CMMI Transition Plan
January 15, 2001, Updated November 1, 2002
Contents
1. Introduction
2. Scope
3. Transition Activities
4. Roles and Responsibilities
5.References and Attachments
1. Introduction
This document addresses the transition of the Capability Maturity Model® Integration (CMMI®) Product Suite from development to sustainment, and into community use.
1.1 Need for Transition
The CMMI Product Suite will be transitioned from the Development phase into a Use/Sustainment phase to support engineering process improvement. The Transition Phase will provide transition training to help users of the existing single models migrate to the use of CMMI products.
The CMMI Product Suite resulted from the initial integration of three separate Capability Maturity Models (CMM®) and will require some adaptation on the part of users to gain benefit. For one thing, the majority of users of the SW-CMM version 1.1 are unfamiliar with the changes incorporated in the CMMI-SW product as a result of upgrading it to an equivalent of SW-CMM draft V2.0. In addition, the structure of the CMMI Product Suite is based upon a set of core process areas that were integrated from the SW-CMM, EIA/IS-731 (Systems Engineering Capability Model), and the IPD-CMM. The concepts of an integrated core set of process areas will be somewhat new to the majority of users of the SW-CMM or the Systems Engineering Capability Model (or its predecessors, the SE-CMM and SECAM).
1.2 Transition Period
CMMI models and related products will not all be released simultaneously. As a result, individual CMMI products will proceed through the transition period independently, although each product is expected to move through the same series of steps. The period of transition addressed by this plan includes the period from first public release of the first CMMI product (including the model and associated training and assessment materials), through introduction to use of the last of the set of CMMI products. The set of CMMI products are those identified in the CMMI A-Specification Version 1.4.
The transition period is intended to terminate when the CMMI Steering Group concludes that sufficient use of the complete set of the CMMI products has been demonstrated to make further transition actions unnecessary. At that point the entire CMMI Product Suite will enter the Maintenance / Sustainment phase and the Transition phase will be concluded.
CMMI products were developed by a largely volunteer Product Team from Government, Industry, and the SEI. In order not to extend the resource commitments of those organizations that sponsored volunteers, the verification of the CMMI products will be conducted in the transition period through piloting and other means.
It is expected that a similar transition plan will be created when the CMMI Product Suite is augmented by the addition of new disciplines.
1.3 Objectives
The objectives of this transition process are threefold:
- Transition the management roles that steward the single-discipline CMMs to those required to manage and direct the sustainment and enhancement of the CMMI Product Suite.
- Encourage user adoption of the CMMI Product Suite and the subsequent termination of support for single-discipline CMMs that were incorporated in the CMMI Product Suite.
- Complete the criteria defined for ending the transition period.
2. Scope
2.1 CMMI Product Suite Phases
There are three phases associated with the CMMI Product Suite life cycle.
1. Development Phase - The Development phase began with the creation of the CMMI Steering Group and concludes with the distribution of the CMMI Product Suite, as defined by the A-Specification, to public review release. The traditional verification process will be conducted as part of the Transition phase.
2. Transition Phase - The CMMI Transition phase began with the approval of the first of the CMMI products for release for public review and completes when the Steering Group concludes that a sufficient user base has been established to make further transition actions unnecessary. The Transition phase includes initiation of the CMMI Steward role for management of the CMMI. Early in the Transition phase, the CMMI Steward will take over responsibility for day-to-day roll-out activities for each CMMI product as the development effort completes and the CMMI Product Suite is released to pilot activities.
3. Sustainment Phase - The Sustainment phase follows transition, and begins with the completion of the transition of a CMMI product (including the model and associated training and assessment materials and support) and continues as long as the CMMI Product Suite is used. There is some overlap between the Transition and Sustainment activities because one or more of the initial CMMI products will complete transition before others.
