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CMMI: Guidelines for Process Integration and Product Improvement

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CMMI: Guidelines for Process Integration and Product Improvement


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This single volume comprises the full, official book version of the CMMI, the much-anticipated follow-up to the Capability Maturity Model.

° Provides official documentation in book form for learning and implementing the latest process improvement framework

° The CMMI initiative is already receiving significant marketing support from the SEI and its partners

° Helps the reader understand what is in each CMMI model, and decide how CMMI can best address their organization's needs


  • Copyright 2003
  • Edition: 1st
  • Book
  • ISBN-10: 0-321-15496-7
  • ISBN-13: 978-0-321-15496-5

Many organizations use Capability Maturity Models® (CMMs®) to assess development and maintenance processes, implement improvements, and measure progress. Although consistent in purpose, these models differ in terminology and design--enough sometimes to cause conflict and confusion when used within the same organization. Addressing the need for a more coordinated approach, Capability Maturity Model Integration (CMMI®) provides a single framework for improvement in software engineering, systems engineering, integrated product and process development, and supplier sourcing.

This book is the definitive reference for the most current release of CMMI models. To use a CMMI model available on the SEI Web site, users must choose from among multiple models based on their organization's improvement needs. This book provides a single source for all CMMI model information. Readers can get started without having to select a model first--all of the choices are compiled in one place and explained in detail.

The book begins with background information needed to understand the content and structure of these integrated models and how to use them. A case study illustrates their implementation in a real environment. A variety of practical material, such as glossary and index, is also provided. The bulk of the book comprises the content of all CMMI models, covering the 25 process areas (PAs) that span the product life cycle, including detailed best practices.

All CMMI models have two representations. The continuous representation allows an organization to improve using selected PAs at different rates. The staged representation enables organizations to follow a predefined and proven improvement path using multiple PAs. Both representations are described so that readers will more clearly see the similarities and differences between the two representations and will be able to choose the right approach for their organization.

Whether you are new to CMMI or are already familiar with some version of it, this book is an essential resource for managers, practitioners, and process improvement team members who need to understand, evaluate, and/or implement a CMMI model. The ultimate objective of CMMI is integrating processes to improve products; this book contains everything you need to get that done.


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Table of Contents


Purpose of This Book.


Organization of This Book.

How to Use This Book.

Readers New to Process Improvement.

Readers Experienced with Process Improvement.

Readers Familiar with CMMI.

Additional Information and Reader Feedback.



1. Introduction.

About Capability Maturity Models.

Evolution of CMMI.

Coverage of the Bodies of Knowledge.

Systems Engineering.

Software Engineering.

Integrated Product and Process Development.

Supplier Sourcing.

Selecting Disciplines.

Process Areas for Systems Engineering.

Process Areas for Software Engineering.

Process Areas for Integrated Product and Process Development.

Process Areas for Supplier Sourcing.

Multiple Disciplines.

A Conclusion.

Resolving Different Approaches of CMMs.

Choosing a Representation.

Continuous Representation.

Staged Representation.

Comparison of the Continuous and Staged Representations.

Factors in Your Decision.

Why Not Both Representations?

Choosing Your Approach to Process Improvement.

Scenario 1.

Scenario 2.

The Advantages of CMMI.

2. Process Area Components.

Required, Expected, and Informative Components.

Required Components.

Expected Components.

Informative Components.

Components Associated with Part Two.

Process Areas.

Purpose Statements.

Introductory Notes.

Related Process Areas.

Specific Goals.

Generic Goals.

Practice-to-Goal Relationship Tables.

Specific Practices.

Typical Work Products.


Generic Practices.

Generic Practice Elaborations.

Supporting Informative Components.



Discipline Amplifications.


Numbering Scheme.

Typographical Conventions.

Representation-Specific Content.

Discipline-Specific Content.

3. Process Institutionalization.


Process Institutionalization.

Performed Process.

Managed Process.

Defined Process.

Quantitatively Managed Process.

Optimizing Process.

Relationships among Processes.

Generic Goals and Generic Practices.

