Software Process Improvement for Small & Medium Enterprises Techniques & Case Studies Apr 2008

Software Process

Improvement for Small

and Medium Enterprises:

Techniques and Case Studies

Hanna Oktaba

Nacional Autonomous University of Mexico, Mexico

Mario Piattini

University of Castilla-La Mancha, Spain

Hershey • New York

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Library of Congress Cataloging-in-Publication Data

Software process improvement for small and medium enterprises : techniques and case studies / Hanna Oktaba and Mario Piattini, editors.

p. cm.

Summary: "This book offers practical and useful guidelines, models, and techniques for improving software processes and products for

small and medium enterprises, utilizing the authoritative, demonstrative tools of case studies and lessons learned to provide academics,

scholars, and practitioners with an invaluable research source,"--Provided by publisher.

ISBN 978-1-59904-906-9 (hbk.) -- ISBN 978-1-59904-908-3 (e-book)

1. Computer software--Development--Management. 2. Computer software industry--Management--Case studies. 3. Small business--Data

processing--Case studies. I. Oktaba, Hanna. II. Piattini, Mario, 1966-

QA76.76.D47S66354 2008

005.1--dc22

2008001869

British Cataloguing in Publication Data

A Cataloguing in Publication record for this book is available from the British Library.

All work contributed to this book set is original material. The views expressed in this book are those of the authors, but not necessarily of

the publisher.

If a library purchased a print copy of this publication, please go to http://www.igi-global.com/reference/assets/IGR-eAccess-agreement.pdf

for information on activating the library's complimentary electronic access to this publication.

Table of Contents

Foreword .............................................................................................................................................xii

Preface ................................................................................................................................................ xiv

Acknowledgment ..............................................................................................................................xvii

Chapter I

Organizational Analysis of Small Software Organizations: Framework and Case Study ...................... 1

Jesús Zavala-Ruiz, Metropolitan Autonomous University – Iztapalapa, Mexico

Chapter II

The Application of International Software Engineering Standards in Very

Small Enterprises .................................................................................................................................. 42

Claude Y. Laporte, École de Technologie Supérieure, Canada

Alain Renault, Centre de Recherche Public Henri Tudor, Luxembourg

Simon Alexandre, Centre d’Excellence en Technologies de

l’Information et de la Communication, Belgium

Chapter III

Practical Experience in Customization for a Software Development Process for

Small Companies Based on RUP Process and MSF ............................................................................. 71

Valerio Fernandes del Maschi, Universidade Paulista, Brazil

Mauro de Mesquita Spinola, Universidade Paulista, Brazil

Ivanir Costa, Universidade Paulista, Brazil

Alexandre de Lima Esteves, Universidade Paulista, Brazil

Luciano S. Souza, Universidade Paulista, Brazil

Wilson Vendramel, Universidade Paulista, Brazil

Jorge Pirola, Universidade Paulista, Brazil

Chapter IV

The Impact of Software Testing in Small and Medium Settings .......................................................... 94

Luis Vinicio León-Carillo, e-Quallity Corporation and ITESO University, Mexico

Chapter V

QuickLocus: A Software Development Process Evaluation Method for Small-Sized

Organizations ...................................................................................................................................... 109

Sarah Kohan, Carlos Alberto Vanzolini Foundation, Brazil

Marcelo Schneck de Paula Pessôa, Escola Politécnica da Universidade de São Paulo, Brazil

Mauro de Mesquita Spinola, Escola Politécnica da Universidade de São Paulo, Brazil

Chapter VI

A Study of Software Process Improvement in Small and Medium Organizations ............................. 140

Deepti Mishra, Atilim University, Turkey

Alok Mishra, Atilim University, Turkey

Chapter VII

CMM Fast-Track: Experience and Lessons Learned .......................................................................... 158

Hareton Leung, Hong Kong Polytechnic University, Hong Kong

Yvette Lui, Hong Kong Polytechnic University, Hong Kong

Chapter VIII

MoProSoft®: A Software Process Model for Small Enterprises ........................................................ 170

