Stewardship of CMMI Product Suite
January 2001
Table of Contents
I. Introduction
A. Purpose
B. Vision
C. Steward's Responsibility
D. Government and Industry Partnership, Participation, and Support
1. Office of the Secretary of Defense (OSD)
Sponsor
2. The National Defense Industries Association
(NDIA) Sponsor
3. Steering Group
4. Product Team
E. CMMI Update and Enhancement Process Overview
1. Core Update Process
2. Discipline Update Process
II. Entities and Roles in Maintenance and Evolution
of the CMMI Product Suite
A. Steward
B. OSD Sponsor
C. NDIA Sponsor
D. Steering Group
E. Expert Groups
F. Integrated Teams
G. Configuration Control Board
H. Advisors
III. Steward Role Description (in Detail)
A. Maintain and Evolve the CMMI Product Suite
B. Provide the Models and Assessment Method
Descriptions to the Public
C. Provide Widely Available, High Quality Training
and Assessment Programs
D. Administer Quality Control of CMMI Product Suite
Usage
E. Provide CMMI Framework and Product Suite Communications
F. Participate in Standards Development and
Conformance
G. Analyze and Feedback on CMMI Product Suite Use,
Impact, and Value
H. Implement a Valid Funding Model
IV. Operational Topics
A. Configuration Management
Stewardship of the CMM IntegrationSM Product Suite
I. Introduction
A. Purpose
The primary purpose of the Steward role is to:
- Support the transition of the CMMI Product Suite into broad use across Government and Industry.
- Maintain and evolve the CMMI Product Suite as approved by the Steering Group.
- Ensure that the quality of the CMMI Product Suite and future resulting products and services is protected for the Department of Defense and its suppliers.
- Ensure a reliable, valid, and consistent set of products and services for the using community.
B. Vision
The long-term vision for the CMMI Product Suite is that the concepts, principles, and their implementing products are:
- The framework of choice for multidisciplinary process improvement
- Widely adopted and institutionalized by Government and Industry communities
- Accepted nationally and internationally
- More cost-effective to use, maintain, and evolve than previous stand-alone models
- Supported by a single assessment structure methodology that minimizes the cost of assessing multiple-disciplinary maturity
- Recognized for high quality
- The framework of choice for new disciplines for enterprise-wide process improvement
C. Steward's Responsibility
The responsibility of the CMMI Steward is to provide for and support the widespread availability, adoption, and integration of the CMMI Product Suite throughout Government and Industry for process improvement. (Detailed activities are in Section III.) To be effective, the Steward will need effective Government and Industry partnership, participation, and support.
D. Government and Industry Partnership, Participation, and Support
Active partnership and participation by Government and Industry are needed to support the CMMI Steward role. The entities that will interact with the Steward are as follows:
1. Office of the Secretary of Defense (OSD) Sponsor
The Office of the Under Secretary of Defense for Acquisition, Technology and Logistics (OUSD [A, T & L) directs and monitors the Software Engineering Institute as a Federally Funded Research and Development Center (FFRDC). This office provides both budgetary oversight of its role as Steward of the CMMI Product Suite and technical oversight of the CMMI activity by sponsoring the CMMI Steering Group.
2. The National Defense Industries Association (NDIA) Sponsor
The NDIA Systems Engineering Committee (SEC) is the lead Industry sponsor of the CMMI development effort and of the CMMI Steering Group. The NDIA SEC also has a number of affiliates representing several Industry associations and professional societies including Electronics Industry Alliance (EIA), Aeronautical Industries Association (AIA), Institute of Electrical and Electronic Engineers (IEEE), International Council of Systems Engineering (INCOSE), American Institute of Aeronautics & Astronautics (AIAA), and Society of Automotive Engineers International. This sponsorship has solicited and provides the many Industry active participants in the project on the Steering Group, Product Team, and in the Stakeholder / Reviewer roles.
3. Steering Group
Composed of members appointed from Government, Industry, and the SEI (parent organization of the Steward), this group provides ongoing direction and oversight for the following:
- Maintenance and incorporation of enhancements
- Development of new disciplines to be included in the CMMI Product Suite
- Chartering development and maintenance efforts
- Monitoring progress of development and maintenance efforts
- Providing the Sponsor reviews of plans and budgetary estimates of work proposed by the Steward
4. Product Team
Product Team (PT) - Composed of select Government, Industry, and SEI individuals, who will populate Expert Groups representing the various disciplines that are addressed by CMMI, and the CMMI Project Manager and Chief Architect. As the Project Manager determines that it is necessary, cross-discipline Integrated Teams will be formed from the Expert Groups to address investigation and implementation of changes to the CMMI Product Suite.
