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CMMI For Small Business
OR
“How Much Can I Get Done with Almost No Resources
and Little or No Money???”
By Nat Guadagnino, PMP
San Antonio, TX
9/1/2004 OnBoard Software Inc-San Antonio 2
Agenda
1. Brief Overview of CMMI - Continuous Representation
and Why It’s Important to a Small Business.
2. The Significance of Operational Dynamics in a Small
Company. Which Ones are Useful?
3. Process areas Selected as High Priority based on
‘Balanced Minimalization’ and ‘Value Add’
4. Convert a CMMI Process Area into a Project Plan,
Policies and Procedures.
5. Simple templates for Small Business.
9/1/2004 OnBoard Software Inc-San Antonio 3
What is CMMI About??
1. Continuous Process Improvement (CPI)
2. Improving the way we do business
3. Standardization, Simplification, Specialization, Structure
4. Making people feel good about their jobs
5. Making better decisions
6. Predictability, Repeatability,Accountability & Responsibility
7. CMMI is a model for improvement using best practices
8. Adds Maturity to your Operating Mode.
9/1/2004 OnBoard Software Inc-San Antonio 4
Why Use Models???
Models help us achieve
improvement in a predictable,
measurable and organized way.
Models Provide:
Best Practices
Standards and Guidelines
9/1/2004 OnBoard Software Inc-San Antonio 5
CMMI Continuous Representation
•You can select from 1 to 25 Process Areas for your
journey.
•You Can Brag About Each PA (Process Area) as you are
Appraised and Certified.
• Appraisals are Measured Against Goals and Practices (sort
of) for a Single Process Area.
•Goals = Policies
•Practices =Procedures, Work Instructions, Checklists,
Guidelines & Standards
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Importance of Continuous Representation to
small business.
L5
Req Project
L4
Mgmnt Planning & Process
L3 & Project Config And Etc
Req Monitoring Mgmnt Product Etc
Devel. and QA
L2 Control
Appraisal is on any distinct CMMI Process Area.
Works great for small companies with limited resources.
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Specific Goals = Policies
1. Specific Goals-Apply to a single process area and
describe the unique characteristics that must be
implemented. (Critical for Appraisals)
2. Multiple SG’s per capability level for all 25 PA’s.
From 1 (REQM) to 4 (IPM)
3. Each SG builds on the previous level.
4. How many total? 55! (for all 25 PA’s)
5. Goals are achieved by (tailoring) performing the
appropriate practices.
9/1/2004 OnBoard Software Inc-San Antonio 8
Specific Practices Page 1
1. A specific practice is an activity that is
considered important in achieving the
associated specific goal.
2. SP’s are given but are expected to be tailored or
eliminated. (With cause)
3. This is where the meat is!
(Cont)
9/1/2004 OnBoard Software Inc-San Antonio 9
Specific Practices Page 2
4. We must ‘DO’ the Specific Practices but always look
to see that we are contributing toward achieving each
Goal. Use ‘Balanced Minimalization’ and ‘Value Add’
as our yardstick.
5. Why? We are appraised on how well we meet the SEI
interpretation of what it takes to demonstrate we have
achieved a GOAL. I.e. We must actively demonstrate
how we meet each Goal.
6. Traceability from the model is the glue to hold our
infrastructure together for its’ entire life cycle.
9/1/2004 OnBoard Software Inc-San Antonio 10
L in e G oal P r a c tic e G o a l/P r a c tic e P o lic y I D P rocedu re ID an d N am e and N a m e, ID
# ID ID N am e and a n d T it le ID an d N am e of ID of and
D e s c r ip tio n T it le W o r k -F lo w G u id e lin e s L o c a t io n
D ia g r a m s ; and of
T e m p la te s ; S ta n d a rd s. O b je c tiv e
C h e c k lis ts ; E v id e n c e .
F o rm s;
W ork
I n s tr u c tio n s .
1 SG1 E s ta b lis h C o n fig u ra tio n
B a s e lin e s M anagem ent
B a s e lin e s o f P o lic y – C M -
id e n tifie d w o rk P O L -0 0 1
p ro d u c ts a re
e s ta b lis h e d .
