CMMI® Version 1.3 and Beyond
November 2010
Mike Phillips
Software Engineering Institute
Carnegie Mellon University
Excerpted by Pat Wegerson for
North Star INCOSE 17 February 2011
®
CMMI is registered in the U.S. Patent and Trademark Office by
Carnegie Mellon University.
© 2010 Carnegie Mellon University
Organizations Are Complex Systems
Organizational
System
Inputs
Human,
Financial,
Technological,
Material,
Resources
Strategic
Technological
Outputs
Products,
Services
Managerial
Human/
Cultural
Structural
Input-output flow of materials, energy, information
Adapted from Kast and Rosenzweig, 1972.
CMMI V1.3 and Beyond
Phillips – November 2010
© 2010 Carnegie Mellon University
2
What Is a Process?
A process is a set of interrelated activities, which transform inputs into
outputs, to achieve a given purpose.
Result
Process Improvement flows from and extends the general
management theories developed over the past ~30 years (Juran,
Deming, Crosby, etc.)
CMMI V1.3 and Beyond
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How Do You Want to Work?
Random motion – lots of energy, not
much progress
Directed motion – every step brings you
closer to the goal
No teamwork – individual effort
Coordinated efforts
Frequent conflict
Cooperation
You never know where you’ll end up
Predictable results
Processes can make the difference!
CMMI V1.3 and Beyond
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Symptoms of Process Failure
Quality Problems
• Too much rework
• No product documentation
• Functions that don’t work correctly
• Customer complaints after delivery
• Delivery of embarrassing products
• Wide variation in how people perform identical tasks
• Work with wrong versions of work products
No View to the Future
• No concern for process improvement
• No feedback on process effectiveness
• Program cancellation
CMMI V1.3 and Beyond
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Workforce Challenges
“DoD faces significant challenges related to mitigating the pending departure of its
highly experienced and seasoned talent – the critical challenge”
Frank Anderson, Jr., Director, AT&L Human Capital Initiatives and President, Defense Acquisition University 2007
Generation
Traditionalists
National
DoD
(2005)
(2006)
Civilian AT&L
Workforce (2006)
Workforce
(Millions)
% Workforce
Workforce
% Workforce
Workforce
% Workforce
11.5
7.5%
45,625
6.7%
8,322
7.4%
61.5
42.0%
438,971
64.5%
77,779
68.7%
43.5
29.5%
132,948
19.5%
17,581
15.5%
31.5
21.0%
62,676
9.2%
9,394
8.3%
51.0
0%
153
0%
0
0%
(Born before 1946)
Baby Boomers
(1946 - 1964)
Generation X
(1965-1976)
Generation Y
(1977 -1989)
Millennium
(1990 - present)
Source: Anderson 2007, NDIA STEM Initiative Strategy Session
CMMI V1.3 and Beyond
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Characteristics of Effective Processes
simple
trackable
enforced
trained
Well-defined gates
practiced
supported
CMMI V1.3 and Beyond
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Process Definition Inputs
Strategic Plans,
Goals,
Objectives
Process Needs
Policies
Process
Architecture
Process Descriptions,
Procedures,
Instructions
Asset Library
Measurement
Repository
Process Scope
CMMI V1.3 and Beyond
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Signs that Processes Are Insufficient
Unmet commitments
• Late delivery
• Last minute crunches
• Spiraling costs
Little or no management visibility
• You’re always being surprised
Quality problems
• Too much rework
• Functions do not work correctly
• Customer dissatisfaction post-delivery;
continuing high costs
Poor morale
• Frustration
• Is anyone in charge?
Mars Orbiter (Sep 1999)
A 125 million dollar orbiter was lost
because one team used English units of
measure while another used metric units
of measure.
CMMI V1.3 and Beyond
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Process Improvement
Whether intentional or not, you already
have processes in place. Are they the
RIGHT processes?
Something is wrong…
… if no one uses the processes (except
under duress)
… if everyone has their own
interpretation of the process
… if you find you are always tailoring
your processes
CMMI V1.3 and Beyond
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Common Misconceptions
I don’t need process, I have …
•
Really good people
•
Advanced technology
•
An experienced manager
Process…
•
Interferes with creativity
•
= bureaucracy + regimentation
•
Is only useful on large projects
•
Hinders agility in fast-moving markets
•
Costs too much
CMMI V1.3 and Beyond
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Threats to Process Improvement
Senior management problems
•
Change or loss of sponsorship
•
Inadequate support and resources
•
Desire for quick fixes
•
Unreasonable expectations
•
Termination before institutionalization
•
Inconsistent reinforcement
Understand resistance before
trying to eliminate it.
