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CMMI Development V2.

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Copyright © 2018 CMMI Institute

THIS CMMI INSTITUTE MATERIAL IS FURNISHED ON AN “AS-IS” BASIS.

TO THE MAXIMUM EXTENT ALLOWED BY LAW, THE CMMI INSTITUTE SPECIFICALLY DISCLAIMS ALL
WARRANTIES, WHETHER EXPRESS, IMPLIED, OR STATUTORY, REGARDING OR RELATING
TO THE CAPABILITY MATURITY MODEL INTEGRATION (CMMI), AND ALL MODEL CONTENT, INCLUDING
THE CMMI DEVELOPMENT V2.0, CMMI METHOD DEFINITION DOCUMENT V2.0, CMMI ADOPTION AND
TRANSITION GUIDANCE V2.0, AND CMMI V2.0 MODEL VIEWER (“CMMI CONTENT”), INCLUDING ALL
IMPLIED WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE,
NONINFRINGEMENT, USAGE OF TRADE, AND COURSE OF DEALING OR PERFORMANCE.

CMMI Institute owns all copyright, trademark, and all other intellectual property rights in the CMMI
Content. Your copy of the CAPABILITY MATURITY MODEL INTEGRATION (CMMI) V2.0 and all related
material is licensed solely to you as an individual for your personal use, and no ownership rights transfer
to you when you download a and portion or the entire copy of the CMMI Development V2.0 model,
whether through direct purchase or access/download via the CMMI V2.0 Model Viewer tool. When you
purchase a license to a digital download of the CMMI Development V2.0 model, the PDF will be stamped
with your name, denoting you as the sole licensee of the document. You may not remove or obscure
your name, any copyright notices or other identifying information from the PDF.

You may not reproduce, duplicate, copy, sell, resell, assign, transfer, create derivative works of,
incorporate in any software or tool, or commercially exploit any portion of the CMMI Content, without
express written permission by CMMI® Institute. You are solely responsible for your use of the CMMI
Content, and agree to defend, indemnify and hold CMMI Institute harmless from any claims, liability,
damages, costs or expenses incurred by CMMI Institute arising from your use of the CMMI Content.

CMMI V2.0 Model Overview

Contents
Overview ........................................................................................................................ 7

Part One: About CMMI V2.0 and Executive Summary .................................................... 7

Why use the CMMI? ...................................................................................................................................... 8
Benefits ......................................................................................................................................................... 9
Improve Your Performance ......................................................................................................................... 10
Purpose ....................................................................................................................................................... 11
Audience ..................................................................................................................................................... 11
Model Structure and Content ...................................................................................................................... 11
Model Content Organization ....................................................................................................................... 12
CMMI V2.0 Product Suite............................................................................................................................ 12

Part Two: Successfully Adopting CMMI V2.0 ................................................................ 33

Elevating Performance through Process Improvement .............................................................................. 33

Part Three: Process Persistence and Habit .................................................................. 38

Building and Sustaining Capability .............................................................................................................. 39

Part Four: Achieving High Maturity ................................................................................ 41

Practice Areas ............................................................................................................. 46

Part Five: Practice Areas ............................................................................................... 46

Causal Analysis and Resolution (CAR) ......................................................................... 47
Level 1 ......................................................................................................................................................... 49
Level 2 ......................................................................................................................................................... 50
Level 3 ......................................................................................................................................................... 53
Level 4 ......................................................................................................................................................... 59
Level 5 ......................................................................................................................................................... 62

Configuration Management (CM) .................................................................................. 63

Decision Analysis and Resolution (DAR)....................................................................... 77

Estimating (EST) ........................................................................................................... 90

Governance (GOV) ..................................................................................................... 105

Level 1 ....................................................................................................................................................... 107
Level 2 ....................................................................................................................................................... 108
Level 3 ....................................................................................................................................................... 117
Level 4 ....................................................................................................................................................... 120

Implementation Infrastructure (II) ................................................................................ 121

Managing Performance and Measurement (MPM) ..................................................... 132

Level 1 ....................................................................................................................................................... 138
Level 2 ....................................................................................................................................................... 141
Level 3 ....................................................................................................................................................... 154
Level 4 ....................................................................................................................................................... 163
Level 5 ....................................................................................................................................................... 176

Monitor and Control (MC) ............................................................................................ 182

Organizational Training (OT) ....................................................................................... 201

Peer Reviews (PR) ...................................................................................................... 216

Planning (PLAN) ......................................................................................................... 226

Level 1 ....................................................................................................................................................... 232
Level 2 ....................................................................................................................................................... 234
Level 3 ....................................................................................................................................................... 249
Level 4 ....................................................................................................................................................... 258

Process Asset Development (PAD) ............................................................................. 261

Process Management (PCM) ...................................................................................... 281

Level 1 ....................................................................................................................................................... 285

Level 2 ....................................................................................................................................................... 290
Level 3 ....................................................................................................................................................... 295
Level 4 ....................................................................................................................................................... 303

Process Quality Assurance (PQA)............................................................................... 305

Product Integration (PI) ............................................................................................... 317

Requirements Development and Management (RDM)................................................ 333

Risk and Opportunity Management (RSK) .................................................................. 358

Supplier Agreement Management (SAM) .................................................................... 374

Level 1 ....................................................................................................................................................... 376
Level 2 ....................................................................................................................................................... 379
Level 3 ....................................................................................................................................................... 387
Level 4 ....................................................................................................................................................... 394

Technical Solution (TS) ............................................................................................... 396

Verification and Validation (VV) ................................................................................... 414

Appendices ................................................................................................................ 426

Part Six: Appendices ................................................................................................... 426

Appendix A: Predefined Model Views ....................................................................................................... 426
Appendix B: Understanding Levels ........................................................................................................... 438
Appendix C: CMMI V2.0 Adoption and Transition Resources .................................................................. 457
Appendix D: Common CMMI Misperceptions ........................................................................................... 459
Appendix E: Glossary................................................................................................................................ 462
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Appendix F: Acronyms .............................................................................................................................. 487

Appendix G: CMMI V2.0 Development History ......................................................................................... 490
Appendix H: References ........................................................................................................................... 491
Appendix I: Acknowledgements ................................................................................................................ 492

List of Figures
Figure 1. Why Build Capability? ............................................................................................................7
Figure 2. Why use CMMI? ....................................................................................................................8
Figure 3. Driving Performance through Capability ................................................................................ 10
Figure 4. Model Content Organization................................................................................................. 12
Figure 5. CMMI V2.0 Product Suite ..................................................................................................... 13
Figure 6. CMMI V2.0 Integrated Product Suite .................................................................................... 14
Figure 7. Structural vs. Content Architecture ....................................................................................... 15
Figure 8. CMMI V2.0 Model Structure ................................................................................................. 16
Figure 9. CMMI V2.0 Model Component Structure ............................................................................... 17
Figure 10. CMMI V2.0 Model Component Structure - Views.................................................................. 19
Figure 11. Planning and Managing Work Capability Area View.............................................................. 20
Figure 12. Categories and Associated Capability Areas......................................................................... 21
Figure 13. Practice Area Organization ................................................................................................. 23
Figure 14. Definitions of Evolutionary Level Characteristics .................................................................. 24
Figure 15. Example Icon, DAR ........................................................................................................... 27
Figure 16. Model Content Relationships .............................................................................................. 27
Figure 17. Four Stages of Process Discipline ....................................................................................... 34
Figure 18. Four Characteristics of Process Persistence and Habit .......................................................... 38
Figure 19. Maturity Levels 2 & 3 vs. 4 & 5 .......................................................................................... 42
Figure 20. Using High Maturity to Determine if Work Should Be Accepted ............................................. 44
Figure 21. Two Approaches to Improvement ...................................................................................... 45
Figure 22. Categories and Capability Areas ....................................................................................... 427
Figure 23. Practice Area vs. Practice Structure .................................................................................. 439
Figure 24. Evolutionary View of Practice Group Levels in Practices ..................................................... 441
Figure 25. Capability Level Rating Progression – CM Example ............................................................ 442
Figure 26. Maturity Levels Summary................................................................................................. 443
Figure 27. CMMI V2.0 Development, Maturity Levels 2-5 ................................................................... 445
Figure 28. (FUTURE) CMMI V2.0 Services, Maturity Levels 2-5 ........................................................... 449
Figure 29. (FUTURE) CMMI V2.0 Supplier Management, Maturity Levels 2-5 ....................................... 453
Figure 30. Development and Multi-Model Capability Area View Examples ............................................ 456

Overview
Part One: About CMMI V2.0 and Executive Summary

CMMI® (Capability Maturity Model® Integration) V2.0 is an integrated set of best practices that
enable businesses to improve performance of their key business processes. This model was
developed by product teams with members from industry and CMMI Institute. At its heart, the
CMMI V2.0 provides a clear roadmap for building, improving, and sustaining capability. Figure
1 provides some key reasons to build capability.
Figure 1. Why Build Capability?

The architecture and design of CMMI V2.0 is a radical departure from its predecessors to make
it more useful and adoptable for customers and businesses. One of the key drawbacks of
complex maturity models is the time and resources it takes to make updates and keep them
current with business, technology trends, and market demands. To address this challenge, the
architecture of CMMI V2.0 was specifically designed to be flexible, agile, and evolve as these
and other factors change. This enables rapid development and addition of relevant new content
at the speed of business, technology, and change.
CMMI V2.0 provides guidance for applying this set of best practices in a business or
organization, to ensure quality and timely solutions that delight customers and end users. Every
company or organization can benefit from improving performance and reducing risk. The CMMI
provides a roadmap that guides improvement from ad hoc activities to disciplined and
consistent processes for achieving business objectives related to:
• Performance
• Quality
• Cost
• Schedule
• Functionality

Why use the CMMI?

CMMI V2.0 helps a business understand its current level of capability and performance. If
business needs and objectives are not being met, CMMI V2.0 practices can guide improvement
to elevate and optimize performance. Focusing primarily on business benefits and performance
drives process improvements to better serve the needs of the business and, ultimately, the
customer. To accomplish this:
• An effective and sustainable improvement program needs to be in place
• The focus of improvement needs to be on performance
• Executive management must visibly and actively support the effort to improve.
Figure 2 summarizes the results of an assessment of capabilities and processes that CMMI
V2.0 directly addresses.
Figure 2. Why use CMMI?

Benefits
Using CMMI V2.0 provides many benefits, including:
• A positive return on performance and process improvement investments
• Meeting commitments that result in:
• More timely delivery
• Fewer last-minute crunches
• Enhanced cost control
• Increased quality of solutions
• Management visibility which results in:
• More rapid response to issues and risks
• Fewer surprises
• High quality solutions that meet customer needs and expectations
• Reduced customer complaints
• Reduced rework
• Lower employee turnover

Improve Your Performance

It is important to understand the organization’s current level of performance, and the extent
that it aligns to the current business needs and objectives. If performance is not meeting
business needs and objectives, then process improvement is used to raise performance to the
needed level. Performance should be managed at all levels in the business and be a key driver
for process change. Figure 3 provides a summary of how CMMI V2.0 addresses performance
and capability improvement.

Figure 3. Driving Performance through Capability

Purpose
The CMMI V2.0 model is an organized collection of best practices for business and performance
improvement. Best practices in the model focus on what needs to be done to improve
performance, not how to do it. Successful adoption of the CMMI is dependent on each situation.
One specific approach may not be successful in every situation. CMMI V2.0 has been explicitly
designed to be understandable, accessible, and flexible to a broad variety of businesses and
types of work. It facilitates faster, easier, and successful improvement to address:
• Increasing performance
• Industry-specific needs
• Multiple types of organizations or projects
• Market drivers, such as:
• Trends (e.g., business, industry)
• Regulatory requirements
• New or changing technologies

Audience
The audience for CMMI V2.0 includes anyone interested in improving performance in any
business environment. Whether you are seeking information to begin improving your
performance or are already familiar with the concept of capability maturity models, the CMMI
can be useful to you. CMMI V2.0 can also be effectively used for performing due diligence in the
selection of potential suppliers, or on an organization you might be interested in acquiring.
As part of the CMMI V2.0 integrated product suite, the CMMI Institute has published guidance
to help you begin or continue your performance improvement journey by adopting or
transitioning to CMMI V2.0. See Appendix C for the CMMI V2.0 adoption and transition guidance
and a list of additional resources that address critical business performance and capability
challenges.

Model Structure and Content

Rather than having all the material contained in a single, linear document or book, the CMMI
V2.0 model supports providing content to users in different formats, different level of detail,
and with different emphasis depending on the views defined or needed. This allows for a robust
set of information tailored to specific uses and needs.

Model Content Organization

To make it easier to present the model content in a more approachable and easier-to-
understand manner and make future updates easier, the model content has been broken into 6
parts, organized by three primary sections, including the overview (this section), Practice Areas,
and Appendices. See Figure 4.

Figure 4. Model Content Organization

Part
Title Description
Number
Section: Overview
Part 1 About CMMI V2.0 Provides an overview of the CMMI V2.0 Product Suite, including
an Executive Summary of the model.
Part 2 Successfully Adopting Provides the context for understanding and using CMMI in a
CMMI V2.0 manner that achieves tangible business results.
Part 3 Process Persistence Describes how to build and sustain business performance
and Habit improvement and capability throughout an organization.
Part 4 Achieving High Builds on early performance success from adopting the model
Maturity and elevates it to optimizing performance through understanding
variation and performance objectives.
Section: Practice Areas
Part 5 Practice Areas Containing the majority of the content of the model, this part
contains all the practice areas of the model.
Section: Appendices
Part 6 Appendices A-I More detailed information on adopting the CMMI, understanding
the predefined views and levels it contains and how they work,
as well as the glossary, acronym list, index and
acknowledgements.

CMMI V2.0 Product Suite

At its core, CMMI V2.0 is an integrated set of predefined and customized views of different
models that apply to different business environments. The CMMI V2.0 product suite contains
five components as shown in Figure 5.

Figure 5. CMMI V2.0 Product Suite

Figure 6 shows the entire V2.0 integrated product suite. This integrated approach was
designed to reduce the “stovepiping” of product suite components.

Figure 6. CMMI V2.0 Integrated Product Suite

A CMMI V2.0 architecture design goal is to provide a flexible performance improvement model
and structure that can adapt to meet short- and long-term needs. The architecture and
substructures will accommodate all CMMI Institute’s existing and future models and content.

There are two key design aspects that are addressed in the CMMI V2.0 architecture. One deals
with structure and the other describes the content contained in that structure. The difference
between structural and content architecture is illustrated in Figure 7.

Figure 7. Structural vs. Content Architecture

Another design goal is to reduce the size and complexity of the model, yet not lose the ability to
have extensive explanatory material for advanced users who want an in-depth understanding of
a topic area. This goal has been accomplished, in part, by moving to an electronic format with
links to external informative material. This allows the informative material to be updated to
accommodate technical changes without having to update the core model.
This approach makes it possible for end users to create a view of the model to meet their
organization’s performance improvement needs. This enables the CMMI V2.0 model to be
effective for a wide range of organizations, such as when the model is used as a part of a
supplier selection process only a subset of model components may be critical for a specific
supplier selection. The organization can construct a custom view that fits those priorities, so
they and their potential suppliers know what is expected.
Historically, CMMI models focused separately on key process issues for development, services,
and supplier management. However, businesses rarely focus on only development, only
services, or only supplier management. For example, besides developing a product, a
development organization may also provide help desk services to end users. By integrating the
separate CMMI models and other models or sources (e.g., the People-CMM (P-CMM)) CMMI
V2.0 provides an integrated and holistic approach to performance improvement by allowing
organizations to focus on the areas of improvement that they find most relevant.

Except for the overview of the model and the appendices within the model, the format of the
material follows a common modular structure. Figure 8 shows the high-level overview of the
modular structure of the CMMI V2.0 model.

Figure 8. CMMI V2.0 Model Structure

At the highest level, the CMMI V2.0 model is a container of practice areas and composed of five
components, described in Figure 9.

Figure 9. CMMI V2.0 Model Component Structure

This architecture provides a core model that contains material that applies to any context, along
with additional helpful information for organizations wishing to understand and adopt the
model, or use it in a specific context, such as agile with Scrum, development, services, etc. This
modularization allows the model to be extended and updated with new examples, technologies,
and methods without having to update the entire model.

View
Views may be subject to change over time. A view is a window into the model which allows an
organization or project to focus on what is important to them or their organization. There are
predefined views that an organization can select. Or if none of the predefined views meet
business needs, organizations can construct their own custom view as shown in Figure 10. For
example:
• An organization that primarily performs software development, could choose the
predefined view of CMMI Development V2.0 (CMMI-DEV).
• An organization wanting to improve their work management capability could choose
a view for the Planning and Managing Work Capability Area (see Figure 11) to help
them manage their work management performance.
For a complete listing of current CMMI Institute predefined model views, see Appendix A.

Figure 10. CMMI V2.0 Model Component Structure - Views

Constructing a view consists of selecting what CMMI V2.0 model components to include in the
view.

Capability Area
A capability area is a group of related practice areas that can provide improved performance in
the skills and activities of an organization or project. A capability area view is a subset of the
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CMMI V2.0 model that describes a predefined set of practice areas that make up a specific
capability area. Capability areas are a type of a view. Figure 11 illustrates a view of the
Planning and Managing Work capability area that includes all current and future planned
associated Practice Areas. (Note: Future planned or potential Capability Areas and Practice
Areas are shown in gray.)

Figure 11. Planning and Managing Work Capability Area View

Categories for Capability Areas

Categories are logical groups or views of related capability areas that address common
problems encountered by businesses when producing or delivering solutions. One of the lessons
learned from industry experience is that creating small groups of similar topics in a list makes
them easier to understand and remember. Incorporating this approach into the CMMI V2.0
product suite makes training and adoption more effective. Additionally, the categories match a
typical performance improvement path, moving from doing simple tasks, to managing them to
be more efficient, to enabling them to be more effective, and finally to continually improving
them to achieve better performance. Categories are types of views.
The categories are:
• Doing – Capability Areas for producing and delivering quality solutions
• Managing – Capability Areas for planning and managing implementation of solutions
• Enabling – Capability Areas for supporting solution implementation and delivery
• Improving – Capability Areas for sustaining and improving performance

Figure 12 shows how the capability areas are organized into the categories.

Figure 12. Categories and Associated Capability Areas

These view categories help to prioritize, organize, and plan resources while focusing attention
on the most critical issues facing the business.
For example:
• Customer satisfaction is both a primary objective and a challenge for most
organizations. The Doing category provides several sets of best practices to
consistently produce and deliver solutions that satisfy the customer.
• For organizations that want to improve their planning capabilities, or that have
problems consistently planning and managing the work, the Managing category
provides several sets of best practices to help resolve these issues.

• Organizations typically have challenges in addressing complexity and managing

change. The Enabling category provides a clear set of approaches to control, decide,
and communicate how complexity and change are being addressed.
• Many organizations recognize a need to improve performance but lose momentum
and focus once marginal gains have been achieved. The Improving category enables
effective and sustainable performance improvement.

Practice Area (PA)

A practice area is a set of practices that collectively describe the critical activities needed to
achieve a defined intent and value. Practice areas are composed of:
Practice Area (Name & Icon (including the acronym))
• Required PA Information
• Intent - to explain what results and accomplishments are expected as an
outcome of the PA
• Value – business value achievable by adopting practices in the PA
• Additional Required Information - remaining description of the practice area
which is important and useful to better understand the meaning of the practice
area intent and required information (may not be present for every PA).
• Explanatory PA Information
• Practice Summary
• Additional Information
• Related Practice Areas (as needed)
• Context Specific Information (if applicable)
• Practice Groups
• Organizing structure for practices within a practice area to support understanding
and implementation
• Practice groups allow for different ways of organizing similar information and
practices. For example, evolutionary levels can be used to show increasing
capability for performance and organizational standardization. In other examples,
practices may be grouped by logical function, theme, or thread (e.g., ISO uses
clauses and sub clauses, which are similar organizing concepts as practice
groups).

Figure 13 shows a summary view of how CMMI V2.0 practice areas are organized.

Figure 13. Practice Area Organization

Practice Group
Within practice areas, the practices are organized into a set of evolutionary levels labeled Level
1, Level 2, etc. which provide a path for performance improvement.
Each evolutionary level builds on the previous levels by adding new functionality or
sophistication resulting in increased capability.

Figure 14 provides a brief definition of the evolutionary levels.

Figure 14. Definitions of Evolutionary Level Characteristics

Each level:
• Builds on the practices at lower levels, but does not replace them
• Represents an increase in functionality and capability
• May add new functionality
Levels include the following.
• Level 0
• Incomplete approach to addressing the intent of the PA
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• May or may not be meeting the full intent of any practices

• Level 1
• Basic practices that describe an initial approach to addressing the intent of the
PA
• Not a complete set of practices to meeting the full intent of the PA
• What you would expect to see from an organization or project just starting the
journey towards improvement
• Starts to focus on performance issues
• Level 2
• Simple, but complete set of practices that address the full intent of the PA
• Does not require the use of organizational assets or standards
• The intent of the set of practices can be met in various ways based on the
project
• Identifies and monitors project performance objectives
• Level 3
• Uses organizational standards and includes tailoring of processes to address
unique project and work characteristics
• Uses and contributes to organizational assets
• Manages both project and organizational performance
• Level 4
• Use of statistical and other quantitative techniques to detect or refine the area of
focus or to predict if quality and process performance objectives will be achieved
• Understands performance variation statistically or quantitatively and manages
progress against quality and process performance objectives
• Level 5
• Use of statistical and other quantitative techniques to optimize performance and
enhance the achievement of objectives including business, measurement and
performance, and quality and process performance objectives
The order of the practices in each practice area and group does not imply or require a
sequential order as performed in a process. Processes that meet the intent of the practice areas
and practices may be performed iteratively, in parallel, or in any other order that best meets
the needs of an organization’s business.

Practices
The practices in the CMMI V2.0 product suite consist of:
1. Required Practice Information:
• Practice statement
• Value statement: Business value of using this component (why do it?)

• Additional required material that further describes the scope and intent of the
practice and supports clear and consistent understanding and interpretation.
2. Explanatory Practice Information:
• Additional Explanatory Information
• Example Activities
• Example Work Products
• Related Practice Areas
• Context Specific Information (there may be multiple context instances):
• Context specific identifier and description
• Value (optional)
• Additional informative material (optional)
• Example Activities (optional)
• Example Work Products (optional)
• Related Practice Areas (optional)
Practices provide the ability to include external material that is determined important to
associate with the model and enables understanding and adoption. These can include:
• Extended informative material including domain specific implementation examples
• Process and implementation assets such as templates, process descriptions, etc.
• Training modules, tools, methods, etc.
• Case studies
• Other helpful material
Language Conventions: In the CMMI V2.0 product suite, when the term “or” appears, it is
used in the inclusive sense, and can mean both “and” as well as “or”:
• “and” as in “manage plans or activities” can mean managing both plans AND
managing activities
• “or” as in “manage risks or opportunities” can mean managing either risks OR
opportunities OR both
Certain words in the CMMI V2.0 product suite have special meaning. When applicable, that term
is included in the glossary. Otherwise the common English meaning of words (e.g. Webster or
Oxford dictionary) applies.

Additional Content Characteristics

As a means for more effective identification, recall and learning, each Practice Area includes an
identification icon which can be used for multiple purposes, including:
• Showing relationships
• Training
• Online selection buttons or tiles
• Sorting and grouping practices
• Memory aides
For each icon, there are three primary elements:

• The shape and color of the outline of the icon (e.g., square, triangular, etc.) which
denotes the capability area associated with the practice area
• Within the shape, a unique pictorial icon representing the intent of the practice area
• The acronym for the practice area
For example, Figure 15 is the icon for Decision Analysis and Resolution (DAR), which is
included in the Supporting Implementation Capability Area. For more information about
Capability Areas, see Appendix A.

Figure 15. Example Icon, DAR

Figure 16 shows the complete set of relationships between the categories, current and
planned capability areas, and practice areas. Current Capability Areas and Practice Areas are
shown in color, while planned or potential Capability Areas and Practice Areas are shown in
gray. This serves as a high-level quick reference for the current and future planned content of
the CMMI V2.0 model. (Note: Future planned or potential Capability Areas and Practice Areas
are shown in gray.) CMMI Development V2.0 is shown last.

Figure 16. Model Content Relationships

CMMI Development V2.0

For more information on the categories and current and future capability areas and practice
areas, see Appendix A.

Explanatory vs. Context Specific

The model does not imply any specific methodology, work product type, or implementation and
cannot be used as a recipe or a “one size fits all” checklist. The model is not a set of
implementable processes. This means that each project or organization must understand how
to implement their processes to address their unique situation. Organizations with different
disciplines, different business activities, and different organizational structures or sizes should
apply the model practices within their own contexts. Practice statements are designed and
written to be clear, unambiguous, and applicable to any context. The informative material,
including the context specific sections, helps with this understanding, and must not be ignored.
Within the CMMI V2.0 model there are two types of informative material: “explanatory” and
“context specific”.
Separating content into “Explanatory” and “Context Specific”:
• Provides flexible and faster adoption for evolving:
• Industry-specific needs
• Market drivers
• Trends
• Technologies
• Keeps the model compact and easier to maintain
• Allows the informative material to be changed without releasing an entirely new
major version
The “Explanatory Information” section contains information describing a model component
and applies to all contexts. Explanatory information material aids users in understanding the
intent and business value of using the component. The example activities and work products
are neither prescriptive nor exhaustive; other work products and activities that meet the intent
of the practice should be considered when implementing processes. The core template covers
six areas of information:
• Additional explanatory information
• Example activities (examples of what to do)
• Work product examples and definitions, attributes, or types of things to include in
the work product content (e.g., a plan would include strategy, resources, schedule,
etc.)
• Related practice areas
• External links or information (e.g., training, templates, example assets)
The “Context Specific” section contains information that is relevant to a context and
establishes common ground for a specific industry, methodology, or discipline. The context
specific information is structured like the required and explanatory information, including links
to additional informative material. It includes the:
• Context specific identifier and description
• Context specific explanation
• Intent and value of the context specific information as it relates to the practice
(optional)

• Example activities in addition to those listed in the explanatory information material

(optional)
• Context specific work product examples and definitions, attributes, or type of things
to include in the work product content in this context (optional)
• External links or information (e.g., training, templates, example assets)
Examples of contexts may include:
• Development
• Services
• Supplier Management
• Security
• Safety
• People Management
Additionally, the architecture supports adding other context specific informative material,
including implementation guidance for domains such as:
• Information Technology
• Cybersecurity
• Healthcare (e. g., medical devices, pharmaceuticals)
• Telecommunications
• Aerospace
• Finance
• Transportation
The architecture also works with, supports, and improves other methodologies, standards, or
models such as:
• Agile with Scrum
• DevOps
• Kanban
• Lean
• COBIT
• ISO
• AS9100
• Automotive SPICE
• ITIL

Part Two: Successfully Adopting CMMI V2.0

First and foremost, performance improvement must be aligned with the organization’s business
strategies and objectives. The CMMI is best used to address challenges an organization is
encountering and to continuously improve organizational performance in areas that are most
important to them and their customers.

Elevating Performance through Process Improvement

It is important to understand the organization’s current level of performance, and how that
meets the current business needs and objectives. If the performance is not meeting business
needs and objectives, then process improvement is used to raise performance to the needed
level. Performance should be addressed at all levels in the business and be a key driver for
process changes. Focusing primarily on business benefits and performance drives process
improvement to better serve the needs of the business and ultimately the customer. Because of
this, an effective and sustainable improvement program needs to be in place, focused on
performance, and actively supported.
The root of process improvement is to instill discipline in the organization’s culture. This
includes the way work is perceived, done, and improved. Figure 17 shows the four stages of
process discipline that organizations typically go through when implementing process
improvement. As the organization progresses through the stages, process capability and
maturity increase, leading to improved performance.

Figure 17. Four Stages of Process Discipline

In stage one, process execution is ad hoc and undisciplined. Individuals follow their own,
unrecorded processes which result in varied outcomes and prevent systemic organizational
learning. The need for performance improvement is recognized, but the ability to improve is
limited and is only achieved unintentionally.
As stage two is entered, there is conscious realization that processes are ad hoc and
unrecorded, limiting both consistency of execution and the organization’s ability to improve its
performance and processes.
In stage three, processes are recorded, and mechanisms are established to ensure fidelity of
process execution. Organizational support structures, including consistent senior management
oversight, encourage the continued use of the processes and associated improvements.
Stage four is achieved when the processes and performance are clearly understood, followed,
and are persistent and habitual (see Part Three: Process Persistence and Habit). Keys to
performance and process improvement are to:
• Demonstrate visible and active senior management support
Continued and consistent senior management sponsorship is critical to success. Without
constant vigilance, positive pressure, and active support by senior management,
performance and process improvement fails. Though providing funding is important, it is not
enough. Because senior management’s most valuable resource is time, people notice where
and how management spend their time and act accordingly. In other words, if senior
management demonstrates that they don’t pay attention, no one else will.
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• Involve the people who do the work

The people who perform a task need to be involved in describing and recording the process
so it reflects how the work is actually performed. This makes it more likely that the process
is followed and becomes the normal way work is done. If people are not involved, they
typically resist the process and fail to follow it. Active involvement in both the process and
its ongoing improvement leads to pride of ownership and active support.
• Record the “As Is” first
When recording processes, resist the temptation to record what you think you should be
doing and focus on recording what is currently being done (i.e., the “as is” process). Also,
resist the temptation to improve the process as you record it. Potential improvements
should be recorded in a consistent way, so they can be analyzed, prioritized, and addressed
later as a part of the normal improvement process to ensure they positively impact
performance.
• Focus on meeting business objectives
Performance and process improvement initiatives must support the organization’s business
objectives. If an improvement cannot be tied to the business objectives, it should not be
considered or implemented. Additionally, the improvement priorities should be aligned with
the organization’s priorities. Without this, support for the initiatives dissipates.
• Communicate, communicate, communicate
In employee satisfaction surveys, lack of communication is typically the number one issue.
People want to know what changes are planned, how management is supporting these
changes, and how they are affected by the changes. Expect that people are naturally
resistant to change and tend to go back to what is comfortable. Clear, consistent, and
constant communication reduces the anxiety that people experience when change is
introduced. Studies have shown that a message must be given multiple times in multiple
ways to ensure that it is received and acted on by at least 90% of the people.
Items that should be covered in the communications include:
• What is changed
• What is not changed
• Why it is being changed (benefits and impacts, and business objectives driving
the change)
• What help is available (training, mentoring, support materials, etc.)
• How people can contribute to success
• How success is measured
• A method for providing positive and negative feedback for improvement
• Establish a clear improvement infrastructure
The organization needs to ensure funding, resources, tools, training, and support are in
place to manage and champion performance and process improvement. This includes
people with appropriate skills and experience, along with clear responsibility, authority, and
accountability. This follows the management adage that if no one is explicitly responsible,
then nothing gets done. This function can be a part time assignment for an individual in a
small organization, to one or more full-time groups of individuals in a larger organization.
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36

• Target the right level of detail

“Don’t let the perfect be the enemy of the good enough.” Process documents need to be at
the right level of detail. Focus on performance and process improvement, not implementing
and deploying the perfect process. Know when you have reached the “good enough” and
then start improving as it is used. When recording processes:
• Determine the level of process control that is needed
• Recognize that not every eventuality can be anticipated
• Realize that if the process is too prescriptive, adoption is impacted, and if is at
too high a level, the processes have little value
• Target an 80% solution to recording a process, and then rely on continuous
improvement to address the remaining 20% of issues
• Plan and provide training
Upgraded skills are vital for supporting new behaviors and reinforcing desired behaviors.
Training should, at a minimum, cover the full scope of processes and tools for individuals
doing the work.
Providing just-in-time training is also a best practice to ensure that training supports
effective process implementation.
There are many ways to provide effective training, such as:
• Classroom training
• Mentoring
• Formal on-the-job training
• Process walk-through
• Brown-bag lunches
• Virtual or e-learning
• Measure to achieve business results
Put more simply, “That which is measured is performed.” Remember that measuring
requires investment, so make sure there is a reason for every measure that is collected and
that it provides business value and performance improvement. Make sure people
understand why the measures are being collected and why and how they are useful to them
and the organization. Measurements drive behavior. Be cautious of “measurement for
measurement sake”, and prioritize more analysis over more measures. Process measures
should not be used to evaluate people for either reward or punishment. If they are, people
learn to make the measurement system work for them, adversely affecting data quality.
• Reinforce good behavior
When trying to modify behaviors, consistent reinforcement is needed. Plan how to reinforce
new behaviors and how to address resistance. Positive reinforcement (e.g., rewarding
people) is typically more effective than negative reinforcement (e.g., punishing people).
Resistance can typically be handled through:
• Rewarding desired behaviors
• Coaching or mentoring
• Training
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• Remediating unwanted behaviors

Make sure that reward is based on merit and performance and not personal connections.
• Manage stakeholder expectations
People tend to forget that the benefits and impact of performance and process
improvements often affect organizations or people beyond where they are being
implemented. It is therefore necessary to manage the expectations and effects of the
changes with internal or external customers and suppliers. As performance improvements
are implemented, remember to inform and educate your customers, suppliers, and other
stakeholders.
• Plan for differences
There are right ways to implement process changes and more than a few wrong ways. The
success of performance and process improvement depends on organizational context. What
works well in one situation may be counterproductive in another. Processes and changes
must allow for differences in an organization and fit the culture. For example, processes that
work well in a development part of an organization may not work very well or at all in a
pure research part of the organization, even though they are both in the same organization.
Geographical dispersion of organizations may also introduce cultural differences that must
be considered. A litmus test to determining if a process improvement is effective is to
determine if it is providing value to the organization.
• Recognize that change can overwhelm
People can only absorb so much change at one time. If too much change is introduced
simultaneously, adoption is uneven and some of the changes do not evolve into habit.
Implementing multiple changes at the same time makes it difficult to determine which
change was effective. Allow time to internalize the change and make it a habit.
Since new behaviors are not at first habitual, process discipline remains fragile, especially in
times of stress.

Part Three: Process Persistence and Habit

In the CMMI V2.0 model, the term “persistent and habitual” is used to describe the routine way
of doing business and following and improving processes that an organization uses as part of its
corporate culture:
• Persistence: Firm or obstinate continuance in a course of action despite difficulty
or opposition
• Habit: A tendency or practice, especially one that is hard to give up
If a process is ignored, abandoned under pressure, or if disciplined execution of the process
erodes over time, then it is neither persistent nor habitual.
When an organization begins a performance improvement initiative, the goal is that the
improvements last and become the “way we do business”. In other words, the organization is
forming new organizational habits. Once it is formed, a “new habit” becomes very difficult to
break and is persistent. Figure 18 describes the four key characteristics to understanding and
creating persistent and habitual practices within an organization.

Figure 18. Four Characteristics of Process Persistence and Habit

If people continue to consciously follow the process for a number of iterations, they ultimately
transition to the point where they are unconsciously following the process. They no longer need
to think about it; it is simply the way business is done in the organization. At this point the
processes have become persistent and habitual. Further action at this stage is needed to ensure
that newcomers to the organization are mentored until they too follow the process

unconsciously. Even at higher levels of maturity, when an improvement to the process is

introduced, the organization can regress and must consciously establish the new or modified
habit to achieve performance and improve capability.

Building and Sustaining Capability

In the CMMI V2.0 model, the practice areas in the Building and Sustaining Capability (BSC)
capability area ensure that an organization’s culture and environment support processes and
improvement that are persistent and habitual. The BSC practices apply to the processes
that the organization develops and uses and NOT to the practices of the CMMI.
BSC practices address organizational persistence and habit from two different perspectives:
• Governance (GOV)
• Implementation Infrastructure (II)

Governance
This PA contains practices that need to be performed by senior management to ensure that
work is accomplished in a way that is relevant and important to the business and to the
organization.
Visible and active management involvement is critical to the success of performance
improvement and process implementation in an organization. Management accomplishes their
role by:
• Setting the strategy, direction, and expectations for performance improvement
• Ensuring that processes are aligned with business needs and objectives
• Monitoring the performance and achievements of the processes
• Providing adequate resources for process and performance improvement
• Reinforcing and rewarding the development and use of processes to ensure their
continued use and improvement

Implementation Infrastructure
This PA describes the necessary infrastructure to ensure that processes are built, followed,
sustained, and improved over time. The term “infrastructure” in this practice area refers to
everything needed to implement, perform, and sustain the organization’s set of processes. The
infrastructure includes:
• Process descriptions
• Resource availability aligned to needs (e.g., people, tools, consumables, facilities,
time to perform, etc.)
• Funding to perform the processes
• Training to perform the process activities relevant to assigned responsibilities
• Objective process evaluations to ensure that work is performed as intended
Without an infrastructure, processes may not be followed, sustained, or improved over time.
Process descriptions should not require a significant amount of overhead or administration.
Process descriptions typically contain basic information about:
• Purpose – value
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• Entrance criteria – when to start

• Activities – what to do
• Inputs and outputs – what is used in the activities and what is produced from them
• Exit criteria – when the process is done and achieved the value
The II practices are applied to processes, and their implementation and improvement, not to
CMMI model practices.

Part Four: Achieving High Maturity

In the CMMI V2.0 product suite, the term “high maturity” involves the use of statistical and
other quantitative techniques on selected processes. High maturity represents a fundamental
shift in how processes are understood, managed, and improved. This understanding alone is
not sufficient to achieve high maturity. As organizations move up in process maturity, they gain
in-depth understanding of how processes are used and interact, which gives them a clear
competitive advantage. High maturity organizations:
• Establish quantitative objectives for quality and process performance based on their
business objectives
• Have a clear, quantitative understanding of performance and process improvement
return on investment (ROI)
• Make data driven decisions
• Systematically analyze variation and understand its impact on quality and
performance, providing quantitative insight into risk
• Achieve key performance objectives more effectively
• Clearly understand process stability and capability and use them properly to manage
projects and improve process performance
• Increase predictability
• Increase schedule and cost performance
• Increase ability and probability of achieving goals and objectives
• Reduce rework
• Focus on innovation and being more competitive
• Have greater confidence in measurement indicators
Figure 19 shows some of the key differences in how processes and objectives are understood
and managed between Maturity Levels 2 and 3 and at Maturity Levels 4 and 5.

Figure 19. Maturity Levels 2 & 3 vs. 4 & 5

Impacts of Poor Data Quality

• Inability to conduct hypothesis tests and predictive modeling
• Inability to manage quality and performance
• Inability to meet budget and schedule
• Ineffective process changes instead of process performance improvement
• Improper architecture and design decisions drive up the lifecycle cost and reduce
the useful life of the solution
• Bad information leads to bad decisions
High maturity organizations:
• Collect, validate, and use data with high quality and integrity throughout the
organization
• Use statistical and quantitative methods in their activities to plan and manage
progress against their objectives
• Provide insight into the operation of an organization and its processes based on data
and statistical analyses
• Use the measurement system to understand process performance and variation to:
o Construct process performance baselines to manage projects
o Target areas for improvement
o Evaluate the impact of proposed improvement on achieving quality and process
performance objectives

o Develop process performance baselines and models to understand the

relationships among processes and sub-processes and their performance
• Systematically and simultaneously improve quality, schedule, and cost performance
with an in-depth quantitative understanding of the tradeoffs
An example of the importance of high maturity thinking:
• Based upon past performance, a data distribution is built showing how long it takes
to deliver similar features
• A customer would like a feature added in 10 weeks and historically similar features
have been delivered in 9 to 11 weeks
• To understand if the job should be accepted depends upon the data distribution
shown in Figure 20:
o If the distribution is represented by the left chart, most of the time the feature
will be delivered in ten weeks or m ore
o If the distribution is represented by the right chart, most of the time the feature
will be delivered in less than ten weeks

Figure 20. Using High Maturity to Determine if Work Should Be Accepted

In high maturity, a statistic is a measure of variation. This includes:

• Summary or characterization of a distribution (e.g., set of numbers)
• Characterization of a central tendency (e.g. mean, median, and mode)
• Characterization of dispersion (e.g., variance, standard deviation, and range)
High maturity organizations understand the balance between stability and change. They have
the capability to:
• Predict impacts of a change to performance and process and the ROI of the change
• Measure and determine effects of the change
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45

Figure 21 below illustrates that improvements can shift the mean, reduce variation, or both.
Understanding the average and the amount of variation give you two different insights into
process performance.

Figure 21. Two Approaches to Improvement

Practice Areas
Part Five: Practice Areas

Causal Analysis and Resolution (CAR)

Required PA Information
Intent
Identify causes of selected outcomes and take action to either prevent recurrence of undesirable
outcomes or ensure recurrence of positive outcomes.

Value
Addressing root cause issues eliminates rework and directly improves quality and productivity.

Additional Required PA Information

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Explanatory PA Information
Practice Summary
Level 1
CAR 1.1 Identify and address causes of selected outcomes.
Level 2
CAR 2.1 Select outcomes for analysis.
CAR 2.2 Analyze and address causes of outcomes.
Level 3
CAR 3.1 Determine root causes of selected outcomes by following an organizational
process.
CAR 3.2 Propose actions to address identified root causes.
CAR 3.3 Implement selected action proposals.
CAR 3.4 Record root cause analysis and resolution data.
CAR 3.5 Submit improvement proposals for changes proven to be effective.
Level 4
CAR 4.1 Perform root cause analysis of selected outcomes using statistical and other
quantitative techniques.
CAR 4.2 Evaluate the effect of implemented actions on process performance using
statistical and other quantitative techniques.
Level 5
CAR 5.1 Use statistical and other quantitative techniques to evaluate other solutions and
processes to determine if the resolution should be applied on a broader scale.

Additional PA Explanatory Information

The practice area involves:
• Determining root causes of selected outcomes.
• Proposing actions to address identified root causes.
• Implementing selected action proposals.
• Recording causal analysis and resolution data.
• Submitting improvement proposals for changes proven to be effective.
It is more cost-effective to prevent defects and problems from occurring than to detect defects and
problems after they have been introduced.
Since it is impractical to perform causal analysis on all outcomes, select targets by analyzing tradeoffs
between estimated investments and returns. Causal Analysis and Resolution activities provide a
mechanism for projects and the organization to evaluate their processes and look for improvements that
can be implemented. When improvements are judged to be effective, following the processes that guide
them, the information is submitted to the organizational level for potential deployment in the
organizational processes.
The practices in this practice area apply to a process that is selected for statistical or quantitative
management. Use of the practices in this PA in other situations can add value, but the results many not
provide the same degree of impact to the organization’s quality and process performance objectives.

Context Specific
Agile with Scrum Guidance
Context Tag: Agile with Scrum

Context: Practices used to adopt agile with Scrum and to more effectively address root
causes of problems.

Agile teams collect impediment and retrospective data during each iteration. A typical agile
implementation expects a team to address impediments, and selectively implement improvements based
on retrospective data.
An agile team employing causal analysis and resolution would organize this information, select outcomes
to analyze, identify causes, and implement selected improvements.
For example, a team that is consistently unable to complete the work defined for each sprint would look
for various causes, such as chronic distractions, using unreliable velocity data, poorly defined user stories,
exceeding team capacity, or underestimating complexity. The underlying causes would be identified,
ranked, and addressed.

Level 1

CAR 1.1
Required Practice Information
Practice Statement
Identify and address causes of selected outcomes.
Value
Helps to achieve business objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Outcomes can be either positive or negative. Significant differences from what was expected indicate
where the project can improve its performance by:
• Determining why it went well and how to change to incorporate the experience into the normal
behavior
• Determining why expectations were not met and the changes needed to meet them
Example Activities
Example Activities Further Explanation
Select outcomes that differed from
expectation.
Investigate causes of outcomes.
Address causes and record changes
made to address the causes.

Example Work Products

Example Work Products Further Explanation
List of investigated outcomes May include:
• Outcomes
• Causes
• Changes made

Level 2

CAR 2.1
Required Practice Information
Practice Statement
Select outcomes for analysis.
Value
Focuses efforts on the outcomes with the greatest impact on achieving objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
This activity can be triggered by an event or planned periodically, such as at the beginning of a new
phase, iteration, or task.
Examples of when to perform causal analysis include:
• During the task when problems or successes warrant a causal analysis
• When a work product significantly deviates from its requirements
• When more defects than anticipated escape from earlier phases
• When process performance exceeds expectations
• When a process does not meet its quality and process performance objectives
Example Activities
Example Activities Further Explanation
Define the scope of the analysis. The scope should include the:
• Definition of issue or success
• Affected stakeholders
• Affected target
Collect relevant data.
Determine which outcomes to analyze When determining which outcomes to analyze further,
further. consider their:
• Source
• Impact
• Frequency of occurrence
• Similarity
• Cost of analysis
• Time and resources needed
• Safety considerations
• Security considerations
• Performance
Examples of methods for selecting outcomes include:

Example Activities Further Explanation

• Pareto analysis
• Histograms
• Box and whisker plots for attributes
• Failure modes and effects analysis (FMEA)
• Design of experiment
• Cause and effect analysis

Example Work Products

Example Work Products Further Explanation
Analysis results The results of high-level analysis selected for more detailed
causal analysis.
Outcomes selected for further analysis

CAR 2.2
Required Practice Information
Practice Statement
Analyze and address causes of outcomes.
Value
Reduces cost and time to more efficiently meet objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Causal analysis of selected issues is best performed shortly after the problem is first identified, while the
event is still recent enough to be carefully investigated.
The formality of and effort required for causal analysis can vary greatly and can be determined by factors
including:
• Stakeholders who perform the work
• Risks
• Complexity
• Frequency
• Availability of data
• Available resources

Example Activities
Example Activities Further Explanation
Identify the affected stakeholders and Causal analysis is typically performed by those who have the
involve them. best understanding of the selected outcome and who are
responsible for performing the task.
Perform causal analysis.
Identify and analyze potential issues or
successes.
Implement selected actions.
Assess the impact of the actions on
performance.
Communicate results.

Example Work Products

Example Work Products Further Explanation
List of affected stakeholders
Identified causes These are the results of analyzing potential issues and
outcomes.
Actions to take Action lists may include potential:
• Cost and schedule impacts
• Performance impacts

Level 3

CAR 3.1
Required Practice Information
Practice Statement
Determine root causes of selected outcomes by following an organizational process.
Value
Increases likelihood of meeting objectives by promoting successes and avoiding problems.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
A root cause is a fundamental reason for the occurrence of a problem or success. Root cause analysis can
include qualitative and basic measurement data.

Example Activities
Example Activities Further Explanation
Identify and involve stakeholders.
Collect data.
Follow an organizational process to Consider looking at individual outcomes as well as grouping
perform a root cause analysis. the outcomes.
Negative outcomes can be influenced by:
• Inadequate training and skills
• Breakdown of communication
• Not accounting for all details of a task
• Making mistakes in manual procedures (e.g., keyboard
entry)
• Process deficiency
• Inadequate resource allocation
• Incomplete, ambiguous, or unclear contractual
requirements
• Ineffective management of changes to the supplier
agreement
Positive outcomes can be influenced by:
• New approaches to projects
• Process automation
• System or tool upgrades
• Pilots
• Process improvements
• Performance improvements
Examples of methods to determine causes include:
• Cause-and-effect (fishbone) diagrams
• Check sheets
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54

Example Activities Further Explanation

• 5 Whys
If possible based on the scope, look at the outcomes in
several ways to ensure all potential root causes are
investigated. Where appropriate, look for patterns of root
causes across functions.
Record root causes.

Example Work Products

Example Work Products Further Explanation

List of root causes Should include selected outcomes and analysis results.

List of affected stakeholders

CAR 3.2
Required Practice Information
Practice Statement
Propose actions to address identified root causes.
Value
Reduces cost and time by preventing negative outcomes or producing positive outcomes.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Based on the analysis results, develop action proposals that will address selected outcomes in accordance
with an organizational process.

Example Activities
Example Activities Further Explanation
Develop an action proposal. Action proposals may include:
• Identified processes
• Training
• Tools
• Methods
• Solutions
Common ways to address underlying causes include:
• Changing a process to remove error-prone steps
• Updating a process based on previous successes

Example Activities Further Explanation

• Deploying the results of successful pilots
• Eliminating non-value-added tasks
• Automating all or part of a process
• Reordering process activities
• Adding process steps, such as task kickoff meetings, to
review common problems and actions to prevent them
Record action proposals.

Example Work Products

Example Work Products Further Explanation
Action proposals Should include the:
• Originator of the action proposal
• Affected stakeholders
• Description of necessary tasks
• Description of the outcome to be addressed
• Description of the root cause
• Root causes and actions categories
• Phase identified
• Description of the action
• Time, cost, and other resources required to implement the
action proposal
• Expected benefits from implementing the action proposal
• Estimated cost of not fixing the problem or leveraging the
success

CAR 3.3
Required Practice Information
Practice Statement
Implement selected action proposals.
Value
Implements changes that have the most impact on increasing the likelihood of meeting objectives.
Additional Required Information
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Explanatory Practice Information
Additional Explanatory Information
These actions should prevent or reduce the occurrence of negative outcomes or increase the occurrence
of positive outcomes.

Example Activities
Example Activities Further Explanation
Analyze action proposals and Criteria for prioritizing action proposals include:
determine their priorities. • Implications of not addressing the outcome
• Cost to implement actions to address the outcome
• Risk implications
• Expected impact on quality
Select action proposals to be Include criteria to be used for deciding which action
implemented. proposals to implement.
Develop action plans for implementing Action plans should include:
the selected action proposals. • People responsible for implementation
• Detailed description of the action
• Description of necessary tasks
• Description of the affected areas
• Affected stakeholders
• Schedule
• Cost expected
• Estimated cost of not addressing the issue
• Description of implementation actions
• Expected impact on performance
• Identified needed pilots
Implement action plans. To implement action plans:
• Update the processes
• Review the results
• Track action items to closure
Actions may be assigned to members of the causal analysis
team, members of the project team, or other members of
the organization.
Look for similar root causes that may
exist in other processes and solutions
and take action as appropriate.

Example Work Products

Example Work Products Further Explanation
Action proposals selected for
implementation
Action plans
Updated process assets

Related Practice Areas

Refer to the Decision Analysis and Resolution practice area for more information about selecting from a
list of action proposals.
Refer to the Process Asset Development practice area for more information about developing and
updating process assets.

CAR 3.4
Required Practice Information
Practice Statement
Record root cause analysis and resolution data.
Value
Recording and communicating improvement efforts across the organization can leverage savings and
increase productivity.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Collect data to know that you are:
• Improving project performance
• Preventing selected problems from recurring
• Leveraging superior performance
• Providing sufficient context for future use
Example Activities
Example Activities Further Explanation
Record root cause analysis data and Root cause analysis in this practice involves the use of
make the data available for use. qualitative and basic measurement data analysis

Example Work Products

Example Work Products Further Explanation
Root cause analysis and resolution May include:
records • Data on outcomes that were analyzed
• Rationale for decisions
• Action proposals
• Action plans resulting from action proposals
• Cost of analysis and resolution activities
• Measures of changes to the process performance of the
recorded process

CAR 3.5
Required Practice Information
Practice Statement
Submit improvement proposals for changes proven to be effective.

Value
Projects across the organization can take advantage of the savings and increased productivity.
Additional Required Information
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Explanatory Practice Information
Additional Explanatory Information
Ensure that other projects in the organization can benefit from the improvements.

Example Activities
Example Activities Further Explanation
Submit improvement proposals May include:
• Areas that were analyzed including their context
• Solution selection decisions made including the context of
their solution
• Actions selected including trade-off contexts evaluated
• Monitoring tasks including unintended side effects
• Results achieved including performance information with
context, even if expected outcome is not fully achieved by
the solution

Example Work Products

Example Work Products Further Explanation
Improvement proposals

Related Practice Areas

Refer to the Process Management practice area for more information about managing process
improvements.

Level 4

CAR 4.1
Required Practice Information
Practice Statement
Perform root cause analysis of selected outcomes using statistical and other quantitative techniques.
Value
Improves the likelihood that the project will meet its quality and process performance objectives.

Additional Required Information

Using results from statistical and quantitative techniques, evaluate, select, and implement action plans
and measure results.

Explanatory Practice Information

Additional Explanatory Information
Root cause analysis in this practice adds statistical and quantitative analysis to qualitative and basic
measurement data analysis.
Address outcomes including deficiencies in process stability and capability, deficiencies in performance
relative to its objectives, and unexpectedly positive results.
Root cause analysis typically depends on the availability of data, baselines, and models that can be used
in the analysis. Actions to take can range significantly in terms of effort and time needed to determine,
plan, and implement. It is difficult to know how much time is needed without an initial analysis of the
deficiencies.

Example Activities
Example Activities Further Explanation
Perform root cause analysis. To understand the impact on stability and capability and to
determine the reasons for positive and negative outcomes.
Process performance baselines and models are used in:
• Diagnosing deficiencies
• Diagnosing positive outcomes
• Identifying possible solutions
• Predicting future work and process performance
• Evaluating potential actions
Identify and analyze potential actions.
Identify measures of effectiveness.
Implement selected actions. Update solutions or processes.

Example Work Products

Example Work Products Further Explanation
Process and project performance Should include:
analyses • Statistical and quantitative analysis

Example Work Products Further Explanation

• Data visualization used to understand process and project
performance and trends
Identified root causes
Identified measures of effectiveness May include:
• Impact on performance
• Impact on meeting quality and process performance
objectives
• Impact on stability and capability
Action plans Include changes to solutions or processes.
Updated solutions or processes

Related Practice Area

Refer to the Managing Performance and Measurement practice area for more information about
managing performance.

CAR 4.2
Required Practice Information
Practice Statement
Evaluate the effect of implemented actions on process performance using statistical and other
quantitative techniques.

Value
Maximizes the likelihood of meeting quality and process performance objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Evaluate the effect of changes to verify that the process change is statistically significant.
Example Activities
Example Activities Further Explanation
Measure and analyze the change in Determines if the selected change has positively influenced
process performance of the project’s process performance.
effected processes. Statistical and other quantitative techniques (e.g., hypothesis
testing) can be used to compare the before and after
baselines to assess the statistical significance of the change.

Example Activities Further Explanation

Determine the impacts of the change Determines whether the selected change has positively
on achieving the project’s quality and influenced the ability of the project to meet its quality and
process performance objectives. process performance objectives. Process performance
models can aid in the evaluation through prediction of
impacts and return on investment.
Submit process improvement proposals
for the organization when the
implemented actions are effective.

Example Work Products

Example Work Products Further Explanation
Analysis of change in process performance
Organizational improvement proposals

Related Practice Area

Refer to the Managing Performance and Measurement practice area for more information about
managing performance.

Level 5

CAR 5.1
Required Practice Information
Practice Statement
Use statistical and other quantitative techniques to evaluate other solutions and processes to determine if
the resolution should be applied on a broader scale.

Value
Leverages improvements across the organization to minimize cost and risk.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
The intent of this practice is to learn from root cause analysis and determine if resolutions from historical
projects and solutions can be applied to other projects, processes, and solutions in the organization.

Example Activities
Example Activities Further Explanation
Identify similar processes or solutions.
Analyze to determine candidates for change
and prioritize them.
Apply changes to selected processes or
solutions and communicate results.

Example Work Products

Example Work Products Further Explanation
Identified candidate processes and solutions
Results of changes

Configuration Management (CM)

Required PA Information
Intent
Manage the integrity of work products using configuration identification, version control, change control,
and audits.

Value
Reduces loss of work and increases the ability to deliver the correct version of the solution to the
customer.

Additional Required PA Information

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Explanatory PA Information
Practice Summary
Level 1
CM 1.1 Perform version control.
Level 2
CM 2.1 Identify items to be placed under configuration management.
CM 2.2 Develop, keep updated, and use a configuration and change management
system.
CM 2.3 Develop or release baselines for internal use or for delivery to the customer.
CM 2.4 Manage changes to the items under configuration management.
CM 2.5 Develop, keep updated, and use records describing items under configuration
management.
CM 2.6 Perform configuration audits to maintain the integrity of configuration baselines,
changes, and content of the configuration management system.
Additional PA Explanatory Information
Planning for configuration management activities includes controlling work products developed or
modified by the project.
The work products placed under configuration management include:
• Deliverables to the customer
• Work products provided by the customer
• Designated internal work products, including:
o Solution-related components
o Support components (e.g., procedures)

• Acquired solutions
• Systems or tools
Baselines represent an approved version of a work product. They are intended to provide a clear and
accurate understanding of the work product for future use. Add baselines to the configuration
management system as they are developed. Systematically monitor and control changes to baselines and
work products using:
• Configuration identification
• Configuration control
• Change management
• Configuration auditing functions of configuration management
Agile with Scrum Guidance
Context Tag: Agile with Scrum

Context: Practices used by projects to plan and adopt agile with Scrum for managing
changes and ensuring product integrity.

Figure CM-1 shows where configuration management would typically be performed in an agile project
using Scrum. Control might vary from versioning and backup for retrospective data, to read-only access
for production code. Configuration Management processes should be used to augment an agile with
Scrum implementation to maintain the integrity of work products and deliverables. In an agile project
using Scrum, the definition of “done” is also a term that the team will typically discuss and decide when
conducting sprint planning, reviews, and retrospectives, so that the entire team agrees on the criteria for
knowing when the work product or solution is complete. Understanding the definition of “done” is
important to being able to verify and validate that the correct versions are produced and delivered from
each sprint.

Figure CM-1: CM in an Agile Framework

Figure CM-2: Typical Configuration Items Placed Under Selected Levels of

Control

Figure CM-2 shows the typical agile with Scrum work products that would be placed under selected levels
of configuration control. An agile team can leverage existing change management practices as a part of
its configuration management implementation, such as managing changes to the backlog before each
sprint. Configuration management processes should be used to track the various backlog versions and
the ripple effects to design information, code, test cases, and test results.

Context Specific
Development
Context Tag: CMMI-DEV

Context: Practices are used to develop quality products and services to meet the needs of
customers and end users.

Examples of work products that can be placed under configuration management may include:
• Hardware and equipment
• Drawings, diagrams, and mockups
• Product specifications

• Tool configurations
• Code and libraries
• Compilers
• Test tools and test scripts
• Installation logs
• Product data files
• Product technical publications
• Plans
• User stories
• Iteration backlogs
• Process descriptions
• Requirements
• Architecture documentation and design data
• Product line plans, processes, and core assets
An example of a baseline is an approved description of a product that includes internally consistent
versions of requirements, requirement traceability matrices, design, discipline-specific items, and
installation, end user, and operations documentation.
For product lines, apply configuration management across the products in the product line and across
multiple versions of core assets and products. (See the definition of “product line” in the glossary.)

Level 1

CM 1.1
Required Practice Information
Practice Statement
Perform version control.
Value
Increases customer satisfaction by ensuring that the correct solution is delivered.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Identify the correct versions of work products. This ensures the right versions are available for use or for
restoring to a previous version.

Example Activities
Example Activities Further Explanation
List the work products to be placed Include all versions and other relevant information (e.g.,
under version control and keep it location, ownership, etc.).
updated.
Control versions.

Example Work Products

Example Work Products Further Explanation
List of work products and their versions

Level 2

CM 2.1
Required Practice Information
Practice Statement
Identify items to be placed under configuration management.
Value
Reduces risk of rework and ensures that the right version is delivered to the customer.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Based on criteria established during planning, identify configuration items that need to be controlled,
managed, and accessed. Logical groupings provide ease of identification and controlled access.
Identification typically includes:
• Logical groupings of work products such as:
o Solutions delivered to the customer
o Designated internal work products
o Acquired solutions
o Tools, equipment, and other assets of the project’s environment
o Solution documentation and other support materials
• Why and how they are grouped
• How they are controlled, managed, and accessed
Example Activities
Example Activities Further Explanation
Assign unique identifiers to
configuration items.
Describe the important characteristics
for each configuration item.
Specify when each item is placed Describe the nature and timing of changes and when and
under configuration management. how they may affect the work products or solutions at each
stage.

Example Work Products

Example Work Products Further Explanation
Identified configuration items Characteristics may include:
• Owner or author
• Type of work product or solution
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permission by CMMI Institute. Usage by others is prohibited.
69

Example Work Products Further Explanation

• Key features
• Purpose of the item
• Relationships to other items and solutions
• Retention
• Version
• Security

CM 2.2
Required Practice Information
Practice Statement
Develop, keep updated, and use a configuration and change management system.
Core Information
Value
Reduces the cost and effort needed to control the integrity of work products and solutions.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Enables consistent and controlled access to work products and solutions and provides the ability to
restore a previous version, configuration, or baseline.
A configuration management system:
• May include both manual or automated methods, tools, or complete systems to control work
products and solutions
• May be embedded or integrated with other tools to produce work products and solutions
• Includes the procedures for accessing the system
The change management system:
• Provides a means for controlling changes to the identified configuration items
• Includes the storage media, procedures, and tools for recording and accessing change requests
• Is typically integrated with a configuration management system
Example Activities
Example Activities Further Explanation
Describe how the items and changes to
them are controlled, used, and

Example Activities Further Explanation

managed throughout the solution
lifecycle.
Establish methods to manage multiple The level of control is typically selected based on work
levels of control. objectives, risk, type, and resources.
Example levels of control include:
• Uncontrolled: Anyone can make changes
• Version controlled: Authors or owners control changes
• Baselined: A designated authority authorizes and controls
changes and affected stakeholders are notified when
changes are made
Provide access control to ensure
authorized access to the configuration
management system.
Store and retrieve configuration items Typically, storage and retrieval functions in a configuration
in the configuration management management system include a check-in and check-out
system. function.
Preserve the contents of the Examples of preservation functions of the configuration
configuration management system. management system may include:
• Backup and restoration of configuration management
items (e.g., files, physical artifacts, etc.)
• Archive of configuration management files
• Recovery from configuration management errors
• Keeping previous versions according to retention rules
Update the configuration management
system as necessary.