E. CMMI Update and Enhancement Process Overview
1. Core Update Process
Initially, minor product updates to the core processes may be needed annually with a major update in 2-3 years. The core updates will be proposed by the Product Team (PT) [see II. F. below] and approved by the Configuration Control Board (CCB) [see II. G. below] prior to initiation of work. The PT will deliver releaseable product to the CCB, which will grant approval for incorporation into the CMMI Framework.
2. Discipline Update Process
Product updates to the disciplines will be proposed by the discipline Integrated Teams (IT) [see II. F. below] and approved by the CCB prior to the initiation of work. When completed, the ITs will deliver the new discipline material or discipline enhancements to the CCB for approval to incorporate into the CMMI Framework. Included in their submission will be recommended adaptations to the core processes that will be included in the product when the new or enhanced discipline is approved for incorporation. If approved by the CCB, the PT will incorporate the discipline modifications and incorporate the core process adaptations into the CMMI Framework.
II. Entities and Roles in Maintenance and Evolution of the CMMI Product Suite
A. Steward
Implement the maintenance and evolution of the CMMI Product Suite, including participation in development of new disciplines to be added to the CMMI Product Suite, as directed by the Steering Group. (See Section III for details.)
B. OSD Sponsor
- Sponsor and support maintenance and evolution of the CMMI Product Suite.
- Administer the Steward FFRDC.
- Approve and fund the annual FFRDC budget, and the specific Department of Defense (DoD) funding for Steward activities.
- Charter and support the Steering Group.
- Provide direction to the Steering Group.
C. NDIA Sponsor
- Sponsor and support maintenance and evolution of the CMMI Product Suite.
- Charter and support the CMMI Steering Group.
- Solicit and provide Industry discipline expertise for participation in the evolution and sustainment of the CMMI Product Suite.
- Encourage and support the use of the CMMI Product Suite among industrial companies.
D. Steering Group
- Direct and oversee CMMI sustainment and enhancements.
- Charter Integrated Teams and Expert Groups.
- Pre-approve all enhancement and maintenance activities.
- Review and forward the required budget to the Sponsor.
- Solicit, review, and approve new discipline requirements.
- Review, approve, and monitor new discipline project plans.
- Approve the release of work products for new disciplines.
- Guide standards conformance.
- Monitor the Steward's quality assurance activities.
- Report status and progress to OSD and NDIA Sponsors.
E. Expert Groups
Expert Groups (EGs) – Virtual groups will be formed of individual experts who will represent their organization's needs and the needs of the stakeholders of one of the multiple disciplines involved in CMMI. Examples are the Systems Engineering Expert Group (SEEG) and the Acquisition Expert Group (AEG). In addition to discipline Expert Groups, there will be a Core Process Expert Group (CPEG) with core process experience to represent the stakeholders of the common work products. Individuals from the Expert Groups will be asked by the CMMI Project Manager to populate Integrated Teams as needed. The Expert Groups will be augmented as new disciplines are added to CMMI.
F. Integrated Teams
Integrated Teams (ITs) – The CMMI Project Manager will form cross-discipline Integrated Teams, from the Expert Groups and other critical sources, when they are required to modify or extend the CMMI Product Suite. Current examples are the Assessment Method Integrated Team (AMIT) and the Frame Integrated Team (FIT). The Integrated Teams will address requirements and change requests assigned to them by the Steering Group and the CCB and will propose solutions before developing complete solutions. Once proposed solutions are approved for implementation, an Integrated Team will develop, validate/verify, and release (after final CCB approval) the solutions, integrated across the CMMI Product Suite and coordinated with other Integrated Teams. The Product Team (PT) will act to incorporate core process adaptations into the CMMI Product Suite, and incorporate new disciplines, developed by the cross-discipline Integrated Teams, as integrated parts of the CMMI Framework.
G. Configuration Control Board
Configuration Control Board (CCB) – The CCB will review and approve/reject all proposed and final resolutions to change requests from the User community and the Integrated Teams. It may also suggest alternative approaches and/or more detail to proposed resolutions. The Integrated Teams will, as required, provide support to the CCB reviews of proposed and final change request resolutions. Change requests that result in significant change to CMMI may be reviewed with the Steering Group.
