Copyright 2005 Northrop Grumman Corporation Applicability of CMMI for Small to Medium Enterprises SC SPIN April 9, 2010 Maggie Glover, Suz Garcia & Gene

Copyright 2005 Northrop Grumman Corporation

Applicability of CMMI for Small to Medium EnterprisesSC SPIN April 9, 2010

Maggie Glover, Suz Garcia & Gene Miluk, Ph.DSoftware Engineering Institute

Rick Hefner, Ph.D.Northrop Grumman Corporation

Copyright 2005 Northrop Grumman Corporation 2

Background

There are many reasons why CMMI is difficult to implement in small organizations and small projects Fixed costs of establishing the necessary infrastructure Large number of roles which must be filled by a limited

number of people Quantity of information that must be absorbed to properly

interpret the model

Similar problems are experienced when applying the CMMI to short duration projects

This tutorial will outline the challenges in applying CMMI in small settings, and present practical strategies for overcoming them


Topics

Characteristics of Small Settings (Rick Hefner) Why Small Organizations Care About CMMI Why Small Projects Care About CMMI The Challenges in Applying CMMI in Small Settings

Strategic Approaches (Rick Hefner) Adoption Strategies Infrastructure Strategies Appraisal Strategies

Case Studies from Successful Adopters (Maggie Glover)


What is A Small Setting?

A small setting is typically defined as: Businesses with fewer

than 100 people Organizations, within a

larger organization, with fewer than 50 people

Projects with fewer than 20 people

Size 25-150

Software 1-10

Development Concerns

Quality Cost and Schedule difficulties for Systems and software related development

Established Cultures

Manufacturing

Engineering

Financial

Software/Systems Culture?

No, generally

Processes Experience

No, generally

Process attitude Generally negativeReference: “Improving Processes in Small Settings (IPSS): A White Paper,” International Process Research Consortium (IPRC), Software Engineering Institute


Small Setting Business Goals

Shortened time to market

Promotion of growth

Improved product quality

Reduced development costs

Readiness for business change


Multi-Phase Study

A multi-phase study was conducted to determine how CMMI applied to small to medium enterprises (SMEs)

Phase 1: Detailed Qualitative Study of SMEs and CMMI In depth investigation of four SMEs and the applicability of CMMI

Phase 2: Quantitative Survey of SMEs Market Analysis 100 representative SMEs

Phase 3: Experimental Studies applying CMMI to SMEs Direct application of CMMI to specific SMEs (Huntsville and others)


Phase 1 Qualitative Research

Research Questions:

1. What are the needs (perceived and actual) of SMEs who incorporate systems and software in their products and services? Does the CMMI™ address problems and opportunities important to the SME community?

2. Is it feasible to implement the CMMI™ in the SME environment? How will the CMMI™ need to be adapted, developed and packaged to effectively address SMEs?

3. Organizational compatibility: What are the likely impacts to the existing managerial and technical social-order within the organization? How compatible is the CMMI™ technology with the SME culture?

T.I.D.E project sponsored by Congressman Doyle (PA), http://www.sei.cmu.edu/pub/documents/04.reports/pdf/04tr005.pdf

Dissertation, Gene Miluk, Pepperdine University, 2005, An Exploratory Study Investigating the Organizational and Technical Impacts of Applying Disciplined System Development Processes (CMMI™) in Small to Medium Sized Enterprises


Phase 1 Results

SMEs with systems and software incorporated in their products do experience product delivery, quality and cost problems. There is a need for disciplined methods in the SME community.

Given the technical and business situation described by the SMEs studied, it would appear that the CMMI™ in its current form is not feasible to implement in the SME environment.

The data collected in this study indicates that small, quickly implemented improvements focused on identifiable SME problem areas is the preferred approach when working with SMEs.


”

Phase-1 Results

CMMI SME implementation issues: Size - CMMI is considered too large by SMEs Linkage to SME problems is not immediately evident Lack of SME implementation knowledge, infrastructure and resources

to translate process framework into value added operational processes

CMMI Alternative Approaches: CMMI-SME Front-end: Provide direct link of SME development

problems to the appropriate practices in the model CMMI-SME Back-end: Link of model components to off the shelf

“whole” product solutions appropriate for SME implementation

The optimum packaging for the CMMI-SME would provide “line of sight” connectivity from SME problem to model components to implementation solutions


Recommendations: Supporting Infrastructure

Performance database of expected SME results SMEs want to know how they compare to other But SMEs lack resources and expertise to benchmark

Diagnostic tool that: Analyzes SME performance Identifies problem areas Relates them to the model Points to the associated solutions

SME Solutions Library Develop a library of SME appropriate “whole” product

solutions mapped to the SME problem areas and the CMMI


Phase 2 Quantitative Survey

Objectives Evaluate feasibility of applying CMMI in the SME

community Determine the current behaviors (issues) of SMEs relative

to processes Determine if SMEs have a need for disciplined system

development processes

Larger study SEI TIDE program developed a telephone survey to

gather market information about CMMI and the SME marketplace

Catalyst Connection, an organization designed to support SMEs in SW Pennsylvania, administered the survey