2 SG1 S P 1 .1 - 1 I d e n tify C M -P R O C - C M -T E M P - A p p ro v e d
C o n fig u r a tio n 003 - 001 – C M P in
Ite m s C o n fig u ra tio n C o n fig u ra tio n CM
Id e n tif y th e M anagem ent M anagem ent
c o n fig u ra tio n P la n P la n (C M P )
ite m s , P ro c e d u re T e m p la te
c o m p o n e n ts , a n d
re la te d w o rk
p ro d u c ts th a t
w ill b e p la c e d
under
c o n fig u ra tio n
m a n a g e m e n t.
3 SG1 S P 1 .2 - 1 E s ta b lis h a C M -P R O C - C M -F O R M - A p p ro v e d
C o n fig u r a tio n 010A – C M 0 0 9 C M T o o ls PM P
M an agem en t Tool P e rm is s io n A p p ro v e d
S y ste m U tiliz a tio n R eq u est CM P
E s ta b lis h a n d P ro c e d u re (P V C S ) W BS
M a in ta in a (P V C S ) C hange
c o n fig u ra tio n C M -P R O C - R e q u e sts
m anagem ent and 014A – C M CR
change T o o ls R e g is te r
m anagem ent P e rm is s io n s A u d it
s y s te m fo r R eq u est R e p o rts
c o n tro llin g w o rk P ro c e d u re S ta tu s
p ro d u c ts. (P V C S ) R e p o rts
B ackup
D is c s
R eco v ery
P la n
Use Operational Dynamics to Organize a Small
Business for Continuous Process Improvement
Matrix Management
Skills
Role Centric versus Action Centric
Time Management
Responsible, Accountable, Authority.
Management by Project
‘Minimum Unit of Work’ in Deploying Policy and
Procedures.
Boot-Strap Consortiums for Process Sharing
9/1/2004 OnBoard Software Inc-San Antonio 12
Matrix Management (MM)
Small Business - Too small to have dedicated
specialists.
Need flexibility.
MM adds rigor to the cloud in a small company.
2 Bosses, line manager and project manager(s).
Make, break, remake teams as needed.
Great for a small company.
9/1/2004 OnBoard Software Inc-San Antonio 13
Skills
Everyone has multiple skills. Often we don’t know
how valuable we are.
Not easy to find skills after someone has ‘settled’ in.
You need them badly for roles, when you need them.
People LOVE to brag. Take advantage of this.
Do an inventory of skills! You have untapped skills! I
promise!
Use a Resource Manager role to manage this.
9/1/2004 OnBoard Software Inc-San Antonio 14
Role Centric versus Action Centric
Rarely are there defined roles or job descriptions (JD) in
a small company.
People need to know what they should do (JD) and
where they fit (Role) in an organization.
Job descriptions and roles satisfy that need.
One person can have multiple roles (hats)
All roles required for a process must be filled.
Define Roles while Prepping Policies and Procedures.
9/1/2004 OnBoard Software Inc-San Antonio 15
Time Management
There is never enough time to do both CPI and ‘Customer’
work. Guess who wins?
The Hero approach says we will rise to the challenge, but
at what cost?
How to get 2 person-days per week from key people?
ID the tasks; set priorities; allocate resources.
Use a Resource Manager with real authority.
Schedule using a tool so you have credibility.
Use Process Thursdays.
9/1/2004 OnBoard Software Inc-San Antonio 16
Responsible, Accountable, Authority.
Give people clear assignments in writing
Make them responsible for completion
Agree on due dates
Hold them accountable if they have problems
Give them the authority to get the resources they
need. Good Luck on this one!
9/1/2004 OnBoard Software Inc-San Antonio 17
Management by Project
Not the same as a PMO
Do a plan, follow the plan, change the plan.
Track progress.
If you are not doing Management By
Project you're in trouble.
9/1/2004 OnBoard Software Inc-San Antonio 18
Deploying Policies and Procedures
Business Document Pyramid
The triangle represents the
Corp. Charter minimum unit of work
suitable for training and
Business Plan rollout to the target
organization or Company.
Policies
WHAT IS WANTED!
Procedures
Steps to Do It!
Work Instructions
DETAILED HOW!
Guidelines, Standards & Manuals
CMMI, DOD, ISO, IEEE… Models and Reference Material.
9/1/2004 OnBoard Software Inc-San Antonio 19
Rollout Minimum Unit of Work
The principle in control is: People deserve and need the
infrastructure that should surround any process.