Hanna Oktaba, Universidad Nacional Autónoma de México, Mexico

Ana Vázquez, Asociación Mexicana para la Calidad en la Ingeniería de Software, Mexico

Chapter IX

Agile SPI: Software Process Agile Improvement—A Colombian Approach to

Software Process Improvement in Small Software Organizations ..................................................... 177

Julio A. Hurtado, University of the Cauca, Colombia

Francisco J. Pino, University of the Cauca, Colombia

Juan C. Vidal, University of the Cauca, Colombia

César Pardo, University of the Cauca, Colombia

Luís Eduardo Fernández, University of the Cauca, Colombia

Chapter X

Agile Practices in Project Management .............................................................................................. 193

John Gómez, Ericsson Chile, Chile

Alejandro Núñez, Practia Consulting S.A., Chile

Chapter XI

COMPETISOFT: An Improvement Strategy for Small Latin-American

Software Organizations ....................................................................................................................... 212

Hanna Oktaba, Facultad de Ciencias, Universidad Nacional Autónoma de México, Mexico

Francisco J. Pino, University of the Cauca, Colombia

Mario Piattini, Alarcos Research Group, University of Castilla-La Mancha, Spain

Félix García, Alarcos Research Group, University of Castilla-La Mancha, Spain

Claudia Alquicira, Ultrasist, Mexico

Francisco Ruiz, Alarcos Research Group, University of Castilla-La Mancha, Spain

Tomás Martínez, Alarcos Research Group, University of Castilla-La Mancha, Spain

Chapter XII

SPI Long-Term Benefits: Case Studies of Five Small Firms .............................................................. 223

Aileen Cater-Steel, University of Southern Queensland, Australia

Terry Rout, Griffith University, Australia

Chapter XIII

An Incremental Functionality-Oriented Free Software Development Methodology ......................... 242

Oswaldo Terán, ENDITEL; Centro de Micro Electrónica y Sistemas Distribuidos and

Centro de Simulación y Modelos, Universidad de los Andes, Venezuela

Johanna Alvarez, CENDITEL, Venezuela

Blanca Abraham, CEMISID Universidad de los Andes, Venezuela

Jose Aguilar, CENDITEL; Centro de Micro Electrónica y Sistemas Distribuidos,

Universidad de los Andes, Venezuela

Chapter XIV

How to Align Software Projects with Business Strategy .................................................................... 258

Gustavo Ricardo Parés Arce, Instituto Tecnológico y de Estudios Superiores de Monterrey

Campus Santa Fe, Mexico

Chapter XV

A Model to Classify Knowledge Assets of a Process-Oriented Development ................................... 280

Raquel Anaya, Universidad EAFIT, Colombia

Alejandra Cechich, Universidad Nacional del Comahue, Argentina

Mónica Henao, Universidad EAFIT, Colombia

Chapter XVI

Practical Application of a Software Development Framework in an Accountant Office ................... 296

Alicia Mon, La Matanza National University, Argentina

Marcelo Estayno, La Matanza National University, Argentina

Patricia Scalzone, La Matanza National University, Argentina

Chapter XVII

Estimate of Effort in Software Implementation Projects .................................................................... 313

María Julia Orozco Mendoza, Ultrasist, Mexico

Evaristo Fernández Perea, Ultrasist, Mexico

Claudia Alquiciral Esquivel, Ultrasist, Mexico

Chapter XVIII

Improving Resource Management: Lessons from a Case Study in a

Middle-Range Governmental Organization ........................................................................................ 327

Juan M. Luzuriaga, Poder Judicial de la Provincia de Neuquén, Argentina

Rodolfo Martínez, Poder Judicial de la Provincia de Neuquén, Argentina

Alejandra Cechich, GIISCo Research Group, Universidad Nacional del Comahue, Argentina

Compilation of References ............................................................................................................... 342