GG 1 Achieve Specific Goals.

GG 2 Institutionalize a Managed Process.

GG 3 Institutionalize a Defined Process.

GG 4 Institutionalize a Quantitatively Managed Process

GG 5 Institutionalize an Optimizing Process.

Applying Generic Practices.

Process Areas That Support Generic Practices.

4. Relationships among Process Areas.

Four Categories of CMMI Process Areas.

Process Management.

Fundamental Process Management Process Areas.

Progressive Process Management Process Areas.

Project Management.

Fundamental Project Management Process Areas.

Progressive Project Management Process Areas.


Engineering Process Areas and Recursion.


Fundamental Support Process Areas.

Progressive Support Process Areas.

5. Tying It All Together.

Understanding Levels.

Structures of the Continuous and Staged Representations.

Understanding Capability Levels.

Capability Level 0: Incomplete.

Capability Level 1: Performed.

Capability Level 2: Managed.

Capability Level 3: Defined.

Capability Level 4: Quantitatively Managed.

Capability Level 5: Optimizing.

Advancing through Capability Levels.

Understanding Maturity Levels.

Maturity Level 1: Initial.

Maturity Level 2: Managed.

Maturity Level 3: Defined.

Maturity Level 4: Quantitatively Managed.

Maturity Level 5: Optimizing.

Advancing through Maturity Levels.

Process Areas.

Specific Practices.

Base and Advanced Practices.

Generic Goals and Practices.

Common Features.

Representation Comparison.

Equivalent Staging.

6. Using CMMI Models.

Interpreting CMMI Models.

Appraisals and Benchmarking.

Appraisal Requirements for CMMI.

ISO/IEC 15504 Compatibility and Conformance.

Adopting CMMI.

Organizations with Experience.

Organizations New to Process Improvement.

CMMI Model Training.

Model Tailoring.

Tailoring Constraints for Process Improvement.

Tailoring Constraints for Benchmarking.

Planning Tailoring for Benchmarking.

Appraisal Considerations.

7. CMMI Case Study: United Space Alliance, LLC.


USA Mission and Vision.

Deploying Company Goals.

Process Ownership.

CMMI Case Study Activity.

The Initiating Phase.

Project Selection.

Primary Avionics Software System Project Background.

Cockpit Avionics Upgrade Project Background.

CMMI Model Selection and Scope.

CMMI Training.

CMMI Supplemental Resources.

The Diagnosing Phase.

Collecting Information.

Recording Observations.

CMMI Model Results.

Engineering Process Areas.

Requirements Management and Requirements Development.

Technical Solution.

Product Integration.

Verification and Validation.

Project Management Process Areas.

Project Planning.

Project Monitoring and Control.

Integrated Project Management.

Supplier Agreement Management.

Risk Management.

Quantitative Project Management.

Process Management Process Areas.

Organizational Process Focus and Organizational Process Definition.

Organizational Training.

Organizational Process Performance.

Organizational Innovation and Deployment.

Support Process Areas.

Configuration Management.

Process and Product Quality Assurance.

Measurement and Analysis.

Decision Analysis and Resolution.

Causal Analysis and Resolution.

Lessons Learned.

Interpretation Issues.

Next Steps.


Causal Analysis and Resolution.
Configuration Management.
Decision Analysis and Resolution.
Integrated Project Management.
Integrated Supplier Management.
Integrated Teaming.
Measurement and Analysis.
Organizational Environment for Integration.
Organizational Innovation and Deployment.
Organizational Process Definition.
Organizational Process Focus.
Organizational Process Performance.
Organizational Training.
Product Integration.
Project Monitoring and Control.
Project Planning.
Process and Product Quality Assurance.
Quantitative Project Management.
Requirements Development.
Requirements Management.
Risk Management.
Supplier Agreement Management.
Technical Solution.


Appendix A. References.

Publicly Available Sources.

Regularly Updated Sources.

Appendix B. Acronyms.
Appendix C. CMMI Project Participants.

Product Team.


Steering Group.

Configuration Control Board.