Sustainment includes and accommodates the evolution and continuous expansion and process improvement of the product suite. Initiation of the Sustainment Phase also included definition of the period over which support for the single-discipline CMMs associated with the CMMI will be phased out.
2.2 Scope of Transition Plan
This transition plan describes the transition activities and defines the
entrance and exit criteria for the Transition period. Transition activities
described herein are referenced to the roles and responsibilities defined in
the following documents:
1. Stewardship of the Integration Product Suite
2. Concept of Operations for Capability Maturity Model Integration
3. Charter for the Future Capability Maturity Model Integration (CMMI)
Steering Group
4. CMMI Pilot Plan
3. Transition Activities
3.1 Events Triggering Transition Actions (Initiation Criteria)
Transition Activities were initiated based upon completion of the following entry criteria:
1. Approval of this Transition Plan by the CMMI Steering Group
2. Approval of the Concept of Operations for Capability Maturity Model
Integration by the CMMI Steering Group
3. Approval of the Stewardship of the CMM Integration Product
Suite by the Steering Group and the Sponsors
4. Approval of the Charter for the Future Capability Maturity Model
Integration (CMMI) Steering Group, or amendment of the current Steering
Group Charter, by the Sponsors
5. Release of the first CMMI product to public review release (3rd Quarter of CY99)
3.2 Events Planned/Anticipated During Transition
3.2.1 The first event of transition (following public review release) was the release of the CMMI-SE/SW product (including the model and proposed training and assessment materials) to the initial CMMI pilot assessment. Pilot assessments served to check out the use of the model and supporting materials to support process improvement. In addition, these activities served as a beta test of the model and supporting materials, and contributed to verification of Section 4 of the CMMI A-Specification.
3.2.2 Public use release occurred after the pilot assessment verification for each CMMI product completed and comments were incorporated. The SEI, as CMMI Product Suite Steward, prepared and offered SCAMPI Lead AppraiserSM Training at approximately the same time as the public use release of the CMMI Product Suite. This training is essential to support early users of the product suite (e.g. to convert to the model and associated assessment tools).
3.2.3 As a major transition task, the Steward role will be fully implemented by the SEI. The Steward guided the completion of development by the Product Team (PT) (see 3.2.4 below), who initiate discipline Expert Groups (EGs) for software engineering, systems engineering, and Integrated Product and Process Development (IPPD) , acquisition, and assessment methods as needed (see 3.2.5 below), and will establish a Core Process Expert Group (CPEG) as needed (see 3.2.6 below). The Steering Group will be responsible to populate the EGs and CPEG with qualified individuals from Industry, Government, and the SEI
3.2.4 The Product Development Team (PDT), established to create the CMMI Framework and initial CMMI products, was reconstituted as the Product Team (PT) with sufficient staffing in place to complete the remaining elements of the CMMI Product Suite.
3.2.5 A discipline Expert Group will be established to maintain and extend each operative discipline reflected in the CMMI Product Suite (i.e., software engineering, systems engineering, IPPD, acquisition, and assessment method) immediately after public review release. Each Group will be established with Industry Government and SEI experts in the particular discipline.
3.2.6 The Core Process Expert Group will be established by the Steward to maintain the core processes and integrate modifications to or newly developed disciplines into the CMMI Framework. The Core Process Expert Group will consist of Industry, Government, and SEI experts in operative disciplines reflected in the core processes. They must also be reasonably knowledgeable of the included disciplines covered above in 3.2.5.
3.2.7 An Assessment Method Expert Group will be established by the Steward to maintain the CMMI Assessment Method and related documentation after the release of Version 1.1 of CMMI. Immediately after the release of Version 1.0 of CMMI, a special Assessment Method Integrated Team was established to develop Version 1.1 of the Assessment Method. This Group operated and reported in a similar fashion as the original CMMI PDT until completion of Version 1.1.
