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CMMI

in CMMI

in
Overview
Dr. Chuck Myers
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Dr. Chuck Myers

CMMI is a registered trade mark of Carnegie Mellon.


Agenda
Some Terms Well Be Using
Model Overview
Process Area Capability
Achieving Levels
Organizational Maturity
Capability and Maturity
Appraisal
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Critical Vocabulary
1
Process
The logical organization of people, materials, energy,
equipment, and procedures into work activities designed to
produce a specified end result.
*
produce a specified end result.
Specifies what is to be accomplished.
Procedure
Step-by-step instructions for completing a task.
Specifies how to accomplish a task (for someone who has the
necessary knowledge, skills, and ability).
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* Source: Gabriel A. Paul, Quality Process Measurement, 1987.
Note
This distinction allows an organization to be rigid with regard to process
(what) while being reasonably flexible with regard to the procedures
(how) that are allowed.
Critical Vocabulary
2
Model
A simplified representation of the world.
Capability Maturity Model Capability Maturity Model
A capability maturity model (CMM) contains the essential elements
of effective processes for one or more disciplines.
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Critical Vocabulary
3
Process Improvement
An effort to improve the processes an organization uses to
accomplish its business.
Model-Based Process Improvement
A process improvement effort that uses a model to appraise the
quality of its current processes, identify and prioritize needed
changes, and guide its improvement activities.
CMMI

-Based Process Improvement


A model-based process improvement effort that uses Capability
Maturity Model

Integration as its foundation.


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Maturity Model

Integration as its foundation.


Agenda
Some Terms Well Be Using
Model Overview
Process Area Capability
Achieving Levels
Organizational Maturity
Capability and Maturity
Appraisal
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A Simplistic Historical Summary
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Shewhart SW-CMM CMMI
Crosby,
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Deming,
Juran,
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United
States
Post WW II
EIA 731
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IPD-CMM
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Japan
> 1952
CMMI Models
Various CMMI Model Constellations are, or will be, available:
CMMI for Development +IPPD v 1.2
CMMI for Acquisition +IPPD v 1.2
CMMI for Services +IPPD v 1.2 (draft) CMMI for Services +IPPD v 1.2 (draft)
Each constellation consists of associated
models
training materials
appraisal methods.
Each model has two alternative organizing approaches:
Continuous
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Continuous
Staged
Both organizing approaches are provided in a single volume.
Process Areas
Each model groups best practices into model components called
process areas:
A cluster of related practices in an area that, when performed 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.
[CMMI-DEV+IPPD V1.2 Glossary]
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The 22 Process Areas
Causal Analysis and Resolution (CAR)
Configuration Management (CM)
Decision Analysis and Resolution (DAR)
Integrated Project Management (IPM)
Project Planning (PP)
Process and Product Quality Assurance
(PPQA)
Quantitative Project Management
(QPM)
Integrated Project Management (IPM)
Measurement and Analysis (MA)
Organizational Innovation and
Deployment (OID)
Organizational Process Definition (OPD)
Organizational Process Focus (OPF)
Organizational Process Performance
(OPP)
Organizational Training (OT)
(QPM)
Requirements Development (RD)
Requirements Management (REQM)
Risk Management (RSKM)
Supplier Agreement Management
(SAM)
Technical Solution (TS)
Validation (VAL)
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Organizational Training (OT)
Product Integration (PI)
Project Monitoring and Control (PMC)
Validation (VAL)
Verification (VER)
Classifying Process Areas
Four categories have been established for grouping process areas
on the basis of function:
Process Management
Project Management Project Management
Engineering
Support
These categories provide a useful framework when thinking about
process improvement across functionally related process areas.
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Process Area Categories
Process Management
Organizational Process Focus
Organizational Process Definition
Organizational Training
Organizational Process Performance
Engineering
Requirements Management
Requirements Development
Technical Solution
Product Integration
Organizational Process Performance
Organizational Innovation and
Deployment
Project Management
Project Planning
Project Monitoring and Control
Supplier Agreement Management
Product Integration
Verification
Validation
Support
Configuration Management
Measurement and Analysis
Process and Product Quality
Assurance
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Supplier Agreement Management
Integrated Project Management
Risk Management
Quantitative Project Management
Assurance
Decision Analysis and Resolution
Causal Analysis and Resolution
Maturity Level Associations
Maturity Level 2
Requirements Management
Project Planning
Project Monitoring and Control
Supplier Agreement Management
Maturity Level 3
Requirements Development
Technical Solution
Product Integration
Verification Supplier Agreement Management
Measurement and Analysis
Process and Product Quality
Assurance
Configuration Management
Verification
Validation
Organizational Process Focus
Organizational Process Definition
Organizational Training
Integrated Project Management
Risk Management
Decision Analysis and Resolution
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Maturity Level 4
Organizational Process Performance
Quantitative Project Management
Maturity Level 5
Organizational Innovation and
Deployment
Causal Analysis and Resolution
CMMI-Based Process Improvement
The Big Picture
Proc Mgt Proj Mgt Eng Spt
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CAR OID
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OPF
OPD
OT
DAR
RD
TS
PI
VER
IPM
RSKM
OPP QPM
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M
L