The flow of change requests/change packages is Shown in Figure IV-1A and B.
H. Advisors
- Provide broad-perspective representation of identified User constituencies (e.g., software, systems engineering, and integrated product and process development [IPPD]).
- Advise the CMMI Steering Group, Custodian, Discipline Expert Teams, and the Core Process Maintenance Team.
- Represent and champion CMMI within identified User constituencies, with a focus on quality of the model and associated products.
- Participate in appropriate workshops, pilot tests, and product reviews.
A notional organization chart indicating the post transition entities for the CMMI Product Suite is shown in Figure II-1.
Figure II-1: Notional CMMI Product Suite Organizational Chart
III. Steward Role Description (in Detail)
A. Maintain and Evolve the CMMI Product Suite
The activities of the CMMI Steward are to support and facilitate the maintenance and evolution of the CMMI Product Suite. These activities include future enhancements of the framework, models, training products, assessment products, and their transition into practice. The responsibility of the Steward is to provide project management coordination of CMMI Product Suite maintenance and enhancements reflecting the following:
- feedback from the Users, Expert Groups, Advisors, and Developers of the CMMI Product Suite on changes required through use of the CMMI Product Suite
- incorporation of new requirements as supplied by Integrated Teams based on change requests and on new and improved best practices in the field; integration of new disciplines or process, etc.; and as directed by the Steering Group.
Activities
- Prepare to become the Steward of the baseline CMMI Product Suite.
- Elicit changes and User requirements for the existing CMMI Product Suite.
- Provide change management for and configuration management of the existing CMMI Product Suite; facilitate the change control process by participating on a change control board; and provide open communication on change requests.
- Provide project plans for updating the CMMI Product Suite to the Steering Group.
- Manage plans and provide status of updating activities to the Steering Group.
- Facilitate best practices workshops, approved by the Steering Group, with qualified attendees and discipline expert authors.
- Hold open forums, approved by the Steering Group, for discussions of proposed changes and plans.
- Coordinate and conduct pilot tests of selected changes to evaluate the value and impact of changes; involve discipline experts to evaluate the changes.
- Coordinate and participate in review and revision of the CMMI Product Suite.
- Publish, release, and distribute updated work products.
- Support and facilitate Integrated Teams using a team approach approved by the Steering Group.
- Support the Product Team.
B. Provide the Models and Assessment Method Descriptions to the Public
To allow for broad access to the models, they will be made available in documents and on the World-Wide-Web. Comprehensive descriptions of assessment methods will also be made widely available to promote understanding by those sponsoring an assessment. The key support that this activity provides is answers to questions and clarification of details to the constant stream of inquiries. This information on the Web provides the public with timely access to the experts.
Activities
- Phone and send e-mail to provide knowledgeable responses to Users questions.
- Speak at public events and be available at those events to clarify details of the models and methods (also requires discipline experts).
- Write and make available papers that answer frequently asked questions and provide detailed explanations of subtle and complex areas (also requires discipline experts).
- Maintain currency and accuracy of documents and Web-based versions of the models and assessment method descriptions.
C. Provide Widely Available, High Quality Training and Assessment Programs
Although models and assessment method descriptions generated from CMMI will be available to the public, many Users desire training that comes from knowledgeable, trained sources and is consistent across available sources. Consistent training material will come from and be maintained by the Steward of CMMI. The core training and authorization of instructors and lead assessors of that material will also come from the Steward, with participation of other appropriate discipline experts. The Steward (augmented with discipline experts) will itself provide qualified training and assessment services to stay actively in touch with the User community.
Activities
- Develop and maintain train-the-trainer and lead assessor courses.
- Develop and maintain training materials for updated and new CMMI products.
- Train, observe, and qualify instructors, train-the-trainers, and lead assessors.
- Authorize instructors and lead assessors for organizations planning internal-use and commercial offerings of CMMI training courses and assessments.
- Deliver regularly scheduled public training offerings, including train-the-trainer and lead assessor, and a limited number of customer site offerings.
- Administer a licensing program, approved by the Steering Group, as part of accomplishing the above activities.
