CMM

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Present by Booncharat TangtiphongkulParach
WaiyawajamaiJittapat Yuwataepakorn

• CMM ISO

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Outline

• Introduction to CMM
• CMM with a case study
• ISO 9001
• Case study of ISO 9001

3

• Capability Maturity Model and ISO 9001 are the
  two most widely accepted methods of quality
  management with respect to software development

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The Capability Maturity Model (CMM)
5
How can we effectively work with offshore
suppliers?
Elevate your own organizations CMM
certification


Indian suppliers were all at level 4 or 5
U.S. customers were all at level 2 or below
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• The CMM for software is a framework that focuses
  on processes for software development.

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• CMM developed by The software engineering
  institute (SEI) of Carnegie Melon University

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• The Software Engineering Institute was
  contracted by the federal government
• To establish a quality management tool
• To allow the government to differentiate between
  competing bids for software development.

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• 1985 SEI started work on a maturity framework
• 1991 it developed into the Capability Maturity
  Model that was established.

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• The purpose of CMM is to help organization that
  produce software, improve the maturity of their
  software processes.

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Source www.exzilla.net/docs/cmm/cmm.pdf
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• The CMM framework describes the key elements of
  software processes at different levels of
  maturity.
• There are 5 maturity levels
• Initial
• Repeatable
• Defined
• Managed
• Optimizing

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Five Levels of Capability Maturity Model
www.csd.uwo.ca/courses/cs179/lect3/sld006.htm
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Source www.csd.uwo.ca/courses/cs179/lect3/sld006.
htm

• The improvement is conceptualized as an
  evolutionary path from an AD-HOC chaotic state,
  to mature, disciplined software process

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INITIAL

• AD-HOC chaotic
• Outcomes are unpredictable and poorly controlled.
• Few processes are defined
• Success depends on individual effort and heroics.
• Over commitment is very common at this level.

INITIAL
REPEATABLE
DEFINED
MANAGED
OPTIMIZING
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REPEATABLE

• Basic project management processes are
  established to track cost, schedule, and
  functionality.
• Software project standards are defined.
• Planning and managing new projects is based on
  similar project experience.

INITIAL
REPEATABLE
DEFINED
MANAGED
OPTIMIZING
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DEFINED

• The software process for both management and
  engineering activities is documented.
• All project use an approved, tailored version of
  the organizations standard software process for
  developing and maintaining software
• Management has good insight into technical
  activities

INITIAL
REPEATABLE
DEFINED
MANAGED
OPTIMIZING
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MANAGED

• Detailed measures of the software process and
  product quality are collected.
• Both the software process and products are
  quantitatively understood and controlled.
• Software process capability is quantifiable and
  predictable

INITIAL
REPEATABLE
DEFINED
MANAGED
OPTIMIZING
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OPTIMIZING

• Continuous process improvement is enabled by
  quantitative feedback from the process and from
  piloting innovative ideas and technologies.
• The organization is continuously striving to
  improve their process capability range.
• The organization has the means to identify
  weakness and strengthen the process proactively
• The goal is the prevention of defects.

INITIAL
REPEATABLE
DEFINED
MANAGED
OPTIMIZING
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Software Engineering Institute published the
median times to move from one maturity level to
the next

• Maturity Level 1 to 2 24 months
• Maturity Level 2 to 3 22 months
• Maturity Level 3 to 4 32 months
• Maturity Level 4 to 5 16 months

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The overall Percentage of Organization that
achieved CMM Certification
Source www.umsl.edu/sauter/analysis/is6840start.
html
22
How can we effectively work with offshore
suppliers?
Elevate your own organizations CMM
certification


Indian suppliers were all at level 4 or 5
U.S. customers were all at level 2 or below
23
Source www.exzilla.net/docs/cmm/cmm.pdf
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• Each maturity level consists of several KEY
  PROCESSES AREAS (KPAs) that identify
  requirements/best practices that an organization
  would need to demonstrate, to be graded at any
  specific maturity level.

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Source www.askprocess.com/products/cmm.html
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Repeatable

• The KPAs are
• Requirements Management
• Software Project Planning
• Software Project Tracking and Oversight
• Software Subcontract Management
• Software Quality Assurance

INITIAL
REPEATABLE
DEFINED
MANAGED
OPTIMIZING
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Defined

• The KPAs are
• Organization Process Focus
• Organization Process Definition
• Training Program
• Integrated Software Management
• Software Product Engineering
• Intragroup Coordination
• Peer Reviews

INITIAL
REPEATABLE
DEFINED
MANAGED
OPTIMIZING
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Managed

• The KPAs are
• Quantitative Process Management
• Software Quality Management

INITIAL
REPEATABLE
DEFINED
MANAGED
OPTIMIZING
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Optimizing

• The KPAs are
• Defect Prevention
• Technology Change Management
• Process Change Management.

