!), about 80% of organisations were at level 1 or 2 of process mastery, and at level A of technological mastery. See for a list of organizations who have achieved various CMM levels. According to (2006) “Fewer than 100 companies in the world have been assessed at a CMM Level 5 rating.” See for an analysis of CMM (c) If CMM is introduced into an organisation in an inappropriate way, there is a real risk of documentation overload with no real long term benefits. (d) A more detailed sketch of levels 2 to 5 is given below.

1.4 Reference documents RD1 Paulk et al, The Capability Maturity Model: Guidelines for improvement of the software process, Addison-Wesley 1995 RD2 Martin, Qualité du logiciel et système qualité, Masson1992 1.5 Glossary, Acronyms & Abbreviation B/L Baseline (Here, shorthand for system req'ts forming basis for SW) Configure Includes "Identify, control, make available" KPA Key Process Area Proj Mgt Project Management (may be wider than just SW Proj Mgt) QM Quality management SCM Software Configuration Management SDP Software development plan SPI Software Process Improvement SQA Software Quality Assurance SQM Software Quality Management SW eng Depending on context may mean SW engineering personnel

2. CMM Level 2 - Repeatable (1/6) KPA -> Requirements Management Goals 1.Control System Requirements B/L 2. Keep SW processes consistent with B/L Commitment to perform 1.Written policy for System Requirements management Ability to perform 1.Establish responsibility for System Requirements analysis 2.Document System Requirements allocation to SW 3.Resource B/L management 4.Training for B/L management Activities performed 1.Review System Requirements allocated to SW (i.e. B/L) 2.Use System Requirements B/L as basis for SW development (plans, work products, activities) 3.Review & incorporate changes to System Requirements B/L. Measurement & analysis 1.Make measurements & use them to determine B/L status. Verifying implementation 1.Senior Management review B/L management 2. Project Management review B/L management 3. QA review B/L management

2. CMM Level 2 - Repeatable (2/6) KPA -> SW Project Planning Goals 1.Document SW estimates Plan & document project activities & commitments 3.Affected people agree Commitment to perform 1.Designate SW Project Manager 2.Follow written policy for SW project planning Ability to perform 1.Documented & approved SOW exists Responsibility for SDP assigned 3.Adequate SDP resources Adequate planning training Activities performed 1.SW eng. involved in proposal preparation Early SW project planning 3.SW eng involved in overall planning Senior management review external committments 5.Define SW lifecycle Develop SDP per documented procedure Document SDP 8.Identify controlling items Estimate size of items Estimate effort & cost 11. Estimate computer resources 12.Derive SW schedule Identify risks 14.Plan support environment Record planning data Measurement & analysis 1.Make measurements & use them to determine SW planning status. Verifying implementation 1.Senior Management review SW planning activity 2. Project Management review SW planning activity 3. QA review SW planning activity

2. CMM Level 2 - Repeatable (3/6) KPA -> SW Project Tracking & Oversight Goals 1.Track actual vs. plans Correct for deviations between actual & planned 3.Ensure affected people agree any corrective changes Commitment to perform 1.Designate SW Project Manager 2.Follow written policy for SW project management Ability to perform 1.Documented & approved SDP exists PM assigns responsibi'ties 3.Adequate resources Adequate PM training 5.Adequate techical orientation for first line managers Activities performed 1.Follow/Use SDP Revise SDP per documented procedure .3. Senior mgt review external commitments Communicate changes Track size of items 6. Track effort & cost Track computer resources Track schedule 9. Track technical activities Track risks 11.Record management data Conduct internal reviews to track progress 13.Perform formal reviews at selected milestones. Measurement & analysis 1.Make measurements & use them to determine SW tracking/oversight status. Verifying implementation 1.Senior Management review tracking activity Project Management review tracking activity 3. QA review tracking activity

2. CMM Level 2 - Repeatable (4/6) KPA -> SW Subcontract Management Goals 1.Pick qualified SW contractors Parties agree committments 3.Parties maintain committments Track performance vs committments Commitment to perform 1. Written policy for SW subcontract management 2. Designate subcontract Manager Ability to perform 1. Adequate resources Adequate training 3. Adequate technical orientation for SW managers & similar Activities performed 1.Work to be subcontracted is defined & planned per a documented procedure 2.Pick contractor per documented procedure Agreement is basis for contract management 4.Review/Approve subcontract SDPs. Track vs subcontract SDP 6.Manage change per documented procedure Hold reviews/status meetings 8.Hold technical reviews/communications Hold formal reviews 10.Prime QA monitors sub-contractor's QA activities Monitor subcontract CM activity Measurement & analysis 1.Make measurements & use them to determine sub-contract management status. Verifying implementation 1.Senior Management review sub-contract activity Project Management review sub-contract activity 3. QA review sub-contract activity

