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CMMI for Development, Version 1.3CMMI-DEV, V1.3CMMI Product TeamImproving processes for developing better products and servicesNovember 2010TECHNICAL REPORTCMU/SEI-2010-TR-033ESC-TR-2010-033Software Engineering Process Management ProgramUnlimited distribution subject to the copyright.This report was prepared for theSEI Administrative AgentESC/XPK5 Eglin StreetHanscom AFB, MA 01731-2100The ideas and findings in this report should not be construed as an official DoD position. It is published in the interest of scientific and technical information exchange.This work is sponsored by the U.S. Department of Defense. The Software Engineering Institute is a federally funded research and development center sponsored by the U.S. Department of Defense.Copyright 2010 Carnegie Mellon University.NO WARRANTYTHIS CARNEGIE MELLON UNIVERSITY AND SOFTWARE ENGINEERING INSTITUTE MATERIAL IS FURNISHED ON AN “AS-IS” BASIS. CARNEGIE MELLON UNIVERSITY MAKES NO WARRANTIES OF ANY KIND, EITHER EXPRESSED OR IMPLIED, AS TO ANY MATTER INCLUDING, BUT NOT LIMITED TO, WARRANTY OF FITNESS FOR PURPOSE OR MERCHANTABILITY, EXCLUSIVITY, OR RESULTS OBTAINED FROM USE OF THE MATERIAL. CARNEGIE MELLON UNIVERSITY DOES NOT MAKE ANY WARRANTY OF ANY KIND WITH RESPECT TO FREEDOM FROM PATENT, TRADEMARK, OR COPYRIGHT INFRINGEMENT.Use of any trademarks in this report is not intended in any way to infringe on the rights of the trademark holder.Internal use. Permission to reproduce this document and to prepare derivative works from this document for internal use is granted, provided the copyright and “No Warranty” statements are included with all reproductions and derivative works.External use. This document may be reproduced in its entirety, without modification, and freely distributed in written or electronic form without requesting formal permission. Permission is required for any other external and/or commercial use. Requests for permission should be directed to the Software Engineering Institute at .This work was created in the performance of Federal Government Contract Number FA8721-05-C-0003 with Carnegie Mellon University for the operation of the Software Engineering Institute, a federally funded research and development center. The Government of the United States has a royalty-free government-purpose license to use, duplicate, or disclose the work, in whole or in part and in any manner, and to have or permit others to do so, for government purposes pursuant to the copyright license under the clause at 252.227-7013.For information about SEI publications, please visit the library on the SEI website (/library).The following service marks and registered marks are used in this document:Capability Maturity ModelCarnegie Mellon CERT CMM CMMI CMM Integration IDEALSM SCAMPISMCMMI, CMM, CERT, CMM Integration, Carnegie Mellon, and Capability Maturity Model are registered in the U.S. Patent and Trademark Office.SCAMPI and IDEAL are service marks of Carnegie Mellon University.CMMI for Development, Version 1.3PrefaceCMMI (Capability Maturity Model Integration) models are collections of best practices that help organizations to improve their processes. These models are developed by product teams with members from industry, government, and the Software Engineering Institute (SEI).This model, called CMMI for Development (CMMI-DEV), provides a comprehensive integrated set of guidelines for developing products and services.PurposeThe 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 model is a collection of development best practices from government and industry that is generated from the CMMI V1.3 Architecture and Framework. The CMMI Framework is the basic structure that organizes CMMI components and combines them into CMMI constellations and models. CMMI-DEV is based on the CMMI Model Foundation or CMF (i.e., model components common to all CMMI models and constellations A constellation is a collection of CMMI components that are used to construct models, training materials, and appraisal related documents for an area of interest (e.g., development, acquisition, services).) and incorporates work by development organizations to adapt CMMI for use in the development of products and services.AcknowledgmentsMany talented people were involved in the development of the V1.3 CMMI Product Suite. Three primary groups were the CMMI Steering Group, Product Team, and Configuration Control Board (CCB).The Steering Group guided and approved the plans of the Product Team, provided consultation on significant CMMI project issues, and ensured involvement from a variety of interested communities.The Steering Group oversaw the development of the Development constellation recognizing the importance of providing best practices to development organizations.The Product Team wrote, reviewed, revised, discussed, and agreed on the structure and technical content of the CMMI Product Suite, including the framework, models, training, and appraisal materials. Development activities were based on multiple inputs. These inputs included an A-Specification and guidance specific to each release provided by the Steering Group, source models, change requests received from the user community, and input received from pilots and other stakeholders.The CCB is the official mechanism for controlling changes to CMMI models, appraisal related