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Mary Beth Chrissis, Mike Konrad, Sandra ptg Process Areas by Category Process Management OPD Organizational Process Definition OPF Organizational Process Focus OPM Organizational Performance Management OPP Organizational Process Performance OT Organizational Training Project Management IPM Integrated Project Management PMC Project Monitoring and Control PP Project Planning QPM Quantitative Project Management REQM Requirements Management RSKM Risk Management SAM Supplier Agreement Management Engineering PI Product Integration RD Requirements Development TS Technical Solution ptg VAL Validation VER Verification Support CAR Causal Analysis and Resolution CM Configuration Management DAR Decision Analysis and Resolution MA Measurement and Analysis PPQA Process and Product Quality Assurance Generic Goals and Practices GG1 Achieve Specific Goals GP 1.1 Perform Specific Practices GG2 Institutionalize a Managed Process GP2.1 Establish an Organizational Policy GP 2.2 Plan the Process GP 2.3 Provide Resources GP 2.4 Assign Responsibility GP 2.5 Train People GP 2.6 Control Work Products GP 2.7 Identify and Involve Relevant Stakeholders GP 2.8 Monitor and Control the Process GP 2.9 Objectively Evaluate Adherence GP 2.10 Review Status with Higher Level Management GG3 Institutionalize a Defined Process GP 3.1 Establish a Defined Process GP 3.2 Collect Process Related Experiences ptg CMMI® for Development Third Edition ptg Wow! eBook <WoweBook.Com> The SEI Series in Software Engineering Visit informit.com/sei for a complete list of available products. ptg he SEI Series in Software Engineering represents is a collaborative Tundertaking of the Carnegie Mellon Software Engineering Institute (SEI) and Addison-Wesley to develop and publish books on software engineering and related topics. The common goal of the SEI and Addison-Wesley is to provide the most current information on these topics in a form that is easily usable by practitioners and students. Books in the series describe frameworks, tools, methods, and technologies designed to help organizations, teams, and individuals improve their technical or management capabilities. Some books describe processes and practices for developing higher-quality software, acquiring programs for complex systems, or delivering services more effectively. Other books focus on software and system architecture and product-line development. Still others, from the SEI’s CERT Program, describe technologies and practices needed to manage software and network security risk. These and all books in the series address critical problems in software engineering for which practical solutions are available. Wow! eBook <WoweBook.Com> CMMI® for Development Guidelines for Process Integration and Product Improvement Third Edition ptg Mary Beth Chrissis Mike Konrad Sandy Shrum Upper Saddle River, NJ • Boston• Indianapolis • San Francisco New York • Toronto • Montreal • London • Munich • Paris • Madrid Capetown • Sydney • Tokyo • Singapore • Mexico City Wow! eBook <WoweBook.Com> The SEI Series in Software Engineering Many of the designations used by manufacturers and sellers to distinguish their products are claimed as trademarks. Where those designations appear in this book, and the publisher was aware of a trademark claim, the designations have been printed with ini- tial capital letters or in all capitals. CMM, CMMI, Capability Maturity Model, Capability Maturity Modeling, Carnegie Mellon, CERT, and CERT Coordination Center are registered in the U.S. Patent and Trademark Office by Carnegie Mellon University. ATAM; Architecture Tradeoff Analysis Method; CMM Integration; COTS Usage-Risk Evaluation; CURE; EPIC; Evolutionary Process for Integrating COTS Based Systems; Framework for Software Product Line Practice; IDEAL; Interim Profile; OAR; OCTAVE; Operationally Critical Threat, Asset, and Vulnerability Evaluation; Options Analysis for Reengineering; Personal Soft- ware Process; PLTP; Product Line Technical Probe; PSP; SCAMPI; SCAMPI Lead Appraiser; SCAMPI Lead Assessor; SCE; SEI; SEPG; Team Software Process; and TSP are service marks of Carnegie Mellon University. Special permission to reproduce portions of CMMI for Development (CMU/SEI-2010-TR-035), © 2010 by Carnegie Mellon University, has been granted by the Software Engineering Institute. The authors and publisher have taken care in the preparation of this book, but make no expressed or implied warranty of any kind and assume no responsibility for errors or omissions. No liability is assumed for incidental or consequential damages in connection with or arising out of the use of the information or programs contained herein. The publisher offers excellent discounts on this book when ordered in quantity for bulk purchases or special sales, which may include electronic versions and/or custom covers and content particular to your business, training goals, marketing focus, and branding interests. For more information, please contact: U.S. Corporate and Government Sales (800) 382-3419 [email protected] For sales outside the United States, please contact: International Sales ptg [email protected] Visit us on the Web: informit.com/aw Library of Congress Cataloging-in-Publication Data Chrissis, Mary Beth. CMMI for development : guidelines for process integration and product improvement / Mary Beth Chrissis, Mike Konrad, Sandy Shrum.