It may be justified!
Middle management resistance
•
“If it ain’t broke don’t fix it”
•
“Flavor of the day”
•
“This is another management initiative I can outlast”
CMMI V1.3 and Beyond
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How Can Process Help?
Interchangeable
parts
Process supports the goals of the company, enabling
•
Repeatability
•
Insight and oversight
•
Control and tracking
•
Measurement
•
Improvement
•
Training
•
Transformation (via consistency, integration, coordination)
CMMI V1.3 and Beyond
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An Investment Is Required
P
r
o
d
u
c
t
i
v
i
t
y
Present
State
Transition
State
Desired
State
T i m e
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© 2010 Carnegie Mellon University
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Critical Success Factors for Process
Improvement
Commitment to improve must start at the top.
First understand the current process.
Structured change must become a way of life.
Improvement requires investment.
When failure occurs, focus on the process,
not the people.
Institutionalizing improvements requires vigilance and periodic
reinforcement.
CMMI V1.3 and Beyond
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What Is CMMI?
© 2010 Carnegie Mellon University
“M” Is for Model
THE REAL WORLD
Integrated product teams
Systems
Engineering
Organizational
culture
Technology
Marketing
Models are
simplified views
of the real world.
People issues
Maturity Levels
Process Areas
CMMI
Practices
Process
descriptions,
models, and
instantiations
are below the
level of detail
of the CMMs.
Process
Descriptions
“All models are wrong, but some are useful.” - George Box
CMMI V1.3 and Beyond
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CMMI in a Nutshell
CMMI is a collection of characteristics of effective processes that provides
guidance for improving an organization’s processes and ability to manage
the development, acquisition, and maintenance of products or services.
CMMI places proven approaches into a structure that
• helps an organization examine the effectiveness of its processes
• establishes priorities for improvement
• helps implement these improvements
Improving processes for better products
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CMMI Product Suite
CMMI Models
o CMMI for Development
o CMMI for Acquisition
o CMMI for Services
SCAMPISM (Standard CMMI
Appraisal Method for Process
Improvement)
o Class A (results in ratings)
o Class B (deployment)
o Class C (approach)
Training
o Introduction to CMMI
o Advanced training courses
Models
Training
SCAMPI
CMMI V1.3 and Beyond
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Five Reasons to Adopt CMMI
CMMI helps your organization to …
• Improve delivery of performance, cost, and schedule
• Collaborate with external stakeholders and integrate
their expectations into day-to-day activities
• Provide competitive world-class products and services
• Implement an integrated enterprise business and engineering
perspective
• Use common, integrated, and improving processes for systems and
software
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Evolution of Process Capability
Level
Process Characteristics
5
4
Process improvement is
institutionalized
Predicted Performance
Time/$/...
Product and process are
quantitatively controlled
Time/$/...
3
2
1
Software engineering and
management processes are
defined and integrated
Time/$/...
Project management
system is in place;
performance is repeatable
Time/$/...
Process is informal and
unpredictable
Time/$/...
CMMI V1.3 and Beyond
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Example Chart from CMMI Level 5 Company:
Multi-Performance Results Summary
Measure
Performance Result
Cost
Firm fixed price upon acceptance of requirements specifications
Schedule
• Not to exceed 8% of committed schedule
• Weekly status reporting with ability to detect one-day schedule slip
• Time in test and agility with rework time significantly less than customer
historical average
Quality
• Acceptance test defects significantly lower than customer historical
average
• Company will fix defects found in production use free for life of the
product
We all do!
CMMI V1.3 and Beyond
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Example Chart from CMMI Level 5 Company:
Their Results vs. Industry Average
Measure
Performance Result
(Industry vs. ML5 Company)
Schedule deviation
>50%
<10%
Number of defects in delivered product (Size: 100,000 source >100
lines of code)
<15
% of design and code inspected
<100
100
Time to accept 100,000 SLOC product
10 months
5 weeks
% of defects removed prior to system test
<60%
>85%
% of development time fixing system test defects
>33%
<10%
Cost of Quality
>50%
<35%
Warranty on products
?