2
M
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3
PP
PMC
SAM
REQM
MA
PPQA
CM
OT VER
VAL
RSKM
Agenda
Some Terms Well Be Using
Model Overview
Process Area Capability
Achieving Levels
Organizational Maturity
Capability and Maturity
Appraisal
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Capability Levels (CLs)
characterize an organizations ability to perform the work
described by a single process area.
Process improvement within process areas progresses through six
capability levels: capability levels:
Incomplete
Performed
Managed
Defined
Quantitatively Managed
Optimizing
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Optimizing
Capability Levels in Overview
CL0: Incomplete
Some or all practices described by the PA are not performed.
CL1: Performed CL1: Performed
All practices unique to a PA are performed.
CL2: Managed
All PA practices are institutionalized within projects.
CL3: Defined
institutionalized within and across projects.
CL4: Quantitatively Managed
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CL4: Quantitatively Managed
institutionalized using quantitative methods within and across projects.
CL5: Optimizing
institutionalized with increasing effectiveness within and across projects.
Capability Levels Are Cumulative
From the Glossary
A managed process is a performed process that
A defined process is a managed process that
A quantitatively managed process is a defined process that A quantitatively managed process is a defined process that
An optimizing process is a quantitatively managed process that
Therefore:
Capability levels cannot be skipped.
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Capability levels cannot be skipped.
CL 0: Incomplete
Requirements Results?
Projects
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CL 1: Performed
Requirements Results
Projects
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CL 2: Managed
Project 1 Requirements Results
Project 2 Requirements Results
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Project n Requirements Results
CL 3: Defined
Project
Type 1
Requirements Results Requirements Results
Project
Project
Type 2
Requirements Results Requirements Results
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Project
Type n
Requirements Results Requirements Results
CL 4: Quantitatively Managed
Project
Type 1
Requirements Results Requirements Results
Project
Project
Type 2
Requirements Results Requirements Results
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Project
Type n
Requirements Results Requirements Results
CL 5: Optimizing
Project
Type 1
Requirements Results Requirements Results
Opportunity/Problem
Project
Project
Type 2
Requirements Results Requirements Results
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Project
Type n
Requirements Results Requirements Results
Agenda
Some Terms Well Be Using
Model Overview
Process Area Capability
Achieving Levels
Organizational Maturity
Capability and Maturity
Appraisal
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Goals in CMMI
Goals and practices are associated with each process area.
Goals are required components of a CMMI model.
Goals must be achieved if an organizations practices are to be
considered to conform with the model. considered to conform with the model.
There are two kinds of goals:
Specific: those that apply to a single process area.
Generic: those that apply to all process areas.
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Practices in CMMI
Practices are expected components of a CMMI model.
One would normally expect to see the practices in place if their
associated goal is achieved.
Alternative practices are acceptable if, together, they accomplish Alternative practices are acceptable if, together, they accomplish
the associated goal.
Each practice is linked to a single goal.
Practices are either specific or generic, depending on the type of
goal to which they are linked.
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Specific Goals (SGs) and Practices (SPs)
Specific goals and practices are the required and expected
components that are unique to a particular process area.
Specific goals describe model requirements that are unique to a
process area. process area.
Specific practices describe
a set of activities
that are expected to be in place
if the associated specific goal is achieved.
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SG/SP Numbering Example
Requirements Development (RD)
SG 1 Develop Customer Requirements
SP 1.1 Elicit Needs
SP 1.2 Develop the Customer Requirements SP 1.2 Develop the Customer Requirements
SG 2 Develop Product Requirements
SP 2.1 Establish Product and Product-Component Requirements
SP 2.2 Allocate Product-Component Requirements
SP 2.3 Identify Interface Requirements
SG 3 Analyze and Validate Requirements
SP 3.1 Establish Operational Concepts and Scenarios
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SP 3.1 Establish Operational Concepts and Scenarios