—3rd ed. p. cm. Includes bibliographical references and index. ISBN 978-0-321-71150-2 (hardcover : alk. paper) 1. Capability maturity model (Computer software) 2. Software engineering. 3. Production engineering. 4. Manufacturing processes. I. Konrad, Mike. II. Shrum, Sandy. III. Title. QA76.758.C518 2011 005.1—dc22 2010049515 Copyright © 2011 Pearson Education, Inc. All rights reserved. Printed in the United States of America. This publication is protected by copyright, and permission must be obtained from the publisher prior to any prohibited reproduction, storage in a retrieval system, or transmission in any form or by any means, electronic, mechanical, photocopying, recording, or likewise. For information regarding permissions, write to: Pearson Education, Inc. Rights and Contracts Department 501 Boylston Street, Suite 900 Boston, MA 02116 Fax: (617) 671-3447 ISBN-13: 978-0-321-71150-2 ISBN-10: 0-321-71150-5 Text printed in the United States on recycled paper at Courier in Westford, Massachusetts. First printing, March 2011 Wow! eBook <WoweBook.Com> ptg This book is dedicated to Watts Humphrey, in appreciation for all he accomplished as a leader, visionary, and teacher. You only needed to be in a room with Watts Humphrey a short time to real- ize what a special person he was. Watts’ leadership, vision, and insights helped many over his lifetime. He was a student of learn- ing and he shared that quest for learning with everyone with whom he came into contact. He had a vision that he shared with the world and the world became a better place. CMMI would not have been possible without Watts Humphrey. May he continue to inspire us for years to come. Wow! eBook <WoweBook.Com> This page intentionally left blank ptg Wow! eBook <WoweBook.Com> CONTENTS LIST OF PERSPECTIVES xiii PREFACE xv ptg BOOK ACKNOWLEDGMENTS xxi PART ONE—ABOUT CMMI FOR DEVELOPMENT 1 1 INTRODUCTION 3 About Process Improvement 4 About Capability Maturity Models 9 Evolution of CMMI 10 CMMI Framework 14 CMMI for Development 18 2 PROCESS AREA COMPONENTS 19 Core Process Areas and CMMI Models 19 Required, Expected, and Informative Components 19 Required Components 19 Expected Components 20 Informative Components 20 vii Wow! eBook <WoweBook.Com> viii Contents Components Associated with Part Two 20 Process Areas 20 Purpose Statements 22 Introductory Notes 22 Related Process Areas 22 Specific Goals 22 Generic Goals 23 Specific Goal and Practice Summaries 23 Specific Practices 23 Example Work Products 24 Subpractices 24 Generic Practices 24 Generic Practice Elaborations 25 Additions 25 Supporting Informative Components 25 Notes 25 Examples 25 References 26 Numbering Scheme 26 ptg Typographical Conventions 27 3 TYING IT ALL TOGETHER 31 Understanding Levels 31 Structures of the Continuous and Staged Representations 32 Understanding Capability Levels 34 Capability Level 0: Incomplete 35 Capability Level 1: Performed 35 Capability Level 2: Managed 35 Capability Level 3: Defined 35 Advancing Through Capability Levels 36 Understanding Maturity Levels 41 Maturity Level 1: Initial 42 Maturity Level 2: Managed 42 Maturity Level 3: Defined 43 Maturity Level 4: Quantitatively Managed 43 Maturity Level 5: Optimizing 44 Advancing Through Maturity Levels 45 Wow! eBook <WoweBook.Com> Contents ix Process Areas 46 Equivalent Staging 49 Achieving High Maturity 52 4 RELATIONSHIPS AMONG PROCESS AREAS 59 Process Management 60 Basic Process Management Process Areas 60 Advanced Process Management Process Areas 62 Project Management 64 Basic Project Management Process Areas 64 Advanced Project Management Process Areas 66 Engineering 68 Recursion and Iteration of Engineering Processes 74 Support 77 Basic Support Process Areas 78 Advanced Support Process Areas 79 5 USING CMMI MODELS 85 ptg Adopting CMMI 90 Your Process Improvement Program 94 Selections that Influence Your Program 98 CMMI Models 99 Interpreting CMMI When Using Agile Approaches 100 Using CMMI Appraisals 104 Appraisal Requirements for CMMI 105 SCAMPI Appraisal Methods 105 Appraisal Considerations 106 CMMI Related Training 107 6 ESSAYS AND CASE STUDIES 113 Case Studies 113 Essays 137 Wow! eBook <WoweBook.Com> x Contents PART TWO—GENERIC GOALS AND GENERIC PRACTICES, AND THE PROCESS
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