Example Work Products

Example Work Products Further Explanation
Configuration management system
Change management system
Updated configuration items

CM 2.3
Required Practice Information
Practice Statement
Develop or release baselines for internal use or for delivery to the customer.
Value
Ensures the integrity of the work products.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Baselines help to formally control changes by establishing points where the status of controlled work
products is known and approved. Changes will be used to develop the next baseline. Typically, a board or
a group of people (e.g., the work team, an approval group, or a Change or Configuration Control Board
(CCB)) formally approves baselines and changes to baselines. The composition of this board may change
over time depending on the impacted work products and affected stakeholders. For example, if the
baselines or changes are related to security, security experts may be invited to the board.
Represent a baseline by assigning an identifier to a configuration item (or a collection of configuration
items and associated entities) at a point in time. As a solution evolves, multiple baselines can exist.

Example Activities
Example Activities Further Explanation
Obtain authorization or approval before An approval group will typically assess the impact and
developing or releasing baselines of necessity of changes to configuration items.
configuration items.
Develop or release baselines only from
configuration items in the configuration
management system.
Record the set of configuration items
contained in a baseline.
Make the current set of baselines Only stakeholders with approved access should be able to
available. access the baseline information.

Example Work Products

Example Work Products Further Explanation
Authorization Includes establishing the baselines and changes to them.
Baselines Contains the configuration items and the associated changes.

Context Specific
Development
Context Tag: CMMI-DEV

Context: Practices are used to develop quality products and services to meet the needs of
customers and end users.

Include hardware, software, and documentation work products as appropriate in baselines.

One common set of baselines includes the system level requirements, system element level design
requirements, and the product definition at the end of development/beginning of production. These
baselines are typically referred to respectively as the “functional baseline”, “allocated baseline”, and
“product baseline.”
A software baseline can include:
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permission by CMMI Institute. Usage by others is prohibited.
72

• A unique identifier
• Version release notes
• A set of requirements
• Design
• Interfaces
• Source code files
• Executable code
• Test environments, test cases, etc.
• Build files
• User documentation (installation, operational, help, etc.)
A hardware baseline can include:
• A unique identifier
• Version release notes
• A set of requirements
• Design
• Interfaces
• Drawings or schematics
• Prototypes, simulations, breadboards, etc.
• Parts and materials
• Test environment
• Build or manufacturing instructions
• User documentation (installation, operational, help, etc.)

CM 2.4
Required Practice Information
Practice Statement
Manage changes to the items under configuration management.

Value
Reduces costs and schedule impacts by ensuring that only authorized changes are made.

Additional Required Information

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Explanatory Practice Information

Additional Explanatory Information
Analyze change requests to determine their impact on the work product, related work products, budget,
and schedule.
Maintain control over the configuration of the work product baseline by:
• Tracking the configuration of each item
• Approving changes to items and baselines
• Approving new configurations and baselines

Example Activities
Example Activities Further Explanation
Initiate and record change requests. Typically includes:
• Changes to requirements
• Failures and defects in work products
• Needs from stakeholders, end users, and customers
• Description of the impact to work products and solutions
Analyze the impact of change requests. Analysis should consider impacts to:
• Technical and project requirements
• Impact beyond the immediate project or contract
requirements
• Impact on release plans
• Cost
• Schedule
• Quality
• Functionality
• Commitments
Categorize and prioritize change Typically includes:
requests. • Allowing for emergency changes
• Allocating changes to future baselines
Review and get agreement on change An approval board typically:
requests to be addressed in the next • Reviews changes
baseline with affected stakeholders. • Records the disposition of each change request and the
rationale for each decision
• Reports results to stakeholders
Track the status of change requests to
closure.
Incorporate changes in a manner that Examples of check-in and check-out include:
maintains integrity. • Confirming the revisions are authorized
• Updating the configuration items
• Maintaining versions of work products
• Archiving the replaced baseline and retrieving the new
baseline
• Commenting on the changes made
• Assigning changes to related work products

Example Activities Further Explanation

Perform reviews or testing to ensure
changes have not caused unintended
impacts.
Record changes to configuration items
and rationale.

Example Work Products

Example Work Products Further Explanation
Change requests Typically includes:
• Description of the change
• Category of change
• Priority of change
• Status of change
• Impact of change
• Estimated implementation time
• Actual implementation time
Results of change impact analysis
Approval board records
Revision history of configuration items
Results of reviews or tests for
unintended impacts
Revised work products and baselines

CM 2.5
Required Practice Information
Practice Statement
Develop, keep updated, and use records describing items under configuration management.

Value
Accurate descriptions of the configuration items and status of changes enables reduction of rework.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Record the configuration actions and status to enable recovery to previous versions and to understand
the status of the item and the changes that were or are being made.

Example Activities
Example Activities Further Explanation
Record configuration management
actions in sufficient detail so the
content and status of each
configuration item is known and
previous versions can be recovered.
Ensure that affected stakeholders have Examples of activities for communicating configuration status
access to and knowledge of the include:
configuration status of configuration • Providing access permissions to authorized users
items. • Making baseline copies readily available to authorized
users
• Automatically alerting affected stakeholders when items
are checked-in, checked-out, or changed, and of decisions
made regarding change requests
Specify the differences among These are often referred to as release notes.
previous, related, and latest versions of
baselines.
Identify the version of configuration Also, identify the changes used to develop that baseline.
items that constitute a specific
baseline.
Revise the status and history (e.g.,
changes, other actions) of each
configuration item as necessary.

Example Work Products

Example Work Products Further Explanation
Revision history or change log of
configuration items
Change request records
Status of configuration items
Differences between baselines

CM 2.6
Required Practice Information
Practice Statement
Perform configuration audits to maintain the integrity of configuration baselines, changes, and content of
the configuration management system.

Value
Increases customer satisfaction and stakeholder acceptance by ensuring that the customer receives the
agreed-on and correct versions of work products and solutions.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Configuration audits confirm:
• Configuration management records and configuration items are complete, consistent, and
accurate
• Integrity of the baselines, change requests, and associated items
Example Activities
Example Activities Further Explanation
Assess the integrity of baselines and Examples include:
generate action items to address • Physical work product reviews verifying changes
identified issues. • Functional work product reviews verifying changes
• Comparison of approved changes versus actual changes
made in a work product
Confirm integrity of configuration Typically, this includes confirming:
management records. • Correctly identified configuration items
• The completeness, correctness, and consistency of items
Review the structure and integrity of
items in the configuration management
system.
Record action items and track them to
closure.

Example Work Products

Example Work Products Further Explanation
Configuration audit or review results Contains the objectives for and outcomes of audits in enough
detail to take action.
Action items Describes actions needed to address findings from audits and
the criteria needed to determine when they can be closed.

Decision Analysis and Resolution (DAR)

Required PA Information
Intent
Make and record decisions using a recorded process that analyzes alternatives.
Value
Increases the objectivity of decision making and the probability of selecting the optimal solution.
Additional Required PA Information
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Explanatory PA Information
Practice Summary
Level 1
DAR 1.1 Define and record the alternatives.
DAR 1.2 Make and record the decision.
Level 2
DAR 2.1 Develop, keep updated, and use rules to determine when to follow a recorded
process for criteria-based decisions.
DAR 2.2 Develop criteria for evaluating alternatives.
DAR 2.3 Identify alternative solutions.
DAR 2.4 Select evaluation methods.
DAR 2.5 Evaluate and select solutions using criteria and methods.
Level 3
DAR 3.1 Develop, keep updated, and use a description of role-based decision authority.
Additional PA Explanatory Information
This practice area involves:
• Developing and maintaining guidelines to decide which decisions should be subject to a
structured, criteria-based decision-making process
• Applying a criteria-based decision-making process for selecting from a set of alternatives
Apply criteria-based decision-making processes to technical or nontechnical alternatives that have
multiple possible options for resolution. A decision-making process can be used for decisions throughout
the organization.
One key element that contributes to the success of effective decision making is the involvement of
affected stakeholders. Stakeholders can include:
• Those impacted by the decision

• Implementers of the decision

Examples of criteria-based decision making include:
• Trade studies
• Determination of what solutions will be acquired or developed
• Configuration control board change approvals
• Selection of suppliers
• Risk mitigation choices
• Analysis of alternatives
• A make-or-buy decision
• Choices of manufacturing processes or tools
• Selection of locations, premises, and work facilities
• Changes in organizational structure
For organizational decisions, specify conditions that require criteria-based decision making. These
conditions could include a combination of:
• Impact on the cost of the decision
• Impact on timelines and schedules
• Impact on the quality of the solution
• Impact on other related processes
• Convenience or disruption to the workforce
• Impact on motivation and morale of the workforce
Criteria-based decision-making processes can vary in formality, type of criteria, and methods used:
• Less formal decisions can be analyzed in a shorter time and use fewer criteria (e.g.,
effectiveness, cost to implement).
• More formal decisions can require more effort, and may include:
o A plan
o Multiple reviews to develop and approve criteria
o Simulations
o Prototypes
o Piloting

Related Practice Areas

Refer to the Planning practice area for more information about establishing plans.
Refer to the Risk and Opportunity Management practice area for more information about identifying
analyzing, and mitigating risks.

Context Specific
Agile with Scrum Guidance
Context Tag: Agile with Scrum

Context: Practices used to adopt agile with Scrum and ensure more consistent decision-
making.

The decisions made by agile teams can include:

• Which agile tools to use
• Which features to include for each sprint, story, or epic
• Whether to undergo a significant refactoring of code that could result in further defects
• Criteria for acceptance from customer
Development
Context Tag: CMMI-DEV

Context: Practices used to develop quality solutions to meet the needs of customers and
end users.

Efforts in development can use criteria-based decision making for alternatives that may include:
• Whether to opt for a short-term code fix that would increase technical debt, or a longer-term
solution
• Which design approach to pursue
• Whether to make, buy, or reuse software code
• Whether to invest in automated testing, and to what degree, given the upfront investment
needed

Level 1

DAR 1.1
Required Practice Information
Practice Statement
Define and record the alternatives.
Value
A clear definition and understanding of the alternatives to be made reduces potential rework.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Decisions do not always consider alternatives. It is important to reach a common understanding of the
alternatives, their potential impact, and the necessary decision.

Example Activities
Example Activities Further Explanation
Define the alternatives.
Involve stakeholders in defining the alternatives.

Example Work Products

Example Work Products Further Explanation
Statement of the alternatives Describe the alternatives and identify the people involved.

DAR 1.2
Required Practice Information
Practice Statement
Make and record the decision.
Value
Provides a clear understanding of rationale and decisions made and avoids constant revisions and rework.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
The rationale behind decisions may be lost or questioned in the future. Recorded decisions are available
for future reference to understand and learn from the decisions made and the issues or contexts
associated with them.

Example Activities
Example Activities Further Explanation
Make and record the decision.

Example Work Products

Example Work Products Further Explanation
Recorded decisions May also include:
• Alternatives
• Rationale
• Selection criteria
• People involved

Level 2

DAR 2.1
Required Practice Information
Practice Statement
Develop, keep updated, and use rules to determine when to follow a recorded process for criteria-based
decisions.

Value
Reduces costs by focusing on the most important decisions.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Not every decision is significant enough to require a criteria-based decision-making process. Evaluate if a
decision is significant based on the work, circumstances, and established guidelines. Consider the cost of
making the decision versus the impact of the decision.
Conditions when a criteria-based decision-making process may be needed include when there are:
• Significant adverse effects on cost, quality, resources, or schedule
• Legal or contractual obligations
• Requirements resulting in significantly different alternative solutions
• Issues that have medium-to-high-impact risk
• Changes to work products under configuration management
• Impacts on people’s morale, motivation, and convenience
Example Activities
Example Activities Further Explanation
Develop and record rules and
guidelines for when to use a process
for criteria-based decision making.
Follow and rules and guidelines for
criteria-based decision making.
Communicate rules and guidelines to Ensure affected stakeholders are informed when a criteria-
affected stakeholders. based decision-making process will be used.

Example Work Products

Example Work Products Further Explanation
Rules and guidelines for criteria-based
decision making

Example Work Products Further Explanation

List of recorded criteria-based
decisions.

Related Practice Areas

Refer to the Risk and Opportunity Management practice area for more information about evaluating,
categorizing, and prioritizing risks.
Context Specific
Development
Context Tag: CMMI-DEV

Context: Practices are used to develop quality products and services to meet the needs of
customers and end users.

Examples of activities for which you may use a criteria-based decision-making process include:
• Making design implementation decisions when technical performance failure can cause a
catastrophic failure (e.g., safety-of-flight item)
• Making decisions with the potential to significantly reduce design risk, engineering changes, cycle
time, response time, and production costs (e.g., to use different approaches to assess form and
fit capability before releasing engineering drawings and production builds)
• Developing new or changing existing requirements resulting in significantly different alternative
architectures or designs
• Make, buy, or reuse components
• Selecting testing tools and environment
• Determining alternative software coding approaches

DAR 2.2
Required Practice Information
Practice Statement
Develop criteria for evaluating alternatives.
Value
Enables consistent selection of optimal solutions.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Both numeric and non-numeric criteria can be used with a process for criteria-based decision making.
Decisions based on explicitly defined criteria can remove barriers to stakeholder agreement and
acceptance.

Example Activities
Example Activities Further Explanation
Define the criteria for evaluating Can help to establish boundaries for making decisions.
alternative solutions.
Define, use, and keep updated the May involve:
range and weighting for evaluation • Developing weighting for relative importance of evaluation
criteria. criteria
• Identifying risks and impacts
• Ranking criteria according to the defined range and
weighting to reflect the needs, objectives, and priorities of
affected stakeholders

Example Work Products

Example Work Products Further Explanation
Recorded evaluation criteria May include:
• Rationale for the criteria
• Criteria ranking and weighting

DAR 2.3
Required Practice Information
Practice Statement
Identify alternative solutions.
Value
Increases the quality of the solution and customer satisfaction.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
The number of alternatives may be limited at first. Through the analysis process, add other alternatives
to the list of potential alternatives. Generate and consider multiple alternatives early in the decision-
making process. This makes it easier to choose a solution that best meets the criteria, and to understand
the potential consequences of that decision.

Example Activities
Example Activities Further Explanation
Research information about similar This can help:
internal or external past decisions. • Provide a deeper understanding of the problem
• Identify alternatives to consider
• Uncover barriers to implementation
• Identify lessons learned from similar decisions
Identify additional alternatives to Use evaluation criteria as a starting point for identifying
consider. alternatives. Evaluation criteria identify the priorities of
affected stakeholders and the importance of business,
performance, technical, logistical, or other challenges.
Combine key characteristics of existing alternative solutions
to generate additional, sometimes stronger, alternative
solutions.
Solicit alternative solutions from affected stakeholders (e.g.,
though brainstorming sessions, interviews, and working
groups).
Record selected alternatives.

Example Work Products

Example Work Products Further Explanation
Recorded alternatives

DAR 2.4
Required Practice Information
Practice Statement
Select evaluation methods.
Value
Optimizes the cost, schedule, and performance for the decision being made.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Evaluation methods are used to determine which alternative meets the stated criteria.
Example Activities
Example Activities Further Explanation
Select evaluation methods. Evaluation methods may include:
• Structured weighting matrix
• Testing
• Modeling and simulation
• Studies or benchmarking
• Surveys
• Prototypes
• Focus groups
• Expert judgment

Example Work Products

Example Work Products Further Explanation
Selected evaluation methods

DAR 2.5
Required Practice Information
Practice Statement
Evaluate and select solutions using criteria and methods.
Value
Ensures that the optimal solution is selected.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
A variety of methods may be iteratively used for evaluating and making criteria-based decisions.
Example Activities
Example Activities Further Explanation
Evaluate proposed alternative solutions
following the recorded process for
criteria-based decisions.
Record the results of the evaluation. Record the rationale for adding new alternatives, adding new
methods, changing criteria, and the interim evaluation
results.
Assess the risks associated with There can be substantial risk when decisions are made with
implementing the recommended incomplete information.
solution.
Record and communicate the results It is important to record both why a solution is selected and
for the recommended solution to why other solutions were rejected.
affected stakeholders.

Example Work Products

Example Work Products Further Explanation
Evaluation results
Assessed risks
Recommended solutions

Related Practice Areas

Refer to the Risk and Opportunity Management practice area for more information about identifying,
analyzing, and mitigating risks.

Level 3

DAR 3.1
Required Practice Information
Practice Statement
Develop, keep updated, and use a description of role-based decision authority.
Value
Reduces business risk by ensuring the appropriate levels of authority are making and approving
decisions.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Identify the decision review and approval authority. Approval authority is typically determined by risk and
financial, legal, or other business factors in an organization. Determine the organizational approach to be
used in making decisions, including:
• The level of authority
• Who should be involved
• Who must review the decisions
• Who must approve the decisions
In addition, decision processes in different parts of the organization or at different levels of the
organization may be analyzed or approved differently.
Example Activities
Example Activities Further Explanation
Identify, record, keep updated, and
communicate the roles and levels of
decision-making authority.

Example Work Products

Example Work Products Further Explanation
List of roles and decision-making Decision-making authority may involve roles in areas such
authority and responsibilities as:
• Legal or regulatory
• Contractual
• Financial
• Personnel management
• Security
• Safety
• Technical
List of decision authority levels Elements of the list may include:

Example Work Products Further Explanation

• Description of the level
• Roles involved
o Reviewer
o Approver
• Escalation procedures
• Communication requirements

Estimating (EST)

Required PA Information
Intent
Estimate the size, effort, duration, and cost of the work and resources needed to develop, acquire, or
deliver the solution.

Value
Estimation provides a basis for making commitments, planning, and reducing uncertainty, which allows
for early corrective actions and increases the likelihood of meeting objectives.

Additional Required PA Information

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Explanatory PA Information
Practice Summary
Level 1
EST 1.1 Develop high-level estimates to perform the work.
Level 2
EST 2.1 Develop, keep updated, and use the scope of what is being estimated.
EST 2.2 Develop and keep updated estimates for the size of the solution.
EST 2.3 Based on size estimates, develop and record effort, duration, and cost estimates
and their rationale for the solution.
Level 3
EST 3.1 Develop and keep updated a recorded estimation method.
EST 3.2 Use the organizational measurement repository and process assets for
estimating work.
Additional PA Explanatory Information
Estimation provides the basis for making commitments. An estimate takes into consideration the scope,
size, and complexity of the work. Base the estimate on the available information. Record any uncertainty
as a risk.
Uncertainty or risk in a commitment can be handled by:
• Providing an initial commitment with an understanding that the initial commitment may be
changed if the scope changes
• Defining milestones to refine an initial commitment range to produce a final commitment after
more investigation

• Committing to the known parts of the project, and committing to the remainder of the work after
further investigation and definition
Historical data describing the relationship between measured size and resources such as effort, cost, and
schedule should be used when planning future work. A good understanding of historical data is critical to
successful estimating. Use historical data when planning future work and to calibrate estimation formulas
and models. Record qualitative information such as context, methods, tools and techniques used, and
lessons learned from past projects.
Estimate and track several aspects of the work to realize value. For example, based on the table below,
how complete is the work?

Table EST-1: Example Tracking Information

Percent
Aspect
Completed
Size 10%
Effort 60%
Duration 50%
Cost 75%

This question cannot be answered if only effort is tracked. In order to get a complete picture of the
status, the other aspects of the project need to be estimated and tracked. If all of these aspects are not
estimated and tracked, it could lead to an incomplete or misleading understanding of the work status.
The numbers in the table indicate a potential problem and should trigger an investigation to determine
the real status of the project. There are other aspects of the work, such as complexity, that may affect
the answer. For example, the size may only be 10% complete because the project front loaded the highly
complex components. Understanding the aspects and their relationships will provide a more
comprehensive estimate. The rationale of the estimate should be based on historical data, rather than on
the experience and knowledge of the estimator.

Related Practice Areas

Refer to the Requirements Development and Management practice area for additional information on
requirements for understanding the work prior to estimation.
Refer to the Risk and Opportunity Management practice area for additional information on the
identification of risk.
Refer to the Managing Performance and Measurement practice area for additional information on
historical data and performance models.

Context Specific
Agile with Scrum Guidance
Context Tag: Agile with Scrum

Context: Practices used by projects to adopt agile with Scrum when developing estimates.

In general, agile teams using Scrum estimate during the backlog grooming and sprint planning steps:
• Estimates for backlog items are typically a rough order of magnitude.
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92

• Some agile teams using Scrum develop a comprehensive estimate during release planning for a
set of stories or epics.
• Estimates for each sprint are typically more refined, allowing the team to understand their
commitments.
The typical agile estimation steps develop the following information:
• Size: During backlog review, assign backlog items, such as requirements and user stories, a
relative size using story points (see Table EST-3). In addition to story points, agile with Scrum
teams may use such techniques as planning poker or t-shirt size (small, medium, large, or extra-
large) to estimate size. Often requirements are converted into user stories before estimation is
performed. Complex needs or requirements may be transformed into an epic, which is typically a
large user story that can span more than one sprint. If the epic spans more than one sprint, it is
typically broken into smaller user stories. The transformation of user stories into story points
takes into account the size and complexity of the solution.
• Tasks and Effort: During sprint planning, agile teams using Scrum and the product owner
collaborate to select user stories off the backlog based on the priority of the product owner and
estimate them using relative sizing techniques such as planning poker, t-shirt sizing, or the Team
Estimation Game. Using the team’s known velocity as a guide, prioritized stories are accepted by
all stakeholders into the sprint. Some agile teams estimate the task effort in hours for each story
based on historical data or other effort estimation technique.
• Determine how many user stories can be committed to the sprint when team velocity is
known (story points completed per sprint).
• Estimate effort at the task level and use the total to determine the amount of work that can
fit into a sprint based on available capacity.
• Use known velocity numbers to make a first estimate of what can be committed to in a
sprint, and then use task breakdown and effort data to refine and validate the decision.
• Task Assumptions: Assumptions are discussed and confirmed during sprint planning events
and often reviewed during the retrospective to improve estimates. Assumptions should be
recorded, clarified, and communicated during these events (see examples in Table EST-3).
Figure EST-1 shows where estimation is typically performed in an agile project. Table EST-2 and
Table EST-3 show example estimation data and the model practices used to generate this information.

Figure EST-1: Estimating in an Agile Cycle

Table EST-2: Backlog with Estimates

Table EST-3: Requirement/Task Estimation & Model Practices

Level 1

EST 1.1
Required Practice Information
Practice Statement
Develop high-level estimates to perform the work.
Value
A high-level estimate addresses work size, cost, and schedule uncertainties to avoid pursuing work that
may result in schedule or budget overruns.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
The high-level estimate is typically:
• A rough draft, top-down estimate (also called a rough order of magnitude estimate)
• Based on identified or recorded assumptions and uncertainty
• Developed quickly
• Based on previous knowledge and experience

Example Activities
Example Activities Further Explanation
Review needs and assumptions and
determine high-level estimates with
stakeholders.

Example Work Products

Example Work Products Further Explanation
Rough order of magnitude estimate Includes:
• An estimate of the size, complexity, cost, effort, or
duration of the solution
• Assumptions
• Unit of measure

Level 2

EST 2.1
Required Practice Information
Practice Statement
Develop, keep updated, and use the scope of what is being estimated.
Value
Ensures the entire solution is addressed which increases the likelihood of meeting objectives and avoiding
rework.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
The scope:
• Includes the work effort
• Defines the solution to be developed, delivered, or acquired
• Results in the information needed to estimate the size, effort, cost, and duration
• Addresses any resources that must be acquired or will be consumed during the project
• Establishes the work constraints (e.g., what is included and what is not included)
Use an initial set of requirements and work objectives to form the basis for establishing the scope.
Defining and using the scope can help uncover missing or misunderstood requirements, identify risks,
and develop more detailed estimates. Inaccurate estimation is often the result of not understanding the
scope of the work. Update the scope as the project progresses to address changes.
Example Activities
Example Activities Further Explanation
Review requirements and objectives
with stakeholders to determine scope.

Example Work Products

Example Work Products Further Explanation
List of tasks and activities or Work To more accurately estimate costs, include identified
Breakdown Structure (WBS) resources for tasks and durations.
List of needed resources Includes not just staff, but also other resources needed to
accomplish the work (e.g., facilities, acquired solutions,
tools).
Work flow diagram Visualizes how tasks will flow between resources and what
conditions allow the sequence to move forward.

Related Practice Areas

Refer to the Requirements Development and Management practices for more information about
requirements.

EST 2.2
Required Practice Information
Practice Statement
Develop and keep updated estimates for the size of the solution.

Value
Well-defined estimates allow work tracking and timely corrective actions to deliver the solution on time
and within budget.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Size is the primary input to many estimation models. Estimation is not a one-time activity that is only
performed before or at the start of the project. It is a recurring activity where the estimate is adjusted as
new information becomes available throughout the lifecycle of a solution, operations and maintenance, or
for services produced and delivered.
Estimating size provides a consistent basis for estimating effort, duration, and cost. A relative level of
difficulty or complexity may be associated with size estimates and is used in the transformation to effort,
duration, cost, and quality. For example:
• For services, size could be the type or number of service requests, number of calls received in an
hour, or the number of customers desiring a service delivery, etc.
• For software development, size could be the number of objects, the number of components, the
number of features, standard or customized function points, the number of requirements, or the
number of lines of code, etc.
• For hardware development, size could be the number of connections or connection points, the
number of welds, the number of boards, the number of components, or the number of hardware
and software integration points, etc.
• For supplier management, size could be the number of requirements, the number of features, the
number of items to be acquired, or the number and types of bidders, etc.

Example Activities
Example Activities Further Explanation
Use applicable methods to estimate the Methods for determining size include:
size and complexity of solutions and • Analogy
tasks. • Delphi
• 3-point estimation

Example Activities Further Explanation

• Parametric estimation
The project estimation methods and their use may change
over time as the understanding of the relationship of solution
characteristics to size improves.
Complexity is typically used in the transformation from size
to effort, duration, and cost. Complexity may also include
qualitative aspects of the solution, such as new vs. legacy.

Example Work Products

Example Work Products Further Explanation
Size estimate Typically includes:
• Size
• Unit of measure
• Rationale or basis for estimate, including assumptions and
constraints
• Complexity – could be a multiplier of size, or a modifier
(such as Hard, Medium, Easy), to take into account the
potential difficulty of implementing the solution

EST 2.3
Required Practice Information
Practice Statement
Based on size estimates, develop and record effort, duration, and cost estimates and their rationale for
the solution.

Value
Enables a better basis for commitments and improves accuracy of the estimates, leading to better
decision making.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
This practice transforms the size estimate into estimates of effort, duration, and cost. Use estimation
models, historical data, expert judgment, or a combination of all three. Understanding the size of the
solution provides a more accurate basis for determining the effort, duration, and cost for the solution.
During the course of the work, compare the rationale to actual conditions to identify missing or
unnecessary aspects in the original estimate. Identifying missing or unnecessary aspects supports re-
planning the current work or estimating future work.
Managers and leads typically perform top down estimation. Bottom up estimation is typically performed
by team members.

Develop and calibrate estimation models using available historical data. To maintain confidence, update
estimation models as additional data becomes available.
Sometimes, historical data is not available, such as when efforts are unprecedented. Unprecedented
efforts are riskier and require more research to develop a basis of estimate. Record rationale for what
made the work unique to aid understanding of any assumptions made in the initial planning phases.

Example Activities
Example Activities Further Explanation
Collect and use historical data to To ensure a high level of confidence in the estimate, use
develop, calibrate, or recalibrate multiple models or methods as needed, for example, based
models or methods to transform size on the most important set of tasks and activities.
and complexity into effort, duration, Historical data should include:
and cost estimates.
• Size, cost, effort, and schedule (duration) data from
previous completed projects.
• Appropriate scaling data to account for differing sizes and
complexity.
• In addition, information on factors that influenced the
performance and other contextual information will help
determine if past data can be included, excluded, or
adjusted.
Historical data can also be used with analogies (e.g., if a
current project is 10% smaller than a similar historical
project, use the historical project’s results reduced by 10%).
There may be instances where historical data is not available
or does not apply. In the absence of historical data (for
example, no prior history of work similar to current work)
external sources like industry data may be used.
Models can also be based on other characteristics such as
service level, connectivity, complexity, availability,
reusability, and structure. Other examples of characteristics
include:
• Critical competencies and roles needed to perform the
work
• Needed knowledge, skills, experience, and training
• Selected lifecycle model and processes
• Travel
• Team productivity
• Geographic dispersal of work group members
• Proximity of customers, end users, and suppliers
• Amount of risk
• How agreeable or difficult the customer is
• Direct labor rates and overhead
• Penalties for warranty work
• Regulatory requirements or environment
• Level of security required for tasks, work products,
hardware, software, personnel, and work environment
Describe and record the rationale for Recording the rationale provides the context for using
the estimates of effort, duration, and historical data for estimating future work.
cost for the solution.

Example Activities Further Explanation

Include estimates of supporting The supporting infrastructure includes resources needed to
infrastructure needs. support the project but are not necessarily included in the
project itself. Consider the infrastructure resources needed
for the work, including:
• Contracts
• Facilities
• Tools
• Consumables
• Licenses
• Travel

Example Work Products

Example Work Products Further Explanation
Effort estimate Typically includes:
• Effort
• Unit of measure (typically hours or days)
• Productivity
• Context for the effort estimate
Duration estimate Typically includes:
• Duration
• Unit of measure (typically hours or days)
• Rationale for the duration estimate
Cost estimate Typically includes:
• Cost
• Unit of measure (e.g., local currency, contract currency)
• Rationale for the cost estimate
Estimating rationale Typically includes:
• Description of what is being estimated
• Scope
• Assumptions and constraints
• Comparisons to similar work
• Team experience with the technology and domain
• Risks
• Use of historical data
• Tools, techniques, or methods used:
o Off the shelf tools
o Internally developed tools
o Formulas and calculations
o Models

Level 3

EST 3.1
Required Practice Information
Practice Statement
Develop and keep updated a recorded estimation method.
Value
Maximizes consistency and efficiency for developing accurate estimates and increases the likelihood of
meeting objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
A defined estimation method is a standard approach using established processes and the best available
valid data to estimate the current or future size, effort, cost, and duration of a project based on what is
known. Valid estimating data is applicable to the context of the work being estimated. Organizations may
have more than one estimation method.
Methods using historical data provide a data driven approach to estimation. Calibrate methods based on
actual results vs. historical data and recalibrate methods when conditions, assumptions, processes, or
performance change. Use an analysis of estimation accuracy to improve the method.
Some standard methods are described in the following table:
Table EST-4: Example Estimation Methods

Method Brief Description

Delphi method Estimates are developed by a group of subject matter
experts where each independently gives their estimates and
assumptions to the designated facilitator. The team discusses
the differences and re-estimates. This is repeated until the
estimates converge. The facilitator then records the final
estimate.
Comparative or analogous estimation Estimates are based directly on past results for similar
projects. The estimate is then adjusted for differences in
size, complexity, or other factors to reflect current
knowledge.
Parametric estimation Parametric estimates are based on historical data and project
parameters and typically use a tool. Note that there are
various forms of estimation tools, including:
• Mathematical
• Scenario-based
• Simulation
• Calibrating the estimation tool as it is used can provide
additional estimation accuracy.

Method Brief Description

3-point estimation Each estimator (note that there may be only one estimator)
provides high, low, and most-likely estimates. The facilitator
combines them and calculates the resulting value by using
the formula:
(high + (4 * most likely) + low) / 6.

Example Activities
Example Activities Further Explanation
Determine the acceptable estimation Estimation methods are most accurate when based on
methods. historical data and validated before use. The estimation
methods should be used consistently for similar activities,
projects, domains, etc. Involve subject matter experts in
developing and approving the method.
The estimation tools can be built or acquired, but should be
calibrated with organizational data.
Calibrate and adjust method based on One approach to calibrate is to refresh the data periodically
actual results. or recalibrate data after the most recent use. For example,
compare the actuals from the most recent calendar quarter
of data to an estimate of that same quarter using the
average of the previous three calendar quarters. Based on
differences, adjust the method.
Validate method. The method should be validated by subject matter experts
who have used and understand when to apply the method.

Example Work Products

Example Work Products Further Explanation
Recorded estimation methods The process, tools, and data used for the selected estimation
methods.

EST 3.2
Required Practice Information
Practice Statement
Use the organizational measurement repository and process assets for estimating work.
Value
Increases estimation precision, accuracy, and consistency enabling better decision making, a higher
likelihood of meeting objectives, and reduced risk.

Additional Required Information

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Explanatory Practice Information

Additional Explanatory Information
Using organizational assets as a basis for estimating leverages the data and experience from previous
projects to improve the reliability of estimates for similar work. Select the most appropriate estimation
method and use it to produce the estimates.
When using organizational assets consider:
• Historical and validated data from this work or similar work and its context
• Similarities and differences between the current work and work from which historical data will be
used
• Rationale used to select the historical data
• Type of work
• Tailoring performed
• Geographic-specific information
• Domain and technology
Examples of data contained in the organization’s measurement repository that could be used in
estimation may include:
• Size
• Effort
• Cost
• Duration
• Personnel
• Experience
• Response time
• Capacity
• Performance
• Quality
• Context specific information
Example Activities
Example Activities Further Explanation
Use organizational assets and Include selection criteria and rationale for the chosen
measures for estimation. estimation technique.
Use estimation methods.
Contribute results and measures to the Include actual results, contextual information, and identified
organization in order to improve the improvements.
estimation methods and update
organizational assets.
Analyze organizational data. Analyze data to better understand:
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permission by CMMI Institute. Usage by others is prohibited.
104

Example Activities Further Explanation

• Variability
• Data quality
• Mean, median, mode

Example Work Products

Example Work Products Further Explanation
Work estimates Include historical data, context, and approved use from the
organization.
Updated organizational process assets Updated organizational process assets may include:
• Templates
• Best practice examples
• Approved methods for use
• Guidelines
Updates to the organizational measurement repository may
include:
• Historical estimation data (e.g., actual effort expended,
number of function points)
• Rationale for the estimate (e.g., team skill levels, amount
of code reused)
• Contextual information (e.g., domain, type of work,
customer)
• Updated estimation results

Governance (GOV)

Required PA Information
Intent
Provides guidance to senior management on their role in the sponsorship and governance of process
activities.

Value
Minimizes the cost of process implementation, increases the likelihood of meeting objectives, and ensures
that the implemented processes support and contribute to the success of the business.

Additional Required PA Information

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Explanatory PA Information
Practice Summary
Level 1
GOV 1.1 Senior management identifies what is important for doing the work and defines
the approach needed to accomplish the objectives of the organization.
Level 2
GOV 2.1 Senior management defines, keeps updated, and communicates organizational
directives for process implementation and improvement based on organization
needs and objectives.
GOV 2.2 Senior management ensures resources are provided for developing, supporting,
performing, improving, and evaluating adherence to expected processes.
GOV 2.3 Senior management identifies their information needs and uses the collected
information to provide governance and oversight of effective process
implementation and improvement.
GOV 2.4 Senior management holds people accountable for adhering to organization
directives and achieving process implementation and improvement objectives.
Level 3
GOV 3.1 Senior management ensures that measures supporting objectives throughout the
organization are collected, analyzed, and used.
GOV 3.2 Senior management ensures that competencies and processes are aligned with
the objectives of the organization.
Level 4
GOV 4.1 Senior management ensures that selected decisions are driven by statistical and
quantitative analysis related to performance and achievement of quality and
process performance objectives.

Additional PA Explanatory Information

Senior management involvement is critical to the success of process implementation in an organization.
Senior management:
• Sets the strategy, direction, and expectations for process efforts
• Ensures that processes are aligned with business objectives and needs
• Reinforces and rewards the development and use of processes to ensure their improvement and
sustainment
• Monitors the performance and achievements of the processes
• Provides adequate resources for process and performance improvement
Implement processes to meet the intent of these practices to improve process sustainment and
integration throughout the organization. The practices in this PA are intended to apply to the set of
organizational or project processes by identifying process roles for senior management to perform.

Level 1

GOV 1.1
Required Practice Information
Practice Statement
Senior management identifies what is important for doing the work and defines the approach needed to
accomplish the objectives of the organization.

Value
Increases the likelihood that the organization implements and improves processes efficiently and
effectively to meet business objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Senior management is responsible for understanding the marketplace, developing business strategies,
and defining business objectives. Senior management must set and communicate organizational direction
that:
• Governs organizational activities, including process implementation and improvement efforts
• Includes objectives, business strategy, and the approaches intended to address both
• Sets expectations for ensuring that the organization’s process efforts support business and
performance needs and objectives
• Provides input to improvement plans
Organizational direction is typically provided as statements of policy, strategy, mission, vision, values, and
objectives.
Senior managers review, update, and communicate organizational direction periodically or as
performance, business needs, and objectives change.
Example Activities
Example Activities Further Explanation
Senior management decides what is important for improvement,
sets the approach, and communicates the results.

Example Work Products

Example Work Products Further Explanation
Identification of importance of and approach to improvement
Records of reviews and communications

Level 2

GOV 2.1
Required Practice Information
Practice Statement
Senior management defines, keeps updated, and communicates organizational directives for process
implementation and improvement based on organization needs and objectives.

Value
Increases likelihood of meeting organizational needs and objectives because work is performed in
accordance with senior management’s expectations and priorities.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Guiding principles, which are essential to a viable business culture, are often recorded in organizational
strategies, mission, and vision statements.
A mission statement provides a simple statement of what the organization does, the reason for its
existence, and the value it provides to customers, investors, stakeholders, and other interested parties.
A vision statement provides a high-level statement of what the organization wants to achieve strategically
in the coming years.
Organizational strategy provides guidance related to the:
• Decisions made to achieve long-term objectives
• Actions an organization intends to take to achieve long-term objectives
• Identification of resources needed to accomplish long-term objectives
Guiding principles form the basis for directives. Over time, the directives become ingrained in how the
organization implements and improves processes and provide the basis for how the organization does
business.
Senior management:
• Defines directives that influence and help focus process implementation and improvement efforts
on achieving organizational objectives and addressing needs.
• Communicates these directives across the organization to ensure that priorities and expectations
are understood.
Directives:
• Record what is important to senior management
• Clearly specify which parts of the organization are affected by and held accountable for compliance
• Develop expectations and specify requirements for following organizational standards,
implementing and improving the processes, and sharing information

Review organizational directives on a periodic and as-needed basis to confirm they accurately reflect and
support organizational improvement objectives.

Example Activities
Example Activities Further Explanation
Senior management defines Although senior managers are responsible and accountable
organizational directives based on for defining policies, other members of the organization,
guiding principles. such as process improvement team members, often
participate in developing directives.
Senior management reviews and Other members of the organization may provide input on
refines process implementation and process implementation and improvement objectives. These
improvement objectives to ensure people may include:
alignment with the guiding principles. • Executive managers
• Functional managers
• Members of a steering committee
• Subject matter experts
To ensure that processes remain aligned with the
organizational strategy, senior management must be
involved in prioritizing improvement objectives.
Senior management communicates Communication should take place through different channels
improvement directives. and may include:
• In-person discussions and meetings
• All hands meeting content and minutes
• Videos
• Websites and blogs
• Corporate newsletters and boards
• Annual report
• Marketing material
• Emails
• Orientation package
• Training materials
• Social media
Senior management reviews and This activity may involve input from other members of the
updates improvement directives on a organization such as functional managers, a steering
periodic or event-driven basis. committee, and subject matter experts.
After internal or external changes, the organization may
need to review the relevance of directives.

Example Work Products

Example Work Products Further Explanation
Organizational improvement directives
Records of communication

GOV 2.2
Required Practice Information
Practice Statement
Senior management ensures resources are provided for developing, supporting, performing, improving,
and evaluating adherence to expected processes.

Value
Providing sufficient resources increases the likelihood that senior management’s priorities for
improvement will be met.

Additional Required Information

Resources must be of sufficient quality and quantity to perform these activities.

Explanatory Practice Information

Additional Explanatory Information
Senior management prioritizes resource allocation across the organization. This supports the capabilities
necessary to achieve the desired performance results by balancing resource needs against availability.
For processes to be performed as defined and expected, senior management must provide adequate
resources to develop, perform, improve, support, and evaluate adherence to those processes. Resources
may include people, funding, tools, equipment, facilities, environment, and consumables. Resources also
include senior management’s time and attention.
Senior management should focus on prioritizing resources to meet both short- and long-term objectives
and encourage repeatable and consistent process performance.
The adequacy of resources depends on availability, capacity, and capability and can change over time.
Sufficient resources must be provided to ensure that needed expertise, facilities, or tools are available.
Senior management should consider increasing available resources or removing requirements,
constraints, or commitments to address needs. Information that can be used to determine if resources
are sufficient includes:
• Roles and responsibilities definition
• Needed and available skills, knowledge, and experience
• Cost
• Description of facilities
• Tool availability and appropriateness
• List of equipment
• Environment description
• List of consumables, including amounts
• Timeframe of availability
• Dependencies
Senior management’s most valuable resource is their time. For improvement efforts to be successful,
senior management must provide ongoing, visible, and active support.

Example Activities
Example Activities Further Explanation
Senior management approves and
provides the funding and resources
needed to develop, perform, improve,
and monitor the process.
Senior management reviews, revises,
and communicates assignment of
needed funding, personnel, and
resources to develop, perform,
improve, and monitor the process.
Senior management reviews and
refines the allocation of budget and
resources.

Example Work Products

Example Work Products Further Explanation
Recorded allocation of needed funding
and resources approved by senior
management
Records of reviews and
communications

GOV 2.3
Required Practice Information
Practice Statement
Senior management identifies their information needs and uses the collected information to provide
governance and oversight of effective process implementation and improvement.

Value
Aligns the information senior management receives with their business needs to increase the likelihood of
meeting business objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Senior management must identify the information necessary for them to:
• Make timely and informed decisions
• Understand status and when to act on it
• Reinforce the importance of performance improvement

• Align organizational process improvement efforts to meet objectives

Process effectiveness indicates the organization’s capability to achieve performance objectives. Senior
management can determine how efficient and effective processes are by comparing process
implementation and improvement results to process improvement and performance objectives.
Senior management identifies and prioritizes the information they need about process capability and
performance improvement. Senior management provides guidance and direction to align measures and
activities with identified information needs and objectives. Senior management reviews information to
understand:
• Current process improvement status and its effectiveness
• Organizational performance
• If business objectives are being met
• Capability of current processes to meet current and future objectives
• When and where to take corrective action
Senior management uses periodic and event-driven reviews to obtain insight into organizational process
improvement activities. These reviews are for senior managers who provide the policy and overall
guidance for the process and not for those who perform the day-to-day monitoring and controlling of the
process.
During the reviews, senior management:
• Reviews measurement results and addresses issues
• Reviews status against process improvement plans and addresses issues
• Reviews results of process implementation and addresses issues
• Reviews progress against tactical and operational objectives
The scope, length, content, level of abstraction, and frequency of these reviews depend on the needs of
senior management. Reviews enable senior management to understand and take action on the planning,
deployment, implementation, use, performance, and improvement of processes.
Information reported to senior managers improves their insight into the process to ensure the
organization manages work, achieves objectives, and improves performance. Measures provide objective
information that is used to make informed decisions and take appropriate corrective action. The
information reported to senior management may be provided in summary form.

Example Activities
Example Activities Further Explanation
Senior management identifies and This includes approval of how the needed information will be
keeps up to date their information reported.
needs related to process capability,
improvement, and performance
objectives.
Senior management ensures that Measures:
measures supporting the organization’s • Align to organizational objectives
objectives are defined. • Support the organization’s ability to manage its
performance results

Example Activities Further Explanation

Senior management reviews activities, Reviews of the process, performance, work products, and
accomplishments, status, and results of solutions include:
the process implementation and • Reviewing against the plan for implementing and
improvement activities. improving process capability and resulting performance
• Reviewing with the immediate level of management
responsible for process implementation and improvement
activities
• Reviewing measurement data and qualitative information
• Identifying issues by:
o Reviewing performance
o Collecting and using measures
o Deploying, implementing, using, performing, and
improving the process
• Determining if corrective action is needed
Senior management oversees updates
to the process implementation and
improvement plans.
Senior management oversees the Use of measurements supports:
appropriate integration of • Objective planning and estimating
measurement and analysis activities • Tracking actual progress and performance against plans
into all organization processes. and objectives
• Identifying and resolving process-related issues
• Providing a basis for incorporating measurement into
additional processes in the future

Example Work Products

Example Work Products Further Explanation
Senior management information needs The people collecting and reporting the information must
understand its importance and use.
Senior management may not share sensitive or private
information with the organization.
Standard reporting format or agenda Includes discussion items and expected content identified by
for review with senior management senior management for the review.
Report templates and tools provide an understandable, easily
interpreted format for communicating the information
identified for review by senior management.
Reports may be produced periodically or as needed.
Reports focus on the information needs identified by senior
management using defined reporting formats and may
include:
• Information
o Measures
o Data
• Analysis of data (e.g., trend analysis, objective
achievement analysis)

Example Work Products Further Explanation

List of measures Includes base and derived measures related to senior
management improvement information needs and objectives.
Review results May include:
• Topics reviewed
• Measures reported
• Decisions made
• Proposed process changes
• Proposed policy revisions
• Results from objective evaluations
• Action items with assignments and due dates
May be provided as:
• Meeting minutes provided to all participants
• Direction from senior management
• Other communication from senior management

Related Practice Areas

Refer to the Managing Performance and Measurement practice area for guidance on defining and using
performance and measurement data.

GOV 2.4
Required Practice Information
Practice Statement
Senior management holds people accountable for adhering to organization directives and achieving
process implementation and improvement objectives.

Value
Accountability ensures that directives drive the implementation and improvement of processes to meet
business objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Senior management holds people accountable by:
• Verifying and enforcing compliance with organizational directives
• Reviewing commitments that have an organizational impact and ensuring they are met
Periodically and on an event-driven basis, senior management reviews and addresses issues related to:
• Adherence to organizational directives, practices, and procedures
• Process and performance improvement

• Adherence to relevant laws and regulations

• Resolution of noncompliance issues
• Organization performance and improvement trends
• Fulfilling commitments that have an organizational impact
Example Activities
Example Activities Further Explanation
Senior management reviews issues and May include:
trends related to deploying, • Verifying information is accurate and complete
implementing, performing, and • Ensuring that the results of reviews are communicated
improving the organization’s processes. • Ensuring directives are consistently followed
Senior management directs corrective Corrective action includes assigning resources,
actions when: responsibilities, and planned completion dates.
• The organization’s objectives are not May include:
being met • Taking remedial action to repair defective solutions
• Issues are identified • Changing the plan
• Implementation and improvement • Adjusting resources, e.g., people, tools
progress differs from the plans • Negotiating changes to commitments
• Reviewing the objectives and making changes
• Terminating the effort
Senior management provides This may include recognizing or rewarding:
incentives for improvement. • Individuals or teams that meet or exceed improvement
objectives.
• When objectives are met without difficulties rather than
only rewarding when big problems are resolved.
• When implementation progress differs from the plan in a
positive way (e.g., early delivery, under budget, exceeds
quality objectives)
This may also include taking remedial or disciplinary actions
when:
• Individuals or teams are not meeting improvement
objectives
• Implementation progress differs from the plan in a
negative way (e.g., late delivery, over budget, poor
quality)

Example Work Products

Example Work Products Further Explanation
Action items related to accountability May include:
• Definition of issue
• Assignment of responsibility
• Due date
• Status
Rewards, recognitions, and incentives May include:
• Promotions
• Bonuses or increases

Example Work Products Further Explanation

• Certificates
• Employee of the Month
• Public recognition
Consequences May include:
• Counseling
• Remediation
• Training
• Reassignment
• Demotion or dismissal

Related Practice Areas

Refer to Process Quality Assurance practice area for more information for verifying and communicating
results from objective evaluations of processes.

Level 3

GOV 3.1
Required Practice Information
Practice Statement
Senior management ensures that measures supporting objectives throughout the organization are
collected, analyzed, and used.

Value
Decisions based on results of collecting and analyzing data increase the organization’s ability to
successfully deliver its solutions.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Senior management ensures that the:
• Appropriate measures are implemented, collected, analyzed, used, and communicated
• Measures support decisions related to the organization’s and projects’ performance and capability
• Organizational direction and process improvement strategies are updated based on measures of
performance
Example Activities
Example Activities Further Explanation
Senior management ensures measures are
collected, analyzed, and used.
Senior management directs corrective May include:
actions related to collecting, analyzing, and • Adjusting resources
using measures. • Modifying the plans
• Updating organizational objectives

Example Work Products

Example Work Products Further Explanation
Updated organizational
measurement repository
Status reports, actions, and These may:
decisions • Result from the collection, analysis, and use of measures.
• Be used for performing work relating to performance and process
improvement, solution delivery, etc.
Updated organizational Based on process performance results, updates will be made to the:
directives and objectives • Organizational strategy
• Mission statement
• Vision statement
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Example Work Products Further Explanation

• Policies

GOV 3.2
Required Practice Information
Practice Statement
Senior management ensures that competencies and processes are aligned with the objectives of the
organization.

Value
Aligning processes and competencies improves the capability of the organization to meet its
objectives.
Additional Required Information
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Explanatory Practice Information
Additional Explanatory Information
Senior management ensures that:
• Objectives are defined
• Processes needed to meet objectives are defined and followed
• Knowledge and skills necessary to perform the processes are identified
• People with the needed knowledge and skills are assigned to perform the processes

Example Activities
Example Activities Further Explanation
Review the status of competencies, Focuses on aligning:
objectives, and processes. • Strategies
• Objectives
• Process reviews
• Competencies
Record and communicate results.

Example Work Products

Example Work Products Further Explanation
Results of strategy and process May include:
reviews and discussions • Meeting minutes
• Records of decisions and direction
• Action items
• Updated objectives

Example Work Products Further Explanation

Reviews and comparisons between the May include analyzing:
organization’s competencies and • Personnel profiles
processes to be executed • Skills matrices
• Job descriptions

Level 4

GOV 4.1
Required Practice Information
Practice Statement
Senior management ensures that selected decisions are driven by statistical and quantitative analysis
related to performance and achievement of quality and process performance objectives.

Value
The use of statistical and quantitative analysis of performance strengthens decision making by providing
an understanding of the probability of achieving objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
As an organization becomes more capable, it develops a statistical and quantitative understanding of the
effectiveness of its standard processes. This provides senior management with visibility into how
effectively the processes support achieving business objectives and gives insight into performance
variation which enables:
• Quantifying, understanding, and managing risk
• Ensuring that timely and effective actions are taken to address issues
Example Activities
Example Activities Further Explanation
Review and discuss strategy, process Include related statistical and quantitative analyses and
performance, decisions, and progress. ensure decisions are based on the analyses.
Record and communicate results.

Example Work Products

Example Work Products Further Explanation
Results of strategy, process Reference the statistical and quantitative analyses that drive
performance, and progress reviews the decisions and related actions.
and decision analyses
Communicated results

Related Practice Areas

Refer to the Managing Performance and Measurement practice area for guidance on using statistical and
quantitative analysis.

Implementation Infrastructure (II)

Required PA Information
Intent
Ensure that the processes important to an organization are persistently and habitually used and
improved.

Value
Sustains the ability to consistently achieve goals and objectives efficiently and effectively.

Additional Required PA Information

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Explanatory PA Information
Practice Summary
Level 1
II 1.1 Perform processes that address the intent of the Level 1 practices.
Level 2
II 2.1 Provide sufficient resources, funding, and training for developing processes.
II 2.2 Develop and keep processes updated, and verify they are being followed.
Level 3
II 3.1 Use organizational processes and process assets to plan, manage, and perform
the work.
II 3.2 Evaluate the adherence to and effectiveness of the organizational processes.
II 3.3 Contribute process-related information or process assets to the organization.
Additional PA Explanatory Information
Establish the necessary infrastructure to ensure that processes are built, followed, sustained, and
improved over time. The term “infrastructure” in this practice area refers to everything needed to
implement, perform, and sustain the organization’s set of processes. The infrastructure includes:
• Documented processes to reflect how work is done
• Resources (e.g., people, tools, consumables, facilities)
• Funding to perform the processes
• Training to perform the processes
• Objective evaluations to ensure that work is performed as intended
The practices in this PA address an organization’s or project’s set of processes, not the model practice
areas or practices. This ensures that processes are persistent and habitual, even during times of stress or
change. Implement processes to meet the intent of these practices to improve process sustainment and
integration throughout the organization.
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permission by CMMI Institute. Usage by others is prohibited.
122

Level 1

II 1.1
Required Practice Information
Practice Statement
Perform processes that address the intent of the Level 1 practices.
Value
Improves the likelihood that solutions are complete, correct, and timely.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Establish the fundamentals of process discipline needed to efficiently and effectively develop and deliver
solutions to the customer. Solutions can be developed and provided without following a recorded process
or plan. The discipline with which these practices are performed depends on the individuals managing
and performing the work and can vary considerably.
An organization can successfully develop, deliver, and acquire solutions, even if:
• Processes are unrecorded, ad hoc, or chaotic
• Organizational infrastructure to support processes does not exist
• Success is based solely on competence and heroic efforts of people
However:
• Solutions may frequently exceed resource and schedule constraints
• Solutions do not consistently meet the customer’s requirements
• Success may not be repeatable

Example Activities
Example Activities Further Explanation
Perform processes.

Example Work Products

Example Work Products Further Explanation
Outputs of processes Refer to example work products in the Level 1 practices.

Level 2

II 2.1
Required Practice Information
Practice Statement
Provide sufficient resources, funding, and training for developing processes.
Value
Having sufficient resources increases the likelihood of successful process improvement efforts.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
To be sufficient, the right resources need to be available when they are needed. Sufficient resources for
developing processes should include:
• Funding
• Skilled people trained or experienced in:
o Process development
o Domain knowledge
o Quality assurance
• Appropriate tools
• Training materials
• Time to perform the work
Develop a budget to support process activities in addition to work activities. Provide funding for
developing the processes, which may include:
• Recording and updating the process
• Acquiring or building tools
• Developing training materials
• Providing training
• Providing post-deployment support to process users
• Evaluating the processes
Train the people who are responsible for developing processes and performing quality assurance
activities. Training supports successful process deployment by establishing a common understanding and
providing skills and knowledge needed to perform the process.

Example Activities
Example Activities Further Explanation
Identify needed resources. Includes identifying and assigning people with the needed
skills and experience.
Determine budget.
Provide funding.
Develop or buy tools.
Develop training materials.
Provide training.

Example Work Products

Example Work Products Further Explanation
Budget for resources
Training materials
List of needed people, roles, and skills
Tools
Training records

Related Practice Areas

Refer to the Governance practice area for more information about management’s support for process
implementation and improvement.
Refer to the Planning practice area for more information on planning resources.
Refer to the Organizational Training practice area for more information on training people.

II 2.2
Required Practice Information
Practice Statement
Develop and keep processes updated, and verify they are being followed.

Value
Minimizes waste by ensuring affected stakeholders focus on the most valuable activities that are recorded
in processes.

Additional Required Information

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Explanatory Practice Information

Additional Explanatory Information
Understanding and recording a process is the first step in specifying the way work is to be performed. A
process can be recorded in many ways, but at a minimum includes a purpose, inputs, a sequence of
steps or activities, outputs, roles, and responsibilities. This helps ensure repeatability and achievement of
business and performance objectives. Verify that processes are being followed and kept up to date.
A common example of a process description is EITVOX, which includes:
• Entry criteria
• Inputs
• Task or activity descriptions
• Verification and validation
• Outputs
• EXit criteria
Recorded processes provide support for consistent execution, repeatability of past successes, and an
approach for learning and improving. A recorded process reduces risks that can impact quality, time-to-
market, and customer satisfaction, including:
• Misunderstandings
• Unknown status
• Inconsistent performance
• Unavailable resources
• Unnecessary activities
• Missed activities
• Uncoordinated efforts
• Unclear roles and responsibilities
• Unachieved objectives
Example Activities
Example Activities Further Explanation
Identify process purpose.
Determine process description format.
Describe and record processes.
Perform processes.
Verify that processes are being Multiple techniques can be used, such as:
followed. • Objective evaluations
• Audits
• Retrospectives
• Process reviews
• Peer reviews

Example Activities Further Explanation

Review and update recorded processes
with affected stakeholders.
Communicate and make recorded This includes changes to existing processes as well as new
processes available. processes.

Example Work Products

Example Work Products Further Explanation
Recorded processes
Process verification results

Related Practice Areas

Refer to the Governance practice area for more information about management’s support for process
implementation and accountability for following processes.
Refer to the Process Asset Development practice area for more information about developing and
recording processes.
Refer to the Process Quality Assurance practice area for more information on performing objective
evaluations of processes.
Refer to the Peer Reviews practice area for more information about reviewing recorded processes.

Level 3

II 3.1
Required Practice Information
Practice Statement
Use organizational processes and process assets to plan, manage, and perform the work.
Value
Leverages organizational learning and use of best practices, leading to:
• Reduced rework and cost
• Increased efficiency and effectiveness
Additional Required Information
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Explanatory Practice Information
Additional Explanatory Information
Organizational process assets enable consistent process execution across the organization.
The availability and appropriate use of consistent organizational process assets help to:
• Perform planning and work activities based on proven practices
• Facilitate the transfer of personnel to where needs are most critical
• Reduce the likelihood of repeating issues and mistakes
• Apply process assets to provide the most benefit to projects and performance
Organizations typically maintain a set of standard process assets to be used and tailored depending on
the type of work performed. For example, an organization may have different planning processes for
various types of work.
Example Activities
Example Activities Further Explanation
Plan work using organizational process Tailoring of assets typically occurs during planning.
assets.
Manage work using organizational
process assets.
Perform work following organizational
process assets.

Example Work Products

Example Work Products Further Explanation
Tailored process assets May include:
• Templates specific for projects
• Processes and procedures specific for the project
• Lifecycle models specific for the project
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128

Example Work Products Further Explanation

• Operational definitions of measures specific for the project
• Checklists specific to a type of work
Work products resulting from using the
process assets

II 3.2
Required Practice Information
Practice Statement
Evaluate the adherence to and effectiveness of the organizational processes.
Value
Provides insight on potential cost-effective improvements to organizational processes and how they are
used.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Evaluating adherence helps ensure that processes and process assets are understood, relevant, effective,
and used as intended.
Assessing effectiveness of processes and process assets helps keep them relevant to the business needs
and strategy. Analyze processes and process assets periodically. This analysis helps to understand their
strengths and weaknesses and to continually improve them to provide value to the organization.
Methods for evaluating adherence and effectiveness include:
• Observation
• Evaluations, assessments, or audits
• Interviews
• Analysis of the use of work products and results
Effectiveness includes:
• Ease of use
• Fewer mistakes
• Optimal use of resources
• Timely delivery
• Improved performance
• Increased customer satisfaction
• Capability that meets needs

When assessing effectiveness, some questions that may help are:

• Why are we doing this?
• Who is the target audience?
• Can this be done in a simpler way?
• What is working?
• What is not working?
Process performance measurements can also be used to analyze the effectiveness of a process.
The benefits of a process can be demonstrated by performance improvements such as:
• Meeting objectives
• Reducing costs
• Reducing defects
• Increasing productivity
• Reducing cycle time
• Increasing customer satisfaction
• Increasing market share
Example Activities
Example Activities Further Explanation
Evaluate processes for effectiveness
and usefulness.
Analyze process performance
measurement results.
Examine results of evaluations,
appraisals, or audits.
Record and communicate results to
affected stakeholders.
Submit improvement proposals.

Example Work Products

Example Work Products Further Explanation
Evaluation results Include:
• Organizational best practices
• Reusable process assets
• Issues, including:
o Non-compliance
o Effectiveness
o Behavioral
• Recommendations and opportunities for improvement
• List of major risks associated with process implementation
Analysis results Include:

Example Work Products Further Explanation

• Process performance
• Trends in customer responses
o Satisfaction
o Complaints
• Solution reliability
• Defect insertion rate
• Cycle time
• Solution quality
• Root causes
Improvement proposals

Related Practice Areas

Refer to the Governance practice area for more information about ensuring that processes are aligned
with the goals and objectives of the organization.
Refer to the Process Quality Assurance practice area for more information on performing objective
evaluations of processes.
Refer to the Causal Analysis and Resolution practice area for more information on performing root cause
analysis.
Refer to the Process Management practice area for more information about identifying improvements to
the processes and process assets.
Refer to the Managing Performance and Measurement practice area for more information about analyzing
performance and effectiveness.

II 3.3
Required Practice Information
Practice Statement
Contribute process-related information or process assets to the organization.
Value
Increases return on investment by improving the organizational processes and process assets.
Additional Required Information
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Explanatory Practice Information
Additional Explanatory Information
Contributing and using process-related information helps keep processes and process assets relevant,
current, and aligned with organizational needs. Users and implementers of processes should contribute
process use and improvement information to the organization and be involved in determining what
information will be kept and used.
This practice ensures:

• Projects systematically contribute to organizational learning

• Key intellectual capital does not leave the organization when people leave
• Future projects are able to draw from existing process assets to become productive quickly
Collect process-related experiences such as:
• Best practices
• Work products
• Measures
• Lessons learned
• Process improvement proposals
Store measurement data in the organization’s measurement repository and other information in the
organization’s Process Asset Library (PAL). Make these available to those planning and performing similar
processes.
Example Activities
Example Activities Further Explanation
Collect and record best practices,
lessons learned, and information from
tailoring the processes.
Submit assets for potential inclusion in Include the context along with assets to make them more
the organization’s process asset library. useful.
Propose improvements to the
organizational process assets.

Example Work Products

Example Work Products Further Explanation
Examples, best practices, and lessons Include assets that:
learned • Worked well
• Are ineffective
• Could be improved
Tailoring records, rationale, If multiple projects tailor the same aspects of the process,
worksheets, and other related work this is an indication that the process may need to be updated
products associated with tailoring and
implementing the organization’s set of
standard processes for the work

Related Practice Areas

Refer to the Managing Performance and Measurement practice area for more information about obtaining
and using measurement data.
Refer to the Process Asset Development practice area for more information about the process asset
library.