Index. 0321154967T01292003


CMMI® (Capability Maturity Model Integration) consists of best practices that address the development and maintenance of products and services covering the product lifecycle from conception through delivery and maintenance. CMMI and Capability Maturity Model (CMM) are registered in the U.S. Patent and Trademark Office by Carnegie Mellon University.

A "product" can be an airplane, a digital camera, an automated teller machine, a missile guidance system, a video game component, or a software package available from a commercial retailer. It can also be a service such as delivering a training class, technical support for a software product, long-distance telephone service, data-processing services, and online banking.

CMMI integrates bodies of knowledge that are essential when developing products, but that have been addressed separately in the past, such as software engineering, systems engineering, and acquisition. By integrating these bodies of knowledge, CMMI provides a comprehensive solution for development and maintenance of products and services.

Purpose of This Book

This book is an extension of the CMMI Framework, which generated the full set of CMMI models released by the Software Engineering Institute (SEI) in January 2002. The CMMI Framework is the basic structure that organizes CMMI components and combines them into CMMI models. To use a CMMI model released by the SEI, you must choose from among the multiple models available based on your improvement needs. Therefore, to use the CMMI models published by the SEI, you need to know the content of each model and the area that you want to improve.

Unfortunately for many users, selecting a model from the SEI Web site appears difficult because they must make the up-front decision about which bodies of knowledge they want to address in their organizations and the approach they want to take to their process-improvement efforts.

To facilitate CMMI use, this book provides a single source for all CMMI model information--a functional equivalent of the CMMI Framework. You do not have to select a particular model to get started--all of your choices are compiled into one book. The book describes what is common across all CMMI models as well as what is different. It describes the basic concepts and the ways processes evolve as your organization improves. It will help you to understand the content of each CMMI model and to decide how CMMI can best address your needs. After reading this book, you will realize that you do not need to select a specific model to use CMMI.


The audience for this book includes anyone interested in process improvement--whether you are already familiar with the concept of Capability Maturity Models or whether you are seeking information to get started on your improvement efforts. This book is intended for people who want an appraisal to see where they are, those who already know what they want to improve, An appraisal is an examination of one or more processes by a trained team of professionals using a reference model (e.g., CMMI) as the basis for determining strengths and weaknesses. and those who are just getting started and want to develop a general understanding of CMMI. This book is a must for process appraisal teams; members of process improvement groups; product development managers; product developers and maintainers, including software and systems engineers; and project management, computer science, and engineering educators.

Organization of This Book

This book maintains the integrity of the CMMI v1.1 models available on the SEI's Web site and serves as a guide for improvement of organizational processes. It is organized into three main parts:

  • Part One - About CMMI
  • Part Two - The Process Areas
  • Part Three - The Appendices

In writing this book, we enhanced and supplemented the original SEI materials. These improvements appear in Part One. Given the nature of the material in Part Two, we made only minor changes and added markings to identify and classify the content. In Part Three, we compiled a practical resource for understanding the "language" of CMMI.

Part One, "About CMMI," consists of seven chapters:

  • Chapter 1, "Introduction," offers a broad view of CMMI. It introduces you to the concepts of process improvement and describes the benefits of CMMI, the history of models used for process improvement, and different process-improvement approaches.
  • Chapter 2, "Process Area Components," describes all of the components of CMMI process areas.
  • Chapter 3, "Process Institutionalization," describes the model components that ensure the implementation of processes is effective, repeatable, and lasting.
  • Chapter 4, "Relationships among Process Areas," provides insight into the meaning and interactions of the major components of CMMI.
  • Chapter 5, "Tying It All Together," assembles the model components and process infrastructure into the representations and explains the concepts of maturity level and capability level.
  • Chapter 6, "Using CMMI Models," describes paths to adoption and use of CMMI for process improvement and benchmarking.
  • Chapter 7, "A CMMI Case Study: United Space Alliance LLC," describes the real-life experience of an organization as it prepared to adopt CMMI. This chapter may help you plan your organization's adoption of CMMI.