2. CMM Level 2 - Repeatable (5/6) KPA -> SW Quality Assurance (SQA) Goals 1.Plan SW QA activities 2.Objective check vs standardss etc 3.Inform those affected 4.'Promote ' unresolvable” issues to highr management (i.e. above the Project Manager level) Commitment to perform 1. Written policy for SW QA implementation Ability to perform 1.SQA group exists 2. Adequate resources 3. Adequate training4.SW project team oriented on role, responsibilities, authority, and value of SQA. Activities performed 1.Prepare software quality assurance plan (SQAP) Follow/Use SQAP 3.SQA participates in preparation & review of SDP, standards, and procedures 4.Review SW engineering activities for compliance Audit designated work products for compliance 6.Periodically report results to SW engineering group 7.Document & handle deviations in activities and work products 8.SQA reviews its activities with customer QA Measurement & analysis 1.Make measurements & use them to determine cost & schedule status (of QA) Verifying implementation 1.Senior Management review QA activity Project Management review QA activity 3. Independent experts review QA activity

2. CMM Level 2 - Repeatable (6/6) KPA -> SW Configuration Management (SCM) Goals 1.Plan SCM 'Configure' selected items 3.Control changes Do status accounting Commitment to perform 1. Written policy for SW CM implementation Ability to perform 1.A SW “Configuration Control Board” CCB exists A project SCM group exists 3. Adequate resources Adequate training-SCM 5. Adequate training-SW engineering group Activities performed 1.Prepare software configuration management plan (SCMP) Follow/Use SCMP 3.Establish CM library system Identify configuration items (CIs) 5.Implement problem reporting and corrective actopn system (PRACAS) Control baseline changes 7.Products from SW baseline library are created & release is controlled according to a documented procedure. 8.Record status of SCIs Standard reports of SCM activities & SW baseline contents are circulated 10.Audit SW baseline Measurement & analysis 1.Make measurements & use them to determine SCM status Verifying implementation 1.Senior Management SCM activity Project Management SCM activity 3. SCM group audits baselines QA SCM activity

3. CMM Level 3 - Defined (1/7) KPA -> Organisation Process Focus Goals 1.Coordinate SW process definition & improvement 2.Identify strengths & weaknesses vs a Standard Plan development & improvement Commitment to perform 1. Follow written policy Senior management sponsors 3. Senior management oversees Ability to perform 1.Group responsible for organisation’s SW process exists Adequate resources 3.Adequate training Orientation provided Activities performed 1.Assess SW processes periodically & develop action plans to address the assessment findings 2.Develop & Maintain plan Coordinate activities 4.Coordinate use of SW process database 5.Monitor new elements in limited use & transfer if appropriate Coordinate training 7.Inform implementors about process development & improvement. Measurement & analysis 1.Make measurements & use them to determine development and improvement status. Verifying implementation 1.Senior Management review SW process development and improvement activities

3. CMM Level 3 - Defined (2/7) KPA -> Organisation Process Definition Goals 1.A standard SW process for the organisation is developed/maintained 2.Information related to use of the standard SW process by projects is generated/circulated Commitment to perform 1.Follow written policy for developing/maintaining a standard SW process & assets Ability to perform 1. Adequate resources are provided for developing/maintaining a standard SW process & assets 2. Adequate training Activities performed 1. Develop & maintain standard SW process per documented procedure 2.Document organisation standard SW process 3.Approved SW life cycles are documented & maintained 4.Tailoring guidelines are documented & maintained 5.Establish/Maintain SW process database 6.Establish a library of SW process material Measurement & analysis 1.Make measurements & use them to determine definition status. Verifying implementation 1.SQA review activities & work products for developing & maintaining std SW process/assets