1. Policy - Approved by Corp Officer and Issued but not Effective.
2. Process Work Flow Diagram, Completed Procedures,
Checklists, Work Instructions, Forms, reports. All Approved by
SEPG
3. Needed Standards or Guidelines are in our Asset library.
4. TRAINING - TRAINING - TRAINING!!!!
5. Rollout to user community.
6. Enforcement and feedback!!
9/1/2004 OnBoard Software Inc-San Antonio 20
Boot-Strap Consortiums
Consortium - A group formed to undertake an enterprise
beyond the resources of any one member!
Reach agreement with Non-Disclosure Agreement’s, non-
compete, no staff raiding, etc.
Share plans, policies, procedures, checklists, etc after
sanitizing them.
Best practice = Build sharable library on an accessible
server.
Use your local SPIN! Isn’t this a great use for SPIN??
9/1/2004 OnBoard Software Inc-San Antonio 21
How Important is it to your
career to get this right????
This Could be Your Next Job
Assignment.
9/1/2004 OnBoard Software Inc-San Antonio 22
Just Kidding!
Process Areas Selected as Hi-Priority -
Balanced Minimization - Value Add
1 - Base Practices
1 - REQM - Requirements Management
2 - CM - Configuration management
2 - PPQA - Process and Product Quality Assurance
3 - MA - Measurement and Analysis
3 - PP - Program and Project Planning
3 - PMC - Project monitoring and control
==LEVEL 2 PA’s == Continuous Representation ==
4 - VER - Verification
4 - VAL - Validation
4 - RD - Requirements Development
5 - OT - Organizational Training
4 - TS - Technical Solutions
9/1/2004 OnBoard Software Inc-San Antonio 24
What’s in a Project Plan for Each PA?
All the normal project stuff.
Approach, Tasks, Milestones, Skills, Implementation
Plan, Deliverables, Schedule, Meetings, Issues,
Risks, Change Control, WBS, Baseline, measurements,
process improvement thru feedback.
FOCUS ON DELIVERABLES!!!
Implementation Plan Approach - How will we take the
deliverables from the project and roll the processes and
documentation out to the full company. Use the minimum
Unit of Work - It Always works.
9/1/2004 OnBoard Software Inc-San Antonio 25
What’s in a Project Plan for a PA?
ID the Deliverables -
Policy for each GG and SG, maybe more, maybe less.
Procedures for Best Practices. Tailor as needed.
Templates for Forms and checklists to support procedures.
Bidirectional Traceability Control tables.
Change control Process.
Etc.
We need the team manager to figure out what the
deliverables are, based on the PA. Most of the
project work flows from Deliverables!
9/1/2004 OnBoard Software Inc-San Antonio 26
What is a Policy?
1. A predetermined course of action established as a
guide toward accepted business strategies and
objectives.
2. A policy is a basic guide to action. It forecasts
expected actions in response to anticipated
events.
CPI will never be done because we can’t think of
every situation and write a policy on how to
react.
9/1/2004 OnBoard Software Inc-San Antonio 27
Business Document Pyramid
The triangle represents the
Corp. Charter (Pres, CEO, BOD) minimum unit of work
suitable for training and
Business Plan (Officers & Directors) rollout to the target
organization or Company.
Policies (Officers & Directors)
WHAT IS WANTED!
Procedures (Directors & Mgrs)
Steps to Do It!
Work Instructions (Directors & Managers)
DETAILED HOW!
Guidelines, Standards & Manuals (COTS, Dir’s & Mgrs)
CMMI, DOD, ISO, IEEE… Models and Reference Material.
9/1/2004 OnBoard Software Inc-San Antonio 28
Policies Help The Working
Person
It does NOT tell people HOW to proceed.
It is WHAT management wants.
It helps supervisors and operations people
to make sound decisions w/o top execs.
It provides fair and equal treatment of all.
It provides a unity of purpose. It codifies a
decision that can be used widely.
9/1/2004 OnBoard Software Inc-San Antonio 29
Goals to Policies
How to convert a SG to a Policy.
Elaboration of each policy section.
Policy Statement - Trace to a Goal
Scope - Trace to SP’s.
Authority - Create New Roles?
Definitions And other Boilerplate - Hot links to
your Asset Library.