We all do!
Lifetime
CMMI V1.3 and Beyond
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CMMI Models
CMMI V1.3 and Beyond
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Sequence of Models
CMMI V1.3 and Beyond
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CMMI Models for Three Constellations
CMMI-SVC
CMMI-SVC provides
guidance for those
providing services within
organizations and to
external customers.
16 Core Process
Areas, common
to all
CMMI-DEV
CMMI-DEV provides
guidance for measuring,
monitoring and
managing development
processes.
CMMI-ACQ
CMMI-ACQ provides
guidance to enable
informed and decisive
acquisition leadership.
CMMI V1.3 and Beyond
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CMMI Core PAs
CMMI-SVC
Core PAs are common to all
three CMMI models.
Core PAs include informative
material that interprets the
goals and practices for the
model’s area of interest.
CMMI
Core PAs
CMMI-DEV
CMMI-ACQ
CMMI V1.3 and Beyond
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Process Area Components
Process Area (PA)
Purpose
Statement
Related
Process Areas
Introductory
Notes
Specific Goals (SG)
Generic Goals (GG)
Specific
Practices
(SP)
Example Work
Products
Generic
Practices
(GP)
Subpractices
Subpractices
Legend
Required
Expected
Generic Practice
Elaborations
Informative
CMMI V1.3 and Beyond
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CMMI Model Structure
Incremental Frameworks for
Continuous Process Improvement
Benchmark Ratings
•Goals
•Process Areas
CMMI-DEV
•Maturity Levels
•Capability Levels
CMMI-SVC
•Requirements Development
•Supplier Agreement Mgmt
•Technical Solution
•Product Integration
•Verification
•Validation
•Capacity & Availability
Management
•Incident Resolution and
Prevention
•Supplier Agreement Mgmt
•Service Continuity
•Service Delivery
•Service System Development
•Service System Transition
•Strategic Service Mgmt
CMMI-ACQ
•Agreement Management
•Acquisition Requirements
Development
•Acquisition Technical Mgt
•Acquisition Validation
•Acquisition Verification
•Solicitation and Supplier
Agreement Development
CMMI Model Foundation (Core Process Areas)
•Requirements Management
•Project Planning
•Project Monitoring & Control
•Measurement & Analysis
•Configuration Management
•Process and Product QA
•Integrated Project Management
•Risk Management
•Decision Analysis & Resolution
•Organizational Process Focus
•Organizational Process Definition
•Organizational Training
•Quantitative Project Mgmt
•Causal Analysis & Resolution
•Org Process Performance
•Org Performance Management
Institutionalization
•Policies
•Plans
•Resources
•Responsibilities
•Training
•Managing Configurations
•Stakeholder Involvement
•Monitoring and Control
•Objective Evaluation
•Management Visibility
•Defined Process
•Improvement Information
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Critical Distinctions Among Processes
performed
vs.
managed
the extent to which the process is planned; performance is managed
against the plan; corrective actions are taken when needed
managed
vs.
defined
the scope of application of the process descriptions, standards, and
procedures (i.e., project vs. organization)
CMMI V1.3 and Beyond
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Understanding Levels
Levels are used in CMMI to describe an evolutionary path for an
organization that wants to improve the processes it uses to develop and
maintain its products and services.
