1	What is the FAA integrated Capability Maturity Model^®(FAA-iCMM^®), Version 2.0? For: ASQ Larry LaBruyere, / larry.labruyere@trw.com July 10, 2002
2	Objectives Audience will understand: why the FAA integrated process improvement models (Part 1) the content and structure of the FAA-iCMM, version 2.0 (Part 2) next Steps (Part 3)
3	Assumptions Audience understands: why process improvement is important what CMMs are, why they exist, and how to apply them
4	Introduction Levels: CMMs identify levels that guide process improvement - an improvement path Capability levels are groups of practices that work together to enhance the capability of any process Maturity levels are groups of processes that are staged or placed together to guide what might be improved first or next There are 6 capability levels (0 through 5) described next (Maturity levels are described later)
5	Capability Levels 0 and 1 Getting Started Capability Level 0 – Incomplete An incomplete process is either not performed, or only partially performed Capability Level 1 – Performed A performed process is being carried out, resulting in products and services being provided to a customer. Products and services are generally adequate, but quality and efficiency may vary depending on individual knowledge and effort. Processes may be ad hoc or occasionally chaotic, but are performed when required. Capability to perform is not generally transferable.
6	Capability Level 2 Managing the Process Capability Level 2 – Managed: Planned and Tracked A managed (planned and tracked) process is a performed (CL1) process that is also managed, and carried out according to a documented plan and process description. The plan identifies specific objectives for the process, such as customer satisfaction, cost, schedule, or quality objectives. There are adequate resources, skilled practitioners, clear responsibilities, controlled work products, performance measured against the plan, and corrective actions taken including improving the process being performed.
7	Capability Level 3 - Organizational Learning and Improvement Capability Level 3 – Defined A defined process is a managed, planned and tracked (CL2) process that is tailored from the organization’s set of standard processes. The standard processes are established to meet business objectives and are based on the organization’s knowledge and experiences. Measures and process improvement information are stored in an organizational repository so that process knowledge is shared across the organization. The standard processes and defined processes are improved and deployed across the organization.
8	Capability Level 4 Stabilizing Performance Capability Level 4 - Quantitatively Managed A quantitatively managed process is a defined (CL3) process that is controlled using quantitative techniques. Very specific objectives, measures, and processes are selected for quantitative management. The capability of the process (range of expected results) is understood statistically; special causes of variation are eliminated; performance is stabilized within defined control limits. Actual, achievable business performance levels are understood.
9	Capability Level 5 Optimizing Performance Capability Level 5 – Optimizing An optimizing process is a quantitatively managed (CL4) process that is changed and adapted to meet relevant current and projected business objectives. Changes are introduced to the specific processes that are under statistical control to attempt to shift performance levels to meet ever-stretching target levels set by the organization. Changes are through removing common causes of variation, or introducing new technology
10	Part 1: Why the FAA-iCMM Background Requirements Integrating beyond CMMs
11	Why integrate CMMs Prior to 1997, FAA pursued, separately, improvement of software engineering, systems engineering, and software acquisition processes Three single-discipline CMMs were being used in an isolated, uncoordinated way, with limited success with some exceptions, our processes were basically ad hoc and chaotic, and … not integrated Need for more effective process improvement (aligned across disciplines and life cycle phases, suited for integrated teams) Need for more efficient process improvement (separate CMMs inconsistent, separate appraisals costly, training inefficient)
12	iCMM Version 1.0 In 1997, FAA developed the world’s first major integrated CMM, the FAA-iCMM, v1.0 faithfully and robustly combines all features of 3 CMMs (SA-CMM, SE-CMM, SW-CMM) contains acquisition, engineering, management processes includes an appraisal method Version 1.0 released and service-marked in November 1997, and has been in use since June 97 Version 1.0 successfully deployed across much of the agency
13	iCMM Version 2.0 - Requirements Based on success and experience with iCMM v1.0, stakeholders proposed changes and enhancements Requirements for iCMM version 2.0: incorporate lessons learned from use of v1.0 retain currency with evolving models and standards extend improvement guidance across additional business and technical activities integrate additional improvement models and approaches 7 additional sources beyond original 3 CMMs Publication: iCMM v2.0 approval and publication – September 2001 Mapping Table Supplement – October 2001
14	Integrating Beyond CMMs Major sources integrated into iCMM v2.0: ISO 9001:2000 Quality Management Systems EIA/IS 731 Systems Engineering Capability Malcolm Baldrige National Quality Award/President’s Quality Award Criteria* CMM Integrated: CMMI-SE/SW/IPPD and CMMI-SE/SW/A ISO/IEC TR 15504* Software process assessment ISO/IEC 12207 Software life cycle processes ISO/IEC CD 15288* System Life Cycle Processes iCMM v1.0, containing SW-CMM, SA-CMM, and SE-CMM (* selected aspects of human resource management not in v2.0 scope)
15	Part 2: The FAA-iCMM Architecture (how the model is structured) Process Dimension (what we do) Capability Dimension (how well we do it) Staging and Maturity Levels (what to focus on next) Appraisal (knowing where we are) Generic Attributes (measuring effectiveness)
16	1. FAA-iCMM Architecture FAA-iCMM is structured to provide flexible guidance for pursuing process improvement. Process dimension (what we do) focuses on process performance and provides best practice guidance specific to performing management, life cycle, and support processes (including process improvement processes) process areas group together base practices related to achieving goals Capability dimension (how well we do it) focuses on process improvement and provides best practice that is generic and applies to improving any process capability levels group together generic practices related to achieving goals