SP 3.2 Establish a Definition of Required Functionality
SP 3.3 Analyze Requirements
SP 3.4 Analyze Requirements to Achieve Balance
SP 3.5 Validate Requirements
Generic Goals
There are five generic goals in the Continuous Representation:
GG 1
Achieve specific goals.
GG 2 GG 2
Institutionalize a managed process.
GG 3
Institutionalize a defined process.
GG 4
Institutionalize a quantitatively managed process.
GG 5
Institutionalize an optimizing process.
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Institutionalize an optimizing process.
Each goal is associated with the capability level that shares its
number.
Generic Goals and Practices
GG 3 Institutionalize a Defined Process
GP 3.1
GP 3.2
Establish a Defined Process
Collect Improvement Information
GP 1.1 Perform Specific Practices
GG 1 Achieve Specific Goals
GG 2 Institutionalize a Managed Process
GP 2.1
GP 2.2
GP 2.3
GP 2.4
GP 2.5
GP 2.6
GP 2.7
Establish an Organizational Policy
Plan the Process
Provide Resources
Assign Responsibility
Train People
Manage Configurations
Identify and Involve Relevant
Stakeholders
GG 5 Institutionalize an Optimizing Process
GP 5.1 Ensure Continuous Process
GG 4 Institutionalize a Quantitatively
Managed Process
GP 4.1
GP 4.2
Establish Quantitative Objectives
for the Process
Stabilize Subprocess
Performance
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GP 2.8
GP 2.9
GP 2.10
Stakeholders
Monitor and Control the Process
Objectively Evaluate Adherence
Review Status with Higher Level
Management
GP 5.1
GP 5.2
Ensure Continuous Process
Improvement
Correct Root Causes of Problems
Achieving Capability Levels
SPs and
GP 2.1 through GP 4.2
Quantitatively
Managed
4
Work is performed, key subprocesses are quantitatively
understood at the organizational level, and key subprocesses
SPs and
GP 2.1 through GP 5.2
are implemented
Optimizing 5
Work is performed, and key subprocesses are
continuously improved at both the organizational and
project levels based on quantitative indicators.
SPs and
GP 2.1 through GP 2.10
are implemented
Managed 2
Work is performed and institutionalized at the
project level.
SPs and
GP 2.1 through GP 3.2
are implemented
Defined 3
Work is performed and institutionalized at the
organizational level.
GP 2.1 through GP 4.2
are implemented
Managed
4
understood at the organizational level, and key subprocesses
are quantitatively managed at the project level.
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Some GPs or SPs may
be implemented
Incomplete 0
Work either is not performed or is
incompletely performed.
All SPs are implemented
per GP 1.1
Performed 1
Work is performed.
Specific Goals achieved for all PAs residing at ML 2 - 5.
Generic Goal 3 achieved for all PAs residing at ML 2 - 5. 5
Optimizing
Achieving Maturity Levels
A Purely Staged View
Specific goals achieved for all PAs residing at ML 2-4.
Generic Goal 3 achieved for all PAs residing at ML 2-4.
4
Quantitatively
Managed
Specific goals achieved for all PAs residing at ML 2 and 3.
Generic Goal 3 achieved for all PAs residing at ML 2 and 3.
3
Defined
Specific goals achieved for all PAs residing at ML 2.
Generic Goal 2 achieved for all PAs residing at ML 2.
2
Managed
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Generic Goal 2 achieved for all PAs residing at ML 2.
2
Agenda
Some Terms Well Be Using
Model Overview
Process Area Capability
Achieving Levels
Organizational Maturity
Capability and Maturity
Appraisal
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The Maturity Concept
Maturity Level
Degree of process improvement across a predefined set of
process areas in which all goals in the set are attained.
[CMMI-DEV V1.2 Glossary] [CMMI-DEV V1.2 Glossary]
Organizational Maturity
The extent to which an organization has explicitly and consistently
deployed processes that are documented, managed, measured,
controlled, and continually improved. Organizational maturity may
be measured via appraisals.
[CMMI-DEV V1.2 Glossary]
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[CMMI-DEV V1.2 Glossary]
Organizational maturity is usually expressed in terms of maturity
levels.
Maturity Levels (MLs)
Characterize an organizations ability to perform the work described
by pre-defined sets of process areas.
Process maturity progresses through five maturity levels:
Initial Initial
Managed
Defined
Quantitatively Managed
Optimizing
Process maturity can be viewed as process area capability across
pre-defined sets of process areas.
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pre-defined sets of process areas.
Process areas are organized on the basis of dependency as
represented in the maturity levels.
Statistical and other quantitative methods applied to Quantitatively
Quantitative process understanding is used to identify
opportunities, correct problems, and predict results
and benefits.
5
Optimizing
Maturity Level Characteristics
