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Isabel Lopes Margarido
isabel.margarido@gmail.com
Faculty of Engineering, University of Porto

Recommendations to Avoid Problems and Difficulties
in Implementing CMMI® High Maturity Levels
SEPG Europe 2013: 15th of November | Amsterdam, Netherlands

João Pascoal Faria
FEUP/INESC TEC

Marco Vieira
FCTUC/CISUC

Raul Moreira Vidal
FEUP
agenda


introduction



methodology



problems and recommendations



conclusions

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introduction

method

15th of November, 2013

problems

conclusions

©Isabel Lopes Margarido, SEPG Europe

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introduction

method

problems

conclusions

Campo, SEPG EU 2011
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introduction

method

problems

conclusions

objectives
learn solutions to avoid
them
understand problems
and difficulties
gain additional
knowledge about CMMI

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introduction

method

problems

conclusions

motivation


typically organisations using CMMI improve
performance



many programs failed in CMMI level 5 organisations



SEI was concerned with high maturity

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introduction

method

problems

conclusions

high maturity levels dependencies








dependent on lower maturity levels
maturity Level (ML) 2 M&A

building blocks for ML4: QPM, OPP (PPM, PPB)

knowledge base for quantitative continuous
improvement at ML5 (CAR, OPM)

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introduction

method

problems

conclusions

case studies


3 organisations appraised at CMMI-DEV ML 5:




2 organisations, 1 business unit

real problems and difficulties from industry








documents, tools, interviews
how CMMI implementation was conducted and the
processes were defined
what processes, metrics and tools were developed
how people were actually using them

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introduction

method

problems

conclusions

analysis
analysed an SEI report (McCurley
and Goldenson 2010)




verified which problems were common




to the case study, literature and SEI survey

verified which of the recommendations were
sustained by literature and SEI survey

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introduction

method

problems

conclusions

problems (p) and recommendations (r)
entry conditions
P1: avoid underestimation
R1: plan: maturing levels, analysing and understanding HML,
building and maturing PPB and PPM
P2: don’t begin the house by the roof
R2: ML 2 and 3 need to mature

P3: understand quantitative nature of level 4
R3: involve statistician
R4: six sigma
R5: review goals
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introduction

method

problems

conclusions

process definition and implementation
P4: copied processes
R6: reflect organisation culture
R7: involve experts and process users

P5: multicultural environments
R8: share processes, lessons learnt
P6: impose processes
R8 and R9: goals specific for business units related to
organisation business goals
R10: indicators at different report levels
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introduction

method

problems

conclusions

process definition and implementation
P7: dissemination problems
R11: commitment from entire organisation
R12: training contents, specialised training
R13: coaching and monitoring
P8: lack of institutionalisation
R14: top management set goals for gradual
institutionalisation, monitor and reward
R13 and R15: give time for metrics and processes to
mature

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introduction

method

problems

conclusions

metrics definition
P9: meaningless uncorrelated metrics
P10: metrics definition (collect and analyse data)
R16: use goal question metric or equivalent
R17: unambiguous, repeatable, understandable
R18: size metrics according with work product
R19: interpret in context
R20: variables normalisation

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introduction

method

problems

conclusions

metrics definition
P11: first data uncorrelated
P12: metrics categorisation
P13: baselines not applicable
R21: several cycles
R22: let PPM and PPB become stable
R23: categorise data
R24: aggregate normalised data

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introduction

method

problems

conclusions

metrics usage
P14: abusive elimination of outliers
R25: quarantine
R26: maintain data points that are unique but recurrent

P15: not all projects are measurable
R27: specific based measures normalised to get derived
measures; R14
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introduction

method

problems

conclusions

metrics usage
P16: effort estimates
R28: use expert judgment when needed
R29: any related historical data
R30: iterative planning, real time sampling
P17: people behaviour
R12, R13 and R31: personal data not used to evaluate
people

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introduction

method

problems

conclusions

tools setup
P18: tools setup
R32: give time for tool setup
R33: do not use data collected when defects affect metrics

P19: overhead
P20: tools requirements
R34: only collect necessary data
R35: automated and unperceptive data collection
R36: discipline people, change mentality
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introduction

method

problems

conclusions

problems analysis








59% found in the case studies, literature and survey
several problems shared between the studied
organisations
37,5% found in literature were found in the case studies
53,3% found in the survey were found in the case studies


16,7% also found in literature

“the percentage of problems shared in more than one
organisation/source indicates that they can occur when
implementing HML, so organisations should be aware of
them.” (Lopes Margarido et al., December 2013, SQP)
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introduction

method

problems

conclusions

summary and future research






wide variety of implementation methods
variance of performance results
SCAMPI:






evaluates a sample
does not evaluate performance

future research




framework to evaluate quality of implementation of CMMI
practices
definition published in PROFES 2012

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introduction

method

problems

conclusions

think about...