Managing Performance and Measurement (MPM)

Required PA Information
Intent
Manage performance using measurement and analysis to achieve business objectives.
Value
Maximizes business return on investment by focusing management and improvement efforts on cost,
schedule, and quality performance.

Additional Required PA Information

This practice area helps to:
• Ensure that benefits and business performance are the leading factors in driving performance
and improvement.
• Change the paradigm from “process improvement leads to performance improvement” to
“performance is the primary driver of process improvement”.
• Use the results of measurement and analysis to manage and control performance at various work
and business levels.
Performance and measurement management includes:
• Setting objectives for:
o The business
o Measurement and performance
o Quality and process performance
• Allocating and tracing objectives to subordinate levels in the business and processes
• Defining measurements to improve the understanding of progress towards achieving the
objectives
• Analyzing measurement and performance data to:
o Understand the relationship and interactions between performance and process
o Define and take actions to address any observed issues with achieving objectives
o Make the performance results and related benefits clearly visible to all stakeholders
The term “measurement and performance objectives” is used to describe quantitative or qualitative
objectives that do not require the additional rigor of statistical and other quantitative techniques.
In this practice area, the term “quality and process performance objectives” is used within high maturity
practices. These objectives include the use of statistical and other quantitative techniques on the related
data.

Explanatory PA Information
Practice Summary
Level 1
MPM 1.1 Collect measures and record performance.
MPM 1.2 Identify and address performance issues.
Level 2
MPM 2.1 Derive and record measurement and performance objectives from selected
business needs and objectives and keep them updated.
MPM 2.2 Develop, keep updated, and use operational definitions for measures.
MPM 2.3 Obtain specified measurement data according to the operational definitions.
MPM 2.4 Analyze performance and measurement data according to the operational
definitions.
MPM 2.5 Store measurement data, measurement specifications, and analysis results
according to the operational definitions.
MPM 2.6 Take actions to address identified issues with meeting measurement and
performance objectives.
Level 3
MPM 3.1 Develop, keep updated, and use organizational measurement and performance
objectives traceable to business objectives.
MPM 3.2 Follow organizational processes and standards to develop and use operational
definitions for measures and keep them updated.
MPM 3.3 Develop, keep updated, and follow a data quality process.
MPM 3.4 Develop, keep updated, and use the organization’s measurement repository.
MPM 3.5 Analyze organizational performance using measurement and performance data
to determine performance improvement needs.
MPM 3.6 Periodically communicate performance results to the organization.
Level 4
MPM 4.1 Use statistical and other quantitative techniques to develop, keep updated, and
communicate quality and process performance objectives that are traceable to
business objectives.
MPM 4.2 Select measures and analytic techniques to quantitatively manage performance
to achieve quality and process performance objectives.
MPM 4.3 Use statistical and other quantitative techniques to develop and analyze process
performance baselines and keep them updated.
MPM 4.4 Use statistical and other quantitative techniques to develop and analyze process
performance models and keep them updated.
MPM 4.5 Use statistical and other quantitative techniques to determine or predict
achievement of quality and process performance objectives.

Level 5
MPM 5.1 Use statistical and other quantitative techniques to ensure that business
objectives are aligned with business strategy and performance.
MPM 5.2 Analyze performance data using statistical and other quantitative techniques to
determine the organization’s ability to satisfy selected business objectives and
identify potential areas for performance improvement.
MPM 5.3 Select and implement improvement proposals, based on the statistical and
quantitative analysis of the expected effect of proposed improvements on
meeting business, quality, and process performance objectives.

Additional PA Explanatory Information

The term "process performance" refers to the "working level" (where the solutions are being developed
or delivered) while the term "business performance" refers to the business or organizational level.
"Performance" can refer to either or both levels. For example, collect measurement and performance
data at the "work level" and aggregate data to enable organizational performance analysis at the
business level.

Context Specific
Agile with Scrum Guidance
Context Tag: Agile with Scrum

Context: Practices used by projects to adopt agile when measuring and improving
performance.

Applying MPM practices, an agile project using Scrum will identify:

• Business objectives
• Measurement and performance objectives
• Analysis to conduct
• Actions to take
The project team will typically allocate these items to releases and sprints. Figure MPM-1 shows where
measurement and performance play a role in an agile project using Scrum.

Figure MPM-1: Measurement & Performance Role in Scrum

An agile project using Scrum can obtain benefits from practices in this practice area by:
• Defining and employing clear objectives; this typically goes beyond a single iteration and might
include meeting specific deadlines within a financial budget for a given scope. Objectives might
include achieving a certain velocity over successive sprints to be able to satisfy the business
need.
• Clarifying and employing operational measurement definitions
o Defining how velocity is calculated:
 Is it story points per person, or per team?
 Does it include overhead time and significant interruptions?
o Defining a set of reference story points within the team as part of the operational
measurement definition.
• Defining how measurements are collected, analyzed, and recorded by agile teams.
• Defining to whom the measurement and performance data should be communicated.
• Using measurements to track and improve agile team performance based on defined objectives.
A typical agile team using Scrum might have the following measurements, which help assess
performance:

Figure MPM-2: Release Burndown Chart & Sprint (Iteration) Burndown Chart

• Release Burndown Chart (see Figure MPM-2)

This chart shows the number of story points remaining over time, tracked within each sprint, and
representing all of the work for a release consisting of several sprints. The performance objective
of this work is to burn down a target number of story points within a release within a given
timeframe using a set of resources.
This chart shows:
o the number of story points completed (“Value delivered”)
o those points forecasted across all planned sprints
o all of the work for a release
The performance objective of this work is to understand what value has been delivered, and to
help forecast what might be delivered in future sprints related to the release. While the Scrum
Guide has discontinued the use of the Release Burndown chart, many companies still find value
in its use.
The measurement tracks the remaining story points, and the performance analysis determines
any deviation and the associated reason (for example, committing to too many story points, or
people unexpectedly on sick leave). Actions may be taken, such as postponing user stories to
later releases, adding more resources, or removing impediments.
• Sprint (Iteration) Burndown Chart (see Figure MPM-2)

This chart shows the remaining story points that have been forecasted for the sprint, which are
updated daily. The performance objective (“forecast”) is to complete the planned stories within
the sprint using a constant set of resources. The measurement gives the remaining points
(“value”) to be delivered, and the performance analysis collected through visual information
indicators and daily standups informs the team of any deviation and their reasons (e.g., the code
is difficult to modify). Actions may be taken, such as backlog grooming, refactoring, or removing
other impediments. In this case, the team determined that the best way to get back on plan was
to refactor the code.

Level 1

MPM 1.1
Required Practice Information
Practice Statement
Collect measures and record performance.
Value
Enables performance management to increase likelihood of meeting objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Collect available data to provide the team and management with insight into performance. Identify data
that can be used to manage the project. Identifying and using this data leads to effective performance
management.
If limited data are available, senior management should identify the basic set of information needed to
manage the project.
The collection of similar performance measurements at the work level can be aggregated upwards to
form the basis for performance management within an organization. For success, senior management
and other stakeholders should record and communicate current performance needs and business
objectives.

Example Activities
Example Activities Further Explanation
Identify available measures and Collection methods may include:
collection methods. • Surveys
• Observation
• Direct recording
• Statements by customers, clients, or other stakeholders
• Industry comparison
Current business performance data may include:
• Customer satisfaction
• Sales
• Profit and loss
Process performance data may include:
• Adherence to schedule and budget
• Estimates and significant deviations
• Quality data (e.g., defects, warnings, customer
complaints, returns, incidents)
Collect and record measures to Determine if collected performance data is relevant and
understand performance. critical to the work and the business.

Example Activities Further Explanation

May include:
• Results from measurement and collection
• Discussion and interpretation of results
• Usage of results
Record data from:
• Business performance
• Current and planned process performance
• Performance improvements
Performance data may:
• Include single or smaller efforts addressing performance
and performance improvement
• Originate from plans that have been developed at any
level (e.g., performance initiative, process initiative, team,
organization, product characteristics)
Record performance and communicate Results may be stored in available tools and reported
results. periodically or on an event-driven basis.

Example Work Products

Example Work Products Further Explanation
Measures May include:
• Product measures
• Process measures
• Quality measures
• Customer measures
• Employee measures
Performance analysis results May include:
• Business performance
• Customer satisfaction
• Employee satisfaction
• Quality expectations

MPM 1.2
Required Practice Information
Practice Statement
Identify and address performance issues.

Value
Improves the ability to achieve objectives and increases customer satisfaction.
Additional Required Information
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Explanatory Practice Information

Additional Explanatory Information
Identify issues by comparing performance with available performance data such as:
• Industry data
• Customer requirements
• Previous performance
• Planned performance
• Objectives
Record performance issues, their causes, and possible solutions. Proposed suggestions can be used to
spread successful performance improvements to other projects.
Example Activities
Example Activities Further Explanation
Collect measurements and derive
performance data.
Review performance.
Identify issues associated with
performance.
Understand the causes for
performance issues.
Make suggestions to improve
performance.
Address performance issues based on
suggestions.

Example Work Products

Example Work Products Further Explanation
List of performance issues May include:
• Issues characteristics
• Reasons for issues
• Resolution options
• Actions taken for resolution
List of suggestions May include:
• Description
• Suggestions selected for implementation

Level 2

MPM 2.1
Required Practice Information
Practice Statement
Derive and record measurement and performance objectives from selected business needs and objectives
and keep them updated.

Value
Aligns measurement and performance activities to increase the likelihood of achieving business results.

Additional Required Information

This section left blank for future content.
Explanatory Practice Information
Additional Explanatory Information
Measurement and performance objectives, along with the related data, provide stakeholders with the
information needed to understand performance against business objectives. This supports realistic
planning and helps avoid duplicative and ineffective performance improvement activities. This practice
addresses measurement objectives at the project level. Projects may determine that they need to
establish a project measurement repository to support these activities.
Measurement objectives provide a common basis for employees and senior managers to measure
progress and improve or remove ineffective practices. Objectives and measures help to:
• Provide insight into actual size and effort completed compared to the plan
• Provide insight into schedule fluctuations and progress
• Provide insight into actual costs compared to plan
• Identify unplanned work or scope creep
• Determine the cost and schedule impact of rework
• Evaluate the effectiveness of defect detection throughout the solution lifecycle
• Evaluate supplier performance
Analysis of performance information can indicate where modifications to the identified information needs
and objectives are required. Determine whether the value of the result is aligned with the resources
dedicated to doing the work.
Sources of information needs and objectives include:
• Customer and stakeholder expectations
• Established management objectives
• Strategic plans
• Business plans
• Formal requirements or contractual obligations

• Work plans
• Work performance monitoring
• Process improvement plans
• Interviews with senior managers and others who have information needs
• Recurring or persistent issues
• Supplier agreements and contractual requirements
• Experiences of other workgroups or organizational entities
• External industry benchmarks

Example Activities
Example Activities Further Explanation
Identify current or planned Collect information about performance improvements (e.g.,
performance improvements. intention, objectives, actions, timeframe).
Record and prioritize business needs Set priorities within the limits of available resources.
and objectives.
Review and keep updated In the review, include the purpose, value, and intended uses
measurement and performance of objectives.
objectives. Record, keep updated, and have stakeholders review
measurement and performance objectives.
Involve users and providers of measurement, performance,
and analysis results in setting measurement objectives and
deciding on plans of action.
Review business needs and objectives Identified business needs and objectives can be refined and
against measurement and performance clarified as a result of setting measurement and performance
objectives, as needed, with affected objectives. Reviewing business needs and objectives against
stakeholders. measurement and performance objectives is an iterative
process. It is possible that:
• Measurement and performance objectives are not aligned
with business needs and objectives.
• Initial descriptions of business needs are ambiguous
• Measurements and performance objectives may be
unrealistic

Example Work Products

Example Work Products Further Explanation
Measurement and performance Examples of objectives include to:
objectives • Meet commitments for:
o Budget
o Schedule
o Quality
• Increase:
o Customer satisfaction
o Employee satisfaction
o Innovation and creativity

Example Work Products Further Explanation

• Reduce:
o Customer complaints
o Errors and rework
o Environmental impact

MPM 2.2
Required Practice Information
Practice Statement
Develop, keep updated, and use operational definitions for measures.

Value
Operational definitions increase the consistency of measures and the likelihood that business needs and
objectives are met efficiently and effectively.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Operational definitions of measures enable consistent collection, analysis, use, and understanding of
measurements, performance, and results.
Use of operational definitions increase the:
• Data quality
• Understanding and use of measurements
• Usefulness of historical information
• Ability to make informed management decisions
State operational definitions in clear and unambiguous terms. Operational definitions help to establish a
consistent understanding of measurements and their use. Operational definitions address two important
criteria:
• Communication: What has been measured, how was it measured, what are the units of measure,
and what has been included or excluded?
• Repeatability: Can the measurement be repeated, given the same definition, and get the same
results?
Define collection and storage methods to help ensure that the right data are collected consistently and
stored in the right place. Storage and retrieval procedures help to ensure that data are available and
accessible by the right people for future use.
Specify the analysis procedures to:

• Ensure that the necessary data will be collected

• Ensure the quality of data
• Help minimize subjective interpretation
• Lower the risk of reaching incorrect conclusions due to inappropriate analysis techniques or lack
of understanding
Refine measurement and performance objectives into precise, quantifiable measures. Ensure that
traceability between the measurement and performance objectives and the related measures is clear,
available, bidirectional, and kept updated.
Measures can be either base or derived. Obtain data for base measures by direct measurement. Data for
derived measures typically come from combining two or more base measures. Derived measures are
often expressed as ratios, composite indices, or other aggregate summary measures.

Table MPM-1 Base and Derived Measurement Examples

Measurement
Examples
Type
Base measures Commonly used base measures include:
• Measures of size (e.g., number or count of items or activities, pages, number of
requirements)
• Measures of effort and cost (e.g., number of person hours, headcount)
• Quality measures (e.g., number of defects by severity, rework amount before and
after delivery)
• Information security measures (e.g., number of system vulnerabilities identified)
• Customer satisfaction survey scores
Derived Examples of commonly used derived measures include:
measures • Earned value
• Productivity
• Rework percentage
• Peer review coverage
• Test or verification coverage
• Reliability (e.g., mean time to failure or error)
• Maintainability (e.g., system or service down time)
• Quality (e.g., number of defects by severity/total number of defects)
• Information security (e.g., percentage of system vulnerabilities mitigated)
• Customer satisfaction trends

There are direct relationships among information needs, measurement and performance objectives, types
or categories of measurement, base measures, and derived measures. This direct relationship is depicted
using some common examples in Table MPM-2.

Table MPM-2 Example Measurement Relationships

Information Example
Example Information Example Base
Purpose Type or Derived
Objective Need Measures
Category Measures
Shorten time What is the Provide Schedule and Estimated and • Schedule
to delivery. estimated insight into progress actual start and Performance
delivery time? schedule end dates by • Schedule
Be first to
fluctuations task estimation
market the
and progress. accuracy
solution.
Increase How accurate Provide Size and Estimated and • Productivity
market share are the size insight into effort actual effort
by reducing and cost actual size and size
costs of estimates? and costs
solutions. compared to
plan. Effort and Estimated and • Cost
cost actual cost performance
• Cost variance
Deliver Has scope or Provide Size and Requirements • Requirements
specified work size insight into stability count volatility
functionality. grown? actual size • Size
compared to estimation
plan, identify accuracy
unplanned
growth.
Reduce Where are Evaluate the Quality Number of • Defect
defects in defects being effectiveness defects inserted containment
solutions inserted and of defect and detected • Defect
delivered to detected prior detection density
Solution size
the customer to delivery? throughout
by 10% the solution
without lifecycle.
affecting cost. • Number of • Rework costs
What is the Determine the Cost
cost of cost of defects
rework? correcting inserted and
defects. detected by
lifecycle
phase
• Effort hours
to correct
defects
• Labor rates
Reduce What is the Evaluate the Information Number of Percentage of
information magnitude of effectiveness assurance system system
system open system of mitigating vulnerabilities vulnerabilities
vulnerabilities. vulnerabilities? system identified, and mitigated
vulnerabilities. number of
system
vulnerabilities
mitigated

Information Example
Example Information Example Base
Purpose Type or Derived
Objective Need Measures
Category Measures
Increase How Determine the Organizational Number of new Innovation
innovation in innovative are level of creativity ways to do trends,
solutions. the solutions? innovation of things. percentage of
past, current, Innovation can adjacent,
and future include: disruptive,
solutions. • Sustaining or breakthrough
Adjacent and new market
• Disruptive innovations,
• New Market processes that
• Breakthrough address
innovations,
incentives for
innovation

Example Activities
Example Activities Further Explanation
Identify existing measures Specifications for measures, sources, and collection mechanisms may
that address measurement already exist.
objectives and are available
or collected from current
work products, processes, or
transactions.
Select measures that provide Select measures for the selected product and process attributes.
insight into the organization’s Examples of systematic approaches to select measures include:
quality and performance.
• Goal Question Metric (GQM)
• PSM (Practical Software and Systems Measurements)
• AIM (Accelerated Improvement Method)
Examples of criteria used to select measures include:
• Relationship of measures to the organization’s objectives
• Coverage that measures provide over the life of the solution
• Visibility that measures provide into performance
• Frequency at which observations of the measure can be collected
Establish operational May include:
definitions for the selected • Collection steps and rules
measures. • Functions or algorithms used to produce derived measures
• Analysis procedures - Who, when, where, and what (What being
the rules or techniques for interpreting an indicator/graph. What is
the expected behavior, trending over time?)
• Decision criteria - Numerical thresholds, targets, or limits used to
determine need for action (e.g., 20% variance from plan requires
re-planning).
Specify how to collect and Develop data collection mechanisms and process guidance. Data
store data for each required collection mechanisms can include:
measure. • Manual or automated methods
• Forms, templates, and tools

Example Activities Further Explanation

• Mechanisms for ensuring data quality
Select data analysis methods Issues to be considered typically include:
and tools. • Choice of analysis techniques
• Choice of visual display and other presentation techniques (e.g., pie
charts, bar charts, histograms, radar charts, line graphs, scatter
plots, tables)
• Decisions about how to handle analysis in the presence of missing
data elements
• Selection of appropriate analysis tools
During data analysis, consider:
• Interrelationships among specified measures
• Changes over time
Review operational definitions
with affected stakeholders
and keep them updated.

Example Work Products

Example Work Products Further Explanation
Operational definitions of Typically includes:
measures • Name
• Description, context, and purpose
• Reason for the measure (e.g., performance, legal, management)
• Visual display of measure (indicator)
• Data elements (for derived measure)
• Definition for each element
• Data collection
• How data are collected
• When data are collected
• Who will collect data
• Forms and templates for collection
• Tools for data collection
• Validation and quality
• Data reporting
• Responsibilities
• To whom data are reported
• Frequency of report
• Algorithm or calculation for derived measures
• Any assumptions
• Interpretation for the measure
• Analytic techniques
• Traceability to objectives and source
• Cross reference to any other measures
Analysis methods and tools
Data collection mechanisms

MPM 2.3
Required Practice Information
Practice Statement
Obtain specified measurement data according to the operational definitions.
Value
Quality data improves decisions and increases the likelihood of successfully completing projects.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Measurement results can help to:
• Monitor progress and performance
• Fulfill recorded obligations
• Make informed management and technical decisions
• Determine when corrective actions need to be taken
• Build historical data for use in future analysis
Example Activities
Example Activities Further Explanation
Collect data for currently specified base
measures.
Calculate derived measures.
Check data integrity as close to the Data integrity covers three aspects:
source of data as possible. • Accuracy and precision
• Coverage
• Completeness
Checklists are useful for verifying data integrity.

Example Work Products

Example Work Products Further Explanation
Base and derived measurement data
Results of data integrity checks

MPM 2.4
Required Practice Information
Practice Statement
Analyze performance and measurement data according to the operational definitions.
Value
Analysis provides insight into performance and actions needed to meet objectives.

Additional Required Information

This section left blank for future content.
Explanatory Practice Information
Additional Explanatory Information
Compare measured performance to measurement and performance objectives to help determine the
organization’s ability to meet objectives. Identify potential areas of improvement by analyzing
performance shortfalls. Use this information to develop, evaluate, and prioritize proposed improvements,
and identify additional areas for analysis.
This practice also lays the groundwork for understanding performance with a wide range of stakeholders.
It is important to make performance visible within and beyond the project. This communication includes
the benefits obtained from performance improvements and may also be a trigger for further performance
improvements.

Example Activities
Example Activities Further Explanation
Perform analyses, interpret results as Typically, the analyses are specified in the operational
planned, and draw conclusions. definition.
Results of planned analyses can identify the need to:
• Complete additional, unanticipated analyses
• Refine existing measures
• Calculate additional derived measures
• Collect data for additional base measures to properly
complete the planned analysis
Record analysis results and any
significant deviations.
Review results with affected Reviewing the results with stakeholders can prevent
stakeholders. misunderstandings and lead to improvements in the data
analysis and reporting.
Ensure that results are:
• Understandable
• Easily interpretable
• Clearly tied to identified information needs and objectives
The analysis may not be clear to those who are not
measurement experts.
Communication may include:

Example Activities Further Explanation

• How to interpret results based on the evaluation methods
used
• How results address information needs
• How results may affect the project
Examples of actions taken to help others to understand
results include:
• Providing training on the use and understanding of
measurement results
• Discussing the results with stakeholders
• Modifying the approach for communication
• Providing background and explanation
Refine measurements and analysis Performing data analyses and preparing results can lead to
techniques in the operational improved future efforts based on lessons learned. These
definitions. lessons learned can lead to:
• Improved measurement specifications
• Improved data collection procedures
• Ideas for refining information needs and objectives

Example Work Products

Example Work Products Further Explanation
Performance data analysis results May include:
• Alignment to objectives
• Results and conclusions
• Identified performance shortcomings
• Improvement candidates
• Recommended actions
Updated operational definitions

Related Practice Areas

Refer to the Process Management practice area for guidance on identifying and implementing process
improvements.

MPM 2.5
Required Practice Information
Practice Statement
Store measurement data, measurement specifications, and analysis results according to the operational
definitions.

Value
Storing measurement data enables analysis of performance which enables repeating successes.

Additional Required Information

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Explanatory Practice Information

Additional Explanatory Information
Storing measurement data and information:
• Enables multiple options for analysis now and in the future
• Enables its timely and cost-effective use as historical data and results
• Makes historical data and results readily available to stakeholders
Provide sufficient context for interpretation or application of:
• Measurement data
• Analysis techniques
• Analysis results
Stored information contains or refers to other information needed to understand and interpret the
measures and to assess them for reasonableness and applicability (e.g., measurement specifications used
on different projects when comparing across projects).
Projects can choose to store specific data and results in a project-specific repository. When data are
shared across projects, the data can reside in the organization’s measurement repository.
Example Activities
Example Activities Further Explanation
Review data to ensure their quality.
Store data according to data storage
procedures.
Make stored data available for use.
Prevent stored information from being Control access to data and educate people on the
used inappropriately. appropriate use of data.
Examples of inappropriate data use include:
• Disclosure of information provided in confidence
• Faulty interpretations based on incomplete, out-of-
context, or otherwise misleading information
• Measures used to improperly evaluate the performance of
people
• Questioning the integrity of individuals
Observe legal and regulatory requirements as to who can
store which information and who can access them.

Example Work Products

Example Work Products Further Explanation
Stored data May include:
• Context for data
• Sets of data that were collected
• Analysis reports and presentations
• Retention period for stored data
• Data security

MPM 2.6
Required Practice Information
Practice Statement
Take actions to address identified issues with meeting measurement and performance objectives.

Value
Understanding performance status helps to meet objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Obtain performance information and data at the appropriate level (e.g., business, projects, process). Use
analysis results to ensure sustainment and improvement. If the observed performance deviates from
expected results, take appropriate actions to correct the deviation. Actions that may be taken to correct
significant deviations include:
• Performing causal analysis activities to identify and correct the cause of the deviation
• Re-planning
• Initiating improvement activities
• Renegotiating objectives
Example Activities
Example Activities Further Explanation
Record and implement corrective
actions and manage to closure.
Record and submit proposed
improvements and communicate
results.

Example Work Products

Example Work Products Further Explanation
Revised objectives, plans, and
commitments
Records of performance evaluations May include:
• Comparison of planned vs. actual performance
• Proposed improvements
Records of significant deviations May include:
• Past actions and improvements
• Side effects of actions and improvements
Proposed improvements Include:
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permission by CMMI Institute. Usage by others is prohibited.
153

Example Work Products Further Explanation

• Source of the proposed improvements
• What is improved by each proposed improvement

Related Practice Areas

Refer to the Monitor and Control practice area for more information about activities to implement
corrective actions and manage them to closure.
Refer to the Causal Analysis and Resolution practice area for more information about activities to perform
if there are significant deviations from the expected or planned performance.
Refer to the Process Management practice area for more information about activities for proposing
improvements.

Level 3

MPM 3.1
Required Practice Information
Practice Statement
Develop, keep updated, and use organizational measurement and performance objectives traceable to
business objectives.

Value
Linking measurement and performance objectives to business objectives optimizes resource usage to
achieve and increase business success.

Additional Required Information

Review and analyze business objectives as they are developed. Each organization is usually made up of
several sub-levels (e.g., divisions, sectors, departments, services, projects, teams) each potentially with
their own derived business objectives. The scale and variation of the allocation of objectives across sub-
levels can depend on the business strategy and tactics, customer base, size, complexity, and solution
lifecycle. Once completed at the organizational level, allocate organizational measurement and
performance objectives to the project level.

Explanatory Practice Information

Additional Explanatory Information
In order to formulate organizational measurement and performance objectives, affected stakeholders
should understand the:
• Organization’s business model
• Business context
• Business objectives
• Related critical factors necessary to ensure the future success of the organization
These factors help to determine measurement and performance needs and objectives at both the
organizational and project levels and help to ensure they are aligned.
Organizational measurement and performance objectives should be allocated to appropriate subordinate
organizational units down to the project level. These allocated objectives should be reviewed with the
affected stakeholders to ensure that they are meaningful and useful for their context. This is to ensure
that the measures and performance data being used contribute to understanding performance at both
the project and organizational level. Project measurement and performance objectives may be elevated
to the organizational level for deployment to other projects. This process is iterative between the
organization and projects.
See the glossary definitions for “business model”, “business objectives”, and “critical factors”.
Example Activities
Example Activities Further Explanation
Develop, review, and analyze the Analysis may include:
business objectives that drive • Business objectives

Example Activities Further Explanation

measurement and performance • Current performance data and baselines
objectives. • Current distribution of objectives to sub-units
• Business and organizational models
• Critical success factors
• Customer data
• Competitor data
Develop, record, and use
organizational measurement and
performance objectives and keep them
updated.
Analyze the performance of projects Analyze this information periodically or on an event-driven
within the organization. basis to meet the organization’s needs and to determine how
it contributes to organizational performance and meeting the
objectives.
Work with affected stakeholders to
allocate organizational measurement
and performance objectives to
projects.
Trace new and revised measurement
and performance objectives to
business objectives.
Review and update the allocations of
measurement and performance
objectives and communicate with
affected stakeholders.

Example Work Products

Example Work Products Further Explanation
Business objectives
Measurement objectives Measurement objectives may address more than just
performance, such as:
• Measurement calibration data (accuracy, precision)
• Measurements for regulatory purposes or customer
demands
• Deployment, progress, and implementation status
Performance objectives
Allocated measurement and Include:
performance objectives • Allocation of organization objectives to projects
• Rationale and context for the allocation

MPM 3.2
Required Practice Information
Practice Statement
Follow organizational processes and standards to develop and use operational definitions for measures
and keep them updated.

Value
Enables consistent collection, understanding, and use of organizational measurement and performance
data to improve performance and increase likelihood of success.

Additional Required Information

This section left blank for future content.
Explanatory Practice Information
Additional Explanatory Information
Organizational processes and standards levy requirements for operational definitions that are to be
implemented and used throughout the organization. This promotes consistent:
• Definition
• Collection and storage
• Aggregation
o Across projects
o Up to the organization or business level
• Analysis and understanding
• Reporting and recording

Example Activities
Example Activities Further Explanation
Record, communicate, and use
organizational standard operational
definitions for selected measures and
keep them updated.
Revise the set of operational definitions Periodically evaluate measures for their continued
of measures as needed. usefulness.

Example Work Products

Example Work Products Further Explanation
Operational definitions following
organizational standards

MPM 3.3
Required Practice Information
Practice Statement
Develop, keep updated, and follow a data quality process.
Value
Ensures that use of the measurement and performance data results in better decision making.

Additional Required Information

This section left blank for future content.
Explanatory Practice Information
Additional Explanatory Information
Data quality focuses on integrity in areas such as the completeness and correctness of performance and
measurement information. Data quality ensures:
• Measures adhere to their operational definitions
• Data integrity of the measurement repository enables:
o Efficient and effective operations, decision making, and planning
o Decision error reduction
o Performance improvement
Develop a process to analyze and improve data quality by:
• Minimizing measurement system errors
• Introducing controls to ensure that data inputs are valid
• Ensuring that metrics and measurements support effective decision making
• Understanding the accuracy, completeness, and coverage of the data
• Providing adequate training
Example Activities
Example Activities Further Explanation
Develop criteria for data quality,
accuracy, precision, and validity.
Objectively evaluate the measurement Determine and plan the frequency of evaluations.
repository and data to determine if the
data quality criteria are met.
Identify and communicate data quality
issues and track to closure.
Identify and communicate data
improvement proposals.

Example Work Products

Example Work Products Further Explanation
Data quality criteria
Measurement repository data quality
report
Data quality issues
Improvement proposals

MPM 3.4
Required Practice Information
Practice Statement
Develop, keep updated, and use the organization’s measurement repository.

Value
Timely access to measurement and performance data supports informed decisions leading to more
successful projects.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Develop a repository to store and retrieve measurement data that can be used to:
• Understand and improve performance
• Support the evolution of a more efficient and effective data set for use throughout the business
• Improve and sustain processes
• Support planning
• Support analysis
The measurement repository:
• Contains project, process, and performance measures that are related to the organization’s set of
standard processes.
• Contains or refers to the information needed to understand, interpret, and assess measures and
performance for reasonableness and applicability.
• Contains up-to-date and correct information. Maintaining the repository is important since
objectives and related measures and performance change over time.

Example Activities
Example Activities Further Explanation
Determine the organization’s needs for This results in understanding and recording the requirements
storing, retrieving, and analyzing for the measurement repository.
measurements.
Design and implement the Functions of the measurement repository include:
measurement repository. • Supporting effective comparison and interpretation of
measurement and performance data
• Providing sufficient context to quickly identify and access
data in the repository
• Improving the estimation, measurement, and performance
accuracy and precision through use of historical data
• Supporting the understanding of performance
Populate the contents and
communicate the availability and
benefits of the measurement
repository.
Revise the measurement repository as For example, revise when:
needs change. • Measurement and performance objectives change
• New processes are added
• Processes are revised and new measures are needed
• Data with finer granularity is required
• Greater visibility into the process and performance is
required
• Measures are no longer used

Example Work Products

Example Work Products Further Explanation
Measurement repository design The system design should address:
• Repository structure
• Required content
• Related systems or subsystems
• Collection
• Support environment
• Retrieval mechanisms
• Security
• Retention
• Maintenance
• Data validation
• Standard reporting
Organization’s measurement repository
Organization’s measurement data

MPM 3.5
Required Practice Information
Practice Statement
Analyze organizational performance using measurement and performance data to determine performance
improvement needs.

Value
Analyzing and improving performance contributes to business success.

Additional Required Information

Identify, record, and use aggregation rules for measurement and performance data and keep them
updated.

Explanatory Practice Information

Additional Explanatory Information
Identify potential areas for improvement through analysis at the organizational level. Determine areas
that could address process performance shortfalls. Use analysis to evaluate and prioritize potential
improvements. Identify processes and technologies that will have the largest effect on achieving those
improvements. Ensure that each performance improvement is traceable to processes and business
objectives.
Compare data before and after performance improvements are implemented to ensure the improvements
were effective. Aggregate data from various projects to the organizational level and then compare the
results with business objectives. Communicate the results, achieved benefits, and the satisfaction of
objectives to stakeholders.

Example Activities
Example Activities Further Explanation
Aggregate performance data to the
business level.
Analyze measurement and Should include:
performance objectives against current • Which processes are involved in and contribute to a
performance to evaluate the selected performance improvement
organization’s ability to satisfy business • An estimate of the contribution of the respective
objectives. processes
• Traced contribution of performance improvements to
related objectives
• Any barriers that may hinder meeting objectives or
successful deployment of improvements
Identify shortfalls and potential Performance shortfalls may include not meeting objectives
improvement areas where actual for:
performance is not meeting business • Productivity
objectives. • Cycle time
• Customer satisfaction
Examples of areas to consider for improvement include:
• Product technology

Example Activities Further Explanation

• Process technology
• Personnel development
• Team and organizational structures
• Infrastructure
• Supplier selection and management
Record performance improvement Use this information and evaluation results when developing
needs. or updating proposed improvements for performance.
Analyze and record anticipated cost Should include:
and benefits associated with • Resources including schedule, effort, people, processes,
addressing performance improvement tools, etc.
needs. • Barriers that may hinder successful deployment
• Detailed organizational changes needed to implement
each improvement
• Verification and validation activities
Communicate results to affected
stakeholders.
Submit performance improvement
suggestions.

Example Work Products

Example Work Products Further Explanation
Aggregated performance results Elicit performance and improvement results from the project
level.
Sources may include the:
• Organization’s measurement performance objectives
• Results of process and work benchmarking efforts
• Measured effectiveness of work environments
• Analysis of work and organizational performance
compared to quality and productivity objectives, including:
o Aggregation to the business level
o Effect on satisfying business objectives
o Effect on meeting measurement and performance
objectives
Performance analysis results Should include:
• Identified processes or technologies that critically
contribute to performance improvements
• Rationale for why identified processes or technologies are
critical
• Identified shortfalls (e.g., risks, issues, etc.) or
achievements towards meeting measurement and
performance objectives at the project and organizational
level
Performance improvement needs Includes traceability of improvements to processes and
business objectives.
Submitted performance improvement
suggestions
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permission by CMMI Institute. Usage by others is prohibited.
162

Related Practice Areas

Refer to the Process Management practice area for more information on improvements.

MPM 3.6
Required Practice Information
Practice Statement
Periodically communicate performance results to the organization.

Value
Enhances coordination and understanding of performance and improvement value to reduce waste and
increase the likelihood of achieving objectives.

Additional Required Information

Performance results include impact, benefits, and analysis of performance against objectives.

Explanatory Practice Information

Additional Explanatory Information
This practice focuses on communicating composite measurement and performance results. Widespread
communication leads to greater understanding across the organization of the benefits of performance
improvement. This understanding is key to developing a sustainable improvement culture with a positive
attitude towards measurement and performance management and process improvement.

Example Activities
Example Activities Further Explanation
Develop and record performance
improvement reports.
Communicate performance
improvement results to affected
stakeholders.

Example Work Products

Example Work Product Further Explanation
Performance improvement May include:
and analysis reports • Contextual information or guidance to help interpret analysis results
• Discussion and interpretation of results
• Usage of results
• Performance improvement results from projects
• Effect on satisfying measurement and performance objectives
• Aggregation to the business level
• Effect on satisfying business objectives

Level 4

MPM 4.1
Required Practice Information
Practice Statement
Use statistical and other quantitative techniques to develop, keep updated, and communicate quality and
process performance objectives that are traceable to business objectives.

Value
Establishing realistic quality and process performance objectives enables making better decisions, which
increases the likelihood of meeting business objectives.

Additional Required Information

This section left blank for future content.
Explanatory Practice Information
Additional Explanatory Information
Use statistical techniques to determine quality and process performance objectives for the work. Quality
and process performance objectives can be used at the project, organizational level, or any level.
Carefully select performance data for statistical analysis as it can be expensive. Analyze information
periodically and on an event-driven basis. Trace quality and process performance objectives to business
objectives.
Negotiate the quality and process performance objectives for the work with enough detail to allow for
evaluating the objectives and risks. The objectives may be expressed as either a distribution or discrete
number. Update them:
• As the project’s understanding of actual performance and variation becomes known and more
predictable
• To reflect the changing needs and priorities of the business
• When higher level objectives are changed
Quality and process performance objectives may address:
• Planned objectives to be achieved as a result of improvements
• Current objectives to be sustained
Example Activities
Example Activities Further Explanation
Define, record, keep updated, and This involves:
communicate Quality and Process • Incorporating appropriate business and organizational
Performance Objectives (QPPO). objectives
• Recording objectives that reflect the quality and process
performance needs and priorities of affected stakeholders
• Determining how each objective will be achieved
One common technique for recording these objectives is the
SMART approach:

Example Activities Further Explanation

• Specific
• Measurable
• Achievable
• Relevant
• Time-bound
Ensure traceability between the performance and business
objectives.
Techniques that aid in defining QPPOs may include:
• Use of control charts
• Analysis of variation
• Regression analysis
• Use of confidence or prediction intervals
• Sensitivity analysis
• Simulations
• Hypothesis tests
Derive interim objectives to monitor Establish interim objectives for characteristics of selected
progress toward achieving the stated phases, milestones, work products, and processes.
objectives.
Determine and record the risk of not
achieving quality and process
performance objectives.
Resolve conflicts among the quality To resolve conflicts:
and process performance objectives • Set relative priorities for objectives
(e.g., if one objective cannot be • Consider alternative objectives in light of long-term
achieved without compromising business strategies as well as short-term needs
another). • Involve and negotiate with affected stakeholders in
tradeoff decisions
Additionally, process performance baselines and models can
help identify suboptimized processes or subprocesses that
may conflict with other quality and process performance
objectives.
Revise objectives, as necessary, to reflect results of conflict
resolution.

Example Work Products

Example Work Products Further Explanation
Quality and process performance Examples of project quality and process performance
objectives objectives include:
• Maintain change request volume below a target value
• Reduce idle time by x% by a target date
• Maintain schedule slippage below a specified percentage
Examples of measurable quality characteristics include:
• Performance
• Defects or issues
• Critical resource utilization
• Severity of customer complaints

Example Work Products Further Explanation

Examples of measurable process performance characteristics
include:
• Cycle time
• Percentage of rework time
• Defect escape rates
Risks of not achieving the quality and
process performance objectives

Related Practice Areas

Refer to the Risk and Opportunity Management practice area for more information on managing risks.

MPM 4.2
Required Practice Information
Practice Statement
Select measures and analytic techniques to quantitatively manage performance to achieve quality and
process performance objectives.

Value
Focuses measurement and management activities on the data that provide the most insight into
achieving the objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
This practice helps to prepare for statistical and quantitative management of performance and to
establish a traceable relationship of the selected measures, and their analyses, to the objectives.
Using appropriate analytic techniques, including data visualization, enable users to recognize significant
deviations from performance objectives in order to take corrective action.

Example Activities
Example Activities Further Explanation
Identify common measures
from the organizational
measurement repositories.
Identify additional measures
that may be needed to cover
the critical work product and
process attributes of the
selected processes.

Example Activities Further Explanation

Select measures to manage Selection should not be limited to solution, progress, or performance
processes using statistical and measures only. Measures can be used to develop analysis, process,
other quantitative techniques. and success indicators which provide better insight into process
performance.
Measures that aggregate data from multiple sources or over time
typically mask underlying problems, making problem identification
and resolution difficult.
For short projects, it may be necessary to aggregate data across
similar instances of a process to enable analysis of its process
performance.
Specify the operational
definitions of new measures.
Identify the statistical and These statistical and other quantitative techniques help to:
other quantitative techniques • Characterize process variation
to be used. • Recognize when variation is excessive, and investigate why
• Identify when statistically unexpected behavior occurs
Examples of statistical techniques to analyze process performance
include:
• Statistical process control
• Regression analysis
• Analysis of variance including central tendency and distribution
• Time series analysis
• Hypothesis testing for statistical significance
Graphical displays can help:
• Visualize process performance
• Understand relationships between two or more sets of data
• Track variation over time
• Identify problems or opportunities
• Evaluate the effects of different factors
Examples of graphical displays include:
• Scatterplots
• Control Charts
• Histograms
• Box and whisker plots
• Run charts
• Ishikawa diagrams
Analyze the relationship of Examples of quality and process performance objectives using
identified measures to the derived targets include:
quality and process • Keep requirements gathering sessions to under three hours
performance objectives to • Maintain rework levels below a specified percent
derive targets. • Maintain productivity in generating a number of work products per
day
Develop the environment to This implementation is based on the:
support collection, derivation, • Description of the organization’s set of standard processes
and analysis of new measures • Description of the defined process in use
and keep it updated.

Example Activities Further Explanation

• Capabilities of the support environment
Record, keep updated, and
use measures and statistical
analysis techniques.

Example Work Products

Example Work Products Further Explanation
List of selected and new Include:
measures • Operational definition of new measures suitable to support
statistical and other quantitative management
• Identified (or linked to) statistical and other quantitative
techniques to analyze the measures
• Representations of data and analysis results
Repository of analytical and Include:
statistical techniques • Definition of analytical and statistical techniques
• Links to measures
• Needed skills for applying the defined techniques
• Identified people who have the needed skills
• Tools to support the techniques
Environment to support
collection, derivation, and
analysis of new measures
Results of analysis and their
derived targets
Traceability to objectives Show the relationship between the measures, the quality and process
performance objectives, and higher-level business objectives.

Context Specific
Development
Context Tag: CMMI-DEV

Context: Practices are used to develop quality products and services to meet the needs of
customers and end users.

Examples of quality and process performance objectives using derived targets include:
• Maintain a code review rate between 75 to 100 lines of code per hour
• Keep test rate over a specified number of test cases per day
• Maintain productivity in generating use cases per day
• Keep design complexity (fan-out rate) below a specified threshold

MPM 4.3
Required Practice Information
Practice Statement
Use statistical and other quantitative techniques to develop and analyze process performance baselines
and keep them updated.

Value
Enables quantitative understanding of performance and capability to ensure that objectives can be met.

Additional Required Information

A process performance baseline is a recorded, statistical characterization of the actual results achieved.
Derive baselines by analyzing measures to identify central tendency and distribution or range of results
that characterize the expected performance. Use these baselines to determine the expected results of the
process under a given set of circumstances. The organization’s process performance baselines measure
performance for selected processes within the organization’s set of standard processes.
Baselines provide an understanding of process variation and support informed decision making through a
better understanding of risks to achieving objectives. They enable:
• Determining the stability and capability of the process
• Detecting defects earlier to save resources
• Detecting significant cost or schedule issues earlier to take corrective actions
• Facilitating earlier detection of anomalies with critical processes
A stable process is important to creating reliable process performance baselines. Understanding the
presence (or absence) of variation enables more accurate understanding of the process capability. In
determining stability and capability of the process, two key terms come into play:
• Stable process: The state in which special causes of process variation have been removed from
the process and prevented from recurring. In a stable process, only common cause variation of
the process remains.
• Capable process: A stable process that is able to meet the quality and process performance
objectives set for it, and the variation of the process falls within set specification limits.

Explanatory Practice Information

Additional Explanatory Information
Process performance baselines may be used to:
• Compare to performance objectives to identify if they are being met
• Establish trial bounds when starting a control chart
• Compare actual process performance among multiple projects
• Establish benchmarks
• Enable identification of special cause of variation, triggering potential root cause analysis
The work that the process performance baselines address includes:
• Individual process activities within a larger process

• Sequences of connected activities

• Processes whose activities are performed by different workgroups
• Activities that cover the entire lifecycle
• Activities for developing individual work products
• Determining inherent process variation (i.e., common cause of variation) in performance
• Determining assignable process variation (i.e., special cause of variation) in performance
• Understanding the impact of variation on stability and capability on the performance of the
process and achievement of the quality and process performance objectives
• Understanding how capable a process is in meeting its quality and process performance
objectives
There can be several performance baselines to characterize performance for subgroups. Examples of
subgroup categories include:
• Line of business
• Domain or function
• Complexity
• Project size
• Work product size
• Process elements or attributes from the organization’s set of standard processes
Tailoring the organization’s set of standard processes can significantly affect the comparability of data
and how data is included in process performance baselines.
Conditions that may affect the performance of processes and justify the development of separate process
performance baselines include:
• The level of experience or proficiency of the individuals performing the processes
• Organizational or business conditions
• Specific methods or tools used in performing the processes
• The nature of the solution for which the processes are performed
Statistics used to characterize process performance baselines include:
• Expected performance as measured by mean, median, mode, or other measures of central
tendency
• Performance variation as measured by upper and lower control limits, standard deviation,
interquartile range, range, or other measures of variation
• Shape of the distribution as measured by statistics (e.g., skewness, kurtosis)
• How performance parameters may vary under different conditions
• Performance trends over time

Example Activities
Example Activities Further Explanation
Analyze the collected measures to Include the stability and capability (when specification limits
establish central tendency and are defined).
distribution or range of results that This analysis can help decide the best selection or subset of
characterize the expected performance process performance baselines to maintain.
of selected processes.
Ensure that the baselines are linked to quality and process
performance objectives and business objectives.
Record, keep updated, and use process Examples may include:
performance baselines. • Statistical process control charts
• Box and whisker diagrams
• Confidence intervals
Review process performance baselines Stakeholders can help determine if the baselines are
with affected stakeholders. appropriate.
Make the process performance Workgroups use the organization’s process performance
baselines available in the organization’s baselines to estimate the natural bounds for their process
measurement repository and performance.
communicate to the organization. Some project process performance baselines may not be
included in the organization’s measurement repository.
Revise the process performance For example, when:
baselines as needed. • Processes change
• The organization’s results change
• The organization’s needs change
• Suppliers’ processes change
• Suppliers change

Example Work Products

Example Work Products Further Explanation
Results of analysis of process
performance data
Process performance baselines Include:
• Central tendency
• Range and distribution
• Description of the context for the data
• Reference to the operational definition of the data to
enable accurate interpretation
• Links to quality and process performance objectives

MPM 4.4
Required Practice Information
Practice Statement
Use statistical and other quantitative techniques to develop and analyze process performance models and
keep them updated.

Value
Reduces cost and increases quality by predicting likelihood of meeting objectives and allowing for early
corrective action.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
High maturity organizations generally develop and maintain a set of process performance models at
various levels of detail to predict process performance. These models cover a range of activities and work
product measures that are common across the organization and address the likelihood of achieving the
organization’s quality and process performance objectives.
Process performance models can help to:
• Predict performance results including confidence limits of selected processes
• Analyze and predict the performance associated with processes and changes to the organization’s
set of standard processes
• Assess return on investment for process and performance improvement activities
• Select processes that give the projects the highest probability of success
• Enable “what if” analysis for potential changes and improvements
• Estimate progress toward achieving the quality and process performance objectives
Examples of performance models include:
• Regression
• Complexity
• Discrete event simulation
• Monte Carlo simulation
Example Activities
Example Activities Further Explanation
Establish process performance models. Examples of analyses used to develop performance models
include:
• Visual analysis techniques (e.g., scatter plot)
• Regression or multivariate predictive techniques
• Stochastic techniques
• Classification analyses (e.g., defect or problem types)

Example Activities Further Explanation

• Monte Carlo analysis
Validate the process performance One typical method of validation is to use historical
model. information (e.g., use the first 9 months of data to predict
the last 3 and then compare to actual results).
Calibrate process performance models
based on the results.
Review process performance models Stakeholders can help determine if the models are
with affected stakeholders. appropriate.
Make the process performance models Some project process performance models may not be
available in the organization’s included in the organization’s measurement repository.
measurement repository and
communicate to the organization.
Support the project’s use of process
performance models.
Revise process performance models as For example, when:
needed. • Processes change
• The organization’s results change
• The organization’s measurement and performance
objectives change
• The organization’s business or business objectives change

Example Work Products

Example Work Products Further Explanation
Process performance models May include:
• Guidance for use
• Description of model:
o Equation or scenario
o Controllable factors
o Uncontrollable factors
o Confidence and prediction limits
Validation results Include results from utilizing the models.
Calibration results

MPM 4.5
Required Practice Information
Practice Statement
Use statistical and other quantitative techniques to determine or predict achievement of quality and
process performance objectives.

Value
Facilitates a quantitative understanding of risks to achieving objectives which maximizes likelihood of
success.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Use statistical and other quantitative techniques to:
• Analyze variation in process performance
• Monitor the selected processes that drive achieving the objectives
• Review the quality and process performance objectives to determine:
o Their relationship to the business objectives
o The risks associated with not meeting them
o The actions needed to achieve them
Use multiple inputs to predict if the quality and process performance objectives will be satisfied.
Quantitative models of performance can range from simple descriptive statistics concerning capability to
sophisticated Bayesian, stochastic, or multivariate predictive models. These models may be used to
predict project, team, or organizational performance based on the current capability of processes and the
conditions that affect them. An organization may begin with standard models from related industries and
over time refine their algorithms or parameters with internal data and experience. Quantitative models
may differ in:
• Purpose
• Sophistication
• Analytic foundation
• Parameters
• Predictability
• Use among the various processes
Examples of quantitative models include:
• Models to predict the likelihood of achieving quality and process performance objectives from the
aggregated performance results of projects
• Predictive models of characteristics most likely to affect capability and performance of the project
and used to select improvements and adjust performance expectations
• Models of the effect of variations in practices and activities on the resulting capability and
performance of processes
• Models for evaluating decisions involving performance tradeoffs

Example Activities
Example Activities Further Explanation
Analyze the variation and stability of This analysis may involve:
the selected processes and address • Evaluating measurements in relation to the natural bounds
deficiencies. and specification limits
• Identifying outliers or other signals of potential non-
random behavior (applying run rules or tests to identify
anomalies)
• Determining causes of outliers
• Preventing or mitigating the effects of outlier recurrence
(e.g., addressing special causes of variation)
Consider:
• The sufficiency and accuracy of the data
• Shifts in process performance that can affect the ability to
achieve or maintain process stability
• Deficiencies in process performance such as when there is
too much variation to achieve the objectives
Confirm that the process performance is stable before
determining capability. Addressing stability typically includes
an in-depth understanding of special causes. Addressing
capability typically includes an in-depth understanding of
common causes and addressing them appropriately.
Analytic techniques for identifying outliers or signals include:
• Statistical process control charts
• Prediction, confidence, or tolerance intervals
• Analysis of variation
Implement actions needed to address Examples of actions to address deficiencies in achieving
deficiencies in achieving quality and objectives may include:
process performance objectives. • Improving the implementation of the existing process to
reduce its variation or improve its performance (e.g.,
addressing common causes of variation or changing the
process)
• Adopting new processes and technologies
• Identifying risks and risk mitigation strategies for
deficiencies
• Renegotiating quality and process performance objectives
when the processes are not capable of achieving them
Some actions involve the use of causal analysis. Corrective
actions may result in changes to attributes or measures
related to controllable factors in process performance
models. Process performance models can then be used to
predict the effects of the actions. When taking critical
corrective actions in high risk situations, a process
performance model can be developed to predict the effects
of the change.
Processes not selected for their impact on objectives can still
cause problems or risks. Some level of monitoring for these
processes may be helpful.

Example Activities Further Explanation

Use validated process performance For example, use process performance models to predict the
models calibrated with data to assess latent defects in work products in future phases or in the
progress toward achieving quality and delivered solution.
process performance objectives.
Identify and manage risks associated
with achieving quality and process
performance objectives.
Record and communicate the results of
the analysis, decisions, and actions
identified.

Example Work Products

Example Work Products Further Explanation
Results of analysis, validation, and May include:
calibration • Graphs, charts, and data tables that support quantitative
management
• The range of process performance for each selected
process attribute
Predictions of results to be achieved
relative to the quality and process
performance objectives
Recorded risks of not achieving the
quality and process performance
objectives
List of actions needed to address
deficiencies in the process stability or
capability of each selected process

Related Practice Areas

Refer to the Causal Analysis and Resolution practice area for more information about causal analysis
activities that can help identify what corrective actions are needed.
Refer to the Risk and Opportunity Management practice area for more information on managing risks.

Level 5

MPM 5.1
Required Practice Information
Practice Statement
Use statistical and other quantitative techniques to ensure that business objectives are aligned with
business strategy and performance.

Value
Minimizes waste and rework through a more accurate understanding of capability which increases the
likelihood of setting and meeting reasonable objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Ensure alignment of quality and process performance objectives, business objectives, and business
strategies.
Use organizational performance data, characterized by process performance baselines and models, to
evaluate whether business objectives are realistic and aligned with business strategies and to understand
variation. There may be multiple baselines and models needed in an organization to cover different types
or aspects of work. After business objectives have been revised and prioritized, develop, maintain, and
communicate resulting quality and process performance objectives. Use process performance models to
understand the processes and relationships needed to achieve the objectives and to perform what-if
analyses to aid in the alignment process.

Example Activities
Example Activities Further Explanation
Evaluate and update business Business objectives, business strategies, and organizational
objectives periodically and on an event performance may change over time or become obsolete
driven basis to ensure that they align based on the needs of the organization or the strategies.
with business strategies. Understanding performance in this context requires using
statistical and quantitative techniques.
Compare business objectives with Business objectives can set the bar too high to motivate real
baselines and process performance improvement. Using process performance baselines and
predictions to ensure the objectives are models helps balance expectations and reality. If process
realistic. performance baselines and models are not available, use
sampling techniques to quickly develop a quantitative basis
for comparison.
Prioritize business objectives based on Example criteria include the ability to:
recorded criteria. • Win new business
• Retain existing clients
• Respond to changing or disruptive markets
• Innovate

Example Activities Further Explanation

• Accomplish other key business strategies
Maintain quality and process Business and quality and process performance objectives
performance objectives to address typically evolve over time. Ensure existing objectives are met
changes in business objectives. while identifying and managing new business objectives and
associated quality and process performance objectives.
Revise measures to align with quality
and process performance objectives.
Communicate changes to business
strategies, business objectives, and
quality and process performance
objectives to stakeholders.

Example Work Products

Example Work Products Further Explanation
Results of analysis of current This is typically an iterative process that may be done from a
performance against: bottom-up (quality and process performance objectives up to
• Quality and process performance business strategies) or top-down approach, depending on
objectives the need and purpose.
• Business objectives
• Business strategies
Revised business objectives and
strategies
Revised quality and process
performance objectives
Revised measures

MPM 5.2
Required Practice Information
Practice Statement
Analyze performance data using statistical and other quantitative techniques to determine the
organization’s ability to satisfy selected business objectives and identify potential areas for performance
improvement.

Value
Identifies areas that pose the greatest risk to achieving business objectives or greatest opportunity for
increasing business performance.

Additional Required Information

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Explanatory Practice Information

Additional Explanatory Information
Process performance baselines and models help to understand the current capability of the organization.
Compare process performance baselines or predictions from process performance models against quality
and process performance objectives to determine the organization’s ability to meet business objectives.
Use analysis to further refine the potential areas for improvement. This can be combined with Causal
Analysis and Resolution practices to help diagnose and resolve root causes of the issues.

Example Activities
Example Activities Further Explanation
Periodically and on an event-driven For example, if cycle time is a critical business need, collect
basis, compare quality and process various measurements that support or influence
performance objectives to current characterizing cycle time. Compare overall cycle time
process performance baselines and performance data to business objectives to understand if the
models to evaluate and predict the expected performance will satisfy business objectives.
organization’s ability to satisfy business
objectives.
Identify shortfalls where performance
is not satisfying business objectives.
Identify potential improvement areas Examples of areas to consider for improvement include:
based on the analysis of performance • Product technology
shortfalls. • Process technology
• Personnel development
• Productivity
• Team structures
• Supplier selection and management
• Other organizational infrastructures
Communicate results and develop a list
of improvement proposals.

Example Work Products

Example Work Products Further Explanation
Performance analysis results Include an analysis of current performance data versus
business objectives.
List of performance shortfalls Shortfall descriptions may include:
• Context
• Impact (including any interdependencies on other
performance or processes)
• Priority
• Risks
• Potential corrective actions
List of potential improvement
proposals

Related Practice Areas

Refer to the Causal Analysis and Resolution practice area for more information about diagnosing and
resolving the root causes of issues.

MPM 5.3
Required Practice Information
Practice Statement
Select and implement improvement proposals, based on the statistical and quantitative analysis of the
expected effect of proposed improvements on meeting business, quality, and process performance
objectives.

Value
Increases likelihood that selected improvements will significantly contribute to achieving business, quality,
and process performance objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Proposed improvements selected for implementation should significantly contribute to achieving business,
quality, and process performance objectives. Improvement ideas may come from either inside or outside
the organization. By analyzing the benefits and impacts of improvements, this practice can also help to
prepare the organization for their deployment and maximize the benefits.

Example Activities
Example Activities Further Explanation
Use process performance models to
predict process performance based on
proposed improvements.
Run pilots to determine preliminary
process performance based on
proposed improvements.
Run tests for statistical significance of
modeled or piloted results.
Analyze the costs and benefits of Estimate the cost, effort, and schedule required for
proposed improvements. implementing, verifying, and deploying each proposed
improvement.
Process performance models provide insight into the effect of
process changes on process capability and performance.
Criteria for evaluating costs and benefits may include:
• Contribution toward meeting the organization’s quality and
process performance objectives

Example Activities Further Explanation

• Effect on mitigating identified work and organizational
risks
• Ability to respond quickly to changes in requirements,
market situations, and the business environment
• Impacts to commitments and skills
• Effect on related processes, training, work environment,
and technology
• Cost of defining and collecting data that support the
measurement and analysis of the process and technology
improvement
• Scalability
• Expected life span of the improvement
Identify potential barriers and risks to Examples of barriers include:
deploying each proposed improvement. • Turf guarding and parochial barriers
• Unclear or weak business rationale
• Lack of short-term benefits and visible successes
• Unclear picture of what is expected
• Too many changes at the same time
• Lack of involvement and support from affected
stakeholders
Examples of risks include:
• Compatibility of the improvement with existing processes
• Experience and skills of potential users
• Complexity of the improvement
• Difficulty implementing the improvement
• Ability to demonstrate the value of the improvement
before widespread deployment
• Justification for large, up-front investments in areas such
as tools and training
• Resistance to change
Record the evaluation results and The results should include:
decide to implement in accordance • Problem statement
with evaluation criteria • Description of proposed improvements
• Statistical and quantitative analysis of proposed
improvements including evaluation criteria
• Cost benefit analysis of proposed improvement
• Implementation decision
Determine and record the validation Determining the validation method includes defining the
method that will be used before broad- statistical or quantitative success criteria that will be used to
scale deployment of the change. evaluate results of the validation.
Since innovations typically represent a major change to the
process, most innovative improvements should be piloted.
Other validation methods, including modeling and simulation,
can also be used.
Implement selected proposals
Validate implemented proposals before Follow the validation methods recorded above
broad-scale deployment

Example Activities Further Explanation

Deploy validated proposals

Example Work Products

Example Work Products Further Explanation
Analysis of potential impacts of Analysis options include a:
proposed improvements • Statistically significant prediction of likelihood of achieving
the intended effect, e.g., from process performance
models
• What-if analysis
Piloting report May include:
• Results from piloting performance improvements against
defined success criteria
• Probability that the intended effect will be achieved when
the improvement is deployed
Cost-benefit analysis results May include:
• Cost
• Expected benefits
• Organizational impact
• Effect measured in quantitative and statistical terms
• Relationship to and impact on business and quality and
process performance objectives
• Identification of proposed improvements
List of potential barriers and risks to
implement the improvement
Recorded validation methods
List of submitted proposals for
implementation

Related Practice Areas

Refer to the Process Management practice area for more information about identifying and implementing
improvements.
Refer to the Process Asset Development practice area for more information about updating process
assets.

Monitor and Control (MC)

Required PA Information
Intent
Provide an understanding of the project progress so appropriate corrective actions can be taken when
performance deviates significantly from plans.

Value
Increases the probability of meeting objectives by taking early actions to adjust for significant
performance deviations.

Additional Required PA Information

This section left blank for future content.
Explanatory PA Information
Practice Summary
Level 1
MC 1.1 Record task completions.
MC 1.2 Identify and resolve issues.
Level 2
MC 2.1 Track actual results against estimates for size, effort, schedule, resources,
knowledge and skills, and budget.
MC 2.2 Track the involvement of identified stakeholders and commitments.
MC 2.3 Monitor the transition to operations and support.
MC 2.4 Take corrective actions when actual results differ significantly from planned
results and manage to closure.
Level 3
MC 3.1 Manage the project using the project plan and the project process.
MC 3.2 Manage critical dependencies and activities.
MC 3.3 Monitor the work environment to identify issues.
MC 3.4 Manage and resolve issues with affected stakeholders.
Additional PA Explanatory Information
The term “project plan” refers to the overall plan for managing the project and includes a coherent
description of who does what and when for creating, updating, or delivering a solution. The project plan
can be a stand-alone document or distributed across multiple documents and provides a way to track and
communicate actual progress and determine if corrections are needed.
Tracking progress typically consists of comparing actual values to planned or estimated values for:
• Size
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183

• Complexity
• Effort
• Cost
• Schedule
• Quality
• Milestones
• Knowledge and skills
• Resources
• Stakeholder involvement
• Commitments
• Transition to operations and support
Tracking actuals against estimates supports managing the expectations of customers and stakeholders.
Take corrective actions when actual values deviate significantly from expected values. These corrective
actions may include:
• Revising the strategy for accomplishing the work
• Updating objectives
• Revising the plan
• Revising the estimates
• Establishing or modifying agreements and commitments
• Updating risk management activities and work products
If corrective actions are required to resolve significant deviations from project plans, define and track
these actions to closure.
Context Specific
Agile with Scrum Guidance
Context Tag: Agile with Scrum

Context: Practices used by projects to adopt agile with Scrum when monitoring progress
against plans.