17	Architecture Overview
18	Architecture: Continuous with Staging Continuous representation process and capability dimensions enable an organization to choose any processes, in any order, according to business objectives, and improve them continuously, to any capability level. Staging (ordering of process areas or practices) iCMM generic practices are staged into capability levels. iCMM process areas are staged or grouped into maturity levels to provide guidance regarding what to focus on next, if needed. iCMM architecture is called the“continuous with staging” representation
19	2. The Process Dimension (what we do)
20	The 23 Process Areas, by Category
21	Capability Dimension (how well we do it)
22	Capability Levels and Generic Practices Capability levels indicate increasing levels of ability to perform, control and improve processes provide a path to improve the ability of a process to achieve required goals (i.e., to improve process capability) each level represents a major enhancement in process capability Generic practices (GPs) relate to overall process management and institutionalization are staged and organized by capability level are additive and build on each other e.g. none of them “go away” as capability level increases
23	Capability Levels and Generic Practices - Summary
24	Relating Process and Capability
25	4. Staging and Maturity Levels (what to focus on next) The choice of improvement areas is always based on business objectives However, iCMM groups PAs and CLs into maturity levels to provide: Guidance for ordering or prioritizing PAs, if needed in general, PAs at one maturity level provide a foundation for PAs in a level that follows Summarized maturity “levels”, if needed for benchmarking with other models that define maturity levels (i.e., SA-CMM and CMMI) for summarizing a stage of process maturity
26	Maturity Level 2 The Managed: Planned and Tracked Level There are 9 PAs staged at maturity level 2 Management: Project Management; Supplier Agreement Management Life Cycle: Requirements; Evaluation; Deployment, Transition, and Disposal Support: Outsourcing; Quality Assurance and Management; Configuration Management; Measurement and Analysis Maturity level 2 means these 9 process areas have satisfied capability levels 1 and 2 according to an FAA-iCMM appraisal they may be higher than CL2 PAs that are “not applicable” do not detract from achieving ML2
27	Maturity Level 3 The Defined Level There are 11 process areas staged at maturity level 3 Management: Integrated Enterprise Management; Risk Management; Integrated Teaming Life Cycle: Needs; Design; Design Implementation; Integration Support: Alternatives Analysis; Process Definition; Process Improvement; Training Maturity Level 3 means: all level 2 process areas plus the above 11 process areas have satisfied capability levels 1, 2, and 3 according to an FAA-iCMM appraisal again, PAs that are not applicable do not detract from achieving ML3
28	Maturity Levels 4 and 5 and the Unstaged PAs Maturity Level 4: no PAs are staged at this level to achieve ML4, ML3 must be achieved, plus capability level 4 on selected PAs Maturity Level 5: PA 23 Innovation is staged at ML5 to achieve ML5, all staged PAs must achieve capability level 3, and capability level 5 must be achieved on selected PAs Two iCMM PAs are not staged: PA 10 Operation and Support; PA 17 Information Management their content is not included in any CMM benchmarks
29	5. Appraisal (knowing where we are) An appraisal is a comparison of an organization’s operations to a model or standard Appraisal purposes: Initiate - focus, motivate, direct, and/or launch improvement within an organization Baseline - determine current status compared to a reference model, baseline or rebaseline Track - track process improvement progress, confirm status Direct - identify strengths and weaknesses and areas needing improvement basis for action planning An appraisal may also identify/develop process assets
30	FAA-iCMM Appraisal Method (FAM) (continued) Appraisal types included in FAM: Full internal appraisal (formal, robust, method - comes up with official ratings) External appraisal (for external evaluation of FAA processes) Facilitated discussion (derives description of a compliant, improved process and an implementation plan) Document-intensive (examines process documents and work products) Questionnaire-based (based on managers’ and practitioners’ perceptions) Interview-based (uncovers major issues)
31	6. Generic Attributes (measuring process effectiveness) Generic Attributes (GAs) are: a new feature introduced in iCMM version 2 a way of measuring process performance results There are 2 GAs: Usefulness: the extent to which work products or services provide needed benefits in actual use Cost Effectiveness: the extent to which benefits received are worth the resources invested (determined by comparing usefulness to resource efficiency) A new appraisal variation to determine Generic Attributes will be piloted and described in next version of the FAM
32	Questions? This concludes Part 3: The FAA-iCMM Any questions on Architecture (continuous with staging) Process Dimension (what we do) Capability Dimension (how well we do it) Staging and Maturity Levels (what to focus on next) Appraisal (knowing where we are) Generic Attributes (measuring process effectiveness)
33	Part 3. Next Steps Transitioning to iCMM version 2.0 guidelines and FAQ sheets are available appraisals using iCMM v2.0 have already been performed, and more are scheduled Extension: next areas for inclusion in iCMM are safety and security (approved by CCB; will be pursued in collaboration with other agencies)
34	Next Steps (continued) Other organizations the iCMM is not specific to the FAA other organizations are using it outside organizations briefed FAA will use iCMM in contract monitoring
35	Questions? Any questions on Part 1: Why the FAA integrated process improvement models Part 2: Content and structure of the FAA-iCMM, version 2.0 Part 3: Next Steps
36	For more information, contact Dr. Linda Ibrahim Chief Engineer for Process Improvement Process Engineering Division (AIO-200) Tel: 202-267-7443 Fax: 202-267-5069 email: linda.ibrahim@faa.gov The FAA-iCMM^®, its Appraisal Method, and other related documents are available at: www.faa.gov/aio and www.faa.gov/ipg ® Capability Maturity Model and CMM are registered with the U.S. Patent and Trademark Office