CMMI supports two improvement paths:
•
continuous - enabling an organization to incrementally improve processes
corresponding to an individual process area (or set of process areas)
selected by the organization
•
staged - enabling the organization to improve a set of related processes by
incrementally addressing successive predefined sets of process areas
CMMI V1.3 and Beyond
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Staged Representation: PAs by Maturity Level
Level
Focus
5 Optimizing
Continuous Process
Improvement
4 Quantitatively
Managed
Quantitative Management
3 Defined
Process Standardization
2 Managed
Basic Project Management
1 Initial
Quality
Productivity
Risk
Rework
CMMI V1.3 and Beyond
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Achieving Maturity Levels
GG 2 and GG 3
All ML2, ML3, ML4,
and ML5 PAs
ML5
Optimizing
GG 2 and GG 3
All ML2, ML3, and
ML4 PAs
ML4
Quantitatively
Managed
GG 2 and GG 3
All ML2 and ML3 PAs
GG 2
All ML2 PAs
ML3
Defined
ML2
Managed
ML1
Initial
Prevent defects; proactively improve; insert and deploy
innovative technology
Measure process performance; stabilize process and
control charts; deal with causes of special variations
Tailor the project’s process from organization’s
standard processes; understand processes qualitatively;
ensure that projects contribute to organization assets
Adhere to policy; follow documented plans and processes;
apply adequate resources; assign responsibility and
authority; train people; apply CM; monitor, control, and
evaluate process; identify and involve stakeholders; review
with management
Processes are ad hoc and chaotic
CMMI V1.3 and Beyond
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Achieving Capability Levels (CLs) for a
Process Area
GG 1, GG 2, and GG 3
All SPs
CL3
Defined
GG 1 and GG 2
All SPs
CL2
Managed
GG 1
All SPs
CL1
Performed
A few GPs or SPs
may be implemented
CL0
Project’s process is tailored from organization’s standard
processes; understand process qualitatively; process
contributes to the organizations assets
Adhere to policy; follow documented plans and processes, apply
adequate resources; assign responsibility and authority; train
people, apply CM, monitor, control, and evaluate process;
identify and involve stakeholders; review with management
Perform the work
Not performed, incomplete
CMMI V1.3 and Beyond
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CMMI for Development
CMMI V1.3 and Beyond
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CMMI for Development Model
CMMI-DEV 22
Developmentspecific PAs
5
1
Shared PA (SAM)
16
CMMI
Core PAs
CMMI-SVC
Core PAs that are
present in all CMMI
models.
CMMI-ACQ
CMMI V1.3 and Beyond
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Comparison of Models
Measure
CMMI for Development
CMMI for
Acquisition
CMMI for Services
V1.1
Staged
V1.1
Cont
V1.2
V1.3
V1.2
V1.3
V1.2
V1.3
Pages
715
710
560
468
428
423
531
506
Process
Areas
25
25
22
22
22
22
24
24
Generic
Goals
2
5
5
3
5
3
5
3
Generic
Practices
12
17
17
13
17
13
17
13
Specific
Goals
55
55
50
49
46
47
52
53
Specific
Practices
185
189
173
167
161
163
182
181
CMMI V1.3 and Beyond
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© 2010 Carnegie Mellon University
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Development-Specific PAs
Supplier
Agreement
Management
Requirements
Development
Technical
Solution
Product
Integration
CMMI Model
Framework
(CMF)
(Shared with
SVC)
Validation
16 Project,
Organizational,
and Support
Process Areas
Verification
CMMI V1.3 and Beyond
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© 2010 Carnegie Mellon University
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CMMI-DEV PAs by Maturity Level
Maturity Level
Process Areas
5
Optimizing
Causal Analysis and Resolution
Organizational Performance Management
4
Quantitatively Managed
Organizational Process Performance
Quantitative Project Management
Defined
Decision Analysis and Resolution
Integrated Project Management
Organizational Process Definition
Organizational Training
Organizational Process Focus
Product Integration
Requirements Development
Risk Management
Technical Solution
Validation
Verification
Managed
Configuration Management
Measurement and Analysis
Project Monitoring and Control
Project Planning
Process and Product Quality Assurance
Requirements Management
Supplier Agreement Management
3
2
For the V1.3
release, there were
no changes that
affected the DEV
PAs’ positioning by
maturity level.
CMMI V1.3 and Beyond
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CMMI-DEV PAs by Category
Process Management
Organizational Innovation and Deployment (OID)
Organizational Process Definition (OPD)
Organizational Process Focus (OPF)
Organizational Process Performance (OPP)
Organizational Training (OT)
Support
Causal Analysis and Resolution (CAR)
Configuration Management (CM)
Decision Analysis and Resolution (DAR)
Measurement and Analysis (MA)
Process and Product Quality Assurance (PPQA)
For the V1.3 release, REQM was moved from
“Engineering” to “Project Management.”