documents, and Introduction to CMMI training. As such, this group ensures integrity over the life of the product suite by reviewing all proposed changes to the baseline and approving only those changes that satisfy identified issues and meet criteria for the upcoming release.Members of the groups involved in developing CMMI-DEV, V1.3 are listed in Appendix C.AudienceThe 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 will be useful to you. This model is also intended for organizations that want to use a reference model for an appraisal of their development related processes.An appraisal is an examination of one or more processes by a trained team of professionals using a reference model (e.g., CMMI-DEV) as the basis for determining strengths and weaknesses.Organization of this DocumentThis document is organized into three main parts: Part One: About CMMI for Development Part Two: Generic Goals and Generic Practices, and the Process Areas Part Three: The Appendices and GlossaryPart 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 areas. A process area is a cluster of related practices in an area that, when implemented collectively, satisfies a set of goals considered important for making improvement in that area. This concept is covered in detail in Chapter 2. Chapter 3, Tying It All Together, assembles the model components and explains the concepts of maturity levels and capability levels. Chapter 4, Relationships Among Process Areas, provides insight into the meaning and interactions among the CMMI-DEV process areas. Chapter 5, Using CMMI Models, describes paths to adoption and the use of CMMI for process improvement and benchmarking of practices in a development organization.Part Two: Generic Goals and Generic Practices, and the Process Areas, contains all of this CMMI models required and expected components. It also contains related informative components, including subpractices, notes, examples, and example work products.Part Two contains 23 sections. The first section contains the generic goals and practices. The remaining 22 sections each represent one of the CMMI-DEV process areas.To make these process areas easy to find, they are organized alphabetically by process area acronym. Each section contains descriptions of goals, best practices, and examples.Part Three: The Appendices and Glossary, consists of four sections: Appendix A: References, contains references you can use to locate documented sources of information such as reports, process improvement models, industry standards, and books that are related to CMMI-DEV. Appendix B: Acronyms, defines the acronyms used in the model. Appendix C: CMMI Version 1.3 Project Participants contains lists of team members who participated in the development of CMMI-DEV, V1.3. Appendix D: Glossary, defines many of the terms used in CMMI-DEV.How to Use this DocumentWhether you are new to process improvement, new to CMMI, or already familiar with CMMI, Part One can help you understand why CMMI-DEV is the model to use for improving your development processes.Readers New to Process ImprovementIf you are new to process improvement or new to the Capability Maturity Model (CMM) concept, we suggest that you read Chapter 1 first. Chapter 1 contains an overview of process improvement that explains what CMMI is all about.Next, skim Part Two, including generic goals and practices and specific goals and practices, to get a feel for the scope of the best practices contained in the model. Pay close attention to the purpose and introductory notes at the beginning of each process area.In Part Three, look through the references in Appendix A and select additional sources you think would be beneficial to read before moving forward with using CMMI-DEV. Read through the acronyms and glossary to become familiar with the language of CMMI. Then, go back and read the details of Part Two.Readers Experienced with Process ImprovementIf you are new to CMMI but have experience with other process improvement models, such as the Software CMM or the Systems Engineering Capability Model (i.e., EIA 731), you will immediately recognize many similarities in their structure and content EIA 2002a.We recommend that you read Part One to understand how CMMI is different from other process improvement models. If you have experience with other models, you may want to select which sections to read first. Read Part Two with an eye for best practices you recognize from the models that you have already used. By identifying familiar material, you will gain an understanding of what is new, what has been carried over, and what is familiar from the models you already know.Next, review the glossary to understand how some terminology can differ from that used in the process improvement models you know. Many concepts are repeated, but they may be called something different.Readers Familiar with CMMIIf 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 include the following: High maturity process areas are significantly improved to reflect industry best practices, including a new specific goal and several new specific practices in the process area that was renamed from Organizational Innovation and Deployment (OID) to Organizational Performance Management (OPM). Improvements were made to the model architecture that simplify the use of multiple models. Informative material was improved, including