3. CMM Level 3 - Defined (3/7) KPA -> Training Program Goals 1.Plan training activities Provide training re SW management & technical roles 3. SW engineers etc get necessary training Commitment to perform 1.Follow written policy for meeting training needs. Ability to perform 1.Group responsible for training exists Adequate resources 3.Trainers have skills Orient SW managers Activities performed 1.Each SW project develops & maintains a training plan 2.Organisation training plan is developed & maintained 3.Training is provided per organisation training plan 4.Training courses are prepared per standards 5.Establish a waiver procedure (if individuals already have skills) 6.Maintain training records Measurement & analysis 1.Make measurements - use to determine training status. 2.Measure for quality Verifying implementation 1.Senior Management review 2.Independent evaluation for relevance, consistency 3.Review or audit

3. CMM Level 3 - Defined (4/7) KPA -> Integrated SW Management Goals 1.A project's defined SW process is a tailoring of the standar process 2.Plan & manage project per that project's defined SW process Commitment to perform 1.Follow written policy for … using organisation's standard SW process Ability to perform 1.Adequate resources Adequate training in tailoring standard SW process 3. Adequate training in applying project's process Activities performed 1.Tailor standard SW process Revise project-defined SW process per process .3.Develop/Maintain software develop plan (SDP) Manage per project's defined SW process 5.Use SW process database (DB) Manage items' size 7.Manage effort & cost Manage critical computer resource usage 9.Manage critical path etc Manage risk 11.Review progress Measurement & analysis 1.Make measurements to determine effectiveness of integrated SW management activities Verifying implementation 1.Senior Management reviews project management (PM) activities. 2. Project Manager reviews PM activities 3. QA reviews PM activities & work products.

3. CMM Level 3 - Defined (5/7) KPA -> SW Product Engineering Goals 1.SW engineering tasks are defined, integrated and consistently performed 2.SW work products are kept consistent with each other Commitment to perform 1.Project follows a written organisation policy for performing SW engineering. Ability to perform 1.Adequate resources Adequate training 3.Orientation in related SW engineering disciplines Orientation for managers Activities performed 1.Appropriate SW engineering methods & tools in project defined process 2.SW requirement process SW design process 4.SW code process SW testing is in accordance with project defined SW process 6.Integration test process System & Acceptance test process .8.Prepare maintenance documentation Gather/analyse defect information 10.Consistency/Tracing Measurement & analysis 1.Measure/Determine Functionality & Quality 2.Measure status Verifying implementation 1.Senior Management review 2. Project Management review 3. QA review/audit of activities and work products

3. CMM Level 3 - Defined (6/7) KPA -> Intergroup Coordination Goals 1.Customer's requiremens agreed by all affected groups 2.Agree inter-engineering group commitments Manage inter-group issues Commitment to perform 1.Project follows a … policy for establishing inter-disciplinary teams Ability to perform 1.Adequate resources Compatible support tools 3.Teamwork management training Orient to other groups Orient to teamwork Activities performed 1.Different groups & customer establish System Requirements 2.Groups monitor & co-ordinate activities/issues 3.Use a documented plan for inter-group communications/tracking/etc 4.Manage critical inter-group dependencies 5.Work products for other groups are reviewed by them 6.Unresolvables by procedure (??) 7.Tech reviews/communications (??) Measurement & analysis 1.Make measurements [to] determine status of inter-group coordination Verifying implementation 1.Senior Management review 2. Project Management review 3. QA review/audit of activities and work products

3. CMM Level 3 - Defined (7/7) KPA -> Peer Reviews Goals 1.Peer review activities are planned 2.Defects in SW work products are identified & removed. Commitment to perform 1.Project follows a written organisation policy for performing peer reviews Ability to perform 1.Adequate resources Adequate training for peer review leaders 3. Adequate training for peer review participants Activities performed 1.Peer reviews & plans (??) are documented 2.Peer reviews are performed according to a documented procedure 3.Data on the conduct and results of the peer reviews are recorded Measurement & analysis 1.Make measurements [to] determine status of peer review activity Verifying implementation 1. SW QA review/audit activities/work products

4. CMM Level 4 - Managed (1/2) KPA -> Quantitative Process Management Goals 1.Plan quantitative process management activities 2.Control process performance of project's defined SW process quantitatively 3.Process capability of organisation's std SW process is known quantitatively Commitment to perform 1.Follow written policy for measuring/quantifying controlling project's defined SW process 2.Written policy for analysing process capability of organisation's standard proc Ability to perform 1.Responsible group exists Adequate resources, funding 3.Support to measure & analyse Adequate training of responsible people 5.Orient affected groups, people Activities performed 1.Develop SW project's plan for quantitative process management per process 2.Perform activities per plan 3.Based on the project's defined SW process, determine strategy for data collection & analysis 4.Collect control data per procedure Analyse/Control project defined SW process 6.Reports prepared/circulated Establish/Maintain baseline for standard SW process Measurement & analysis 1.Make measurements to determine status of quantitative process management activities Verifying implementation 1.Senior Management review 2. Project Management review 3. SW QA review/ audit