Part Two, "The Process Areas," contains 25 chapters, one for each of the CMMI process areas. A process area is a cluster of related best practices in an area that, when implemented collectively, satisfy a set of goals considered important for making significant improvement in that area. We will cover this concept more thoroughly in Chapter 2. To facilitate your referring to them, these chapters are organized alphabetically by process area acronyms. Each chapter contains descriptions of goals, best practices, and examples.

Part Three, "Appendices," consists of four information resources:

  • Appendix A, "Bibliography," 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.
  • Appendix B,"Acronyms," defines acronyms used in CMMI.
  • Appendix C, "Glossary," defines terms used in CMMI.
  • Appendix D, "CMMI Project Participants," contains a list of people and their organizations who participated in the CMMI project. That project developed the models on which this book is based.

How to Use This Book

Whether you are new to process improvement, new to CMMI, or already familiar with CMMI, this book can help you understand why CMMI is the best model to use for improving your product lifecycle processes.

Readers New to Process Improvement

If you are new to process improvement or new to the CMM concept, we suggest that you read Chapter 1, "Introduction," and the case study in Chapter 7 first. Chapter 1 will give you an overview of process improvement and explain what CMMI is all about. Chapter 7 will help you to see how CMMI can be used by an organization. When you read Chapter 7 the first time, don't be concerned about understanding all the terminology or details. Just read it to get an overall feel for what's going on in the case study. Then, go back and read Chapters 1 through 7. When you read Chapter 7 again, after reading the balance of Part One, you will understand the details much better.

Next, skim Part Two to get a feel for the scope of the best practices contained in CMMI. Pay closest attention to the statement of purpose at the beginning of each chapter.

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. 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 Improvement

If you are new to CMMI but have experience with other process-improvement models, such as the Software CMM or the Systems Engineering CM (i.e., EIA 731), you will immediately recognize many similarities.

We recommend that you read Part One to understand how CMMI is different from other process-improvement models, but you may want to read some of the sections more quickly than others. Read Part Two with an eye open for best practices you recognize from the models you have already tried. Identifying familiar material will help you get a feel for what is new and what has been carried over from the model you already know.

Next, review the glossary to understand how some terminology may differ from that used in the process-improvement model you know. Many concepts will be repeated, but they may be called something different.

Readers Familiar with CMMI

If you have reviewed or used one of the CMMI models available on the SEI Web site, you will quickly recognize the CMMI concepts discussed and the best practices presented. The differences between this book and the SEI-released models are mainly found in Part One, "About CMMI."

Although the continuous and staged representations of the models' best practices are presented together in Part Two, no changes were made that affect the meaning or applicability of these best practices. In Part One, we added information about the benefits of process improvement and historical information about process-improvement models for readers new to process improvement or to the CMM, concept. We explained the vast similarities of the two representations reflected in the models and included detailed discussions of both capability levels and maturity levels and their importance in CMMI. See the typographical conventions' description and figures in Chapter 2 to understand how the two representations have been formatted for Part Two.

We also expanded the discussion of generic model components into a chapter you will find more informative than what is found in the SEI-released models. A new chapter containing a case study of CMMI was added to describe the real-life experience of an organization preparing to adopt CMMI.

In Part Three, "Appendices," we combined all terms and their definitions into the glossary, so that you can find definitions more quickly and easily. Terms are no longer addressed in a separate chapter in Part One.

As you read Part One, we recommend that you pay closest attention to Chapter 3, "Process Institutionalization," and Chapter 7, "CMMI Case Study: United Space Alliance, LLC." Review the format used in Part IITwo. This format helps you differentiate between the two representations.

Sources of Additional Information and Feedback

You can find additional information from various other sources about CMMI, such as the background and history of the CMMI models, as well as the benefits of using CMMI models. Many of these sources are documented on the CMMI Web site, http://www.sei.cmu.edu/cmmi/.

Suggestions for improving CMMI are welcomed by the SEI. For information on how to provide feedback, see the CMMI Web site at http://www.sei.cmu.edu/cmmi/models/change-requests.html. If you have questions about CMMI, send an email to cmmicomments@sei.cmu.edu.



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