3.2.8 At the start of the Transition Phase, a responsible party, within the CMMI project, will be identified to verify that the CMMI A-Specification Section 4 requirements have been satisfactorily accomplished. A mapping of the Section 4 verification requirements into pilot assessments objectives will be developed to support use of the pilot exercises to accomplish selected verification of the CMMI Product Suite requirements. This mapping will cover all of Section 4 and will identify those requirements that can be more efficiently and effectively verified apart from the pilot exercises. Methods and procedures will be identified to verify all requirements. As part of the transition activities all requirements will be verified.
3.2.9 A process to establish appropriate and sufficient funding to support the steward function, in the outlying years, will be developed and coordinated with the DOD Sponsor. This process is essential to assure the roles and responsibilities of the CMMI Steward to support the CMMI Product Suite are funded.
3.2.10 A process to authorize and license Lead Appraisers has been established and accomplished during the Transition Phase. This process defines formal criteria including credentials and qualifications consistent with the requirements of the appraisal activity. This started with a review of the current SW-CMM licensing process, including criteria for selection and a means to review and monitor the performance of licensed Lead Appraisers. The Steering Group/Sponsors will review and approve the revised process.
3.2.11 A training program for Lead Appraisers based on the training requirements and training courses was developed as part of the CMMI Product Suite. This training program was beta tested on the Lead Appraisers who participated in the pilot testing of the CMMI models. During the Transition phase, trained Lead Appraisers were available to support pilot tests and first applications of the CMMI Product Suite. During transition, this training process for Lead Appraisers recognized and built on the existing authorized SEI Lead Appraisers and INCOSE-certified equivalents for Systems Engineering assessments.
3.2.12 A "sunset process" for phasing out support of existing single-discipline CMMs, which are replaced by the CMMI Product Suite, was defined and initiated. Also, the process must address transitioning licensed Lead Appraisers for existing single-discipline CMMs replaced by the CMMI Product Suite. This sunset process established criteria for the phase-out events to establish a succession of in-place new product and service milestones. The sunset process allows for a nominal three-year period following the initiation of public use of a CMMI product.
3.2.13 User transition guidance will be prepared and provided. This guidance is needed to facilitate and ease the transition from existing models to the CMMI products. This guidance could include the following:
- Mapping from old to new products highlighting differences
- Suggestions for transitioning from staged to continuous representations
- Suggestions for upgrading from SW-CMM v1.1 to CMMI-SW
3.2.14 A plan and mechanism will be defined and activated for gathering, analyzing, and disseminating information relating to the application of the CMMI products. This should include data relating use of the CMMI products as well as objective measures of the effectiveness of the CMMI products in supporting process improvement and related developed systems' product quality improvement. This mechanism should include a process for review by the Steering Group and Sponsor prior to publication. This mechanism shall also include a set of criteria for regular reporting of progress (CMMI Product Suite evolution/maturity) during the Sustainment Phase. The plan shall incorporate use of electronic technology to implement the information gathering and dissemination.
3.2.15 The intended relationship between the CMMI Product Suite, as a tool set for engineering process improvement, and the appropriateness of its use in evaluating proposals as part of source selection, will be addressed and clarified.
3.3 Events for Completing Transition (Completion Criteria)
- The following products have been released for public use:
- CMMI-SE/SW with associated training and assessment materials
Both CMMI-SW and CMMI-SE selections can be selected and extracted with associated training and assessment materials - CMMI-SE/SW/IPPD with associated training and assessment materials
- Initial pilot assessments for each CMMI-product have been completed.
- The Steward role is fully implemented.
- The discipline Expert Groups are established and in place.
- The Core Process Expert Group is established and in place.
- The CMMI "A-Specification" has been satisfactorily verified. CMMI products have been tested and delivered in compliance with the A-Specification.
- A funding process to support the steward role in outlying years has been completed.
- A comprehensive Lead Appraiser licensing process has been established.
- A Lead Appraiser training program has been completed.
- A sunset process for phasing out support for the single-discipline CMMs, replaced by the CMMI Product Suite, has been established.