About the Contributors .................................................................................................................... 364

Index ................................................................................................................................................... 374

Detailed Table of Contents

Foreword .............................................................................................................................................xii

Preface ................................................................................................................................................ xiv

Acknowledgment ..............................................................................................................................xvii

Chapter I

Organizational Analysis of Small Software Organizations: Framework and Case Study ...................... 1

Jesús Zavala-Ruiz, Metropolitan Autonomous University – Iztapalapa, Mexico

This chapter contains an overview on the complexity of a software organization focusing on the around

software engineering and project management as disciplines in crisis and their underlying management

paradigm. The author considers opening it to those related disciplines and presents a framework to sup￾port this change of paradigm.

Chapter II

The Application of International Software Engineering Standards in Very

Small Enterprises .................................................................................................................................. 42

Claude Y. Laporte, École de Technologie Supérieure, Canada

Alain Renault, Centre de Recherche Public Henri Tudor, Luxembourg

Simon Alexandre, Centre d’Excellence en Technologies de

l’Information et de la Communication, Belgium

This chapter is focused on the new ISO project proposed to facilitate access to, and utilization of, its

standards in SMEs by means of developing profiles and providing guidance for compliance with ISO

software engineering standards.

Chapter III

Practical Experience in Customization for a Software Development Process for

Small Companies Based on RUP Process and MSF ............................................................................. 71

Valerio Fernandes del Maschi, Universidade Paulista, Brazil

Mauro de Mesquita Spinola, Universidade Paulista, Brazil

Ivanir Costa, Universidade Paulista, Brazil

Alexandre de Lima Esteves, Universidade Paulista, Brazil

Luciano S. Souza, Universidade Paulista, Brazil

Wilson Vendramel, Universidade Paulista, Brazil

Jorge Pirola, Universidade Paulista, Brazil

This chapter shows the methodology, strategy, main phases, and procedures to the implantation of a

customized software engineering process in a SME.

Chapter IV

The Impact of Software Testing in Small and Medium Settings .......................................................... 94

Luis Vinicio León-Carillo, e-Quallity Corporation and ITESO University, Mexico

This chapter shows some foundations of the discipline of software testing and fragments of some suc￾cessful test process defined using a proprietary process definition language and presents two case studies

realized in Mexican SMEs that show the economic impact of the testing process.

Chapter V

QuickLocus: A Software Development Process Evaluation Method for Small-Sized

Organizations ...................................................................................................................................... 109

Sarah Kohan, Carlos Alberto Vanzolini Foundation, Brazil

Marcelo Schneck de Paula Pessôa, Escola Politécnica da Universidade de São Paulo, Brazil

Mauro de Mesquita Spinola, Escola Politécnica da Universidade de São Paulo, Brazil

This chapter presents a low-cost process evaluation method especially designed for SMEs that has been

successfully apply in several organizations and provides ways to be more competitive.

Chapter VI

A Study of Software Process Improvement in Small and Medium Organizations ............................. 140

Deepti Mishra, Atilim University, Turkey

Alok Mishra, Atilim University, Turkey

This chapter presents a comparison of some process assessment and software process improvement

methods for SMEs. This will lead towards development of a standardized software process improvement

model for small and medium sized software development organizations in the future.

Chapter VII

CMM Fast-Track: Experience and Lessons Learned .......................................................................... 158

Hareton Leung, Hong Kong Polytechnic University, Hong Kong

Yvette Lui, Hong Kong Polytechnic University, Hong Kong

This chapter presents the CMM Fast-track Toolkit (CMMFT) that provides a faster and cheaper method

of obtaining CMMI capability for SMEs, increasing quality of their software products and gaining

competitive advantage.

Chapter VIII

MoProSoft®: A Software Process Model for Small Enterprises ........................................................ 170

Hanna Oktaba, Universidad Nacional Autónoma de México, Mexico

Ana Vázquez, Asociación Mexicana para la Calidad en la Ingeniería de Software, Mexico

This chapter resumes the process model (MoProSoft) and its assessment method (EvalProSoft) and

shows their most important features. It also includes the results of their application in four small Mexi￾can enterprises.