INITIAL
REPEATABLE
DEFINED
MANAGED
OPTIMIZING
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Infosys Company

• Infosys is a highly successful software house
• Infosys provides software service to customers
• Infosys achieved CMM level 5 in December 1999

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Source www.askprocess.com/products/cmm.html
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Requirements Specification and Management

• Divided into 3 activities
• The requirements Specification activities
• Change management
• Requirements traceability management

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The activities performed during the requirements
phase largely focus on two areas

• Problem analysis
• Product description
• After sign-off, the initial baseline for
  requirement is established

Prepare
Gather/Elicit Requirement
Analyze
Obtain sign-off
Review
Prepare SRS and Acceptance criteria
Jalote, Pankai, CMM in Practice Process for
Executing Software Projects at Infosys
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Source www.exzilla.net/docs/cmm/cmm.pdf
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Common Features of KEY PROCESS AREAS

• KPAs are organized into a set of five common
  features "that help indicate whether the
  implementation and institutionalization of a key
  process area is effective, repeatable, and
  lasting."

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Common Features of KEY PROCESS AREAS
GOALS
Measurement And Analysis
Verifying Implementation
Activities Performed
Ability To Perform
Commitment To Perform
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Commitment to Perform

• To ensure that the process is established and
  will endure.
• Establishing organization policies
• Obtaining senior-management sponsorship

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Ability to Perform

• Describes the preconditions that must exist in
  the project or organization to implement the
  software process competently.
• Resources requirement
• Organization structure
• training

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Activities Performed

• Describes the roles and procedures necessary to
  implement a key process area.
• establishing plans and procedures
• performing the work, tracking it
• take corrective actions as necessary

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Measurement and Analysis

• Describes the need to measure the process and
  analyze the measurements.
• examples of measurements

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Project Closure

• Involves a systematic follow up of the project
  after customer acceptance
• Metrics are analyzed
• Process assets are collected for future use
• Lessons are recorded

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• The objectives is to determine what went right,
  what went wrong, what worked, what did not, and
  how it could be made better the next time

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Lessons Learned

• To understand the performance of the process and
  causes for any deviations from organizational
  norms
• Indicates the quality delivered in the project
• The productivity achieved in the project
• The distribution of effort
• The distribution of defects
• The cost of quality
• Effectiveness of risk mitigation
• Effectiveness of planning

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Verifying Implementation

• Describes the steps to ensure that the
  activities are performed in compliance with the
  process that has been established.
• practices on management reviews and audits

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How to get CMM Certificate

• The process assessment
• By an assessment team (SEI-authorized lead
  assessor)
• Collect information about the software process of
  organization by maturity questionnaires,
  documentation and Interview
• If all goals of KPA satisfied, then a
  organization is considered to have reached a
  level.

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Benefits of Capability Maturity Model
Improvements in each level
Optimizing Continuously targeting improvements required to meet business objectives
Managed Predictable results, knowledge of factors causing variance and reuse
Defined Meeting cost and functionality targets as well as improved quality
Repeatable Meeting cost and reduced turnover resulting from less overtime
Initial No benefits Inconsistency, schedule and budget overruns and defective applications
Source Dr. Bill Curtis, TeraQuest --- a Gartner
alliance partner
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Benefits of CMM on Software Process Improvement

• Gains in
• productivity
• quality
• time to delivery
• accuracy of cost
• schedule estimates
• product quality.

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LIMITATIONS OF CMM

• Very complex
• Time consuming
• A costly venture

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International Organization for Standardization (
ISO )
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International Organization for Standardization (
ISO )

• International Organization for Standardization
• - a non-governmental organization established in
  1947
• - a network of 149 National standard bodies
• Mission
• -Develop the technical standards
• -facilitate the international exchange of goods
  and services.