- User transition guidance is defined and in place.
- A mechanism for gathering and disseminating CMMI use information is completed.
- The relevance of the CMMI Product Suite in source selection has been clarified.
- The Steering Group, in council with the Steward and Sponsor, concludes that a sufficient user base has been established to make further transition actions unnecessary.
3.4 Transition Schedule
A transition schedule, depicting major events associated with the key CMMI products and their various releases, is shown in Figure 3.4-1.
| Task # | Task Name | Start Date | End Date |
| 1 | Public Release Start Ver 0.2 – Integrated Model including both Staged and Continuous Representations | 8/31/99 | |
| 2 | Public Review Period | 9/1/00 | 11/30/99 |
| 3 | Public Comments Due | 11/30/99 | |
| 4 | Steward Role Initiation | 9/1/99 | |
| 5 | Transition Activities Start | 9/1/99 | |
| 6 | Public Review CMMI-SE/SW/IPPD | 12/15/99 | 2/27/00 |
| 7 | Public Comments Due | 2/28/00 | |
| 8 | Pilot Assessments – CMMI/SW, CMMI-SE/SW & CMMI-SE | 10/1/99 | 4/30/00 |
| 9 | Pilot Assessment – CMMI/SE/SW/IPPD | 5/1/00 | 5/31/00 |
| 10 | Publish Ver 1.0 – CMMI-SW, CMMI-SE/SW & CMMI-SE | 8/31/00 | |
| 11 | Publish Ver 1.0 – CMMI-SE/SW/IPPD | 10/31/00 | |
| 12 |
Announce |
8/31/00 |
|
| 13 | Operations/Sustainment | 9/1/00 | |
| 14 | Publish ‘Pilot Version 1.05’ of CMMI-SE/SW/IPPD/A to be used to pilot systems acquisition | 11/30/00 | |
| 15 | Conduct Ver 1.0 CMMI-SE/SW/IPPD pilots | 2/1/00 | 5/1/00 |
| 16 | Incorporate corrections in Ver 1.0 | 12/1/00 | 7/31/00 |
| 17 | Publish Ver 1.1 of CMMI-SE/SW/IPPD/A | Fall 2001 | |
Figure 3.4-1 CMMI Transition Schedule - Through Fall 2001
4. Roles and Responsibilities
The following are the responsibilities assigned to those entities that perform roles in the creation and transition of the CMMI Product Suite.
4.1 Roles of the CMMI Sponsors
The Office of the Under Secretary of Defense for Acquisition and Technology (OUSD [A&T]) directs and monitors the Software Engineering Institute as a Federally Funded Research and Development Center (FFRDC). This office provides both budgetary oversight of the SEI role as Steward of the CMMI Product Suite and technical oversight of the CMMI activity by sponsoring the CMMI Steering Group. The Industry support of the CMMI activity is focused through the Industry sponsor, the National Defense Industries Association (NDIA), Systems Engineering Committee.
4.2 Key CMMI Participants
There are a number of other participating entities that have major roles in the creation of the CMMI Product Suites. These entities and their roles are as follow:
- Software Engineering Institute (SEI) - This FFRDC has created and coordinated numerous CMMs since its inception. The SEI has been the focal point for integration of the CMMI and has supplied the project manager for the CMMI Development phase.
- CMMI Steering Group - This group defined the scope of the CMMI activity, wrote the "A-Specification," established the Stakeholder/Reviewer group, and approves the publication of the CMMI Product Suite. For the Development Phase, the Steering Group has been composed of eleven members composed of five Government, four Industry, and two SEI representatives.
