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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
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Generic Goals and Practices

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
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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
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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.

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
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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.
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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
Ty po gra phic al Co nv en t io ns 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
viii Contents

Essays 137
Contents ix
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PART TWO—GENERIC GOALS AND GENERIC PRACTICES,
AND THE PROCESS AREAS 163
GENERIC GOALS AND GENERIC PRACTICES 165
CAUSAL ANALYSIS AND RESOLUTION 233
CONFIGURATION MANAGEMENT 243
DECISION ANALYSIS AND RESOLUTION 257
INTEGRATED PROJECT MANAGEMENT 267
MEASUREMENT AND ANALYSIS 287
ORGANIZATIONAL PROCESS DEFINITION 303
ORGANIZATIONAL PROCESS FOCUS 317
ORGANIZATIONAL PERFORMANCE MANAGEMENT 331
ORGANIZATIONAL PROCESS PERFORMANCE 351
ORGANIZATIONAL TRAINING 365
PRODUCT INTEGRATION 377
PROJECT MONITORING AND CONTROL 393
PROJECT PLANNING 403
PROCESS AND PRODUCT QUALITY ASSURANCE 425
QUANTITATIVE PROJECT MANAGEMENT 433
REQUIREMENTS DEVELOPMENT 455
REQUIREMENTS MANAGEMENT 473
RISK MANAGEMENT 481
SUPPLIER AGREEMENT MANAGEMENT 497
TECHNICAL SOLUTION 509
VALIDATION 531
VERIFICATION 541
PART THREE—THE APPENDICES 553

Michael Campo, Neal Mackertich, and Peter Kraus
53
EXPANDING CAPABILITIES ACROSS THE “CONSTELLATIONS”
Mike Phillips
72
MEASUREMENT MAKES IMPROVEMENT MEANINGFUL
David N. Card
75
PEOPLE, PROCESS, TECHNOLOGY, AND CMMI
Gargi Keeni
80
THE ROLE OF PROCESS STANDARDS IN PROCESS DEFINITION
James W. Moore
85
EXECUTIVE RESPONSIBILITIES IN PROCESS IMPROVEMENT
Bill Curtis
91
xiii
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IMPLEMENTING ENGINEERING CULTURE FOR SUCCESSFUL
PROCESS IMPROVEMENT
Tomo o Matsu b a ra
95
PROCESS IMPROVEMENT IN A SMALL COMPANY
Khaled El Emam
101
IMPROVING INDUSTRIAL PRACTICE
Hans-Jürgen Kugler
107

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PREFACE
CMMI (Capability Maturity Model Integration) models are collec-
tions of best practices that help organizations to improve their
processes. These models are developed by product teams with mem-
bers from industry, government, and the Software Engineering Insti-
tute (SEI).
This model, called CMMI for Development (CMMI-DEV), pro-
vides 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 model is a collection of development best
practices from government and industry that is generated from the
CMMI V1.3 Architecture and Framework.
1
CMMI-DEV is based on the
CMMI Model Foundation or CMF (i.e., model components common
xv
1. The CMMI Framework is the basic structure that organizes CMMI components and com-
bines them into CMMI constellations and models.
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to all CMMI models and constellations
2
) and incorporates work by
development organizations to adapt CMMI for use in the develop-

iar with the concept of Capability Maturity Models or are seeking infor-
mation to begin improving your development processes, CMMI-DEV
xvi Preface
2. 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).
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will be useful to you. This model is also intended for organizations
that want to use a reference model for an appraisal of their develop-
ment related processes.
3
Organization of this Document
This 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 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 compo-
nents of the CMMI for Development process areas.
4
• 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

• 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 Document
Whether 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 Improvement
If 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.
xviii Preface
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Readers Experienced with Process Improvement
If you are new to CMMI but have experience with other process
improvement models, such as the Software CMM or the Systems

use of multiple models.
• Informative material was improved, including revising the engineer-
ing 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.
Preface xix
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• 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 apply-
ing capability level 1-3 to the high maturity process areas (Causal
Analysis and Resolution, Quantitative Project Management, Organi-
zational 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 sug gest ions for improving CMMI are welcome. Fo r informa-
tion 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 [email protected].
xx Preface
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BOOK ACKNOWLEDGMENTS

thank Kim Boedigheimer, Curt Johnson, Stephane Nakib, and Julie
Nahil for their help with the book’s publication and promotion.
From Mary Beth Chrissis
I am so very blessed and humbled to be fortunate enough to be part
of the third edition of this book. Working on CMMI has allowed me
the opportunity to interact with many people. From the SEI Partners
who work with the community daily, to the many individuals I’ve
had the privilege to teach, to the people in organizations that believe
CMMI will help them improve their business, I’ve learned so much
from you. I’d like you all to know that I realize although my name
appears on this book, I’m really just representing all of you. I don’t
know why I have been given this opportunity, but please know I am
greatly appreciative.
I have a very special thank you for my colleagues at the SEI and
especially those in the SEPM Program. You’ve encouraged and sup-
ported me. Thanks to Anita Carleton, Mike Phillips, Barbara Tyson,
Bob McFeeley, Stacey Cope, Mary Lou Russo, and Barbara Baldwin
for all of your day-to-day assistance. I can’t forget Bill Peterson who
has supported CMMI and the work on this book since its inception.
Version 1.3 wouldn’t have been accomplished without the many
volunteers who worked on it. I’d like to recognize the training team,
particularly Mike Campo and Katie Smith, for spending many hours
writing and reviewing the model and training materials. Thanks to
Diane Mizukami Williams who had the vision and expertise to
improve the CMMI-DEV Intro course. I’d also like to thank Bonnie
Bollinger for her sage wisdom and comments. Lastly, thanks to Eric
Dorsett, Steve Masters, and Dan Foster for their help with the train-
ing materials.
To m y coauth ors S a ndy a n d Mike, y o u’re the best . Each tim e we
write a book, it is a different experience and I wouldn’t want to work