Applicability of
CMMI for Small to
Medium Enterprises
SC SPIN
April 9, 2010
Maggie Glover, Suz Garcia & Gene Miluk,
Ph.D
Software Engineering Institute
Rick Hefner, Ph.D.
Northrop Grumman Corporation
Copyright 2005 Northrop Grumman Corporation
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
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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)
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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
Reference: “Improving Processes in Small
Settings (IPSS): A White Paper,” International
Process Research Consortium (IPRC), Software
Engineering Institute
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Software/Systems
Culture?
No, generally
Processes
Experience
No, generally
Process attitude
Generally negative
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Small Setting Business Goals
 Shortened time to market
 Promotion of growth
 Improved product quality
 Reduced development costs
 Readiness for business change
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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)
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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
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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.
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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
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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
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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
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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
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Pain Associated with Improving Existing
Products or Developing New Products
Average
Response
Standard
Deviation
The time it takes to get to market / recognize revenue
7.2
2.0
Trying to accelerate corporate grow th
6.7
2.2
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
Incorporating increasing systems or softw are into
new or improved products
5.4
2.1
5.3
2.4
Historical New Product Failures
5.2
2.2
4.6
2.3
Above Average "Pain"
Average "Pain"
Below Average "Pain"
ISO or QS 9000 Compliance
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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
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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)
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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
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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
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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/SEI96-HB-001
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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
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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?
Covert level
Culture
Intermediate level
Ethics Values Norms
Attitudes
Beliefs
Priorities
Overt level
Opinions
Behavior
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Conduct
Do & Don’ts
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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
“Are You Prepared for CMMI?”, Suz Garcia, SEPG 2003
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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
“Are You Prepared for CMMI?”, Suz Garcia, SEPG 2003
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The Executive’s Viewpoint
New technologies are:
 Hard to select efficiently/effectively
 Hard to deploy efficiently/effectively
 (Too) soon replaced by even newer technologies
“Are You Prepared for CMMI?”, Suz Garcia, SEPG 2003
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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?
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Building Commitment
Patterson, Robert W., and Darryl R. Conner, eds. "Building Commitment to
Organizational Change." Training and Development Journal Apr. 1982: 18-30.
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CMMI Is Being Applied to Small Organizations
Based on 2106 organizations
reporting appraisal results to SEI
Process Maturity Profile
CMMI®
SCAMPISM Class A Appraisal Results
September 2007
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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
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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
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Coaching Support
1. Assist with setting strategy and
plans
 Scope, timelines, tasks and
priorities, budgets, roles
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
2. Train improvement team and key
personnel
 3-day official Introduction to
CMMI
 CMMI Fundamentals
 Executive Overview
5. Assist in planning and tracking
the initiative
 Periodic status meetings
 Interpret CMMI
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)

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Preparation for appraisal
 Evidence gathering tool
 Evidence gathering workshops
 Interface with Lead Appraiser
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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
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)
 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?
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Why Do Interpretation Issues Arise?
 The CMMI model is a collection of industry bestpractices
 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
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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
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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
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Example – Organizational Policies and Processes
GP 2.1
Establish an Organizational Policy
Establish and maintain an organizational policy for planning and performing
the process.
GP 3.1
Establish a Defined Process
Establish and maintain the description of a defined process.
 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
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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
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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)
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Copyright 2005 Northrop Grumman Corporation