Project Management
Integrated Project Management (IPM)
Project Monitoring and Control (PMC)
Project Planning (PP)
Quantitative Project Management (QPM)
Requirements Management (REQM)
Risk Management (RSKM)
(+) Supplier Agreement Management (SAM)
Engineering
Product Integration (PI)
Requirements Development (RD)
Technical Solution (TS)
Validation (VAL)
Verification (VER)
CMMI V1.3 and Beyond
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Product Integration
SG 1: Prepare for Product Integration
SP 1.1
Establish an Integration Strategy
SP 1.2
Establish the Product Integration Environment
SP 1.3
Establish Product Integration Procedures and
Criteria
SG 2: Ensure Interface Compatibility
SP 2.1
Review Interface Descriptions for
Completeness
SP 2.2
Manage Interfaces
SG 3: Assemble Product Components and Deliver the
Product
SP 3.1
Confirm Readiness of Product Components
for Integration
SP 3.2
Assemble Product Components
SP 3.3
Evaluate Assembled Product Components
SP 3.4
Package and Deliver the Product or Product
Component
Revised the purpose statement to
ensure proper behavior instead of
proper function, thereby more
explicitly including quality
attributes and required
functionality.
Changed emphasis on integration
sequence to an emphasis on
integration strategy.
Described an integration strategy
and how it relates to an integration
sequence.
CMMI V1.3 and Beyond
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Requirements Development
SG 1:
Develop Customer Requirements
SP 1.1
Elicit Needs
SP 1.2
Transform Stakeholder Needs into Customer
Requirements
SG 2: Develop Product Requirements
SP 2.1
Establish Product and Product Component
Requirements
SP 2.2
Allocate Product Component Requirements
SP1.2 revised to add that customer
requirements should be prioritized
based on their criticality to the
customer and other stakeholders.
Broadened emphasis from
“operational scenarios” to a more
balanced “scenarios (operational,
sustainment, and development).”
Added a focus on architectural
requirements.
SP 2.3
Identify Interface Requirements
SG 3: Analyze and Validate Requirements
SP 3.1
Establish Operational Concepts and Scenarios
SP 3.2
Establish a Definition of Required Functionality
and Quality Attributes
SP 3.3
Analyze Requirements
SP 3.4
Analyze Requirements to Achieve Balance
SP 3.5
Validate Requirements
Because “Quality attributes”
needs to be considered in addition to
“functionality,” SG3 and SP 3.2 were
revised.
Added informative material that
requirements can be monitored
through development based on their
criticality to the customer.
CMMI V1.3 and Beyond
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V1.3 CMMI Model Updates:
Core PAs
© 2010 Carnegie Mellon University
CMMI Product Suite, Version 1.3
Version 1.3 focused on but was not limited to the following:
• High Maturity
• Appraisal efficiency
• Consistency across constellations
• Simplify the generic practices
Version 1.3 was change request (CR) driven.
CMMI V1.3 and Beyond
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How Similar Are Core PAs?
Core process areas appear in all CMMI models; however...
• These process areas are not identical across all models.
• Informative material can be different so that users interpret goals
and practices for the area of interest addressed by the model.
• Sometimes practices can be different in one model from another
(e.g., Project Planning).
CMMI V1.3 and Beyond
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V1.3 Model Architecture Changes
IPPD/Teaming
Removed the IPPD addition from CMMI-DEV and in its place added teaming
practices from CMMI-ACQ and CMMI-SVC. These practices are not optional.
Amplifications
Removed the “amplification” model component.
CMMI-ACQ
Renamed the “Acquisition” process area category to be “Acquisition Engineering.”
Moved AM and SSAD from the Acquisition PA category to the Project Management
PA category.
CMMI-DEV
Moved REQM from the Engineering PA category to the Project Management PA
category.
CMMI V1.3 and Beyond
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V1.3 Changes to GGs, GPs, and GP Elaborations
Positioned generic goals, generic practices, and GP elaborations in one
central location as the first section of Part 2 in all three models.
Simplified GG1 to make it more readable.
Renamed GP 2.6 to “Control Work Products.”
Added “selected work products” to the GP 2.9 statement.
Simplified the GP 3.2 statement to replace “collect work products,
measures, measurement results, and improvement information” with
“collect process related experiences.”
Eliminated GG4 and GG5.