Figure MC-1: Monitoring in an Agile Framework

Table MC-1: Monitoring Information & Related Model Practices

Figure MC-2: Release Burndown Chart

Figure MC-1 states where monitoring is performed in an agile project using Scrum. Table MC-1 and
Figure MC-2 show example tracking information and related model practices.
Typical monitoring practices for agile teams using Scrum (e.g., stand up meetings, visual information
management, scrum of scrums) result in the following information:
• Task (Scrum) board showing the status of work being performed, specifically tasks and backlog
items assigned to the sprint (see Table MC-1).
• A release burndown chart (see Figure MC-2) showing the number of story points remaining,
tracked within each sprint, and representing all of the work for a release typically consisting of
several sprints.
• A sprint (iteration) burndown chart (not shown) that is updated daily indicating the time needed
to complete the work committed for the sprint.
• Visual information on walls and/or digital screens indicating the current state of team
performance, culture, and tasks

Level 1

MC 1.1
Required Practice Information
Practice Statement
Record task completions.
Value
Knowing how much work remains enables the team and senior management to make better decisions to
achieve objectives.
Additional Required Information
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Explanatory Practice Information
Additional Explanatory Information
Tracking completed work is part of monitoring progress. Regularly review tasks to determine status,
which may include:
• Completed
• Delayed
• Not completed

Example Activities
Example Activities Further Explanation
Record task completion. Although tasks can be given a percentage completion, this
may lead to inaccurate status reporting such as “90% done
90% of the time”. One way of avoiding this is to only show
100% complete or not complete.
Review updated task list with affected
stakeholders.

Example Work Products

Example Work Products Further Explanation
Task list Includes:
• Description
• Status
• Date

MC 1.2
Required Practice Information
Practice Statement
Identify and resolve issues.
Value
Resolving issues helps prevent uncontrolled cost and schedule creep.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Identify and resolve issues as they arise. Resolving issues is important to keeping tasks on schedule.
Analyze issues as they are identified to determine the appropriate corrective action and track to closure.
Issues may generate unplanned work. If issues are not monitored and controlled, work can be delayed
without an understanding of the reason.

Example Activities
Example Activities Further Explanation
Record the issue in the issue and
action item list.
Assign responsibility for resolving the Ensure people are aware that they have been given
issue or action item. responsibility to resolve the action.
Assign a due date. Work with the person assigned responsibility to determine
when the issue or action can be completed.
Track issues and action items to Tracking to closure is critical to knowing if and how the
closure. project plan will be impacted.

Example Work Products

Example Work Products Further Explanation
Issues and action item list Includes the:
• Description of the issue or action item
• People assigned to the issue or action item
• Due date
• Status

Level 2

MC 2.1
Required Practice Information
Practice Statement
Track actual results against estimates for size, effort, schedule, resources, knowledge and skills, and
budget.

Value
Identifies significant deviations so more effective corrective actions can be taken which increases the
likelihood of meeting objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Record associated contextual information when tracking actual results versus estimates to help
understand what the measurement data represents.
Typical indicators of project progress and performance include characteristics of work products and tasks
that may include:
• Cost
• Budget
• Effort
• Schedule
• Size
• Complexity
• Availability
• Function
• Knowledge and skills
• Resources
• Stakeholder involvement
• Commitments
• Transition to operations and support
Frequency of monitoring depends on the:
• Collection schedule
• Pace and duration of the work
• Agreed to milestones

Example Activities
Example Activities Further Explanation
Track actual results to plans and Track size, effort, schedule, resources, knowledge and skills,
estimates. and budget.
Tracking actual results typically occur through:
• Progress reporting
• Status reviews
• Milestone reviews
Monitor resources provided and used. Identify what resources are needed to address the corrective
actions. This typically includes:
• People
• Processes
• Physical facilities
• Computers, peripherals, and software
• Networks
• Security environment
Monitor the knowledge and skills of This typically includes:
workgroup members. • Periodically measuring the knowledge and skills of people
to assess changes
• Comparing actual training obtained to training recorded in
the project plan
• Identifying significant differences from project plan
estimates
Monitor commitments against those This includes:
identified in the project plan. • Regularly reviewing internal and external commitments
• Identifying commitments that have not been satisfied or
are at significant risk of not being satisfied
• Recording review results
Record significant differences in This includes:
planned vs. actual values. • Defining criteria for what “significant” means for the
planned and actual values
• Keeping a record of significant differences to be used for
more effective future planning
Monitor progress against schedule. This typically includes:
• Periodically measuring the actual completion of activities
and milestones
• Comparing actual completion of activities and milestones
to the project schedule to identify significant deviations
Monitor expended effort and costs. This typically includes:
• Periodically measuring the actual effort and costs
expended
• Comparing actual effort and costs, to the
planned/estimated budget and costs
• Identifying significant deviations from the project budget
and estimates

Example Work Products

Example Work Products Further Explanation
Records of actuals versus estimates Typically includes the:
• Budget
• Schedule
• Size
• Effort
• Resources
• Knowledge and skills
Records of significant deviations
Records of status reviews
Corrective actions
Cost performance reports Include planned vs. actual results on cost of tasks, activities,
and deliverable dates, their sequence, and resources needed.
Schedule performance reports Include planned vs. actual results on schedule of tasks,
activities, and deliverable dates, their sequence, and
resources needed.

Related Practice Areas

Refer to the Managing Performance and Measurement practice area for more information about
developing and sustaining a measurement capability used to support management information needs.
Refer to the Estimating practice area for more information about establishing estimates.
Refer to the Planning practice area for more information about planning the project’s resources and
planning needed knowledge and skills.

MC 2.2
Required Practice Information
Practice Statement
Track the involvement of identified stakeholders and commitments.

Value
Managing stakeholder involvement is critical to successful work completion.
Additional Required Information
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Explanatory Practice Information
Additional Explanatory Information
Manage stakeholder involvement according to the plan and process. Re-plan stakeholder involvement
when changes to requirements, situation, or status occur.

Example Activities
Example Activities Further Explanation
Periodically review and record the Stakeholder involvement can be tracked in events such as
status of stakeholder involvement. team meetings and cross-functional coordination meetings.
Identify and record significant
stakeholder issues.
Develop recommendations and
coordinate actions to resolve issues.

Example Work Products

Example Work Products Further Explanation
Records of stakeholder involvement Includes meeting records and reviews with attendee lists.
Agendas and schedules for
collaborative activities
Recommendations for resolving Includes records of decisions.
stakeholder issues
Recorded issues Identifies both resolved and unresolved issues.

Related Practice Areas

Refer to the Planning practice area for more information about planning stakeholder involvement and
obtaining plan commitment.

MC 2.3
Required Practice Information
Practice Statement
Monitor the transition to operations and support.

Value
Solutions are smoothly transitioned and successfully implemented ensuring expected benefits are
obtained.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Monitor and control the actual transition of the accepted solution against the plan for the transition to
operations and support. In some instances, this may be accomplished by delivering the solution directly
to the customer.

Example Activities
Example Activities Further Explanation
Monitor the capabilities of operations Operations and support organizations should demonstrate
and support to receive, store, use, and readiness to accept the solution and provide uninterrupted
maintain new or modified solutions. support.
Use transition readiness criteria and verification and
validation practices to decide if delivered solutions meet
specified requirements.
Use verification and validation practices to confirm readiness
for acceptance into operations and support.
Monitor training delivery to This typically includes:
stakeholders involved in receiving, • Verifying correct training materials and resources specific
storing, using, and maintaining to stakeholders involved are available and used
solutions. • Verifying that the right training is given to the right people
at the right time
• Verifying that the delivered training has enabled the
recipients to carry out their work efficiently and effectively
Review and analyze the results of Decide whether corrective actions must be completed before
transition activities. transferring responsibility to operations and support.
Example work products that support transition analyses
include:
• Transition activity reports that include quality measures
collected during the pilot and the warranty period
• Problem tracking reports, detailing resolution time,
escalation, and root cause analysis
• Change management reports
• Configuration management records
• Operation logs to decide that sufficient information is
stored to support revisions
• Security reports
• Actual operations and support costs compared to
estimates

Example Work Products

Example Work Products Further Explanation
Status reports of transition activities Current status of transition activities, including any risks,
issues, or corrective actions taken.
Transition readiness report Description of the state of readiness of the solutions prior to
transition to ensure it will happen in accordance with the
plan.
Records of transition support reviews May include corrective actions.
Lessons learned report

MC 2.4
Required Practice Information
Practice Statement
Take corrective actions when actual results differ significantly from planned results and manage to
closure.

Value
Managing corrective actions can increase the probability that objectives will be met.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Collect and analyze issues. Analyze and decide on corrective actions to address these issues. Manage the
corrective actions to closure.

Example Activities
Example Activities Further Explanation
Collect issues for analysis. Collect issues from reviews and the execution of other
processes.
Examples of issues to collect include:
• Issues discovered when performing technical reviews,
verification, and validation
• Significant deviations in project planning parameters from
estimates in the project plan
• Commitments (either internal or external) that have not
been satisfied
• Significant changes in risk status
• Data access, collection, privacy, or security issues
• Stakeholder representation or involvement issues
• Solution, tool, or environment transition assumptions (or
other customer or supplier commitments) that have not
been achieved
Analyze issues to decide if corrective Corrective action is required when the issue, if left
action is needed. unresolved, may prevent the project from meeting its
objectives.
Take corrective action on identified Steps typically include:
issues. • Deciding and recording actions to resolve selected issues.
Examples of potential actions include:
o Modifying the statement of work
o Modifying requirements
o Revising estimates and plans
o Renegotiating commitments
o Adding resources
o Changing processes
o Improving skills and efficiency
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194

Example Activities Further Explanation

o Revising project risks
• Obtaining agreement from affected stakeholders on the
actions
• Using the organization’s defined and established methods
to resolve conflicts and disputes
• Negotiating changes to internal and external commitments
Manage corrective actions to closure. This typically includes:
• Tracking corrective actions to completion
• Analyzing results of corrective actions to determine their
effectiveness and if additional corrective actions are
needed
• Recording final resolution of significant deviations when
initial corrective action taken was not effective

Example Work Products

Example Work Products Further Explanation
List of issues requiring corrective Include the:
action • Status of issue or action item
• Person responsible for the action item
• Corrective action plans
• Corrective action results

Related Practice Areas

Refer to the Planning practice area for more information about corrective action criteria.
Refer to the Verification and Validation practice area for more information about performing verification
and validation.

Level 3

MC 3.1
Required Practice Information
Practice Statement
Manage the project using the project plan and the project process.
Value
Helps to ensure necessary activities are performed which reduces rework and improves the likelihood of
achieving objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Managing the project helps to:
• Understand how much time is spent on each activity and decide if it is the most effective use of
time
• Measure the resources used and available to a project
• Provide status to members of the team and stakeholders

Example Activities
Example Activities Further Explanation
Manage the project activities using the The project process is tailored by the project from the
project process and all related plans. organization’s set of standard processes.
This includes:
• Using the defined entry and exit criteria to start and finish
tasks
• Monitoring activities that could significantly affect actual
values of the planning parameters, such as size, effort
remaining, effort expended and changes in complexity
• Tracking planning parameters using measurable
thresholds to trigger investigation and corrective action
• Monitoring risks
• Managing external and internal commitments based on
plans for tasks and work products
• Understanding the relationships between the:
o Tasks and work products of the project process, and
o Roles of affected stakeholders
• Using quality control processes (e.g., peer reviews,
objective evaluations) to improve both visibility into
performance and control of the work
• Taking corrective action when progress deviates
significantly from the plan

Example Activities Further Explanation

Collect and analyze selected
measurements to manage the project
and support the organization’s needs.
Periodically review and align project Examples of actions that achieve alignment include:
performance with organizational, • Updating the schedule in response to changes in planning
customer, and end user requirements parameters, project, and risks
and objectives. • Updating requirements or commitments in response to
changes in market opportunities or customer and end user
needs
• Terminating the project, iteration, or release
Resolve causes of issues affecting This includes:
project objectives. • Reviewing issues and lessons learned from previous work.
• Performing causal analysis of selected issues to identify
where corrective actions need to be taken.
• Evaluating process changes needed to prevent recurrence.
• Taking the corrective actions and implement process
changes.
• Ensuring that the corrective actions and process changes
have prevented recurrence of issues and improved
performance.

Example Work Products

Example Work Products Further Explanation
Results of monitoring
Collected measures and status records
or reports

Related Practice Areas

Refer to the Managing Performance and Measurement practice area for more information about obtaining
and analyzing measurement data.
Refer to the Causal Analysis and Resolution practice area for more information on identifying the causes
of significant impacts.

MC 3.2
Required Practice Information
Practice Statement
Manage critical dependencies and activities.
Value
Managing critical dependencies can significantly reduce risk and increase the likelihood of meeting
objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Critical dependencies can also involve on-time availability of resources.

Example Activities
Example Activities Further Explanation
Review and update dependencies. Record agreements for:
• Coordinating dependent work
• Ensuring that resources are available on time
Provide advance communication to all affected stakeholders
when dependencies cannot be met.
Record minutes from reviews and
discussions.
Record issues.

Example Work Products

Example Work Products Further Explanation
Updated critical dependencies
Recorded agendas and meeting Dependencies are commonly managed and coordinated in:
minutes • Status reviews
• Management reviews
• Affected stakeholder discussions
• Cross-functional team coordination events
Recorded issues This may include:
• Supplier delays
• Stakeholder involvement (or lack thereof)
• Recommendations for resolving issues

MC 3.3
Required Practice Information
Practice Statement
Monitor the work environment to identify issues.
Value
An effective, safe, and healthy work environment helps ensure objectives are met.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Identify and correct environmental and physical factors that degrade the safety, health, effectiveness,
and productivity of the workforce.
Monitor the environment to ensure that people can focus on achieving objectives and are free from
issues and unwanted distractions. Ensure the entire workforce recognizes that worker safety and health is
central to objective accomplishment.

Example Activities
Example Activities Further Explanation
Monitor work environment Work environment elements may include:
elements that affect safety, • Standard workstation hardware and software
health, effectiveness, and • Standard workstation hardware
productivity and identify and • Standard production and calibration equipment
record any corrections needed. • Buildings, facilities, and other physical resources
• Security
• Safety
• Management and leadership
• Specific environmental conditions
• Periodic inspections of the work environment
• Health and welfare
• Diversity
• Privacy
Monitor physical factors in the Examples of physical factors that could degrade performance include:
work environment that could • Inadequate office or meeting space
degrade performance and • Poor lighting
identify and record any • Inadequate heating, ventilation, or cooling
corrections needed. • Unpleasant odors or fumes
• Vibration
• Excessive noise
• Crowding or isolation
• Environmental hazards
Identify, record, and report Examples of potential work environment issues problems include:
potential work environment • Failure to apply required safety standards
issues and corrections needed. • Inadequate security

Example Activities Further Explanation

• Improper ergonomics
• Exposure to unhealthy substances
• Poor air or water quality
• Excessive stress
Take reasonable steps to
accommodate work
environment issues while
corrections are being made.
Remove or reduce Examples of interruption or distraction include:
interruptions or distractions • Frequent telephone calls
that degrade performance. • Excessive meetings
• Excessive administrative tasks
• Work that could be better performed by others
• Excessive socializing, including social media, texting, etc.
Remove or reduce physical Examples of what could lessen the effects of physical work
factors that degrade environment factors include:
performance. • Providing resources that reduce the effect of the problem (e.g.,
fans or heaters to correct inadequate temperature control)
• Communicating intentions that will remove the problem, such as
working from home or planned additional office space
Allow people to make reasonable adjustments that reduce the effect
of problems specific to them.
Monitor progress of work Analyze the results after the initial corrections and decide whether
environment issue resolution. further correction to work environment issues is needed.
If it is not possible to effectively eliminate the effect of a physical
factor, pursue alternative mitigation strategies and solutions.
If the initial correction to physical factors did not address the
problem, review and identify potential reasons and alternative
solutions to address them.
Resolve interpersonal Examples of ways to resolve interpersonal problems include:
problems that degrade work • Improving interpersonal communication skills by mentoring or
relationships. formal training
• Advising or counseling one or more individuals
• Using an ombudsman, arbitrator, or facilitator
• Reassigning one or more individuals
• Taking disciplinary action
• Agreeing to disagree

Example Work Products

Example Work Products Further Explanation
Corrections needed to the work environment

MC 3.4
Required Practice Information
Practice Statement
Manage and resolve issues with affected stakeholders.
Value
Resolving issues early increases the likelihood of meeting objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
The purpose of this practice is to identify, communicate, and resolve issues with affected stakeholders.
When notified and engaged early in the process, stakeholders can more effectively address their
responsibilities to ensure they stay in sync with objectives and plans. Examples of issues include:
• Incomplete requirements
• Design defects
• Late critical dependencies and commitments
• Solution problems
• Unavailable critical resources
Example Activities
Example Activities Further Explanation
Identify and record issues. Issues are commonly identified in meetings
and cross-functional coordination events.
Communicate issues to affected stakeholders.
Resolve issues with affected stakeholders.
Escalate the issues not resolvable with affected
stakeholders to the responsible managers.
Track issues to closure.
Communicate the status and resolution of issues with
affected stakeholders.

Example Work Products

Example Work Products Further Explanation
Recorded issues Include the:
• Issue statement
• Person responsible
• Due date
• Resolution
• Status

Organizational Training (OT)

Required PA Information
Intent
Develop the skills and knowledge of personnel so they perform their roles efficiently and effectively.
Value
Enhances individuals’ skills and knowledge to improve organizational work performance.
Additional Required PA Information
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Explanatory PA Information
Practice Summary
Level 1
OT 1.1 Train people.
Level 2
OT 2.1 Identify training needs.
OT 2.2 Train personnel and keep records.
Level 3
OT 3.1 Develop and keep updated the organization’s strategic and short-term training
needs.
OT 3.2 Coordinate training needs and delivery between the projects and the
organization.
OT 3.3 Develop, keep updated, and follow organizational strategic and short-term
training plans.
OT 3.4 Develop, keep updated, and use a training capability to address organizational
training needs.
OT 3.5 Assess the effectiveness of the organization’s training program.
OT 3.6 Record, keep updated, and use the set of organizational training records.

Additional PA Explanatory Information

The training program supports the organization’s business objectives, and training needs that are
common across projects and support groups. The organization coordinates with projects and support
groups to determine responsibility for providing training.
Provide training to enhance skills and knowledge including:
• Technical skills related to:
o Using equipment, tools, materials, and data

o Processes required by the work or the organization

• Organizational skills related to:
o Role and responsibilities
o General operating principles and methods
o Behavior within the organization
• Contextual skills related to:
o Self-management
o Communication
o Interpersonal abilities needed to successfully perform work
Training delivery can be efficiently and effectively provided either informally (e.g., brown bags, task/job
walk-throughs) or formally (e.g., classroom, electronic-based training, workshops, guided self-study,
formalized on-the-job training).
Figure OT-1 shows the primary elements involved in an organizational training program.

Figure OT-1: Elements in an Organizational Training Program

An organizational training program involves:

• Determining and identifying the organizational training needs
• Planning for training

• Developing a training capability and keeping it updated to:

o Identify how training will be obtained or developed
o Develop, design, and keep updated training materials, schedules, records, and related data
o Develop mechanisms for measuring the effectiveness of the training and the training
program
o Identify personnel with training delivery skills and subject matter expertise to deliver
training
• Providing training
• Keeping records of completed training
• Maintaining and using the organizational set of training records
• Assessing training effectiveness (against organizational training needs) and communicate results

Related Practice Areas

Refer to the Process Asset Development practice area for more information about developing standard
processes.

Level 1

OT 1.1
Required Practice Information
Practice Statement
Train people.
Value
Increases likelihood of meeting objectives by ensuring individuals have needed skills and knowledge.

Additional Required Information

Example Work Products

Example Work Products Further Explanation
Completed training

Level 2

OT 2.1
Required Practice Information
Practice Statement
Identify training needs.
Value
Reduces costs by providing training needed to perform the work.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Identify the skills and knowledge needed for each role. Compare this to the skills and knowledge of the
individuals in those roles to determine what training is needed.

Example Activities
Example Activities Further Explanation
Identify skills and knowledge for each
role.
Record and keep updated skills and
knowledge of individuals.
Perform a gap analysis to determine
training needs.
Record and communicate training
needs.

Example Work Products

Example Work Products Further Explanation
List of training needs List of needs should include:
• Skills and knowledge by role
• Skills and knowledge for individuals
• Gaps for needed training

Related Practice Areas

Refer to the Planning practice area for more information on planning for needed knowledge and skills.

OT 2.2
Required Practice Information
Practice Statement
Train personnel and keep records.
Value
Avoids training people who already have the needed knowledge and skills and ensures that people get
the training needed to perform their work.

Additional Required Information

Example Work Products

Example Work Products Further Explanation
Records of delivered training Include:
• Training name
• Description of delivered training
• Date completed
• Student names
• Instructor names
• Pass/fail indicator

Level 3

OT 3.1
Required Practice Information
Practice Statement
Develop and keep updated the organization’s strategic and short-term training needs.
Value
Maximizes the likelihood of meeting objectives by ensuring that the organization has skilled individuals
now and in the future.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Strategic training needs address long-term business objectives to build capability by:
• Filling significant knowledge gaps
• Keeping current with new and emerging technologies
• Adapting to changing business needs
Strategic training considerations typically cover a span of time into the future beyond the short-term
training activities. Strategic training is typically linked to organizational strategic needs and objectives.
Examples of sources of strategic training needs include:
• The organization’s business plan
• The organization’s standard processes
• The organization’s process improvement plan
• Enterprise-level initiatives
• Skill assessments showing common long-term needs
• Industry trends
The primary difference between strategic and short-term needs is how quickly that competency is
needed.
Short-term training needs address immediate business objectives to build capability by:
• Filling current knowledge gaps
• Responding to an event driven need
• Introducing new, currently needed technologies
When developing strategic and short-term training needs, consider:
• The organization’s business plan
• The organization’s standard processes
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• The organization’s process improvement plan

• Background of the target population of training participants
• Need for cross-discipline training
• Need for training in organizational processes
• Need for training in disciplines related to support functions
• Need to maintain competencies and qualifications of personnel to continue to perform current
and future projects
Example Activities
Example Activities Further Explanation
Determine the roles and skills needed
to perform the organization’s set of
standard processes and the work to be
performed.
Determine training needs. Analyze and prioritize the strategic and short-term training
needs taking into account the considerations noted in this
practice.
Record and keep updated the For example, training needed to:
prioritized strategic and short-term • Perform roles in the organization’s set of standard
organization training needs. processes
• Maintain the safe, secure, and continued operation of the
business
Review the organization’s training
needs periodically and on an event
driven basis and update the needs if
required.

Example Work Products

Example Work Products Further Explanation
Training needs

OT 3.2
Required Practice Information
Practice Statement
Coordinate training needs and delivery between the projects and the organization.

Value
Ensure efficient and effective allocation of training resources.

Additional Required Information

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209

Explanatory Practice Information

Additional Explanatory Information
Organizational training addresses training needs and requirements that are common across projects. The
organization’s training personnel may also provide or support the additional training needs of the projects
and organization based on the organization’s priorities and training resources.

Example Activities
Example Activities Further Explanation
Analyze the training needs identified by Identify common training needs that can be addressed
work and support groups. organization wide. Analysis helps predict future training
needs that are first visible at the work and support group
level.
Coordinate with projects and support
groups to determine how training
needs will be addressed.
Record responsibilities among the
organization, project, and support
groups for delivering training.

Example Work Products

Example Work Products Further Explanation
Allocated training needs May include:
• Organization common needs
• Project needs
• Support group needs
Training delivery responsibilities Allocated to the:
• Organization
• Projects
• Support groups

OT 3.3
Required Practice Information
Practice Statement
Develop, keep updated, and follow organizational strategic and short-term training plans.
Value
Ensure personnel are trained to enable them to efficiently and effectively perform their tasks.

Additional Required Information

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Explanatory Practice Information

Additional Explanatory Information
The strategic training plan describes how the organization will deliver training to meet the recorded long-
term needs. The organizational training short-term plan addresses near-term training implementation.
Adjust the plans periodically in response to changes and evaluations of effectiveness.

Example Activities
Example Activities Further Explanation
Develop the content of the Plan should address:
organizational training strategic plan. • Strategic training needs
• Approach to delivering training
• Prioritization
• Timeframes
• Methods for ensuring training effectiveness
• Resources
Develop the content of the Organizational training short-term plans typically contain:
organizational training short-term plan. • Training needs
• Training topics
• Schedules and their dependencies
• Methods used for training
• Requirements and quality standards for training materials
• Training tasks, roles, and responsibilities
• Ensuring training effectiveness
• Required resources such as:
o Tools
o Facilities
o Environments
o People
Review plans, determine commitments,
and communicate the review results to
affected stakeholders.
Revise the plans and commitments as
needed.

Example Work Products

Example Work Products Further Explanation
Organizational training strategic plan
Organizational training short-term plan
Recorded commitments

Related Practice Areas

Refer to the Planning practice area for more information on developing and reviewing plans and
commitments.

OT 3.4
Required Practice Information
Practice Statement
Develop, keep updated, and use a training capability to address organizational training needs.
Value
Ensure personnel have the knowledge, skills, and abilities to perform their work efficiently and effectively.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Provide the training to meet the needs of the organization, projects, and support groups.
Example Activities
Example Activities Further Explanation
Select approaches to satisfy To select an approach, consider how to provide skills and
organizational training needs. knowledge in the most efficient and effective way.
Factors that can affect the selection of training approaches,
include:
• Learner knowledge
• Constraints
• Costs
• Schedule
• Work environment
Examples of training approaches include:
• Classroom training
• Computer or technology aided instruction (e.g., tutorials,
simulations, webinars)
• Guided self-study
• Formal apprenticeship and mentoring programs
• Facilitated videos
• Chalk talks
• Brown bag lunch seminars
• Structured on-the-job training
Decide whether to develop training Decision criteria may include:
internally or to acquire it externally. • Preparation time
• Cost benefit analysis
• Availability of in-house expertise
• Availability of external training
• Training effectiveness data
Examples of external sources of training may include:
• Customer-provided training
• Commercially available training courses
• Academic programs

Example Activities Further Explanation

• Professional conferences
• Seminars
Develop or obtain training materials. Examples of training materials include:
• Curriculum
• Syllabus
• Handouts
• Books
• Exercise instructions
• Videos and interactive media
• Virtual environments
• Simulations or labs
• Mobile applications
Identify, train, or hire qualified For those who develop and deliver internal training,
instructors, instructional designers, or consider:
mentors. • Subject matter expertise
• Relevant training skills and experience
• Experience in instructional design
• Mentoring skills
Describe the training in the Examples of information provided in training descriptions
organization’s training curriculum. include:
• Topics covered in the training
• Intended audience
• Prerequisites and participant preparation
• Training objectives
• Length of the training
• Lesson plans
• Completion criteria for the course
• Criteria for granting training waivers
Review training periodically and on an For example, review for:
event-driven basis. • Compliance with defined standards
o Instructional design standards
o Content standards
• Revisions needed in the standards
• Effectiveness
Revise training materials as needed.
Identify and make available resources
for delivering the training.
Update the training and development
program.
Keep training records updated.
Communicate availability of training.

Example Work Products

Example Work Products Further Explanation
Training materials and supporting
artifacts
List of courses
Training records
List of instructors May include certifications and experience.
Instruction design standards
Training facilities and resources

Related Practice Areas

Refer to the Decision Analysis and Resolution practice area for more information about analyzing possible
decisions using a formal evaluation process that evaluates identified alternatives against determined
criteria.

OT 3.5
Required Practice Information
Practice Statement
Assess the effectiveness of the organization’s training program.

Value
Keeps the training program relevant and valuable to the business and makes effective use of training
resources.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Develop a process to determine how effectively training:
• Improves the capability of people to perform their work
• Enables achieving performance improvement goals
• Meets the organization’s needs and objectives
Effective assessment of training includes:
• Pre- and post- training assessments to determine before and after levels of competence
• Measurement scales of training effectiveness
To ensure that the information is not used for positive or negative individual incentives, individuals’
training effectiveness assessments should not be reported to their managers.
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permission by CMMI Institute. Usage by others is prohibited.
214

Example Activities
Example Activities Further Explanation
Assess the effectiveness of each Examples of methods used to assess training course
training course. effectiveness may include:
• Testing in the training context (e.g., meeting learner
objectives)
• Assessment mechanisms embedded in courseware
• Evaluations of instructor effectiveness
• Pre- and post-training assessments involving training
participants and their managers to determine if the
training delivered has helped the projects
Assess the effectiveness of the training Examples of methods used to assess training program
programs effectiveness may include:
• Analysis of the improvement in performance of individuals
to determine effectiveness of the:
o Training provider
o Instructors
o Course materials
o Overall program
• Process non-compliances; these can be considered as an
input and may indicate an issue with the training program
• Surveys on the training program effectiveness
• Industry standards for benchmarking training
effectiveness against behavioral and performance
improvements goals

Example Work Products

Example Work Products Further Explanation
Training effectiveness surveys May include both individual course surveys and overall
program surveys
Training program assessments Assessments may include instructor observations.
Training program analysis results
Instructor evaluation forms May include trend and pattern analysis across multiple
courses
Training examinations
Training measures May include:
• Pre- and post-training assessment results
• Achievement of benchmarking goals

OT 3.6
Required Practice Information
Practice Statement
Record, keep updated, and use the set of organizational training records.
Value
Records are essential in determining how well the training program supports the achievement of business
and performance goals.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Ensure that training records are kept for individuals, projects, and support groups, and organizational
training.

Example Activities
Example Activities Further Explanation
Keep and use records of all
participants.
Keep and use records of all personnel Record the rationale.
who are waived from training.
Keep and use records of the training May include:
course and program effectiveness. • Course evaluations and other feedback mechanisms and
information
• Improvement of individual performance
• Contextual information of provided training:
o Instructor
o Course name
o Provider
o Date delivered
o Participants
• Course feedback
Make training records available to the Training records may be part of a skills matrix summarizing
appropriate people for consideration in the experience and education of people.
assignments.

Example Work Products

Example Work Products Further Explanation
Training records

Peer Reviews (PR)

Required PA Information
Intent
Identify and address work product issues through reviews by the producer’s peers or Subject Matter
Experts (SMEs).

Value
Reduce cost and rework by uncovering issues or defects early.

Additional Required PA Information

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Explanatory PA Information
Practice Summary
Level 1
PR 1.1 Perform reviews of work products and record issues.
Level 2
PR 2.1 Develop and keep updated procedures and supporting materials used to prepare
for and perform peer reviews.
PR 2.2 Select work products to be peer reviewed.
PR 2.3 Prepare and perform peer reviews on selected work products using established
procedures.
PR 2.4 Resolve issues identified in peer reviews.
Level 3
PR 3.1 Analyze results and data from peer reviews.
Additional PA Explanatory Information
Performing peer reviews helps to find issues and remove defects from work products early. A peer review
is an important and effective verification, validation, and assurance activity. Peer reviews may be
implemented via inspections, structured walkthroughs, audits, or other review methods. Peers or relevant
SMEs methodically and objectively examine work products to identify defects for removal.
Teams performing peer reviews can benefit from:
• Defining selection criteria to focus on the most important areas
• Selecting what to peer review
• Performing peer reviews thoroughly with multiple view points
• Analyzing data to identify quality trends and improvements
Issues found during peer reviews may include:

• Defects related to work products

• Performance or functional issues
• Process-related issues
• Cost, risk, and schedule issues
Performing a peer review includes:
• Preparing for review
• Selecting methods or techniques
• Reviewing the work products
• Recording the data
Perform peer reviews incrementally as work products are developed. Peer reviews are structured and are
not management or status reviews.
Peer reviews can be applied to any work product regardless of who produced it. The focus of the peer
review should be on the work product, not on the author. When defects are identified during a peer
review, communicate them to the author for correction.
The most effective peer reviews ensure that participants are objective and candid about their evaluations.
Protect peer review data collected to prevent inappropriate use, such as:
• Disciplining or rewarding people
• Publicly criticizing or praising performance
• Violating data security and privacy laws
Context Specific
Agile with Scrum Guidance
Context Tag: Agile with Scrum

Context: Practices used by projects to adopt agile with Scrum when conducting peer
reviews.

Figure PR-1 is an example of where peer reviews can be performed in an agile project using Scrum.
Examples may include:
• Performing backlog grooming
• Demonstrating completed stories during the sprint review with product owner
• Using pair, team, or mob programming during each sprint
• Reviewing design, test plans, test cases, and code work products
• Performing peer reviews thoroughly with multiple viewpoints

Figure PR-1: PR in an Agile Framework

Agile teams benefit from systematically performing peer reviews of selected work products that affect
quality. Performing backlog grooming and a sprint demo would not consistently be as thorough.

Level 1

PR 1.1
Required Practice Information
Practice Statement
Perform reviews of work products and record issues.
Value
Improves work product quality and reduces cost and rework by uncovering issues early.

Additional Required Information

Example Work Products

Example Work Products Further Explanation
List of issues from work product Identifies the:
reviews • Work product reviewed
• Issues

Level 2

PR 2.1
Required Practice Information
Practice Statement
Develop and keep updated procedures and supporting materials used to prepare for and perform peer
reviews.

Value
Maximizes efficiency and effectiveness of finding issues in peer reviews.

Additional Required Information

Example Work Products

Example Work Products Further Explanation
Procedures for preparing for and Procedures may include:
performing peer reviews • Criteria for selecting and reviewing work products
• Selecting work products
• Deciding peer review type
• Work product evaluation criteria
• Selecting participants and assigning roles
• Preparing and distributing review material
• Peer review steps
Supporting materials May include:
• Work product standards and templates
• Work product functionality and quality attributes
• Common issues or defect types
The above items may be included as part of a checklist.

PR 2.2
Required Practice Information
Practice Statement
Select work products to be peer reviewed.
Value
Targeting critical work products for peer review helps to manage cost.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Example Activities
Example Activities Further Explanation
Evaluate the criticality of the work It may not be possible to review every work product. For
product. large or complex work products, it may not be possible to
review the entire work product. The evaluation should
consider the highest priority work products or elements.
Example criteria include: the most critical section, the most
used by the user, the costliest if defective, the most error-
prone, the least well understood section, or the most
frequently changed section.
Determine and record the review type Different work products may be more effectively reviewed
to use. using different techniques or methods.
Types of peer reviews may include:
• Inspections
• Structured walkthroughs
• Perspective-based reviews, which involve assigning
reviewer perspectives such as:
o Standards
o Domains
o Types of issues
• Objective evaluations

Example Work Products

Example Work Products Further Explanation
Work product selection criteria
List of selected work products Include the:
• Work product
• Review type

PR 2.3
Required Practice Information
Practice Statement
Prepare and perform peer reviews on selected work products using established procedures.
Value
Thorough and consistent review with early detection of work product issues leads to reduced cost.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Example Activities
Example Activities Further Explanation
Develop schedule. This should be integrated with the work schedule.
Follow procedures.
Record results from the peer reviews • Include list of issues found in the peer reviews.
and the data from the process. • Include data related to process aspects (e.g., prep time,
number of work products, time spent in peer reviews, etc.).
Communicate results to affected Results include the peer review process data and the issues.
stakeholders.

Example Work Products

Example Work Products Further Explanation
List of work products
Schedule May include:
• Planned date, time, and duration
• Reviewers
Peer review results May include:
• Completed supporting materials
• Issues
• Action items
• Data which may include:
o Time spent in preparing for and performing the review
o Role and number of reviewers
o Number and type of issues, defects, or actions
o The size of the work product examined
o Type of peer review
o Resolution of issues or defects
o Estimated rework time
o Defect origin
o Number of issues or defects expected
o Causes of defects
o Affected stakeholders
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permission by CMMI Institute. Usage by others is prohibited.
223

Related Practice Areas

Refer to the Managing Performance and Measurement practice area for more information about
obtaining, using, and analyzing measurement data.

PR 2.4
Required Practice Information
Practice Statement
Resolve issues identified in peer reviews.

Value
Reduces rework, costs, and increases quality.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Example Activities
Example Activities Further Explanation
Resolve issues.
Record resolutions and results and Include expectations for when actions will be closed by
communicate to affected stakeholders. affected stakeholders.

Example Work Products

Example Work Products Further Explanation
Resolution of issues
Results May include data resulting from the review.

Level 3

PR 3.1
Required Practice Information
Practice Statement
Analyze results and data from peer reviews.
Value
Increases the efficiency and effectiveness of the process for performing peer reviews.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
One of the primary objectives of peer reviews is to identify and remove defects early in the project.
Analysis of results can help identify trends in defect injection and sources and types of defects.
In addition, it is important to analyze data about the preparation and conduct of peer reviews in order to
determine the efficiency and effectiveness of the peer review process.

Example Activities
Example Activities Further Explanation
Analyze peer review process data and
the results from the peer review.
Record and communicate analysis This typically includes:
results. • When defect was injected
• Preparation time or rate versus expected time or rate
• Number of issues versus number expected
• Types of issues detected
• Causes of issues
• Issue resolution impact
• Stakeholders associated with issues

Example Work Products

Example Work Products Further Explanation
Analysis results Analysis of peer review data can aid in avoiding, minimizing, or
preventing future issues or defects. Types of analysis may include:
• Causal analysis
• Trend analysis
• Common issue resolution analysis

Related Practice Areas

Refer to the Managing Performance and Measurement practice area for more information about
obtaining, using, and analyzing measurement data.

Refer to the Causal Analysis and Resolution practice area for more information about identifying causes
of issues.

Planning (PLAN)

Required PA Information
Intent
Develop plans to describe what is needed to accomplish the work within the standards and constraints of
the organization, including the:
• Budget
• Schedule
• Resource demand and capacity
• Quality
• Functionality requirements
• Risks and opportunities
Plans also describe:
• The work to be performed
• Applicable organizational set of standard processes, assets, and tailoring guidelines
• Dependencies
• Who performs the work
• Relationships with other plans
• Stakeholders and their role

Value
Optimizes cost, functionality, and quality to increase the likelihood that objectives will be met.
Additional Required Information
Planning includes developing budgets and schedules based on estimates; identifying the appropriate set
of stakeholders and tasks; managing risks; determining the necessary resources; and developing and
keeping the project plan updated to reflect how work is being performed.

Explanatory PA Information
Practice Summary
Level 1
PLAN 1.1 Develop a list of tasks.
PLAN 1.2 Assign people to tasks.
Level 2
PLAN 2.1 Develop and keep updated the approach for accomplishing the work.
PLAN 2.2 Plan for the knowledge and skills needed to perform the work.

PLAN 2.3 Based on recorded estimates, develop and keep the budget and schedule
updated.
PLAN 2.4 Plan the involvement of identified stakeholders.
PLAN 2.5 Plan transition to operations and support.
PLAN 2.6 Ensure plans are feasible by reconciling available and estimated resources.
PLAN 2.7 Develop the project plan, ensure consistency among its elements, and keep it
updated.
PLAN 2.8 Review plans and obtain commitments from affected stakeholders.
Level 3
PLAN 3.1 Use the organization’s set of standard processes and tailoring guidelines to
develop, keep updated, and follow the project process.
PLAN 3.2 Develop a plan and keep it updated, using the project process, the organization’s
process assets, and the measurement repository.
PLAN 3.3 Identify and negotiate critical dependencies.
PLAN 3.4 Plan for the project environment and keep it updated based on the organization’s
standards.
Level 4
PLAN 4.1 Use statistical and other quantitative techniques to develop and keep the project
processes updated to enable achievement of the quality and process
performance objectives.

Additional PA Explanatory Information

The term “project plan” refers to the overall plan for managing the project and includes a coherent
picture of who does what and when they do it. The project plan can be a stand-alone document or
distributed across multiple documents and provides a way to track and communicate actual progress and
determine if corrections are needed.
As the project progresses, revise the project plan to address changes in requirements, commitments,
inaccurate estimates, corrective actions, and methods of performing activities.

Context Specific

Agile with Scrum Guidance

Context Tag: Agile with Scrum

Context: Practices used by projects to adopt agile with Scrum and to support more
effective planning.

Figure PLAN-1 states where planning is typically performed in an agile project using Scrum. Table PLAN-1
shows example planning information and related model practices.

Figure PLAN-1: Planning in an Agile Framework

Table PLAN-1: Planning information & Related Model Practices

Typical agile planning practices result in the following plan information:

• Product Backlog: A prioritized collection of user stories or epics that represent the entire
set of known stories. Stories in the product backlog are often not yet estimated and are
typically developed by the product owner, with assistance from business analysts and other
team members.
• Sprint Backlog: The collection of user stories or epics selected for the sprint that will be
estimated and further broken down into tasks by the agile team. The sprint backlog is a
forecast of what the team believes can be accomplished during the sprint.
• Story Responsibility: Team members “self-subscribe” to user stories and commit to
completing them during the sprint. Responsibility for each story is usually recorded on a task
board and can be redistributed as needed to manage the workload of the team (see Table
PLAN-1).
• Schedule: Each sprint has a fixed duration (usually 2-4 weeks) and the collection of sprints
defines the total anticipated release schedule.
• Budget: Agile teams typically adhere to a fixed team, fixed time-box model that, when
examined in aggregate, helps to identify key drivers of the project’s budget.

Development
Context Tag: CMMI-DEV

Context: Practices are used to develop quality products and services to meet the needs of
customers and end users.

Most engineering disciplines can benefit from project planning practices and include examples such as:
• Software development
• Hardware development
• Systems development
• Manufacturing or product lines, such as in:
o Developing and maintaining core assets (e.g., components, tools, architectures,
operating procedures, software)
o Supporting the use of core assets
o Developing each individual system from core assets
o Coordinating the overall effort of developing, using, and improving the core assets
• Construction and maintenance
Supplier Management
Context Tag: CMMI-SPM

Context: Practices are used to identify, select, and manage suppliers and their agreements.

When needed, a supplier management approach should be developed and included as part of the
planning activities and should include such items as:
• Availability of assets and technologies
• Supplier management objectives and constraints
• Consideration of supplier selection and management methods
• Potential supplier agreement types and terms
• Accommodation of end user considerations
• Consideration of supplier risk
• Support for the project supplier management activities throughout the project lifecycle
This involves the development and maintenance of plans for all supplier management processes,
including plans required for effective acquirer-supplier interaction. Once the supplier agreement is signed
and schedules, costs, and resources from the supplier are established, the acquirer takes the supplier
estimations for the project into account, at an appropriate level of detail, in its project plan.

Planning for supplier management also includes establishing and maintaining a plan for the orderly,
smooth transition of the acquired product from a supplier to its use by the acquirer or the acquirer’s
customers. In addition, if an existing product is to be replaced as part of the acquired solution, the
acquirer may be required to consider the disposal of the existing solution as part of the planning for
acquiring the new solution. All transition activities are included in the project plan and provisions for
accommodating such specialized requirements are also included.

Level 1

PLAN 1.1
Required Practice Information
Practice Statement
Develop a list of tasks.
Value
Ensure that the work needed to meet customer requirements is identified to increase customer
satisfaction.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
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Example Activities
Example Activities Further Explanation
Develop a task list. The level of detail of the task descriptions will vary based on
the size and complexity of the tasks.
Review the task list with affected
stakeholders.
Revise the list as needed.

Example Work Products

Example Work Products Further Explanation
Task list Includes:
• Tasks to be performed and their timeline
• Description of activities to assist in:
o Assigning team members
o Understanding what is expected

PLAN 1.2
Required Practice Information
Practice Statement
Assign people to tasks.

Value
Ensure that tasks will be performed to meet requirements and satisfy the customer.
Additional Required Information
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Explanatory Practice Information
Additional Explanatory Information
Ensure all tasks are assigned to specific members of the project, and ensure that they know which tasks
they are responsible for completing. Identify the needed skills, experience, abilities, and responsibilities
needed to accomplish each task.

Example Activities
Example Activities Further Explanation
Assign an individual who is responsible Identify an individual with the skill and experience needed to
for each task. accomplish the task.
Assign any additional people to the Determine the project load and the abilities of the individuals
task. as a part of assigning them to the task.
Review assignments with the assigned Ensure that the assigned individuals understand what is
individuals. needed to complete the task assignment.
Record assignments in task list. Include feedback from assigned individuals on what is
needed to accomplish the project.

Example Work Products

Example Work Products Further Explanation
Task list with assignments Includes:
• Tasks
• Description of each task
• Name of the person or people assigned to work on that
task

Level 2

PLAN 2.1
Required Practice Information
Practice Statement
Develop and keep updated the approach for accomplishing the work.
Value
Maximize project success by keeping the affected stakeholders focused on accomplishing their specific
objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
The approach is particularly valuable for making decisions when requirements and work changes. Identify
the approach, and the priority of objectives for addressing requirements and accomplishing the work.
Strategy and approach typically include:
• Business considerations
• Objectives and constraints
• Possible approaches to meeting those objectives and constraints
• Requirements
• Project lifecycle description
• Needed resources (e.g., skills, environment, tools, new technologies)
• Risks associated with the above and how they will be mitigated
Example Activities
Example Activities Further Explanation
Identify the objectives of the project. Describe what the project is trying to accomplish in terms of
expected outcomes.
Identify the approach to be used to Describe the why and how:
achieve objectives. • Tasks and how they are performed
• The work is going to be done
• Methods or techniques will be used
• How resources will be provided to support and accomplish
the work
Identify requirements. Record how requirements will be addressed in the approach.
Record business considerations. Business considerations may include:
• Potential costs and benefits
• Intellectual property
• Competitive climate

Example Activities Further Explanation

• Long-term needs and profit margins
• Core competencies to be enhanced
• Core competencies needed from other parties
• Future trends
Define and record the project lifecycle. The project lifecycle describes the major phases and
activities needed to accomplish the work.
The determination of a project’s lifecycle phases provides for
planned periods of evaluation and decision making. These
periods normally define logical points in the project plan,
strategy, and approach to identify when decisions are
needed to:
• Stay on course
• Change course including:
o re-estimating cost and scope
o re-renegotiating commitments
o re-planning resource usage
o adjusting budget and schedule
• Stop work
Understanding the project lifecycle is crucial in determining
the scope of the planning effort and the timing of initial
planning, as well as the timing and criteria (critical
milestones) for re-planning.
Define the project lifecycle phases based on the
requirements, the estimates for project resources, and the
nature of the work.
Identify major resource needs and Identify resource needs and the suppliers of these resources.
constraints. For example:
• Other groups in the organization
• External suppliers
Identify stakeholders.
Record agreements with stakeholders. Decide the nature of these agreements by considering each
party’s needs, objectives, expectations, constraints, and
risks.
Identify risks.
Identify safety and security Consider safety and security in all major planning activities.
approaches.
Review the project approach with Review the approach from the following key business
affected stakeholders and obtain perspectives:
agreement. • Are these the right objectives?
• Is the approach feasible?
• Will the project be subjected to excessive risk?
• What safety and security issues are addressed and how
well are they handled?

Example Activities Further Explanation

Revise the approach as necessary. It may be necessary to refine the approach to reflect
changes in the objectives, approach, availability of resources,
market conditions, customer needs, technologies, etc.

Example Work Products

Example Work Products Further Explanation
Recorded approach for accomplishing
the objectives
Recorded project life cycle

Related Practice Areas

Refer to the Risk and Opportunity Management practice area for more information about establishing a
risk management strategy.
Context Specific
Development
Context Tag: CMMI-DEV

Context: Practices used to implement more a effective solution development planning

approach.

Larger development projects can contain multiple phases, such as concept exploration, development,
production, operations, and disposal. A development phase can include subphases such as requirements
analysis, design, fabrication, integration, and verification. The determination of project phases typically
includes selection and refinement of one or more development models to address interdependencies and
appropriate sequencing of the activities in the phases.
Depending on the strategy for development, there can be intermediate phases for the development of
prototypes, increments of capability, or spiral model cycles. In addition, explicit phases for startup and
close-out can be included.

PLAN 2.2
Required Practice Information
Practice Statement
Plan for the knowledge and skills needed to perform the work.
Value
Enables efficient and effective accomplishment of work.

Additional Required Information

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Explanatory Practice Information

Additional Explanatory Information
Assess each individual’s knowledge and skills against the critical skills required for work assignments to
decide if training in these skills is needed. Examples of critical skills include the ability to:
• Execute specific processes
• Perform tasks within specific time limits
• Perform tasks to defined accuracy
• Use equipment safely and effectively
• Follow instructions
• Interpret information
• Organize actions, material, or people
• Communicate to perform assigned tasks. Examples of communication skills include:
o Literacy in one or more of the languages used in the organization
o Knowledge of local jargon or technical terms
o Knowledge of communication protocols
o Oral presentation skills
o Negotiating skills
o Writing skills
o Ability to use communication media
Examples of items to be considered when evaluating knowledge and skills may include:
• Individual’s personal assessment
• Individual’s previous experience
• Performance feedback sessions and reviews
• Tests
• Training records
Example Activities
Example Activities Further Explanation
Identify the knowledge and skills
needed to perform the work.
Determine the gaps between the
knowledge and skills needed versus
those held by the currently assigned
people.
Select methods for providing needed Training may be either in-house (both organizational and
knowledge and skills. project) or external.
Methods may include:

Example Activities Further Explanation

• Staffing and new hires
• Classroom instruction
• Online or computer-aided training
• Apprenticeship or mentoring programs
• Job rotation or cross-training
• Conferences, seminars, workshops, and tutorials
• College and university courses
• Videos
• Directed self-study courses
Incorporate selected methods into the
project plan.

Example Work Products

Example Work Products Further Explanation
Inventory of skill needs Results may include the following needs:
• Skills
• Experience
• Training

Related Practice Areas

Refer to the Organizational Training practice area for more information about providing an organization
training capability.

PLAN 2.3
Required Practice Information
Practice Statement
Based on recorded estimates, develop and keep the budget and schedule updated.
Value
Early detection of significant deviations from the budget and schedule enables timely management and
corrective actions needed to achieve objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Record and maintain the budget, effort, and duration needed to accomplish the work.

Example Activities
Example Activities Further Explanation
Identify major milestones. Milestones can be event-based or time-based.
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239

Example Activities Further Explanation

Identify schedule assumptions. Assumptions are frequently made on items with little, if any,
available estimation data. Identifying assumptions about
activity duration provides insight into the confidence level
(i.e., uncertainties) in the overall schedule.
Identify constraints. Identify factors that limit planning flexibility as early as
possible. Examining solution and task characteristics
identifies these issues. Constraints may include:
• Customer requirements
• Resources
• Defining dependencies among activities (predecessor or
successor relationships)
• Supplier availability
Identify task dependencies. A critical part of ordering tasks for a project is identifying
task dependencies.
Tools and inputs that can help determine the optimal
ordering of task activities may include:
• Critical Path Method (CPM)
• Program Evaluation and Review Technique (PERT)
• Resource limited scheduling
• Customer priorities
• User or end user value
• Work packages
Identify resources. Project resources may include:
• Staffing needs and costs
o Base staffing decisions on projects, tasks, roles and
responsibilities, and the knowledge and skills required
for each position
• Equipment
• Environment
• Materials
• Facilities
• Consumables
• Access to intellectual property
• Transportation (e.g., people and materials)
Identify and analyze risks. Review and analyze identified constraints and record them as
risks if they potentially impact the budget or schedule.
Based on estimates, develop the Often includes:
budget and schedule, and keep them • Estimating size, complexity, effort, duration, and cost
updated. • Defining the committed or expected availability of
resources
• Determining the time phasing of activities
• Determining a breakout of subordinate schedules
• Defining schedule activities of appropriate duration
• Identifying releases or increments for the delivery of
solutions
• Using appropriate historical data to verify the schedule
• Defining incremental funding requirements
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240

Example Activities Further Explanation

• Updating project assumptions and rationale
• Updating risks
• Defining a management reserve based on the risks to the
schedule and budget
Establish corrective action criteria. Establish criteria to determine what constitutes a significant
deviation from the project plan. A basis for gauging issues
and problems is necessary to decide when to take corrective
action.

Example Work Products

Example Work Products Further Explanation
Budget The budget should be based on tasks and resources.
Schedule The schedule should be based on tasks, resource availability,
and dependencies. The schedule and Work Breakdown
Structure (WBS) should be aligned to the project lifecycle.
May include a:
• WBS or list of tasks and activities
• Task dictionary
Resource plan May include:
• Personnel requirements based on work size and scope
• Critical facilities and equipment list
Budget and schedule risks

Related Practice Areas

Refer to the Estimating practice area for more information about estimation.
Refer to the Risk and Opportunity Management practice area for more information about risks.

PLAN 2.4
Required Practice Information
Practice Statement
Plan the involvement of identified stakeholders.

Value
Ensures that stakeholder needs are addressed when they arise, reducing the amount and cost of rework.
Additional Required Information
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Explanatory Practice Information

Additional Explanatory Information
Stakeholder involvement allows the project to focus on:
• Developing the right solutions
• Delivering adequate services
• Acquiring compatible solutions that provide the required functionality
Identify personnel who must be included in the project for it to be accomplished in accordance with
requirements. Affected stakeholders may include:
• People and functions that should be represented
o Those affected by the activity
o Those who have the needed expertise to perform the activity
Affected stakeholders are those who will participate in the project’s activities. The list of affected
stakeholders may change as work progresses. It is important to ensure that affected stakeholders have
early input to the planning of the project.
Some stakeholders, such as higher levels of management and customers, may have no formal role in the
project, but are invested in the outcome. Consult these stakeholders for advice and consent when the
scope may change.

Example Activities
Example Activities Further Explanation
Develop a list of stakeholders.
Identify the involvement of each Describe how and why each stakeholder is involved and what
stakeholder. is required of them.
Record when the involvement is Address the timing and sequencing for stakeholder input and
required. involvement.

Example Work Products

Example Work Products Further Explanation
Stakeholder involvement plan May include the:
• List of affected stakeholders
• Rationale for involvement
• Relationships, roles, and responsibilities
• Schedule of interaction
Responsible, Accountable, Supports, Defines the RASCI for activities and work products.
Consulted, Informed (RASCI) table

PLAN 2.5
Required Practice Information
Practice Statement
Plan transition to operations and support.
Value
Minimizes surprises and rework during adoption and deployment.

Additional Required Information

Planning for transition should be considered part of the initial planning for the project. Even in the case of
small projects, transition and delivery of the solution must be addressed.

Explanatory Practice Information

Additional Explanatory Information
Plans for the transition to operations and support include the:
• Approach for introducing and maintaining readiness
• Sustainment
• Operational capability of the solutions
• Assignment of responsibility for the transition, delivery, and support
• Activities needed to manage the transition
• Support for the solution in its intended environment, including:
o Definition of transition readiness criteria
o Reviews with affected stakeholders
• Handling of potential risks
• Changes to the solution over time
• Eventual removal of the solution from operational use
Example Activities
Example Activities Further Explanation
Determine transition scope and objectives.
Determine transition requirements and Includes timing, dependencies, and other high-level
criteria. elements of moving the solution into operations.
Determine approach to transition.
Develop schedule for transition.
Determine transition responsibilities and If the project team is not responsible for transition,
resources including post-transition support. described who is responsible.
Includes:
• Transition infrastructure
• Future enhancements

Example Activities Further Explanation

Determine operations and support training Identifies any additional skills, experience, or knowledge
needs. needed for successful and smooth operation.

Example Work Products

Example Work Products Further Explanation
Plans for transition to May include:
operations and support • Scope and objectives
• Assignment of responsibility
• Transition processes and procedures
• Activities needed to manage the transition and support the solution
in its intended environment
• Risks
• Evaluation methods and acceptance criteria to ensure the transition
of the solution to operations and support
• Readiness criteria for the operations organization and environment
• Transition of intellectual property or other assets to the designated
repository
• Resolution steps if problems are encountered
• Readiness criteria for the product
• Readiness criteria for the solution support organization
• Identification of the maintenance organization

Context Specific
Supplier Management
Context Tag: CMMI-SPM

Context: Practices used to implement solution development and to more effectively

integrate supplier support when transitioning to operations.

If support will be provided by an organization different from the supplier, a sufficient overlap period
should be included in the plan.
Typically, the acquirer develops initial transition and support plans and then reviews and approves more
detailed transition and support plans.
In an acquisition, the transition and support plan should also include:
• Expectations for supplier execution of the transition
• Warranty expectations for the acquired solution
• Transition of intellectual property or other acquirer assets to the acquirer’s designated repository
• Resolution steps if any problems are encountered

PLAN 2.6
Required Practice Information
Practice Statement
Ensure plans are feasible by reconciling available and estimated resources.
Value
Increases likelihood that the objectives will be achieved by ensuring that needed resources are available
and committed to throughout the project.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Overcommitted resources can be reconciled by:
• Resource leveling the schedule
• Modifying or deferring requirements
• Negotiating more resources
• Finding ways to increase productivity
• Modifying or negotiating the scope of work involved, such as phased delivery
• Outsourcing
• Adjusting the personnel skill mix
• Revising all plans that affect the project or its schedules
• Identifying tools, techniques, and methods that could reduce time or cost
• Implementing incremental delivery
• Renegotiating stakeholder commitments
Manage individual project assignments to balance committed work among individuals and projects:
• Evaluate individual workloads periodically to ensure they are balanced. Adjust individual
commitments as needed to improve balance and avoid over commitment.
• When individuals’ work is nearing completion, seek opportunities to apply their effort to other
business activities.
• Ensure the manager of an individual committed to work on several projects:
o Ensures the combined commitments do not result in over commitment
o Coordinates expectations for timing of work and results
o Resolves conflicts among project commitments

Example Activities
Example Activities Further Explanation
Perform resource leveling to adjust scheduling of Resource leveling balances the demand for
tasks and resources. resources with their availability.
Ensure commitments are supported by adequate
personnel or other required resources.
Negotiate commitments with affected stakeholders.

Example Work Products

Example Work Products Further Explanation
Revised plan and commitments

PLAN 2.7
Required Practice Information
Practice Statement
Develop the project plan, ensure consistency among its elements, and keep it updated.

Value
A consistent project plan helps to ensure efficient and effective communication and achievement of
objectives.

Additional Required Information

A plan addresses the planning and management of work activities collectively. A plan is more than just a
list of scheduled activities and tasks. It includes an approach for how the work is to be performed and
managed. Developing and using a project plan includes these iterative activities:
• Identifying required tasks, including the activities and their interdependencies to be used for
tracking and managing the project
• Using estimates to:
o Develop a budget and schedule
o Determine the resources required
• Determining the tasks and their interrelationships
• Assigning roles and responsibilities for performing the tasks
• Identifying realistic performance data and objectives:
o Determining if objectives can be achieved as the project progresses
o Evaluating alternative objectives when the objectives cannot be met
• Identifying and analyzing risks and opportunities
• Determining information and data management needs and how they will be addressed

• Identifying and interacting with affected stakeholders to adequately address technical and
support activities in project plans
• Negotiating and obtaining commitment to the project plan

Explanatory Practice Information

Additional Explanatory Information
The project plan can include multiple plans. The plan generated for the project defines all aspects of the
effort, tying together the following in a logical manner:
• Tasks
• Budgets and schedules
• Milestones
• Information management and governance
• Risks
• Resources and skills
• Stakeholder roles and involvement
• Infrastructure
• Improvement and sustainment activities
• Other plans, such as:
o Configuration management or release plan
o Individual work plans
o Quality plan
o Measurement and data management plan
o Risk or opportunity management plan
o Supplier management plan
A plan provides the basis for:
• Monitoring and managing project performance
• Taking timely corrective actions to ensure the objectives will be met
• Re-planning when needed
Example Activities
Example Activities Further Explanation
Record the project plan.
Review the project plan with affected Ensure that the project plan describes a realistic approach for
stakeholders. meeting the needs, expectations, and constraints of affected
stakeholders and helps ensure that these affected
stakeholders will fulfill their roles.
Revise the project plan as necessary. Planning is an iterative activity.

Example Work Products

Example Work Products Further Explanation
Overall project plan A project plan may be composed of multiple plans (which may be
separate or combined into one or more documents) such as:
• Staffing plans
• Stakeholder involvement plans
• Performance improvement and sustainment plans
• Measurement and analysis plans
• Monitoring and control plans
• Solicitation plans
• Risk and opportunity management plans
• Transition plans
• Quality assurance plans
• Configuration management plans

PLAN 2.8
Required Practice Information
Practice Statement
Review plans and obtain commitments from affected stakeholders.

Value
Rework is reduced and the likelihood of achieving objectives is increased through a consistent
understanding and commitment to the plan.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
All plans that affect the project should be reviewed to obtain a common understanding of the scope,
objectives, roles, responsibilities, and relationships. Ensure that individuals or groups making a
commitment are confident that the project can be performed within cost, schedule, and performance
constraints.

Example Activities
Example Activities Further Explanation
Ensure individuals are involved in Review the decisions, agreements, and related information
reviewing the work they are responsible needed to understand requirements and plans necessary for
for and the inputs that initiate the work. accomplishing the work.
Record commitments. • A commitment is a pact that is freely assumed, visible,
and expected to be kept by all involved.
• Ensure individuals and workgroups make commitments
for work they will be accountable for performing.
• Commitments can be internal and external.
• Record commitments to ensure a consistent mutual

Example Activities Further Explanation

understanding and for project tracking and maintenance.
Provisional commitments should include a description of
risks associated with the relationship.
Review and approve project • Work with the appropriate levels of management as
commitments. defined by the process.
• The plan for stakeholder interaction should identify all
parties from whom commitment should be obtained.

Example Work Products

Example Work
Further Explanation
Products
Results of plan Reviews will help identify issues that lead to misunderstandings or may prevent
reviews objectives from being met. Review results may include:
• List of issues discovered during review
• List of changes that will be made
• Reason for plan changes
Recorded Includes decisions and agreement to requirements, project plans, and their
commitments related elements.

Context Specific
Development
Context Tag: CMMI-DEV

Context: Practices are used to develop quality products and services to meet the needs of
customers and end users.

