For the FAA, Software Process Improvement is Not Enough

by Dr. Linda Ibrahim, Federal Aviation Administration

This paper describes the Federal Aviation Administration's(FAA) approach to integrated process improvement and illustrates what an organization might do if it decides that software process improvement is not enough.

Organizations like the FAA, seeking to improve the way they do business, frequently look to a variety of models and standards that provide guidance for improving parts of the enterprise. Capability Maturity Models® (CMMs®) have been a popular approach, especially in organizations whose activities include software engineering. But what about improving other core disciplines? Is software process improvement enough? If not, improvement initiatives directing separate implementation of multiple standards can cause confusion if the models overlap or are related, cross organizational or managerial lines, or are pursued in isolation without gaining the advantages of their use together.

This was the case in the FAA in 1996. At that time, three single-discipline CMMs were being used separately to guide process improvement: the CMM for Software [1], the Systems Engineering CMM [2], and the Software Acquisition CMM [3]. While some improvements were being made, the single-discipline CMMs were being used in an uncoordinated way and without much success. These CMMs have different architectures, goals, terminology, and appraisal methods; they entail considerable overlap; and none alone covers all FAA system life cycle activities. Thus improvement efforts were suboptimal and the goal of FAA-wide, full life cycle, cross discipline process improvement remained elusive. In addition, the FAA had moved to using integrated product teams and these teams needed processes and process improvement guidance that interrelated their disciplines.

Thus in 1997, the FAA developed an integrated CMM, the FAA Integrated Capability Maturity Model (FAA-iCMM) [4] to guide improvement of its software engineering, systems engineering, management, and acquisition processes in an integrated, effective, and efficient way. The FAA-iCMM is the first major integrated CMM, and has provided proof of concept that CMM integration works.

CMMs are repositories for best practices generally observed to be effective in government and industry. These best practices provide two types of guidance:

1. guidance for performing selected processes, and
2. guidance for improving process performance.

The single-discipline CMMs focus on best practice guidance for performing and improving processes in a single discipline such as software acquisition or systems engineering. The FAA-iCMM, by contrast, captures and integrates in a single model all principles and practices of the three single-discipline CMMs that FAA had been using separately: the CMMs for software, systems engineering, and software acquisition. The FAA-iCMM contains 23 process areas that integrate the 52 process areas and key process areas of its three source models. Each process area contains best practices integrated from the source models, and provides guidance for performing integrated processes. Best practice guidance for improving processes has also been integrated in the FAA-iCMM.

A single approach is applied across all processes, providing an integrated approach to process improvement. Capability levels are defined which provide a path for improving any process, and maturity levels group processes together to provide guidance on what to improve next. Thus, the FAA-iCMM helps an organization pursue integrated process improvement in two ways: by providing guidance for performing integrated processes, and guidance for improving those processes in an integrated way.

There are several dimensions that may characterize integrated processes such as those found in the FAA-iCMM. An integrated process may be multidisciplinary, requiring participation of experts from more than one functional area or discipline. Examples include a requirements engineering process for a software-intensive system involving systems engineers and software engineers; an acquisition management process involving acquisition program managers and technical project managers; an outsourcing process involving procurement and legal experts, plus engineers. An integrated process may cross life cycle phases, for example, a transition process spanning development and maintenance, or a customer communication process performed during all life cycle phases. An integrated process may support multiple disciplines. Examples include: a configuration management process that manages work products and baselines for systems, hardware, software, contracts, internal documentation, etc.; a human resource process that develops skills of practitioners in several disciplines; a quality assurance process that pertains to any processes and products. Lastly, an integrated process may cross an organization in several ways, for example, strategic planning, across an enterprise, or management applied to an enterprise, a division, a program, a project, or a task.

In the FAA-iCMM, process capability levels and generic process improvement practices are integrated to provide a common approach to the improvement of any process. The same terminology is used, and organizational process improvement goals can be expressed in a common way across all disciplines by reference to the integrated model. Process capability is measured by consistently applied appraisals using the FAA-iCMM Appraisal Method [5], which integrates several appraisal methods and variations.

Initial Deployment

The FAA-iCMM rapidly became the single framework for CMM based improvement in the FAA. In 1997, the Associate Administrator for Research and Acquisition (ARA) targeted selected major acquisition programs to achieve maturity level 2 on the FAA-iCMM by December 1999. Soon several additional programs and organizations across the FAA life cycle began applying the FAA-iCMM, including FAA's System Requirements Service organization. In 1999, ARA and the Associate Administrator for Air Traffic Services (ATS) committed to a common FAA-iCMM based process improvement goal to realize high quality solutions to Agency and user needs, predictable cost and schedule, and increasing productivity. FAA's operational support organization committed its engineering programs to FAA-iCMM based process improvement, and the Office of Independent Test and Evaluation adopted the FAA-iCMM.

