TCS Confidential PresentationApril 21, 2023 Page : 1
Understanding & Using S/W CMM
For
Process Improvement
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Overview
Objective of the tutorial Overview of s/w CMM– Why CMM
– What is CMM
– Implications and benefit of CMM
Proposed roadmap for higher maturity level SPI methodology Managing change in an organization Exercise on process improvement
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Objective
To help participants understand
SW CMM as a model benefits of SW CMM the roadmap for higher maturity level the approach for software process
improvement the process of managing change in an
organization
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Why CMM
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The software problem (1 of 2)The software problem (1 of 2)
The average software program has 40 design flaws that impair employees' ability to use it. The resulting cost of lost productivity can be up to 720%. (Landauer, 1995)
80% of software lifecycle costs occur during the maintenance phase. (Pressman, 1992)
According to a 1995 study by The Standish Group:
• Only 9% - 16% of software development projects are completed on time and on budget.
• A mind boggling 31% of software development projects are cancelled before completion.
• About 52% of projects eventually do get completed, but end up costing
189% average cost overrun
222% average time overrun
39% of the average functionality was not implemented
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The software problem (2 of 2)The software problem (2 of 2) No Silver Bullet (Fred Brooks 1986)
– No single software development support tool would produce a true
order-of-magnitude improvement in programming productivity
So is Software Development a Mission Impossible? Why is it so prone to failure?
“Let’s add more people” seems to be the commonest mistake which
project managers make when schedule slips
– “It takes nine months to bear a child, no matter how many women are
assigned” (Fred Brooks)
• Even in the best of projects where the customer is happy and the system is running LIVE without any major issues, there was a rework effort of about 34% of the overall effort!! (TCS confidential data - early 90s)
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Lack of project management
Ambiguous and constantly changing requirements
Use of new technologies
Lack of user involvement
Trying to chase unrealistic targets
Lack of appropriate resources and tools
Obsolete before completion
Lack of training
Why projects fail or have extensive overruns?
Why projects fail or have extensive overruns?
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Improving efficiency at workImproving efficiency at workPeople
Process Technology
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Businesscapability
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What is a process?
– What you do• e.g Getting
dressed in the morning
What is a software process?
– A set of activities, methods, practices, and transformations that people use to develop and maintain software and the associated products (CMM). e.g.
• process to do analysis
• process to do plan and track the projects
• process to conduct reviews
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An Immature ProcessAn Immature Process
Improvised by practitioners and managers
Not rigorously followed or enforced
Highly dependent on managers and customers
Low visibility into progress
Product functionality and quality may be
compromised to meet schedule
Quality difficult to predict
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An effective software processAn effective software process
Characteristics– Defined– Owned– Trained– Supported– Followed– Monitored– Improved
Infrastructure mechanism– Process documentation– Process group– Process training– Process tools– Process enforcement– Feedback activities– Process improvement
Software process maturity is the extent to which a specific process is explicitly defined, managed, measured, controlled, and effective.
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Software Process Improvement Software Process Improvement
Advantages:
– Fewer product defects found by customers
– Earlier identification and correction of defects
– Fewer defects introduced during the process
– Faster time to market
– Better predictability of project schedules and
resources
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What Is CMM
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Life history– conceived by Watts Humphrey in response to a request for
assessing the capability of software contractors – SEI maturity questionnaire - 1987– “Managing the Software Process” - 1989– Capability Maturity Model, v.1.0 - 1991, v. 1.1 - 1993
Maturity framework integrates– software engineering best practices– quality methods of Crosby and Deming (TQM)– organizational change
Extensive industrial input– CMM Workshops, Advisory Board– 500+ reviewers
Evolution of SW CMMEvolution of SW CMM
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What is CMM?What is CMM?