9/1/2004 OnBoard Software Inc-San Antonio 30
E ffective D a te: N u m b er: Q A-P O L -0 01 -0 3
1 .1.1
D a te Is su ed: Page 1 of 1
P o lic y P rep are d B y: R . F la he rty
A ll prior ve rsion s
R e sp . D e pt.: Q A
S u pe rc ed es: of Q A P o lic y R e f. P olic y # :
A p proved B y:
T itle : P o lic y fo r P ro ces s an d P ro d u ct Q u a lity As s u ran c e
P o lic y S tatem en t:
PPQA T his policy req uires that w e obje ctively e valua te the adh erence of pe rform ed
processe s, w o rk pro du cts a nd services aga inst a pplicab le process
de scrip tio ns, sta ndard s, and procedure s, and th at n oncom plia nt issues are
SG 1 & 2 tracked w ith a via ble reso lution and the q ua lity issue s are co m m un icated to
th e sta ff, m ana gem ent, a nd custom e rs o f O nB oa rd S oftw a re Inc. (O B S I).
S co p e :
T he scope of this po licy is to:
1. E stab lish a nd m a intain a p lan for p erfo rm in g th e P P Q A p roce ss.
2. E nsure th at a de quate resources are perform in g the P P Q A process,
Specific deve lopin g th e w ork produ cts, an d providin g th e se rvices o f the
process.
and Generic 3. A udit th e desig nated perform e d processes, w ork products, a nd services
aga inst the a pp licable process d escriptions, stan dards and procedu res
Practices by p ro vid ing eva luation rep orts to the staff, m an ag em e nt, an d custo m er.
4. Id en tify, an alyze , and docum en t n oncon fo rm in g issues until a via ble
that relate re so lution w ith the stakeh old er, m an age m en t an d the custo m er is in
place to preclud e any ne gative qu ality tren ds.
to SG 1 & 5. E stab lish a trainin g ag end a and ensu re resource s a re ide ntified,
train ed, an d qua lified to perform Q A a ctivitie s.
6. P lace design ated P P Q A w ork products and p roce sses un der
2. co nfigu ration m anage m ent.
7. M on ito r an d co ntro l the P P Q A process a ga inst the pla n and w ith
iden tifie d rele va nt stakeh old ers take app ro pria te co rrective actions.
8. E nsure th at a ll o rg anization al expe ctatio ns for p rocess and pro duct
qua lity assura nce is practice d an d no ncom plia nt issues are ide ntifie d,
docu m ented , a nd con ve ye d to the staff, m a na gem e nt, and custom er.
Work Flow Diagrams
Important input to procedure writing.
Block Diagrams
Role driven
Keep It Stupidly Simple (KISS)
not Keep It Simple Stupid.
9/1/2004 OnBoard Software Inc-San Antonio 32
Format of Workflow Diagram.
Role: ?
Info Box:
Action Steps
Drivers, inputs,
outputs, forms, Role: ?
exit criteria
Action Steps
Role: ?
Action Steps
End
9/1/2004 OnBoard Software Inc-San Antonio 33
Procedure Construction
Inputs - Drivers, Work Flow Diagrams, forms,
reports, brainstorming sessions, roles,
regulations, timing, start and end points, hand-
offs per role, exit criteria.
Gather all the above - Gestalt - Assimilate.
What is the ‘driver’ of the process? A Form?
Customer?
Start with the driver and proceed role by role.
9/1/2004 OnBoard Software Inc-San Antonio 34
Review Procedure Template
Use Playscript Procedure Methodology.
Be brief. 2-3 pages max.
Use action verbs as first word.
Always hand-off from role to role. Why?
Simple branching is OK.
Nothing else.
9/1/2004 OnBoard Software Inc-San Antonio 35
Effective Date: Number: ADMIN-TEMP-003-02
1.1.1
Date Issued: Page 1 of 1
Procedure Prepared By: Resp. Dept.:
Supercedes: Ref. Policy #:
Approved By:
Title: Procedure Name
Discussion/Purpose:
Actor/Function Description of Action
st
1 Actor 1. 1st action by 1st actor
2. 2nd action by 1st actor.
3. Last action in each section must tell how the handoff is to
occur.
2nd Actor 4. 1st action by 2nd actor.
5. 2nd action by 2nd actor
6. 3rd action by 2nd actor. Handoff to next Actor.
End of Procedure
Note: each set of actions for each Actor should be in a separate
table row. Number Actions sequentially throughout procedure.
No need to number Actors. Remove this note/row.
End of Document
Other Support Artifacts
Checklists
Audit Forms
Work Instructions
Log Books
Asset Library
9/1/2004 OnBoard Software Inc-San Antonio 37
Questions????
9/1/2004 OnBoard Software Inc-San Antonio 38
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