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This book is about a new way of approaching process improvement for engineering development. Process improvement is a generally well-understood and accepted means of achieving quality and productivity gains for software development, and the recognition of its importance for other engineering disciplines is growing. The success and wide adoption of the Capability Maturity Model (CMM) for Software have inspired increased development of similar models in disciplines other than software. The resulting proliferation of models in engineering organizations has led to conflicts in process improvement goals and techniques, considerable increases in required training, and confusion on the part of practitioners as to which of the various models applies to their specific needs.
The Capability Maturity Model Integration (CMMI) project, an ongoing effort by industry, the U.S. government, and the Software Engineering Institute (SEI) of Carnegie Mellon University, is attempting to address this situation. Started in 1998, CMMI is an effort to codify the tenets of model-based process improvement and provide a single, integrated framework for improving engineering processes in organizations that span several disciplines. By integrating the tools and techniques used to improve individual engineering disciplines, both the quality and the efficiency of organizational process improvement are enhanced.
In the last quarter of 2000, after extensive stakeholder review and piloting, the first official CMMI products were released. These models provide users with a choice of single or integrated disciplines and a choice of a staged or continuous representation. They include a wealth of engineering and process improvement information, such as clear goals and extensive guidance on the best practices to achieve them. Most importantly, a well-defined framework outlines how additional disciplines may be brought into the product suite so as to minimize the development of incompatible models in the future.
Purpose of the Book
This book has a threefold purpose. First, we intend to help organizations understand how an integrated approach to process improvement can help mature their technical and management processes. Second, to support this integrated approach, we present a new set of tools developed by the CMMI project specifically designed for multidiscipline process improvement. Finally, we provide practical guidance in the selection and use of those tools. This guidance is based on lessons learned from organizations that have adopted integrated process improvement, as well as the knowledge and experience gained from the hundreds of professionals who were involved in the development of the CMMI product suite.
Audience for the Book
The intended audience for this book comprises executives, middle managers, team leaders, acquisition specialists, process improvement champions, and the often overlooked and overworked process improvement practitioners. Executives, who may have deferred process improvement in the past because the scope of their business exceeded the boundaries of a single model, will find an approach and tools to mitigate their concerns. Middle managers and team leaders will find information on the effects of process improvement on their responsibilities and the cross-discipline nature of their environments. Process improvement champions will find a means to enlarge their base of support and focus their efforts in a way that heightens the chances of adoption and success. Finally, individuals who are charged with implementing the process improvement will find help in applying models in the real world. It is our hope that when unsuspecting project and program managers are instructed to "implement that CMMI stuff," this book will provide sufficient information to save both their careers and their sanity.
While applicable to any organization involved with rigorous, time-critical development of complex systems, this book will hold special interest for system developers and systems integrators who supply the U.S. government. The federal government participated in the CMMI development work, thereby supporting the efforts of its suppliers (both external and internal) to improve process performance. In October 1999, the U.S. Department of Defense established the requirement that its large program development contractors demonstrate full compliance with a maturity level 3 as measured by the Software CMM (or equivalent).2 More recently, it has indicated its intention to have CMMI-SE/SW identified as an equivalent evaluation tool.3 Given the considerable interest at all levels in adding the acquisition discipline to CMMI, the authors believe that CMMI will likely see application in improving government system acquisition organizations as well.
Organization of the Book
The book is divided into four major parts.
Part I introduces integrated process improvement and provides a rationale for undertaking such an approach. This material is both a primer for the novice and ammunition to gain management support for the process improvement champion. It offers general guidance as well as specific hints on implementation, including pointers to support the migration from legacy process improvement activities and accomplishments. Part I also provides case studies and lessons learned from the pioneering organizations that blazed the trail toward integrated process improvement. If you wish to start your reading with the details of CMMI, you could save this first part for review at a later time.
Part II describes the work of the CMMI project. The philosophy, architecture, and models of CMMI products are presented, and examples of the models are annotated in detail to provide a better understanding of their contents. This part also includes much of the rationale for specific CMMI decisions and help in navigating the rather daunting CMMI models.
Part III builds on the first two parts and offers the authors? practical guidance in the use of the CMMI products. It suggests heuristics for choosing models and representations appropriate for a specific organization. It also describes CMMI assessments and explains how to tailor the CMMI products to fit an organization and enhance the probability of success in applying CMMI.
Part IV presents some musings on the future of CMMI. These informed speculations reflect some of the discussions held formally and informally during CMMI development. The ideas included are intended to invite discussion and spark innovation, but not, as the sportswriters say, "as the basis for any actual cash wager."
Like their predecessors, the CMMI models are by necessity large and complex products. This book, while not duplicating all their information, will help you understand the CMMI models and auxiliary materials. It provides a rationale for integrating process improvement, a guide to the structure and contents of the CMMI models, and some practical ideas for using the models effectively in your organization. We strongly encourage you to obtain copies of the models from the CMMI Web site (www.sei.cmu.edu/cmmi) and browse through them as you are reading this book, especially Parts II and III. For readers who would like a flavor of the models, Appendixes A and B presents a concise summary of CMMI/SW/SE/IPPD content in both the continuous and staged representations.