A common-sense application of process
management and quality improvement concepts
to software development and maintenance
A community-developed guide
A model for organizational improvement
The underlying structure for reliable and
consistent CMM-based appraisal methods
CMM is applying TQM to software
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The Five Levels of Software Process MaturityThe Five Levels of Software Process Maturity
Continuously Improving Process
Focus on process improvement
5.Optimizing
1. InitialUnpredictable and poorly controlled
Project Management
2. RepeatableDisciplined Process Can repeat previously
mastered tasks
Integrated Engineering Process
3. DefinedStandard, Consistent Process Process characterized,
fairly well understood
Product and Process Quality
4. ManagedPredictable Process Process measured
and controlled
Managing Change
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THE CMM STRUCTURE
Level KPA Goals Practices
Level 2 6 22 121
Level 3 7 17 108
Level 4 2 9 40
Level 5 3 6 47
Total 18 54 316
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THE CMM STRUCTURE
The Common Features Include ... Commitment to perform
– The actions the organization must take to ensure that the process is established and will endure
Ability to perform
– The preconditions that must exist in the project or organization to implement the software process competently
Activities performed
– The roles and procedures necessary to implement a key process area
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THE CMM STRUCTURE
The Common Features include ... Measurement and analysis
– The need to measure the process and analyze the measurements
Verifying implementation
– The steps to ensure that the activities are performed in compliance with the established process
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Software Management is a Black Art
In Out
Requirements flow in; product flows out Performance driven by competence and heroics of the people doing the work
INITIAL LEVEL
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NO KEY PROCESS AREAS
Initial (Lvl 1)
THE KEY PROCESS AREAS - LVL 1
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Understanding the Initial Maturity levelUnderstanding the Initial Maturity level
Performance driven by the competence and heroics of the people doing the work
High quality and exceptional performance possible so long as the best people can be hired
Unpredictable - for good or ill The major problems facing the
software organization are managerial, not technical
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Project Management System is in Place
Process of building software is a series of black boxes with defined checkpoints (milestones) Software project management processes are documented and followed. They are guided by organizational policies
REPEATABLE LEVEL
OutIn
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Software Configuration ManagementSoftware Quality AssuranceSoftware Subcontract Management*Software Project Tracking & OversightSoftware Project PlanningRequirements Management
Repeatable (Lvl 2)
THE KEY PROCESS AREAS - LVL 2
* OPTIONAL
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Understanding the Repeatable Maturity Level
Understanding the Repeatable Maturity Level
The Predominant need is to establish
effective software project management.
Software project management processes are
documented and followed.
Organizational policies guide the projects in
establishing management processes.
Successful practices developed on earlier
projects can be repeated.
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Managed according to a well - Defined Process
Builds on Project Management Foundation Roles and Responsibilities in the process are understood Outputs of one task flow smoothly into the inputs of the next task
DEFINED LEVEL
OutIn
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Peer ReviewsIntergroup CoordinationSoftware Product EngineeringIntegrated Software ManagementTraining ProgramOrganization Process DefinitionOrganization Process Focus
Defined (Lvl 3)
THE KEY PROCESS AREAS - LVL 3
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Understanding the Defined Maturity Level
Understanding the Defined Maturity Level
This level builds on the software project
management foundation.
To control a process, it must be defined,
documented, and understood.
At this level, the organization builds
processes that empower the individuals
doing the work.
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Product & Processes are Quantitatively Managed
OutIn
Management has an objective basis for making decisions using statistical process control Management is able to predict performance within quantified bounds
MANAGED LEVEL
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THE KEY PROCESS AREAS - LVL 4
Software Quality ManagementQuantitative Process Management
Managed (Lvl 4)
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Understanding the Managed Maturity Level
Understanding the Managed Maturity Level
Quantitative goals set by the organization for products and processes
Organizational measurement program
Software processes are instrumented with well defined and consistent measurements
Process capability quantifiable and predictable
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Focus - Continuous Process Improvement
OutIn
Disciplined change is a way of life
OPTIMIZING LEVEL
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THE KEY PROCESS AREAS - LVL 5
Process Change ManagementTechnology Change ManagementDefect Prevention
Optimizing (Lvl 5)
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Understanding the Optimizing Maturity Level
Understanding the Optimizing Maturity Level
Focus on continuous process improvement
Strengthen the process proactively with the goal
of preventing occurrence of defects
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Maturity Levels cannot be skippedMaturity Levels cannot be skipped
Processes at higher maturity levels may be performed,
although perhaps ineffectively, even by organizations at
the Initial Level.
Process capability is built in stages, since some processes
are ineffective when others are not stable.
Each level provides a necessary foundation for
improvements undertaken at the next level.