CMMI V1.3 and Beyond
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Core PAs by Maturity Level
Level
Focus
Process Areas
5 Optimizing
Continuous
Process
Improvement
Causal Analysis and Resolution
Organizational Performance Management
4 Quantitatively
Managed
Quantitative
Management
Organizational Process Performance
Quantitative Project Management
3 Defined
Process
Standardization
Decision Analysis and Resolution
Integrated Project Management
Organizational Process Definition
Organizational Process Focus
Organizational Training
Risk Management
2 Managed
Basic
Project
Management
Quality
Productivity
Configuration Management
Measurement and Analysis
Project Monitoring and Control
Project Planning
Process and Product Quality Assurance
Requirements Management
Risk
Rework
1 Initial
CMMI V1.3 and Beyond
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© 2010 Carnegie Mellon University
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Core PAs by Category
Process Management
Organizational Process Definition (OPD)
Organizational Process Focus (OPF)
Organizational Performance Management (OPM)
Organizational Process Performance (OPP)
Organizational Training (OT)
Support
Causal Analysis and Resolution (CAR)
Configuration Management (CM)
Decision Analysis and Resolution (DAR)
Measurement and Analysis (MA)
Process and Product Quality Assurance (PPQA)
Project and Work Management
Integrated Project Management (IPM)
Project Monitoring and Control (PMC)
Project Planning (PP)
Quantitative Project Management (QPM)
Requirements Management (REQM)
Risk Management (RSKM)
(+) Supplier Agreement Management (SAM)
SAM is a shared PA
instead of a core PA.
“Work” is substituted for “Project”
in CMMI-SVC titles.
CMMI V1.3 and Beyond
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New Informative Material
Update selected process areas to provide interpretation of practices for
organizations with respect to the following topics:
• Agile methods
• Quality attributes (i.e., non functional requirements or “ilities”)
• Allocation of product capabilities to release increments
• Product lines
• System of systems
• Architecture-centric development practices
• Technology maturation
• Customer satisfaction
CMMI V1.3 and Beyond
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V1.3 Changes to High Maturity PAs
Many of the most significant changes to CMMI models as part of Version
1.3, are the changes to the high maturity process areas (CAR, OPM, OPP,
and QPM).
These process areas are core process areas, but we’ve focused on these
four over the others because of their significance in this release.
CMMI V1.3 and Beyond
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High Maturity Changes for V1.3
Terminology Confusion
• Common Cause (Statistical versus Quantitative Techniques)
• Process Models and Process Modeling
• Business Objectives
• Subprocesses
Requirements implied versus explicit/ Explanations not central or consistent
• Model/ Audit Criteria/ Presentations (Healthy Ingredients)/ UCHMP
Perceptions
• Customers – ML 5 is expensive – no better than 3
• Industry – ML 5 is NOT RIGHT for every business
High Maturity in ALL constellations
• Examples are focused on Development
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High Maturity Restructuring for V1.3
• Insufficient link between process improvement, business objectives, and
performance
• Clarify distinction between ML4 and ML5
• Eliminate GG4 and GG5
• Make CAR more relevant for organizational benefit
CMMI V1.3 and Beyond
Phillips – November 2010
© 2010 Carnegie Mellon University
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Causal Analysis and Resolution
SG 1: Determine Causes of Selected Outcomes
SP 1.1
Select Outcomes for Analysis
SP 1.2
Analyze Causes
SG 2: Address Causes of Selected Outcomes
SP 2.1
Implement Action Proposals
SP 2.2
Evaluate the Effect of Implemented Actions
SP 2.3
Record Causal Analysis Data
Used “outcomes” instead of “defects
and problems.”
Added examples for service
organizations and for selecting
outcomes for analysis.
Added subpractices in SP 1.1 for
defining the problem, and in SP 2.2
for following up when expected
results did not occur.
Added more information about how
PPMs can be used.
Added emphasis on prevention and
reducing recurrence.
CMMI V1.3 and Beyond
Phillips – November 2010
© 2010 Carnegie Mellon University
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Organizational Performance Management
SG 1: Manage Business Performance
SP 1.1
Maintain Business Objectives
SP 1.2
Analyze Process Performance Data
SP 1.3
Identify Potential Areas for Improvement
SG 2: Select Improvements
SP 2.1
Elicit Suggested Improvements
SP 2.2
Analyze Suggested Improvements
SP 2.3
Validate Improvements
SP 2.4
Select and Implement Improvements for
Deployment
SG 3: Deploy Improvements
SP 3.1
Plan the Deployment
SP 3.2
Manage the Deployment
SP 3.3
Evaluate Improvement Effects
Renamed the PA to be
Organizational Performance
Management (OPM).