Statistical and other quantitative methods applied to
stable processes result in deep process
understanding and confident predictability.
4
Quantitatively
Managed
Consistency is achieved for a broad range of project
work across the organization, leading to stable,
proactive practices within and across projects.
3
Defined
Management consistency is achieved for fundamental
project work, providing some stability within a still
reactive project environment.
2
Managed
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Processes are reactive and poorly controlled, resulting
in an unpredictable, chaotic project environment.
1
Initial
reactive project environment.
ML 1: Initial
Requirements Results?
ML 1 can be thought of as rampant CL 0 across all areas of an
organizations business.
Projects
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Cumulative effect:
A large number of essential practices typically are not performed.
There is great variability of practice from situation to situation, person
to person, and even moment to moment.
Effective practices are not shared and have no staying power.
ML 2: Managed
Project 2 Requirements Results
Project 1 Requirements Results
Project 2 Requirements Results
Project n Requirements Results
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ML 2 focuses on the most basic aspects of the organizations most
fundamental workthat of the projects.
The work described by seven process areas is targeted for
improvement.
The specific goals and GG 2 are achieved for each of these
process areas.
Requirements Results
Project
Requirements Results
Requirements Results
Project
Type 1
Requirements Results
ML 3: Defined
Requirements Results
Project
Type n
Requirements Results
Requirements Results
Project
Type 2
Requirements Results
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ML 3 broadens and extends the organizations improvement focus.
The work described by eleven additional process areas is
addressed.
The specific goals and GG 3 are achieved for the process areas
residing at both ML 2 and ML 3.
Project
Requirements Results
Project
Type 1
Requirements Results
ML 4: Quantitatively Managed
Project
Type n
Requirements Results
Project
Type 2
Requirements Results
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ML 4 applies quantitative management to practices already
established at ML 2 and 3.
The work described by two additional process areas is addressed.
The specific goals and GG 3 are achieved for the process areas
residing at ML 2, ML 3, and ML 4.
Project
Requirements Results
Project
Type 1
Requirements Results
ML 5: Optimizing
Project
Type n
Requirements Results
Project
Type 2
Requirements Results
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ML 5 focuses on improving the productivity of practices
implemented at ML 2 and 3.
The work described by two additional process areas is addressed.
The specific goals and GG 3 are achieved for the process areas
residing at ML 2, ML 3, ML 4, and ML 5.
Agenda
Some Terms Well Be Using
Model Overview
Process Area Capability
Achieving Levels
Organizational Maturity
Capability and Maturity
Appraisal
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Levels Side-by-Side
Capability
Incomplete
Performed
Maturity
[Not Used]
Initial
Number
0
1
Managed
Defined
Quantitatively
Managed
Optimizing
Managed
Defined
Quantitatively Managed
Optimizing
2
3
4
5
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Capability Level Profile
A Capability Level Profile
is a target profile when it
In the continuous representation, a list of process areas and their
corresponding capability levels. [Glossary, p. 616]
CL5 Optimizing
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is a target profile when it
represents an organizations
planned process improvement
objectives.
is an achievement profile when
it represents an organizations
actual progress for each included
process area.
CL1
CL2
CL3
CL4
Performed
Managed
Defined
Quantitatively
Managed
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process area.
P
A
2
P
A
3
P
A
4
P
A
5
P
A
6
P
A
7
P
A
1
CL0 Incomplete
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provides a useful way to display capability level data for a
group of process areas whose aggregate status is of interest.
Target Staging
is a sequence of target profiles that describes the path of
process improvement to be followed by an organization.
T
1
CL1
CL2
CL3
CL4
CL5
CL1
CL2
CL3
CL4
CL5
CL1
CL2
CL3
CL4
CL5
CL1
CL2
CL3
CL4
CL5
T
2
CL1
CL2
CL3
CL4
CL5
CL1
CL2
CL3
CL4
CL5
T
3
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CL0 CL0 CL0 CL0 CL0 CL0
Equivalent Staging
is a target staging that corresponds to the maturity levels of the
Staged Representation.
provides a way of converting the results of a continuous ARC*-
compliant Class A appraisal to a maturity level rating. compliant Class A appraisal to a maturity level rating.
bridges the gap between CMMI