Development activities in preparation for production can be included in the hardware development plan
or defined in a separate production plan.
Examples of plans that have been used by large organizations include:
• Integrated Master Plan – an event driven plan that records significant accomplishments with
pass/fail criteria for both business and technical elements of the project and that ties each
accomplishment to a key project event.
• Integrated Master Schedule – an integrated and networked multi-layered schedule of project
tasks required to complete the work recorded in a related Integrated Master Plan.
• Systems Engineering Management Plan – a plan that details the integrated technical effort across
the project.
• Systems Engineering Master Schedule – an event-based schedule that contains a compilation of
key technical accomplishments, each with measurable criteria, requiring successful completion to
pass identified events.
• Systems Engineering Detailed Schedule – a detailed, time dependent, task-oriented schedule that
associates dates and milestones with the Systems Engineering Master Schedule.

Level 3

PLAN 3.1
Required Practice Information
Practice Statement
Use the organization’s set of standard processes and tailoring guidelines to develop, keep updated, and
follow the project process.

Value
Establishing the project process ensures the efficient and effective achievement of the objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Select and tailor or modify processes from the organization’s standard set of processes to build a process
to fit the specific needs of the project. The project process is tailored from the organizational set of
standard processes in accordance with organizational tailoring guidelines, and:
• Includes a process description that is kept up-to-date
• Contributes to organizational assets
A project’s process is based on:
• Stakeholder requirements
• Goals and objectives
• Work product and task characteristics
• Impacts or requirements of the lifecycle
• Support activities
• Commitments
• Organizational process needs and objectives
• The organization’s set of standard processes and tailoring guidelines
• Domain
• The operational environment
• The business environment
• Stakeholder availability
• Experience of the people
• Project constraints
When the organization's standard set of processes change, there may be changes in the project’s
processes.

Example Activities
Example Activities Further Explanation
Select standard processes from the Collectively, these comprise the project process
organization’s set of standard
processes that best fit the needs of the
project.
Modify the organization’s set of
standard processes and other
organizational process assets according
to tailoring guidelines to produce the
project’s process.
Use other artifacts from the Other artifacts can include:
organization’s process asset library as • Estimating models
appropriate. • Lessons learned documents
• Templates
• Example documents
Record the project process. The project process covers the activities for the work and
interfaces or connections to affected stakeholders.
Review the project process. Record and use review results, inputs, and issues of the
project processes to identify potential impacts.
Revise the project process as As the project progresses, revise the description of the
necessary. project process to better meet project requirements and the
organization’s process needs and objectives.

Example Work Products

Example Work Products Further Explanation
The project process Describe how the organizational processes are implemented
for this specific project, including any unique, more detailed,
or additional processes or procedures that are needed and
allowed by the organizational tailoring guidelines.

Related Practice Areas

Refer to the Process Asset Development practice area for more information for managing process assets.

PLAN 3.2
Required Practice Information
Practice Statement
Develop a plan and keep it updated, using the project process, the organization’s process assets, and the
measurement repository.

Value
Using proven organizational assets for planning the project increases the likelihood that the objectives
will be met.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Addresses organizational learning and enhances performance improvement by providing proven assets to
projects, which gives them the best chance for success.
Developing a project plan and keeping it updated should address additional planning activities such as:
• Incorporating the project process
• Coordinating with affected stakeholders
• Using organizational process assets
• Incorporating plans for peer reviews
• Establishing objective entry and exit criteria for tasks
Examples of data contained in the organization’s measurement repository which can be used for planning
include:
• Size
• Effort
• Cost
• Schedule
• Staffing
• Response time
• Supplier performance
• Defects or issues
Example Activities
Example Activities Further Explanation
Use the tasks and work products of the
project process as a basis for
estimating and planning project
activities.
Use the organization’s measurement Estimates and supporting information typically include:
repository to estimate the work. • Validated historical data from this project or similar
projects
• Similarities and differences between the current project
and the work represented by the historical data
• Reasoning, assumptions, and rationale used to select
historical data

Example Activities Further Explanation

Integrate or develop plans. Other plans that affect the project plan can include:
• Staffing plans
• Training plans
• Stakeholder involvement plans
• Performance improvement and sustainment plans
• Measurement and analysis plans
• Monitoring and control plans
• Solicitation plans
• Agreement management plans
• Risk mitigation plans
• Transition plans
• Quality assurance plans
• Configuration management plans
• Verification and validation plans
• Peer review plans
Incorporate the definitions of measures Measures may include the:
and measurement activities. • Organization’s common set of measures
• Additional project and product specific measures
Establish objective entry and exit Entry and exit criteria make it clear when people are needed
criteria for tasks and activities. and when they are to start and complete their tasks.
Identify how conflicts will be resolved Identify resolution approaches and mechanisms for
that arise among affected addressing and resolving conflicts, including any agreed to
stakeholders. escalation procedures.

Example Work Products

Example Work Products Further Explanation
Revised project estimates Estimates that are based upon organizational experience
with other similar projects help to ensure that this is more
accurately and effectively accomplished.
Project plans
Integrated plans Describe how plans interact and are integrated with each
other, including the dependencies, sequences, inputs and
outputs of the plans and tasks and how they relate to each
other.

Related Practice Areas

Refer to the Managing Performance and Measurement practice area for more information about
developing and sustaining a measurement capability used to support management information needs.
Refer to the Risk and Opportunity Management practice area for more information about identifying and
analyzing risks.
Refer to the Peer Reviews practice area for more information about performing peer reviews.
Refer to the Estimating practice area for more information about estimating the scope of the work.
Refer to the Process Asset Development practice area for more information for managing process assets.

Context Specific
Development
Context Tag: CMMI-DEV

Context: Practices are used to develop quality products and services to meet the needs of
customers and end users.

Examples of development-specific parameters that are considered for similarities and differences include:
• Design and development approaches
Examples of development-specific product and project interface risks include:
• Incomplete interface descriptions
• Unavailability of commercial off-the-shelf (COTS) components
An additional development-specific example of scheduling factors includes:
• Integration and test issues
Development activities in preparation for production can be included:
• in a software or hardware development plan
• in a system engineering management plan
• in a separate production plan

PLAN 3.3
Required Practice Information
Practice Statement
Identify and negotiate critical dependencies.

Value
Paying close attention to critical dependencies reduces risk and increases the likelihood the project will be
completed on time, within budget, and meeting quality objectives.

Additional Required Information

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Explanatory Practice Information

Additional Explanatory Information
Example Activities
Example Activities Further Explanation
Identify each critical dependency. Record dependencies, relationships, and how they affect the
plan.

Example Activities Further Explanation

Integrate schedules An integrated master schedule (IMS) can be used to identify
critical dependencies between work groups and functions.
Review and negotiate dependencies Communicate new or existing dependencies and changes with
with affected stakeholders. affected stakeholders to ensure that they can perform their
work.
Record commitments to address
each critical dependency.

Example Work Products

Example Work Products Further Explanation
Critical dependencies May include:
• Description of the critical dependencies
• Commitments made during negotiations
• Risks associated with the dependency

PLAN 3.4
Required Practice Information
Practice Statement
Plan for the project environment and keep it updated based on the organization’s standards.

Value
Ensures that the resources needed to complete the work are readily available to maximize productivity.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Describe the project environment to address any unique or critical aspects that may affect the project
being performed.
An appropriate project environment is comprised of an infrastructure of facilities, tools, and equipment
that people need to perform their jobs effectively in support of business and project objectives. Keep the
project environment updated at a level required by the organizational project environment standards.
Develop or acquire the project environment or its components.

Example Activities
Example Activities Further Explanation
Analyze project and plan for The critical aspects of the project environment are requirements
resources, facilities, and driven. Explore project environment functionality and quality
environment characteristics with the same rigor as any other project planning
activity. Examples of the resources to be considered include:
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255

Example Activities Further Explanation

• Considerations for the project environment
o Cultural issues
o Visibility
o Voice communication
o Comfortable furniture
o Airborne particulates
o Light for performing work
o Isolation and noise protection
o Space to perform group work activities
o Meeting space
o Support areas
o Laboratories
• Specialized characteristics of workspaces
o Safety
o Security
o Air conditioning
o Tools
o Training
o Remote locations
o Telecommuting
• Storage
• Project equipment
o Computers or work stations
o Communications technologies (e.g., telephones, fax
machines, e-mail, and networks)
o Office equipment
o Printing and reproduction equipment
• Supplies
• Application software
• Documentation
Assign a responsible individual to Examples of actions include:
plan to acquire resources, • Preparing budget requests
facilities, and the environment • Developing cost-benefit justifications
needed to perform assigned • Consulting with subject matter experts
work. • Submitting purchase orders
• Negotiating with those responsible for managing building or
computing facilities, distributing equipment or supplies, or other
project environment-related resources
Develop a contingency plan if the
resources, facilities, and
environment cannot be obtained.
Plan for support personnel needs. May include:
• Business or administrative
• Computer support personnel
• Technical writing and documentation
• Laboratory technicians
Ensure individuals and groups May include:
participate in decisions • Arrangement of project facilities
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permission by CMMI Institute. Usage by others is prohibited.
256

Example Activities Further Explanation

concerning resources, facilities, • Alterations or improvements to the project environment
and environment. • Resources needed to perform their project

Example Work Products

Example Work Products Further Explanation
Project resources, facilities, and May be included as part of the overall project plan or may be
environment plan separate (e.g., for large or complex projects or environments).
Equipment and tools for the
project
Health and safety considerations,
including any regulatory or legal
requirements
Installation, operation, and
maintenance manuals for the
project environment
User surveys and results
Facilities, resources, and
maintenance records for the
project
Support services needed for the
project environment

Context Specific
Development
Context Tag: CMMI-DEV

Context: Practices are used to develop quality products and services to meet the needs of
customers and end users.

The project environment might encompass environments for product development, integration,
verification, and validation, or they might be separate environments.
Development-specific examples of equipment and tools include:
• Design tools
• Configuration management tools
• Evaluation tools
• Integration tools
• Automated test tools
Components in the development environment include software, databases, hardware, tools, test
equipment, and appropriate documentation. Qualification of software includes appropriate certifications.
Hardware and test equipment qualification includes calibration and adjustment records and traceability to
calibration standards.
Examples of actions that might be taken to improve the development environment include:

• Adding new tools

• Acquiring additional networks, equipment, training, and support

Level 4

PLAN 4.1
Required Practice Information
Practice Statement
Use statistical and other quantitative techniques to develop and keep the project processes updated to
enable achievement of the quality and process performance objectives.

Value
Increases the likelihood that the processes of the project will enable achievement of consistent
performance and quality.

Additional Required Information

Managing the progress towards achieving quality and process performance objectives should be an
integral part of how the project is planned and managed.

Explanatory Practice Information

Additional Explanatory Information
Ensure that projects:
• Identify the processes required to accomplish business activities.
• Identify conditions that may affect performance of the processes.
• Identify relevant process performance baselines and models for the selected processes.
o Projects may have previously recorded process performance baselines and models that
are more accurate or relevant than organizational baselines.
• Evaluate the planned performance of the selected processes to determine if they are capable of
achieving the measurable performance objectives.
• When planned performance is not being achieved, negotiate adjustments in measurable
performance objectives and the associated processes. This may involve identifying and
developing new processes or subprocesses.
Example Activities
Example Activities Further Explanation
Develop the criteria to use in Criteria can be based on:
evaluating process alternatives for the • Quality and process performance objectives
project. • Availability of process performance data and the relevance
of the data to evaluating an alternative
• Previously recorded process performance baselines and
models that can be used in evaluating an alternative
• Lifecycle models
• Stakeholder requirements
• Laws and regulations
Identify or develop alternative May include:
processes for doing the work and • Analyzing organizational process performance baselines
meeting objectives. and models to identify candidate processes
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permission by CMMI Institute. Usage by others is prohibited.
259

Example Activities Further Explanation

• Identifying processes from the organization’s set of
standard processes as well as tailored processes in the
process asset library
• Identifying processes from external sources (e.g., other
organizations, professional conferences, academic
research)
• Adjusting the level or depth of intensity with which the
processes are applied and can involve the:
o Number, type, and date of peer reviews to be held
o Amount of effort or calendar time devoted to particular
tasks
o Number and selection of people involved
o Skill level requirements for performing specific tasks
o Selective application of specialized construction or
verification techniques
o Reuse decisions and associated risk mitigation strategies
o Sample size for peer reviews
Analyze and evaluate alternative Analyze the relative strengths and weaknesses of
processes against recorded evaluation alternatives. This analysis can be supported by aligning the
criteria. organization’s process performance models with process
performance data.
Perform additional modeling activities if existing process
performance models cannot address significant relationships
among the alternative processes under consideration and
there is high risk of not achieving objectives.
Use historical data and process performance baselines and
models to assist in evaluating alternatives against the
criteria. These evaluations can include a sensitivity analysis,
particularly in high risk situations.
Select the alternative process that best If needed, repeat these activities several times until
meets the criteria. confident that the best available alternative has been
identified.
Evaluate the risk of not achieving the If the risk cannot be avoided or mitigated, it may be
project’s quality and process necessary to revise the project’s quality and process
performance objectives. performance objectives.

Example Work Products

Example Work Products Further Explanation
Criteria used to evaluate alternatives
for the project
Alternative processes It may be possible to develop more than one candidate
defined process for the project. In this case, select the one
that best meets the evaluations criteria.
Selected defined project process
Risk assessment of not achieving the Risk handling plan and action to be identified. Decision
project’s quality and process analysis may be used to identify alternate risk mitigation
performance objectives practices.

Related Practice Areas

Refer to the Managing Performance and Measurement practices for more information about establishing
performance baselines and models.
Refer to the Decision Analysis and Resolution practices for more information about evaluating
alternatives.
Refer to the Risk and Opportunity Management practices for more information about identifying and
analyzing risks.
Refer to the Process Asset Development practices for more information on managing process assets.

Process Asset Development (PAD)

Required PA Information
Intent
Develop and keep updated the process assets necessary to perform the work.
Value
Provides a capability to understand and repeat successful performance.
Additional Required PA Information
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Explanatory PA Information
Practice Summary
Level 1
PAD 1.1 Develop process assets to perform the work.
Level 2
PAD 2.1 Determine what process assets will be needed to perform the work.
PAD 2.2 Develop, buy, or reuse process assets.
PAD 2.3 Make processes and assets available.
Level 3
PAD 3.1 Develop, keep updated, and follow a strategy for building and updating process
assets.
PAD 3.2 Develop, record, and keep updated a process architecture that describes the
structure of the organization’s processes and process assets.
PAD 3.3 Develop, keep updated, and make processes and assets available for use.
PAD 3.4 Develop, keep updated, and use tailoring criteria and guidelines for the set of
standard processes and assets.
PAD 3.5 Develop, keep updated, and make the organization’s process asset library
available for use.
PAD 3.6 Develop, keep updated, and make work environment standards available for use.
PAD 3.7 Develop, keep updated, and make organizational measurement and analysis
standards available for use.

Additional PA Explanatory Information

Organizational process assets enable:
• Consistent process execution across the organization
• Tailoring using the organizational guidelines

• Organizational learning and process improvement

• A basis for cumulative, long-term benefits to the organization
• Sharing best practices and lessons learned across the organization
Context Specific
Agile with Scrum Guidance
Context Tag: Agile with Scrum

Context: Practices used by projects to adopt agile with Scrum to create more effective
process assets.

Agile teams use process assets to perform their work. Figure PAD-1 shows where a team might develop
these assets in sprint 0 to prepare for the first development sprint. Collect refinement suggestions in the
sprint retrospective. Figure PAD-2 shows some example assets in their template form.
The assets referenced in Process Asset Development extend beyond the typical ones of an agile project.
They include a measurement repository, tailoring guidelines, and work environment standards.

Figure PAD-1: PAD in an Agile Cycle

Figure PAD-2: Typical Agile Assets

Level 1

PAD 1.1
Required Practice Information
Practice Statement
Develop process assets to perform the work.
Value
Improves consistency to increase likelihood of meeting objectives.

Additional Required Information

This section left blank for future content.
Explanatory Practice Information
Additional Explanatory Information
Recording work steps helps to avoid rework and ensure that team members know what needs to be
done.

Example Activities
Example Activities Further Explanation
Record work instructions.

Example Work Products

Example Work Products Further Explanation
Work instructions
Process descriptions
Templates

Level 2

PAD 2.1
Required Practice Information
Practice Statement
Determine what process assets will be needed to perform the work.
Value
Avoids waste by focusing resources only on the process assets needed to perform the work.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
The context and scope of the work will help determine which process assets are needed. Consider when
process assets will be needed, especially for large projects. Review and revise those needs if the context
or scope changes.

Example Activities
Example Activities Further Explanation
Identify process assets needed for the
project.

Example Work Products

Example Work Products Further Explanation
Templates For example, templates may be provided for:
• Plans
• Estimates
• Technical documentation
• Meeting minutes
• Service level agreements
• Requests for proposals
• Contracts or agreements
Work Instructions Work instructions can include:
• Sequential checklists
• Standard Operating Procedures (SOPs)
• Processes
Tools

PAD 2.2
Required Practice Information
Practice Statement
Develop, buy, or reuse process assets.
Value
Helps to minimize costs, effort, and time needed for developing the assets.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Example Activities
Example Activities Further Explanation
Select which assets will be subject to a
build, buy, or reuse analysis.
Perform build, buy, or reuse analyses
to determine the best option of various
selected assets.
Record results of analyses.
Build, buy, or reuse the indicated
assets.

Example Work Products

Example Work Products Further Explanation
Build, buy, reuse analyses results
Process assets

Related Practice Areas

Refer to the Decision Analysis and Resolution practice area for more information on decisions involving
multiple options.

PAD 2.3
Required Practice Information
Practice Statement
Make processes and assets available.

Value
Using existing process assets reduces cost and time needed for performing the work.
Additional Required Information
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Explanatory Practice Information
Additional Explanatory Information
Ensure that team members know what assets are available and how to access them.
Identify and make assets available for use by other projects.
Example Activities
Example Activities Further Explanation
Make assets available for use by
projects.
Communicate the availability of assets
for use.

Example Work Products

Example Work Products Further Explanation
Process assets

Level 3

PAD 3.1
Required Practice Information
Practice Statement
Develop, keep updated, and follow a strategy for building and updating process assets.
Value
Provides a structure and direction for asset building that minimizes cost.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
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Example Activities
Example Activities Further Explanation
Develop a strategy for building and For example, include:
updating process assets. • Identification of the business objectives addressed and
their priority
• Methods for developing and updating assets
• Identification of roles and responsibilities for carrying out
the strategy
• Criteria for implementing action plans
• Reference to process architecture

Example Work Products

Example Work Products Further Explanation
Strategy for building and updating
process assets

PAD 3.2
Required Practice Information
Practice Statement
Develop, record, and keep updated a process architecture that describes the structure of the
organization’s processes and process assets.

Value
A robust process architecture ensures that processes add value.

Additional Required Information

The structure needs to accommodate:
• Processes
• Critical attributes of the process
o Inputs and outputs
o Sequence links
o Dependency links
o Connections

Explanatory Practice Information

Additional Explanatory Information
The process architecture defines the structures necessary to contain the processes, process assets, and
connections. The process architecture needs to be considered from two different aspects:
• Structural Architecture
• Content Architecture
Both need to be addressed. The two tables below describe the differences between the two types:

Structure Content
The physical structure or framework for How the data is organized within the structural
organizing the content. architecture.
For example, in a book the structure identifies if For example, in a book the content architecture
there will be: identifies:
• A table of contents • The number of parts
• Introductory material • What each part contains
• Division of main body into parts • How many sections will be in each part
• Division of parts into sections • What the contents of each part will cover
• An index

This practice focuses on structural architecture because the content architecture may independently vary
over time because of changes to organizational needs. Structural architectural will typically only change
when there is a major change to the organization, the process needs, or process approach.
Clearly specified processes interact efficiently resulting in less redundancy and fewer gaps, therefore
ensuring that every process adds value. A process architecture:
• Reduces risks
• Increases quality
• Improves time-to-market
• Increases customer satisfaction
• Facilitates achievement of business objectives
• Promotes understandings between work groups

• Helps clarify roles and responsibilities

• Improves coordination of efforts
• Reduces unnecessary activities
• Reduces missed activities
• Improves process flow by ensuring that all necessary inputs and outputs are defined

Example Activities
Example Activities Further Explanation
Identify process requirements. Process requirements describe the business needs that
processes will address.
Identify process architecture Process architecture objectives describe how and why the
objectives. process architecture will be used and the information that
the representation will provide.
Develop and record the format of the Process architecture is like solution architecture, except that
process architecture. the components are processes. Many of the same tools and
techniques used to design and record solution architectures
can be used to design and record the process architecture.
Different formats can be used at different levels and may
include:
• EITVOX
• IDEF
• Flow charts
• Workflow diagrams
• Process modeling tools
• Context models
• Value chain models
Develop, record, and keep updated the Ensure the process architecture can address all process
process architecture. types.
Review and update process Include representatives of each process type represented in
architecture with affected stakeholders. the process architecture to ensure:
• Necessary inputs, outputs, entry criteria, and exit criteria
are understood and complete
• Redundancies and missing processes are identified and
addressed
• Processes that do not add value are identified for revision
or elimination
Communicate and make process
architecture available.

Example Work Products

Example Work Products Further Explanation
Process requirements
Process architecture format
Process architecture

Related Practice Areas

Refer to the Process Management practice area for more information on improving processes to address
issues identified when reviewing the process architecture.
Refer to the Technical Solution practice area for more information about designing and building solutions.

PAD 3.3
Required Practice Information
Practice Statement
Develop, keep updated, and make processes and assets available for use.

Value
Enables work to be done more efficiently and effectively, which leads to reduced cost and waste.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Plan and implement actions that address improvements to the organization’s processes and assets.
Process action plans are detailed implementation plans that target improvements.
For effective implementation of improvements, ensure that support organizations and the people who
perform the process participate in process development, deployment, and implementation.
Developing and updating processes may involve:
• Management steering committees that set strategies and oversee process improvement activities
• Process groups that facilitate and manage process improvement activities
• Process action teams that define and implement process actions
• Process owners that manage deployment
Standard processes and assets can be:
• Defined at multiple levels in an organization
• Tailored for each of the organization’s business areas or functions
Each process covers a closely related set of activities. A fully defined process or asset has enough detail
that it can be consistently performed by trained and skilled people.
Tailoring can be done at the organizational, divisional, site, or functional level. Each level or function of
the organization can have a set of standard processes or assets which were tailored from the
organizational set of processes and assets. Some organizations may have only one level of standard
processes.

The organization’s set of standard processes contains process elements that may be interconnected
according to one or more process architectures that describe relationships among process elements. The
organization’s set of standard processes may include:
• Technical, management, administrative, support, and organizational processes
• Sequence, order, and interrelationships of the processes and their elements
• Proven and effective processes and assets
• Lessons learned
Affected stakeholders should also periodically update their defined processes and assets to incorporate
changes made to the organization’s set of standard processes. Update processes and assets to reflect
periodic revisions in the knowledge, skills, and process abilities.
Example Activities
Example Activities Further Explanation
Verify that the organization’s set of
standard processes and assets are
aligned with strategic process needs
and objectives.
Assign responsibilities for acquiring,
developing, and maintaining processes
and assets.
Review and decide if recommendations
resulting from process improvements
should be incorporated into the
organization’s processes and assets.
Develop organizational standards for May include:
processes and assets. • Standards for terminology and use
• Requirements for completeness, correctness, and other
quality attributes
• Semantic structure and organization
• Representation of content
• Format for storage and presentation
• Archiving and access methods
Record process action plans. Action planning may include:
• Recording the action plan
• Reviewing with affected stakeholders
• Revising as necessary
• Negotiating and recording commitments
Process action plans may include:
• Process improvement infrastructure
• Process improvement objectives
• Process improvements to be addressed
• Procedures for planning and tracking process actions
• Responsibility and authority for implementing process
actions
• Resources, schedules, and assignments for implementing
process actions

Example Activities Further Explanation

• Risks
Track progress and commitments Perform joint reviews with process action teams and
against process action plans. stakeholders to monitor the progress and results of process
actions.
Identify, record, and track to closure issues encountered
when implementing process action plans.
Establish process action teams to The teams and people performing the process improvement
implement actions. actions are called “process action teams”. Process action
teams typically include process owners and those who
perform the process.
Build and record processes and assets. Building and recording processes and assets may include:
• Specifying the attributes of each process or asset
• Specifying relationships among processes or assets
Process attributes may include:
• Roles and responsibilities
• Applicable standards
• Process performance objectives
• Entry criteria
• Inputs
• Tasks
• Verification and Validation
• Outputs
• Exit criteria
• Connections
• Measures
Perform reviews on the organization’s
set of standard processes or assets.
Revise the organization’s set of These may need to be revised when:
standard processes and assets as • Improvements to the processes and assets are identified
necessary. • Causal analysis and resolution data indicate a process
change is needed
• Process improvement proposals are selected for
deployment across the organization
• The organization’s process needs and objectives are
updated
Make processes and assets available. These may be made available through a variety of media,
including:
• Documents and records
• Apps
• Websites
• Videos and training materials
• Scripts in automated tools
• Intranets and other electronic media

Example Work Products

Example Work Products Further Explanation
Action plans
Status and results of implementing
action plans
Organization’s set of standard
processes and assets
New processes or assets Examples may include:
• Decision aids
• Templates for solutions
• Guides and manuals

Related Practice Areas

Refer to the Peer Reviews practice area for more information about performing peer reviews.

PAD 3.4
Required Practice Information
Practice Statement
Develop, keep updated, and use tailoring criteria and guidelines for the set of standard processes and
assets.

Value
Adapting a standard process to accommodate the unique needs of each project avoids unnecessary work.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Consistency across the organization ensures that organizational standards, objectives, and strategies are
addressed, and process data and lessons learned can be shared.
Tailoring is a critical activity that allows controlled changes to the processes due to the specific needs of a
project or a part of the organization. Tailoring of processes should be constrained and take into account
business objectives or technical requirements. Tailoring guidelines may allow additional flexibility when
dealing with less critical processes or those that only indirectly affect business objectives.
Balance tailoring flexibility with consistency of processes across the organization. Flexibility helps address
contextual variables such as:
• Domain
• Nature of the customer

• Cost, schedule, and quality tradeoffs

• Risks
• Technical difficulty of the work
• Experience of the people implementing the process
The amount of tailoring could also depend on the project’s lifecycle model, the use of suppliers, and other
factors.
Tailoring criteria and guidelines can allow for using a standard process “as is,” without tailoring.
Examples of reasons for tailoring include:
• Accommodating the process to a new solution
• Adapting the process to a new work environment
• Modifying the process description, so that it can be used within a given project
• Adding more detail to the process to address a unique solution or constraint
• Modifying or combining elements of a lifecycle model
• Modifying, replacing, or reordering process elements

Example Activities
Example Activities Further Explanation
Specify selection criteria and Examples of criteria and procedures include:
procedures for tailoring the • Criteria for selecting and tailoring lifecycle models from
organization’s set of standard the ones approved by the organization
processes. • Criteria for selecting process elements from the
organization’s set of standard processes
• Procedures for adapting the organization’s common
measures to address information needs
Specify the standards used to record
defined processes.
Specify the procedures used to submit
and obtain approval of waivers from
the organization’s set of standard
processes.
Record, approve, and communicate Reviews of the tailoring guidelines may be used as a part of
tailoring guidelines for the the approval process.
organization’s set of standard
processes.
Revise tailoring guidelines as
necessary.

Example Work Products

Example Work Products Further Explanation
Tailoring guidelines for the May include:
organization’s set of standard
processes

Example Work Products Further Explanation

• Requirements that must be satisfied by defined processes
(e.g., the subset of organizational process assets that are
essential for any tailored process)
• Options that can be exercised and criteria for selecting
among options
• Procedures that must be followed in performing and
recording process tailoring
Waivers or requests for process Waivers are not intended to be a means to opt out of
waivers following a process. A waiver may be used when:
• The standard process cannot be tailored to meet the
needs of the project
• A customer, legal, or regulatory constraint prevents the
process from being followed
• There is a new requirement that the standard process
currently cannot address

Related Practice Areas

Refer to the Peer Reviews practice area for more information about performing peer reviews.

PAD 3.5
Required Practice Information
Practice Statement
Develop, keep updated, and make the organization’s process asset library available for use.

Value
Reduces the time and effort needed to organize, access, and update process assets.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
The repository contains both process assets and related work products that are part of the organization’s
set of standard processes.

Example Activities
Example Activities Further Explanation
Design and implement the This includes the library structure and support environment.
organization’s process asset library.
Specify criteria for including assets in Assets are selected based primarily on their relationship to
the library. the organization’s set of standard processes.

Example Activities Further Explanation

Specify procedures for storing,
updating, and retrieving assets.
Enter selected assets into the library Assets include:
and catalog them for easy reference • Organizational policies
and retrieval. • Process descriptions
• Procedures (e.g., estimating procedure)
• Plans
• Training materials
• Process aids (e.g., templates and checklists)
• Work products resulting from performing the processes
• Lessons learned
Make assets available for use by
projects.
Periodically review the usefulness of Consider removing assets that are no longer used or viable.
the assets.

Example Work Products

Example Work Products Further Explanation
Design of the organization’s process
asset library
Organization’s process asset library
Process-related work products in the
process asset library

PAD 3.6
Required Practice Information
Practice Statement
Develop, keep updated, and make work environment standards available for use.
Value
Increases productivity and consistency across projects through a specified and established work
environment.

Additional Required Information

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Explanatory Practice Information

Additional Explanatory Information
Work environment standards allow the organization and projects to benefit from common tools, training,
maintenance, and cost savings. Work environment standards address the needs of all stakeholders and
consider productivity, availability, security, and workplace health, safety, and ergonomic factors.
Work environment standards help to ensure that the:
• Improvements made to the work environment improve work performance
• Organization’s work environment supports the development and performance of empowered
workgroups
• Work environment supports individuals or projects using the standard processes
Examples of work environment standards include:
• Requirements for the operation, safety, and security of the work environment
• Workstation hardware and software requirements
• Standard application software and tailoring guidelines
• Standard production and calibration equipment
• Licenses, security passwords, and IDs
• Criteria for the use and approval of waivers
• Criteria for tailoring the work environment to meet needs
Example Activities
Example Activities Further Explanation
Evaluate commercially available work Choose standards to evaluate based on the organization’s
environment standards. needs.
Adopt, develop, or tailor work
environment standards to fill gaps
based on the organization’s process
needs and objectives.
Periodically analyze the work
environment to identify changes or
resources that could improve work
performance.
Prioritize potential improvements to the Complying with laws and regulations may cause a higher
work environment. priority to be placed on some improvements. Seek guidance
from human resources, facilities, legal, or other appropriate
professionals in complying with such laws and regulations.
Identify resources that could improve Examples of work environment resources that may enhance
performance. performance include:
• Facilities or public spaces, such as work areas and
conference rooms
• Offices and spaces close that allow co-location and that
foster collaboration
• Collaborative tools, applications, or other resources
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279

Example Activities Further Explanation

• Enhanced communication capabilities
Ensure projects have the authority to
organize and tailor their work
environments to best support their
business activities.
Review work environments with
projects.

Example Work Products

Example Work Products Further Explanation
Work environment standards
Waivers or requests for work Waivers are not intended to be a means to opt out of
environment waivers adhering to a work environment standard. A waiver may be
used when:
• The standard work environment cannot be tailored to
meet the needs of the project
• A customer, legal, or regulatory constraint prevents the
standard work environment from being applied
• There is a new requirement that the standard work
environment currently cannot or does not address

PAD 3.7
Required Practice Information
Practice Statement
Develop, keep updated, and make organizational measurement and analysis standards available for use.

Value
Supports consistent use of measurements and related analysis for better decision making.
Additional Required Information
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Explanatory Practice Information
Additional Explanatory Information
Evaluate objectives and requirements to define the organization’s measurement and analysis standards.
The organization may have multiple measurement and analysis standards if work is diverse and requires
different approaches. Tailoring decisions may affect how measurement and analysis standards are
developed and used. Align these measurement and analysis standards with how measurements will be
used and how they meet business objectives.

Example Activities
Example Activities Further Explanation
Specify organizational standards for Different standards may be needed for different types of
measurement and analysis. data or analysis techniques.
Specify tailoring guidelines for applying Includes criteria for when a waiver is allowed or approved.
measurement standards to individual
projects.

Example Work Products

Example Work Products Further Explanation
Organizational measurement and
analysis standards
Waivers or requests for measurement Waivers are not intended to be a means to opt out of
and analysis waivers adhering to a measurement and analysis standard. A waiver
may be used when:
• The standard cannot be tailored to meet the needs of the
project
• A customer, legal, or regulatory constraint prevents the
standard from being applied
• There is a new requirement that the standard currently
cannot or does not address

Process Management (PCM)

Required PA Information
Intent
Manages and implements the continuous improvement of processes and infrastructure to:
• Support accomplishing business objectives
• Identify and implement the most beneficial process improvements
• Make the results of process improvement visible, accessible, and sustainable
Value
Ensures that processes, infrastructure, and their improvement contribute to successfully meeting business
objectives.

Additional Required PA Information

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Explanatory PA Information
Practice Summary
Level 1
PCM 1.1 Develop a support structure to provide process guidance, identify and fix process
problems, and continuously improve processes.
PCM 1.2 Appraise the current process implementation and identify strengths and
weaknesses.
PCM 1.3 Address improvement opportunities or process issues.
Level 2
PCM 2.1 Identify improvements to the processes and process assets.
PCM 2.2 Develop, keep updated, and follow plans for implementing selected process
improvements.
Level 3
PCM 3.1 Develop, keep updated, and use process improvement objectives traceable to
the business objectives.
PCM 3.2 Identify processes that are the largest contributors to meeting business
objectives.
PCM 3.3 Explore and evaluate potential new processes, techniques, methods, and tools to
identify improvement opportunities.
PCM 3.4 Provide support for implementing, deploying, and sustaining process
improvements.

PCM 3.5 Deploy organizational standard processes and process assets.

PCM 3.6 Evaluate the effectiveness of deployed improvements in achieving process
improvement objectives.
Level 4
PCM 4.1 Use statistical and other quantitative techniques to validate selected performance
improvements against proposed improvement expectations, business objectives,
or quality and process performance objectives.
Additional PA Explanatory Information
Process improvement focuses on the needs of the business to:
• Increase value for customers
• Align with business objectives
• Make business activities more efficient and effective
• Make the business more profitable
• Stay ahead of competition
• Increase employee satisfaction
Improvements to a process will often improve performance, but that is not the only reason to improve
processes. For example, a strategic or regulatory change may drive an improvement or change to the
process. It is also important to refine the improvement approach so that the processes are more useful to
the organization.
This practice area addresses the improvement of specific processes based on proposals from various
sources which may include:
• Process evaluations including appraisals and quality assurance activities
• Feedback from users
• Measurement analysis results
• Performance results
Improvements that show demonstrable benefits help develop and support a culture that strives for
ongoing improvement. A continuous improvement culture is essential to sustaining best practices and
avoiding falling back into bad habits. Improving processes also increases employee satisfaction and
retention rates by building an environment where people can be productive.
Context Specific
Agile with Scrum Guidance
Context Tag: Agile with Scrum

Context: Practices used to implement agile with Scrum and to improve processes and
infrastructure.

Agile teams collect retrospective data at the end of each sprint that provides a rich source of
improvement ideas. Some agile teams form a community of practice where individuals with a need for
similar improvements can share experiences. Typically, retrospective sessions are focused on ad-hoc
topics and improvements at a team level. The Process Management practice area adds the systematic
collection, analysis, and coordination of these improvements across the organization. The organization
will benefit by learning from each agile team.

Figure PCM-1: PCM in an Agile Cycle

Table PCM-1: Retrospective Information

Figure PCM-1 shows where Process Management activities are performed in an agile project. Table PCM-1
shows typical retrospective data.
Process Management practices can supplement the typical agile team to aid organizational learning. For
example, agile teams collect data, but there is not necessarily a support structure to manage and use
that data. The retrospective session does not typically or systematically assess each process. The
adoption of process management practices will produce more robust and sustainable organizational
improvements.

Level 1

PCM 1.1
Required Practice Information
Practice Statement
Develop a support structure to provide process guidance, identify and fix process problems, and
continuously improve processes.

Value
A process improvement support structure helps to reduce effort, cycle time, costs, defects, and waste,
and increase performance.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
The support structure enables consistent process implementation across the organization and provides a
basis for cumulative, long-term benefits to the organization. It typically:
• Helps establish processes that make the work easier, more efficient, and less defect-prone
• Provides process guidance, such as process policies or other organizational directives
• Establishes responsibility for facilitating and managing the organization’s process improvement
activities, including coordinating the participation of others
• Provides the long-term commitment and resources required for improvement
• Enables effective and timely deployment of improvements
Senior management is responsible for establishing, communicating, and enforcing guiding principles,
direction, and expectations. Senior management must:
• Actively support these efforts
• Set the tone for improvement
• Motivate continuous improvement
• Hold people accountable for improving the process
Example Activities
Example Activities Further Explanation
Identify and apply a structure for May include:
supporting process related activities • Organizational expectations and direction
and keep it updated • Guidance for the process improvement
Assign responsibilities and keep them Typically includes:
updated for coordinating process • Defined roles and responsibilities
related activities. • Following the support structure

Example Work Products

Example Work Products Further Explanation
Process support structure A process support structure typically involves:
• How the structure will be set up and updated
• Funding and support
• Training
• Resources needed to sustain the structure
• Roles and responsibilities that may include:
o Management steering committee that sets strategies
and oversees process improvement activities
o Process group that facilitates and manages process
improvement activities
o Process action teams that define and implement process
actions
o Process owners that manage deployment
o Practitioners that perform the process and provide
feedback

Related Process Areas

Refer to the Governance practice area for more information concerning senior management’s role,
responsibilities, and policies.

PCM 1.2
Required Practice Information
Practice Statement
Appraise the current process implementation and identify strengths and weaknesses.
Value
Provides a systematic and realistic way to identify the most important opportunities for improvements.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Clearly define and communicate the reasons for performing an appraisal. These reasons can include:
• Identifying strengths and weaknesses
• Providing a realistic and objective insight into improvement opportunities
• Determining progress towards achieving improvement objectives
• Benchmarking
The appraisal can be performed against:
• A reference model (e.g., CMMI, ISO, or other standards relevant to the organization or industry)

• The organization’s processes

The purpose of an appraisal is to identify:
• Well performed activities
• Missing or gaps in processes
• Other business reasons and issues that could stimulate and guide successful improvement
efforts, such as:
o Regulatory requirements
o Recurring problems
The primary focus of an appraisal is to compare the recorded and performed processes against the
reference model. It is a quality assurance function to focus on the practiced processes versus the
recorded processes.
Appraisal results should include enough detail so that they can be used for improvements. The
acceptance gained with an appraisal can be significantly reduced if improvement actions are not
implemented.
Appraisals follow a process, are performed by qualified personnel, and may include:
• A formal assessment or evaluation
• A gap analysis
• A review
• A benchmarking activity
• Other methods

Example Activities
Example Activities Further Explanation
Obtain sponsorship and support for the
appraisal from senior management.
Define the scope of the appraisal. Scope includes:
• Organizational scope
• Process scope
• Model scope
Select or define the criteria and Criteria may include:
method for the appraisal. • Rigor
• Sampling
• Ratings
• Re-appraisal triggers
The appraisal method may include:
• Gap analysis
• Benchmarking
• Review
Plan and schedule the appraisal.
Perform the appraisal.

Example Activities Further Explanation

Record and communicate the appraisal
findings.

Example Work Products

Example Work Products Further Explanation
Appraisal plan and schedule May include the:
• Objectives
• Scope
• Method
• Criteria
• Resources
Appraisal findings Typically includes:
• Goals of the appraisal
• Results including strengths and weaknesses

PCM 1.3
Required Practice Information
Practice Statement
Address improvement opportunities or process issues.
Value
Reduces costs by increasing efficiency and effectiveness of projects.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Assign responsibility to address improvement opportunities and process issues. Process issues may be
addressed by improvement actions at various organizational levels.
Resolving issues is key to developing process acceptance and leads to further improvements.
Example Activities
Example Activities Further Explanation
Assign relevant personnel to address
the improvement opportunities and
process issues.
Identify and record the action items to
address improvement opportunities
and process issues.

Example Activities Further Explanation

Address the opportunities and issues
and communicate the results.

Example Work Products

Example Work Products Further Explanation
Action items Include:
• Actions to address identified improvement opportunities
and process issues
• Responsible people
• Resources needed to complete actions

Level 2

PCM 2.1
Required Practice Information
Practice Statement
Identify improvements to the processes and process assets.
Value
Maximizes return on investment by focusing resources on the most critical business needs and objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
During process implementation and execution, identify opportunities and issues for improvement. These
can come from:
• Individuals
• Improvement proposals
• Lessons learned
• Results from a process appraisal
• Value stream analyses
• Causal analysis
• Measurements
• Quality evaluations
Systematically analyze, prioritize, and record improvement suggestions. This analysis includes:
• Circumstances
• Sources
• Side effects
• Validity
• Benefits
• Effort
• Time to implement
Ensure that the analysis and evaluation are performed in a timely manner and that improvements are
selected based on their expected value and impact. Objectively decide which improvements to select. It is
generally not possible to implement all suggested improvements as it may be either too expensive or take
too long. On the other hand, just addressing “low hanging fruit” may lead to minor changes or no
changes at all. The better way is to determine criteria that helps select and deploy improvements with
the highest business impact.
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permission by CMMI Institute. Usage by others is prohibited.
291

Example Activities
Example Activities Further Explanation
Identify issues and opportunities.
Group and analyze proposed May include:
improvements. • Cost benefit
• Return on investment
• Expected performance improvement
• Prioritization
• Barriers or risks
Record and keep updated criteria for May include:
selecting improvements. • Those required by law, regulations, or standards (now or
in the future)
• Supporting process improvement objectives
• Avoiding waste
• Ability to implement and execute
Select proposed improvements for
implementation, deployment, and
execution.
Review selections with affected
stakeholders.
Record proposed improvements and May include the:
communicate results. • Value and rationale of each action
• Improvement based on the evaluation of criteria
• Objectives
• Constraints
• Target users
• Risks
• Estimated cost and schedule to implement
• Expected results

Example Work Products

Example Work Products Further Explanation
Proposed improvement list May include:
• Proposed improvements
• Reference to source
• Assignment to processes
• Risks and probability to resolve
• Priority and business impact
• Rationale as to why the proposals or a group of proposals
is listed
• Category of improvement
• How to implement the proposed improvement
Recorded selection criteria
List of selected improvements for See above proposed improvement list.
implementation, deployment, and
execution

PCM 2.2
Required Practice Information
Practice Statement
Develop, keep updated, and follow plans for implementing selected process improvements.

Value
Plans enable more efficient and effective improvement efforts to meet business objectives.

Additional Required Information

Ensure the support structure for process improvement is addressed.

Explanatory Practice Information

Additional Explanatory Information
Manage the implementation of process improvements like a project.
Plans may include the full lifecycle of an improvement effort including:
• Estimating and planning
• Implementing or updating processes
• Piloting
• Analyzing expected and actual results
• Identifying risks or issues
• Identifying and involving stakeholders
• Deploying
• Conducting post-deployment evaluation
• Collecting feedback and lessons learned
• Monitoring progress
For larger efforts, consider an iterative or incremental approach instead of a one-time effort. For
example, ensure deployable results are available as soon as possible to receive rapid feedback.
Example Activities
Example Activities Further Explanation
Select performance improvements to Select improvements to be deployed based on their priority,
be deployed. resource availability, and improvement proposal evaluation
and validation activity results.
Selection process results can include the:
• Selection criteria for proposed improvements
• Characteristics of the target work
• Disposition of each improvement proposal
• Rationale for the disposition of each improvement
proposal

Example Activities Further Explanation

Develop the plan based on the This should include identifying:
identified process improvements and • Tasks
review with stakeholders. • Risks or opportunities
• Performance criteria
Ensure that the deployment is
announced, well-coordinated, and
supported.
Manage progress, review with This should include monitoring:
stakeholders, and update plans as • Tasks
needed. • Risks or opportunities
• Performance criteria
Develop or update process assets.
Pilot the identified process
improvements.
Deploy the improvements. Use results from pilots to update the deployment plans as
needed.
Analyze and communicate the results Make process improvement accomplishments and benefits
of the deployed improvements. visible and understandable to all stakeholders.
Record improvement results. May include:
• Accomplishments
• Timeframe
• Effort and cost
• Results (e.g., improved performance, processes)
• Benefits
Record achieved effect to the business and compare to the
prior state.

Example Work Products

Example Work Products Further Explanation
Process improvement plan May include:
• Approach, including deployment
• Process improvement objectives
• Roles, responsibilities, and authorities
• Commitments
• Tasks or items to work on
• Stakeholders
• Infrastructure
• Effort
• Resource plan
• Budget and schedule
• Expected overall value and performance results
• Risks and success criteria
• Pilot plan
• Progress reporting
Action plan May include:
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294

Example Work Products Further Explanation

• Actions to be taken to implement the selected
improvements
• Responsibilities
• Due dates
Developed or updated process assets
Status report
Recorded results May include:
• Results from process improvement activities
• Benefit and value obtained from the improvements
• Performance results
• Nature and root cause of failures
• Effect on other processes and improvements

Related Practice Areas

Refer to the Estimating practice area for more information on estimating.
Refer to the Planning practice area for more information on planning.
Refer to the Monitor and Control practice area for more information on managing results against plans.
Refer to the Process Asset Development practice area for more information on developing and updating
process assets.

Level 3

PCM 3.1
Required Practice Information
Practice Statement
Develop, keep updated, and use process improvement objectives traceable to the business objectives.
Value
Ensure that process improvements focus on achieving business objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Example Activities
Example Activities Further Explanation
Identify and record improvement
objectives.
Review improvement objectives with Review improvement objectives to ensure traceability to
affected stakeholders. business objectives. Traceability enables verification that the
improvement objectives contribute to meeting business
objectives.
Monitor and update improvement
objectives as needed.

Example Work Products

Example Work Products Further Explanation
Process improvement objectives that
are traced to business objectives

PCM 3.2
Required Practice Information
Practice Statement
Identify processes that are the largest contributors to meeting business objectives.

Value
Maximizes impact of improvement activities by focusing on and meeting the most important business
needs.

Additional Required Information

Explanatory Practice Information

Additional Explanatory Information
Analyze process improvement objectives to determine which are the major contributors to achieving the
business objectives. This may include analyzing:
• Business objectives and how well they are being achieved
• Business models
• Business environment
• Challenges
• Opportunities
• Planned changes
Process improvement objectives may be based on the results of a process appraisal, root cause analysis,
quality evaluation, or other input. These activities will help determine which improvement objectives have
the highest priority.
Example Activities
Example Activities Further Explanation
Review the current business model,
business objectives, and business
environment.
Review potential internal or external
business changes.
Identify and record the relationships Includes the tracing and mapping of processes and
between the objectives and processes. objectives.
Estimate the value of each process’s
contribution to achieving objectives.
Record, keep updated, and Results includes identification of the processes that are the
communicate the results to affected major contributors to meeting objectives.
stakeholders.

Example Work Products

Example Work Products Further Explanation
Description of the relationships Includes:
between business objectives, • Priority of business objectives
processes, and process objectives and • Measure of contribution of each process to meeting the
their value objective
• Interrelationships of processes and objectives to each
other
One way to illustrate these relationships is the Six Sigma “Big
Y to little x” technique.

PCM 3.3
Required Practice Information
Practice Statement
Explore and evaluate potential new processes, techniques, methods, and tools to identify improvement
opportunities.

Value
Maximizes process innovation to more efficiently and effectively achieve objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Process needs and processes are not static. Many new technologies, tools, and methods can significantly
improve the performance of the organization. An organization should continuously search (both internally
and externally) for these potential improvements, evaluate their effectiveness on performance, and adopt
the ones that prove beneficial.
Proposed improvements can be incremental, innovative, or both:
• Incremental improvements generally originate with those who do the work (e.g., users of the
process or technology). Incremental improvements can be simple and inexpensive to implement
and deployed without the need for rigorous validation or piloting.
• Innovative improvements typically involve more radical change to the processes or technologies
which can disrupt the normal work flow. Such changes typically require more effort and
resources for validation, piloting, implementation, training, and sustainment.
When piloting, define and use criteria for selecting improvements. Criteria such as the risk,
transformational nature of change, number of functional areas affected, or cost may indicate the need to
pilot the improvement.

Example Activities
Example Activities Further Explanation
Identify, research, and record Research can be internally or externally focused, and may
improvements. include:
• Techniques
• Methods
• Process frameworks
• Objective evaluations
Use established criteria to decide what Update these criteria as organizational needs change.
documents and measures are critical Monitoring the evolution of new technology can help identify
enough to include in the organization’s new criteria for improvement.
process asset library (PAL) for use with
other or future projects.
Analyze and evaluate potential process
improvement opportunities.

Example Activities Further Explanation

Record, keep updated, and
communicate the results to affected
stakeholders.

Example Work Products

Example Work Products Further Explanation
Potential improvement opportunities May include:
• New ideas and innovations
• Explanation of the ideas
• Potential impact on business objectives
• Initial cost vs. benefit analysis

Related Practice Areas

Refer to the Process Asset Development practice area for more information on developing and updating
process assets.

PCM 3.4
Required Practice Information
Practice Statement
Provide support for implementing, deploying, and sustaining process improvements.
Value
Ensures process improvements provide value to the organization over time.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Ensure the improved processes and assets are well communicated, trained, internalized, and perceived as
useful.
Continuously support deployed processes and process assets. This support can come in the form of
coaching, providing a help desk, training, etc.
Obtain approval and commitment from senior management and involve them in visibly and actively
supporting the improvement.
Align improvement activities to avoid contradictory directions and wasted effort due to initiatives:
• Started in different parts of the organization
• Based on different standards.
Senior management typically delegates the day-to-day process and improvement work to a team or a
dedicated part of the organization.

Example Activities
Example Activities Further Explanation
Identify the mechanisms needed to support May include:
process implementation and deployment. • User groups (e.g., Communities of Practice)
• Management communication, such as:
o All-hands meetings
o Newsletters
o Webinars
• Feedback to proposers of process changes
Ensure that implementation and deployment
activities are planned and coordinated.
Align multiple improvement activities. Helps to avoid:
• Conflicting goals
• Cancelled efforts
• Waste
Obtain senior management commitment to
visibly and actively support implementation,
deployment, and sustainment of the process.
Provide a migration approach from current to Approaches may vary depending on the criticality
newly deployed processes. and impact of the process. Approaches may include:
• Full implementation across the organization
• Incremental changes via pilots
• Iterative implementation by selected projects
Review the deployment results with the Include the people who perform the process. They
affected stakeholders are often the source of knowledge about the
processes and constraints.
Provide records about the success, issues,
obstacles, and progress of the supporting
activities.

Example Work Products

Example Work Products Further Explanation
Plan for implementing, deploying, and Typically includes:
sustaining improvement • Improvement requirements
• Deployment strategy
• Estimated budget, schedule, risks, etc.
• Updated vs. new processes
• Communication methods
• List of affected stakeholders
• Implementation expectations
• Migration from current to newly deployed processes
Implementation records

Related Practice Areas

Refer to the Planning practice area for more information on planning.

Refer to the Governance practice area for senior management involvement and sustainment.

PCM 3.5
Required Practice Information
Practice Statement
Deploy organizational standard processes and process assets.
Value
Ensures efficient, effective, and coordinated process deployment to reduce potential waste from
overlapping improvements.

Additional Required Information

Coordinate the deployment of selected process improvements and assets in the organization.

Explanatory Practice Information

Additional Explanatory Information
Deploy processes and other process assets according to the plan. Involve personnel who are
implementing and executing the process and related functions (e.g., training, quality assurance) in
deployment. Training enables attendees to apply the processes in a consistent and sustainable way.
Provide ongoing support to prevent frustration when the something goes wrong, or the user does not
understand the process. A very effective supporting element is coaching. Mechanisms range from
question-and-answer support at defined intervals or events to mentoring by guiding the users in applying
processes, techniques, methods, and templates.
Monitoring implementation ensures that the organization’s set of standard processes and other process
assets are effectively deployed. It also helps to understand:
• What assets are being used
• Why they are being used
• Where they are being used
• How they are being used
Update defined processes to incorporate changes to the organization’s set of standard processes and
process assets. Updates help to ensure that activities benefit from what has been learned. If standard
processes and process assets change or are newly developed, work may not need to change
immediately. It may be better to delay deployment until the project can more effectively adopt the
change.
Ensure dependencies among active and planned performance improvement efforts are understood and
managed to ensure efficient and effective implementation and execution. There may be multiple
improvement initiatives, concurrent improvements, and deployments in an organization. Coordinate the
deployment of processes to avoid confusion, waste, contradictory results, and adverse effect.
To avoid overwhelming any part of the organization with too much change, it may be necessary to select
and deploy different improvements to different parts of the organization. The selection of improvements
to deploy should be sensitive to the needs of the respective parts of the organization.

Example Activities
Example Activities Further Explanation
Ensure that sufficient support is
available for the deployment.
Identify projects for deployment of Provide criteria for which work is subject to the deployment,
processes and assets. to what extent and which timeframe (e.g., new work, all
work, staggered approach).
Coordinate the deployment of Coordinating deployment includes:
improved processes with other • Coordinating activities of work groups, support groups,
improvement efforts. and organizational groups for each improvement
• Coordinating activities for deploying related improvements
Deploy the organizational set of Examples of methods for deploying improvements include:
standard processes and the • Deploying improvements incrementally rather than as a
organizational process assets to single deployment
identified projects. • Providing comprehensive consulting to early adopters of
improvements in lieu of revised formal training
Monitor the deployment of Confirm that deployment was completed in accordance with
improvements using deployment plans. the deployment plan.
Review results of objective evaluations. This helps determine how well the organization’s set of
standard processes has been deployed and how well they
are working.
Identify, record, and track to closure
issues related to implementing the
organization’s set of standard
processes.
Review the deployment results with
stakeholders

Example Work Products

Example Work Products Further Explanation
List of where improvements of new or Should include organizational processes and related process
revised processes or assets will be assets.
deployed
Deployment status report May include:
• Description of the improvement and deployments
• Where, what, and how improvements are deployed
• Issues with the deployment
• Results of objective evaluations
• Responsibility for implementation
• Stakeholders
• Deployment progress
• Cost expended
• Corrective actions to take
• Benefits attained

PCM 3.6
Required Practice Information
Practice Statement
Evaluate the effectiveness of deployed improvements in achieving process improvement objectives.
Value
Ensures deployed processes are contributing to meeting process and performance improvement
objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Determine effectiveness of process improvements against stated objectives and communicate results to
stakeholders. To be effective, the deployed process must make a significant positive change in
performance of the work.
Compare process improvement results against stated process improvement objectives, to determine
success and accomplishments, and take corrective action as appropriate.

Example Activities
Example Activities Further Explanation
Analyze current improvement results
against business, process, and
performance improvement objectives
and determine effectiveness of
improvements.
Record the results and communicate
with affected stakeholders.
Initiate and track to closure necessary
corrective actions.

Example Work Products

Example Work Products Further Explanation
Process improvement evaluation report May include:
• Benefit and value obtained from the improvements
• Comparison of business and process improvement
objectives against the results and accomplishments
• Need for further improvements
• Causal analysis if needed

Level 4

PCM 4.1
Required Practice Information
Practice Statement
Use statistical and other quantitative techniques to validate selected performance improvements against
proposed improvement expectations, business objectives, or quality and process performance objectives.

Value
Increases the success rate for performance improvement implementation.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Validate selected improvements in line with their improvement proposals by using statistical or other
quantitative techniques. Methods for collecting validation data include:
• Discussions with stakeholders, e.g., in the context of a formal review
• Prototype demonstrations
• Pilots of suggested improvements
Statistical or other quantitative techniques for validating improvements include:
• Analysis of the statistical significance of the change, e.g., using a hypothesis test
• Process variation and stability analysis
• Process capability analysis
• Modeling and simulation
Validation activities can include simulations and modeling when the performance of the changed process
and original process are statistically understood.
Example Activities
Example Activities Further Explanation
Plan the validation. Quantitative success criteria recorded in the improvement
proposal can be useful when planning validation. Plans to
validate selected improvements, may include:
• Target work and its characteristics
• Use of pilots, if selected
• Schedule for reporting results
• Measurement and analysis activities
• Success criteria
Review validation plans with affected
stakeholders.

Example Activities Further Explanation

Perform each validation in accordance
with the plan and record results.
Use statistical or other quantitative Validation should include determining if objectives are being
methods to analyze the results of the met.
validation.
Review, record and communicate the Reviewing and recording results of analysis typically involves:
results of validation analysis. • Reviewing results with stakeholders
• Deciding whether to:
o Proceed with deployment
o Re-plan and continue the pilot
o Rework implementation of the improvement
o Terminate the deployment
• Updating the disposition of improvement proposals
associated with the deployment
• Identifying and recording new improvement proposals
• Identifying and recording lessons learned and problems
encountered during the deployment including feedback to
the improvement team and changes to the improvement
• Evaluating validation results using statistical or
quantitative criteria defined in the improvement proposal

Example Work Products

Example Work Products Further Explanation
Validation plans
Validation reports May include:
• Validation results of suggested improvements
• Pilot results of suggested improvements
• Quantitative and statistical analysis of the effects of the
change
• Description of the validation approach
• Recommendations on the roll-out for a wider adoption,
including success criteria

Process Quality Assurance (PQA)

Required PA Information
Intent
Verify and enable improvement of the quality of the performed processes and resulting work products.
Value
Increases the consistent use and improvement of the processes to maximize business benefit and
customer satisfaction.

Additional Required PA Information

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Explanatory PA Information
Practice Summary
Level 1
PQA 1.1 Identify and address process and work product issues.
Level 2
PQA 2.1 Develop, keep updated, and follow a quality assurance approach and plan based
on historical quality data.
PQA 2.2 Throughout the project, objectively evaluate selected performed processes and
work products against the recorded process and applicable standards.
PQA 2.3 Communicate quality and non-compliance issues and ensure their resolution.
PQA 2.4 Record and use results of quality assurance activities.
Level 3
PQA 3.1 Identify and record opportunities for improvement during quality assurance
activities.

Additional PA Explanatory Information

Objectivity in process quality assurance evaluations is critical to the success of the project. Evaluators
should not evaluate their own work. Objective evaluations are typically performed by personnel
independent of the project using defined criteria and a set of methods. These evaluations are a check of
the performed processes and resulting work products against applicable process descriptions, standards,
and procedures.
A typical project applying quality assurance will:
• Demonstrate more consistent process implementation
• Have better insight into the project’s results and issues
• Have better visibility into the project performance
Quality assurance verifies and ensures compliance with implementation to address issues such as:

• Incorrect and incomplete requirements

• Insufficient release planning
• Unresolved defects
Often, the verification and validation processes evaluate the same work products as quality assurance.
Quality assurance focuses on determining that the verification and validation activities are done by
following their recorded processes. Verification focuses on satisfaction of requirements. Validation
ensures that the product works as intended in its target environment.
Promote an environment that encourages personnel to participate in identifying and reporting quality
issues.
Related Practice Areas
Refer to the Verification and Validation practice area for more information about verification and
validation.
Context Specific
Agile with Scrum Guidance
Context Tag: Agile with Scrum

Context: Practices used by projects to adopt agile with Scrum to enable and improve
quality in processes and work products.

An agile project using Scrum has many opportunities to objectively evaluate processes and work
products, such as when:
• Requirements are examined in the backlog review
• The Scrum Master facilitates the Scrum process
• Feedback on what was built is obtained in the sprint review
• The retrospective event allows the team to collect and organize lessons learned
Ensure that objective evaluations are integrated into the team’s techniques or rhythms (e.g., as part of
daily scrums, story point estimation, code reviews, use of tools, continuous integration, and
retrospectives).
An agile project using Scrum has many opportunities to objectively evaluate ceremonies and work
products, such as when:
• User stories are examined in the backlog grooming ceremony
• The Scrum Master coaches the team during scrum ceremonies
• Feedback on what was built is obtained in the sprint review
• The retrospective ceremony explores team behaviors and performers
• Management or peers observe Scrum ceremonies being performed using techniques such as a
gemba walk
Figure PQA-1 states where quality assurance activities would be performed in an agile project using
Scrum. Table PQA-1 shows example quality assurance results. Table-PQA 2 shows example retrospective
data that can be augmented by quality assurance activities.

Figure PQA-1: PQA in an Agile Framework

Table PQA-1: Example PQA Information

Table PQA-2: PQA Retrospective Information

Level 1

PQA 1.1
Required Practice Information
Practice Statement
Identify and address process and work product issues.
Value
Increases customer satisfaction through improved quality and performance.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Identify issues that impede the project. Address these issues by either changing what is done or planning
to make the changes the next time the process is performed. Identify work product defects and issues
such as missing or incorrect information, formats that make it difficult to use the work product, or
inconsistent use of terminology.

Example Activities
Example Activities Further Explanation
Identify issues.
Record issues.
Resolve issues.

Example Work Products

Example Work Products Further Explanation
Recorded issues
Addressed issues Can be immediately addressed or changed in the future.

Level 2

PQA 2.1
Required Practice Information
Practice Statement
Develop, keep updated, and follow a quality assurance approach and plan based on historical quality
data.

Value
Reduces cost and increases quality by focusing on recurring problem areas.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Organizations may not have enough quality assurance resources to review everything in a project.
Planning helps to optimize resource use and focus on the areas where the project is most likely to have
process or work product issues. Using historical data helps to identify areas where applying resources will
be most effective. Consider:
• Where issues have occurred in the past
• Quality trends
o May be positive or negative. Instances where there have been few issues may not need
quality resources applied to them, but areas where issues occur repeatedly may need
increased quality activities.
• Sources of best practices
• Common or recurring problems across projects
• Recent changes in processes
Plan activities and determine the type and resources needed for objective evaluations:
• Ensure qualified personnel who perform quality assurance activities participate in developing
plans, processes, standards, and procedures
• Identify and select processes and associated work products to be evaluated during the project
• Determine how and when quality assurance activities, findings, and results will be communicated
and resolved within the organization
Example Activities
Example Activities Further Explanation
Develop, record, and keep updated the
quality approach and plan.
Identify areas for evaluation.

