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 for Softwareâ has led to increased development of similar models in disciplines other than software. The resulting adoption of multiple 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 US 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 the year 2000, after extensive stakeholder review and piloting, the first official CMMI products were released. The models provide the user a choice of single or integrated disciplines and a choice of a staged or continuous representation. There is a wealth of engineering and process improvement information in the models including clear goals and extensive guidance on the best practices to achieve them. Most importantly, there is a well-defined framework by which additional disciplines may be brought into the product suite so that the development of incompatible models can be minimized in the future.

The book has a three-fold 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 will present a new set of tools developed by the CMMI project specifically designed for multi-discipline process improvement. Finally, we will provide practical guidance in the selection and use of those tools. The guidance is based on lessons learned from organizations who have adopted integrated process improvement, as well as the knowledge and experience gained from the hundreds of professionals involved in the development of the CMMI product suite.

The book is intended for 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 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 impact of process improvement on their responsibilities and the cross-discipline nature of their environments. Process improvement champions will find the means to enlarge their base of support and focus their efforts in a way that increases the chances of adoption and success. And finally, those 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, the book will be of special interest to system developers and systems integrators who supply the United States government. The US government has participated in the CMMI development work, thereby supporting the efforts of its suppliers (both external and internal) to improve process performance. In October of 1999, the US 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). More recently, it has indicated its intention to have CMMI-SE/SW identified as an equivalent evaluation tool. With the considerable interest at all levels in adding the acquisition discipline to CMMI, the authors feel that the application of CMMI to improving government system acquisition organizations is likely as well.

The book is divided into four major parts.

The first part introduces integrated process improvement and provides rationale for such an approach. This material is both a primer for the novice and ammunition to gain management support for the process improvement champion. There is general guidance as well as specific hints on implementation, including pointers to support the migration from legacy process improvement activities and accomplishments. This part also provides case studies and lessons learned from the pioneering organizations that have literally blazed the trail toward integrated process improvement. We should note that if you wished to start your reading with the details of CMMI, you could save this first part for review at a later time.

The second part 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 section also includes much of the rationale for specific CMMI decisions and help in navigating the rather daunting CMMI models.

The third part builds on the other two and offers the authors' practical guidance in the use of the CMMI products. It suggests heuristics on how to choose models and representations appropriate for a specific organization. It also describes CMMI assessments and how to tailor the CMMI products to fit an organization and enhance the probability of success in applying CMMI.

The fourth part presents some thoughts from the authors on the possible future of CMMI. These informed speculations represent 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. We provide 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 website (sei.cmu/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, Appendix A presents a concise summary of CMMI/SW/SE content in both continuous and staged representations.

The CMMI project is an ongoing effort, and 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 publishers have agreed to support this volume with updates through their website (awl) 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 we describe the products and positions of the nearly 100 other experienced practitioners and researchers that made up that team. However, there are places where we as authors of the book express our own opinions. In those cases where what we say may not reflect the consensus of the team, we have specifically 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 hope that you will obtain a clearer understanding of the practice and benefits of integrated process improvement based on CMMI products, and that through the information in this book, we help make your process improvement initiatives successful.