D. Administer Quality Control of CMMI Product Suite Usage
The CMMI Product Suite will define the materials and methods for performing CMMI training and process assessments and the qualification criteria for those training in the model or leading and performing an assessment. Validity and consistency of results, repeatability and comparability of results, and defensibility of the results are a few of the reasons why such training, method definition, and corresponding qualification criteria are needed. To help ensure these results, a quality control program overseeing assessment and training activities will be approved and monitored by the Steering Group and administered by the Steward for use of the pertinent CMMI work products.
Activities
- Establish qualification criteria for instructor and assessor candidates, then qualify candidates to enter the CMMI instruction and lead assessor programs.
- Train, observe, and authorize CMMI instructors and lead assessors to teach CMMI courses, to select and train assessment teams, and to lead CMMI-compliant assessments.
- Monitor the performance of training, assessments, and the assessment program for the User community.
- Enforce performance criteria of trainers and lead assessors, including remediation and/or revoking of authorization.
- Maintain a repository of course attendance and assessment data for use in qualifying and monitoring students as well as supporting the analysis and reporting of the use, value, and impact of CMMI.
E. Provide CMMI Framework and Product Suite Communications
The Steward will act as the center for communication about the CMMI Framework and Product Suite under the direction of the Steering Group.
Activities
- Communicate the existence of the CMMI framework.
- Provide access to the CMMI Product Suite products.
- Provide guidance on how to select and extract CMMI products.
- Provide guidance on how to use CMMI products to develop and integrate models for other disciplines that intersect with the contents of the CMMI Product Suite.
- Communicate CMMI requirements and standards for developing new CMMI-conformant models and associated materials.
- Provide guidance on how to generate training and assessment products for those disciplines.
- Work with selected disciplines to capture discipline-specific material for the framework, ensuring it meets CMMI standards.
- Assist in providing training on the framework and in generating models for other disciplines.
- Actively advocate, promote, and support the use of CMMI products.
F. Participate in Standards Development and Conformance
The Steward of CMMI will support relevant national and international standardization activities, as tasked by the Steering Group, in conjunction with DoD and Industry as part of protecting developer and User investments in CMMI.
Activities
- Provide applied experience-based input into standardization activities.
- Ensure conformance of CMMI work products with the resulting standards.
- Support promulgated U.S. positions to national and international standards bodies, as requested by the Steering Group.
- Recommend adaptations to the CMMI Product Suite to accommodate national and international standards for inclusion in the CMMI update and enhancement process.
G. Analyze and Feedback on CMMI Product Suite Use, Impact, and Value
The success of and barriers to using CMMI products must be identified and measured. This measurement includes the breadth and depth of the impact of the transition, the impact of integration, and the business value to specific Users and Government and Industry communities. Data on actions and results must be collected, stored, analyzed, and reported back to the Users and developers of CMMI products.
Activities
- Solicit and collect objective criteria and measures from end users to evaluate the effectiveness of CMMI Product Suite application to process improvement.
- Provide and encourage mechanisms for feedback of results (e.g., assessment reports, workshops, networking meetings, conferences, and publications).
H. Implement a Valid Funding Model
Funding, in addition to that provided by the government, will be needed to support the stewardship of CMMI. Licensing and course revenues are two such sources. Those Users and activities that benefit from the activities supported through licensing and training will provide funding to support those activities.
Activities
- Identify revenue sources.
- Budget expenditures against planned revenues.
- Deliver and support relevant revenue generating activities.
- Track the budget and address variances.
- Report to OSD and NDIA sponsors on financial status.
IV. Operational Topics
A. Configuration Management
Procedures will be followed for soliciting, processing, reporting, and testing changes to existing CMMI work products. The Steward and a representative Configuration Control Board (CCB) will be responsible for implementing these procedures. The CCB will include the following:
- Steward organization members to represent the existing CMMI Framework, assessment methods, and training materials
- Subject matter experts to represent the disciplines included in the existing work products
- Steering Group representative to represent the Sponsors
New requirements (e.g. to add a new discipline) will be referred to the CMMI Steering Group by the CCB. For more information, see "Concept of Operations for Capability Maturity Model Integration."
A diagram depicting the flow of items in the Configuration Control process is shown in Figure IV - 1A & B.
Figure IV-1A - CMMI Configuration Control Flow
Figure IV-1B - CMMI Configuration Control Flow (continued)
If you have questions or comments, send email to cmmi-comments@sei.cmu.edu.
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