Chapter IX

Agile SPI: Software Process Agile Improvement—A Colombian Approach to

Software Process Improvement in Small Software Organizations ..................................................... 177

Julio A. Hurtado, University of the Cauca, Colombia

Francisco J. Pino, University of the Cauca, Colombia

Juan C. Vidal, University of the Cauca, Colombia

César Pardo, University of the Cauca, Colombia

Luís Eduardo Fernández, University of the Cauca, Colombia

This chapter presents the framework Agile SPI, designed to motivate SMEs towards improving and

certifying their software development processes, which is based on the integration of software processes

on small and medium organizations context and culture.

Chapter X

Agile Practices in Project Management .............................................................................................. 193

John Gómez, Ericsson Chile, Chile

Alejandro Núñez, Practia Consulting S.A., Chile

This chapter presents common agile practices as the way to address the daily problems that may appear

in a process improvement initiative. Authors explain how these practices can reduce the efforts and cost,

and contribute to realize benefits sooner, in a motivational way.

Chapter XI

COMPETISOFT: An Improvement Strategy for Small Latin-American

Software Organizations ....................................................................................................................... 212

Hanna Oktaba, Facultad de Ciencias, Universidad Nacional Autónoma de México, Mexico

Francisco J. Pino, University of the Cauca, Colombia

Mario Piattini, Alarcos Research Group, University of Castilla-La Mancha, Spain

Félix García, Alarcos Research Group, University of Castilla-La Mancha, Spain

Claudia Alquicira, Ultrasist, Mexico

Francisco Ruiz, Alarcos Research Group, University of Castilla-La Mancha, Spain

Tomás Martínez, Alarcos Research Group, University of Castilla-La Mancha, Spain

This chapter presents the COMPETISOFT project and its framework for improving software process

in Latin-American SMEs. This framework is composed by a reference process model, an assessment

model, and an improvement model, and it is based on other previous solutions, especially in the MoPro￾Soft project.

Chapter XII

SPI Long-Term Benefits: Case Studies of Five Small Firms .............................................................. 223

Aileen Cater-Steel, University of Southern Queensland, Australia

Terry Rout, Griffith University, Australia

This chapter presents a study of assessment-based improvement in more than 20 SMEs during five years;

its results show how improving frameworks can affect the organization and its business.

Chapter XIII

An Incremental Functionality-Oriented Free Software Development Methodology ......................... 242

Oswaldo Terán, ENDITEL; Centro de Micro Electrónica y Sistemas Distribuidos and

Centro de Simulación y Modelos, Universidad de los Andes, Venezuela

Johanna Alvarez, CENDITEL, Venezuela

Blanca Abraham, CEMISID Universidad de los Andes, Venezuela

Jose Aguilar, CENDITEL; Centro de Micro Electrónica y Sistemas Distribuidos,

Universidad de los Andes, Venezuela

This chapter shows the validated methodology used in a factory oriented at free software development.

This incremental methodology is based on a prioritization of functionalities development according to

needs and has features of both cathedral and bazaar developing styles.

Chapter XIV

How to Align Software Projects with Business Strategy .................................................................... 258

Gustavo Ricardo Parés Arce, Instituto Tecnológico y de Estudios Superiores de Monterrey

Campus Santa Fe, Mexico

This chapter proposes a methodological framework to promote strategic alignment, improve execution

through a better communication, and understand IT projects that will help to make better IT decisions for

offering a competitive edge to companies based on a better management of the strategic IT portfolio.

Chapter XV

A Model to Classify Knowledge Assets of a Process-Oriented Development ................................... 280

Raquel Anaya, Universidad EAFIT, Colombia

Alejandra Cechich, Universidad Nacional del Comahue, Argentina

Mónica Henao, Universidad EAFIT, Colombia

This chapter identifies a model to characterize knowledgeable assets and their relationships in a software

organization, and it sets the basis for defining a transversal process of knowledge management at the

organization.