Added a new goal about managing
business performance using
statistical and other quantitative
techniques.
Provided more information about
how improvements can be selected
for deployment.
More explicitly described and
discussed using process
performance models.
Clarified that not all improvement
validations include piloting.
CMMI V1.3 and Beyond
Phillips – November 2010
© 2010 Carnegie Mellon University
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Organizational Process Performance
SG 1: Establish Performance Baselines and Models
SP 1.1
Establish Quality and Process Performance
Objectives
SP 1.2
SP 1.3
SP 1.4
SP 1.5
Select Processes
Establish Process Performance Measures
Analyze Process Performance and Establish
Process Performance Baselines
Establish Process Performance Models
Re-ordered SPs, moving the old SP
1.3 (Establish Quality and Process
Performance Objectives) to SP 1.1
Revised SP 1.4 to include process
performance analysis and
assessment of subprocess stability.
Revised SP 1.5 to note that under
certain circumstances, projects may
need to create their own process
performance models.
Clarified the relationship of OPP to
other high maturity process areas.
CMMI V1.3 and Beyond
Phillips – November 2010
© 2010 Carnegie Mellon University
77
Quantitative Project Management
SG 1: Prepare for Quantitative Management
SP 1.1
Establish the Project’s Objectives
SP 1.2
Compose the Defined Process
SP 1.3
Select Subprocesses and Attributes
SP 1.4
Select Measures and Analytic Techniques
SG 2: Quantitatively Manage the Project
SP 2.1
Monitor the Performance of Selected
Subprocesses
SP 2.2
Manage Project Performance
SP 2.3
Perform Root Cause Analysis
Restructured QPM so that SG1
focuses on preparation and SG2
focuses on managing the project.
Added guidance about using
process performance baselines and
process performance models.
Define quantitative management in
the glossary to include statistical
management and use that
definition for use of the terms
throughout QPM.
Removed the practice about
applying statistical methods to
understand variation to reduce the
over-emphasis on control charts.
Added new practices about
managing performance and
performing root cause analysis.
CMMI V1.3 and Beyond
Phillips – November 2010
© 2010 Carnegie Mellon University
78
CMMI Adoption
© 2010 Carnegie Mellon University
Number of Appraisals Reported to the SEI
by Continent
3600
3400
3200
3012
Number of Appraisals
3000
2800
2600
2400
2200
2000
1885
1800
1600
1400
1200
1000
760
800
600
355
400
200
72
42
0
Africa
Asia
Australia
Europe
North America
South America
CMMI V1.3 and Beyond
Phillips – November 2010
© 2010 Carnegie Mellon University
80
Countries Where Appraisals Have Been
Performed and Reported to the SEI
Argentina
Bulgaria
Dominican Republic
Hungary
Latvia
Nepal
Philippines
South Africa
Turkey
Australia
Canada
Egypt
India
Lithuania
Netherlands
Poland
Spain
Ukraine
Austria
Chile
Finland
Indonesia
Luxembourg
New Zealand
Portugal
Sri Lanka
United Arab Emirates
Bahrain
China
France
Ireland
Macedonia
Norway
Romania
Sweden
United Kingdom
Bangladesh
Colombia
Germany
Israel
Malaysia
Pakistan
Russia
Switzerland
United States
Belarus
Costa Rica
Greece
Italy
Mauritius
Panama
Saudi Arabia
Taiwan
Uruguay
Belgium
Czech Republic
Guatemala
Japan
Mexico
Paraguay
Singapore
Thailand
Viet Nam
Brazil
Denmark
Hong Kong
Korea, Republic Of
Morocco
Peru
Slovakia
Tunisia
* Red/Italic country name: New additions with this reporting since March 2010
CMMI V1.3 and Beyond
Phillips – November 2010
© 2010 Carnegie Mellon University
81
CMMI Adoption Has Been Broad
34 countries with > 10 appraisals
(as of Sept 2010):
501 to 1000
6.8%
1001 to 2000
3.7%
2000+
2.5%
USA
1719
China
1475
India
576
Japan
324
Spain
198
France
183
Korea (ROK) 176
Brazil
167
Taiwan
147
U.K.
