Introduction
Would you eat in a restaurant that had not been inspected periodically by the local inspector? Of course, you would not – because you could not be sure that the restaurant followed the best sanitary practices as a matter of routine. But passing the inspection doesn’t guarantee good food. In fact, I recall a restaurant in Philadelphia with excellent food that probably could not have passed such an inspection. What we do know is that there are certain best practices that restaurants must follow to guarantee the food is safe, regardless of the quality of the product. Guaranteeing that the food and workplace are safe is the goal of the restaurant inspector; he does not guarantee the tastiness of the food. To a certain extent, this is what the Capability Maturity Model (CMM)1 seeks to do – establish a set of practices by which to benchmark the quality of software development organizations. Those that achieve the highest level of certification are expected to produce quality (and possibly good) software, or other functions such as enterprise data management . Those that don’t follow even the minimum recommended practices might offer good software or data management, but we have no confidence that it was developed in the best way (much like that restaurant in Philadelphia).
Many believe that software development or data management organizations should conform to certain accepted practices to attempt to guarantee that the function meets some level of quality and consistency. With the debates about outsourcing and offshoring of software development, and the continuing concerns over the challenges of managing data as an organizational resource, the issues of quality and consistency are foremost in the minds of many business and IT management personnel. Measuring and controlling both the software process and the products involved is crucial to ensure these standards are continuously met.
The CMM was designed to address the need to understand what practices a software development organization follows routinely so partners, customers, and other consumers of the software can rest assured that the right “safety” procedures were followed. Whether the software performed as expected is not within the goals of the CMM, but software developed within the guidelines of the CMM might be “tasty” as well as “safe.” Subsequently, the CMM has been extended to include the practices for enterprise data management, to allow an organization’s data management practices to be measured against relevant industry standards and best practices. For more information on a specific enterprise data management maturity model, click here .
The Capability Maturity Model Integration (CMMI) framework benefits a variety of industries by providing structured processes for improving performance and quality. A CMMI enhances development processes by integrating Agile principles and continuous feedback into the loop. It focuses on optimizing processes and improving software quality management.
The information systems community has developed a long-standing reputation for poor quality in their product development and delivery, and in the management of data and information. As evidenced by the need for multiple “patches,” incremental “releases”, supplemental “upgrades” to packaged software and custom-designed applications, along with the challenges in all the components of data management, many organizations need to improve the quality of their practices in software development and in data management.
There have been several programs that attempt to address the identification of quality and its improvement for manufacturing processes (e.g. Total Quality Management, ISO 9000, and Six Sigma). These programs were designed primarily for measuring quality in generic manufacturing processes, and may not be very useful in the realm of software engineering or data management, with their amorphous development phases and their need to depend on input from user communities and the reliance on increasingly advanced information technology.
Capability Maturity Model History
In 1984, the Software Engineering Institute (SEI) was founded at Carnegie Mellon University as a federally funded, non-profit organization, responding to the need for a software-oriented process improvement technique. The purpose of the SEI was to establish protocols and methodologies in the field of software development that would assist the United States to maintain a competitive edge in technological endeavors, especially in the improvement of the practice of software engineering.
One of the early results of the SEI’s efforts was the development of a “Capability Maturity Model” (CMM), based on the work of Watts Humphrey at IBM. This model strives to assist organizations in improving the quality of their software development through implementation of processes that are “mature,” meaning that these processes have a high predictability of results and low risk of encountering unknown variables or situations. The model takes an organization through five scales, from Level 1 (Initial) through Level 5 (Optimizing), and measures the operation’s effectiveness at each level based on assessment of certain areas. This framework, known as the software capability maturity model, consists of five maturity levels aimed at continual process improvement.
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Key Process Areas (KPA)
Key Process Areas (KPAs) are fundamental to the CMM, as they define the core requirements that a software process must meet to achieve a particular level of maturity. Each KPA represents a cluster of related activities that, when performed collectively, contribute to the overall effectiveness and efficiency of the software process.
Conceptually, KPAs form the backbone of management control over software projects. They establish a framework within which technical methods are applied, ensuring that work products such as models, documents, data, and reports are produced systematically. Milestones are set to track progress, quality assurance measures are implemented to maintain high standards, and changes are managed effectively to adapt to evolving project needs. By satisfying the requirements of each KPA, organizations can achieve higher levels of process maturity, leading to more predictable and successful software development outcomes.
Levels of Maturity
The CMM defines five levels of maturity, each representing a higher degree of process capability and sophistication. These levels serve as benchmarks for evaluating and improving the effectiveness of software processes within an organization:
Level 1: Initial – At this level, processes are typically ad-hoc and chaotic. The organization lacks a stable environment for developing software, leading to unpredictable outcomes.Level 2: Managed – Basic project management processes are established to track cost, schedule, and functionality. Successful practices from previous projects are repeated.Level 3: Defined – The organization’s standard processes for software development are documented and integrated into a coherent whole. These processes are tailored for each project.Level 4: Quantitatively Managed – Metrics are used to control processes and products. The organization can predict process performance and manage variations effectively.Level 5: Optimizing – The focus is on continuous process improvement. The organization proactively identifies and addresses weaknesses to prevent defects and enhance process performance.
Each level builds on the previous one, providing a roadmap for organizations to systematically improve their software processes and achieve higher levels of maturity and capability.
