An Introduction to the Capability Maturity Model for Software SWCMM

1
An Introduction to the Capability Maturity Model
for Software (SW-CMM) Census Bureau Mark C.
Paulk April 29, 2003 ? Capability Maturity
Model, Capability Maturity Model Integration,
CMMI, and CMM are registered in the U.S. Patent
and Trademark Office.
2
Topics

• Introduction
• Process Management Principles
• The Capability Maturity Model for Software
• Using the CMM
• Conclusion and Discussion

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Is There a Software Crisis?

• From the Standish Groups 1995 CHAOS study
• 31 of projects canceled before completion
• 53 of projects cost 189 of original estimates
• spend 81 billion for canceled software projects
• only 16 of software projects completed on-time
  and on-budget
  
• Is the crisis self-generated? Is change
  needed?
  
• Quote from a CIO, Id rather have it wrong than
  have it late. We can always fix it later.
  

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Topics

• Introduction
• Process Management Principles
• The Capability Maturity Model for Software
• Using the CMM
• Conclusion and Discussion

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Defining Software Process

• Process - a sequence of steps performed for a
  given purpose (IEEE)
  
• Software process - a set of activities, methods,
  practices, and transformations that people use to
  develop and maintain software and the associated
  products (CMM)

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Process Management Premise

• The quality of a (software) system is largely
  governed by the quality of the process used to
  develop and maintain it.
  
• This premise implies focus on process as well as
  product.
  
• The value of this premise is visible world-wide
  in the Total Quality Management movements in the
  manufacturing and service industries.

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Applying TQM to Software
TQM
Organization
Projects
C
A
B
System
Hardware Software
CMM

• Process improvement fits in an overall business
  context CMM applies to software.
  

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Process Management and the Known

• Management must deal with both the known and the
  unknown.
  
• Process management focuses on the known, on
  controlling repeatable (if not repetitive)
  processes.
  
• mechanisms for managing the known include quality
  assurance, configuration management, peer
  reviews, etc.
  
• Risk management focuses on the unknown.
• mechanisms for managing the unknown include
  evolutionary and incremental life cycles, on-site
  customers, prototyping, etc.
  

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Topics

• Introduction
• Process Management Principles
• The Capability Maturity Model for Software
• Using the Software CMM
• Conclusion and Discussion

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What Is the Software CMM?

• A common-sense application of the concepts of
  Total Quality Management to software projects
  
• A model for transforming organizations
• A community-developed guide with descriptions of
  good engineering and management practices for
  software
  
• A prescription for changing organizational
  behavior and capability in five levels
  
• The basis for reliable and consistent CMM-based
  appraisals

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Software CMM v1.1
Level
Focus
Key Process Areas (KPAs)
Continuous
Defect Prevention Technology Change Management P
rocess Change Management
Quality Productivity
process
Optimizing
5
improvement
Quantitative Process Management
Software Quality Management
Product and
process quality
Engineering
Organization Process Focus Organization Process D
efinition Training Program Integrated Software M
anagement Software Product Engineering Intergrou
p Coordination Peer Reviews
Defined
processes and
organizational
support
Project
Requirements Management Software Project Planning
Software Project Tracking Oversight Software
Subcontract Management Software Quality Assurance
Software Configuration Management
management
processes
Risk Waste
Competent people (and heroics)
Initial
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Goals of the Key Process Areas

• Summarize the key practices of the key process
  areas
  
• Are considered important for enhancing process
  capability for that level of maturity
  
• Can be used to guide organizations and appraisal
  teams in assessing alternative ways to implement
  key process areas
  
• Each key practice maps to one or more goals

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Required, Expected, and Informative

• The rating components of the Software CMM are the
  maturity levels (5), key process areas (18), and
  goals (52).
  
• You must satisfy all the goals for a key process
  area to satisfy the KPA.
  
• Key practices, subpractices, examples are
  informative material to guide professional
  judgment.
  
• Key practices are expected, but not required!

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Importance of Institutionalization

• The organizational culture conveys the
  process.
  
• The Software CMM has four common features that
  focus on institutionalizing the process.
  
• commitment to perform
• ability to perform
• measurement and analysis
• verifying implementation
• Activities performed focus on implementing the
  process.