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ISO

• ISO has developed over 13,700 International
  Standards on various subjects.
• The most widely used standards is
• Management system standards.
• - ISO 9000 is a "quality management standard"
• - ISO 14000 is an "environmental management
  standard"

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ISO 9000

• The International Standard for Quality Management
  Systems

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ISO 9000

• The first set of ISO 9000 series were develop in
  1987
• Generic management system standard
• a process standard, not a product standard

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ISO 9000

• ISO does not issue ISO 9000 certificates.
• The auditing and certification of management
  systems is carried out independently by more than
  750 certification bodies active around the world.
  
• American National Standards Institute (ANSI)
• British Standards Institution (BSI)
• Japanese Industrial Standards Committee (JISC)
• Standardization Administration of China (SAC)
• Thai Industrial Standards Institute (TISI)

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Source The ISO survey of ISO 9001 2000 and ISO
14001 certicicates-2003,December
2003.Http//www.ISO.org
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Source The ISO survey of ISO 9001 2000 and ISO
14001 certicicates-2003,December
2003.Http//www.ISO.org
57
Source Gary M Griggs,Qulity Management of the
Softwre Industry.May 2004
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Motivations for seeking ISO 9000 certification?

• Quality Improvement
• Corporate Image
• Marketing Advantage
• Customer or Competitor Pressure
• Capturing employees knowledge
• Export Barrier
• Relations with communities
• Source Global perspective on global standards,
  ISO management system, January - February 2003
• Base 5398 surveys of ISO 9000 and ISO 14000
  certificated firms in 15 economies during
  1999-2001

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ISO 90012000

• Quality management systems - Requirements
• - customer's quality requirements
• - applicable regulatory requirements
• - customer satisfaction
• - continual improvement

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ISO 9001 2000 Requirement

• Quality Management System
• Management Responsibility
• Resource Management
• Product Realization
• Measurement, Analysis and Improvement

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• ISO 90012000 Process Model

C U S T O M E R
C U S T O M E R
Management Responsibility
Resource Management
Product Realization
Input
Process
Output
A P C D
Measurement, Analysis and Improvement

• Source Jim Mroz. ISO 9000 in 2000.
  http//www.qualitydigest.com/oct98/html/cover.html

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Process approach (contd)

• P D C A cycle

• Plan what to do
• Do what was planed
• Check the results
• Act to Improve the process

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Quality management principles ( QMP )

• Principle 1 Customer focus
• Principle 2 Leadership
• Principle 3 Involvement of people
• Principle 4 Process approach
• Principle 5 System approach to management
• Principle 6 Continual improvement
• Principle 7 Factual approach to decision making
• Principle 8 Mutually beneficial supplier
  relationships

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Benefits from ISO 9000 certification

• Quality Improvements
• Customer Satisfaction
• Improved Procedures
• Corporate Image
• Employee morale
• On-time delivery
• Market share
• Cost reduction
• Source a survey of 5398 ISO 9000certified
  firms in 15 economies, ISO Management
  Systems,2003

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Benefits from ISO 9000 certification

• The results of a recent survey of 227 US firms
• 67 Customer satisfaction
• 60 Improved productivity
• 57 Quality of products/services
• 56 Better use of data in management
• 37 Greater market share

Source Implementing ISO 90012000 US survey
of user experiences. ISO Management Systems,
November- December 2002 Base us survey of ISO
90002000 user experiences from 227 organizations
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Difference between ISO CMM
ISO CMM
1.Covers software and hardware 1.Focus on software
2.Outwardly focused from the firm 2.Inwardly focused to the firm
3.Addresses minimum requirements with implied continuous improvement 3.Emphasizes on continuous quality improvement
4.Registration Document 4.No Documentation
5.Continual Audits 5.No follow up audits
Source 1.Gary M. Griggs, Quality Management of
Software Industry.( 2004 ) pp.10
2.The Capability Maturity Model and ISO 9000
Standards Similarities and Differencess.
http//www.umsl.edu/sauter/analysis/488_f01_pape
rs/albright.htm
67
Similarities of ISO CMM
Say what you do DO what you say

• Records and tracks data for objective analysis
• Used documented information to improve the
  quality system and processes

Source 1. The Capability Maturity Model and ISO
9000 Standards Similarities and
Differences?http//www.umsl.edu/sauter/analysis/4
88_f01_papers/albright.htmc7 2.Dr. Dean R.Lee,
Strategic process improvement planning.Bloodworth
integrated technology
68

• If you cant meet the world standard at the
  worlds best price, you are not even in the
  game.
• (Jack Welch, Productivit World, 1996)