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Capability Maturity Model Benefits
Benefits to using a process improvement framework such as the CMM have been identified by numerous researchers, both academic and professional, and would include:
More accurate identification of flaws in process development operations
Reduction in cost of software development or management of data as a resource
Increase in productivity from software development and / or data management professionals (staff and contractors)
Reduction in post-release defects and essential enhancements
Reduction in time-to-market for implementation
The Capability Maturity Model, whose first version was released in 1991, is based on actual industry practices, reflects the best practices of the industry, and reflects the needs of individuals performing software process improvement and process appraisals (measurement and benchmarking). The CMM is intended to be a cohesive, coherent, ordered set of incremental improvements, all relating to experienced success in the field, and packaged into a framework that demonstrates how effective practices can be built on one another into a logical and repeatable progression.
Far from a “quick fix,” successful use of the CMM requires attention to detail, support, and participation from senior management and a rational approach to all aspects of software development or data management, and implementation. The service CMM is another framework that enhances and manages the quality of services within an organization, playing a crucial role in ongoing service improvement strategies.
Many organizations raced to embrace the CMM, recognizing the high costs of poor quality software development and implementation. However, their enthusiasm in adopting the CMM was not accompanied by an understanding of the foundations of quality improvement and the CMM’s role in assisting organizations to recognize and implement consistent quality improvement methods. Before implementing the CMM, organizations must understand fully the history of quality and process improvement methodologies, and the place the CMM holds in this environment.
Figure 1: Levels of the CMM: (from www.dis.wa.gov/portfolio/tr25/tr25.html )
Initial Level (ad-hoc, immature): At this level, the organization typically does not provide a stable, consistent environment for developing new products or processes. When an organization lacks consistent project management practices, the benefits of good integrated product development practices are undermined by ineffective planning and reaction-driven commitment systems.Repeatable Level : At this level, policies for managing a development project and procedures to implement those policies are established. Effective management processes for development projects are institutionalized, which allows organizations to repeat successful practices developed in earlier projects, although the specific processes implemented by the projects may differ.Defined Level : At the defined level, the standard process for developing a new product is documented. These processes are based on integrated product development practices. They are integrated into a coherent whole. Processes are used to help the managers, team leaders, and development team members perform more effectively.Managed Level : At the managed level, the organization establishes metrics for products and processes and measures the results. Projects achieve control over their products and processes by narrowing the variation in their process performance to fall within an acceptable boundary. Meaningful variations in process performance can be distinguished from random variation (noise).Optimized Level : At the optimized level, the entire organization is focused on continuous process improvement. The organization has the means to identify weaknesses and strengthen the process proactively, with the goal of preventing the occurrence of defects. Data on the effectiveness of the development process is used to perform cost benefit analyses of new development technologies and proposed changes to the organization’s development process. Innovations that exploit the best-integrated product development practices are identified and transferred throughout the organization.
Evolution to Capability Maturity Model Integration (CMMI)
The Capability Maturity Model Integration (CMMI) represents the evolution of the original CMM, addressing its limitations and expanding its scope. Developed by the Software Engineering Institute at Carnegie Mellon University, CMMI integrates multiple maturity models into a single, comprehensive framework. Unlike the original CMM, which was primarily focused on software development, CMMI encompasses a broader range of disciplines, including systems engineering, service delivery, and product development.
CMMI provides more flexible and extensive guidance for process improvement across various organizational domains. It incorporates principles of Agile development, promoting continuous improvement and adaptability. The latest iteration, CMMI V2.0, introduces enhanced tools for aligning processes with business objectives, making it invaluable for organizations aiming to boost productivity and customer satisfaction.
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CMMI offers two representations of process maturity: the staged representation and the continuous model. The staged representation follows the traditional five maturity levels, while the continuous model allows independent assessment of each process area, each with their own maturity level. This dual approach provides organizations with a more tailored and comprehensive framework for process improvement, solidifying CMMI’s role as a cornerstone of quality management in the software development industry and beyond.
The CMM evolved significantly to address its limitations, culminating in the creation of the Capability Maturity Model Integration (CMMI). The capability maturity model integrated is a comprehensive framework that integrates various maturity models into one unified structure. Developed by the CMMI Institute, CMMI builds upon the original model by providing broader and more flexible guidance for improving organizational processes. Unlike CMM, which was software-centric, CMMI integrates best practices across disciplines such as systems engineering, service delivery, and product development. The CMMI framework also incorporates principles of Agile development, promoting continuous improvement and adaptability. Its latest iteration, CMMI V2.0, introduces enhanced tools for aligning processes with business objectives, making it invaluable for organizations seeking to boost productivity and customer satisfaction. These advancements have established CMMI as a cornerstone of quality management in the software development industry and beyond.
Conclusion
If an organization of any size truly is interested in discovering an approach to process improvement in their software development and integration, or enterprise data management efforts, a study of the Capability Maturity Model and the practices it encompasses is a fine place to start. CMM-related efforts can be as simple or detailed as the organization needs or desires, but education in the model and its techniques is essential for a successful self-assessment and any improvement activities that arise from the results of the assessment.
1 For those purists, yes, I know it’s “CMMI” for Capability Maturity Model Integration, the successor to the original CMM. CMMI is the generalized version of the software CMM that encompasses the total system, including software. Nevertheless, this article uses “CMM” throughout without loss of generality.
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