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Process Areas by Category
Process Management
OPD Organizational Process Definition
OPF Organizational Process Focus
OPM Organizational Performance Management
OPP Organizational Process Performance
OT Organizational Training
Project Management
IPM Integrated Project Management
PMC Project Monitoring and Control
PP Project Planning
QPM Quantitative Project Management
REQM Requirements Management
RSKM Risk Management
SAM Supplier Agreement Management
Engineering
PI Product Integration
RD Requirements Development
TS Te c h ni c a l S o l u t i o n
VAL Validation
VER Verification
Support
CAR Causal Analysis and Resolution
CM Configuration Management
DAR Decision Analysis and Resolution
MA Measurement and Analysis
PPQA Process and Product Quality Assurance
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Generic Goals and Practices


GG1 Achieve Specific Goals
GP 1.1 Perform Specific Practices
GG2 Institutionalize a Managed Process
GP2.1 Establish an Organizational Policy
GP 2.2 Plan the Process
GP 2.3 Provide Resources
GP 2.4 Assign Responsibility
GP 2.5 Tra in Peo pl e
GP 2.6 Control Work Products
GP 2.7 Identify and Involve Relevant Stakeholders
GP 2.8 Monitor and Control the Process
GP 2.9 Objectively Evaluate Adherence
GP 2.10 Review Status with Higher Level Management
GG3 Institutionalize a Defined Process
GP 3.1 Establish a Defined Process
GP 3.2 Collect Process Related Experiences
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CMMI® for Development
Third Edition
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T
he SEI Series in Software Engineering represents is a collaborative
undertaking of the Carnegie Mellon Software Engineering Institute (SEI) and
Addison-Wesley to develop and publish books on software engineering and
related topics. The common goal of the SEI and Addison-Wesley is to provide
the most current information on these topics in a form that is easily usable by
practitioners and students.
Books in the series describe frameworks, tools, methods, and technologies
designed to help organizations, teams, and individuals improve their technical

or management capabilities. Some books describe processes and practices for
developing higher-quality software, acquiring programs for complex systems, or
delivering services more effectively. Other books focus on software and system
architecture and product-line development. Still others, from the SEI’s CERT
Program, describe technologies and practices needed to manage software
and network security risk. These and all books in the series address critical
problems in software engineering for which practical solutions are available.
Visit informit.com/sei for a complete list of available products.
The SEI Series in
Software Engineering
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CMMI® for Development
Guidelines for Process Integration and
Product Improvement
Third Edition
Mary Beth Chrissis
Mike Konrad
Sandy Shrum
Upper Saddle River, NJ • Boston• Indianapolis • San Francisco
New York • Toronto • Montreal • London • Munich • Paris • Madrid
Capetown • Sydney • Tokyo • Singapore • Mexico City
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The SEI Series in Software Engineering
Many of the designations used by manufacturers and sellers to distinguish their products are claimed as trademarks. Where those
designations appear in this book, and the publisher was aware of a trademark claim, the designations have been printed with ini-
tial capital letters or in all capitals.
CMM, CMMI, Capability Maturity Model, Capability Maturity Modeling, Carnegie Mellon, CERT, and CERT Coordination Center
are registered in the U.S. Patent and Trademark Office by Carnegie Mellon University.

ATAM; Arc hit ect u re Tra deo ff An alys is M e tho d; CMM Inte g rat ion ; CO TS U sage - Ris k E valu atio n ; C URE ; EP IC; Evol u tio nar y
Process for Integrating COTS Based Systems; Framework for Software Product Line Practice; IDEAL; Interim Profile; OAR;
OCTAVE; Operationally Critical Threat, Asset, and Vulnerability Evaluation; Options Analysis for Reengineering; Personal Soft-
ware Process; PLTP; Product Line Technical Probe; PSP; SCAMPI; SCAMPI Lead Appraiser; SCAMPI Lead Assessor; SCE; SEI;
SEPG; Team Software Process; and TSP are service marks of Carnegie Mellon University.
Special permission to reproduce portions of CMMI for Development (CMU/SEI-2010-TR-035), © 2010 by Carnegie Mellon
University, has been granted by the Software Engineering Institute.
The authors and publisher have taken care in the preparation of this book, but make no expressed or implied warranty of any
kind and assume no responsibility for errors or omissions. No liability is assumed for incidental or consequential damages in
connection with or arising out of the use of the information or programs contained herein.
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Library of Congress Cataloging-in-Publication Data
Chrissis, Mary Beth.
CMMI for development : guidelines for process integration and product
improvement / Mary Beth Chrissis, Mike Konrad, Sandy Shrum.—3rd ed.
p. cm.
Includes bibliographical references and index.
ISBN 978-0-321-71150-2 (hardcover : alk. paper)
1. Capability maturity model (Computer software) 2. Software
engineering. 3. Production engineering. 4. Manufacturing processes.
I. Konrad, Mike. II. Shrum, Sandy. III. Title.