Some Results

In 1999, the FAA Technical Center achieved its goal of capability level 2 in four FAA-iCMM process areas. Then in early 2000, an extensive full life cycle appraisal determined that several major FAA acquisition and engineering programs have achieved FAA-iCMM maturity level 2. In addition, capability level 2 in several process areas was uniformly achieved in programs appraised across the FAA life cycle. Early anecdotal data indicate that FAA-iCMM based improvement efforts have led to: better predictability, improved communication, improved teamwork, increased quality, greater consistency, cost savings, cost reductions, time savings, clarity of roles and responsibilities and processes, a more streamlined work effort, easier training of new hires, and more appreciation and attention to the roles of different disciplines and processes. First cost-benefit analyses have convinced the Agency that integrated process improvement provides value. More formalized quantitative measures are being established.

Next Steps

The FAA is continuing to deploy the FAA-iCMM across more and more programs and organizations in the agency. In addition, the FAA is -evolving the FAA-iCMM in two ways:

1. upgrading current content to retain currency and include lessons learned from initial use, and

2. enhancing the model to include additional disciplines. The vision for the FAA-iCMM is that it is the model that provides guidance for enterprise- wide process improvement, integrating and relating and containing in one model current best practice guidance found in the most widely utilized and recognized models and standards adopted by government and industry, as applicable to the business of the FAA.

   Is Software Process Improvement Enough for You?

   Consider a few questions about software. What percentage of your organization's processes are software processes? What other processes affect software and your success in software projects? What if software processes are improved and others aren't? Do other processes need improvement? Consider whether integrated process improvement across your organization makes sense. Do you perform integrated processes? Do you have integrated teams? Are your improvement efforts supporting enterprise-wide needs efficiently and effectively?

   If you decide to pursue integrated process improvement, it's not easy! Be prepared to face and resolve cross-organizational issues, establish an integrated process improvement infrastructure, and commit the energy and resources necessary to make it happen. At the FAA, the factors most critical in launching and sustaining integrated process improvement have been the adoption of the FAA-iCMM to guide integrated process improvement, and performance goals tied to integrated process improvement to make sure it happens. (For more information on FAA's experiences in integrated process improvement, refer to [6] and [7].)

   Lastly, the FAA-iCMM is not specific to the FAA and can be used by any organization that seeks to improve engineering, management, and acquisition in an integrated way. For example, enterprise-wide process improvement efforts have been piloted at Warner Robins Air Logistic Center using the FAA-iCMM, and the National Imagery and Mapping Agency (NIMA) is pursuing integrated process improvement using the FAA-iCMM. The FAA has offered FAA-iCMM training to external organizations on numerous occasions.

   Summary and Conclusions

   The FAA replaced three separate CMMs with the FAA-iCMM, containing all features of its source CMMs, and is successfully applying the FAA-iCMM to achieve integrated process improvement. Take a look at your organization, and consider whether integrated process improvement makes sense. If you find it does, then, like the FAA, software process improvement may not be enough for you either.

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   Additional Resources:

   The FAA Process Improvement (FAA-iCMM) Web page. (www.faa.gov/aio/ProcessEngr/iCMM/index.htm) contains further details on FAA iCMM version 1.0 including the FAA iCMM Appraisal Method version 1.0 in PF Wros and HTML.

   Biography

   Dr. Linda Ibrahim joined the FAA in 1996. She is the FAA Chief Engineer for Process Improvement. She formulated the concept and led the development and implementation of the FAA's integrated Capability Maturity Model and its appraisal method. Linda received the Meritorious Achievement Award of the US Secretary of Transportation for her innovative work in CMM integration.

   Linda has been working in software engineering for over 30 years, as practitioner, educator, and researcher; in government, industry, academic, and applied research environments; in the US, Europe, and the Middle East. She is a member of the Steering Group for the DoD/NDIA sponsored CMM Integration (CMMI) project.

   Linda holds a BA in Mathematics, MS in Information Science, and Ph.D. in Electrical Engineering. She is a member of INCOSE, ACM, and IEEE.

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   Author Contact Information Dr. Linda Ibrahim Chief Engineer for Process Improvement Federal Aviation Administration 800 Independence Ave, SW Washington, DC 20591 (202) 267-9878 [email protected]

   
   
   "CMM and Capability Maturity Model are registered in the U.S. Patent and Trademark Office.

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