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Implications & Benefits of CMM
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CMM Architecture Level Focus Key Process Area
Optimising ContinuousProcessImprovement
Defect PreventionTechnology Change ManagementProcess Change Management
Managed Product andProcess Quality
Quantitative Process ManagementSoftware Quality Management
Defined DefinedEngineeringProcess
Organisational Process FocusOrganisational Process DefinitionIntegrated Software ManagementTraining ProgramSoftware Product EngineeringIntergroup CoordinationPeer Reviews
Repeatable ProjectManagement andCommitmentProcess
Requirement ManagementSoftware Project PlanningSoftware Project Tracking and OversightSoftware Configuration ManagementSoftware Subcontract ManagementSoftware Quality Assurance
Initial Adhoc
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Implications with benefits of CMM Level 2
– Project level documentation; stable estimating, planning and monitoring processes
– Problems are recognized and corrected as they occur– Commitments are understood and managed
Level 3– Organisation wide integrated management and
engineering processes– problems are anticipated and prevented, or impacts are
minimized– project groups work together– training is planned and provided according to roles
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Implications and Benefits at Level 2
Level 2– A basic Quality Management System is established– A Software Quality Assurance Group is put in place– Estimation, Planning and tracking practices are
established in projects– Configuration management and Sub-contract
management is in place
Independent view of qualityObjective subcontractor data and information
Tracking and re-planning data are treated as an assetRisks are tracked and kept visible
Product activities are based on approved and understood requirementsActivities for managing the requirements is kept visible
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Level 3– Software Engineering Process Group is put in place– Processes are defined, documented and used– “Say what you do; do what you say.”– Inter-group coordination between projects and
supporting groups is formalized with Service Level commitments for various activities
– Inspection methods are formalized and used– Training and orientation practices are in place– Product Engineering practices (including thresholds) are
defined and implemented
Defect found earlier at lower cost; Data available for use in defect removal modelsIssues do not drag on unresolved issues and impede progress
Cross group knowledge increasesConsistency across work products
Flexible processes to meet project needsSkilled and knowledgeable personnel
Implications and Benefits at Level 3
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Level 4– processes are quantitatively understood and stabilized– management has an objective basis for making decisions– management is able to predict performance within
quantified bounds Level 5
– Disciplined change is a way of life– processes are continuously and systematically improved– common sources of problems are understood and
eliminated– Everyone is involved in process improvement
Implications with benefits at level 4 & 5
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Proposed Roadmap
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Proposed Roadmap for achieving higher maturity levels
Identify where you are – ‘If you don’t know where you are, a map won’t help’-
Humphrey Identify where you want to go
– ‘If you don’t know where you are going any road will do’ - Chinese proverb
Set up an SPI Action Plan Assign resources and responsibilities Track progress Conduct Assessments Continuously improve
Commitment from Senior management•Policies•Rewards•Ensure middle management commitment•Overseeing implementation of various KPAs
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Proposed Roadmap for achieving higher maturity levels (contd)
Level 2– A basic Quality Management System is established– A Software Quality Assurance Group is put in place– Estimation, Planning and tracking practices are
established in projects– Configuration management and Sub-contract
management is in place
Independent view of qualityObjective subcontractor data and information
Tracking and re-planning data are treated as an assetRisks are tracked and kept visible
Product activities are based on approved and understood requirementsActivities for managing the requirements is kept visible
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Proposed Roadmap for achieving higher maturity levels (contd)
Level 3– Software Engineering Process Group is put in place– Processes are defined, documented and used– “Say what you do; do what you say.”– Inter-group coordination between projects and
supporting groups is formalized with Service Level commitments for various activities
– Inspection methods are formalized and used– Training and orientation practices are in place– Product Engineering practices (including thresholds) are
defined and implemented
Defect found earlier at lower cost; Data available for use in defect removal modelsIssues do not drag on unresolved issues and impede progress
Cross group knowledge increasesConsistency across work products
Flexible processes to meet project needsSkilled and knowledgeable personnel
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Moving from level 2 to Level 3
Requirements
Selection of life cycle model
Organization’s StandardSoftware Process
(OSSP)
Tailoring Guidelines
Project’s Operational Process
Project Plan
Process Assets and
Process DB
Planning, tracking,
estimating data
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Proposed Roadmap for achieving higher maturity levels (contd)
Level 4– An organization wide metrics program is in place– Statistical Process Control (SPC) used for better insight
of the processes– Training and orientation in SPC is planned and
implemented– Product and process quality managed by comparing
actual measures to expected values of mean and variance (based on past performance)
– Corrective and Preventive actions are planned and implemented to eliminate the special causes
Process Capability is understoodCapability baselines can be used to set goals
Project processes are improvedQuality goals are based on data
Goals are managed
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Examples of management by data
Defect Density Vs %Review Effort