QA76.758.C518 2011
005.1—dc22
2010049515
Copyright © 2011 Pearson Education, Inc.
All rights reserved. Printed in the United States of America. This publication is protected by copyright, and permission must be
obtained from the publisher prior to any prohibited reproduction, storage in a retrieval system, or transmission in any form or by
any means, electronic, mechanical, photocopying, recording, or likewise. For information regarding permissions, write to:
Pearson Education, Inc.
Rights and Contracts Department
501 Boylston Street, Suite 900
Boston, MA 02116
Fax: (617) 671-3447
ISBN-13: 978-0-321-71150-2
ISBN-10: 0-321-71150-5
Te xt pr in t ed in t h e Un i te d S ta t es o n r ec y c le d p a p er at C ou r ie r in We s tf o rd , M a ss ac h us et t s.
First printing, March 2011
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This book is dedicated to Watts Humphrey, in appreciation for all
he accomplished as a leader, visionary, and teacher. You only
needed to be in a room with Watts Humphrey a short time to real-
ize what a special person he was. Watts’ leadership, vision, and
insights helped many over his lifetime. He was a student of learn-
ing and he shared that quest for learning with everyone with whom
he came into contact. He had a vision that he shared with the
world and the world became a better place. CMMI would not have
been possible without Watts Humphrey. May he continue to inspire
us for years to come.
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CONTENTS
LIST OF PERSPECTIVES xiii
PREFACE xv
BOOK ACKNOWLEDGMENTS xxi
PART ONE—ABOUT CMMI FOR DEVELOPMENT 1
1 INTRODUCTION 3
About Process Improvement 4
About Capability Maturity Models 9
Evolution of CMMI 10
CMMI Framework 14
CMMI for Development 18
2 PROCESS AREA COMPONENTS 19
Core Process Areas and CMMI Models 19
Required, Expected, and Informative Components 19
Required Components 19
Expected Components 20
Informative Components 20
vii
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Components Associated with Part Two 20
Process Areas 20
Purpose Statements 22
Introductory Notes 22
Related Process Areas 22
Specific Goals 22
Generic Goals 23

Specific Goal and Practice Summaries 23
Specific Practices 23
Example Work Products 24
Subpractices 24
Generic Practices 24
Generic Practice Elaborations 25
Additions 25
Supporting Informative Components 25
Notes 25
Examples 25
References 26
Numbering Scheme 26
Ty po gra phic al Co nv en t io ns 27
3 TYING IT ALL TOGETHER 31
Understanding Levels 31
Structures of the Continuous and Staged Representations 32
Understanding Capability Levels 34
Capability Level 0: Incomplete 35
Capability Level 1: Performed 35
Capability Level 2: Managed 35
Capability Level 3: Defined 35
Advancing Through Capability Levels 36
Understanding Maturity Levels 41
Maturity Level 1: Initial 42
Maturity Level 2: Managed 42
Maturity Level 3: Defined 43
Maturity Level 4: Quantitatively Managed 43
Maturity Level 5: Optimizing 44
Advancing Through Maturity Levels 45
viii Contents

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Process Areas 46
Equivalent Staging 49
Achieving High Maturity 52
4 RELATIONSHIPS AMONG PROCESS AREAS 59
Process Management 60
Basic Process Management Process Areas 60
Advanced Process Management Process Areas 62
Project Management 64
Basic Project Management Process Areas 64
Advanced Project Management Process Areas 66
Engineering 68
Recursion and Iteration of Engineering Processes 74
Support 77
Basic Support Process Areas 78
Advanced Support Process Areas 79
5 USING CMMI MODELS 85
Adopting CMMI 90
You r Process I mp rov em en t Prog ram 94
Selections that Influence Your Program 98
CMMI Models 99
Interpreting CMMI When Using Agile Approaches 100
Using CMMI Appraisals 104
Appraisal Requirements for CMMI 105
SCAMPI Appraisal Methods 105
Appraisal Considerations 106
CMMI Related Training 107
6 ESSAYS AND CASE STUDIES 113
Case Studies 113