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questions





http://paginas.fe.up.pt/~pro09003/
partially sponsored by:

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references
















C. Hollenbach and D. Smith. (2002) A portrait of a CMMI level 4 effort Systems
Engineering. 52-61.
J. McCurley and D. R. Goldenson (2010) Performance Effects of Measurement
and Analysis: Perspectives from CMMI High Maturity Organizations and
Appraisers. CMU/SEI.
Lopes Margarido et al. “Lessons Learnt in the Implementation of CMMI®
Maturity Level 5”, presented at QUATIC, Lisbon, Portugal, 2013.
Lopes Margarido et al. “Towards a Framework to Evaluate and Improve the
Quality of Implementation of CMMI® Practices”, presented at PROFES, Madrid,
Spain, 2012.
M. Campo. “Why Maturity Level 5?”, Crosstalk, January/February 2012. 15-18.
M. Schaeffer, "DoD Systems Engineering and CMMI," presented at the CMMI
Technology Conference and User Group, 2004.
P. Leeson, "Why the CMMI® does not work," presented at the SEPG Europe,
Prague, Czech Republic, 2009.
R. Radice, "Statistical Process Control in Level 4 and Level 5 Software
Organizations Worldwide," presented at the Software Technology Conference,
2000.

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acronyms
CMMI – Capability Maturity Model Integration
FEUP – Faculty of Engineering, University of Porto
M&A – Measurement and Analysis
ML – Maturity Level
OPM – Organisational Performance Management
OPP – Organisational Process Performance
P – Problem
PPB – Process Performance Baselines
PPM – Process Performance Models
QPM – Quantitative Project Management
R - Recommendation
SEI – Software Engineering Institute
SQP – Software Quality Professional

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images
http://api.ning.com/files/hpf*xOTebDs- F23o6FETZ3j*3sNiONWjfXjTJCzprPjU5bS1
WJoGgWBjMPIOiQkm3SbZ41ijncrJ4K2aT-6dM9QURwHK3led/Dissemination2.jpg -26-06-2010
http://blog.pmtech.com.br/wp-content/uploads/Square-Paradox.jpg – 29-04-2011
http://www.signsexpressshop.co.uk/prodpics/1103.gif – 29-04-2011
Benjamin Haas/Shutterstock, http://cynthiayildirim.posterous.com/how-can-we-measure-the-size-ofthe-universe – 29-04-2011
http://ryanstephensmarketing.com/blog/wp-content/uploads/2009/10/one_size_fits_all.JPG
http://evolvingwe.com/wp-content/uploads/2010/11/image3.png – 29-04-2011
http://www.screenhog.com/sketch/LightbulbIdea.jpg – 21-04-2010
http://igraduatedwhatnow.files.wordpress.com/2009/11/thank_you_small.jpg – 02-05-2010
http://www.articulate.com/rapid-elearning/wp-content/uploads/2008/08/summary-objectives450.gif –
adapted, 25-05-2011
http://www.braxtechconsulting.com/Portals/22771/images/cmmi_certificate.jpg.png - 10-04-2012
http://erikhatch.org/wp-content/uploads/2012/02/no_time_1_.jpg - 31-08-2012
http://blog.inktechnologies.com/wp-content/uploads/2012/06/Statistics.jpg - 31-08-2012
http://images.yourdictionary.com/images/definitions/lg/erase.jpg -31-08-2012
https://earlychildcare.files.wordpress.com/2009/09/child-misbehaving.jpg - 31-08-2012
http://www.thaiworldview.com/jpg/img024.jpg - 31-08-2012
http://image.shutterstock.com/display_pic_with_logo/5880/5880,1268065242,15/stock-photobackground-concept-wordcloud-illustration-of-scientific-method-research-glowing-light-48226942.jpg 02-09-2012
http://scm-l3.technorati.com/11/04/08/31079/slow-computer.jpg?t=20110408013303 - slow computer
18-10-2013

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Recommendations to Avoid Problems and Difficulties in Implementing CMMI High Maturity Levels