0
0.2
0.4
0.6
0.8
1
1.2
1.4
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
% Review EffortD
efec
t D
ensi
ty
UCL
LCL
Time
Hou
rs p
er c
all
2
4
3
SEI CMU Pittsburgh (Introduction to CMM)
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Optimizing at Level 5
Prev UCL
Prev LCL
Time
Hou
rs p
er c
all
2
4
3New UCL
New LCL
Improvement in average
turn-around time
SEI CMU Pittsburgh (Introduction to CMM)
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Proposed Roadmap for achieving higher maturity levels (contd)
Level 5– Focus on defect prevention rather than defect detection
by analysing common errors– Tools for conducting causal analysis are identified and
people are trained on these– Setting up of Technology and Process Change
Management groups aligned with business goals– Cost benefit analysis of proposed process and
technology changes is a continuous process– Involving everyone in continuous process improvement– Focus on use of more powerful tools and methods
Defect types are preventedProcesses revised based on data and analysis
Continuous focus on managed technology changeProcess improvement is everyone’s job
Process improvement is continuous
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Software Process Improvement
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Gap Analysis
Planning, Dev & Dep
Assessment
Gap Analysis Report
Dashboard
SPI : Stages
Improvement
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Gap Analysis
SPI Planning
Gap Analysis
Training
SPI : Methodology
•Study organization profile, business objectives,
current software development environment and
practices
•Identify Goals and define “To Be” State
•Perform Gap Analysis w.r.t. “To Be” State
•Identify opportunities for Improvement
•Prepare high level Action Plan
Gap Analysis
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Planning
Milestones
Gap Analysis
Detail Plan
Benefits to the customer:
– Understanding the road-map for desired process maturity– Realization of the roles and responsibilities of different functional
entities
SPIPlan Resource
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Dev & Dep
Benefits to the customer :
– A systematic approach to plan and track the SPI – Effective handling of change management– Action plan is available to perform the subsequent activities– Periodic tracking reports are available (Score card)
Deploy
ReviewRefine
Check Status
Pilot
ReviewRefine
Detail Plan
Define Process
Scorecard
Duration
Effort
Resource
Difficulties
Issues
ROI
Pilot Results
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Managing Change In The Organisation
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Managing the SPI TransitionThe Ideal: Directed Change
PRODUCTIVITY
PRESENT
STATE
DESIRED STATE
TIME
Rapid
Change
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Managing the SPI TransitionThe Alternative: Evolving Change
PRODUCTIVITY
PRESENT
STATE
TIME
Evolution:
a State of
Transition
DESIRED STATE
Reviewing and
UndoingGoal Setting
and Defining
Training and
Institutionalizing
Implementation
Adapting
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Typical Reaction To Change
T I M E
E
N
E
R
G
Y
STATUS QUO
STUNNED PARALYSIS
DENIAL
ANGER, RAGE
BARGAINING
DEPRESSION
TESTING
ACCEPTANCE
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Five Elements of Change
VISION :- A clear vision of the desired state and an understanding of the current state
SKILL :- The skill to apply the methodologies and technologies of the desired state.
BENEFITS :- Clear understanding of the benefits (incentives) that would be achieved with the desired state
RESOURCES :- Availability of adequate resources and the willingness to commit the resources
PLAN :- A well-thought plan of action to implement change
If any of the above element is missing, the change process is impaired.
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Effects of Missing Change Elements
VISION SKILLS INCENTIVES RESOURCES ACTION PLAN CHANGE
SKILLS INCENTIVES RESOURCES ACTION PLAN CONFUSION
VISION INCENTIVES RESOURCES ACTION PLAN ANXIETY
VISION SKILLS RESOURCES ACTION PLAN SLOW CHANGE
VISION SKILLS INCENTIVES ACTION PLAN FRUSTRATION
VISION SKILLS INCENTIVES RESOURCES FALSE STARTS
Source: Ambrose, 1987
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Adopters of ChangeEarly Majority
PragmatistsRelate to TechnologyDriven by Practical SenseProof of Adaptability
LaggardsSkepticsCannot Stand ChangeAvoids New TechnologyQuick to Find Fault
Late MajorityConservativesNot Comfortable with ChangeUses Established TechnologyAdapts Slowly to New
TechnologyNeeds Support for Use
Early AdoptersVisionariesNot TechnologistsInsight to Match Technology
to OpportunityRecognizes Need to Change
InnovatorsTechnology EnthusiastsFirst to Adopt New TechnologyUnderstand Problems
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Managing Change in an organisation
Organisations on their path to process maturity need extra efforts to implement change– resistance to change is an expected state
How to manage the change program?– Participation - Involve all affected– Involve practitioners in reviews and audits– Effectively communicate Approach, Deployment and
Results– Train– Pilot major process changes– Empower all affected to give suggestions
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Management Sponsorship
Formation of Groups for Process Improvement
Allocating budget for Process Improvement initiative
Recognizing and rewarding the efforts in SPI
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Management Responsibility
Encourage the organization to change Provide committed resources As the SPI sponsors, actively manage
the change process Involved in planning and scheduling Motivate by providing visibility and
recognition Regularly conduct SPI planning and
review meetings with the group
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Empowering Individuals
Each and every individual in the Organization contributes to SPI
Mandatory for all Staff to participate in SPI program by giving at least one suggestion per year, which is beneficial to the organization and can be taken up for process improvement
Improvement transferred into everyday practice across the organization
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Exercise 1
Process improvement
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Exercise 2
Causal Analysis & Defect Prevention
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THANK YOU