revising the engineering practices to reflect industry best practice and adding guidance for organizations that use Agile methods. Glossary definitions and model terminology were improved to enhance the clarity, accuracy, and usability of the model. Level 4 and 5 generic goals and practices were eliminated as well as capability levels 4 and 5 to appropriately focus high maturity on the achievement of business objectives, which is accomplished by applying capability level 1-3 to the high maturity process areas (Causal Analysis and Resolution, Quantitative Project Management, Organizational Performance Management, and Organizational Process Performance).For a more complete and detailed list of improvements, see /cmmi/tools/cmmiv1-3/.Additional Information and Reader FeedbackMany sources of information about CMMI are listed in Appendix A and are also published on the CMMI website/cmmi/.Your suggestions for improving CMMI are welcome. For information on how to provide feedback, see the CMMI website at /cmmi/tools/cr/. If you have questions about CMMI, send email to . vPrefaceTable of ContentsPrefaceiiPurposeiAcknowledgmentsiAudienceiiOrganization of this DocumentiiHow to Use this DocumentiiiReaders New to Process ImprovementiiiReaders Experienced with Process ImprovementivReaders Familiar with CMMIivAdditional Information and Reader FeedbackvPart One: About CMMI for Development11Introduction3About Process Improvement4About Capability Maturity Models5Evolution of CMMI5CMMI Framework7CMMI for Development72Process Area Components9Core Process Areas and CMMI Models9Required, Expected, and Informative Components9Required Components9Expected Components9Informative Components10Components Associated with Part Two10Process Areas11Purpose Statements11Introductory Notes11Related Process Areas12Specific Goals12Generic Goals12Specific Goal and Practice Summaries12Specific Practices13Example Work Products13Subpractices13Generic Practices13Generic Practice Elaborations14Additions14Supporting Informative Components14Notes14Examples14References15Numbering Scheme15Typographical Conventions163Tying It All Together21Understanding Levels21Structures of the Continuous and Staged Representations22Understanding Capability Levels24Capability Level 0: Incomplete24Capability Level 1: Performed24Capability Level 2: Managed25Capability Level 3: Defined25Advancing Through Capability Levels25Understanding Maturity Levels26Maturity Level 1: Initial27Maturity Level 2: Managed27Maturity Level 3: Defined28Maturity Level 4: Quantitatively Managed28Maturity Level 5: Optimizing29Advancing Through Maturity Levels29Process Areas30Equivalent Staging34Achieving High Maturity374Relationships Among Process Areas39Process Management39Basic Process Management Process Areas40Advanced Process Management Process Areas41Project Management43Basic Project Management Process Areas43Advanced Project Management Process Areas45Engineering47Recursion and Iteration of Engineering Processes50Support50Basic Support Process Areas51Advanced Support Process Areas525Using CMMI Models55Adopting CMMI55Your Process Improvement Program56Selections that Influence Your Program56CMMI Models57Interpreting CMMI When Using Agile Approaches58Using CMMI Appraisals59Appraisal Requirements for CMMI59SCAMPI Appraisal Methods59Appraisal Considerations60CMMI Related Training61Part Two: Generic Goals and Generic Practices, and the Process Areas63Generic Goals and Generic Practices65Overview65Process Institutionalization65Performed Process65Managed Process66Defined Process66Relationships Among Processes67Generic Goals and Generic Practices68Applying Generic Practices120Process Areas that Support Generic Practices121Causal Analysis and Resolution127Configuration Management137Decision Analysis and Resolution149Integrated Project Management157Measurement and Analysis175Organizational Process Definition191Organizational Process Focus203Organizational Performance Management217Organizational Process Performance235Organizational Training247Product Integration257Project Monitoring and Control271Project Planning281Process and Product Quality Assurance301Quantitative Project Management307Requirements Development325Requirements Management341Risk Management349Supplier Agreement Management363Technical Solution373Validation393Verification401Part Three: The Appendices413Appendix A: References415Information Assurance/Information Security Related Sources419Appendix B: Acronyms421Appendix C: CMMI Version 1.3 Project Participants425CMMI Steering Group425Steering Group Members425Ex-Officio Steering Group Members426Steering Group Support426CMMI for Services Advisory Group426CMMI V1.3 Coordination Team427CMMI V1.3 Configuration Control Board427CMMI V1.3 Core Model Team428CMMI V1.3 Translation Team428CMMI V1.3 High Maturity Team429CMMI V1.3 Acquisition Mini Team429CMMI V1.3 Services Mini Team429CMMI V1.3 SCAMPI Upgrade Team430CMMI Version 1.3 Training Teams430ACQ and DEV Training Team430SVC Training Team431CMMI V1.3 Quality Team431Appendix D: Glossary433Table of ContentsixPart One:About CMMI for Development11 IntroductionNow more than ever, companies want to deliver products and services better, faster, and cheaper. At the same time, in the high-technology environment of the twenty-first century, nearly all organizations have found themselves building increasingly complex products and services. It is unu