The CMMI project is an ongoing effort, so any project as time-restricted as a book will necessarily be overcome by events. The authors have strived to provide information that is both timely and of lasting value, but understand the reality of the CMMI environment. To that end, the publisher has agreed to support this volume with updates through its Web site (www.awl.com) and, when appropriate, further editions.
The authors have all been active in process improvement in the real world. We bring considerable practical experience to this effort, together with our ideas on improving the way process improvement is accomplished. Together we struggled through the creation of the CMMI products, benefiting from the wide variety of views brought by the CMMI Product Development Team. Generally, this book describes the products and positions of the nearly 100 other experienced practitioners and researchers that made up that team. In some places, however, we express our own opinions. In those cases where the text may not reflect the consensus of the team, we have identified our unorthodoxy.
It is our hope that this book reflects the tremendous accomplishments of the entire CMMI Product Development Team. Most of all, we want you to obtain a clearer understanding of the practice and benefits of integrated process improvement based on CMMI products. Through the information in this book, we hope to help make your process improvement initiatives successful.
The authors would like to acknowledge the help and support of the CMMI Product Development Team and the CMMI Steering Group. The members of those groups, past and present, may not agree with everything that we say here, but this book would not exist without their devoted efforts over several years on behalf of CMMI. Additionally, several individuals were key to the actual development of this book. They include Karl Arunski, Roger Bate, Denise Cattan, Jeffrey Dutton, Delores Etter, Jack Ferguson, Craig Hollenbach, Linda Ibrahim, Mike Phillips, Sarah Sheard, and Joan Weszka.
Peter Gordon, Asdis Thorsteinsson, and other Addison-Wesley personnel were invaluable in helping us meld the significantly different styles of the three authors into coherent, readable prose. The reviewers en-gaged by the publisher, including several from the Software Engineering Institute, provided us with many useful improvement suggestions.
Finally, the authors would like to thank our families (and especially Pam, Debbi, and Jo), who put up with crabby spouses and parents, absences from home, and frenetic holidays so that this book could make its production schedule. We love you all.
Dennis, Aaron, and Rich
Baltimore, Dallas, and Washington, D.C., January 2001
Ahern, Dennis M. : Northrop Grumman Corporation
Dennis M. Ahern, Ph.D. is an advisory engineer at Northrop Grumman Corporation, where he has worked on process improvement programs for over 15 years. Previously, he was a faculty member at Yale University and at the University of Maryland. He was the deputy project manager of the CMMI Product Development Team and a co-leader of the CMMI Editor Team. He is also an author of CMMI.
Clouse, Aaron : Raytheon Company
Aaron Clouse is an Engineering Fellow at Raytheon Company where he has worked on process improvement programs for over 14 years. He was a member of the CMMI Editor Team and is an author of CMMI.
Turner, Richard : George Washington University
Richard Turner is a member of the Engineering Management faculty at George Washington University. Currently, he coordinates the transition of software engineering and acquisition technology for the Deputy Under Secretary of Defense (Science and Technology). He was a member of the CMMI Architecture Team and is an author of the Integrated Product Development CMM and CMMI.
I. INTEGRATED PROCESS IMPROVEMENT.
1. Why Integrated Process Improvement?
The Engineering Environment of the Twenty-First Century.
Concurrent Engineering and the Cross-Discipline Team.
A Proliferation of Models and Standards.
The Benefits of Integrated Process Improvement.
2. Implementing Integrated Process Improvement.
Starting Integrated Process Improvement.
Building an Integrated Improvement Infrastructure.
Integrating Legacy Processes and Initiatives.
Integrated Process Improvement Examples.
II. The CMMI Models.
3. The CMMI Concept.
CMMI Project Organization.
The Three Source Models.
An Extensible Framework.
4. CMMI Content.
5. CMMI Representations.
CMMI Model Representations.
6. CMMI Dimensions for Measuring Improvement.
Generic Practices in the Capability Dimension.
Generic Practices in the Maturity Dimension.
Organizational Capability Evolution.
7. CMMI Process Areas.
Process Management Process Areas.
Project Management Process Areas.
Engineering Process Areas.
Support Process Areas.
Integrated Product and Process Development Process Areas.
Acquisition Process Areas.
Relationships with CMMI Components.
III. Using CMMI.
8. Selecting the Appropriate Disciplines.
The Discipline Dilemma.
The IPPD Extension.
The Acquisition Extension.
Selecting the Appropriate Model.
9. Picking a Representation.
Reasons for Liking Staged Models.
Reasons for Liking Continuous Models.
Reasons for Choosing a CMMI Representation.
10. Assessments with CMMI.
Assessment Requirements for CMMI.
Standard CMMI Assessment Method for Process Improvement.
Using Assessments in Process Improvement.
Making a CMMI Model Your Own (Tailoring).
IV. The Future of CMMI.
11. Evolving CMMI.
Single Versus Dual Representations.
Collection of Issues for Version 1.1 and Beyond.
The Charge of the CMMI Product Team.
Appendix A. Summary of CMMI-SE/SW/IPPD Models: Summary of Continuous Representation.
Appendix B. Summary of CMMISE/SW/IPPD Models: Summary of Staged Representation .
Appendix C. References.
Appendix D. Resources.
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