Chapter XVI

Practical Application of a Software Development Framework in an Accountant Office ................... 296

Alicia Mon, La Matanza National University, Argentina

Marcelo Estayno, La Matanza National University, Argentina

Patricia Scalzone, La Matanza National University, Argentina

This chapter describes a framework implementation experience in an accounting office by showing how

its process definition allows for progressively putting a work model into practice for implementing a

process model with continuous improvement.

Chapter XVII

Estimate of Effort in Software Implementation Projects .................................................................... 313

María Julia Orozco Mendoza, Ultrasist, Mexico

Evaristo Fernández Perea, Ultrasist, Mexico

Claudia Alquiciral Esquivel, Ultrasist, Mexico

This chapter contains a proposal for project estimation of software used in a Mexican SME, based on

the Karner’s use case point estimation method. Two methods are compared to provide conclusions.

Chapter XVIII

Improving Resource Management: Lessons from a Case Study in a

Middle-Range Governmental Organization ........................................................................................ 327

Juan M. Luzuriaga, Poder Judicial de la Provincia de Neuquén, Argentina

Rodolfo Martínez, Poder Judicial de la Provincia de Neuquén, Argentina

Alejandra Cechich, GIISCo Research Group, Universidad Nacional del Comahue, Argentina

This chapter presents how resources have been managed according to recommendations of the MoPro￾Soft reference model in a governmental organization and presents some lessons learned from this case

study.

Compilation of References ............................................................................................................... 342

About the Contributors .................................................................................................................... 364

Index ................................................................................................................................................... 374

xii

Foreword

There is little disagreement within the software community about the need for addressing process im￾provement within small businesses and projects. Small businesses in the software industry represent a

significant amount of the resources applied to software problems around the world. These businesses

sometimes plan on staying small, but often they hope that they will grow with success. Particularly for

those who plan on growing, understanding how processes that are well-conceived, described, and used

can contribute to their success in the business world is critical to attain and sustain competitiveness.

As important as this is, small businesses often find there are many more “urgent” concerns that claim

their attention. This is exacerbated by the perception that defining, training, and following disciplined

processes is too much work in comparison to the benefit today. Because small businesses are so often

worried about day-to-day survival, thinking about how processes can help them tomorrow is often at the

bottom of their priority list. Not to mention, small software companies rarely have the internal expertise

and resources to perform process definition and improvement activities themselves. This means added

cost that is rarely considered in the survival-level business plan.

Governments across the world have taken note of these challenges for the small businesses within

their economies and have instituted a variety of approaches to encourage and support their small software

businesses in taking process improvement seriously. One of the most ambitious of these government

initiatives is Mexico’s MoProSoft initiative. This initiative built a national norm (in the U.S., it would be

called a standard) that is explicitly targeted at the pequeña (tiny) software organizations in Mexico. The

MoProSoft team looked not only at the process topics covered in other common international standards

and guides, but they also identified the need in these small organizations to deal explicitly with business

strategy issues, a unique contribution to the process improvement community. It is one of the several

techniques that Hanna Oktaba and Mario Piattini have included in this volume.

MoProSoft does not intend to replace more widely used process improvement standards like ISO

9001 or CMMI. However, it does fill a gap for those organizations that are ready for “some” type of

improvement, but that are still sufficiently taken up with business survival issues that they do not feel

ready to take on the more prominent standards fully. In my conversations with Hanna and other au￾thors of the norm, it is clear that their dedication to encouraging productive improvement activities in

organizations that normally would not engage in improvement is a goal that they hold dear. This book

covers both the challenges that led to solutions like MoProSoft as well as other productive approaches

to improving processes in small settings.