4. CMM Level 4 - Managed (2/2) KPA -> Software Quality Management (SQM) Goals 1.Plan project QM activities 2.Define measurable goals 3.Quantify and manage actual progress toward achieving the quality goals for the SW products Commitment to perform 1. Follow written policy for managing SW quality Ability to perform 1. Adequate resources, funding 2. Adequate training of responsible people 3.Members of SW engineering & other related groups get SQM training Activities performed 1.Develop/Maintain project's SW Quality Plan per documented procedure 2.Project's SW quality plan is basis for project's SQM activities 3.Define/Monitor/Revise project quantitative quality goals 4.Measure, analyse & compare achieved quality vs quality goals 5.Allocate project's quantitative quality goals appropriate to subcontractors Measurement & analysis 1.Make measurements to determine status of SQM activities Verifying implementation 1.Senior Management review 2. Project Management review 3. SW QA review/ audit

5. CMM Level 5 - Optimizing (1/3) KPA -> Defect Prevention Goals 1.Defect prevention activities are planned 2.Common defect causes are sought out & identified 3.Common causes of defects are prioritised & eliminated Commitment to perform 1. Organisation follows written policy for defect prevention activities 2. Project follows written policy for defect prevention activities Ability to perform 1.Responsible group exists in organisation Responsible team exists in project 3. Adequate resources, funding at organisation & project levels Training provided Activities performed 1.Project develops/maintains a plan 2.At SW task start, hold prep meeting - task & related defect activities 3.Conduct causal analysis meetings Defect prevention teams meet periodically 5.Document/Track defect prevention data 6.Incorporate revisions to standard SW process per procedure 7.As 6 for project's defined SW proc Provide feedback generally Measurement & analysis 1.Make measurements to determine status of defect prevention activities Verifying implementation 1.Senior Management review 2. Project Management review 3. SW QA review/ audit

5. CMM Level 5 - Optimizing (2/3) KPA -> Technology Change Management* Goals 1.Incorporation of technology changes is planned 2.New technologies are evaluated to determine their effect on quality & productivity 3.Appropriate new technologies are transferred to normal practice Commitment to perform 1. Organisation follows a written policy for improving its technology capability 2.Senior management sponsors technology change activities 3.Senior management oversees technology change Ability to perform 1.Responsible group exists in organisation Adequate resources, funding 3.Support for data collection/analysis SW process data available to analyse 5. Training provided Activities performed 1. Organisation develops/maintains a plan 2.Group responsible for organisations technology change management works with projects 3.SW managers, technical staff informed 4. Group for technology change analyses standard SW process to improve it. 5.Select, acquire technology per procedure Pilot efforts are conducted 7.Incorporate new technology in standard proc As 7 for project’s defined process Measurement & analysis 1.Make measurements to determine status of technology change management Verifying implementation 1.Senior Management review 2. SW QA review/ audit * Organisations will often have to address these types of issues even if the organization is otherwise at a lower CMM level.

5. CMM Level 5 - Optimizing (3/3) KPA -> Process Change Management* Goals 1.Continuous process improvement is planned 2.Participation is organisation-wide 3.Organisations standard SW process & project's defined SW processes are improved continuously Commitment to perform 1. Org. follows written policy for implementing SW process improvements (SPIs) 2. Senior management sponsors SW process improvement activities Ability to perform 1. Adequate resources, funding SW managers receive SPI training 3.SW engineering people get SPI training Senior management get SPI training Activities performed 1.Establish an SPI program Responsible group coordinates SPI 3.Responsible group develops/maintains plan SPI activities are per plan 5.SPI proposals handled per procedure Organisation members participate in SPI 7.Install pilot SPI's if appropriate Implement an SPI per procedure 9.Records kept of SPI activities Provide feedback generally Measurement & analysis 1.Make measurements to determine status of SPI activities Verifying implementation 1.Senior Management review 2. SW QA review/ audit * Organisations will often have to address these types of issues even if the organization is otherwise at a lower CMM level.

H. Overview of Capability Maturity Model (CMM)

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H. Overview of Capability Maturity Model (CMM)

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