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

A REFERENCES 555
B ACRONYMS 561
C CMMI VERSION 1.3 PROJECT PARTICIPANTS 565
D GLOSSARY 573
x Contents
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BOOK CONTRIBUTORS 605
INDEX 623
Contents xi
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PERSPECTIVES
LOOKING AHEAD
Watts Humphrey
5
CMMI: INTEGRATION AND IMPROVEMENT CONTINUES
Bob Rassa
12
THE ARCHITECTURE OF THE CMMI FRAMEWORK
Roger Bate with a postscript by Mike Konrad
14
APPLYING PRINCIPLES OF EMPIRICISM
Victor R. Basili, Kathleen C. Dangle, and Michele A. Shaw
37
USING PROCESS PERFORMANCE BASELINES AND PROCESS
PERFORMANCE MODELS TO ENABLE SUCCESS

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

SWITCHING TRACKS: FINDING THE RIGHT WAY TO GET
TO MATURITY LEVEL 2
Heather Oppenheimer and Steve Baldassano
11 3
USING CMMI AS A BASIS FOR COMPETITIVE ADVANTAGE AT ABB
Aldo Dagnino
123
LEVERAGING CMMI AND LSS TO ACCELERATE THE PROCESS
IMPROVEMENT JOURNEY
Kileen Harrison and Anne Prem
130
GETTING STARTED IN PROCESS IMPROVEMENT: TIPS
AND PITFALLS
Judah Mogilensky
137
AVOIDING TYPICAL PROCESS IMPROVEMENT PITFALLS
Pat O’Toole
141
TEN MISSING LINKS TO CMMI SUCCESS
Hillel Glazer
146
ADOPTING CMMI: HIRING A CMMI CONSULTANT OR
LEAD APPRAISER
Rawdon Young, Will Hayes, Kevin Schaaff, and Alexander Stall
152
FROM DOUBTER TO BELIEVER: MY JOURNEY TO CMMI
Joseph Morin
157
xiv Perspectives
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PREFACE
CMMI (Capability Maturity Model Integration) models are collec-
tions of best practices that help organizations to improve their
processes. These models are developed by product teams with mem-
bers from industry, government, and the Software Engineering Insti-
tute (SEI).
This model, called CMMI for Development (CMMI-DEV), pro-
vides a comprehensive integrated set of guidelines for developing
products and services.
Purpose
The CMMI-DEV model provides guidance for applying CMMI best
practices in a development organization. Best practices in the model
focus on activities for developing quality products and services to
meet the needs of customers and end users.
The CMMI-DEV V1.3 model is a collection of development best
practices from government and industry that is generated from the
CMMI V1.3 Architecture and Framework.
1
CMMI-DEV is based on the
CMMI Model Foundation or CMF (i.e., model components common
xv
1. The CMMI Framework is the basic structure that organizes CMMI components and com-
bines them into CMMI constellations and models.
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to all CMMI models and constellations
2
) and incorporates work by
development organizations to adapt CMMI for use in the develop-

ment of products and services.
Model Acknowledgments
Many talented people were involved in the development of the V1.3
CMMI Product Suite. Three primary groups were the CMMI Steering
Group, Product Team, and Configuration Control Board (CCB).
The Steering Group guided and approved the plans of the Product
Te am, p ro v ide d con sult ati on on sign ifi cant CMMI projec t iss ues, and
ensured involvement from a variety of interested communities.
The Steering Group oversaw the development of the Develop-
ment constellation, recognizing the importance of providing best
practices to development organizations.
The Product Team wrote, reviewed, revised, discussed, and agreed
on the structure and technical content of the CMMI Product Suite,
including the framework, models, training, and appraisal materials.
Development activities were based on multiple inputs. These inputs
included an A-Specification and guidance specific to each release
provided by the Steering Group, source models, change requests
received from the user community, and input received from pilots
and other stakeholders.
The CCB is the official mechanism for controlling changes to
CMMI models, appraisal related documents, and Introduction to
CMMI training. As such, this group ensures integrity over the life of
the product suite by reviewing all proposed changes to the baseline
and approving only those changes that satisfy identified issues and
meet criteria for the upcoming release.
Members of the groups involved in developing CMMI-DEV V1.3
are listed in Appendix C.
Audience
The audience for CMMI-DEV includes anyone interested in process
improvement in a development environment. Whether you are famil-