If you are in an organization trying to approach improvement with limited resources and few people,

you will find useful guidance and experience reports in this book. If you are working with small organiza￾tions who are reluctant to try process improvement, you will find some ammunition for encouraging those

organizations to think more seriously about process improvement. If you are working with frameworks

like CMMI or ISO 9001, you will find ideas on ways you might adapt your implementation to account

xiii

for some of the issues commonly present with the smaller organizations you work with. In any case,

we all have much to learn from both the successes and the struggles of small organizations working to

adopt improved processes that are provided here.

SuZ Garcia is a senior member of the technical staff at the Software Engineering Institute of Carnegie Mellon University

in Pittsburgh, PA, USA. She currently works in the Integrating SW Intensive Systems initiative. Her research in this area is

focused on creating processes, tools and techniques to support complex systems of systems engineering. From June 2001 to

Oct 2006, she worked in the technology transition research area, with 3 of those years focused specifically on transition sup￾port of process improvement for small settings. From Nov 1997-May 2001, she was the Deployments Manager for aimware,

Incorporated’s US customers, focusing on using technology to accelerate organizational improvement. The 5 years prior to

this were spent at the SEI working in various capacities on all the Capability Maturity Models the Institute was involved in.

She spent the previous 12 years in multiple improvement-related roles at Lockheed Missile and Space Co. She is co-author of

CMMI Survival Guide: Just Enough Process Improvement, a book that focuses on the skills and practices needed to establish

and support process improvement programs in small and other constrained-resource settings. Education: BA, Ergonomics,

1980 from University of California, Santa Barbara; MS, Systems Management, 1988 from University of Southern California.

xiv

Preface

From the very beginning of the 1990s onward, the software engineering community (industry and

researchers) has expressed special interest in software process improvement (SPI). This is evidenced

by the growing number of books, articles, and conferences that deal with the topic of SPI and the great

number of international initiatives related to SPI such as CMM®, CMMI®, ISO/IEC 12207, 15504,

and ISO 90003, among others.

Nevertheless, these standards and models are conceived for big organizations like USA DoD, NASA,

multinational software factories, and so forth. In fact, there is a widespread tendency to emphasize that

the success of SPI is only possible for large companies that have enough resources to tackle these types

of practices. This perception is based on the fact that SPI programs are just not viable for small and me￾dium enterprises (SMEs) because of their organizational structure and the high costs that are involved.

However, the software industry in most countries is made up mainly of SMEs which favor the growth of

national economies. Most software development organizations (nearly 90%) are SMEs which contribute

to very valuable and widespread products.

Almost all the experts agree that the special characteristics of SMEs mean that process improvement

programs must be applied in a way that is particular to them and visibly different from how this is done

in the large organizations. This is not as simple as just regarding these programs as scaled down versions

of those applied in big companies. In fact, the assessments conformant to the international standards are

expensive and time consuming, difficult to perform in small companies, their process model structure is

too complex, and the return of investment undertaken has to be seen from a long-term perspective.

The first International Research Workshop for Process Improvement in Small Settings organized by

the Software Engineering Institute (October 2005), the new ISO/IEC JTC1 SC7 Working Group 24,

which was created (2006) to develop the “Software Life Cycle Profiles and Guidelines for use in Very

Small Enterprises (VSE),” and several other initiatives have demonstrated the increasing interest for new

proposals and experiences in software improvement for SMEs. SMEs have become concerned about

how to improve the capability of their software processes, as a fundamental element to increase product

quality, addressing two main concerns: the first one has to do with their image, which is a key factor

in order to be able to export software and hence enter the global marketplace; and the other concern is

related to the efficiency and effectiveness of software process management.

Also, different countries like Mexico, Spain, Australia, Brazil, Colombia, and so on have developed

local programs to promote the improvement of their software industry, especially focused on SMEs.

As a result, several maturity and improvement models have been developed and successful experiences

have been carried out. Therefore, in this context, we present this book, the main objective of which is

to provide practical and useful guidelines, models, and techniques for improving software processes

in SMEs and collecting real case studies and lessons learned, as successful examples of experiences in

improving software process capability.