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website

• http//www.iso.org
• http//www.asq.org
• http//www.worldpreferred.com
• http//www.rabnet.com

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Case Studies of ISO90012000

• ULTRATECH STEPPER (UTS)

Sources http//proquet.umi.com
http//ultratech.com
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Background

• Size of company in term of sales and profits
• Sales of 73 million annually
• Gross profits of 34 million annually
• Net income of 4 million annually

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Background

• Major products the company sells
• Semiconductor
• Advanced packaging
• Nanotechnology/MEMs
• Laser Processing

• Customers
• Japan, Taiwan, China, North America, Korea

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Success in ISO 9001 implementation

• Being among the first 1 to 2 of ISO 90001994
  registered companies to become certified to ISO
  90012000.
• Accomplished quickly and inexpensively
• Nine months and less than 200,000 in manpower
  and related costs.
• Combined ISO 9001 and ISO 14000 environmental
  management system (EMS) at the same time.

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13 steps to certification

1. Get senior management commitment
2. Redefine quality policy
3. Define customer satisfaction
4. Define business processes and systems
5. Educate employees
6. Draft a manual and procedures.
7. Define key metrics and effectiveness dashboard
8. Conduct an external readiness review
9. Conduct metrics reviews.
10. Schedule and conduct a gap assessment
11. Respond to findings
12. Prepare for a registration audit
13. Schedule and conduct an audit

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Step 1 Get senior management commitment

• The eight-member UTS quality steering committee
  (QSC)
• Educate senior management
• The QSCs education was accomplished
• Create quality vision
• Develop an implementation plan.

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Step 2 Redefine quality policy

• 3 reasons to redefine the quality policy
• It hadnt been updated, reviewed, or discussed
• ISO 90012000 clause 5.3
• Integrating the QMS and EMS

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• Step 3 Define customer satisfaction
• Step 4 Define business processes systems
• Key business systems (KBS)
• Interaction between systems
• Detailed process requirements

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Step 5 Educate Employees

• General training and communication
• Champion training
• Internal auditor training.

Step 6 Draft Manual, Procedures
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Step 7 Define Key Metrics, Effectiveness
Dashboard

• Figure 2

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Step 8 Conduct External Readiness Review

• Doing the right things?
• No one in the company had experience in ISO
  90012000
• An external consultant hired to help

81

• Step 9 Conduct metrics reviews
• Step 10 Schedule, conduct gap assessment
• Step 11 respond to findings
• Step 12 Prepare for registration audit
• Step 13 Schedule, conduct audit

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References

• www.csd.uwo.ca/courses/cs179/lect3/sld006.htm
• www.exzilla.net/docs/cmm/cmm.pdf
• www.umsl.edu/sauter/analysis/is6840start.html
• www.askprocess.com/products/cmm.html
• www3.gartner.com/4_decision_tools/measurement/meas
  ure_it_articles/2003_0424/ben_cmm.jsp
• www.inf.com
• Jalote, Pankai, CMM in Practice Process for
  Executing Software Projects at Infosys
• www.cis.njit.edu/axp9532/cmm/cmm_intro.html
• Ramanujan, Sam Kesh, Someswar, Comparison of
  knowledge management and CMM/CMMI
  implementation, Journal of American Academy of
  Business, Cambridge Mar 2004
• www.sei.cmu.edu

83
References

• Griggs, Gary M., Quality management of the
  software Industrt, IS425, May 19, 2004
• ISO Web Sites, http//www.iso.org
• The ISO survey of ISO 9001 2000 and ISO 14001
  certicicates-2003,December 2003.
  http//www.iso.org/iso/en/iso9000-14000/pdf/survey
  2003.pdf
• Implementing ISO 90012000 US survey of user
  experiences. ISO Management Systems, November-
  December 2002
• Frequently Asked Questions about ISO 9000.
  http//www.isoeasy.org/faq03.htm
• Garry M. Griggs, Quality Management of the
  Software Industry. May 2004
• The Capability Maturity Model and ISO 9000
  Standards Similarities and Differencess.
  http//www.umsl.edu/sauter/analysis/488_f01_paper
  s/albright.htm

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References

• 13 steps to certification in less than a year,
  http//gateway.proquest.com
• Ultratech Stepper website, http//www.ultratech.co
  m
• Jeanne Ketola and Kathy Roberts, ISO 9000 2000
  In a Nutshall, 2001
• Doug and Carole Anton, ISO 9000 2000 Survival
  Guide, 2000

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Thank you