iar with the concept of Capability Maturity Models or are seeking infor-
mation to begin improving your development processes, CMMI-DEV
xvi Preface
2. A constellation is a collection of CMMI components that are used to construct models,
training materials, and appraisal related documents for an area of interest (e.g., development,
acquisition, services).
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will be useful to you. This model is also intended for organizations
that want to use a reference model for an appraisal of their develop-
ment related processes.
3
Organization of this Document
This document is organized into three main parts:
• Part One: About CMMI for Development
• Part Two: Generic Goals and Generic Practices, and the Process Areas
• Part Three: The Appendices and Glossary
Part One: About CMMI for Development, consists of five chapters:
• Chapter 1, Introduction, offers a broad view of CMMI and the CMMI
for Development constellation, concepts of process improvement,
and the history of models used for process improvement and different
process improvement approaches.
• Chapter 2, Process Area Components, describes all of the compo-
nents of the CMMI for Development process areas.
4
• Chapter 3, Tying It All Together, assembles the model components
and explains the concepts of maturity levels and capability levels.
• Chapter 4, Relationships Among Process Areas, provides insight into
the meaning and interactions among the CMMI-DEV process areas.
• Chapter 5, Using CMMI Models, describes paths to adoption and the

use of CMMI for process improvement and benchmarking of prac-
tices in a development organization.
• Chapter 6, Essays and Case Studies, contains essays and case studies
contributed by invited authors from a variety of backgrounds and
organizations.
Part Two: Generic Goals and Generic Practices, and the Process
Areas, contains all of this CMMI model’s required and expected com-
ponents. It also contains related informative components, including
subpractices, notes, examples, and example work products.
Preface xvii
3. An appraisal is an examination of one or more processes by a trained team of professionals
using a reference model (e.g., CMMI-DEV) as the basis for determining strengths and
weaknesses.
4. A process area is a cluster of related practices in an area that, when implemented collec-
tively, satisfies a set of goals considered important for making improvement in that area. This
concept is covered in detail in Chapter 2.
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Part Two contains 23 sections. The first section contains the
generic goals and practices. The remaining 22 sections each repre-
sent one of the CMMI-DEV process areas.
To m ak e t hese p roce ss a reas e asy t o f in d, t hey a re o rgani zed
alphabetically by process area acronym. Each section contains
descriptions of goals, best practices, and examples.
Part Three: The Appendices and Glossary, consists of four
sections:
• Appendix A: References, contains references you can use to locate
documented sources of information such as reports, process improve-
ment models, industry standards, and books that are related to
CMMI-DEV.

• Appendix B: Acronyms, defines the acronyms used in the model.
• Appendix C: CMMI Version 1.3 Project Participants contains lists of
team members who participated in the development of CMMI-DEV
V1.3.
• Appendix D: Glossary, defines many of the terms used in CMMI-DEV.
How to Use this Document
Whether you are new to process improvement, new to CMMI, or
already familiar with CMMI, Part One can help you understand why
CMMI-DEV is the model to use for improving your development
processes.
Readers New to Process Improvement
If you are new to process improvement or new to the Capability
Maturity Model (CMM) concept, we suggest that you read Chapter 1
first. Chapter 1 contains an overview of process improvement that
explains what CMMI is all about.
Next, skim Part Two, including generic goals and practices and
specific goals and practices, to get a feel for the scope of the best
practices contained in the model. Pay close attention to the purpose
and introductory notes at the beginning of each process area.
In Part Three, look through the references in Appendix A and
select additional sources you think would be beneficial to read before
moving forward with using CMMI-DEV. Read through the acronyms
and glossary to become familiar with the language of CMMI. Then,
go back and read the details of Part Two.
xviii Preface
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Readers Experienced with Process Improvement
If you are new to CMMI but have experience with other process
improvement models, such as the Software CMM or the Systems