Phase 2 - Key Findings

Improved product development and software quality are of average importance, compared to overall process improvement and manufacturing efficiencies

Most firms are ISO certified and believe that it is valuable

There appears to be a strong process orientation in almost all firms; UL, ISO most frequently mentioned

Time to market and business growth are biggest “pains”

Almost 75% of respondents will have more software and computers in new products than in current products

There is a motivation for CMMI, if it can be linked to business performance

There is a motivation for CMMI, if it can be linked to business performance


Pain Associated with Improving Existing Products or Developing New Products

Average Response

Standard Deviation

Above Average "Pain"The time it takes to get to market / recognize revenue 7.2 2.0

Trying to accelerate corporate grow th 6.7 2.2

Average "Pain"Development of new products or features 6.0 1.9

Capitalization / funding new product efforts 6.0 2.8

Compliance issues w ith partners 5.6 1.9

Quality assurance / quality control issues 5.4 2.1Incorporating increasing systems or softw are into

new or improved products 5.3 2.4

Historical New Product Failures 5.2 2.2

Below Average "Pain"ISO or QS 9000 Compliance 4.6 2.3


Phase 2 - Key Findings

Training services, software tools and consulting are the top 3 most useful outside services

Traditional, classroom training is the preferred method of learning

CMMI is recognized by about 25% of respondents

Lean Manufacturing is the most well known outside resource or initiative


Topics





Key Steps in Adopting the CMMI in a Small Setting

Ensuring readiness for CMMI-based improvement

Determining the appropriate scope

Hiring a coach

Setting up the right infrastructure

Interpreting the model in your context


Ensuring Readiness for CMMI® -Based Improvement

CMMI® is a new technology, a radical one if you’ve never been involved in model-based improvement before

For those new to model-based improvement, what do you think CMMI® adoption will require: Development of new routines (procedures)? Modifications of norms, beliefs, values of organizational

members?

“Are You Prepared for CMMI?”, Suz Garcia, SEPG 2003


The IDEAL ModelSM

The Initiating phase ensures readiness and support for the changes associated with CMMI®

“IDEAL: A User's Guide for Software Process Improvement ,” Robert McFeeley, Software Engineering Institute, CMU/SEI-96-HB-001


Organizational Culture

A pattern of shared basic assumptions that the group learned as it solved its problems of external adaptation and internal integration, that has worked well enough to be considered valid and, therefore, to be taught to new members as the correct way you perceive, think, and feel in relation to those problems.

Artifacts The practices that can be observed in such areas as dress code,

leadership style, communication processes

Espoused values The elements the organization says it believes in, the factors that it

says influence the practices in which it engages

Basic underlying assumptions Unstated beliefs the organization has come to accept and abide by

Organizational Culture & Leadership, Edgar H Schein


Addressing the Underlying Beliefs

Sponsors and performers must have a strong vision of the desired culture What are my roles and responsibilities? What changes in behavior are required? What are the underlying beliefs and values? How do I benefit – WIIFM?

Culture

Ethics Values Norms

Attitudes Beliefs Priorities

Opinions Behavior Conduct Do & Don’ts

Covert level

Intermediate level

Overt level


What Will CMMI Mean to Managers/ Practitioners?

Focus of behavior changes for CMMI® Maturity Level 2

Commitment: Understanding who the stakeholders are and achieving common

understanding with them of the project’s scope/ requirements Moving from accepting changes without adequate impact analysis to

negotiated changes based on impact ($, time)

Control: Management moves from after-the-fact corrective action to

measurement-focused, more proactive controls throughout the program

Requirements are the fundamental basis for planning and control Risk management is implicitly (and explicitly) used throughout the

engineering disciplines



What Will CMMI Mean to Managers/ Practitioners? - 2

Communications: Management focus moves from “communications is an extra step n

the process” to “communications is vital to keeping the process going”

Notion of stakeholders as the base for communications expands the scope of communication activities



The Executive’s Viewpoint

New technologies are:

Hard to select efficiently/effectively

Hard to deploy efficiently/effectively

(Too) soon replaced by even newer technologies



Key Factors to be Addressed

What has the track record been with similar initiatives? How will CMMI be different?

What is the investment? What is the payoff? What is the timeline for this payoff?

Whose buy-in is needed? What’s in it for them?

What are the expectations? How will they be managed?


Building Commitment

Patterson, Robert W., and Darryl R. Conner, eds. "Building Commitment to Organizational Change." Training and Development Journal Apr. 1982: 18-30.