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Evolution of Process Capability
Level
Process Characteristics
Predicted Performance
Optimizing
5
Time//...
Managed
4
Time//...
Defined
3
Time//...
Repeatable
2
Time//...
Initial
Time//...
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Understanding the InitialMaturity Level

• Performance driven by the competence and heroics
  of the people doing the work
  
• Consistency and compliance to standards driven by
  management priorities usually schedule is the
  top priority
  
• High quality and exceptional performance possible
  so long as the best people can be hired
  
• Unpredictability for good or ill
  characterizes the initial level organization

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Understanding the RepeatableMaturity Level

• Management must walk the talk to initiate an
  improvement effort.
  
• Management discipline is necessary to retain good
  software engineering practices in the crunch.
  
• Management processes establish role models for
  process improvement.
  
• Management and process discipline empowers
  the engineering processes and the technical staff.

18
The Repeatable Level KPAs
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Understanding the DefinedMaturity Level

• Standard processes defined, documented, and
  deployed across the organization.
  
• Shared understanding established of how the
  process works and each persons role.
  
• Software engineering process group (SEPG) focuses
  on process management and improvement.

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The Defined Level KPAs
21
Understanding the ManagedMaturity Level

• Applying the principles of statistical process
  control, address special causes of process
  variation
  

Management is able to predict performance within
quantified bounds targets are predictable.
22
The Managed Level KPAs
23
Understanding the OptimizingMaturity Level

• Continuous process improvement means controlled
  change
  
• Identify and eliminate chronic causes of poor
  performance
  

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The Optimizing Level KPAs
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Topics

• Introduction
• Process Management Principles
• The Capability Maturity Model for Software
• Using the Software CMM
• Conclusion and Discussion

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Assessment Versus Evaluation

Evaluation source selection substantiate pra
ctice evaluate commitment performance risk
CMM findings only audit-oriented predict n
ext project known to DoD
Issue Use Objective Improvement goal O
utput Range of findings Style Focus of re
sults
Status of results
Assessment process improvement assess curren
t practice catalyst for improvement input fo
r action plan non-CMM findings possible coll
aborative applies to organization confidenti
al
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Using Professional Judgment

• Software CMM is intended for a wide range of
  situations.
  
• key practices and goals allow for flexibility
• Key indicates a focus on the major leverage
  points
  
• key process areas
• key practices
• The Software CMM is not exhaustive.
• There are software management and engineering
  processes and practices that are not described in
  the CMM.

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Let Common Sense Prevail!
Disciplined Process
Yes
No
Creative Chaos
Quality
Yes
Common Sense
Mindless Chaos
Mindless Bureaucracy
No
With thanks to Sanjiv Ahuja, former President and
COO of Telcordia Technologies.
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Topics

• Introduction
• Process Management Principles
• The Capability Maturity Model for Software
• Using the Software CMM
• Conclusion and Discussion

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Releases of the Software CMM
Capability Maturity Model Guidelines for
Improving the Software Process (v1.1)
Addison-Wesley Book Form

Key Practices of the Capability Maturity Model
for Software v1.1 Paulk et al., CMU/SEI-93-TR-2
5
Characterizing the Software Process A
Maturity Framework Watts Humphrey, IEEE Softw
are

Key Practices of the Capability Maturity Model
for Software v1.0 Weber, et al., CMU/SEI-91-TR-
25

Managing the Software Process Watts Humphrey
1987 1989 1991
1993 1995 1998
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Software CMM v2 Release Halted

• Software CMM v2.0 was scheduled for release at
  the end of 1997.
  
• SEIs sponsor, the Office of the Under Secretary
  of Defense for Acquisition and Technology,
  directed that the Software CMM Version 2 release
  be halted in favor of work on CMM Integration.
• One of the source documents for CMMI is Software
  CMM v2C.
  

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Capability Maturity Model Integration (CMMI)

• Sponsored by the DOD and the National Defense
  Industrial Association (NDIA)
  
• Collaborative endeavor
• Industry
• Government
• Software Engineering Institute (SEI)
• Over 100 people involved

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CMMI Source Models

• Capability Maturity Model for Software V2, draft
  C (SW-CMM V2C)
  
• EIA Interim Standard 731, System Engineering
  Capability Model (SECM)
  
• Integrated Product Development Capability
  Maturity Model, draft V0.98 (IPD-CMM)
  

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CMMI Benefits

• Efficient, effective assessment and improvement
  across multiple process disciplines in an
  organization
  
• Reduced training and assessment costs
• A common, integrated vision of improvement for
  all elements of an organization
  
• A means of representing new discipline-specific
  information in a standard, proven process
  improvement context
  

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Questions and Answers

• ?