Example Activities Further Explanation

Review, update, and approve the
approach with affected stakeholders.

Example Work Products

Example Work Products Further Explanation
Quality assurance approach and plan Identify areas where the project lead would like objective
feedback.
May include:
• Scope
• Focus for objective evaluations including:
o New processes
o Processes with historical problems
o Randomly selected processes
• Work products to be objectively evaluated
• Depth and coverage of the evaluation. For example:
o In-depth evaluation
o Observation
o Quick review
• Schedule
o Date for the evaluation
o Evaluation leader
o Evaluation participants
• Description of the quality assurance process, the reporting
chain, and how objectivity will be ensured.

Related Practice Areas

Refer to the Planning practice area for more information about planning.

PQA 2.2
Required Practice Information
Practice Statement
Throughout the project, objectively evaluate selected performed processes and work products against the
recorded process and applicable standards.

Value
Delivers high-quality solutions by identifying and addressing issues throughout the process execution.

Additional Required Information

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Explanatory Practice Information

Additional Explanatory Information
Identifying and addressing quality issues should be done throughout the project, and not just at the end.
Catching and addressing issues early reduces the amount of rework. This also provides timely visibility
into the quality of the processes and the resulting products. Objectivity is critical to the success of quality
assurance evaluations. Critical processes or work products may require independence from the work
performed as a way of achieving objectivity.
Objectivity can be achieved by using:
• Independent quality assurance organizations or groups
• Independent reviewers who:
o Are not involved in development or maintenance of the solution
o Work in a separate management reporting chain
• Criteria such as standards, guidelines, etc.
• Checklists based on process descriptions, standards, and procedures
Examples of objective evaluation methods include:
• Formal audits
• Peer reviews with objective reviewers, which can be performed at various levels of formality
• In-depth review of work at the place it is performed (e.g., desk audits)
• Distributed review and comment regarding work products
• Built-in or automated process checks to identify incorrectly performed processes (e.g., Poka-
yoke)
Example Activities
Example Activities Further Explanation
Develop and keep updated clearly
stated criteria for evaluations.
Develop and keep updated checklists
based on process descriptions,
standards, and procedures.
Use the defined criteria and checklists
to evaluate if selected performed
processes follow process descriptions,
standards, and procedures.
Identify and record each
noncompliance found during the
evaluation.
Identify and record best practices that Submit improvement proposals for the best practices.
can be leveraged in other parts of the
organization.

Example Work Products

Example Work Products Further Explanation
Criteria
Checklists
Evaluation reports
Noncompliance reports
Improvement proposals

PQA 2.3
Required Practice Information
Practice Statement
Communicate quality and non-compliance issues and ensure their resolution.

Value
Ensures quality processes, avoids the cost of rework, and improves customer satisfaction.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Noncompliance issues are problems identified when applicable standards, recorded processes, or
procedures are not followed. The status of noncompliance issues tracked over time provides an indication
of quality trends. Address and resolve noncompliance issues in the project. Actions to resolve non-
compliance issues should be taken at the level closest to the occurrence of the non-compliance whenever
possible. Escalate noncompliance issues that cannot be resolved up the management chain for resolution.

Example Activities
Example Activities Further Explanation
Communicate and resolve each Consider reporting a compliance percentage rather than the
noncompliance issue. number of noncompliance issues for a project. This puts a
positive spin on quality assurance, especially for projects just
starting process improvement efforts.
Ways to resolve noncompliance issues include:
• Fixing the noncompliance
• Changing the applicable recorded processes, standards, or
procedures
• Obtaining a waiver to cover the noncompliance issue and
accept the associated risk
Track noncompliance issues to resolution.

Example Activities Further Explanation

Escalate noncompliance issues when Escalation may continue through multiple layers of
they cannot be resolved. management levels until the issue is resolved.
Analyze noncompliance issues to These trends can then be used to focus future quality
identify quality trends. activities.
Ensure affected stakeholders are
aware of evaluation results and quality
trends.

Example Work Products

Example Work Products Further Explanation
Quality trend analysis reports
Noncompliance resolutions

PQA 2.4
Required Practice Information
Practice Statement
Record and use results of quality assurance activities.

Value
Using quality assurance results optimizes future quality assurance activities and reduces the cost of future
work.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
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Example Activities
Example Activities Further Explanation
Record and keep updated information Record information about quality assurance activities with
about quality assurance activities. enough detail to clarify status and results.
Noncompliance issues recorded as part of the peer review
report are tracked and escalated outside the project when
necessary.

Example Work Products

Example Work Products Further Explanation
Evaluation records

Example Work Products Further Explanation

Quality assurance reports
Status reports of non-compliance
issues and corrective actions
Reports of quality trends

Level 3

PQA 3.1
Required Practice Information
Practice Statement
Identify and record opportunities for improvement during quality assurance activities.
Value
Identifying more efficient and effective ways to perform work improves the organization’s capability to
meet its goals and objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Quality assurance includes:
• Evaluating the process as performed
• Identifying ways that the process can be improved
• Submitting improvement proposals
Quality assurance personnel should work closely with process management to ensure an efficient and
effective process is deployed, followed, and maintained. Through this relationship, the process is
continuously maintained and improved.
Example Activities
Example Activities Further Explanation
Record potential improvements Includes:
observed during quality assurance • Suggested process changes
activities. • Observations about effectiveness
• Related activities which may or may not be a part of the
current organizational process
Submit improvement proposals.

Example Work Products

Example Work Products Further Explanation
Improvement proposals

Product Integration (PI)

Required PA Information
Intent
Integrate and deliver the solution that addresses functionality and quality requirements.
Value
Increases customers’ satisfaction by giving them a solution that meets or exceeds their functionality and
quality requirements.

Additional Required PA Information

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Explanatory PA Information
Practice Summary
Level 1
PI 1.1 Assemble solutions and deliver to the customer.
Level 2
PI 2.1 Develop, keep updated, and follow an integration strategy.
PI 2.2 Develop, keep updated, and use the integration environment.
PI 2.3 Develop, keep updated, and follow procedures and criteria for integrating
solutions and components.
PI 2.4 Confirm, prior to integration, that each component has been properly identified
and operates according to its requirements and design.
PI 2.5 Evaluate integrated components to ensure conformance to the solution’s
requirements and design.
PI 2.6 Integrate solutions and components according to the integration strategy.
Level 3
PI 3.1 Review and keep updated interface or connection descriptions for coverage,
completeness, and consistency throughout the solution’s life.
PI 3.2 Confirm, prior to integration, that component interfaces or connections comply
with interface or connection descriptions.
PI 3.3 Evaluate integrated components for interface or connection compatibility.

Additional PA Explanatory Information

Product Integration practices include:
• Using recorded integration strategies and procedures
• Using a single build or an iterative build of solution components

• Verifying and validating each build

Note that in these practices, the terms “solution” and “solution component” include products, services,
service systems, and their components.
Preparing for integration is part of early planning and work activities. It involves developing and recording
the:
• Integration strategy
• Integration environment
• Integration procedures and criteria
When integrating products, it is critical to manage and ensure compatibility among the interfaces or
connections of product components. Component interfaces or connections can be both internal and
external.
Verify and validate each successive build according to the integration strategy, in the target environment,
and according to procedures and criteria.
Some products can be integrated using automated builds and continuous integration of the completed
product components. The last integration phase may occur when they are deployed at the intended
operational site.
Related Practice Areas
Refer to the Planning practice area for more information on planning integration, verification, and
validation activities.
Context Specific
Agile with Scrum Guidance
Context Tag: Agile with Scrum

Context: Practices used by projects to adopt agile with Scrum and to make product
integration more efficient and effective.

Agile teams using Scrum typically employ automation and DevOps processes for unit testing, regression
testing, system testing, and continuous builds, to reduce human effort as much as possible. These
techniques increase productivity and help to detect defects early in the product development lifecycle.
An agile team using Scrum following processes that meet the intent of Product Integration practices also
ensure that the necessary tools and environment are planned, and that component functionality and
interfaces or connections are checked for errors before integration

Level 1

PI 1.1
Required Practice Information
Practice Statement
Assemble solutions and deliver to the customer.
Value
Enables customer satisfaction by delivering a usable solution.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Requirements for assembly and delivery determine how the product will be delivered to the customer. For
example, requirements will be different if the product is delivered as a download, as a package shipped
to the customer, or delivered and installed at an operational site.

Example Activities
Example Activities Further Explanation
Assemble solution.
Record all necessary information to Necessary information may include:
install and use the solution. • Configuration
• Solution component types and serial numbers
• Physical and functional layout
• Installation and tracking information
• Contact information
Use applicable methods to package Documentation packaging and delivery methods may
and deliver the solution. include:
• Hardcopy documents
• CDs or DVDs
• Online help
• Cloud-based repository
• EBooks
• Mobile applications
• Website links for downloads
Deliver the solution and related
documentation; confirm receipt.

Example Work Products

Example Work Products Further Explanation
Assembled solutions and related
documentation

Level 2

PI 2.1
Required Practice Information
Practice Statement
Develop, keep updated, and follow an integration strategy.
Value
Ensures that the product will meet customer requirements given available resources.

Additional Required Information

The product integration strategy includes how the:
• Solutions and components will be integrated and evaluated, i.e., as a single build or a series of
builds
• Interfaces or connections will be managed
• Integration environment will be developed
• Evaluation results will be recorded

Explanatory Practice Information

Additional Explanatory Information
Record the product integration strategy. When developing the integration strategy, follow the technical
approach developed during planning, addressing the solutions chosen and designs developed during the
design effort.
Developing an integration strategy can involve identifying and evaluating several alternative integration
strategies or sequences.
Review the strategy with affected stakeholders to promote commitment and understanding.
Example Activities
Example Activities Further Explanation
Identify and record product
components to be integrated.
Identify how solutions and components This includes verifications and validations to be performed on
will be verified and validated during interfaces or connections.
integration.
Identify alternative integration Possible strategies include:
strategies. • Big bang
• Incremental
• Top-down
• Bottom-up
Select the best integration strategy. Align the integration strategy to availability of:
• Product components
• The integration environment
• Test tools and equipment
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permission by CMMI Institute. Usage by others is prohibited.
321

Example Activities Further Explanation

• Procedures and criteria
• Affected stakeholders
• People with the appropriate skills
Periodically review the product Ensure that changes in production and delivery schedules
integration strategy and revise it as have not adversely impacted the integration sequence.
needed.
Record and communicate decision
rationale and status.

Example Work Products

Example Work Products Further Explanation
Product integration strategy Typically includes how the:
• Solutions and components will be integrated and
evaluated
• Interfaces or connections will be managed
• Integration environment will be established
• Evaluation results will be recorded
The product integration strategy may also include:
• The sequence in which components will be available
• Whether components will be integrated and evaluated as
a single build or a series of builds
• The frequency of the builds (e.g., continuous using a tool,
nightly, or event-driven)
• Features to be included and evaluated in each build when
using a series of builds
• How models, prototypes, and simulations will be used to
assist in evaluating a component, including its interfaces
or connections
• How procedures and criteria will be defined
• How test tools and equipment will be made available
• How the solution hierarchy will be managed
• How evaluation exceptions will be handled
Recorded rationale for selecting or
rejecting alternative product
integration strategies
Selected integration strategy

Related Practice Areas

Refer to the Decision Analysis and Resolution practice area for more information about analyzing possible
decisions on alternate integration strategies using a formal evaluation process.

PI 2.2
Required Practice Information
Practice Statement
Develop, keep updated, and use the integration environment.
Value
Provides an effective risk mitigation technique to ensure that the solution and components are integrated
correctly.

Additional Required Information

Verify and validate the integration environment before use.

Explanatory Practice Information

Additional Explanatory Information
The integration environment can either be acquired or developed. When developing the integration
environment, consider reusing existing organizational resources and perform make, buy, or reuse
analyses. Environment requirements can include equipment, software, or other resources.
The environment required at each step of the integration process can include test equipment, simulators
(taking the place of unavailable product components), product components, and recording devices.
The product integration environment can be a major development for first-time or complex projects. For
small development efforts, the integration environment may be as simple as a directory structure.

Example Activities
Example Activities Further Explanation
Develop requirements for the
integration environment.
Develop verification and validation This is for validating the integration environment and not for
procedures and criteria for the integrating the product.
integration environment. Verify and validate the integration environment to ensure it
satisfies the requirements in accordance with the integration
strategy.
Decide whether to build, buy, or reuse This can be the whole environment or just parts of it.
the integration environment.
Develop or acquire an integration Examples of activities in developing or acquiring an
environment. integration environment include:
• Planning
• Requirements development
• Technical solutions
• Verification
• Validation
• Risk management
Verify and validate the integration
environment.

Example Activities Further Explanation

Use the integration environment. The integration environment may be used for testing and
other preparation work prior to solution and component
integration.
Revise the integration environment as Dispose of integration environment parts that are no longer
needed. useful.
Communicate with affected
stakeholders.

Example Work Products

Example Work Products Further Explanation
Verified and validated environment for
product integration
Make, buy, or reuse analyses
Support documentation for the
integration environment

Related Practice Areas

Refer to the Decision Analysis and Resolution practice area for more information about performing build,
buy, or reuse decisions.
Refer to the Verification and Validation practice area for more information about verifying and validating
the integration environment.
Refer to the Requirements Development and Management practice area for ensuring that changes to
requirements are reflected in the integration environment.

PI 2.3
Required Practice Information
Practice Statement
Develop, keep updated, and follow procedures and criteria for integrating solutions and components.

Value
Improves the likelihood of producing a solution that works correctly and meets the customer’s
requirements.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Procedures and criteria for product integration (manual or automated) may address:

• The number of incremental iterations to be performed

• How product components will be verified and validated
• Functionality and quality attributes
• Verification and validation of interfaces or connections
• Thresholds of performance deviation
• The environment to be used for the integration test
• Environmental parameters
• Availability of resources
• Derived requirements for the integration and its external interfaces or connections
• Allowable substitutions of components
• Quality or cost tradeoffs for integration operations
• Delivery rate and variation
• Lead time from order to delivery
Communicate schedule and integration status with affected stakeholders to reduce the risk of delays and
failures.
Example Activities
Example Activities Further Explanation
Develop, use, and keep updated
product integration procedures for the
product components.
Develop, use, and keep updated
criteria for product component
integration and evaluation.
Record, keep updated, and
communicate the product integration
procedures and criteria.

Example Work Products

Example Work Products Further Explanation
Product integration procedures
Product integration criteria

PI 2.4
Required Practice Information
Practice Statement
Confirm, prior to integration, that each component has been properly identified and operates according to
its requirements and design.

Value
Helps reduce total development cost, integration cycle time, and rework.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Ensure that each component meets its requirements and design and can be integrated according to the
product integration strategy and procedures. Components are checked for consistency with interface or
connection descriptions. Verification and validation can provide confirmation of integration readiness.

Example Activities
Example Activities Further Explanation
Track the integration readiness status
of the components.
Ensure components are delivered to
the product integration environment as
described in the product integration
strategy and procedures.
Confirm each component is correctly
identified and received.
Verify and validate that each received
component meets its requirements and
design.
Check the status of the current
configuration against the expected
configuration.
Check all the physical interfaces or For example, check by a visual inspection or using basic
connections before integrating product counts of interfaces or connections.
components.
Communicate results with affected
stakeholders.

Example Work Products

Example Work Products Further Explanation
Acceptance documents or test criteria
for each product component

Example Work Products Further Explanation

Exception reports Include handling instructions for what to do with exceptions
and nonconforming work products.

Related Practice Areas

Refer to the Verification and Validation practice area for more information about using verification and
validation to confirm integration readiness.

PI 2.5
Required Practice Information
Practice Statement
Evaluate integrated components to ensure conformance to the solution’s requirements and design.

Value
Helps to ensure customer requirements are correctly implemented.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
The product integration strategy and procedures define when and how to evaluate solutions and
components. For example, each incremental integration can be evaluated to ensure that the components
work together. Alternatively, the solution can be evaluated once after all the components are integrated.
In either case, the resulting solution should meet its specification which may be defined in requirements,
solution architecture, design, or test acceptance criteria.
Evaluate integrated components at different stages of integration as identified in the product integration
strategy and procedures. Examine, integrate, and test components for performance, suitability, and
readiness using the product integration procedures, criteria, and environment. Verification and validation
of the integration testing may be a part of the integration strategy and procedures. Waivers may be
used when defects or other results are accepted without resolution.

Example Activities
Example Activities Further Explanation
Evaluate integrated components,
interfaces or connections, and testing
using the integration strategy,
procedures, and criteria.
Record and communicate evaluation Example results include:
results. • Integration procedure or criteria changes
• Product configuration changes (spare parts, new release)
• Deviations from evaluation procedures or criteria

Example Activities Further Explanation

• Defects and exceptions

Example Work Products

Example Work Products Further Explanation
Integration evaluation reports
Interface or connection evaluation reports
Test reports
Exception reports

Related Practice Areas

Refer to the Verification and Validation practice area for more information about performing verification
and validation for integration.

PI 2.6
Required Practice Information
Practice Statement
Integrate solutions and components according to the integration strategy.
Value
Ensures that the customer receives a solution that meets requirements and design.
Additional Required Information
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Explanatory Practice Information
Additional Explanatory Information
Integration and evaluation activities can be performed iteratively. Evaluate integrated components before
proceeding to the next integration iteration.

Example Activities
Example Activities Further Explanation
Confirm readiness of the product
integration environment.
Integrate components according to the Record all appropriate component information.
product integration strategy,
procedures, and criteria.
Update the product integration
strategy, procedures, and criteria as
needed.

Example Activities Further Explanation

Integrate and deliver the product and Integration and delivery should address requirements for:
communicate results. • Safety
• Environment protection
• Security
• Transportability
• Disposal
Examples of requirements and standards for packaging and
delivering include:
• Type of storage and delivery media
• Required documentation
• Copyrights
• License provisions
• Preparation of the operational site for product installation
Install the product at the operational site and confirm correct
operation and communicate results.
Final product verification and validation may occur at the
operational site.

Example Work Products

Example Work Products Further Explanation
Integrated solution or components
Exception or test reports

Level 3

PI 3.1
Required Practice Information
Practice Statement
Review and keep updated interface or connection descriptions for coverage, completeness, and
consistency throughout the solution’s life.

Value
Reduces rework and missed project objectives caused by incompatible or inconsistent interfaces or
connections.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Start managing component interfaces or connections early in the development of the project.
Interfaces or connections include:
• Product component interfaces or connections
• Interfaces or connections with other solutions, systems, or components
• Interfaces or connections with specific environments which may include:
o Verification
o Validation
o Operations
o Support
Interface or connection definitions and designs can affect verification and validation environments in
addition to the components and external systems. Ensure that interface or connection changes are
recorded, maintained, and readily accessible.
Managing interfaces or connections includes maintaining their consistency throughout the life of the
solution, complying with architectural decisions and constraints, and resolving conflicts or changes.
Managing interfaces or connections between solutions acquired from suppliers and other products or
product components is critical for the success of the work.

Example Activities
Example Activities Further Explanation
Review with affected stakeholders and Interfaces or connections are usually classified in three main
keep updated interface or connection classes:
descriptions for coverage, • Environmental
completeness, and consistency • Physical
throughout the product’s life. • Functional

Example Activities Further Explanation

Typical categories for these classes may include:
• Mechanical
• Fluid
• Sound
• Electrical
• Climatic
• Electromagnetic
• Thermal
• Message
• Operators or users
Resolve interface or connection issues.
Update interface or connection
descriptions and make accessible to
affected stakeholders.

Example Work Products

Example Work Products Further Explanation
Interface or connection review results
List of action items for updating
interfaces or connections
Updated interface or connection
descriptions

Related Practice Areas

Refer to the Verification and Validation practice area for more information about performing verification
and validation of interfaces or connections.
Refer to the Requirements Development and Management practice area for managing changes to
requirements for interfaces or connections.

PI 3.2
Required Practice Information
Practice Statement
Confirm, prior to integration, that component interfaces or connections comply with interface or
connection descriptions.

Value
Reduces the amount of rework due to interface or connection incompatibility.
Additional Required Information
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Explanatory Practice Information

Additional Explanatory Information
Example Activities
Example Activities Further Explanation
Compare interface or connection This comparison may include:
descriptions with component interfaces • Performing a pre-check of all the physical interfaces or
or connections and identify non- connections before integrating components
compliances. • Performing a functional review of external component
interfaces or connections
• Confirming that verification and validation activities were
completed
Address interface or connection non-
compliances and communicate results.

Example Work Products

Example Work Products Further Explanation
Results of comparison of component
interfaces or connections to their
descriptions
List of component interface or
connection non-compliances
List of action items for updating
interface or connection descriptions or
component interfaces or connections
Updated interface or connection
descriptions or component interfaces
or connections

PI 3.3
Required Practice Information
Practice Statement
Evaluate integrated components for interface or connection compatibility.
Value
Reduces the risk of interface or connection failure within integrated components.
Additional Required Information
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Explanatory Practice Information

Additional Explanatory Information
Evaluate and test integrated components to ensure that the interfaces or connections within components
are functioning correctly.
As identified in the product integration strategy and procedures, evaluate integrated components and
their interfaces or connections, as appropriate, at different stages of integration.

Example Activities
Example Activities Further Explanation
Evaluate the integrated components Compatibility may include:
for compatibility. • Alignment with specifications
• Functionality
• Reliability
Record and communicate the Example results include:
evaluation results. • Integration procedure or criteria changes
• Product configuration changes (spare parts, new release)
• Interface or connection and interface or connection
description changes
• Deviations from evaluation procedures or criteria
• Interface or connection defects

Example Work Products

Example Work Products Further Explanation
Interface or connection issues reports

Requirements Development and Management (RDM)

Required PA Information
Intent
Elicit requirements, ensure common understanding by stakeholders, and align requirements, plans, and
work products.

Value
Ensures that customers’ needs and expectations are satisfied.

Additional Required PA Information

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Explanatory PA Information
Practice Summary
Level 1
RDM 1.1 Record requirements.
Level 2
RDM 2.1 Elicit stakeholder needs, expectations, constraints, and interfaces or connections.
RDM 2.2 Transform stakeholder needs, expectations, constraints, and interfaces or
connections into prioritized customer requirements.
RDM 2.3 Develop an understanding with the requirements providers on the meaning of
the requirements.
RDM 2.4 Obtain commitment from project participants that they can implement the
requirements.
RDM 2.5 Develop, record, and maintain bidirectional traceability among requirements and
activities or work products.
RDM 2.6 Ensure that plans and activities or work products remain consistent with
requirements.
Level 3
RDM 3.1 Develop and keep requirements updated for the solution and its components.
RDM 3.2 Develop operational concepts and scenarios.
RDM 3.3 Allocate the requirements to be implemented.
RDM 3.4 Identify, develop, and keep updated interface or connection requirements.
RDM 3.5 Ensure that requirements are necessary and sufficient.
RDM 3.6 Balance stakeholder needs and constraints.
RDM 3.7 Validate requirements to ensure the resulting solution will perform as intended in
the target environment.

Additional PA Explanatory Information

This practice area describes three types of requirements:
1. Customer or business requirements
2. Solution requirements
3. Interface or connection requirements
Taken together, these requirements address the needs of stakeholders, including needs pertinent to
various lifecycle phases and attributes (e.g., responsiveness, security, quality). Requirements can also
include constraints.
All projects have requirements. Requirements are the basis for developing the right solutions.
Requirements development activities include:
• Eliciting, analyzing, validating, and communicating customer needs, expectations, and constraints
• Prioritizing customer requirements to understand what will satisfy stakeholders given resource
constraints
• Developing the lifecycle requirements of the solution
• Developing operational concepts and scenarios
• Developing the customer functional and quality attribute requirements, including descriptions,
decompositions, and allocating requirements to functions
• Developing initial solution requirements consistent with customer requirements
Customer requirements are further refined into solution and interface or connection requirements. In
addition to customer requirements, solution and interface or connection requirements are derived from
the selected design solutions.
Identify and refine requirements throughout the project. Analyze design decisions, subsequent corrective
actions, and feedback for impact on requirements. Analyses can be used to understand, define, and
select the requirements.
In addition, the definition may specify design constraints. Some quality attributes will emerge as
architecturally significant and drive the development of the solution architecture. Quality attributes may
address:
• Solution availability
• Ability to sustain and maintain
• Timeliness, throughput, and responsiveness
• Consistency
• Security
• Scalability
Analyses are iterated until there is enough detail to develop the solution or a portion of the solution.
Analysis of requirements and the operational concepts and scenarios may result in identifying more
requirements, including:
• Constraints of various types
• Technological limitations

• Costs
• Time constraints
• Risks
• Functionality, support, and maintenance concerns
• Issues implied but not explicitly stated by the customer
• Business considerations, regulations, and laws
Develop a functional design through iteration with the evolving operational concept and scenarios.
Refine, derive, and allocate requirements to the functional solution and solution elements.
Involve stakeholders in requirements development and analysis to give them visibility into the evolution
of requirements. This continually assures them that the requirements are being properly defined.
Additionally, it may lead to the discovery of missing or unnecessary requirements.
During the design, allocate requirements to the final solution and solution elements.
Context Specific
Agile with Scrum Guidance
Context Tag: Agile with Scrum

Context: Practices used by projects to adopt agile with Scrum and to develop and manage
requirements more effectively.

Figure RDM-1 states where requirements activities are performed in an agile project using Scrum. Figure
RDM-2 shows a top-level summary of requirements information and in which sprint those requirements
are addressed.

Figure RDM-1: RDM in an Agile Framework

Figure RDM-2: Requirements Information

Requirements Development and Management practices can strengthen the typical agile project by adding
greater requirements understanding, clarity, and discovery of issues. Requirements Development and
Management practices add early consideration of other requirement types beyond the user stories
typically used by an agile project using Scrum. Practices in this PA also add performing analyses to find
errors and risks while conducting the requirements definition activities. For example, agile expects user
needs to be elicited as a backlog of user stories, but a backlog does not typically include constraints,
interfaces or connections, and quality attributes. RDM practices provide a means for capturing and
addressing these attributes during the sprints. Requirements Development and Management practices
provide a robust infrastructure to support requirements development for complex solutions.
These practices can be added iteratively to improve any agile project using Scrum during backlog
creation, grooming, and sprint execution.
Table RDM-1 shows where Requirements Development and Management practices can augment a typical
agile project using Scrum.

Table RDM-1
Agile projects using Scrum Requirements Development and Management
Release planning Earlier and more complete understanding of the solution and
risks.
Backlog grooming/review Broader and deeper analysis of user stories or epics to
discover potential issues or constraints. Additionally, these
analyses will identify risks.
Sprint planning Presentation of stories by the product owner, review
acceptance by the team, and estimate of the user stories to
be delivered during the upcoming sprint.
Sprint execution More of the project is spent developing a working solution
vs. refactoring.
Sprint review/demo Enables a more thorough understanding of what has been
accomplished during the sprint.
Sprint retrospective Collaborative sessions where the agile team’s culture,
process, and performance is reviewed

Agile projects using Scrum typically will implement traceability from business need through epics, user
stories, tasks, tests, and the definition of done. Designs and code are often traced directly to user stories.
Traceability enables more efficient and accurate consistency checks between requirements (user stories
or epics) and work products. Traceability also improves the ability to understand and address what is
impacted by a requirement (user story or epic) change.

Development
Context Tag: CMMI-DEV

Context: Practices are used to develop quality solutions to meet the needs of customers
and end users.

For product lines, engineering processes (including requirements development) may be applied at
multiple levels. At the product line level, perform a “commonality and variation analysis” to help elicit,
analyze, and develop core assets for use by projects within the product line. At the project level, use
these core assets per the product line plan as part of the project’s engineering activities.

Level 1

RDM 1.1
Required Practice Information
Practice Statement
Record requirements.
Value
Recorded requirements are the basis for successfully addressing customer needs and expectations.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Typically, customers cannot describe all aspects of what they want and need. Recorded requirements
provide a basis for mutual discussion, understanding, and agreement between the customer and the
project. Requirements include what the delivered solution will do.

Example Activities
Example Activities Further Explanation
Record the requirements.

Example Work Products

Example Work Products Further Explanation
Recorded requirements Examples include:

Example Work Products Further Explanation

• List of requirements
• Statement of work
• Use cases

Level 2

RDM 2.1
Required Practice Information
Practice Statement
Elicit stakeholder needs, expectations, constraints, and interfaces or connections.
Value
Active elicitation of requirements ensures a deeper mutual understanding of the requirements and
increases the likelihood that the customer will be satisfied.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Ensure stakeholder needs, expectations, constraints, limitations, and interfaces or connections are clearly
identified, understood, and do not conflict. Determine additional requirements to address lifecycle
activities and their effect on the solutions. Use an iterative process throughout the life of the project to
continuously refine the requirements. Consider environmental, legal, and other constraints when
developing customer requirements. Requirements record externally observable behavior. Recorded
internal behavior is a design constraint. Requirements represent what the customer needs and expects,
not how the requirements will be addressed.

Example Activities
Example Activities Further Explanation
Elicit stakeholder needs, expectations, Identify additional requirements not explicitly provided by
constraints, and interfaces or stakeholders.
connections. Techniques to elicit needs include:
• Technology demonstrations
• Interim project reviews
• Questionnaires
• Interviews
• Scenarios (operational, sustainment, and development)
• Walkthroughs
• Quality attribute elicitation workshops with stakeholders
• Prototypes and models
• Brainstorming
• Quality function deployment
• Market surveys
• Beta testing
• Extraction from sources such as documents, standards, or
specifications
• Observation of existing solutions, environments, and
workflow patterns
• Use cases
• Business case analysis

Example Activities Further Explanation

• Reverse engineering (for legacy solutions)
• Customer satisfaction surveys
• Viewpoint analysis

Example Work Products

Example Work Products Further Explanation
List of stakeholder needs,
expectations, constraints
List of interfaces or connections Interfaces or connections may include:
• Links
• System
• Human
• Relationships
• Interactions
• Interdependencies

RDM 2.2
Required Practice Information
Practice Statement
Transform stakeholder needs, expectations, constraints, and interfaces or connections into prioritized
customer requirements.

Value
Ensure customer priorities are addressed to minimize the cost of rework during acceptance and maximize
customer satisfaction.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Consolidate and prioritize various inputs from customers and stakeholders, obtain missing information,
and resolve conflicts as customer requirements are developed, prioritized, and recorded.
The customers’ functional and quality attribute requirements can be expressed in the customer’s terms
and can contain nontechnical descriptions. Solution and contractual requirements are the expression of
these requirements in more explicit technical terms that can be used for design decisions.
Sources for requirements include:
• Customer provided input
• Stakeholder provided input
• Previous efforts
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341

• Existing solution systems

• Domain literature
• Laws and regulations
• Standards
• Business policies
• Previous architectural design decisions and principles
• Business environmental requirements (e.g., laboratories, testing and other facilities, information
technology infrastructure)
• Technology
These stakeholder needs, expectations, constraint, and interface or connection requirements may
include:
• Technical requirements, such as:
o External interface or connection
o Internal interface or connection (developed during design)
o Functional
o Quality
o Operational
o Performance
o Verification
o Validation
o Acceptance criteria
o Safety
o Security
• Nontechnical requirements, including:
o Price and cost
o Delivery constraints
o Resource constraints
o Training
o Customer interactions (e.g., status reporting, meetings)
Ensure technical and non-technical requirements address the satisfaction of customer, business, and
project objectives and associated attributes, such as effectiveness and affordability.
Analyze stakeholder requirements to lay the foundation for the operational concept. To avoid scope
creep, develop criteria to designate appropriate channels or official sources from which to receive
requirements changes.
This results in more detailed and precise sets of requirements called “derived requirements”. These
requirements address all aspects of the deliverables including:
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permission by CMMI Institute. Usage by others is prohibited.
342

• Work products
• Services
• Processes
• Consumables
• Customer-provided resources and other resources
• Functionality and quality attribute needs of affected stakeholders
Derived requirements arise from:
• Constraints
• Consideration of issues implied but not explicitly stated in the stakeholder requirements
• Factors introduced by the selected:
o Unique business considerations
o Strategic priorities
o Industry market and technology trends
o Architecture
o Design
Example Activities
Example Activities Further Explanation
Translate stakeholder needs, Factors to consider when expressing customer requirements
expectations, constraints, and include:
interfaces or connections into recorded • Key characteristics of the desired capability
customer requirements. • Obstacles to overcome to achieve the capability
• Competitive gap between the existing and the desired
capability
• Supportability of the desired capability
Requirements should not specify or constrain design
decisions without careful consideration.
Develop, record, and keep updated a Prioritized customer requirements help to determine project,
prioritization of customer iteration, or increment scope. This prioritization ensures that
requirements. functional and quality attribute requirements critical to the
customer and other stakeholders are given the highest
visibility and attention.

Example Work Products

Work Products Further Explanation
Prioritized customer requirements
Customer constraints May include constraints related to:
• Design
• Verification
• Validation

RDM 2.3
Required Practice Information
Practice Statement
Develop an understanding with the requirements providers on the meaning of the requirements.

Value
Helps to ensure the correct solution is delivered which increases customer satisfaction.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Ensure people who implement and test solutions against the requirements analyze them with the
provider to reach a shared understanding of the meaning of the requirements. The result of these
analyses and interactions is a set of approved requirements. It is important to identify and eliminate as
much ambiguity as possible from the set of requirements.

Example Activities
Example Activities Further Explanation
Develop criteria for identifying
appropriate requirements providers.
Develop criteria for the evaluation and Evaluation and acceptance criteria can prevent:
acceptance of requirements. • Inadequate verification
• Costly rework
• Customer rejection
For example, evaluation and acceptance criteria may include:
• Unambiguous
• Clearly and properly stated
• Complete
• Consistent with one another
• Uniquely identified
• Consistent with the architectural approach and quality
attribute priorities
• Appropriate to implement
• Testable
• Traceable to source
• Achievable
• Tied to business value
• Identified as a priority by the customer
Analyze requirements to ensure that
established criteria are met.
Reach an understanding of and obtain
commitments to requirements with the
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344

Example Activities Further Explanation

requirements providers and the project
participants.
Record needed changes to
requirements.

Example Work Products

Example Work Products Further Explanation
Lists of appropriate requirements
providers
Criteria for evaluation and acceptance
of requirements
Results of analyses against criteria
Recorded changes to requirements
Set of approved requirements Reflects the shared understanding between the project and
the customers.

RDM 2.4
Required Practice Information
Practice Statement
Obtain commitment from project participants that they can implement the requirements.

Value
Ensures commitments are well understood to minimize delays and rework.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
As requirements are developed or evolved, ensure project participants commit to the approved
requirements and the resulting changes in project plans, activities, and work products. Their commitment
increases the likelihood of success in meeting project objectives.

Example Activities
Example Activities Further Explanation
Assess the impact of requirements on
existing commitments.
Negotiate and record commitments. Negotiate commitments before work starts

Example Work Products

Example Work Products Further Explanation
Impact assessment Estimate the cost, and the impact to quality, risk, and
schedule.
Recorded commitments that Recorded commitments may be in the form of:
requirements can be met • Meeting minutes
• Sign-off documents
• Email acknowledgements
• May address resources and schedule.

RDM 2.5
Required Practice Information
Practice Statement
Develop, record, and maintain bidirectional traceability among requirements and activities or work
products.

Value
Ensures consistency between requirements and the solution which increases the likelihood of customer
satisfaction.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Traceability from source requirements to the solution ensures that:
• Requirements have been completely addressed in customer deliverables
• Lower level requirements can be traced to a valid source
• Requirements are implemented
• Selected requirements are verified and validated
• Relationships to other entities such as intermediate and final work products may:
o Include dependencies in which a change in one requirement can impact other
requirements
o Aid in design and in evaluating the impact of changes
o Affect evaluating the impact of requirements changes
o Support anticipated scope changes
• Design and other documentation reflect requirements

• Test plans and test cases address the requirements

Traceability is particularly helpful when assessing the impact of requirements changes on work activities
and projects. Bidirectional traceability is not always automated. It can be done manually using
spreadsheets, databases, and other common tools. Bidirectional traceability needs to be implemented in
concert with lifecycle activities. If it is left to the end of the project, it will be a costly and error prone
effort.

Example Activities
Example Activities Further Explanation
Develop, record, and keep updated Trace requirements from their source through intervening
bidirectional requirements traceability. work products to the customer deliverable

Example Work Products

Example Work Products Further Explanation
Records of bidirectional requirements
traceability

RDM 2.6
Required Practice Information
Practice Statement
Ensure that plans and activities or work products remain consistent with requirements.

Value
Minimizes rework by eliminating inconsistencies between requirements and related artifacts.
Additional Required Information
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Explanatory Practice Information
Additional Explanatory Information
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Example Activities
Example Activities Further Explanation
Review plans, activities, and projects Maintaining bidirectional traceability is critical to maintaining
for consistency with requirements and consistency between requirements, work products, and
changes made to them. plans.
Record inconsistencies and their Identify any changes that should be made to plans and
sources. projects resulting from changes to the requirements.
Initiate and record any necessary
corrective actions and communicate
results to affected stakeholders.

Example Work Products

Example Work Products Further Explanation
Records of inconsistencies between
requirements, plans, and work
products
Corrective actions

Level 3

RDM 3.1
Required Practice Information
Practice Statement
Develop and keep requirements updated for the solution and its components.
Value
Ensures the built solutions meet the customers’ needs and expectations in a consistent way across the
organization.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
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Example Activities
Example Activities Further Explanation
Develop, record, and keep updated
requirements in technical terms
necessary for solution and solution
component design.
Derive, record, and keep updated
requirements that result from solution
selections and design decisions.
Record and keep updated bidirectional
traceability.
Record and keep updated prioritization
of requirements.
Record and keep updated nontechnical
requirements.
Identify, record, and keep updated
requirements for external and internal
interfaces or connections.

Example Work Products

Example Work Products Further Explanation
Requirements May include:
• Solution requirements
• Architectural requirements – specify or constrain the
relationships among components
• Solution component requirements

Example Work Products Further Explanation

• Derived requirements – with bidirectional traceability to
source requirements
• Requirement allocations – for bidirectional traceability
• Internal and external interface or connection requirements

Context Specific
Development
Context Tag: CMMI-DEV

Context: Practices are used to develop quality solutions to meet the needs of customers
and end users.

Selection of a technology brings with it additional requirements. For instance, use of electronics requires
additional technology-specific requirements such as electromagnetic interference limits.

RDM 3.2
Required Practice Information
Practice Statement
Develop operational concepts and scenarios.
Value
Enables customers to understand, confirm, and commit to how their requirements will be met.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
A scenario describes a sequence of events that:
• Includes user and product interactions
• May occur in the development, use, or sustainment of the product
An operational concept provides:
• A view of the system or product from the user perspective
• A context for developing or evaluating a set of scenarios
Operational concepts and scenarios together demonstrate what the requirements are trying to
accomplish. For example, the operational concept for a satellite-based communications product is quite
different from one based on landlines. The scenario would cover the steps in the communication
process.

Example Activities
Example Activities Further Explanation
Develop, record, and keep updated Identify and develop scenarios, consistent with the level of
operational concepts and scenarios. detail in the stakeholder needs, expectations, and
constraints.
Ensure scenarios address quality attribute, functions, or
other factors.
Iteratively refine operational concept and scenarios to
include more detail as decisions are made and as lower level
requirements are developed; for example, describe
interactions among the:
• Solution
• End users
• Environment
• Boundaries and constraints
Review operational concepts and
scenarios with affected stakeholders to
refine and discover requirements.

Example Work Products

Example Work Products Further Explanation
Operational concepts and scenarios

RDM 3.3
Required Practice Information
Practice Statement
Allocate the requirements to be implemented.
Value
Increases customer satisfaction by delivering a complete solution that meets requirements.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
The architecture provides the basis for allocating requirements to components. A higher-level
requirement can be allocated to more than one component.

Example Activities
Example Activities Further Explanation
Allocate, record, and keep updated Requirements are typically allocated to:
requirements. • Logical design – As the operational concept evolves,
allocate requirements to logical entities (e.g., functions,
processes) that help relate the requirements to the
operational concept. These logical entities serve to
organize the requirements and assist in the synthesis of
the technical solution.
• Physical design – As the technical solution is selected or
developed, allocate requirements to solution components.
• Components
• Interfaces or connections
• Delivery increments
Record and keep updated relationships Relationships include dependencies in which a change in one
among allocated requirements. requirement can affect other requirements.
Review requirements allocations and
relationships with affected
stakeholders.

Example Work Products

Example Work Products Further Explanation
Requirement allocations

RDM 3.4
Required Practice Information
Practice Statement
Identify, develop, and keep updated interface or connection requirements.

Value
Reduces rework and risk due to incompatible internal and external interfaces or connections.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Identify interfaces or connections between functions, objects, or other logical entities. Interfaces or
connections can be internal or external to a solution. Define interface or connection requirements
between solutions or solution components identified in the architecture. Interfaces or connections are
controlled as part of solution integration. Ensure interface or connection requirements are reviewed by
affected stakeholders. This is typically done within the context of a control group of stakeholders.

Example Activities
Example Activities Further Explanation
Identify, record, and keep updated As the design progresses, the architecture will be altered by
internal and external interface or technical solution processes, developing new interfaces or
connection requirements. connections between internal components and components
external to the solution.
Management of the interfaces or connections may include:
• Maintaining consistency of the interface or connection
• Complying with architectural decisions and constraints
• Resolving conflict, non-compliances, and change issues
Review interface or connection Review the interface or connection descriptions with affected
requirements for coverage and stakeholders to:
completeness with affected • Avoid misinterpretations
stakeholders, and record results. • Reduce delays
• Prevent the development of interfaces or connections that
do not work properly

Example Work Products

Example Work Products Further Explanation
Interface or connection requirements May include:
• Categories with lists of interfaces or connections
• Requirements defined for each set of solution components
Interface or connection requirements
review results
Action items for updating interface or
connection requirements
Updated interface or connection
requirements

Related Practice Areas

Refer to the Product Integration practice area for more information about integrating interfaces or
connections.
Refer to the Technical Solution practice area for more information about designing interfaces or
connections using criteria.
Context Specific
Development
Context Tag: CMMI-DEV

Context: Practices are used to develop quality solutions to meet the needs of customers
and end users.

Define requirements for interfaces in terms such as:

• Software
o Origination
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353

o Destination
o Stimulus
o Data characteristics
o Communication interfaces (e.g., protocols such as HTTP, FTP)
o User interfaces (e.g., screen layout, font, buttons)
• Hardware
o Electrical
o Mechanical
o Hydraulic
o Physical connections
o Power characteristics
o Radiation
o Thermal
o Safety
o Security

RDM 3.5
Required Practice Information
Practice Statement
Ensure that requirements are necessary and sufficient.
Value
Avoids rework by only delivering necessary solutions.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
A necessary requirement is one that must be met for the solution to function as intended. Sufficiency
typically deals with the set of requirements being complete enough for the solution to function as
intended.
Requirements analysis helps determine if requirements:
• Are all necessary
• Are missing
• Are consistent with each other
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354

• Can be implemented as defined

• Can be verified and validated
• Conflicts are removed
Example Activities
Example Activities Further Explanation
Perform a requirements analysis to Analyze requirements to ensure they are:
determine if requirements are • Relevant
necessary and sufficient. • Complete
• Feasible
• Maintainable
• Not in conflict
Analyze operational concepts and scenarios to refine
customer needs, constraints, and interfaces or connections,
and to discover new requirements. This analysis can result in
more detailed operational concepts and scenarios and
supports deriving new requirements.
Review analysis results with
stakeholders.
Update requirements based on review
results.

Example Work Products

Example Work Products Further Explanation
Requirements analysis results May include reviews of:
• Requirements defects
• Activity diagrams and use cases
• Logical or functional designs with allocated requirements
• Proposed requirements changes
Updated requirements

RDM 3.6
Required Practice Information
Practice Statement
Balance stakeholder needs and constraints.

Value
Increases stakeholder satisfaction while addressing conflicting requirements and constraints.
Additional Required Information
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Explanatory Practice Information

Additional Explanatory Information
The intent of this practice is to ensure an understanding and agreement between the project and the
customer about what is delivered given resource constraints. This typically involves negotiating benefits
and tradeoffs with customers and other stakeholders. When costs and issues outweigh the benefits,
consult affected stakeholders to determine what changes may be needed.
Stakeholder needs and constraints can address:
• Cost
• Schedule
• Performance
• Functionality
• Quality
• Priorities
• Resources
• Reusable components
• Maintainability
• Risk
Analyze requirements to determine whether they reflect an appropriate balance among cost, schedule,
performance, quality, customer needs, and other factors of interest to affected stakeholders. Models and
simulations can be used to estimate the impact that requirements will have on these factors. Involve
stakeholders in the analysis of impacts and issues from different phases of the solution’s lifecycle. If the
issues are considered unacceptable, revise or reprioritize the requirements to improve the balance of
cost, schedule, performance, and quality.

Example Activities
Example Activities Further Explanation
Analyze requirements to ensure that Analysis includes use of:
they balance stakeholder needs and • Models
constraints. • Simulations
• Prototypes
• A risk assessment on the requirements and definition of
required functionality, performance, and quality attributes
• Assessment of the requirements on cost, schedule,
functionality, and quality
Review, analyze and negotiate
requirements tradeoffs with customers
and stakeholders.
Record and keep updated proposed
requirements changes and
communicate with affected
stakeholders.

Example Work Products

Example Work Products Further Explanation
Analysis results Includes:
• Identification of where costs, schedule, performance,
quality, and other factors exceed constraints
• Assessment of risks related to requirements
Proposed requirements changes

Related Practice Areas

Refer to the Risk and Opportunity Management practice area for more information about identifying and
analyzing risks.

RDM 3.7
Required Practice Information
Practice Statement
Validate requirements to ensure the resulting solution will perform as intended in the target environment.

Value
Avoids rework cost and increases satisfaction by delivering a solution that meets customer expectations
and needs.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Perform requirements validation with affected stakeholders throughout the solution lifecycle to confirm
that the requirements are necessary and sufficient in the target environment.

Example Activities
Example Activities Further Explanation
Identify and select validation To broaden and deepen understanding of requirements, use
techniques. multiple validation techniques such as:
• Functional analysis
• Simulation
• Prototypes
• Demonstrations
• Tests
• Reviews or walk-throughs
Validate the requirements using
selected techniques and record results.

Example Activities Further Explanation

Review and communicate validation
results with stakeholders.
Update requirements.

Example Work Products

Example Work Products Further Explanation
Selected validation techniques
Record of validation results
Updated requirements

Related Practice Areas

Refer to the Verification and Validation practice area for more information about preparing for validation
and validating solutions or solution components.

Risk and Opportunity Management (RSK)

Required PA Information
Intent
Identify, record, analyze, and manage potential risks or opportunities.
Value
Mitigate adverse impacts or capitalize on positive impacts to increase the likelihood of meeting objectives.
Additional Required PA Information
In this practice area, the term “risk” is used for uncertainties that may have a negative impact on
achieving objectives. The term “opportunity” is used for uncertainties that may have a positive impact on
achieving objectives.

Explanatory PA Information
Practice Summary
Level 1
RSK 1.1 Identify and record risks or opportunities and keep them updated.
Level 2
RSK 2.1 Analyze identified risks or opportunities.
RSK 2.2 Monitor identified risks or opportunities and communicate status to affected
stakeholders.
Level 3
RSK 3.1 Identify and use risk or opportunity categories.
RSK 3.2 Define and use parameters for risk or opportunity analysis and handling.
RSK 3.3 Develop and keep updated a risk or opportunity management strategy.
RSK 3.4 Develop and keep updated risk or opportunity management plans.
RSK 3.5 Manage risks or opportunities by implementing planned risk or opportunity
management activities.
Additional PA Explanatory Information
Risk and opportunity management is a continuous, forward-looking process and includes:
• Identifying and mitigating potential negative impacts that may make it difficult to meet objectives
• Identifying and leveraging potential positive impacts for improving performance or progress
towards achieving objectives
• All levels of an organization
Identify risks or opportunities early by working with affected stakeholders. Before dedicating resources to
address risks or opportunities, determine which are worth pursuing. During risk and opportunity
management, consider:
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permission by CMMI Institute. Usage by others is prohibited.
359

• Internal, external, technical, and non-technical sources

• Early implementation of handling activities that may be less disruptive and costly
• Uncertainties that could most affect the ability to perform
• Industry standards and best practices that can help to identify and manage uncertainty
Risk and opportunity management involves:
• Defining a strategy
• Identifying and analyzing risks or opportunities
• Handling identified risks or opportunities includes:
o Developing mitigation and contingency plans for risks
o Developing plans to leverage opportunities
• Implementing risk or opportunity handling plans
Risk and opportunity management practices help organizations evolve from reactively identifying
uncertainties to systematically planning, anticipating, and handling them.
Context Specific
Agile with Scrum Guidance
Context Tag: Agile with Scrum

Context: Practices used by projects to adopt agile with Scrum and to manage risks and
opportunities more consistently.

Figure RSK-1 states where risk and opportunity management activities can be performed in an agile
project using Scrum. Table RSK-1 shows a simple example of a risk and opportunity log. Figure RSK-2
shows a risk burndown chart showing total risks decreasing and opportunities increasing over time.

Figure RSK-1: RSK in an Agile Framework

Table RSK-1: Example Risk and Opportunity Log

Figure RSK-2: Example Risk Burndown Chart

As an empirical framework, agile with Scrum, specific practices and processes for risk management is not
specifically defined. Risk and opportunity management is performed pervasively through the use of visual
information indicators, daily standups, short sprints (iterations) with frequent feedback, and close
collaboration within teams and customers. Some agile teams reduce technical risk through the use of
“spikes,” or rapid prototypes performed early in the project. Risk and opportunity management can be
easily added to the planning, execution, and retrospective activities of each sprint, or selected sprints.
During each activity, spend a few minutes updating the risk and opportunity information like that shown
in Table RSK-1 and Figure RSK-2.
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361

Related Practice Areas

Refer to the Planning practice area for more information about developing plans.
Refer to the Monitor and Control practice area for more information about monitoring risks and plans.

Level 1

RSK 1.1
Required Practice Information
Practice Statement
Identify and record risks or opportunities and keep them updated.
Value
Enables organizations to avoid or minimize the impact of risks and leverage potential opportunities
related to achieving objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Identify and describe risks or opportunities clearly.

Example Activities
Example Activities Further Explanation
Identify the risks associated with the Identify and clearly describe risks that could negatively affect
work. work and plans. Risk identification should consider:
• Cost
• Schedule
• Work tasks
• Performance
• Achievement of business objectives
• Environmental concerns (e.g., weather or natural
disasters, political changes, or telecommunications
failures)
• Requirements
• Technology
• Staffing
• Funding
• Suppliers
• Regulatory constraints
Perform risk identification and management during planning
and review activities.
Record the risks. State the risk and the impact of its occurrence.
Identify opportunities. Identify and clearly describe opportunities that could
positively affect work and plans. For example:
• Cost
• Schedule
• Work tasks
• Performance
• Achievement of business objectives
• Requirements
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permission by CMMI Institute. Usage by others is prohibited.
363

Example Activities Further Explanation

• Technology
• Staffing
• Funding
• Suppliers
Perform opportunity identification and management during
review and planning activities.
Record opportunities. State the opportunity and its potential benefits.
Identify the affected stakeholders
associated with each risk or
opportunity.

Example Work Products

Example Work Products Further Explanation
List of identified risks and opportunities Include context, conditions, and consequences of risks or
benefits of opportunities.

Level 2

RSK 2.1
Required Practice Information
Practice Statement
Analyze identified risks or opportunities.
Value
Increases the likelihood of achieving objectives by reducing the impact of risks or leveraging
opportunities.

Additional Required Information

Analysis of the risks includes potential impact, likelihood of occurrence, and the timeframe in which they
are likely to occur.
Analysis of opportunities includes potential benefits, potential costs, and the timeframe for action.

Explanatory Practice Information

Additional Explanatory Information
The analysis of risks or opportunities should consider:
• Assigning mitigation or contingency to the highest priority or the most critical risks
• Leveraging opportunities by assigning the highest priority to those with the greatest benefit

Example Activities
Example Activities Further Explanation
Analyze the identified risks. Analyze risks to understand their effect on achieving the
work’s objectives.
Examples of risk identification and analysis techniques
include:
• Assessments
• Checklists
• Structured interviews
• Brainstorming
• Failure Mode and Effects Analysis (FMEA)
• Failure Mode, Effects and Criticality Analysis (FMECA)
• Strength, Weakness, Opportunity, and Threat (SWOT)
analysis
• Poka-yoke analysis
Review the work breakdown structure,
plan, and schedule for risks.
Identify the impact of each risk.
Identify the probability of occurrence
for each risk.

Example Activities Further Explanation

Assign priorities to each risk based on
the impact and probability of
occurrence.
Analyze the identified opportunities. Examples of opportunity identification and analysis
techniques include:
• Assessments
• Checklists
Review the work breakdown structure,
plan, and schedule for opportunities.
Identify the benefits and costs of each
opportunity.
Assign priorities to each opportunity
based on the benefit and cost.
Rank opportunity according to
priorities.
Review assigned opportunity priorities
with affected stakeholders and get
agreement.
Develop the risk and opportunity Include a list of prioritized risks and opportunities.
analysis report.

Example Work Products

Example Work Products Further Explanation
Identified risks or opportunities These include:
• Risk impact and probability of occurrence
• Opportunity benefit and cost
Risk or opportunity priorities
Risk and opportunity analysis reports

RSK 2.2
Required Practice Information
Practice Statement
Monitor identified risks or opportunities and communicate status to affected stakeholders.

Value
Enables timely corrective or leveraging actions to maximize the likelihood of achieving objectives.

Additional Required Information

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Explanatory Practice Information

Additional Explanatory Information
Review risks or opportunities periodically, including changing conditions. Reexamination may uncover
risks or opportunities that were previously overlooked or that did not exist when the identification and
priorities were last updated.

Example Activities
Example Activities Further Explanation
Periodically review risks or Review risks or opportunities in the context of status,
opportunities. circumstance, and past or planned activities.
Update risks or opportunities as Risks or opportunities may be revised when:
additional information becomes • New risks or opportunities are identified
available. • Corrective or leveraging actions are taken
• Risks are retired
• Opportunities are accepted
• Circumstances change significantly
Communicate the risk or opportunity Examples of risk or opportunity status include a change in
status to affected stakeholders. the:
• Probability of occurrence
• Costs or benefits
• Priority
• Impact on objectives

Example Work Products

Example Work Products Further Explanation
Records of risk or opportunity
monitoring
Updated risks or opportunities

Level 3

RSK 3.1
Required Practice Information
Practice Statement
Identify and use risk or opportunity categories.
Value
Organizes risks or opportunities to focus attention on uncertainties that will impact the achievement of
objectives.

Additional Required Information

Include the name and a brief description for each category.

Explanatory Practice Information

Additional Explanatory Information
The use of categories helps provide structure and efficiency for risk or opportunity identification and
analysis.
Identify categories over time to uncover changing circumstances that affect the ability to meet objectives.
As the work progresses, identify additional categories of risks or opportunities.
Categorization organizes related risks or opportunities to support the efficient and effective use of
resources.
Example Activities
Example Activities Further Explanation
Identify risk or opportunity categories. Consider internal and external categories, such as:
• Work activities
• Types of processes used
• Types of resources used
• Types of solutions produced
• Regulations and laws
• Work management uncertainties (e.g., related to
contracts, budget, schedule, quality, resources)
• Technical performance uncertainties (e.g., related to
quality characteristics, reliability)
Organize risks or opportunities Related or equivalent risks or opportunities can be organized
according to defined categories. for efficient handling.

Example Work Products

Example Work Products Further Explanation
Categories list
Categorized risks or opportunities

RSK 3.2
Required Practice Information
Practice Statement
Define and use parameters for risk or opportunity analysis and handling.
Value
Identifying high priority risks or opportunities maximizes the likelihood of cost-effectively achieving
objectives.

Additional Required Information

Parameters include:
• Probability of occurrence
• Impact
• Expected outcomes

Explanatory Practice Information

Additional Explanatory Information
Use defined parameters to:
• Determine the severity of the risk
• Estimate the benefit of the opportunity
• Prioritize the actions required for planning
• Select the opportunities to pursue
Parameters for evaluating, categorizing, and prioritizing include:
• Probability (e.g., likelihood of occurrence)
• Impact (e.g., consequence and severity of occurrence)
• Thresholds to trigger actions
• Expected benefit from opportunity
• Expected cost of opportunity
Parameters are often used in combination when prioritizing risks or opportunities. For example:
• Set priorities by multiplying probability times impact
• Calculate an opportunity value by subtracting the expected cost from the expected return.
Example Activities
Example Activities Further Explanation
Identify a relative priority for each risk
or opportunity based on assigned
parameters.
Define thresholds to trigger actions for Identify which thresholds require a:
selected risks or opportunities. • Mitigation activity

Example Activities Further Explanation

• Contingency plan
• Opportunity action plan
Prepare and perform assessments for Risk assessments focus the components of the risk strategy
selected risks. on analyzing a specific situation and risk. Examples of risk
assessments include:
• Exploitation
• Malicious uses
• Safety
• Regulations and laws
• Cyber security
Prepare and perform opportunity Examples of opportunity assessments include:
assessments. • Cost benefit analyses
• Future needs analyses

Example Work Products

Example Work Products Further Explanation
Risk or opportunity evaluation,
categorization, and prioritization
parameters
List of risks or opportunities and their
assigned priority
Risk or opportunity assessment results

RSK 3.3
Required Practice Information
Practice Statement
Develop and keep updated a risk or opportunity management strategy.
Value
A systematic approach for risk or opportunity management avoids problems and leverages opportunities
to increase the likelihood of achieving objectives.

Additional Required Information

A risk or opportunity management strategy includes:
• A description of how risk or opportunity management will be performed
• Scope
• Methods and tools
• Risk or opportunity categories
• Risk or opportunity parameters
• Thresholds
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• Risk mitigation techniques

• Opportunity leveraging techniques
• Risk measures
• Opportunity measures, including:
o Costs
o Benefits
• Frequency of risk monitoring or reassessment

Explanatory Practice Information

Additional Explanatory Information
The strategy is typically developed early, recorded in the organization’s or project’s risk or opportunity
management plan, and maintained throughout the project. The strategy is used to guide risk and
opportunity management activities. The strategy may be included as part of the project plan.
The risk or opportunity management strategy may also include:
• The domain of interest
• Boundaries, inclusions, and exclusions
• Interactions, dependencies, and relationships between the solution or work and external factors
• Methods to be used to derive:
o Risk or opportunity categories
o Impact and likelihood of occurrence
o Benefit and cost of the opportunity
o Acceptance criteria
• Conditions that initiate a review and potential update to the risk management strategy
Example Activities
Example Activities Further Explanation
Develop, record, and keep updated a
risk or opportunity management
strategy.
Review the risk or opportunity Use the review to gather input to:
management strategy with affected • Improve the strategy
stakeholders. • Generate acceptance

Example Work Products

Example Work Products Further Explanation
Risk or opportunity management
strategy

RSK 3.4
Required Practice Information
Practice Statement
Develop and keep updated risk or opportunity management plans.
Value
Minimizes the impact of risks and maximizes the benefits of opportunities for achieving objectives.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Generate mitigation or contingency plans for selected risks. Mitigation plans describe how to reduce the
likelihood or impact of risks. Contingency plans deal with the impact of problems that can occur despite
mitigation attempts.
Options for mitigating risks include:
• Avoiding
• Controlling
• Transferring
• Monitoring
• Accepting
Options for leveraging opportunities include:
• Creating
• Exploiting
• Transferring
• Monitoring
• Enhancing
• Accepting
More than one approach to managing a risk or opportunity can be used.
Mitigation and contingency plans can include:
• Rationale
• Cost benefit analysis
• Risk acceptance criteria
• Schedule or period of performance for each risk management activity
• Resource reserves to respond to disruptive events
• Lists of available backup equipment

• Backups to key staff

• Plans for testing emergency response systems
• Posted procedures for emergencies
• Distributed lists of key contacts and information resources for emergencies
• Actions to be taken
Generate leverage plans for selected high-priority opportunities. These plans describe how to maximize
the benefit of an opportunity.
Leveraging involves performing actions that maximize the benefits of an opportunity without increasing
the cost beyond the benefit. Typically, leveraging adds a relatively small amount of cost while yielding a
relatively high level of benefit.
Leveraging plans include:
• Cost benefit analyses
• Potential for success analyses
• Preparation activities
• Actions required to leverage opportunity
This activity can result in the discovery of new opportunities that can require replanning and
reassessment.

Example Activities
Example Activities Further Explanation
Develop mitigation plans for selected
risks and contingency plans in the
event their impacts are realized.
Develop leverage plans for selected
opportunities to increase the likelihood
that their impacts are realized.
Review plans with affected Use the review to gather input to:
stakeholders. • Improve the plan
• Generate acceptance

Example Work Products

Example Work Products Further Explanation
Risk management plans Includes:
• Mitigation
• Contingencies
Opportunity leveraging plans
Updated plans and status

Related Practice Areas

Refer to the Planning practice area for more information about developing plans.

RSK 3.5
Required Practice Information
Practice Statement
Manage risks or opportunities by implementing planned risk or opportunity management activities.
Value
Effective risk management reduces unforeseen occurrences that impair ability to achieve objectives and
increases business value by leveraging opportunities.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
This activity is more than simply monitoring risks and opportunities. It uses analyses, plans, triggers, and
thresholds to anticipate actions needed to minimize risk impact or leverage opportunities to improve
project functioning.

