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CMMI ® for Development, Version 1.3 CMMI-DEV, V1.3 CMMI Product Team Improving processes for developing better products and services November 2010 TECHNICAL REPORT CMU/SEI-2010-TR-033 ESC-TR-2010-033 Software Engineering Process Management Program Unlimited distribution subject to the copyright. http://www.sei.cmu.edu This report was prepared for the SEI Administrative Agent ESC/XPK 5 Eglin Street Hanscom AFB, MA 01731-2100 The 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 WARRANTY THIS 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 permission@sei.cmu.edu. 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 (www.sei.cmu.edu/library). The following service marks and registered marks are used in this document:Capability Maturity Model Carnegie Mellon CERT CMM CMMI CMM Integration IDEAL SM SCAMPI SM CMMI, 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 1.3 Preface i Preface CMMI ® (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. 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 to all CMMI models and constellations 2 ) and incorporates work by development organizations to adapt CMMI for use in the development of products and services. Acknowledgments Many 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. 1 The CMMI Framework is the basic structure that organizes CMMI components and combines them into CMMI constellations and models. 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). CMMI for Development, Version 1.3 ii Preface 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. Audience The 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. 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 components 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. 3 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. 4 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. CMMI for Development, Version 1.3 Preface iii 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 model’s 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 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 CMMI for Development, Version 1.3 iv Preface become familiar with the language of CMMI. Then, go back and read the details of Part Two. 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 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 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 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). CMMI for Development, Version 1.3 Preface v 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 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. CMMI for Development, Version 1.3 vi Preface CMMI for Development, Version 1.3 Table of Contents vii Table of Contents Preface ii Purpose i Acknowledgments i Audience ii Organization of this Document ii How to Use this Document iii Readers New to Process Improvement iii Readers Experienced with Process Improvement iv Readers Familiar with CMMI iv Additional Information and Reader Feedback v Part One: About CMMI for Development 1 1 Introduction 3 About Process Improvement 4 About Capability Maturity Models 5 Evolution of CMMI 5 CMMI Framework 7 CMMI for Development 7 2 Process Area Components 9 Core Process Areas and CMMI Models 9 Required, Expected, and Informative Components 9 Required Components 9 Expected Components 9 Informative Components 10 Components Associated with Part Two 10 Process Areas 11 Purpose Statements 11 Introductory Notes 11 Related Process Areas 12 Specific Goals 12 Generic Goals 12 Specific Goal and Practice Summaries 12 Specific Practices 13 Example Work Products 13 Subpractices 13 Generic Practices 13 Generic Practice Elaborations 14 Additions 14 Supporting Informative Components 14 Notes 14 Examples 14 References 15 Numbering Scheme 15 Typographical Conventions 16 3 Tying It All Together 21 Understanding Levels 21 Structures of the Continuous and Staged Representations 22 CMMI for Development, Version 1.3 viii Table of Contents Understanding Capability Levels 24 Capability Level 0: Incomplete 24 Capability Level 1: Performed 24 Capability Level 2: Managed 25 Capability Level 3: Defined 25 Advancing Through Capability Levels 25 Understanding Maturity Levels 26 Maturity Level 1: Initial 27 Maturity Level 2: Managed 27 Maturity Level 3: Defined 28 Maturity Level 4: Quantitatively Managed 28 Maturity Level 5: Optimizing 29 Advancing Through Maturity Levels 29 Process Areas 30 Equivalent Staging 34 Achieving High Maturity 37 4 Relationships Among Process Areas 39 Process Management 39 Basic Process Management Process Areas 40 Advanced Process Management Process Areas 41 Project Management 43 Basic Project Management Process Areas 43 Advanced Project Management Process Areas 45 Engineering 47 Recursion and Iteration of Engineering Processes 50 Support 50 Basic Support Process Areas 51 Advanced Support Process Areas 52 5 Using CMMI Models 55 Adopting CMMI 55 Your Process Improvement Program 56 Selections that Influence Your Program 56 CMMI Models 57 Interpreting CMMI When Using Agile Approaches 58 Using CMMI Appraisals 59 Appraisal Requirements for CMMI 59 SCAMPI Appraisal Methods 59 Appraisal Considerations 60 CMMI Related Training 61 Part Two: Generic Goals and Generic Practices, and the Process Areas 63 Generic Goals and Generic Practices 65 Overview 65 Process Institutionalization 65 Performed Process 65 Managed Process 66 Defined Process 66 Relationships Among Processes 67 Generic Goals and Generic Practices 68 Applying Generic Practices 120 Process Areas that Support Generic Practices 121 . Team 428 CMMI V1. 3 High Maturity Team 429 CMMI V1. 3 Acquisition Mini Team 429 CMMI V1. 3 Services Mini Team 429 CMMI V1. 3 SCAMPI Upgrade Team 430 CMMI Version. 426 CMMI for Services Advisory Group 426 CMMI V1. 3 Coordination Team 427 CMMI V1. 3 Configuration Control Board 427 CMMI V1. 3 Core Model Team 428 CMMI V1. 3