  • 1. Isabel Lopes Margarido isabel.margarido@gmail.com Faculty of Engineering, University of Porto Recommendations to Avoid Problems and Difficulties in Implementing CMMI® High Maturity Levels SEPG Europe 2013: 15th of November | Amsterdam, Netherlands João Pascoal Faria FEUP/INESC TEC Marco Vieira FCTUC/CISUC Raul Moreira Vidal FEUP
  • 2. agenda  introduction  methodology  problems and recommendations  conclusions 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 2/22
  • 3. introduction method 15th of November, 2013 problems conclusions ©Isabel Lopes Margarido, SEPG Europe 3/22
  • 4. introduction method problems conclusions Campo, SEPG EU 2011 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 4/22
  • 5. introduction method problems conclusions objectives learn solutions to avoid them understand problems and difficulties gain additional knowledge about CMMI 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 5/22
  • 6. introduction method problems conclusions motivation  typically organisations using CMMI improve performance  many programs failed in CMMI level 5 organisations  SEI was concerned with high maturity 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 6/22
  • 7. introduction method problems conclusions high maturity levels dependencies     dependent on lower maturity levels maturity Level (ML) 2 M&A building blocks for ML4: QPM, OPP (PPM, PPB) knowledge base for quantitative continuous improvement at ML5 (CAR, OPM) 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 7/22
  • 8. introduction method problems conclusions case studies  3 organisations appraised at CMMI-DEV ML 5:   2 organisations, 1 business unit real problems and difficulties from industry     documents, tools, interviews how CMMI implementation was conducted and the processes were defined what processes, metrics and tools were developed how people were actually using them 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 8/22
  • 9. introduction method problems conclusions analysis analysed an SEI report (McCurley and Goldenson 2010)   verified which problems were common   to the case study, literature and SEI survey verified which of the recommendations were sustained by literature and SEI survey 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 9/22
  • 10. introduction method problems conclusions problems (p) and recommendations (r) entry conditions P1: avoid underestimation R1: plan: maturing levels, analysing and understanding HML, building and maturing PPB and PPM P2: don’t begin the house by the roof R2: ML 2 and 3 need to mature P3: understand quantitative nature of level 4 R3: involve statistician R4: six sigma R5: review goals 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 10/22
  • 11. introduction method problems conclusions process definition and implementation P4: copied processes R6: reflect organisation culture R7: involve experts and process users P5: multicultural environments R8: share processes, lessons learnt P6: impose processes R8 and R9: goals specific for business units related to organisation business goals R10: indicators at different report levels 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 11/22
  • 12. introduction method problems conclusions process definition and implementation P7: dissemination problems R11: commitment from entire organisation R12: training contents, specialised training R13: coaching and monitoring P8: lack of institutionalisation R14: top management set goals for gradual institutionalisation, monitor and reward R13 and R15: give time for metrics and processes to mature 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 12/22
  • 13. introduction method problems conclusions metrics definition P9: meaningless uncorrelated metrics P10: metrics definition (collect and analyse data) R16: use goal question metric or equivalent R17: unambiguous, repeatable, understandable R18: size metrics according with work product R19: interpret in context R20: variables normalisation 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 13/22
  • 14. introduction method problems conclusions metrics definition P11: first data uncorrelated P12: metrics categorisation P13: baselines not applicable R21: several cycles R22: let PPM and PPB become stable R23: categorise data R24: aggregate normalised data 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 14/22
  • 15. introduction method problems conclusions metrics usage P14: abusive elimination of outliers R25: quarantine R26: maintain data points that are unique but recurrent P15: not all projects are measurable R27: specific based measures normalised to get derived measures; R14 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 15/22
  • 16. introduction method problems conclusions metrics usage P16: effort estimates R28: use expert judgment when needed R29: any related historical data R30: iterative planning, real time sampling P17: people behaviour R12, R13 and R31: personal data not used to evaluate people 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 16/22