Example Activities
Example Activities Further Explanation
Manage risks and opportunities using Continue to manage risks and opportunities after mitigation,
the risk or opportunity management contingency, or leveraging activities have started.
plans. Measurement can provide valuable insight into the risk or
opportunity management activities.

Example Work Products

Example Work Products Further Explanation
Updated status Includes status of mitigation, contingency, and leveraging
plans.

Supplier Agreement Management (SAM)

Required PA Information
Intent
Establish an agreement with selected suppliers, ensure that the supplier and the acquirer perform
according to the terms over the course of the agreement, and evaluate the supplier’s deliverables.

Value
Provides an explicit understanding between the acquirer and supplier to maximize the success of agreed-
on efforts to deliver a supplier deliverable.

Additional Required PA Information

In this practice area, the term “supplier deliverable” is an item to be provided to an acquirer or other
recipient as specified in an agreement. The item can be a document, hardware or software item, a
service, or any type of solution or work product.

Explanatory PA Information
Practice Summary
Level 1
SAM 1.1 Develop and record the supplier agreement.
SAM 1.2 Accept or reject the supplier deliverables.
SAM 1.3 Process supplier invoices.
Level 2
SAM 2.1 Monitor supplier as specified in the supplier agreement and keep agreement
updated.
SAM 2.2 Perform activities as specified in the supplier agreement.
SAM 2.3 Verify that the supplier agreement is satisfied before accepting the acquired
supplier deliverable.
SAM 2.4 Manage invoices submitted by the supplier according to the supplier agreements.
Level 3
SAM 3.1 Select technical supplier deliverables for analysis and conduct technical reviews.
SAM 3.2 Select and monitor supplier processes and deliverables based on criteria in the
supplier agreement.
Level 4
SAM 4.1 Select measures and apply analytical techniques to quantitatively manage
supplier performance to achieve quality and process performance objectives.

Additional PA Explanatory Information

The Supplier Agreement Management practice area involves:

• Establishing the supplier agreement

• Implementing the supplier agreement
• Monitoring supplier technical activities
• Monitoring supplier processes
• Accepting the delivery of acquired products
• Managing supplier invoices
The supplier agreement provides a mutual understanding between the acquirer and supplier and serves
as the basis for managing their relationship. The agreement defines the processes, roles, and
responsibilities that allow the acquirer to:
• Oversee the supplier’s activities
• Monitor evolving supplier deliverables
• Verify compliance with supplier agreement requirements
• Resolve issues as necessary
When the supplier’s performance, processes, or supplier deliverables fail to satisfy established criteria as
outlined in the supplier agreement, the acquirer takes corrective action. The acquirer’s management team
must be aware of the legal implications of actions when managing the acquisition of supplier deliverables.
When monitoring supplier technical activities, the acquirer:
• Performs technical reviews of the supplier’s technical supplier deliverable
• Analyzes the development and implementation of the supplier’s technical supplier deliverable to
confirm technical progress and satisfaction of contractual requirements
Typically, these activities interactively support one another to gauge technical progress and allow
effective management of technical risks. Different levels of detailed analysis may be needed to perform
technical reviews to the acquirer’s satisfaction. Technical reviews with the supplier involve measuring
technical progress and the effectiveness of plans and requirements. Technical reviews of the supplier
should be performed with other processes, such as requirements management, risk management,
configuration management, and data management.
In some acquisitions, the acquirer assumes the role of overall architect or integrator for the supplier
deliverable.
The acquirer also needs to be involved to ensure that needed changes to requirements and supplier
agreements are acceptable given the constraints of the acquisition, and to incorporate the changes into
the supplier agreements.

Level 1

SAM 1.1
Required Practice Information
Practice Statement
Develop and record the supplier agreement.
Value
Increases likelihood of meeting requirements when using suppliers.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
A supplier agreement is any recorded agreement between the acquirer and the supplier. Agreements can
take a variety of forms, and may include:
• Contracts (or subcontract)
• Licenses
• Service agreements
• Service level agreements
• Memoranda of agreement
• Memoranda of understanding
• Letters of understanding
• Electronic acknowledgements of terms and conditions
• A combination of any of the above or other similar forms
The agreement can be either a stand-alone agreement or part of a master agreement. When part of a
master agreement, the work agreement can be an addendum, work order, or service request to the
master agreement.
Example Activities
Example Activities Further Explanation
Develop and record a supplier
agreement.
Negotiate the terms of the candidate Negotiation may require updates to the supplier agreement.
agreement with the supplier
Reach agreement with supplier.

Example Work Products

Example Work Products Further Explanation
Supplier Agreement May include:

Example Work Products Further Explanation

• Affected stakeholders and communication involved
• Statement of work
• Specifications
• Terms and conditions
• List of deliverables
• Schedule
• Budget
• Legal or regulatory information

SAM 1.2
Required Practice Information
Practice Statement
Accept or reject the supplier deliverables.

Value
Increases the likelihood the supplier provides the agreed-on supplier deliverable.
Additional Required Information
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Explanatory Practice Information
Additional Explanatory Information
The acquirer should ensure that the acquired supplier deliverable meets all agreed-on contractual
requirements. The acquirer then decides whether to accept or reject the supplier deliverable.

Example Activities
Example Activities Further Explanation
Accept or reject the supplier
deliverable based on the extent that
the agreed-on supplier deliverable
meets contractual requirements.

Example Work Products

Example Work Products Further Explanation
Deliverables per the supplier
agreement

SAM 1.3
Required Practice Information
Practice Statement
Process supplier invoices.
Value
Maintains a good working relationship with suppliers while meeting agreements.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Processing supplier invoices may include:
• Paying the invoice (e.g., check, money order, credit card, electronic transfer of funds to supplier)
• Trading goods or services
• Rejecting the invoice for revision
• Acknowledging the agreement has been met
A specific function (e.g., contracting office, accounts payable, or purchasing department) may process
invoices.
Example Activities
Example Activities Further Explanation
Process supplier invoices in accordance
with agreements.

Example Work Products

Example Work Products Further Explanation
Records of supplier invoices

Level 2

SAM 2.1
Required Practice Information
Practice Statement
Monitor supplier as specified in the supplier agreement and keep agreement updated.
Value
Improves the likelihood that the supplier provides the right supplier deliverable.

Additional Required Information

This section left blank for future content.
Explanatory Practice Information
Additional Explanatory Information
Monitor and update the supplier agreement based on the supplier selection decision and based on actual
results.
The acquirer, supplier, and affected stakeholders should review agreement requirements to ensure that a
common understanding is kept up-to-date through the life of the agreement. After establishing the
supplier agreement, requirements may change, based on factors such as:
• Applicability of requirements
• Availability of new technology
• Reduction of overly burdensome reporting
• Organization changes (e.g., merger or acquisition)
• Legal or regulatory changes
The supplier agreement and work documents should be revised to reflect changes in conditions. This
includes updating cost, schedule, and budget as needed. Legal or contract advisors often are responsible
for reviewing supplier agreements among independent legal entities prior to approval.
The content of the supplier agreement should specify how the agreement will be monitored and revised
as required. This should be done in a way that is appropriate to the acquisition or supplier deliverable
being acquired.
Example Activities
Example Activities Further Explanation
Record the supplier agreement and This typically includes:
keep it updated. • Recording all changes formally approved by both the
acquirer and supplier
• Developing, recording, and keeping the requirements
updated (e.g., supplier deliverable requirements, service
level agreements)
• Periodically reviewing the supplier agreement to ensure it
accurately reflects current plans, processes, risks, and
market conditions

Example Activities Further Explanation

• Ensuring that the agreement, and data related to it, are
stored and managed for future use
• Performing impact assessments across technical and
commercial aspects of the agreement
• Assessing all alternatives associated with the change
Verify that the acquirer and supplier Approval may take different forms, such as:
understand and agree to all • Signature
requirements by approving the • Electronic approval or acknowledgement
supplier agreement. • Stamp or record of corporate/company approval
• Other legally-binding acceptance
Communicate the supplier Ensure that all affected stakeholders are aware of the
agreement within the acquiring agreement.
organization as required.

Example Work Products

Example Work Products Further Explanation
Supplier agreement May include:
• A description of required reporting data to allow the acquirer
to evaluate and analyze acquired supplier deliverables
• The acquirer and supplier representatives who are
responsible and authorized to make changes to the supplier
agreement
• Planned reviews and interactions between the acquirer and
supplier
• The mechanism for how changes to the requirements and
the supplier agreement are determined, communicated, and
addressed
• Applicable standards, procedures, tools, and methods
• Critical dependencies between the acquirer and supplier
• A list of what the acquirer provides to the supplier
(e.g., facilities, access, tools, software, documentation,
services)
• Analysis methods and acceptance criteria for designated
supplier deliverables
• The types of reviews to be conducted with the supplier
• Payment or compensation terms and conditions
• Non-hire and non-compete clauses
• Confidentiality, non-disclosure, and intellectual capital
clauses
• The supplier’s responsibilities for preparing the site and
providing training
• The supplier’s responsibilities for ongoing maintenance and
support of acquired supplier deliverables
Records of communication and May include:
interactions between the acquirer • Issue and action item list
and supplier • Meeting minutes
• People assigned corrective actions
• Due date for actions

Related Practice Areas

Refer to the Configuration Management practice area for more information about tracking and controlling
changes.
Refer to the Requirements Development and Management practice area for more information about
developing solution requirements and managing requirements.
Refer to the Monitor and Control practice area for more information about monitoring commitments.

SAM 2.2
Required Practice Information
Practice Statement
Perform activities as specified in the supplier agreement.

Value
Improves the acquirer’s confidence in the ability of the supplier to deliver the right supplier deliverable
with the right quality.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
The acquirer monitors the supplier’s progress against the agreement to identify and resolve issues.
Monitoring includes internal and external communication as well as the use of information by the acquirer
and supplier regarding the relationship, performance, results, and impact to the business. Agreement,
management, technical, and other reviews may be conducted together or separately.

Example Activities
Example Activities Further Explanation
Monitor supplier progress and Monitoring can be conducted during agreement, technical,
performance (e.g., schedule, effort, and management reviews. Reviews can include both planned
cost, technical) as defined in the and as-needed interactions.
supplier agreement. Reviews cover both formal and informal reviews and include
the following steps:
• Preparing for the review
• Ensuring that affected stakeholders participate
• Conducting the review
• Preparing, distributing, or making a summary report
available to the affected stakeholders
• Identifying issues and determining corrective actions
necessary to resolve and track the issues to closure.
• Monitoring risks involving the supplier and mitigating them
as necessary

Example Activities Further Explanation

Conduct agreement reviews with the May include:
supplier as specified in the supplier • Agreement changes or updates
agreement. • Stakeholder reassignment
• Interpretation and clarification of terms, conditions, and
deliverables
• Positive or negative feedback on contractual requirements
Conduct technical reviews with the Technical reviews typically include:
supplier as defined in the supplier • Providing the supplier with visibility into the needs and
agreement. preferences of the customers and end users as
appropriate
• Reviewing the supplier’s technical activities and verifying
that the supplier’s interpretation and implementation of
the requirements are consistent with the acquirer’s
interpretation
• Ensuring that technical commitments are being met and
that technical issues are communicated and resolved in a
timely manner
• Obtaining technical information about the supplier’s
deliverables
• Providing appropriate technical information and support to
the supplier
Conduct management reviews with the This typically includes reviewing:
supplier as specified in the supplier • Critical dependencies
agreement. • Risks involving the supplier
• Schedule and budget
• The supplier’s compliance with legal and regulatory
requirements
Unresolved issues escalate through the appropriate
management chain according to a project’s or organization’s
issue resolution process.
Record results of the reviews and Use the results of reviews to improve the supplier’s
interactions. performance and to establish and nurture long-term
relationships with preferred suppliers.

Example Work Products

Example Work Products Further Explanation
Agreement updates, progress reports May include:
• Issue and action item list
• Meeting minutes
• People assigned corrective actions
• Due date for actions
Supplier progress and performance
reports
Issue, risk, and action item lists May include:
• Description of risk, issues, or action items
• People assigned corrective actions

Example Work Products Further Explanation

• Due date for actions
Records of the submission and
acceptance of the supplier deliverable
and other deliverables

Related Practice Areas

Refer to the Monitor and Control practice area for more information about monitoring progress, taking
corrective action, monitoring risks, and conducting milestone reviews.
Refer to the Planning practice area for more information about developing and recording plans that
define supplier activities.
Refer to the Risk and Opportunity Management practice area for more information about identifying,
managing, and mitigating risks.

SAM 2.3
Required Practice Information
Practice Statement
Verify that the supplier agreement is satisfied before accepting the acquired supplier deliverable.

Value
Decreases risk of accepting an unsatisfactory supplier deliverable and ensures the supplier agreement is
satisfied before acceptance.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
The acquirer ensures that all recorded acceptance criteria have been satisfied and all issues affecting
satisfaction of the agreement have been addressed. Requirements for deliverable acceptance and how to
address non-conforming deliverables are usually defined in the supplier agreement. The acquirer should
be prepared to take appropriate action as per the agreement if the supplier fails to perform. This may
include invoking any contractual penalties or conditions.
The acquirer provides the supplier with notice that supplier deliverables have been accepted or rejected.
Typically, an authorized representative of the acquirer assumes ownership of identified supplier
deliverables as partial or complete satisfaction of the supplier agreement.
Acceptance reviews should be completed before accepting the supplier deliverables as defined in the
supplier agreement. Once accepted, the acquirer monitors the transition of the supplier deliverables to
the project or operations.

Example Activities
Example Activities Further Explanation
Refine, update or add and use This activity is typically performed by the acquirer on the
acceptance criteria and procedures to supplier deliverables.
verify that the supplier agreement is
satisfied.
Review and obtain agreement from
affected stakeholders on the
acceptance procedures before the
acceptance review.
Following acceptance criteria and From the supplier, this may include review of supplier
procedures, verify that the acquired deliverable verification results, including:
supplier deliverable satisfies the • Reports, logs, and issues
supplier agreement. • Testing results
• Known errors or defects
For the acquirer, this may include reviewing results of
supplier-performed acceptance reviews and tests.
Confirm that all agreed-on contractual May include the following items that demonstrate that the
requirements for the acquired supplier agreed-on requirements have been met:
deliverable are satisfied. • License
• Warranty
• Ownership
• Usage
• Support, service, or maintenance agreements
• Other supporting materials (e.g., end-use, operations or
support, and maintenance documentation)
Communicate to affected stakeholders The acquirer provides the supplier with notice that the
that the supplier agreement has been supplier agreement has been satisfied, including readiness
satisfied. for transition to operations and support, so the supplier can
be paid, and the supplier agreement closed.

Example Work Products

Example Work Products Further Explanation
Acceptance procedures
Discrepancy reports or corrective
action plans
Acceptance review report with
recorded approval
Formal acceptance notifications Notifications should be communicated to the supplier and
affected stakeholders.
A record that all agreement Approval may take different forms, such as through:
requirements have been met • Signature
• Electronic approval or acknowledgement
• Stamp or record of corporate/company approval
• Other legally-binding acceptance

Related Practice Areas

Refer to the Verification and Validation practice area for more information about verifying and validating
selected supplier deliverables and components.
Refer to the Planning practice area for planning for the transition of the supplier deliverable to operations
and support.
Refer to the Monitor and Control practice area for monitoring the transition of the supplier deliverable to
operations and support.

SAM 2.4
Required Practice Information
Practice Statement
Manage invoices submitted by the supplier according to the supplier agreements.
Value
Maintains a good business relationship between the acquirer and supplier.

Additional Required Information

This section left blank for future content.
Explanatory Practice Information
Additional Explanatory Information
Ensure that payment terms defined in the supplier agreement are met and that processing of supplier
compensation is linked to supplier progress and results, as defined in the supplier agreement. This
practice covers invoices for any type of charge (e.g., one-time, monthly, deliverable-based, pass-
through). It covers invoice errors or issues, changes to invoices, and withholding disputed charges
consistent with the terms and conditions of the supplier agreement. The acquirer should also ensure that
appropriate financial and invoice management controls are in place.
When accepting supplier deliverables, the acquirer should not process final payment to the supplier until
all supplier deliverables meet contractual requirements and all acceptance criteria have been satisfied.

Example Activities
Example Activities Further Explanation
Receive invoices.
Review invoices and related supporting Examples of areas of review for invoices and related support
material with authorized material include:
representatives for accuracy. • Variable charges
• Applicable taxes
• Purchases made by the supplier on behalf of the acquirer
• Formal acceptance signoff from receiving project team or
authorized representative

Example Activities Further Explanation

Resolve errors and manage issues with
the supplier as required.
Approve and pay invoices.
Archive and store invoices and
payment records.

Example Work Products

Example Work Products Further Explanation
Invoices approved for payment
Record or receipt of payment Payment per the supplier agreement (e.g., check, money
order, credit card, electronic transfer of funds to supplier).
Archived invoice and payment records

Level 3

SAM 3.1
Required Practice Information
Practice Statement
Select technical supplier deliverables for analysis and conduct technical reviews.
Value
Improves the acquirer’s confidence in the ability of the supplier to provide the right supplier deliverable at
the right time with the right quality.
Additional Required Information
This practice requires that organizational standards and processes are in place and followed.

Explanatory Practice Information

Additional Explanatory Information
Technical reviews are used by the acquirer to confirm that supplier deliverables being developed or
produced by suppliers meet requirements.
Technical reviews are conducted:
• When the technical supplier deliverable under development meets the criteria specified in the
supplier agreement
• At the transition from one acquisition phase to the next and at major transition points of
technical effort
The supplier is responsible for managing the requirements and interfaces or connections of the supplier
deliverable it is developing. However, the acquirer identifies interfaces or connections that it manages as
well, particularly external interfaces or connections.
The interfaces or connections being considered for selection should include other supplier deliverables in
the operations, support, verification, and validation environments. The acquirer should review all supplier
interface or connection data for completeness.
In addition to interfaces or connections, the acquirer should consider the following criteria when selecting
supplier deliverables for analysis and review:
• Performance
• Recovery
• Safety
• Security
• Mean Time to Failure (MTTF)
• Mean Time Between Failure (MTBF)
• Maintainability
• Serviceability
• Updateability

• Modularity
Example Activities
Example Activities Further Explanation
Develop criteria for determining which
technical supplier deliverable to
analyze.
Identify technical supplier deliverables Technical supplier deliverables that are typically analyzed by
for analysis. the acquirer may include:
• Supplier derived deliverable and component requirements,
architectures, and designs
• Deliverable interface or connection descriptions
• Deliverables and deliverable components
Identify the functional and quality A traceability matrix is a useful tool for identifying
attribute requirements to be satisfied requirements for each selected technical solution, as it
by each selected technical supplier typically includes information that relates requirements to
deliverable. work products. When identifying requirements for each
selected technical supplier deliverable, consult the
appropriate traceability matrix.
Identify the analysis methods to be Examples of techniques used for analysis include:
used for each selected technical • Simulations
supplier deliverable. • Prototyping
• Architecture evaluation
• Demonstrations
• Peer Reviews
Include analysis methods and review
activities in the work plan.
Confirm that the selected technical
supplier deliverable adheres to
applicable standards and criteria.
Confirm that the selected technical
supplier deliverable adheres to
allocated functional and quality
attribute requirements.
Use analysis results to compare actual
performance measurements to
specified thresholds of technical
performance measures.
Review critical verification results and
data from verifications performed by
the supplier.
Identify interfaces or connections that Example criteria for interfaces or connections include:
are candidates for acquirer • Spans organizational boundaries
management. • Mission critical
• Difficult or complex to manage
• Key quality attributes
• Multiple acquisition projects
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389

Example Activities Further Explanation

Review identified interfaces or
connections against the selection
criteria and include in the work plan.
Confirm the compatibility of selected Confirm that interface or connection descriptions adhere to
interfaces or connections throughout applicable standards, criteria, and connection requirements
the life of the solution. between the supplier’s supplier deliverable and acquirer’s
intended environment.
Verify that interfaces or connections
have been sufficiently tested by the
supplier.
Verify that issues identified during
testing have been resolved
appropriately, with deliverable
revisions, if necessary.
Resolve conflict, noncompliance, and
change issues for the selected
interfaces or connections.

Example Work Products

Example Work Products Further Explanation
Activity reports
Discrepancy reports
Criteria used to select technical
supplier deliverables for analysis
Lists of supplier requirements and
technical supplier deliverables selected
for analysis
Analysis methods for each selected
supplier deliverable
Record of analysis results May include:
• Issue and action item list
• Meeting minutes
• People assigned corrective actions
• Due date for actions
Criteria to be used in selecting acquirer
managed interfaces or connections

Related Practice Areas

Refer to the Decision Analysis and Resolution practice area for more information about establishing
evaluation criteria.
Refer to the Requirements Development and Management practice area for more information about
tracing requirements to work products.

Refer to the Planning practice area for more information about establishing and maintaining plans that
define work activities.
Refer to the Managing Performance and Measurement practice area for more information about analyzing
measurement data.
Refer to the Configuration Management practice area for more information about tracking and controlling
changes.
Refer to the Risk and Opportunity Management practice area for more information about identifying,
managing, and resolving risks.
Refer to the Verification and Validation practice area for more information about verifying and validation
solutions.
Context Specific
Development
Context Tag: CMMI-DEV

Context: Practices are used to develop quality solutions to meet the needs of customers
and end users.

Technical reviews are performed throughout the work lifecycle to gain confidence that the requirements,
architecture, and technical supplier deliverables provide the required capability. These reviews should be
integrated with risk management activities.
Types of technical reviews that can be conducted include:
• Integrated Baseline Review (IBR)
• Technology Readiness Assessment (TRA)
• System Requirements Review (SRR)
• Preliminary Design Review (PDR)
• Critical Design Review (CDR)
• Test Readiness Review (TRR)
• Production Readiness Review (PRR)
• Operational Test Readiness Review (OTRR)
Depending on where in the acquisition lifecycle the highest risks occur, the acquirer selects technical
supplier deliverables for analysis to reduce those risks. Select analysis methods based on the type of
technical solution being analyzed and the nature of the risk. For example:
• In the design phases of the solution, quality attribute models, simulations, prototypes, or pilots
can be used to provide additional information about the properties of the potential design
solutions to aid in their evaluation and selection. Simulations can be particularly useful for
systems-of-systems.

• In the implementation phase, the acquirer can examine a supplier deliverable to determine if it is
ready for production and if the supplier has accomplished adequate production planning. The
analysis determines if production or production preparations pose unacceptable risks that might
compromise cost, schedule, performance, or other established objectives. The acquirer might
evaluate the full production configured supplier deliverable to determine if it correctly and
completely implements all contractual requirements. The acquirer could also determine whether
the traceability of the final contractual requirements to the final production configured solution
has been maintained.
The acquirer should select a supplier’s design to analyze the adequacy and completeness of that design.
The acquirer may also confirm that:
• The selected design adheres to applicable design standards and criteria
• The design adheres to allocated functional and quality attribute requirements
• The resulting supplier deliverable will perform appropriately in its target environment
• The solution baseline enables hardware fabrication and software coding to proceed with proper
configuration management
• Adequate production processes and measures are in place for the work to succeed
• The design can be implemented within the production budget
During implementation, the supplier implements the design reviewed and analyzed by the acquirer by
developing supplier deliverable components, integrating those components, performing unit and
integration testing of the solution, and developing operational and end user documentation.
The acquirer can require delivery of verification results from the supplier of the technical solution, as
applicable. The suppliers can perform verifications in an iterative fashion, concurrently with the acquirer’s
technical analyses, or the supplier can be required to perform follow-on verifications of technical
solutions.
Typical expectations for verification addressed by the supplier agreement may include:
• List of deliverables and other work products that must be verified by the supplier
• Applicable standards, procedures, methods, and tools
• Criteria for verification of supplier work products
• Measurements to be collected and provided by the supplier with regard to verification activities
• Reviews of supplier verification results and corrective actions with the acquirer
Examples of considerations for follow up verifications of technical solutions include if:
• During the production stage of the work, there are changes in either materials or manufacturing
processes
• Production re-starts after a significant shutdown period
• Production starts up with a new supplier
• A manufacturing site has relocated
The acquirer can determine if the supplier’s implementation is successful by analyzing if the:
• Supplier deliverable is ready to be brought into the acquirer environment for further integration
and acceptance testing

• Production capability is satisfactory enough to perform pilot studies or move to full-rate

production
• Requirements are fully met in the final production configuration
The acquirer should also confirm that sufficient end user documentation has been developed and is
aligned with the tested implementation. The supplier can develop preliminary versions of the installation,
operations, and maintenance documentation in early phases of the work lifecycle for review by the
acquirer and affected stakeholders.

SAM 3.2
Required Practice Information
Practice Statement
Select and monitor supplier processes and deliverables based on criteria in the supplier agreement.
Value
Provides better visibility into supplier capability and performance to minimize risk.

Additional Required Information

This practice requires that organizational standards and processes are in place and followed.

Explanatory Practice Information

Additional Explanatory Information
When close alignment between supplier and acquirer processes is critical to the success of the work
effort, the acquirer should monitor these processes to help prevent problems.
Selecting processes for monitoring involves considering the impact of the supplier’s processes on the
project. On larger projects with significant subcontracts with critical supplier deliverables or solution
components, monitoring key processes may be needed.
The acquirer decides on the necessary level of monitoring depending on the level of risk incurred when
the supplier’s process is not performed correctly. Monitoring processes can range from reviewing
supplier-produced process data to conducting on-site appraisals of the supplier’s processes. Analyzing
selected processes involves compiling and analyzing supplier process data to determine whether there
are serious risks or issues.

Example Activities
Example Activities Further Explanation
Select and monitor processes used by Supplier processes that are critical to the success of the
the supplier as defined in the supplier project should be monitored. When selecting processes to
agreement. monitor, consider the impact on the supplier.
Analyze processes used by the supplier Analyze results of monitoring selected processes to detect
as defined in the supplier agreement issues as early as possible that may affect the supplier’s
and communicate with affected ability to satisfy requirements of the supplier agreement.
stakeholders. Trend analysis may be performed and can rely on internal
and external data.

Example Work Products

Example Work Products Further Explanation
List of processes selected for
monitoring and rationale for selection
Reports from monitoring May include:
• Process performance reports
• Discrepancy reports
• Action items and risks
Record results of analysis

Related Practice Areas

Refer to the Decision Analysis and Resolution practice area for more information about establishing
evaluation criteria.
Refer to the Planning practice area for more information about planning work activities.
Refer to the Managing Performance and Measurement practice area for more information about analyzing
measurement data.
Refer to the Monitor and Control practice area for more information about monitoring suppliers and their
agreements and plans.

Level 4

SAM 4.1
Required Practice Information
Practice Statement
Select measures and apply analytical techniques to quantitatively manage supplier performance to
achieve quality and process performance objectives.

Value
Focuses measurement and management attention and activities to more effectively meet performance
objectives.

Additional Required Information

The acquirer establishes and assigns performance measurement specifications for suppliers.

Explanatory Practice Information

Additional Explanatory Information
Appropriate analytical techniques can enable the acquirer to recognize significant deviations from
performance objectives as specified in the supplier agreement, in order to take corrective action. This
enables the acquirer to identify areas for potential corrective action with suppliers.

Example Activities
Example Activities Further Explanation
Identify key acquirer quality and
process performance objectives.
Establish a performance measurement This should be included in the supplier agreement and be
specification to monitor supplier traceable to the acquirer’s quality and process performance
progress and performance using objectives.
statistical and other quantitative Trace key measures to the performance measurement
techniques. specifications and the quality and process performance
objectives.
Selection should not be limited to supplier deliverable,
progress, or performance measures only. Measures can be
used to develop analysis, process, and success indicators
which provide better insight into supplier performance.
Identify any data quality requirements.
Collect data from the supplier and
perform the analysis.
Record results of analysis and
communicate with stakeholders.
Identify corrective action with the
supplier.
Monitor corrective action to closure.

Example Work Products

Example Work Products Further Explanation
Performance measurement
specifications
List of selected measures Measures may include:
• Operational definitions suitable to support statistical and
other quantitative management
• Identified statistical and other quantitative techniques to
analyze the measures
• Representations of data and analysis results
• Identified key performance objectives
• Supplier process data
Results of the analyses against their Trace to objectives as defined in the supplier agreement.
targets
Action item list Include corrective actions and status.

Technical Solution (TS)

Required PA Information
Intent
Design and build solutions that meet customer requirements.
Value
Provides a cost-effective design and solution that meets customer requirements and reduces rework.
Additional Required PA Information
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Explanatory PA Information
Practice Summary
Level 1
TS 1.1 Build a solution to meet requirements.
Level 2
TS 2.1 Design and build a solution to meet requirements.
TS 2.2 Evaluate the design and address identified issues.
TS 2.3 Provide guidance on use of the solution.
Level 3
TS 3.1 Develop criteria for design decisions.
TS 3.2 Develop alternative solutions for selected components.
TS 3.3 Perform a build, buy, or reuse analysis.
TS 3.4 Select solutions based on design criteria.
TS 3.5 Develop, keep updated, and use information needed to implement the design.
TS 3.6 Design solution interfaces or connections using established criteria.

Additional PA Explanatory Information

The Technical Solution practices can be applied:
• To products or product components
• To services, service systems, and service components
• At any level of the product or service architecture
When implementing Technical Solution practices, focus on meeting functional and quality requirements.
Design and build solutions that meet customer requirements by:
• Developing, evaluating, and selecting cost-effective design solutions. These selected design
solutions can be called “design approaches”, “design concepts”, or “preliminary designs.”

• Developing designs detailed enough to support implementation of the selected design solutions.
• Implementing the designs as a product, service, or component.

Context Specific
Agile with Scrum Guidance
Context Tag: Agile with Scrum

Context: Practices used by projects to adopt agile with Scrum and to develop and
implement more effective designs.

Agile teams using Scrum typically build design incrementally (“emergent design”) after building
functionality during each sprint. Some teams record the design as it emerges, some teams do not.
Emergent design can introduce risk when developing critical, complex, or large systems since design
defects introduced early can be expensive to correct later. Shorter, more focused sprints are often used
to help mitigate these risks.

It is typical for agile teams using Scrum to demonstrate less definition, clarity, and recording of designs
as compared to more traditional software development teams. Extensive use of white boards, cameras,
and other temporary mediums are common amongst agile teams. Example design components include
architecture, interfaces or data connections, data, and algorithms.

Technical Solution practices provide a foundation to ensure that the design is performed (usually
incrementally) prior to implementation, and the results are recorded to:

• Efficiently share technical information with stakeholders

• Mitigate technical risks
• Peer review to find defects early
• Support maintenance

Table TS-1 shows where Technical Solution practices can augment a typical agile project using Scrum.

Table TS-1: Technical Solution Practices in an Agile Project Using Scrum

Agile with Scrum Technical Solution
Release planning Earlier and more complete understanding of the end solution and
completion risks.
Backlog grooming/review Allocation of requirements to design components to be developed for
known user stories during this sprint. This helps to identify additional
requirements that may have been missed.
Sprint planning Broader understanding for context of designs and interfaces or
connections for the upcoming sprint
Sprint execution More of the execution is spent developing a working solution vs.
refactoring.
Sprint review Enables a more thorough understanding of what has been accomplished
during the sprint.
Sprint retrospective Provides a comprehensive understanding of what design components
remain.

Technical Solution practices can be performed iteratively to improve any agile project during sprint
execution. Time can be allocated to each sprint to perform design practices. Design documentation can
be in the form of a picture and bulleted design notes stored in the same tools used to store user stories
or epics and other project data.

Level 1

TS 1.1
Required Practice Information
Practice Statement
Build a solution to meet requirements.
Value
Provides the customer with a solution that implements the requirements and reduces the cost of rework.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
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Example Activities
Example Activities Further Explanation
Build a solution. Examples of building a solution include:
• Software is coded
• Data are recorded
• Services are provided
• Parts are fabricated
• Manufacturing processes are put into operation
• Facilities are constructed
• Materials are produced

Example Work Products

Example Work Products Further Explanation
Product or service

Level 2

TS 2.1
Required Practice Information
Practice Statement
Design and build a solution to meet requirements.
Value
Provides a structure to guide the implementation of a cost-effective solution that meets requirements and
avoids rework.

Additional Required Information

The design describes solution structure, interfaces or connections, and functionality.

Explanatory Practice Information

Additional Explanatory Information
The two main types of design are preliminary design and detailed design.
The preliminary design defines the solution and the architecture.
The detailed design describes solution component structure and functionality. The design is detailed
enough to allow the solution component to be implemented, fabricated, or acquired. The level of detail
required is typically set in the architecture’s standards and design rules.
The activities involved in these two designs may be iterative and overlap.
Example Activities
Example Activities Further Explanation
Define the architecture. May include:
• Developing the structural relationships and interface or
connection rules between elements
• Developing the structure that will support and integrate
the solution components needed to meet the
requirements
• Identifying major internal and external interfaces or
connections
• Defining component behavior and interaction
• Recording definitions using an architecture description
language
• Developing infrastructure capabilities and services
• Developing solution component templates, classes, or
frameworks
• Developing design rules and authority for making
decisions
• Defining a process or thread model
• Identifying major reuse approaches and sources
• Ensuring traceability to requirements

Example Activities Further Explanation

Identify, develop, or acquire effective Examples of effective design techniques and methods
design methods or tools for the include:
solution. • Prototypes and associated design lessons
• Structural models
• Object-oriented design
• Essential systems analysis
• Entity relationship models
• Design reuse
• Design patterns
Evaluate commercial off-the-shelf Care in evaluating and selecting COTS products and the
(COTS) products. supplier can be critical to the project if the COTS product:
• Is a significant part of the project or solution
• Represents significant risk
Aspects to consider in the selection decision include
proprietary issues and the availability of the products.
Develop a preliminary design. The preliminary design is the foundation for the solution and
the architecture, and may include:
• Architectural styles and patterns
• Component identification
• System states and modes
• Major component interfaces or connections
• External product interfaces or connections
• Algorithms to be employed
• Data definition
Develop a detailed design. May include:
• Finalizing the architecture
• Completing component and interfaces or connection
descriptions
• Optimizing design
• Selecting legacy or commercial components
• Verifying and validating requirements
Track requirements against design to As the design matures, track the requirements assigned to
ensure they are satisfied. lower level solution components and verify that those
requirements are satisfied.
Build the solution. Includes the allocation, refinement, and verification of each
product component. It also involves the coordination
between the various product component development
efforts. Steps to build the solution may include:
• Using effective methods to build the solution. For
example:
o Structured programming
o Automatic code generation
o Software code reuse
o Fabrication methods
o Computer aided design drawing
o Simulation

Example Activities Further Explanation

• Adhering to applicable standards. For example:
o Language standards
o Drawing requirements
o Manufactured parts
o Process and quality standards
o Construction regulations
o Legal regulations
• Adhering to applicable criteria. For example:
o Modularity
o Clarity
o Scalability
o Reliability
o Safety
o Maintainability

Example Work Products

Example Work Products Further Explanation
Architecture The architecture defines the design structure needed to meet
the requirements. Architectures should:
• Adhere to design standards and best practices
• Provide a foundation for developing solution components
and interfaces or connections
• Include input from operational concepts and scenarios
• Be traceable to requirements
Component design The design provides a specification of the solution, defining
how functional interface or connection quality requirements
will be met, and includes traceability to requirements.
Completed solution

Related Practice Areas

Refer to the Decision Analysis and Resolution practice area for more information about following a
criteria-based decision method for choosing between alternatives.
Refer to the Requirements Development and Management practice area for more information about
developing operational concepts and scenarios, requirement allocation and traceability, and alignment
between work and requirements.

TS 2.2
Required Practice Information
Practice Statement
Evaluate the design and address identified issues.
Value
Reduces cost by minimizing defects and ensuring that the solution meets requirements.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Verify that the design meets requirements.
Operational concepts and scenarios can be used during design reviews to evaluate how well the design
meets its intended purpose.
Example Activities
Example Activities Further Explanation
Determine what types of reviews to To evaluate the design, complete a technical review of the
perform. solution and identify deficiencies or potential improvements.
Types of evaluations include:
• Structured design walkthroughs
• Inspections
Identify review participants. Participants can include:
• Authors
• Technical team members
• Project managers
• Subject matter experts (SMEs)
Send draft designs to reviewers. Send these in advance so participants have enough time to
review them.
Conduct a technical review. Develop a review checklist to be available during the review.
Use technical reviews to:
• Present the design to affected stakeholders to develop a
common understanding and gather input regarding the
solution being considered
• Decide the validity of the solution
• Identify issues and concerns with the solution
• Verify that the technical concepts are:
o Correct
o Consistently and correctly used and represented
o Providing value to the solution
Record decisions, issues, and concerns.
Identify potential fixes.
Communicate issues and decisions to Include the role of stakeholders.
affected stakeholders.
Update the design to address identified Assign corrective action to the appropriate stakeholders.
issues.
Review the solution. May include:
• Conducting peer reviews of selected components
• Performing verification of the components as appropriate
Revise the component as necessary.
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permission by CMMI Institute. Usage by others is prohibited.
404

Example Work Products

Example Work Products Further Explanation
Design evaluation issues Identified deficiency or improvement with the design.
Design review meeting minutes
Updated design
Updated solution

Related Practice Areas

Refer to the Requirements Development and Management practice area for more information about
developing operational concepts and scenarios, requirement allocation and traceability, and alignment
between work and requirements.
Refer to the Peer Reviews practice area for more information on performing peer reviews of work
products and solutions and identifying issues.
Refer to the Verification and Validation practice area for more information on reviewing work products
and solutions and identifying issues.

TS 2.3
Required Practice Information
Practice Statement
Provide guidance on use of the solution.

Value
Helps to ensure that the solution is usable and maintainable.

Additional Required Information

Example Work Products

Example Work Products Further Explanation
Guidance material Guidance material may include:
• User manual

Example Work Products Further Explanation

• Maintenance manual
• Installation manual
• Operations manual
• Online help
• Training materials

Level 3

TS 3.1
Required Practice Information
Practice Statement
Develop criteria for design decisions.
Value
Increases the likelihood of producing a robust design that meets customer requirements and constraints.

Additional Required Information

Record the name and detailed description for each criterion.

Explanatory Practice Information

Additional Explanatory Information
The criteria used to select solutions should provide a balanced approach to cost, requirements, benefits,
and risks. Note that identified criteria may lead to the conclusion that no alternative solutions are
necessary. Developing design criteria is often an iterative process. Design criteria may be different based
on the domain and design activities.

Example Activities
Example Activities Further Explanation
Analyze, develop, evaluate, use, and
keep updated design criteria.
Review and revise the design criteria Revise criteria when requirements, budget, technology, or
with affected stakeholders as needed. resources change or when a defect is discovered.

Example Work Products

Example Work Products Further Explanation
Design criteria Examples of criteria include:
• Complexity
• Cost of:
o Development
o Manufacturing
o Procurement
o Maintenance
o Support
• Time to implement
• Technology availability and limitations
• Resources needed
• Performance
• Robustness
• Requirements and technology evolution
• End use and operator capabilities
• Rationale why alternative solutions are not required
• Whether the solution needs to be:

Example Work Products Further Explanation

o Modular
o Clear
o Simple
o Maintainable
o Verifiable
o Portable
o Reliable
o Accurate
o Secure
o Scalable
o Usable

TS 3.2
Required Practice Information
Practice Statement
Develop alternative solutions for selected components.

Value
Ensures that the most beneficial solution is identified and selected.
Additional Required Information
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Explanatory Practice Information
Additional Explanatory Information
Any feasible solution that aligns with the customer’s requirements can be an alternative solution.
Alternative solutions can include developing new technologies or identifying and applying current
technologies in different ways.
Solutions can be based on past designs. Consider alternatives that address and perform the same
necessary functions in different ways.
Example Activities
Example Activities Further Explanation
Develop, identify, and record May include:
alternative solutions. • New and currently in use product technologies
• Reusable solutions or solution components
• Externally-provided solutions
o Commercially available
o Customer provided
o Publicly or community available
• Functionality and quality attributes
• Terms and conditions of warranties for the products

Example Activities Further Explanation

Record the requirements allocation for
each alternative.
Communicate results.

Example Work Products

Example Work Products Further Explanation
Alternative solutions

TS 3.3
Required Practice Information
Practice Statement
Perform a build, buy, or reuse analysis.

Value
Ensures that the most effective way to implement the design has been chosen.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
A “build, buy, or reuse analysis” or a “trade study” is typically used to ensure that the most beneficial,
technically viable option is selected to implement the solution. It is based on an analysis of the needs of
the project. Start the analysis early in the project, continue it during the design process, and complete it
with a decision on how to proceed.

Example Activities
Example Activities Further Explanation
Perform a build, buy, or reuse analysis. A decision analysis and resolution method or approach may
be used to address the design criteria and provide the
rationale for making the decision.
Record analysis and communicate
results.

Example Work Products

Example Work Products Further Explanation
Build, buy, or reuse analysis Factors affecting a build, buy, or reuse analysis can include:
• Functions the solutions will provide
• Available project resources and skills
• Costs of acquiring versus developing internally
• Critical delivery and integration dates
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permission by CMMI Institute. Usage by others is prohibited.
409

Example Work Products Further Explanation

• Market research of available products
• Functionality and quality of available solutions
• Skills and capabilities of potential suppliers
• Licenses, warranties, responsibilities, and limitations
associated with solutions being acquired
• Availability
• Proprietary issues
• Regulatory or legal issues
• Risk reduction

Related Practice Areas

Refer to the Decision Analysis and Resolution practices for more information about analyzing possible
decisions using a formal evaluation process that evaluates identified alternatives against established
criteria.

TS 3.4
Required Practice Information
Practice Statement
Select solutions based on design criteria.

Value
Ensures the most efficient and effective solution is selected to meet the customer’s requirements within
cost, schedule, and performance constraints.

Additional Required Information

Include the rationale for selecting the solution.

Explanatory Practice Information

Additional Explanatory Information
Record solution descriptions and rationale for selection or rejection. Update the record throughout
development as solutions and detailed designs are developed and implemented. Maintain a record of
rationale to aid future decision making. Records prevent rework, rehashing decisions, and provide
insights for applying new technology as it becomes available.

Example Activities
Example Activities Further Explanation
Evaluate each alternative solution Identify and resolve issues with the alternative solutions and
against the selection criteria. requirements.
High-risk situations may use simulations, prototypes, or
pilots to assist in the evaluation.
Select the solutions that satisfy the
established criteria.

Example Activities Further Explanation

Based on evaluation of alternatives, Update criteria if additional derived requirements or criteria
reassess and update selection criteria are discovered.
when necessary.
Develop, use, and keep updated
records of solutions, evaluations, and
rationale.

Example Work Products

Example Work Products Further Explanation
Recorded solutions, evaluations, and Includes rationale for selection or rejection.
rationale

Related Practice Areas

TS 3.5
Required Practice Information
Practice Statement
Develop, keep updated, and use information needed to implement the design.

Value
Avoids rework by ensuring that solution implementers have the information they need to develop a
solution that meets the customer’s requirements.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
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Example Activities
Example Activities Further Explanation
Record the information needed to The technical description defines the required design
implement the solution. configuration and procedures to ensure the performance of
the item is adequate. Provide a technical description of the
solution that addresses such aspects as:
• Development
• Production
• Logistics
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permission by CMMI Institute. Usage by others is prohibited.
411

Example Activities Further Explanation

• Maintenance
• Operations and support
• Solution lifecycle states and changes
Revise the information needed to Revise information as scope, requirements, or criteria
implement the solution, as needed. change.

Example Work Products

Example Work Products Further Explanation
Technical data package Commonly used to implement the design when the
implementation is complex or broken into multiple parts
(e.g., subsystems, internal or external team or supplier.)
Package information to implement the design may include:
• Product definition data
• Engineering drawings
• Specifications
• Standards
• Performance requirements
• Reliability data
• Packaging details
• Modeling data
• Version control information
• Verification and validation criteria
• Any other information needed by the solution
implementers
Requirements, design, test, and
traceability information

TS 3.6
Required Practice Information
Practice Statement
Design solution interfaces or connections using established criteria.
Value
Reduces the likelihood of failures and rework during testing and operations and maximizes performance.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
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Example Activities
Example Activities Further Explanation
Define interface or connection criteria. When defining criteria for interfaces or connections, define or
investigate critical parameters to determine if they are
applicable. These parameters are often specific to a given
type of system and are often associated with quality attribute
requirements (e.g., safety, security, durability, and mission
critical characteristics).
Develop interface or connection design
alternatives using established criteria.
Identify interfaces or connections, both
internal and external.
Identify interfaces or connections For example:
between components and related • Interfaces or connections between fabricated components
processes. and the fixtures used during the manufacturing process
• Interfaces or connections to test beds for software testing
Identify user interfaces or connections. Examples of users include:
• Developers
• Testers
• Operators
• Users
Each may have their own needs, norms, and perspectives
that may influence how they interact with the solution.
Record, keep updated, use, and
communicate selected interface or
connection criteria, design, and
selection rationale.

Example Work Products

Example Work Products Further Explanation
Interface or connection specification May include:
criteria • Safety
• Security
• Performance
• Standards
• Capacity
Interface or connection design Consistently and correctly designed interfaces or
specification connections, can include:
• Origin
• Destination
• Sequencing constraints or protocols
• Resources needed or consumed
• Exception or error handling behavior for inputs that are
erroneous or out of specified limits
• Electrical, mechanical, and functional characteristics
• Interfaces or connections between solutions

Example Work Products Further Explanation

• Interfaces or connections with users, operators, and
maintainers of the solution
Interface or connection control
documents
Rationale for selected interface or
connection design

Verification and Validation (VV)

Required PA Information
Intent
Processes for this Practice Area will:
• Verify that selected solutions and components meet their requirements
• Validate that selected solutions and components fulfill their intended use in their target
environment
Value
Verification and validation of selected solutions and components throughout the project increases the
likelihood that the solution will satisfy the customer.

Additional Required PA Information

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Explanatory PA Information
Practice Summary
Level 1
VV 1.1 Perform verification to ensure the requirements are implemented and record and
communicate results.
VV 1.2 Perform validation to ensure the solution will function as intended in its target
environment and record and communicate results.
Level 2
VV 2.1 Select components and methods for verification and validation.
VV 2.2 Develop, keep updated, and use the environment needed to support verification
and validation.
VV 2.3 Develop, keep updated, and follow procedures for verification and validation.
Level 3
VV 3.1 Develop, keep updated, and use criteria for verification and validation.
VV 3.2 Analyze and communicate verification and validation results.
Additional PA Explanatory Information
The Verification and Validation practice area involves preparing, performing, and identifying corrective
actions and tracking them to closure.
Verification and validation address different issues:
• Verification addresses whether the work product and solution properly reflect the specified
requirements (i.e., “you are building it right.”)

• Validation demonstrates that the solution will fulfill its intended use in its target environment
(i.e., “you are building the right thing.”)
Verification and Validation activities typically include incremental, iterative, or concurrent processes that:
• Begin with requirements
• Continue through developing work products and the completed solution
• End with transitions to operations and sustainment
Validation activities can be applied to all aspects of the solution in any of its target environments,
including:
• Development
• Testing
• Operations
• Training
• Manufacturing
• Maintenance
• Support
Validation activities use approaches like verification (e.g., test, analysis, inspection, demonstration,
simulation). Typically, end users and other affected stakeholders are involved in the project’s validation
activities.
Related Practice Areas
Refer to the Requirements Development and Management practice area for more information about
eliciting, analyzing, and establishing customer, solution, and solution component requirements.
Context Specific
Agile with Scrum Guidance
Context Tag: Agile with Scrum

Context: Practices used by projects to adopt agile with Scrum and to verify and validate
solutions more effectively.

Figure VV-1 states where verification and validation activities are performed in an agile project using
Scrum project. Table VV-1 shows example criteria and results.
Agile teams using Scrum typically define a definition of done for each user story or requirement. Work
is performed until the definition of done is met for each User Story. Acceptance from the product owner
is obtained during the sprint review.
The differences between a typical agile project using Scrum and one using verification and validation
practices are the:
• Degree of clarity regarding the procedures used
• Definition of the expected operating environment
• Recording and analyzing of the results

For example, an agile team using Scrum would need to ensure that testing and demonstrations
consider and address how the user will use the solution in the intended environment. Recorded results
show the status of verification and validation activities and provide an opportunity for analysis.

Figure VV-1: VV in an Agile Framework

Table VV-1: VV Information

Level 1

VV 1.1
Required Practice Information
Practice Statement
Perform verification to ensure the requirements are implemented and record and communicate results.
Value
Early detection of requirements issues reduces the cost of addressing them and increases customer
satisfaction.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Verification throughout the lifecycle helps to ensure that requirements are implemented correctly and
issues are identified early.

Example Activities
Example Activities Further Explanation
Perform the verification of selected
work products and solutions against
their requirements.
Record and communicate the results of
verification activities.
Identify action items resulting from
verification.

Example Work Products

Example Work Products Further Explanation
Verification results
Action items

VV 1.2
Required Practice Information
Practice Statement
Perform validation to ensure the solution will function as intended in its target environment and record
and communicate results.

Value
Validation activities increase the likelihood that the result will provide the right solution to meet customer
expectations.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
This section left blank for future content.
Example Activities
Example Activities Further Explanation
Validate selected work products and
solutions with stakeholders throughout
the lifecycle to ensure they function as
intended in their target environment.
Analyze and communicate the results
of validation activities.

Example Work Products

Example Work Products Further Explanation
Validation results
Analysis results

Level 2

VV 2.1
Required Practice Information
Practice Statement
Select components and methods for verification and validation.
Value
Produces solutions that meet or exceed customer expectations and needs.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
Selecting work products for verification and validation enables early:
• Identification and resolution of defects
• Requirements refinement
• Indication of whether the proposed solution will work in the target environment
• Assessment of the proposed solution’s fitness for use
• Confidence that the proposed solution will meet customers’ needs and expectations
• Understanding of the solution among stakeholders
Verification and validation activities may result in derived requirements. Ensure the derived requirements
are included in the requirements set.

Example Activities
Example Activities Further Explanation
Select solution components for Select solution components based on their contribution to
verification and validation. meeting objectives for the solution. For each solution
component, determine the:
• Scope of the verification and validation activities
• Requirements to be satisfied
• Methods or tools to be used
Solution components that can be verified and validated
include:
• Requirements, designs, and constraints
• Acquired and developed solutions and related components
• User interfaces or connections
• User and operational manuals
• Training materials
• Process documentation
Identify requirements to be satisfied by When identifying requirements for each selected work
each selected work product. product, consult the traceability matrix (or other

Example Activities Further Explanation

requirements traceability information) maintained as part of
managing requirements for the work.
Determine which customer Target environments may include:
requirements and end user needs will • Testing
be validated. • Operations
• Maintenance
• Training
• Support services
Define, record, and keep updated Examples of verification methods include:
verification and validation methods to • Requirements inspection
be used for each selected solution. • Demonstration
• Load, stress, and performance testing
• Functional, interface or connection, and integration testing
• Prototyping, modeling, and simulation
Examples of validation methods include:
• Reviews with end users
• Prototype demonstrations
• Functional demonstrations
• Pilots
• Tests of solution components by end users and other
affected stakeholders
Attributes to consider for verification and validation may
include:
• Quality
• Functionality
• Maintainability
• Reliability
Review the validation selection, roles,
responsibilities, constraints, and
methods with affected stakeholders.

Example Work Products

Example Work Products Further Explanation
Lists of solution components selected
for verification and validation
Verification and validation methods for
each selected solution component
List of requirements to be verified and
validated

Related Practice Areas

Refer to the Decision Analysis and Resolution practice area for more information about selecting
components to verify and validate.
Refer to the Requirements Development and Management practice area for more information about
tracing requirements to work products.
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permission by CMMI Institute. Usage by others is prohibited.
421

Context Specific
Development
Context Tag: CMMI-DEV

Context: Practices are used to develop quality products and services to meet the needs of
customers and end users.

Verification and validation for hardware engineering typically considers:

• Environmental conditions (e.g., pressure, temperature, vibration, humidity)
• Input ranges (e.g., input power could be rated at 20V to 32V for a planned nominal of 28V)
• Variations induced from part to part tolerance issues
Hardware verification normally tests most variables separately except when problematic interactions are
suspected. Hardware verification and validation methods include:
• Modeling to validate form, fit, and function of mechanical designs
• Thermal modeling
• Maintainability and reliability analysis
• Timeline demonstrations
• Simulations
Verification and validation for software engineering typically includes:
• Simulation
• Traceability studies
• Functional reviews or audits
• Physical reviews or audits
• Peer reviews
• Demonstrations
• Prototypes
• Formal reviews
• Module, regression, and system integration testing

VV 2.2
Required Practice Information
Practice Statement
Develop, keep updated, and use the environment needed to support verification and validation.

Value
Project delays are minimized by ensuring that verification and validation environments are ready when
needed.

Additional Required Information

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Explanatory Practice Information
Additional Explanatory Information
The requirements for verification and validation environments are driven by the:
• Selected solution or solution components
• Type of work products (e.g., design, prototype, final version)
• Methods or tools used for verification and validation
• Physical constraints (e.g., temperature, pressure, humidity)
Elements in a verification or validation environment include:
• Test tools that work with the solution or solution components being verified or validated
• Embedded test equipment or software
• Simulated subsystems or components and their interfaces or connections
• Interfaces or connections to the operational environment
• Facilities and customer supplied products
• End users and operators
• Scenarios
• Actual or targeted physical environments (e.g., weather conditions, space, vacuum)
Using these requirements and elements, the verification and validation environments can be acquired,
developed, reused, modified, or obtained depending on the needs of the solution.
Example Activities
Example Activities Further Explanation
Identify requirements for the
verification and validation environment.
Identify customer-supplied solutions This is typically done in the validation environment if the
and components. customer has existing facilities or components that will be
part of the intended environment.
Identify verification and validation Identify verification and validation resources that are
resources, equipment, and tools. available for reuse and modification.
Develop or acquire and keep the
verification and validation
environments updated.

Example Work Products

Example Work Products Further Explanation
Verification environment
Validation environment

VV 2.3
Required Practice Information
Practice Statement
Develop, keep updated, and follow procedures for verification and validation.

Value
Following verification and validation procedures reduces costs for performing the activities and ensures
more predictable performance.

Additional Required Information

This section left blank for future content.
Explanatory Practice Information
Additional Explanatory Information
Verification procedures ensure that work products meet their requirements. Validation procedures ensure
that the solution or solution component will fulfill its intended use when placed in its target environment.

Example Activities
Example Activities Further Explanation
Develop and keep updated procedures Procedures may cover:
for verification and validation. • Maintenance
• Set up and support of test and evaluation facilities
• Training
Perform verification and validation in
accordance with the procedures.

Example Work Products

Example Work Products Further Explanation
Verification procedures
Validation procedures
Verification and validation results

Level 3

VV 3.1
Required Practice Information
Practice Statement
Develop, keep updated, and use criteria for verification and validation.
Value
Using criteria minimizes waste by ensuring the verification and validation activities focus on critical needs.

Additional Required Information

This section left blank for future content.
Explanatory Practice Information
Additional Explanatory Information
Examples of sources for verification and validation criteria include:
• Solution or solution component requirements
• Business process descriptions
• Standards, regulatory and legal requirements
• Customer requirements
• Customer acceptance criteria
• Solution performance
• Contracts and agreements
Example Activities
Example Activities Further Explanation
Develop verification and validation Criteria may include:
criteria and refine them as work • Specification of test inputs and outputs
progresses. • Description of expected results
• Description of acceptable results

Example Work Products

Example Work Products Further Explanation
Verification criteria
Validation criteria

VV 3.2
Required Practice Information
Practice Statement
Analyze and communicate verification and validation results.
Value
Analysis and communication of results helps to improve verification and validation effectiveness over
time.

Additional Required Information

This section left blank for future content.
Explanatory Practice Information
Additional Explanatory Information
Analysis and communication of verification and validation results ensure that issues receive the
appropriate attention from stakeholders and management.

Example Activities
Example Activities Further Explanation
Compare actual results to expected results.
Identify the results that do not meet
established criteria for verification.
Identify the results that do not meet
established criteria for validation.
Analyze verification and validation results
that do not meet established criteria and
determine corrective actions.
Submit improvement proposals where
improvements to verification and validation
process are identified.
Record and communicate analysis results
and corrective actions to affected
stakeholders.

Example Work Products

Example Work Products Further Explanation
Results of actual to expected comparisons
for verification and validation
Analysis results
Corrective actions
Improvement proposals

Appendices
Part Six: Appendices

Appendix A: Predefined Model Views – Categories and Capability Areas

The following section is a high-level description of the current predefined Capability Areas and
their associated Practice Areas. In addition to aiding in training, adoption, and understanding,
these views are also intended for use in appraisals. Figure 22 shows the full list of current and
predefined Categories and their Capability Areas. The breakdown of each Category by Capability
Area and then by current and potential Practice Area follows Figure 22. Planned potential
Capability Areas and Practice Areas are marked as (FUTURE).

Figure 22. Categories and Capability Areas

Category: Doing
This Category includes capability areas for producing, buying, and delivering quality solutions.

Capability Area:
Ensuring Quality

This CA area includes practice areas related to both quality assurance and quality control. Since
developing and maintaining high quality requirements is vital to most projects, the

Requirements Development and Management practice area has also been included in this
capability area.
The Ensuring Quality capability area includes the following practice areas:

Requirements Development and Management enables developing a

common understanding of needs and expectations for the solution, and keeping
it updated as the solution is created.

Process Quality Assurance ensures that the process is followed, and quality
solutions are produced.

Verification and Validation ensures that the requirements are met and that
the solution functions as intended in the target environment.

Peer Reviews identifies solution defects or issues.

Capability Area:
Engineering and Developing Products

The Engineering and Developing Products capability area focuses on engineering, developing,
and delivering products and product components.

Technical Solution focuses on designing and building products and product

components.

Product Integration covers the assembly of the products and product

components and their delivery to the customer and ensures inclusion of
required functionality and quality characteristics.

(FUTURE) Capability Area:

Delivering and Managing Services

This CA focuses on developing the capability to deliver agreed upon services, deploying new or
modified services, and establishing a portfolio of services.

(FUTURE) Service Delivery includes delivering services in accordance with

the established service level agreements.

(FUTURE) Service System Transition addresses deploying new or

significantly changed service system components while managing their effect
on ongoing service delivery.

(FUTURE) Strategic Service Management includes developing and keeping

a portfolio of updated standard services that are compatible with strategic
needs and plans.

Capability Area:
Selecting and Managing Suppliers

This CA establishes the buyer and supplier partnership to ensure that quality solutions are
delivered to the customer and end user.

(FUTURE) Solicitation and Supplier Selection involves:

• Selecting one or more suppliers to deliver the solution
• Preparing a solicitation package
• Evaluating the supplier’s solution and managing selected connections of
that solution

Supplier Agreement Management involves:

• Developing and keeping updated the supplier agreement
• Ensuring that the supplier and the buyer perform according to the terms
of the supplier agreement

Category: Managing
This category includes capability areas for planning and managing work and the workforce.

Capability Area:
Planning and Managing Work

Capability Area: Planning and Managing Work

This CA involves determining the amount of work that needs to be done, planning and
scheduling the work, and then ensuring that the work is being done in accordance with the
plans and schedules. It also ensures that resources are adequate to meet the plan and
schedule.

Estimating includes forecasting the size, effort, and cost for the work
required to develop, acquire, or deliver the solution.

Planning involves:
• Using the estimates to develop a work plan, schedule, and budget
• Determining the necessary resources to accomplish the plan, within
schedule and budget
• Obtaining commitment to the work plan from stakeholders

Monitor and Control provides an understanding of progress so

appropriate corrective actions can be taken when performance deviates
significantly from the work plan, schedule, and budget.

(FUTURE) Capacity and Availability Management includes:

• Planning for current and future resource needs
• Determining the capacity and availability of resources
• Allocating available resources to ensure optimal solution delivery

Capability Area:
Managing Business Resilience

This CA addresses the ability of an organization to anticipate, prepare for, and respond to
interruptions in order to continue operations. It involves identifying, evaluating, prioritizing, and
handling risks. It ensures timely and effective resolution and prevention of interruptions to
minimize the impact on business operations and ensures the best possible level of quality of
service. It addresses defining a minimum set of critical functions that must continue in the
event of significant interruption of normal operations.

Risk and Opportunity Management includes:

• Identifying threats and opportunities
• Evaluating their likelihood of occurrence and impact
• Mitigating potential threats
• Leveraging potential opportunities

(FUTURE) Incident Resolution and Prevention includes:

• Identifying actual and potential incidents that may impact delivery
• Establishing the approach for addressing incidents as they occur
• Analyzing incidents to prevent recurrence

(FUTURE) Continuity plans and validates the critical set of functions and
resources that are needed to continue operations when a significant or
catastrophic event occurs.

Capability Area:
Managing the Workforce

This CA addresses the way an organization develops and retains the human resources needed
to perform current and future work.

(FUTURE) Compensation and Rewards involves providing individuals with

wages and benefits based on their contribution and value to the organization.

(FUTURE) Staffing and Workforce Management develops a formal

process to align work with resources and to ensure that qualified individuals are
recruited, selected, and transitioned to assignments.

(FUTURE) Career and Competency Development enhances the

knowledge, skills, and performance of individuals in the workforce through
mentoring and other professional development techniques.

Organizational Training provides a strategy and capability for training to

support the organization’s strategic business objectives, meet common tactical
needs, and deliver training across the organization.

(FUTURE) Empowered Workgroups builds teams with the skills and

experience needed to accomplish a set of objectives that have clear goals and
well-defined tasks.

Category: Enabling
This category focuses on analyzing causes, making decisions, maintaining integrity of work
products, and communicating to stakeholders.
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Capability Area:
Supporting Implementation

This capability area involves identifying and addressing the causes of selected outcomes,
creating a decision-making approach and structure, maintaining the integrity of work products,
and fostering communication and coordination among stakeholders.