CMMI Is Being Applied to Small Organizations

Based on 2106 organizations reporting appraisal results to SEI

Process Maturity ProfileCMMI®SCAMPISM Class A Appraisal ResultsSeptember 2007


Determining the Appropriate Scope

Large organizations often have the luxury of piloting CMMI in a small portion of the organization

Small organizations must be prepared to make a bigger relative commitment Requires a better understand of the barriers,

expectations, return on investment, impacts, etc. Suggests that an experienced, outside consultant may be

useful


Hiring A Coach

An experienced coach may be useful in ensuring a successful initiative

The ideal coach Experience in implementing CMMI in small settings Communicates easily with all levels, including senior

management, middle management, and practitioners Experienced SEI-authorized CMMI Lead Appraiser

(understands what appraisers are looking for, and can discuss unique aspects of your implementation with your Lead Appraiser)

Provides tools and templates successfully used in small settings

Has a proven track record


Coaching Support

1. Assist with setting strategy and plans Scope, timelines, tasks and

priorities, budgets, roles

2. Train improvement team and key personnel 3-day official Introduction to

CMMI CMMI Fundamentals Executive Overview

3. Provide process assets and assist in adapting 1. Policies (GP 2.1) Process (GP 3.1) Training (GP 2.5) Metrics (GP 2.8) Templates (e.g., plans)

4. Assist in establishing needed infrastructure Process improvement group Management steering group Senior mgmt. review (GP 2.10) Tailoring approach Measurement repository Process asset library

5. Assist in planning and tracking the initiative Periodic status meetings Interpret CMMI

Preparation for appraisal Evidence gathering tool Evidence gathering workshops Interface with Lead Appraiser


Setting Up the Right Infrastructure

Improvement efforts should begin with some key decisions about strategy Greatly influences cost, speed

of improvement effort The infrastructure will often

drive the timeline for achieving a maturity level

Should address What does your organization

currently have that can be used/modified?

What do we need to create? What reusable assets can be modified?

Key elements Organizational policies (GP 2.1) Organizational processes and

tailoring (GP 3.1, IPD) Training (GP 2.5, OT) Document management (GP 2.6) Stakeholders (GP 2.7) Time accounting (GP 2.8) Senior mgmt review (GP 2.10) Plan templates Measurement repository (OPD) Process Asset Library (OPD) Process Group (OPF)


Why Do Interpretation Issues Arise?

The CMMI model is a collection of industry best-practices

These best-practices are based on an assumed project and organizational context These practices must be adapted for other situations

To better understand/interpret a practice: Review Process Area introductory material and Goals to

understand the purpose of the process Seek guidance from someone who has implemented that

practice in your context Understand the fundamental principles behind the

practice


Underlying Principles of CMMI

1. Process discipline leads to predictable project performance Say what you do; do what you say Document the plans/processes Communicate them to the performers and stakeholders Audit to ensure we are following them

2. Conscious choices lead to better processes E.g., identify relevant stakeholders and their involvement; identify

work products to be controlled and the control method; define validation procedures and criteria, …

3. Organizational learning improves project performance Capture what works, and what doesn’t Make rules (policies) to guide projects Define expected processes, and let projects tailor them to fit Capture work products and measures, and learn from them


Small Projects

All the CMMI practices typically apply, but must be performed in a highly efficient manner Focus on discipline, not bureaucracy

With smaller projects Communication/coordination is simpler It is more tempting (but more dangerous) to abandon discipline The ability to divert staff to recover from mistakes is often less

Examples of interpretations Plans/processes may be less detailed, less formal “Configuration Control Board” may simply be the project manager Peer review may be a “buddy check” by a single individual

See “Judging the Suitability of Advanced Practices,” Rick Hefner and Pat O’Toole, 2007 CMMI Technology Conference and User Group


Example – Organizational Policies and Processes

Large organizations often have a separate policies (required “what” to do) and process (expected “how” to do, may be tailored)

Small settings will typically have a single process description that must be followed Encompasses spirit of policies and process All tailoring must be approved Less tailoring is needed, because projects are similar Written during transition to ML2 as guidance for ML2 processes

GP 2.1 Establish an Organizational PolicyEstablish and maintain an organizational policy for planning and performing the process.

GP 3.1 Establish a Defined ProcessEstablish and maintain the description of a defined process.


Appraisal Strategies

Your coach (or you) must engage early with potential Lead Appraisers

Must ensure that any interpretations agree with the Lead Appraiser’s perception

A workshop format or lower cost alternative to a SCAMPI appraisal may be more appropriate when starting out

“Using Workshops to Speed CMMI Adoption and Evidence Gathering,” Rick Hefner, et al,, 2007 CMMI Technology Conference and User Group

“Lower Cost, More Effective Alternatives to SCAMPIs,” Rick Hefner, 2007 CMMI Technology Conference and User Group


Topics




Documents

Copyright 2005 Northrop Grumman Corporation Applicability of CMMI for Small to Medium Enterprises SC SPIN April 9, 2010 Maggie Glover, Suz Garcia & Gene