ptg 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 Te c h ni c a l S o l u t i o n 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 ptg 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 Tra in Peo pl e 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 Wow! eBook <WoweBook.Com> ptg T he SEI Series in Software Engineering represents is a collaborative undertaking 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. Visit informit.com/sei for a complete list of available products. The SEI Series in Software Engineering Wow! eBook <WoweBook.Com> ptg CMMI® for Development Guidelines for Process Integration and Product Improvement Third Edition 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> ptg 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; Arc hit ect u re Tra deo ff An alys is M e tho d; CMM Inte g rat ion ; CO TS U sage - Ris k E valu atio n ; C URE ; EP IC; Evol u tio nar y 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 corpsales@pearsontechgroup.com For sales outside the United States, please contact: International Sales international@pearsoned.com 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 Te xt pr in t ed in t h e Un i te d S ta t es o n r ec y c le d p a p er at C ou r ie r in We s tf o rd , M a ss ac h us et t s. 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> ptg This page intentionally left blank Wow! eBook <WoweBook.Com> ptg CONTENTS LIST OF PERSPECTIVES xiii PREFACE xv 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> [...]... Performance Management, and Organizational Process Performance) For a more complete and detailed list of improvements, see http://www.sei.cmu.edu /cmmi/ tools/cmmiv1-3/ Additional Information and Reader Feedback Many sources of information about CMMI are listed in Appendix A and are also published on the CMMI website—http://www.sei.cmu.edu/ cmmi/ Your suggestions for improving CMMI are welcome For information... the CMMI V1.3 Architecture and Framework.1 CMMI- DEV is based on the CMMI Model Foundation or CMF (i.e., model components common 1 The CMMI Framework is the basic structure that organizes CMMI components and combines them into CMMI constellations and models xv Wow! eBook xvi Preface to all CMMI models and constellations2) and incorporates work by development organizations to adapt CMMI for. .. Glossary Part One: About CMMI for Development, consists of five chapters: • Chapter 1, Introduction, offers a broad view of CMMI and the CMMI for Development constellation, concepts of process improvement, and the history of models used for process improvement and different process improvement approaches • Chapter 2, Process Area Components, describes all of the components of the CMMI for Development process... model, called CMMI for Development (CMMI- DEV), provides a comprehensive integrated set of guidelines for developing products and services Purpose The CMMI- DEV model provides guidance for applying CMMI best practices in a development organization Best practices in the model focus on activities for developing quality products and services to meet the needs of customers and end users The CMMI- DEV V1.3... Familiar with CMMI If you have reviewed or used a CMMI model before, you will quickly recognize the CMMI concepts discussed and the best practices presented As always, the improvements that the CMMI Product Team made to CMMI for the V1.3 release were driven by user input Change requests were carefully considered, analyzed, and implemented Some significant improvements you can expect in CMMI- DEV V1.3... Basic Support Process Areas Advanced Support Process Areas 5 USING CMMI MODELS 79 85 Adopting CMMI Your Process Improvement Program Selections that Influence Your Program CMMI Models Interpreting CMMI When Using Agile Approaches Using CMMI Appraisals Appraisal Requirements for CMMI SCAMPI Appraisal Methods Appraisal Considerations CMMI Related Training 6 90 94 98 99 100 104 105 105 106 107 ESSAYS AND... audience for CMMI- DEV includes anyone interested in process improvement in a development environment Whether you are familiar with the concept of Capability Maturity Models or are seeking information to begin improving your development processes, CMMI- DEV 2 A constellation is a collection of CMMI components that are used to construct models, training materials, and appraisal related documents for an... information on how to provide feedback, see the CMMI website at http://www.sei.cmu.edu /cmmi/ tools/cr/ If you have questions about CMMI, send email to cmmi- comments@sei.cmu.edu Wow! eBook BOOK ACKNOWLEDGMENTS This book wouldn’t be possible without the support of the CMMI user community and the work of a multitude of dedicated people working together on CMMI- based process improvement Ultimately,... Ultimately, without the work of those involved in the CMMI project since it began in 1998, this book would not exist We would like to specially thank our many CMMI partners who help organizations apply CMMI practices The complete CMMI- DEV model is contained in the book, which was created based on more than one thousand change requests submitted by CMMI users The CMMI Product Team, which included members from... that most organizations are facing By focusing on improving one area of a business, these models have unfortunately perpetuated the stovepipes and barriers that exist in organizations CMMI for Development (CMMI- DEV) provides an opportunity to avoid or eliminate these stovepipes and barriers CMMI for Development consists of best practices that address development activities applied to products and services . 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. called CMMI for Development (CMMI- DEV), pro- vides a comprehensive integrated set of guidelines for developing products and services. Purpose The CMMI- DEV