  • 17. introduction method problems conclusions tools setup P18: tools setup R32: give time for tool setup R33: do not use data collected when defects affect metrics P19: overhead P20: tools requirements R34: only collect necessary data R35: automated and unperceptive data collection R36: discipline people, change mentality 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 17/22
  • 18. introduction method problems conclusions problems analysis     59% found in the case studies, literature and survey several problems shared between the studied organisations 37,5% found in literature were found in the case studies 53,3% found in the survey were found in the case studies  16,7% also found in literature “the percentage of problems shared in more than one organisation/source indicates that they can occur when implementing HML, so organisations should be aware of them.” (Lopes Margarido et al., December 2013, SQP) 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 18/22
  • 19. introduction method problems conclusions summary and future research    wide variety of implementation methods variance of performance results SCAMPI:    evaluates a sample does not evaluate performance future research   framework to evaluate quality of implementation of CMMI practices definition published in PROFES 2012 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 19/22
  • 20. introduction method problems conclusions think about... 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 20/22
  • 21. questions   http://paginas.fe.up.pt/~pro09003/ partially sponsored by: 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 21/22
  • 22. references         C. Hollenbach and D. Smith. (2002) A portrait of a CMMI level 4 effort Systems Engineering. 52-61. J. McCurley and D. R. Goldenson (2010) Performance Effects of Measurement and Analysis: Perspectives from CMMI High Maturity Organizations and Appraisers. CMU/SEI. Lopes Margarido et al. “Lessons Learnt in the Implementation of CMMI® Maturity Level 5”, presented at QUATIC, Lisbon, Portugal, 2013. Lopes Margarido et al. “Towards a Framework to Evaluate and Improve the Quality of Implementation of CMMI® Practices”, presented at PROFES, Madrid, Spain, 2012. M. Campo. “Why Maturity Level 5?”, Crosstalk, January/February 2012. 15-18. M. Schaeffer, "DoD Systems Engineering and CMMI," presented at the CMMI Technology Conference and User Group, 2004. P. Leeson, "Why the CMMI® does not work," presented at the SEPG Europe, Prague, Czech Republic, 2009. R. Radice, "Statistical Process Control in Level 4 and Level 5 Software Organizations Worldwide," presented at the Software Technology Conference, 2000. 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 22/22
  • 23. acronyms CMMI – Capability Maturity Model Integration FEUP – Faculty of Engineering, University of Porto M&A – Measurement and Analysis ML – Maturity Level OPM – Organisational Performance Management OPP – Organisational Process Performance P – Problem PPB – Process Performance Baselines PPM – Process Performance Models QPM – Quantitative Project Management R - Recommendation SEI – Software Engineering Institute SQP – Software Quality Professional 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 23/22
  • 24. images http://api.ning.com/files/hpf*xOTebDs- F23o6FETZ3j*3sNiONWjfXjTJCzprPjU5bS1 WJoGgWBjMPIOiQkm3SbZ41ijncrJ4K2aT-6dM9QURwHK3led/Dissemination2.jpg -26-06-2010 http://blog.pmtech.com.br/wp-content/uploads/Square-Paradox.jpg – 29-04-2011 http://www.signsexpressshop.co.uk/prodpics/1103.gif – 29-04-2011 Benjamin Haas/Shutterstock, http://cynthiayildirim.posterous.com/how-can-we-measure-the-size-ofthe-universe – 29-04-2011 http://ryanstephensmarketing.com/blog/wp-content/uploads/2009/10/one_size_fits_all.JPG http://evolvingwe.com/wp-content/uploads/2010/11/image3.png – 29-04-2011 http://www.screenhog.com/sketch/LightbulbIdea.jpg – 21-04-2010 http://igraduatedwhatnow.files.wordpress.com/2009/11/thank_you_small.jpg – 02-05-2010 http://www.articulate.com/rapid-elearning/wp-content/uploads/2008/08/summary-objectives450.gif – adapted, 25-05-2011 http://www.braxtechconsulting.com/Portals/22771/images/cmmi_certificate.jpg.png - 10-04-2012 http://erikhatch.org/wp-content/uploads/2012/02/no_time_1_.jpg - 31-08-2012 http://blog.inktechnologies.com/wp-content/uploads/2012/06/Statistics.jpg - 31-08-2012 http://images.yourdictionary.com/images/definitions/lg/erase.jpg -31-08-2012 https://earlychildcare.files.wordpress.com/2009/09/child-misbehaving.jpg - 31-08-2012 http://www.thaiworldview.com/jpg/img024.jpg - 31-08-2012 http://image.shutterstock.com/display_pic_with_logo/5880/5880,1268065242,15/stock-photobackground-concept-wordcloud-illustration-of-scientific-method-research-glowing-light-48226942.jpg 02-09-2012 http://scm-l3.technorati.com/11/04/08/31079/slow-computer.jpg?t=20110408013303 - slow computer 18-10-2013 15th of November, 2013 ©Isabel Lopes Margarido, SEPG Europe 24/22