118
Mexico
104
Germany
80
Argentina
79
Malaysia
74
Canada
62
Egypt
52
Italy
46
Colombia
43
Chile
43
Thailand
41
•
There were SCAMPI A appraisals reported
from 71 countries.
•
Approximately 75% of adopters are commercial
organizations.
•
Services; 1/6 Manufacturing
•
Approximately 2/3 of adopters in the US are
contractors for military/government or are
government.
25 or fewer
13.6%
301 to 500
7.4%
201 to 2000+
23.8%
201 to 300
9.0%
1 to 100
58.2%
26 to 50
15.6%
101 to 200
19.8%
51 to 75
12.8%
76 to 100
8.9%
Estimated 1.2 million people work in
organizations that have had at least
one SCAMPI A appraisal since April
2002.
And - Australia, Pakistan, Philippines,
Singapore, Israel, Hong Kong,
Viet Nam, Turkey, Netherlands, Portugal,
Sri Lanka, Ireland, Peru and Russia
Services
71.1%
Wholesale Trade
0.1%
Manufacturing
16.3%
Transportation,
Communication, Electric, Gas
and Sanitary Services
3.6%
Finance, Insurance and Real
Estate
5.5%
Public Administration
(Including Defense)
3.2%
Retail Trade
0.3%
Fabricated Metal Products
0.2%
Primary Metal Industries
0.3%
Industrial Machinery And
Equipment
0.7%
Business Services
35.0%
Electronic & Other Electric
Equipment
10.4%
Instruments And Related
Products
1.0%
Transportation Equipment
2.4%
Health Services
1.3%
Engineering & Management
Services
24.2%
Other Manufacturing
Industries
1.2%
Other Services
10.7%
http://www.sei.cmu.edu/cmmi/casestudies/profiles/cmmi.cfm
Is the source for these statistical analyses.
CMMI V1.3 and Beyond
Phillips – November 2010
© 2010 Carnegie Mellon University
82
CMMI Transition Status
Reported to the SEI as of 10-31-10
Training
Introduction to CMMI V1.2
120,838
Intermediate Concepts of CMMI
3,238
Understanding CMMI High Maturity Practices
636
Introduction to CMMI V1.2 Supplement for ACQ
1,325
Introduction to CMMI V1.2 Supplement for SVC
2,361
Introduction to CMMI for Services V1.2
314
Certifications
Introduction to CMMI V1.2 Instructors
408
CMMI-ACQ V1.2 Supplement Instructors
66
CMMI-SVC V1.2 Supplement Instructors
Introduction to CMMI for Services V1.2 Instructors
131
23
SCAMPI V1.2 Lead Appraisers
466
SCAMPI V1.2 High Maturity Lead Appraisers
142
CMMI-ACQ V1.2 Lead Appraisers
72
CMMI-SVC V1.2 Lead Appraisers
147
CMMI V1.3 and Beyond
Phillips – November 2010
© 2010 Carnegie Mellon University
83
Number of Appraisals Conducted by Year
Reported as of 10-31-10
1600
1400
1200
1000
800
600
400
200
0
SPA
CBAIPI(Discontinued after 12/31/2005)
SCAMPI v.X ClassA
CMMI V1.3 and Beyond
Phillips – November 2010
© 2010 Carnegie Mellon University
85
Continuous Improvement
Certification of our process improvement professionals is appropriate and
achievable
• Lead Appraisers first
• Instructors next
• CMMI consultants/practitioners in the future
Improved architecture allows process improvement model expansion.
• Extensions of the lifecycle
o
allows coverage of more of the enterprise or potential partnering
organizations
o
adapts model features to fit non-developmental efforts
CMMI V1.3 and Beyond
Phillips – November 2010
© 2010 Carnegie Mellon University
86
Transition…
We are providing an on-line upgrade course for V1.3 as we did for V1.2.
• Users make the transition by taking the upgrade course.
During a period of one year, organizations may use either V1.2 or V1.3
models for their appraisals.
Appraisals using V1.2 models will be valid for the full 3 years.
CMMI V1.3 and Beyond
Phillips – November 2010
© 2010 Carnegie Mellon University
87