- Product Development Team - (Prior to issuance of CMMI Version 1.0) This team created the CMMI Product Suite, including the framework, the models, and the training and assessment materials. The Product Development Team is a combined Industry, Government, and SEI team with approximately 40 expert members with varying commitments - from full to part time contributions of time. When each CMMI product undergoes public release, the PDT will cease to function in a development role for that product and the Core Process Expert Group will begin its role of the newly released product. The PDT will cease to exist when the last of the initial CMMI products (e.g., CMMI-SE/SW/IPPD) is released. Their initial development role will transition to a role more oriented to maintenance and improvement of an existing CMMI product suite as described in paragraph 4.3.1.
- Product Team - (After delivery of CMMI Version 1.0) A Product Team will replace the PDT and will be composed of a Core Expert Group and Expert Groups representing the various disciplines that are addresses by the CMMI. The Expert Groups will be augmented as new disciplines are added to the CMMI. Paragraph 4.3.1. describes the functions of these groups.
- Stakeholders/Reviewers - This group of 40+ user companies and Government agency representatives coordinated review and commented for their organizations. The Stakeholder/Reviewer Group was chosen to represent a broad range of developers/users.
- Users - These developer organizations have adopted one or more CMMs as tools for continuous process improvement and are candidates for use of the CMMI products selected from the CMMI Product Suite for one or more disciplines.
4.3 Notional Structure of the CMMI Product Suite Sustainment Function
The notional structure of the CMMI participants upon completion of the Transition phase is shown in Figure 4.3-1. This is called a notional structure in recognition of the responsibility of the Steward to create the operational organization for any tasks that the CMMI Sustainment Function executes. It is anticipated that the Program Manager would have the latitude of gathering the members of the Expert Groups from all elements of this notional structure. This structure is shown to highlight the relationship of all participants with the CMMI Configuration Control Board that begins its existence with the release of Version 1.0 of CMMI
Figure 4.3-1: Notional CMMI Product Suite Organizational Chart
4.3.1 Transition Activity Assignments
The following activities are assigned during the Transition Phase:
- CMMI Steward - As CMMI Steward, the SEI will transition to a new role to complete the transition of the CMMI Framework and products to the Sustainment phase in accordance with the CONOPS and Steward document. The Steward will perform the functions outlined in the Steward document and the CONOPS.
- Steering Group - At the start of the Transition phase, the CMMI Steering Group will be rechartered under the CONOPS and New Steering Group Charter to complete the Transition phase and begin the Sustainment phase. The Steering Group will be structured in accordance with and perform the functions outlined in the Steering Group Charter and the CONOPS.
- Expert Groups - A discipline Expert Group will be established to maintain and extend each operative discipline reflected in the CMMI models (i.e., software engineering, systems engineering, acquisition, and assessment method). Each team will be established with Industry and Government experts in the particular discipline. These experts will be identified and assigned through the CMMI sponsor OUSD (A&T) and the NDIA structure to appropriately represent Industry and DOD. The discipline Expert Group will perform the functions outlined in the CONOPS.
- Core Process Expert Group - A Core Process Group will be established by the Steward to maintain the CMMI Framework and core processes and to integrate modifications to disciplines or newly developed disciplines submitted by the discipline Expert Groups into the CMMI Framework. These experts will be identified and assigned through the CMMI sponsor OUSD (A&T) and the NDIA structure to appropriately represent Industry and DOD. The Core Process Expert Group will perform the functions outlined in the CONOPS.
- Advisors - A set of advisors will be appointed by the Steering Group to act as a technical advisory arm for the Steering Group and the Steward. These Advisors will be identified and assigned through the CMMI Sponsor OUSD (A&T) and the NDIA structure to appropriately represent Industry and DOD. The function of the Advisors is defined in the CONOPS, the Steward Document, and the New Steering Group Charter.
5. References and Attachments
1. Stewardship of the CMM Integration
Product Suite
2. Concept of Operations for
Capability Maturity Model Integration
3. Charter for the Future
Capability Maturity Model Integration (CMMI) Steering Group
4. CMMI A-Specification
If you have questions or comments, send email to cmmi-comments@sei.cmu.edu.
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