s Continuous and Staged


Representations.
or, more accurately, relates process area capability to process
maturity.
provides a means for taking a combined, or blended, approach
to CMMI implementation and appraisal.
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* Appraisal Requirements for CMMI, see CMU/SEI-2006-TR-011.
Blending Capability and Maturity
To achieve Maturity Level 2, an
organization must:*
Satisfy the Specific Goals of the
Maturity Level 2 PAs.
Translated to requirements for
each of the Maturity Level 2 PAs:
REQM:
Satisfy the specific goal.
Satisfy Generic Goal 2 for those
same PAs.
Satisfy the specific goal.
Satisfy GG2.
PP
Satisfy the specific goals.
Satisfy GG2.
PMC
Satisfy the specific goals.
Satisfy GG2.
In other words:
CL 2
CL 2
CL 2
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Satisfy GG2.

In other words:
All ML 2 PAs must* be at CL 2.
* at a minimum.
CL 2
A Textbook CL-ML Progression
CMMI charts a proven process improvement path from
undisciplined, ad hoc, reactive practices to disciplined, effective,
proactive practices.
Any organizations CMMI-based improvement initiative will differ in Any organizations CMMI-based improvement initiative will differ in
some respects from those of other organizations.
Each organizations effort needs to be founded on its particular
business objectives and needs.
Each organization will start with a different set of strengths and
weaknesses.
Each organization operates within a unique technical, social,
and cultural environment.
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and cultural environment.
Understanding these limitations, the slides that follow map out a
logical, though hypothetical, CMMI-based improvement path.
ML5
Optimizing
ML4
Quantitatively
Managed
ML3
Defined
ML2
Managed Initial
ML1
Process Maturity
C
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A Starting Point
CL2
CL3
CL4
CL5
Managed
Defined
Quantitatively
Managed
Optimizing
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P
P
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K
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CL1
CL0 Incomplete
Performed
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s

A
r
e
a

ML5
Optimizing
ML4
Quantitatively
Managed
ML3
Defined
ML2
Managed Initial
ML1
Process Maturity
C
a
p
a
b
i
l
i
t
y
Maturity Level 2
CL2
CL3
CL4
CL5
Managed
Defined
Quantitatively
Managed
Optimizing
P
r
o
c
e
s
s

A
r
e
a

C
a
p
a
b
i
l
i
t
y
51
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P
P
P
M
C
S
A
M
M
A
P
P
Q
A
C
M
R
E
Q
M
R
D
T
S
P
I
V
e
r
V
a
l
O
P
F
O
P
D
O
T
I
P
M
R
S
K
M
D
A
R
O
P
P
Q
P
M
O
I
D
C
A
R
CL1
CL0 Incomplete
Performed
P
r
o
c
e
s
s

A
r
e
a

ML5
Optimizing
ML4
Quantitatively
Managed
ML3
Defined
ML2
Managed Initial
ML1
Process Maturity
C
a
p
a
b
i
l
i
t
y
Maturity Level 3
CL2
CL3
CL4
CL5
Managed
Defined
Quantitatively
Managed
Optimizing
P
r
o
c
e
s
s

A
r
e
a

C
a
p
a
b
i
l
i
t
y
52
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P
P
P
M
C
S
A
M
M
A
P
P
Q
A
C
M
R
E
Q
M
R
D
T
S
P
I
V
e
r
V
a
l
O
P
F
O
P
D
O
T
I
P
M
R
S
K
M
D
A
R
O
P
P
Q
P
M
O
I
D
C
A
R
CL1
CL0 Incomplete
Performed
P
r
o
c
e
s
s