Causal Analysis and Resolution identifies causes of selected outcomes and

acts to either prevent reoccurrence of undesirable outcomes or ensure
reoccurrence of positive outcomes.

Decision Analysis and Resolution aids in making decisions using criteria-

based evaluation of alternatives and recording the results.

Configuration Management establishes and maintains the integrity of work

products using configuration identification, control, and audits.

(FUTURE) Communication and Coordination promotes timely

communication throughout the organization and ensures that the workforce has
the skills to share information and coordinate activities efficiently.

(FUTURE) Capability Area:

Managing Safety

The Managing Safety capability area ensures that safety business objectives and expectations
translate into safety policies that define clear, tangible directives to the organization.
Involves ensuring that safety is adequately addressed throughout all stages of the solution
lifecycle.

(FUTURE) Managing and Planning Safety practices address approaches

useful in the management of environmental, safety, and health mishap risks
encountered in the development, test, production, use, and disposal of
solutions, systems, subsystems, equipment, and facilities.

(FUTURE) Ensuring Safety practices include:

• identifying criteria and techniques for avoiding accidents,
• minimizing and mitigating safety mishap risks, within the constraints of
operational effectiveness, time, and cost throughout all phases of the
solution or system lifecycle.

(FUTURE) Capability Area:

Managing Security

This CA ensures that security related policies define clear expectations from translating business
objectives into tangible security directives to the organization.

(FUTURE) Managing and Planning Security practices identify security

business objectives, processes, and assets for secure solution development
that satisfy the needs and objectives of the organization.

(FUTURE) Developing Secure Solutions practices include performing

security activities that produce secure solutions.

(FUTURE) Managing Security Threats and Vulnerabilities practices help

to identify the security threats that could compromise the security objectives
of the solution, analyze the resulting level of risks, and define adequate
security measures and risk handling.

(FUTURE) Managing Supplier Security practices describe the selection

and management of suppliers to identify threats and vulnerabilities before they
are integrated into the solution.

(FUTURE) Planning and Supporting Security in Work practices include

information to systematically develop planning and support activities to
achieve security objectives in the work.

Category: Improving
This category focuses on analyzing causes, making decisions, maintaining integrity of work
products, and communicating to stakeholders.

Capability Area:
Improving Performance

This CA involves developing, managing, and improving processes and their related assets with a
primary focus on improving organizational performance.

Process Management develops capabilities and improves performance

though planning, implementing, and deploying improvements based on a
thorough understanding of the current strengths and weaknesses of the
organization’s processes and process assets.

Process Asset Development develops and keeps updated a usable set of

organizational processes and process assets for performing the work.

Managing Performance and Measurement involves:

• Ensuring that benefits and business objectives are the leading factors
driving performance and improvement
• Changing the paradigm:
o From: process improvement leads to performance improvement
o To: performance needs are the primary drivers of process
improvements
• Using the results of measurement and analysis to manage and control
performance at various work and business levels

Capability Area:
Building and Sustaining Capability

This CA ensures that processes are persistent and habitually performed and sustained
throughout the organization and that they are effectively contributing to meeting business
objectives and performance.

Governance provides guidance to senior management on their role in

ensuring that work is performed in a way that is relevant and important to the
business and organization.

Implementation Infrastructure provides a framework that ensures the

critical processes of an organization are persistently used and improved.

Appendix B: Predefined Model Views – Maturity and Capability Levels

Required and Explanatory Information

As noted in the CMMI Overview, both Practice Areas and Practices contain required and
explanatory information. In both cases, Required Information is used for verifying that either
the PA or practice intent is being achieved during appraisals. For Practice Areas, in order to
correctly interpret and verify that the intent of the PA is met, the following must be looked at
collectively:
• Intent statement
• Value statement
• Additional Required Information
For practices, in order to correctly interpret and verify that the intent of the practice is met, the
following must be looked at collectively:
• Practice statement
• Value statement
• Additional Required Information
Everything other than the required information is informative material. The informative material
of the model cannot be ignored; it is needed to understand the meaning of the required
information of the model. The terms “required” and “informative” in the model are specifically
relevant in the context of appraisals. When adopting CMMI, all model content is critical to
achieving performance and process improvement. For more information on appraisals,
reference the appropriate appraisal requirements, such as the V2.0 Method Definition Document
(MDD). Figure 23 shows the similarities and differences between Practice Areas and Practices.

Figure 23. Practice Area vs. Practice Structure

Capability Levels
Capability levels apply to an organization’s performance and process improvement
achievements in individual practice areas. Within practice areas, the practices are organized into
a set of evolutionary levels labeled Level 0 to Level 5 which provide a path to performance
improvement. Each evolutionary level builds on the previous levels by adding new functionality
or sophistication resulting in increased capability. Capability levels are represented graphically
by a two-axis bar chart, where one axis is the PA and the other axis is the capability level (i.e.,
0-3) achieved for that PA. Figure 24 shows the evolutional characteristics of the capability
level for practices.

Figure 24. Evolutionary View of Practice Group Levels in Practices

All capability level ratings must include II and GOV. Capability levels can be benchmarked to a
single PA, as long as II and GOV are also included. For example, an organization could achieve
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442

a Capability Level 3 for the Planning PA if the capability levels for the practices in the Planning,
II, and GOV PAs up to Capability Level 3 are achieved. Figure 25 shows the required Practice
Groups (PG) needed for each capability level, using the Configuration Management Practice
Area as an example. For Capability Level ratings, the maximum level that can be achieved for
any PA is Capability Level 3. For more information on determining capability levels and ratings,
refer to the CMMI V2.0 Method Definition Document (MDD).

Figure 25. Capability Level Rating Progression – CM Example

The rules for achieving a CMMI V2.0 Capability Level require that an organization or projects
use and follow processes that:
• Meet the intent of the practices up to the targeted capability level for all selected
practice areas and up to the same targeted level for the practices in the
Implementation Infrastructure and Governance practice areas.

Maturity Levels
Maturity levels apply to an organization’s performance and process improvement achievements
in a predefined set of practice areas. Within each maturity level, the predefined set of PAs also
provide a path to performance improvement. Figure 26 shows the names of each maturity
level, along with their characteristics and their evolutionary path for performance.

Figure 26. Maturity Levels Summary

Within each maturity level, performance has been built in to allow organizations to easily
identify performance improvement needs, and then use the model practices to improve. Like
capability levels, maturity levels build on each other and cannot be skipped. The following list
contains a brief description on how maturity levels build on each other.
• Maturity Level 0: the intent of all predefined PAs is not achieved
• Maturity Level 1: the intent of all predefined PAs up to and including Level 1
practices is achieved at Practice Group Level 1
• Maturity Level 2: the intent of all predefined PAs up to and including Level 2
practices is achieved at Practice Group Level 2
• Maturity Level 3: the intent of all predefined PAs up to and including Level 3
practices is achieved at Practice Group 3

• Maturity Level 4: the intent of all predefined PAs up to and including Level 4
practices is achieved at Practice Group 4
• Maturity Level 5: the intent of all predefined PAs up to and including Level 5
practices is achieved at Practice Group 5
The CMMI is an integrated set of best practices that improve performance and key capabilities
for the following current (and planned or potential) CMMI Institute predefined model views:
• CMMI Development V2.0 (CMMI-DEV), (based, in part, on the CMMI for
Development v1.3 model) for improving processes and performance for developing
better products and services.
• (FUTURE) CMMI Services V2.0 (CMMI-SVC), (based, in part, on the CMMI for
Services v1.3 model) for improving capabilities and processes for providing better
service performance
• (FUTURE) CMMI Supplier Management V2.0 (CMMI-SPM) (based, in part, on the
CMMI for Acquisition v1.3 model) for improving processes and performance for
optimizing the supply chain
• (FUTURE) CMMI People Management V2.0 (CMMI-PPL) (based, in part, on the
People CMM v2 model) for Improving processes and performance for managing
people
The following tables in Figure 27 through Figure 30 show the organization of the PAs in
maturity levels 2-5 for each of the CMMI Institute predefined model views.

Figure 27. CMMI V2.0 Development, Maturity Levels 2-5

Figure 28. (FUTURE) CMMI V2.0 Services, Maturity Levels 2-5

Figure 29. (FUTURE) CMMI V2.0 Supplier Management, Maturity Levels 2-5

Creating Customized Views

Customized views can also be created and used to address any given challenge, issue or
improvement opportunity. Below are two customized view examples:
Example 1: For a very small development organization just starting out on their performance
and process improvement journey, the following practice areas could address their critical
problems:
• Estimating (EST)
• Planning (PLAN)
• Monitor and Control (MC)
• Technical Solution (TS)
• Product Integration (PI)
Example 2: For a technical division in an organization that manages development, services, and
suppliers, the following practice areas could address their performance improvement needs:
• Incident Resolution and Prevention (IRP)
• Capacity and Availability Management (CAM)
• Continuity (CONT)
• Service System Transition (SST)
• Strategic Service Management (STSM)
• Technical Solution (TS)
• Product Integration (PI)
• Managing Performance and Measurement (MPM)
• Service Delivery (SD)
• Solicitation and Supplier Selection (SSS)
• Supplier Agreement Management (SAM)
• Requirements Development and Management (RDM)
• Governance (GOV)
• Implementation Infrastructure (II)
A key aspect of creating customized views is to:
• Identify the problems
• Determine root causes
For more information on customized views, refer to:
• The CMMI Institute Method Definition Document, or,
• The CMMI Adoption and Transition Guidance

Figure 30. Development and Multi-Model Capability Area View Examples

Appendix C: CMMI V2.0 Adoption and Transition Resources

Appendix D: Common CMMI Misperceptions

The following list contains some of the most common misperceptions of the CMMI, and the
reality in light of CMMI V2.0.

Appendix E: Glossary

Glossary Terminology Context

Certain words in the CMMI V2.0 product suite have special meaning. When applicable, that term
is included in the glossary. Otherwise the common English meaning of words (e.g. Webster or
Oxford dictionary) applies.
Terms appearing in the CMMI glossary take on the characteristics of the content where they
appear in the model or Method Definition Document (MDD). For example, if a term is used in
required information, it is required in that context, or if it appears in the explanatory
information, it is an explanatory term in that context.

5-Whys
A technique used to determine an issue's root causes. This technique involves asking the
question "Why?" repeatedly until the root cause is identified.

acceptance criteria
Criteria that a solution must satisfy to be accepted by customers.

acceptance testing
Testing performed to determine whether a customer, acquirer, user, or their designee should
accept a solution.

acquirer
The stakeholder who acquires a solution from a supplier. (See also “affected stakeholder”.)

acquisition
Obtaining solutions by establishing and executing supplier agreements. (See also “supplier
agreement”.)

affected stakeholders
People impacted by a process, activity, work product, or decision.

agile
An approach to project management or delivery methodology in which the customer is
intimately involved in the project, tasks are divided into short phases of work, and there is
frequent reassessment and adaptation of plans.

agile with Scrum

This is a CMMI context-specific tag reserved for identifying unique information for agile projects
using Scrum. It is a framework for managing work with an emphasis on software development.
It is designed for small teams of developers who break their work into actions that can be
completed within time-boxed iterations, called sprints (e.g., two-weeks), and track progress and
re-plan in 15-minute stand-up meetings, called daily scrums. (See also “agile”.)

allocated requirement
Requirement that results from levying all or part of a higher-level requirement on a solution's
lower-level design component.

Requirements can be allocated to logical or physical components including people,

consumables, delivery increments, or the architecture as a whole, depending on what best
allows the solution to meet requirements.

appraisal
An examination of one or more processes by a trained team using an appraisal reference model
as the basis for determining, at a minimum, strengths and weaknesses. (See also “CMMI Action
Plan Reappraisal”, “CMMI Benchmark Appraisal”, “CMMI Evaluation Appraisal”, and “CMMI
Sustainment Appraisal”.)

architecture
The set of structures that need to be considered to establish a solution. These structures are
comprised of smaller components or elements, relationships among those structures and
elements, and the properties of both. (See also "functional architecture".)

assignable cause of process variation

An extraordinary event outside the bounds of the usual steps following the process.

audit
An objective examination of processes or a work product or set of work products against
specific criteria (e.g., requirements). (See also “objectively evaluate”.)

base measure
Measure defined in terms of an attribute and the method for quantifying it. A base measure is
functionally independent of other measures. (See also “derived measure”.)

baseline
A set of specifications or work products that:

• has been formally reviewed and agreed on,

• serves as the basis for further work or change, and
• can be changed only through change control procedures.
(See also “configuration baseline” and “product baseline”.)

benchmark model view

A logical grouping of CMMI Institute predefined CMMI V2.0 model components that are used to
describe the model view scope of an appraisal.

• For maturity levels, the benchmark model view is a set of Practice Areas (and their
levels) predefined by the CMMI Institute for the purposes of conducting Benchmark
appraisals or Sustainment appraisals.

• For capability levels, the benchmark model view may either be a predefined view, or
a selection of PAs or Capability Areas (CAs) and their levels that meet the
organization’s business needs and performance objectives.
bidirectional traceability
An association among two or more logical entities that is discernable in either direction (i.e., to
and from an entity). (See also “requirements traceability” and “traceability”.)

business performance
The accomplishment of a given capability or task measured against preset known objectives,
including, but not limited to, quality, cost, speed, accuracy and completeness for delivery of a
solution to a customer. In the CMMI, the term "business performance" refers to performance at
the business or organizational level; it can be both organizational-specific or aggregated from
the project level. For example, collect measurement and performance data at the project level
and aggregate data to enable organizational performance analysis at the business level. (See
also “process performance”.)

capability
Anything an organization does well that drives meaningful business results.
Capabilities are typically organizational level skills, abilities, and knowledge embedded in
people, processes, infrastructure, and technology. Capabilities are what an organization
needs to implement its business model or fulfill its mission.
capability area
A capability area (CA) is a group of related practice areas that can provide improved
performance in the skills and activities of an organization or project. A capability area view is a
subset of the CMMI V2.0 model that describes a predefined set of practice areas that make up a
specific capability area. Capability areas are a type of a view. (See also “capability” and “view”.)

capability level
The capability level for a given PA is the highest practice group level at which the intent of all
practices is met. Capability levels are cumulative and for each practice group level met, all
lower level practice groups must also be met.

Capability Maturity Model Integration (CMMI)

An integrated model of best practices that enable businesses to improve performance by
improving their processes. This model was developed by product teams with global members
from across industry and from the CMMI Institute. The CMMI provides a best-practice
framework for building, improving, and sustaining process capability. (See also “CMMI product
suite”.)

capable process
A stable process that is able to meet the quality and process performance objectives set for it,
and the variation of the process falls within set specification limits. (See also “stable process”
and “organization’s set of standard processes”.)

category
Categories are logical groups or types of views of related capability areas that address common
problems encountered by businesses when producing or delivering solutions.

causal analysis
The analysis of outcomes to determine their causes. (See also “root cause”.)

change management
Defined control, authorization, preparation for, and implementation of changes in planned,
controlled, and methodical and process-driven manner.

CMMI product suite

The integrated set of products and components that make up CMMI V2.0. The product suite
components include the model, appraisal method, training and certification, adoption guidance,
and systems and tools. (See also “CMMI”.)

Commercial Off-The-Shelf (COTS)

Describes items that can be purchased from a commercial supplier and used without tailoring.

common cause of variation

The variation of a process that exists because of normal and expected interactions among
components of a process. Also referred to as “inherent cause” of variation. (See also “special
cause of variation”.)

configuration audit
An audit conducted to verify that a configuration item or a collection of configuration items in a
baseline conforms to a baseline description. (See also “audit” and “configuration item”.)

configuration baseline
The configuration information formally designated at a specific time during a solution or solution
component’s life. Configuration baselines plus approved changes from those baselines constitute
the current configuration information. (See also “product lifecycle”.)

configuration control
The process of managing changes to a formal configuration baseline. The process consists of
evaluating the change, coordinating any effects, approving or disapproving the change, and
implementing the changes to configuration items in the baseline. (See also, "configuration
identification”, "configuration item”, and "configuration management”.)

configuration control board

A group of people responsible for evaluating and approving or disapproving proposed changes
to configuration items and for ensuring implementation of approved changes. Configuration
control boards are also known as “change control boards”. (See also “configuration item”.)

configuration identification
A configuration management activity that involves selecting a product’s configuration items,
assigning them unique identifiers, and recording their functional and physical characteristics in
technical documentation. (See also “configuration item” and “configuration management”.)
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configuration item
A group of work products that is designated for configuration management and treated as a
single entity in the configuration management process. (See also “configuration management”.)

configuration management
The process of managing the integrity of work products using configuration identification,
version control, change control, and audits. (See also “configuration identification”,
“configuration item”, “configuration audit”, and “version control”.)

contractual requirements
Result of analysis and refinement of customer requirements into a set of requirements suitable
for inclusion in solicitation packages or supplier agreements.

Contractual requirements include technical and nontechnical requirements necessary to acquire

a solution.

(See also “acquirer”, “customer requirement”, and “supplier agreement”.)

core assets
Assets that form the basic parts of a solution and may include:

• Components
• Domain models
• Requirements
• Performance models
• Estimates and plans
• Test plans and test descriptions
• Process descriptions
customer
The party responsible for buying or accepting a solution or for authorizing payment for a
solution.

customer requirement
The result of eliciting and consolidating needs, and resolving conflicts among those needs,
expectations, constraints, and interfaces to clarify and define the solutions with affected
stakeholders in a way that is acceptable to them. (See also “customer”.)

data
Qualitative or quantitative-based information that can be recorded, communicated, and
analyzed.

defect density
Number of defects per unit of solution size. An example is the number of bugs per thousand
lines of code.

defined process
The subset of organizational process assets that are essential for any tailored and managed
process. A fully defined process has enough detail that it can be consistently performed by
trained and skilled people and is both persistent and habitual. A defined process is necessary at
the practice group evolutionary level three (3) in the CMMI practice areas (See also “managed
process”.)

deliverable
An item to be provided to an acquirer or other designated recipient as specified in an
agreement. This item can be a document, hardware item, software item, service, or any type of
work product. (See also “acquirer”.)

derived measure
Measure defined as a function of two or more base measures. Derived measures are often
expressed as ratios, composite indices, or other aggregate summary measures. (See also “base
measure”.)

derived requirements
Requirements that are not explicitly stated in customer requirements, but are inferred and
developed from:

• contextual requirements (e.g., applicable standards, laws, policies, common

practices, management decisions); or
• requirements needed to specify a solution component.
Derived requirements can also arise during analysis and design of solution components. (See
also “product component requirements”.)

design review
A formal, recorded, comprehensive, and systematic examination of a solution or component
design to determine if the design meets applicable requirements, identify problems, and
propose solutions.

develop, use, and keep updated

This phrase is a fundamental principle in CMMI: work products resulting from projects’ and
organizational processes must be used and useful to the work and enable performance. The
work products should be kept current to reflect how work is performed or improved.

development
To create a solution by deliberate effort. In some contexts, development can include
maintenance of the developed product or service system. In the CMMI product suite, when this
term is used with the phrase “Development context specific”, it is referring to this definition.

DevOps
A combination of the terms: “development” and “operations”. This is an enterprise software
development phrase used to mean a type of agile relationship between development and
Information Technology (IT) operations. The goal of DevOps is to change and improve the

relationship between development and operations by advocating better communication and

collaboration between these two business units.

document
A collection of information and data, regardless of the medium on which it is recorded, that
generally has permanence and can be read by humans or machines. Documents can be work
products reflecting the implementation of processes that meet the intent of one or more model
practices. Documents may be embedded as related information within an automated, robotic, or
online system. Documents may be available as hardcopies, available as softcopies, or accessible
via hyperlinks in a web-based environment. Documents are used and maintained or kept
updated. (See also “artifact” and “record”.)

enterprise
The whole of a company or organization. This may include a company, a government, or
government agency, or an organization that consists of many smaller organizations in many
locations with different customers.

entry criteria
Conditions that must be met before an effort can begin successfully. (See also “exit criteria”.)

example activities
Possible actions that may be taken when implementing processes that meet the intent of a
practice. The intent of "Example Activities" is to serve as guidance and suggestions, not as
required activities. It is not intended to be a comprehensive list.

example work products

Possible outputs of implementing processes that meet the intent of a practice. The intent of
"Example Work Products" is to serve as guidance and suggestions, not as required work
products. It is not intended to be a comprehensive list.

exit criteria
Activities that must be completed, as recorded, before successful completion of a project or
work effort. (See also “entry criteria”.)

functional analysis
Analysis of a defined function to identify all the subfunctions necessary to successfully perform
that function.

functional architecture
The hierarchical arrangement of functions, including all internal and external interfaces. (See
also “architecture” and “functional analysis".)

gemba walk
The term used to describe personal observation of work – where the work is happening. The
original Japanese term comes from gembutsu, which means “real thing”. (Also known as “genba
walk”.)

hardware engineering
The application of a systematic, disciplined, and measurable approach to transforming a set of
requirements, using documented techniques and technology to design, implement, and
maintain a tangible solution. In CMMI, hardware engineering represents all technical fields (e.g.,
electrical, mechanical) that transform requirements and ideas into tangible solutions. (See also
“software engineering” and “systems engineering”.)

High Maturity
CMMI Model practice group levels (and their associated practices) of 4 or 5 are considered high
maturity practices and levels. High maturity organizations and projects use quantitative and
statistical analysis to determine, identify, and manage central tendency and dispersion and
understand and address process stability and capability and how these impact the achievement
quality and process performance objectives.

informative material
Includes everything other than the required information. Explanatory information in practices
are part of the informative material. Informative material also includes the overview and
appendices (e.g. glossary, index, etc.).

External links can be added to the informative material. These are links to external assets such
as:

• Additional informative material

• Adoption examples
• Transition and adoption guidance from one model or standard to others
• Templates
• Training materials
Like the practice explanatory information, informative material must not be ignored, as it is
needed to correctly understand and adopt the model.

integration environment
The configuration of processes, systems, tools, people, and infrastructure used when putting
components together to develop a solution.

intent
For Practice Areas in the CMMI, the intent statement explains the purpose and outcomes for
satisfying a PA and meeting the intent of its associated practices. The intent of each practice is
collectively: the practice statement, the value statement, and the additional required
information.

interface data
Data or information describing interfaces or connections.

interface or connection
A shared boundary across which separate components/entities (human, service, hardware, or
software) exchange information. Either term “interface” or “connection” may be used to
describe this boundary.

interface or connection description

A description of the functional and physical characteristics of a component or other interface
(e.g. user, system, etc.), that describes the interaction with the component.

Lead Appraiser (LA)

When used in the CMMI Institute defined Method Definition Document (MDD), this term is used
for a specific certified role (i.e., CMMI Institute certified Lead Appraiser, or CMMI Institute
certified High Maturity Lead Appraiser). These certifications are required for the MDD process
role of Appraisal Team Leader. (ATL). (See also “Appraisal Team Leader”.)

lifecycle model
A description of the steps and activities for the development and updating of a solution that is
communicated to stakeholders and followed by a project or organization. This description
typically includes:

• Phases
• Sequence
• Interrelationships
• Inputs
• Outputs
• Decisions points
• Roles and responsibilities
managed process
A performed process that is developed, followed and updated and is made persistent and
habitual in its use. A managed process is necessary at the practice group evolutionary level two
(2) in the CMMI practice areas (See also “performed process”.)

maturity level
The maturity level is applied to a predefined set of practice areas. Maturity levels are cumulative
and for each maturity level met, all lower maturity levels must also be met. The intent of each
practice area in the predefined must be met up to and including the highest applicable level.

measure
(n.) Variable to which a value is assigned as a result of measurement. (See also “base measure”
and “derived measure”.)

measurement and performance objectives

Used to describe quantitative or qualitative objectives that do not require the additional rigor of
statistical or quantitative analysis. (See also “quality and process performance objectives”)
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measurement-based
Numerical data obtained by performing measurements, but not based on statistical and
quantitative management.

memorandum of agreement
A record of agreement between two or more parties (also known as a “memorandum of
understanding”). (See also “Statement Of Work”.)

model component
Any of the five main architectural elements or parts that compose the CMMI model. These
include the view, practice area, practice group, practice, and informative material. (See also
“informative material”, “practice”, “practice area”, “practice group”, and “view”.)

natural bounds
The inherent range of variation in a process, as determined by process performance measures.
Natural bounds are sometimes referred to as “control limits” or the “voice of the process”.

objectively evaluate
To review activities and work products against criteria that minimize subjectivity and bias by the
reviewer. An example of an objective evaluation is an audit against requirements, standards, or
procedures by independent quality assurance personnel. (See also “audit”.)

operational concept
A general description of the way in which a component or solution is used or operates. An
operational concept is also known as “concept of operations”.

operational scenario
A description of a potential sequence of events that includes the interaction of a component or
solution with its environment and users, as well as interaction with other solution components.
Operational scenarios are used to evaluate the requirements and design of the system and to
verify and validate the system.

opportunity
An uncertain event that may positively impact meeting objectives.

optimizing process
A quantitatively managed process that is continually improved to increase its capability. These
continuous improvements can be made through both incremental and innovative improvements.
An optimizing process is necessary at the practice group evolutionary level five (5) in the CMMI
practice areas.

(See also “quantitatively managed process” and “defined process” for contrast.)

organization’s business objectives

Objectives developed by senior management to ensure an organization’s continued existence,
improve performance, build and improve capability, and enhance its profitability, market share,
and other factors that influence the organization’s success.

organization’s measurement repository

A specific location or locations (e.g., online, in a tool, etc.) where information is stored, used to
collect, and make measurement results available throughout the organization on processes and
work products, particularly as they relate to the organization’s set of standard processes. This
repository contains or references actual measurement results and related information needed to
understand and analyze measurement results and is typically described as part of the
organizational process assets. (See also “organization’s process assets” and “organization’s set
of standard processes”.)

organization’s process assets

Process-related documentation, records, and information such as policies, an organization’s set
of standard processes (e.g., process descriptions), tailoring guidelines, defined processes,
checklists, lessons learned, templates, standards, procedures, plans, training materials, etc.
(See also “process description” and “organization’s process asset library”.)

organization’s process asset library

A specific location or locations where information is stored to make process assets available that
are useful to those who are defining, implementing, managing, and following processes in the
organization. (See also “organization’s process assets”.)

organization’s set of standard processes

A collection of process descriptions that guide consistent process implementation across an
organization. These process descriptions cover the fundamental process elements (and their
relationships to each other such as ordering and interfaces) that should be incorporated into the
defined processes that are implemented in work groups across the organization. A standard
process is essential for long-term stability and improvement. (See also “process description” and
“process element”.)

organizational directives
A guiding principle typically established by senior management that is adopted by an
organization to influence and determine decisions (may also be known as “organizational
policies”).

peer reviews
The reviews of work products performed by peers during the development of work products to
identify defects for removal. Peer reviews are sometimes called work product inspections. (See
also “work product”.)

performance parameters
Measurable criteria that can be tracked to monitor progress towards quantitative objectives.
Collectively, performance parameters provide a metric for determining success for the business
or project.

performed process
A simple approach or set of steps that produces solutions or work products. A performed
process is characteristic of practice group evolutionary level one (1) in the CMMI practice areas.

persistent and habitual

The ingrained way of doing business and following and improving process that an organization
follows routinely as part of its corporate culture. Processes that are persistent and habitual meet
the intent of the Building and Sustaining Capability Area PAs of Implementation Infrastructure
(II) and Governance (GOV).

practice
A practice consists of two parts:

• Required Practice Information: Information required to understand the full intent

and value of the practice, which includes the practice statement, the value
statement, and all the additional required information between it and the
explanatory information in the practice.
• Explanatory Practice Information: Remaining parts of the practice, including example
activities and work products, which are important and useful to better understand
the meaning and intent of the required information (including the practice
statement, value, and additional required information).
Practice Area (PA)
A collection of similar practices that together achieve the defined intent, value, and required
information described in that practice area.

Practice Area (PA) required information

What is needed to meet the intent of a practice area at a particular level, including the intent,
value statement, and any required PA information.

practice group
Organizing structure (e.g., evolutionary level) for practices within a practice area to aid
understanding and adoption and provides a path for performance improvement.

process
A set of interrelated activities, which transform inputs into outputs, to achieve a given purpose.
It includes a process description that is updated and followed. Sufficient resources, funding, and
training have been provided for its use, and that use is verified. A process may include
subprocesses or procedures. (See also “subprocess”, and “process element”.)

process action team

A team that has the responsibility to develop and implement process improvement activities for
an organization. (See also “process group”.)

process and technology improvements

Incremental and innovative improvements to processes and to process or solution technologies.

process architecture
• The ordering, interfaces, interdependencies, and other relationships among the
process elements in a standard process, or set of standard processes, tailoring
guidelines for those processes; and,
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• the interfaces, interdependencies, and other relationships between process elements

and external processes
(See also “tailoring” and “tailoring guidelines”.)

process capability
A recorded range of expected results that can be achieved by following a process.

process definition
The act of defining and describing a process. The result of process definition is a process
description. (See also “process description”.)

process description
A record of the steps that are used to implement a specific process. Process descriptions are
used at the personal, project, work group, or organizational level. Process descriptions may be
documents, embedded steps or instructions in a robot, component, system or tool, or graphical
representations, etc. (See also “process definition”.)

process element
The most fundamental unit of a process. The terms “process”, “subprocess”, and “process
element” form a hierarchy with “process” at the highest, most general term, “subprocess” below
it, and “process element” as the most specific. (See also “process”, “process description, and
“subprocess”.)

process group
The people or team who hold a process role and are responsible for developing, implementing,
and maintaining the organization's process assets. (See also “process role”.)

process improvement
The tasks and activities that are planned, performed and used to improve an organization's
process capability and performance to more effectively achieve an organization’s business
objectives. These tasks are recorded in a Process Improvement Plan. (See also “organization’s
business objectives”.)

process improvement objectives

A set of measurement objectives established to focus process improvement in a specific,
measurable way that improves performance to achieve an organization’s business objectives
and build or improve capability. Process improvement objectives may focus on improving:

• Solution attributes (e.g., quality, product performance, conformance to standards),

or
• Process performance (e.g., eliminating redundant process steps, combining process
steps, improving cycle time)
(See also “measurement and performance objective”, “organization’s business objectives”, and
“quantitative objective”.)

process improvement plan

A process improvement plan records the objectives, activities, resources, oversight, schedules,
and associated risks to improve processes.

process measurement
A set of operations used to determine values of measures of a process and its resulting
products or services. Process measurements are collected to describe and understand process
performance. (See also “measurement” and "process performance”.)

process owner
The person or team responsible for developing, updating or following a process. An organization
or project can have multiple owners at different levels of responsibility for:

• organization’s set of standard processes

• project-specific and project-defined processes
process performance
A measure of results achieved by following a process. Process performance is characterized by
both process measures (e.g., effort, cycle time, defect removal efficiency) and solution
measures (e.g., reliability, defect density, response time). The term "process performance"
refers to the project or "working level" where the solutions are being developed or delivered.
For example, collect measurement and performance data at the project level and aggregate
data to enable organizational performance analysis at the business level. (See also “measure”
and “business performance”.)

process performance baseline

A record and description of historical process performance resulting from following a defined
process, which can include central tendency (e.g., mean, medium, mode) and variation and
reflects how the work is being performed. Process performance baselines can be used as
benchmarks for comparing actual process performance to expected process performance and
can be used in process performance models to predict process performance. (See also “process
performance” and “process performance model”.)

process performance model

A predictive performance analytical tool describing relationships among measurable attributes of
one or more processes, subprocesses, process elements, or work products and controllable
factors. A process performance model:

• is developed from historical process performance data (such as those contained in in

process performance baselines);
• describes, models, or depicts variation in measurable attribute values and terms;
• predicts interim or final process performance;
• estimates expected range and variation of predicted results;
• includes at least one measurable attribute representing a controllable input tied to a
subprocess.
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The condition in the last bullet makes “what-if” analyses possible: controllable input(s) can be
varied and resulting changes in process performance predicted. Analyses can be performed
during planning, dynamic re-planning, and problem resolution to make process tailoring choices
that maximize likelihood of meeting quality and process performance objectives.

Process performance models can be:

• statistical (e.g., regression models),

• probabilistic (Bayesian models), or
• simulation-based (e.g., Monte Carlo or discrete event simulation models)
A process performance model can be a collection of models that when combined meet the
criteria of a process performance model.

(See also “process performance baseline” and “quality and process performance objectives”.)

process role
A description of the roles of people who develop, use, or follow a process in an organization.
This role is typically recorded in a process description or related artifact (e.g., a roles and
responsibility table or matrix). People in these roles provide objective evidence (OE) showing
and explaining their roles and responsibilities and how they relate to the processes in scope.
These roles include people or groups developing, managing, performing, and improving a
process (e.g., a central or distributed process improvement, training, or quality assurance group
or person), and must include any people or groups who use or follow the process (e.g., project
teams, managers, support personnel, etc.).

process tailoring
Developing or adapting a process description according to organizational defined standard
guidelines to achieve a particular result. For example, a project develops its tailored process
from the organization’s set of standard processes to meet objectives, constraints within the
project environment. (See also “organization’s set of standard processes” and “process
description”.)

product baseline
Defined and agreed-upon information describing and defining a configuration item or set of
items during production, operation, maintenance, and logistic support. (See also “configuration
item”.)

product component
A work product that is a building block of the product. Product components are integrated to
produce the product. There can be multiple levels of product components.

product component requirements

Complete specification of a product component. Product component requirements include form,
fit, function, and performance.

product lifecycle
Period, consisting of phases, that begins when a product or service is conceived and ends when
the product or service is no longer available for use. For example, a product lifecycle could
consist of the following phases:

• concept and vision

• feasibility
• design/development
• production
• delivery
• phase out, retire, or sunset
Organizations can produce multiple products or services for multiple customers, and so may
define multiple product lifecycle descriptions. These models may be adapted from published
literature for use in an organization.

product line
A group of products:

• sharing a common, managed set of features,

• satisfying specific needs of a selected market or mission, and
• developed from a common set of core assets in a prescribed way.
product related lifecycle processes
Processes associated with a product or service during one or more lifecycle phases such as
manufacturing and support processes.

project
A managed set of interrelated activities and resources, including people, that delivers one or
more solutions to a customer or end user. A project typically has an intended beginning (i.e.,
project startup) and end, but also may be continuous. Projects typically operate according to a
plan and set of requirements. The term “project” includes where and how the work gets done,
whether developing a product, providing a service, performing an organizational function, or
acquiring and managing suppliers, etc. Projects provide artifacts and affirmations used in an
appraisal. (See also “process role”, and “organizational and in-scope project”.)

project plan
A plan that provides the basis for performing and controlling project activities, and addresses
commitments to the customer. A project plan is based on estimating the attributes of work
products and tasks, determining the resources needed, negotiating commitments, producing a
schedule, and identifying and analyzing risks. Iterating through these activities can be
necessary to establish the project plan.

project startup
Initial time period when a project is directed to develop solutions for a customer. (See also
“project”.)

prototype
A preliminary instance (e.g., physical, electronic, digital, analytical) of a solution or solution
component that serves as a model for the final version of the product.

quality
The degree to which a set of solution characteristics fulfills requirements.

quality and process performance objectives

Quantitative objectives and requirements for solution quality and process performance. To
emphasize the importance of quality in the CMMI product suite, the phrase “quality and process
performance objectives” is used. The term “quality and process performance objectives” is also
used within high maturity practices. These objectives include the use of statistical and
quantitative analysis on the related data. (See also “measurement and performance objectives”)

quality attribute
Property of a solution by which affected stakeholders will judge its quality. Quality attributes
are:

• "non-functional”,
• significantly influence architecture, and
• characterized by one or more measures.
Quality attributes examples include:

• timeliness
• throughput
• responsiveness
• security
• modifiability
• reliability
• usability
quality assurance
A planned and systematic means for assuring management that agreed to standards, practices,
procedures, and methods are applied.

quality control
Operational techniques and activities used to verify the achievement of quality requirements.

quantitative management
Managing a project or work using statistical and other quantitative techniques to understand
actual or predicted process performance relative to quality and process performance objectives,
and identifying corrective action needed to meet the objectives. (See also “statistical
techniques”.)

quantitative objective
Desired target value expressed using measures. (See also “measure”, “process improvement
objectives”, and “quality and process performance objectives”.)

quantitatively managed process

A defined process that is evaluated and controlled using statistical and other quantitative
techniques. A quantitatively managed process is necessary at the practice group evolutionary
level four (4) in the CMMI practice areas.

Process performance, or quality of the resulting work products or services, is measured to

determine if results are within expected or predicted bounds or specifications, and corrective
actions are analyzed and resolved. (See also “optimizing process” for contrast.)

reference model
A defined model describing practices and activities that is used for improving performance or as
a benchmark for measuring capability or maturity.

requirement
A recorded description of an aspect, performance, or capability required by a user or customer.

requirements analysis
Using a process to determine solution specific functions and quality attributes based on analysis
of:

• Customer needs and expectations

• Operational concepts
• Expected deployment environments
• Measures of effectiveness
requirements elicitation
Using a process and tools such as prototypes and structured surveys, to proactively identify and
document customer and end user needs.

requirements management
Planned activities that manage, analyze the effects of, and track all requirements changes
during the solution lifecycle.

requirements traceability
A record of the relationships between requirements and related requirements, implementations,
and verifications. (See also “bidirectional traceability” and “traceability”.)

Return On Investment (ROI)

The ratio of benefit of a process or solution improvement to implementation costs to determine
the value.

risk
A potential uncertain event that may be harmful or may negatively impact achieving objectives.

risk or opportunity analysis

The evaluation, classification, and prioritization of risks or opportunities.

risk or opportunity candidate

Identification of a proposed risk or opportunity that may either be harmful or beneficial.

risk and opportunity identification

Use of a process to identify risks, opportunities, and sources.

risk and opportunity management

Use of a process to identify, analyze, classify, and possibly mitigate the effects of risks or
leverage the benefits of opportunities.

risk mitigation
A set of planned activities, which if performed, may minimize the probability or impact of the
risk.

root cause
The underlying source of a defect or problem.

senior management
The person or persons who provide the policy and overall guidance for the process, but do not
provide the direct day-to-day monitoring and controlling of the process.

A senior manager has authority to direct the allocation or reallocation of resources in support of
organizational process improvement effectiveness. A senior manager can be any manager who
satisfies this description, including the head of the organization. Synonyms for senior
management include “executive” and “top-level management”. However, to ensure consistency
and usability, these synonyms are not used in CMMI models. Senior management can also be a
process role for any level of management for an organizational and in-scope projects, that:

• Sets the strategy, direction, and expectations for performance and process efforts
• Ensures that processes are aligned with business objectives and needs
• Reinforces and rewards the development and use of processes to ensure their
improvement and sustainment
• Monitors the performance and achievements of the processes
• Provides adequate resources for process and performance improvement
(See also “process role” and “organizational and in-scope project”.)

shared vision
A common understanding of guiding principles, including mission, objectives, expected behavior,
values, and final outcomes, which are developed and used by a project or work group.

size
Amount of items, or volume of work effort or work products being produced (e.g., activities,
pages, requirements, number of components, solutions, etc.) that are used as a basis for
producing estimates and plans.

software engineering
The application of a systematic, disciplined, quantifiable approach to the development,
operation, and maintenance of software.

solution
In the CMMI product suite, a product, product component, service, service system, service
system component, or delivered or acquired product or service.

solution component
A work product that is a building block of the solution. Solution components are integrated to
produce the solution. There can be multiple levels of solution components.

“Solution” and “solution component” encompass services, service systems, acquisition, and their
components. (See also “product component”.)

solution component requirements

Complete specification of a solution component. Solution component requirements include form,
fit, function, and performance.

special cause of variation

A cause of process variation that is specific to some temporary circumstance and is not an
inherent part of a process. Also referred to as “assignable process variation”. (See also
“common cause of variation”.)

sponsor
(See “appraisal sponsor”.)

stable process
The state in which special causes of process variation have been removed from the process and
prevented from recurring. In a stable process, only common cause variation of the process
remains. (See also “capable process”, “common cause of variation”, “special cause of variation”,
and “organization’s set of standard processes”.)

Statement Of Work (SOW)

A description of work to be performed and their respective groupings of tasks or activities. (See
also “memorandum of agreement”.)

statistical and other quantitative techniques

Analytic techniques that allow parameters describing a task (e.g., inputs, size, effort, and
performance) to be quantified.
Use statistical and other quantitative techniques to:
• Analyze variation in process performance
• Monitor the selected processes that drive achieving the objectives
• Review the quality and process performance objectives to determine:
• Their relationship to the business objectives
• The risks associated with not meeting them
• The actions needed to achieve them
This term is used at levels 4 and 5 where practices describe how statistical and other
quantitative techniques are used to improve understanding of work group and organizational
processes and performance.

The compound term “statistical and other quantitative techniques” is used to acknowledge that
while statistical techniques are expected, other quantitative techniques can also be used
effectively. Examples of non-statistical quantitative techniques include trend analysis, run charts,
Pareto analysis, bar charts, radar charts, and data averaging.

(See also “statistical techniques” and “quantitative management”.)

statistical process control

Statistical analysis that identifies common and special causes of process variation and seeks to
maintain process performance within limits. (See also “common cause of variation”, “special
cause of variation”, and “statistical techniques”.)

statistical techniques
Mathematical techniques used to understand process variation and predict process
performance.

Examples include sampling techniques, analysis of variance, chi-squared tests, regression

analysis, and process control charts.

subprocess
A process that is part of a larger process. Subprocesses can be further decomposed into
subprocesses and/or process elements. (See also "process”, "process description”, and "process
element".)

supplier
An entity having an agreement with an acquirer to design, develop, manufacture, maintain,
modify, deliver, or supply solutions under terms of an agreement. Examples of entities include
individuals, partnerships, companies, corporations, and associations. (See also “acquirer”.)

supplier agreement
Provides a mutual understanding between the acquirer and supplier and serves as the basis for
managing their relationship. The agreement defines the processes, roles, and responsibilities
that allow the acquirer to:

• Oversee the supplier’s activities

• Monitor evolving supplier deliverables
• Verify compliance with supplier agreement requirements
• Resolve issues as necessary
Supplier agreements are also known as contracts, licenses, and memoranda of agreement. (See
also “supplier”, “statement of work”, and “memorandum of agreement”.)

supplier deliverable
An item to be provided to an acquirer or other recipient as specified in an agreement. The item
can be a document, hardware or software item, a service, a solution, or any type of work
product.

supplier selection
Appraisal mode of usage in which appraisal results are used to help select suppliers. Appraisal
results characterize process-related risk of awarding the contract to a supplier.

system of systems
System developed by integrating independent and useful systems into a large system that
delivers unique capabilities.

systems engineering
Interdisciplinary approach governing technical and managerial effort required to transform a set
of customer needs, expectations, and constraints into solutions and to support solutions
throughout their lives.

System engineering entails defining technical performance measures, integrating engineering

specialties to facilitate architecture development, and developing lifecycle processes that
balance cost, schedule, and performance objectives.

(See also “hardware engineering” and “software engineering”.)

tailoring
A critical activity that allows controlled changes to be made to processes within the guidelines
defined by the organization. The guidelines and changes are driven by the specific needs of the
organization, a customer, or project. Projects establish their processes by tailoring the
organization’s set of standard processes to meet customer or project objectives, constraints,
and environment. (See also “tailoring guidelines” and “process tailoring”.)

tailoring guidelines
Organizational guidelines that enable individuals, projects, and organizational functions to
appropriately adapt standard processes for their use. Tailoring guidelines may allow additional
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484

flexibility when dealing with less critical processes or those that only indirectly affect business
objectives. The organization’s set of standard processes is described at a general level that may
not be directly usable to perform a process. (See also “organization’s set of standard processes”
and “tailoring”.)

team
A group of people with complementary skills and expertise who work together to accomplish
specified objectives.

technical data package

A technical data package is commonly used to implement the design when the implementation
is complex or broken into multiple parts (e.g., subsystems, internal or external team or
supplier).

• Package information to implement the design may include:

• Product definition data
• Engineering drawings
• Specifications
• Standards
• Performance requirements
• Reliability data
• Packaging details
• Modeling data
• Version control information
• Verification and validation criteria
• Any other information needed by the solution implementers
technical performance
Characteristic of a process or solution generally defined by a functional or technical
requirement.

Examples of technical performance characteristics include:

• Estimating accuracy
• Security functions
• Response time
• Maximum weight
• Minimum throughput

technical performance measure

Precisely defined technical measure of a requirement, capability, or some combination of
requirements and capabilities. (See also “measure”.)

technical requirements
Properties (i.e., attributes) of solutions to be acquired or developed.

traceability
An apparent association among two or more logical entities such as requirements, system
elements, tests, or tasks. (See also “bidirectional traceability” and “requirements traceability”.)

trade study
An evaluation of alternatives, based on criteria and systematic analysis, to select the best
alternative for attaining determined objectives.

training
Activities undertaken to ensure that all individuals have the knowledge and skills required to
perform their assignments.

underlying cause
The cause(s) lying beneath a visible symptom.

unit testing
Testing of individual hardware or software units or groups of related units. (See also
“acceptance testing”.)

validation
Demonstrates that the solution will fulfill its intended use in its target environment (i.e., “you
are building the right thing”). Typically involves testing, simulation, or demonstration, that the
solution, as provided (or as it will be provided), will fulfill its intended use in the intended
environment.

verification
Addresses whether the work product and solution properly reflect the specified requirements
(i.e., “you are building it right”). Typically involves testing or simulation that work products
correctly implement their requirements.

version control
Identifies the correct versions of work products and ensures the right versions are available for
use or for restoring to a previous version. Also includes the establishment and maintenance of
baselines and the identification of changes to baselines to obtain previous baselines. In some
contexts, an individual work product may have its own baseline and a level of control less than
formal configuration control may be sufficient. (See also “configuration management”.)

view
Selection of a set of model components important to and selected by the end user or
predefined by the CMMI Institute, such as:

Predefined examples:

• CMMI for Development V2.0

• CMMI V2.0, Planning and Managing Work
• Categories
• Capability Areas
End user selected examples:

• CMM V2.0, Services and Supplier Management

• Any other combination of capability areas, practice areas, practice groups, or
practices
Work Breakdown Structure (WBS)
A list of tasks and activities, related work elements and their relationship to each other and to
the end product or service.

work product
An output from a process, activity, or task and may be a stand-alone output, or part of a
solution.

work product and task attributes

Characteristics of solutions and tasks used to estimate work. These characteristics often include
size, complexity, weight, form, fit, and function. Characteristics are typically used as one input
to deriving other resource estimates (e.g., effort, cost, schedule). (See also “work product”.)

Appendix F: Acronyms

Acronym Term
ADS Appraisal Disclosure Statement
APR Action Plan Reappraisal
ATL Appraisal Team Leader
ATM Appraisal Team Member
B Benchmark
CA Capability Area
CAM Capacity and Availability Management
CAR Causal Analysis and Resolution
CAS CMMI Institute Appraisal System
CCD Career and Competency Development
CL Capability Level
CM Configuration Management
CMMI Capability Maturity Model Integration
CMMI-DEV CMMI for Development
CMMI-SPM CMMI for Supplier Management
CMMI-SVC CMMI for Services
CMMI-PPL CMMI for People Management
COCO Communication and Coordination
COI Conflict of Interest
COMP Compensation and Rewards
CONT Continuity
DAR Decision Analysis and Resolution
DEV Development
DM Doesn’t Meet
DSS Develop Secure Solutions
E Evaluation
ES Ensuring Safety
EST Estimating
EWG Empowered Workgroups
FAR Functional Area Representatives
FM Fully Meets

Acronym Term
GOV Governance
HMLA High Maturity Lead Appraiser
II Implementation Infrastructure
IRP Incident Resolution and Prevention
LA Lead Appraiser
LM Largely Meets
MC Monitor and Control
MDD CMMI Institute defined Appraisal Method Definition Document
ML Maturity Level
MPM Managing Performance and Measurement
MPS Managing and Planning Security
MPSF Managing and Planning Safety
MSS Managing Secure Suppliers
MST Managing Security Threats and Vulnerabilities
NY Not Yet
OE Objective Evidence
OT Organizational Training
OU Organizational Unit
PA Practice Area
PAD Process Asset Development
PARS Published Appraisal Results
PCM Process Management
PI Product Integration
PLAN Planning
PM Partially Meets
PQA Process Quality Assurance
PPL People Management
PR Peer Reviews
PSSW Planning and Supporting Security in Work
RDM Requirements Development and Management
RSK Risk and Opportunity Management
S Sustainment
SAM Supplier Agreement Management

Acronym Term
SD Service Delivery
SPM Supplier Management
SSS Solicitation and Supplier Selection
SST Service System Transition
STSM Strategic Service Management
SVC Services
SWM Staffing and Workforce Management
TDP Technical Data Package
TS Technical Solution
VV Verification and Validation
WBS Work Breakdown Structure

Appendix G: CMMI V2.0 Development History

The Capability Maturity Model (CMM) was developed in the late 1980s/early1990s and version
1.0 was released in 1991. CMMI originally was a combination of software and systems
engineering CMMs along with product line and supplier sourcing models first released in 2000.
The release timeline is listed below:
• 1984 Carnegie Mellon University awarded funding to establish the Software
Engineering Institute (SEI)
• 1987 SEI releases a software process maturity framework and maturity
questionnaire to support organizations in improving their software process.
• 1991 Software CMMI (SW-CMM) V1.0
• 1993 SW-CMM V1.1
• 1995 People CMM (P-CMM) V1.0
• 1997 SW-CMM work on CMM V1.2 stopped
• 1999 Undersecretary of Defense (J. Gansler) Memo – SW-CMM ML3 Required for
ACAT 1 programs
• 2000 CMMI V1.02
• 2002 CMMI V1.1
• 2004 CMMI-ACQ V1.0
• 2005 CMMI-ACQ V1.1
• 2006 CMMI V1.2 (Included CMMI-DEV)
• 2007 CMMI-ACQ V1.2
• 2009 CMMI-SVC V1.2 (First release to stay in sync with CMM-DEV version
numbering)
• 2009 P-CMM V2.0 Second Edition
• 2010 CMMI V1.3 (Included CMMI-DEV, -SVC and –ACQ)

Appendix H: References

CMMI Institute. CMMI for Acquisition, Version 1.3, Pittsburgh, PA: November 2010.
http://cmmiinstitute.com/cmmi-models

CMMI Institute. CMMI for Development, Version 1.3. Pittsburgh, PA, August 2006.
http://cmmiinstitute.com/cmmi-models

CMMI Institute. CMMI for Services, Version 1.3. Pittsburgh, PA: November 2010.
http://cmmiinstitute.com/cmmi-models

CMMI Institute. Data Management Maturity Model, Version 1.3. Pittsburgh, PA: 2011.
http://cmmiinstitute.com/cmmi-models

CMMI Institute. People CMM, Version 2.0. Pittsburgh, PA: November 2010.
http://cmmiinstitute.com/cmmi-models

CMMI Institute. Standard CMMI Appraisal Method for Process Improvement (SCAMPI) A,
Version 1.3, Pittsburgh, PA: 2011. http://cmmiinstitute.com/cmmi-models

Crosby, Philip B. Quality Is Free: The Art of Making Quality Certain. New York: McGraw-Hill,
1979.

Deming, W. Edwards. Out of the Crisis. Cambridge, MA: MIT Center for Advanced Engineering,
1986.

Humphrey, Watts S. Managing the Software Process. Reading, MA: Addison-Wesley, 1989.

Institute of Electrical and Electronics Engineers. Multiple Standards. New York: IEEE, 2017.
https://www.ieee.org/standards/index.html

International Organization for Standardization. ISO 9001:2015 Quality management systems -

Requirements. ISO, 2015. http://www.iso.org/iso/iso_catalogue/.

ISACA, COBIT 5.0. Rolling Meadows, IL: ISACA,

2012.http://www.isaca.org/COBIT/Pages/COBIT-5-Framework-product-page.aspx

Juran, Joseph M. Juran on Planning for Quality. New York: Macmillan, 1988.

Shewhart, Walter A. Economic Control of Quality of Manufactured Product. New York: Van
Nostrand, 1931.

Wheeler, Donald J. Understanding Variation The Key to Managing Chaos. SPC Press, Knoxville,
TN: 2000.

Appendix I: Acknowledgements

Corporate Sponsors
CMMI Institute is grateful to the organizations who sponsored the development of CMMI V2.0.
These organizations provided crucial input, direction, and resources that made the leap to CMMI
V2.0 possible.
“CMMI V2.0’s benchmark appraisal method has improved our confidence in the results and
lowered the overall lifecycle cost of our appraisals. In addition, using the sustainment appraisal
approach with brief mid-cycle evaluations has increased our focus on both process
implementation and improvement.”
-Allan McQuarrie, Deputy Vice President/General Manager, Technology Solutions, BAE Systems

“We are very proud that Siemens as a thought leader contributed to the CMMI V2.0. Topics
such as Agile, Lean, Security, and Performance Management are essential for our business. We
are welcoming very much that these are now strengthened in the new CMMI.”
-Jürgen Kirsch, Vice President CD C PLM Consulting, Siemens

CMMI V2.0 Leadership Team

The CMMI V2.0 Project was led by a committed team made up of individuals from sponsor
organizations and the CMMI Institute. This team used the insights from market research to
build a product suite and strategy to meet the needs of industry today, while creating a
platform that will grow and change for the needs of the future. Thank you to the CMMI V2.0
Leadership Team!
• Kirk Botula, CEO, CMMI Institute
• Joe Callahan, Director of Marketing, CMMI Institute
• Timothy Crumbley, NASA Software Engineering Program Executive, NASA
• Ryan Fulmer, Project Manager, CMMI Institute
• Sally Godfrey, Emeritus, NASA
• Craig Hollenbach, Technical Fellow; Manager of Performance and Governance,
Engineering Center of Excellence, Northrop Grumman Corporation
• Michael LaBarge, Consultant, Performance and Methods Consulting
• Ron Lear, Architect of CMMI Institute Products, CMMI Institute
• Lisa McConihe, Senior Principal Engineer, BAE Systems
• Darlene Moore, Quality Manager, CMMI Institute
• Sheela Nath, Business Writer, CMMI Institute
• Lynn Penn, President, Performance and Methods Consulting
• Winfried Russwurm, Principal Consultant, Siemens AG
• Prabhakar Sundar, Director - Global, Honeywell International
• Reewa Saluja, Director, CMMI Product Solutions, CMMI Institute
• Kevin Schaaff, CMMI Practice Leader, CMMI Institute
• Alexander Stall, CMMI Practice Leader, CMMI Institute
• Katie Tarara, Manager of Partner and Client Services, CMMI Institute
• Kathryn Tate, Training Development Manager, CMMI Institute
• Dan Torrens, COO, CMMI Institute
• Sean Ways, IT Manager, CMMI Institute
• Rusty Young, CMMI Architect - Emeritus, CMMI Institute

CMMI V2.0 Product Developers

These Product Developers worked together with the Leadership Team to build the content,
materials, and systems for CMMI V2.0. Thank you to the team of Product Developers!
• Madison Borgmann, UX Designer, CMMI Institute
• Tony Destro, Senior Web Developer, CMMI Institute
• Kieran Doyle, President, Excellence in Measurement Technology
• Adrian Gill, Founder, Gillpage Associates
• Jason Godesky, UI/UX Engineer, CMMI Institute
• Fred Haigh, VP, COO, Haigh Group
• Mary Anne Herndon, Consultant, Transdyne Corporation
• Paul Kimmerly, Consultant, Double Play Process Diagnostics
• Michele Lamptey-Uhrich, Manager, Process Initiatives, Northrop Grumman
Corporation
• Brian Mack, Senior QA Analyst, CMMI Institute
• Winifred Menezes, Consultant, Freya Consulting
• Rajesh Naik, Founder Partner, QAI India
• Heather Oppenheimer, Senior Partner, Oppenheimer Partners
• Guido Paolano, Principal Engineer, CMMI Institute
• Neil Potter, Consultant, The Process Group
• Enrique Roman, Consultant, Innevo
• Thomas Seckel, Principal Engineer, Northrop Grumman Corporation
• Agapi Svolou, Owner, Alexanna
• Richard Waina, Principal Consultant, Multi-Dimensional Maturity

Contributors to CMMI V2.0

Many individual contributors volunteered their time and expertise to make CMMI V2.0 possible.
They provided insight from their years of experience and helped the developers create better
products. Thank you to these CMMI V2.0 contributors!
• Peter Barletto, Global Process Solutions
• Richard Bechtold, Abridge Technology
• Scott Bender, Aetna
• William Bettesworth, Honeywell International
• Bradley Bittorf, Raytheon
• Daniel Blazer, Leidos
• Petr Bohacek, Honeywell International
• Antonio Braga, Crest Consulting
• Glyn Davies, BAE Systems
• Juliet Davis, Boeing
• Jeff Dotseth, General Dynamics
• John Ekas, CMMI Institute
• Valeria Franzitta, Robert Bosch GmbH
• Maggie Glover, Excellence in Measurement Technology
• Luciano Guerrero, Procesix
• Jean-Yves Guilbaud, Inspearit
• Satinder Kaur, CMMI Institute
• Ravindra Khetan, RH Process Consulting
• Randy Kitano, ESPN
• Gary Lunsford, Gary Lunsford Consulting
• Monika Maidl, Siemens AG
• Diane McDonald, StepUp Solutions
• Amanda Parrotte, CMMI Institute
• Dan Payne, ABI Consultants LLC
• Madhumita Poddar Sen, Madhumita
• David Quinn, MOSAIC Technologies Group
• Siva Ravuri, Wabtec
• John Ryskowski, John F Ryskowski Consulting

• Mary Segnit, Harris Corporation

• Anandkumar K. Shelat, KPMG
• Marian Tadros, TRI EXL
• Geoff Terrell, CMMI Institute
• Kerry Trujillo, Raytheon
• Dean Venable, Lockheed Martin Corporation
• David Walker, David Walker SPCS
• Beth Wise, Boeing
• Sreeramamurthy Yellayi, SPA Business Services
• Christian Zion, Thales

Reviewers for CMMI V2.0

Over 100 people with years of experience using CMMI reviewed the various pieces of the CMMI
V2.0 product suite and provided their input and feedback. Their comments—thousands of
them—greatly strengthened the final product. Thank you to the CMMI V2.0 reviewers!
• Ahmed Abd El Aziz • Kathy Gallucci • Alexander Kondakov
• Drew Allison • Roger Gamage • Krishnamurthy
Kothandaraman
• Délio Almeida • Sam Gao
• Lemis Altan • Inigo Garro • Moustanir Lamnabhi

• Naoya Anada • Beth Layman

• Yasser Ghanim
• Peter Leeson
• Shane Atkinson • Aditya Goel
• Fei Li
• Joachim Bauchrowitz • Sharonlyne Graves
• Binshan Liao
• Yan Bello • David Greer
• César Pablo Gutiérrez • Mirko Lovo
• Bonnie Bollinger
Martinez • Mukul Madan
• Eileen Bozzolo
• Michael Hallinan • Gururaj Managuli
• Paul Byrnes
• Kileen Harrison • Kaliappan Marappa
• Maria Eugenia Caetano
• Zhou Heng • Don Marohl
• Arnaud Chivard
• Po-Ching (Antoine) • Casimiro Hernandez Parro • Larry McCarthy
Chuang • Yanjun (Jim) Hu • Eugene McGuire
• PJ Corum • Shu-Min Hwang • Karen McKeown
• Claudio Costa • Nevine Iskandar • Takeshige Miyoshi
• Mira Culley • Seongkyu Jeong • Deke Moellerd
• Jeff Dalton • Kent Johnson • Jyoti Mohile
• Sundar Gopal Das • Ho-Won Jung • Cecilia Montero
• David Dayton • Himanshu Karkhanis • Enrique Morey
• Christophe Debou • Mangesh Katalkar • Manpreet Mudahar
• Huey Der Chu • Muhammad Furqan Khan • Boris Mutafelija
• Sankararaman • Takami Kihara • Raghavan Nandyal
Dhandapani
• Sungil Kim • Hasan Syed Niaz
• Yasser Dakroury
• Denise Kirkham • Gary Norausky
• Saswata Dutta
• Ralf Kneuper • Yoetsu Otaki
• Emily Finnegan
• Galina Knopman • Pat O'Toole
• Livia Franzitta
This copy is licensed solely to , who agrees not to reproduce, duplicate, copy, sell, resell, assign, transfer or exploit any portion of this document without express written
permission by CMMI Institute. Usage by others is prohibited.
498

• Francois Ouellette • Jialin (Dylan) Ren • Kimberly Stewart

• Dilek Ozdemirci • Leigh Riley • Beril Tasdemir
• Geetha Parthasarathy • Paul Riviere • Valter Tozzetti
• Malcom Patrick • Viviana Rubinstein • Michael Trombley
• Rich Pavlik • Jesús Sánchez • Srinivasa Rao Tumu
• Mariana Perez-Vargas • Hitesh Sanghavi • Pieter van Zyl
• Erwin Petry • Giuseppe Satriani • Sankaran Venkataramani
• Marilyn Phillips • Vladimir Savin • Seshadri Venkatesan
• William Pierce • Henry Schneider • Richard Waina
• Louis Poulin • Joe Schofield • Melvyn Wahlberg
• Shawn Presson • Pamela Schoppert • Edward Weller
• Teenu Puri • Balaji Selvaraju • Mingqing Xu
• Kris Puthucode • Prabhuu Sinha • Atsushi Yamada
• Pascal Rabbath • Samiya Slim • Xuefeng (James) Yin
• Parthasarathy • Kathy Smith • Vincent Yip
Ramachandran
• Daniele Sorrentino • Bo (Brian) Yu
• Puthucode Ratnagiri
• Srijith Sreenivasan • Wei (Clark) Zhou
Ganesh
• Sanjay Srinivasan
• Aihua Ren

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