Mike Phillips is the program manager for CMMI at the Software Engineering Institute (SEI), a position created to lead the Capability Maturity Model Integration (CMMI) product suite evolution. He has led the team, which spans government, industry, and the SEI, through three significant upgrades to the original version of the integrated model, which now covers engineering, acquisition, and services. He was previously responsible for Transition Enabling activities at the SEI. He has authored Technical Reports, Technical Notes, CMMI Columns, and various articles in addition to presenting CMMI material at conferences around the world. Prior to his retirement as a colonel from the Air Force, he was the program manager of the $36B development program for the B-2 stealth bomber in the B-2 System Program Office at Wright-Patterson AFB, Ohio. He also has four years of experience guiding acquisition programs in the Pentagon for both the Air Force and the Office of the Secretary of Defense. He holds a B.S. in astronautical engineering from the Air Force Academy, an M.S. in nuclear engineering from Georgia Tech, an M.S. in systems management from the University of Southern California, and an M.S. in international affairs from Salve Regina College and the Naval War College. He is a graduate of the Program Management Course at the Defense Systems Management College and  of the Air Force Test Pilot School.

Dr. Karen J. Richter is a research analyst and senior project leader at the Institute for Defense Analyses (IDA), a research and development “think tank” for the Department of Defense. She has led numerous projects for the Office of the Under Secretary of Defense for Acquisition, Technology, and Logistics (OUSD(AT&L)) in acquisition management; systems and software engineering, integration, and interoperability; system life-cycle process management; integrated product and process development (IPPD) and concurrent engineering; advanced manufacturing practices and virtual enterprises; system quality, reliability, and maintainability; design and manufacturing technology including modeling and simulation; and life-cycle affordability. She also led or participated in projects for the Office of the Under Secretary of Defense for Policy (OUSD(P)) and the Assistant Secretary of Defense for Networks and Information Integration (ASD[NII)). She was a member of the development teams for the CMMI SE/SW/IPPD and CMMI-DEV models and co-chair of the development team for CMMI-ACQ. She has served on the CMMI Configuration Control Board and the CMMI Steering Group. She helped develop international standards on life-cycle process management, systems engineering, software engineering, and quality management as a member of both ISO/JTC1/Subcommittee 7 (Software and Systems Engineering) Working Group 7 (Life Cycle Management) and ISO/TC176 (Quality). She taught in the Department of Engineering Mechanics at the University of Wisconsin-Madison and in the Departments of Mechanical Engineering at The Ohio State University and the University of Maryland at College Park. She is the coauthor of three college engineering textbooks. She earned a B.A. in mathematics from Knox College and an M.S. and Ph.D. in engineering mechanics from the University of Wisconsin-Madison.

Sandy Shrum is a senior writer/editor and communications point of contact for the Software Engineering Process Management program at the Software Engineering Institute. Besides this book, she has coauthored two other CMMI books: CMMI® for Services: Guidelines for Superior Service (Addison-Wesley, 2010) and two editions of CMMI®: Guidelines for Process Integration and Product Improvement (Addison-Wesley). She has been with the SEI since 1995 and has been a member of the CMMI Development Team since the CMMI project’s inception in 1998. Her roles on the project have included model author, small review team member, reviewer, editor, model development process coordinator, and quality assurance process owner. Before joining the SEI, Sandy worked for eight years as a document developer with Legent Corporation, a Virginia-based software company. Her experience as a technical communicator dates back to 1988, when she earned her M.S. in professional writing from Carnegie Mellon University. Her undergraduate degree, a B.S. in business administration, was earned at Gannon University, Erie, Pennsylvania.

About Process Improvement 5

About Capability Maturity Models 6

Evolution of CMMI 7

CMMI Framework 9

CMMI for Acquisition 10

Core Process Areas and CMMI Models 11

Required, Expected, and Informative Components 11

Components Associated with Part Two 12

Supporting Informative Components 18

Numbering Scheme 20

Typographical Conventions 20

Understanding Levels 25

Structures of the Continuous and Staged Representations 26

Understanding Capability Levels 29

Understanding Maturity Levels 31

Process Areas 36

Achieving High Maturity 42

Project Processes 47

Organizational Processes 51

Support Processes 52

High Maturity Processes 54

Adopting CMMI 57

Your Process Improvement Program 58

Selections That Influence Your Program 58

CMMI Models 59

Using CMMI Appraisals 60

Appraisal Requirements for CMMI 61

SCAMPI Appraisal Methods 61

Appraisal Considerations 62

CMMI Related Training 63

Critical Issues in Government Acquisition 65

The IPIC Experience 74

CMMI: The Heart of the Air Force’s Systems Engineering Assessment Model and Enabler to Integrated Systems Engineering–Beyond the Traditional Realm 86

Lessons Learned by DGA on CMMI-ACQ 95

CMMI-ACQ and the “Three R’s” of DoD Acquisition 100

Use of CMMI at the U.S. Government Accountability Office 105

An Industry Perspective on CMMI-ACQ 108

CMMI-ACQ in Industry: Future Possibilities 122

Acquisition Strategy: Planning for Success 125

Agreements: They Are Not Just with Suppliers 131

Acquisition Verification: The Challenges 133

Transition to Operations: Delivering Value 137

Interoperable Acquisition 139

Acquisition Agility 143

Employing Agile in DoD Acquisition 151

Acquisition Improvement: Identifying and Removing

Process Constraints 156

Expanding Capabilities Across the Constellations 163

Generic Goals and Generic Practices 169

Agreement Management 191

Acquisition Requirements Development 199

Acquisition Technical Management 215

Acquisition Validation 229

Acquisition Verification 237

Causal Analysis and Resolution 247

Configuration Management 257

Decision Analysis and Resolution 271

Integrated Project Management 281

Measurement and Analysis 299

Organizational Process Definition 319

Organizational Process Focus 333

Organizational Performance Management 349

Organizational Process Performance 369

Organizational Training 383

Project Monitoring and Control 395

Project Planning 411

Process and Product Quality Assurance 443

Quantitative Project Management 451

Requirements Management 471

Risk Management 479

Solicitation and Supplier Agreement Development 497

Appendix A: References 517

Appendix B: Acronyms 523

Appendix C: CMMI Version 1.3 Project Participants 527

Appendix D: Glossary 535

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