Engineering Capability Model (i.e., EIA 731), you will immediately
recognize many similarities in their structure and content [EIA
2002a].
We recommend that you read Part One to understand how CMMI
is different from other process improvement models. If you have
experience with other models, you may want to select which sections
to read first. Read Part Two with an eye for best practices you recog-
nize from the models that you have already used. By identifying
familiar material, you will gain an understanding of what is new,
what has been carried over, and what is familiar from the models you
already know.
Next, review the glossary to understand how some terminology
can differ from that used in the process improvement models you
know. Many concepts are repeated, but they may be called something
different.
Readers Familiar with CMMI
If you have reviewed or used a CMMI model before, you will quickly
recognize the CMMI concepts discussed and the best practices pre-
sented. As always, the improvements that the CMMI Product Team
made to CMMI for the V1.3 release were driven by user input.
Change requests were carefully considered, analyzed, and imple-
mented.
Some significant improvements you can expect in CMMI-DEV
V1.3 include the following:
• High maturity process areas are significantly improved to reflect
industry best practices, including a new specific goal and several
new specific practices in the process area that was renamed from
Organizational Innovation and Deployment (OID) to Organizational
Performance Management (OPM).
• Improvements were made to the model architecture that simplify the

use of multiple models.
• Informative material was improved, including revising the engineer-
ing practices to reflect industry best practice and adding guidance for
organizations that use Agile methods.
• Glossary definitions and model terminology were improved to
enhance the clarity, accuracy, and usability of the model.
Preface xix
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• Level 4 and 5 generic goals and practices were eliminated as well as
capability levels 4 and 5 to appropriately focus high maturity on the
achievement of business objectives, which is accomplished by apply-
ing capability level 1-3 to the high maturity process areas (Causal
Analysis and Resolution, Quantitative Project Management, Organi-
zational Performance Management, and Organizational Process
Performance).
For a more complete and detailed list of improvements, see
/>Additional Information and Reader Feedback
Many sources of information about CMMI are listed in Appendix A
and are also published on the CMMI website— />cmmi/.
Your sug gest ions for improving CMMI are welcome. Fo r informa-
tion on how to provide feedback, see the CMMI website at
If you have questions about
CMMI, send email to
xx Preface
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BOOK ACKNOWLEDGMENTS
This book wouldn’t be possible without the support of the CMMI
user community and the work of a multitude of dedicated people

working together on CMMI-based process improvement. Ultimately,
without the work of those involved in the CMMI project since it
began in 1998, this book would not exist. We would like to specially
thank our many CMMI partners who help organizations apply
CMMI practices.
The complete CMMI-DEV model is contained in the book, which
was created based on more than one thousand change requests sub-
mitted by CMMI users. The CMMI Product Team, which included
members from different organizations and backgrounds, used these
change requests to improve the model to what it is today.
We would also like to acknowledge those who directly con-
tributed to this book. All of these authors were willing to share their
insights and experiences and met aggressive deadlines to do so: Steve
Baldassano, Victor Basili, Michael Campo, David Card, Bill Curtis,
Aldo Dagnino, Kathleen Dangle, Khaled El Emam, Hillel Glazer,
Kileen Harrison, Will Hayes, Watts Humphrey, Gargi Keeni, Peter
Kraus, Hans Juergen Kugler, Neal Mackertish, Tomoo Matsubara,
Judah Mogilensky, James Moore, Joseph Morin, Heather Oppen-
heimer, Mike Philips, Pat O’Toole, Anne Prem, Robert Rassa, Kevin
Schaaff, Michele Shaw, Alex Stall, and Rusty Young. We are delighted
that they agreed to contribute their experiences to our book and we
xxi
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hope that you find their insights valuable and applicable to your
process improvement activities.
Special thanks go to Addison-Wesley Publishing Partner, Peter
Gordon, for his assistance, experience, and advice. We’d also like to
thank Kim Boedigheimer, Curt Johnson, Stephane Nakib, and Julie
Nahil for their help with the book’s publication and promotion.

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

If you know me, you know my family is the center of my life. To
my husband, Chuck, and my children, Adam, Pamela, and Kevin,
thank you again for supporting me with this book. I love you and I
am grateful to have you in my life.
xxii Book Acknowledgments
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