A
r
e
a

ML5
Optimizing
ML4
Quantitatively
Managed
ML3
Defined
ML2
Managed Initial
ML1
Process Maturity
C
a
p
a
b
i
l
i
t
y
Maturity Level 4
CL2
CL3
CL4
CL5
Managed
Defined
Quantitatively
Managed
Optimizing
P
r
o
c
e
s
s

A
r
e
a

C
a
p
a
b
i
l
i
t
y
53
2008, Integrated Process Solutions, Inc.
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IPS-Info@IntegratedProcessSolutions.com
P
P
P
M
C
S
A
M
M
A
P
P
Q
A
C
M
R
E
Q
M
R
D
T
S
P
I
V
e
r
V
a
l
O
P
F
O
P
D
O
T
I
P
M
R
S
K
M
D
A
R
O
P
P
Q
P
M
O
I
D
C
A
R
CL1
CL0 Incomplete
Performed
P
r
o
c
e
s
s

A
r
e
a

ML5
Optimizing
ML4
Quantitatively
Managed
ML3
Defined
ML2
Managed Initial
ML1
Process Maturity
C
a
p
a
b
i
l
i
t
y
Maturity Level 5
CL2
CL3
CL4
CL5
Managed
Defined
Quantitatively
Managed
Optimizing
P
r
o
c
e
s
s

A
r
e
a

C
a
p
a
b
i
l
i
t
y
54
2008, Integrated Process Solutions, Inc.
All Rights Reserved.
IPS-Info@IntegratedProcessSolutions.com
P
P
P
M
C
S
A
M
M
A
P
P
Q
A
C
M
R
E
Q
M
R
D
T
S
P
I
V
e
r
V
a
l
O
P
F
O
P
D
O
T
I
P
M
R
S
K
M
D
A
R
O
P
P
Q
P
M
O
I
D
C
A
R
CL1
CL0 Incomplete
Performed
P
r
o
c
e
s
s

A
r
e
a

Capability and Maturity Alone
Capability without Maturity
Long-term improvement plans may be unrealistic.
Implementing some GPs/CLs as scheduled may be difficult or
impossible. impossible.
Maturity without Capability
Implementation can calcify around the maturity level structure.
Early improvement opportunities might be missed.
Progress en route to a maturity level may be difficult to
measure.
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Capability and Maturity Together
Improvement plans can be planned realistically and usefully:
recognizing inherent dependencies of model components
using target staging, with intermediate target profiles.
Progress can be monitored in useful ways:
strategically, using maturity levels
tactically, using achievement profiles
operationally, using capability levels.
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Agenda
Some Terms Well Be Using
Model Overview
Process Area Capability
Achieving Levels
Organizational Maturity
Capability and Maturity
Appraisal
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Appraisal
Appraisal information is found principally in three SEI technical
publications:
Appraisal Requirements for CMMI (ARC)
CMU/SEI-2006-TR-011 CMU/SEI-2006-TR-011
SCAMPI
SM
A Method Definition Document (MDD)
CMU/SEI-2006-HB-002
Handbook for Conducting SCAMPI
SM
B and C Appraisals
CMU/SEI-2005-HB-005
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SM
SCAMPI (Standard CMMI Appraisal Method for Process Improvement) is a service mark of Carnegie Mellon
University.
Appraisal Method Classes
Characteristics Class A Class B Class C
Amount of Objective Evidence
Gathered (relative)
High Medium Low
Ratings Generated Yes No No
Resource Needs (relative) High Medium Low
Team Size (relative) Large Medium Small
Appraisal Team Leader
Requirements
Lead
appraiser
Lead appraiser
or person
trained and
experienced
Person trained
and
experienced
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experienced
Source: Appraisal Requirements for CMMI, Version 1.2 (ARC)
Thats All, Folks
Questions(!) and Answers(?)
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For Additional Information
Dr. Chuck Myers
Integrated Process Solutions, Inc.
Voice/Fax: +1.724-935-8208
Mobile: +1.724-612-0197 Mobile: +1.724-612-0197
Internet Voice: +1.412.567.0499
Skype/Yahoo ID: crmcons
Chuck.Myers@IntegratedProcessSolutions.com
www.IntegratedProcessSolutions.com
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