v1.3 Scampi A Checklist Template

 

Status

SCAMPI v1.3 March 2011 2011

1 Plan and Prepare for Appraisal 1.1 Analyze Requirements 1.1.1 Determine Appraisal Objecves Required Pracces • Identfy sponsor and relevan sakeholders, and esablish communicaton • Documen he business objectves provided provided by he sponsor and he specic appraisal object objectves ves • Ensure he alignmen of he appraisal appraisal objectves o he business objectves objectves • Deermine and documen he appraisal appraisal usage mode (i.e., Inernal Process Improvemen, Improvemen, Supplier Selecton, Process Monioring) Parameters and Limits A leas one communicaton beween he appraisal eam leader and sponsor is required. 1.1.2 Determine Data Collecon Strat Strategy egy Required Pracces • Work wih he sponsor or designee o identfy he daa collecton sra sraegy egy ha bes aligns wih he appraisal objectves and consrains • Documen he planned daa collecton sraegy • Documen he ailoring decisions decisions made using he ailoring checklis checklis in Appendix H - SCAMPI A Tailoring Checklis Parameters and Limits

The daa collecton sraegy mus address:   • he daa collecton collecton approach (discovery, managed discovery and/or vericaton)   • he echniques for collec collectng tng artfacs ((e.g., e.g., documens, demons demonsratons, ratons, presenatons) presenatons)   • he echniques for for collectng armatons (e.g., inerviews, demonsratons, presenatons)   • a high-l high-level evel sc schedule hedule for collectng daa   • roles and responsibilites for collectng collectng appraisal appraisal da daa a The idented daa collecton sraegy sraegy mus be documened in he daa collecton plan, which is par of he overall appraisal plan. The daa ccollecton ollecton sraegy will evolve hrougho hroughou u he appraisal planning process. 1.1.3 Determine Appraisal Constra Constraints ints Required Pracces • Esablish high-level cos and schedule consrains • Documen model scope of he appraisal and inital ratng arges arges (if any) • Documen inital descripton descripton of he organizatonal organizatonal uni • Negotae consrains and objectves wih sak sakeholders eholders o ensure feasibiliy feasibili y • Documen negotaed consrains o be me Parameters and Limits Consrains Consrain s idented by he appraisal plan mus be negotaed beween he sponsor and he appraisal eam leader 1.1.4 Determine Appraisal Scope Required Pracces • Deermine and documen he reference reference model scope and represenaton represenaton o be used for he appraisal • Deermine and documen he organizatonal organizatonal uni o be investg investgaed aed during he appraisal • Deermine and documen he basic unis ino which people are organized organized o accomplish he work done by he organiz organizatonal atonal uni

 

• Deermine and documen documen he suppor functons ha exis and he responsibil responsibilites ites assigned o each functon • Deermine and documen he sampling facors facors used o specify he organizatona organizatonall uni and he organizatonal scope of he appraisal • Deermine and documen documen a mapping beween each basic uni or suppor functon and he process process areas in he scope of he appraisal • Deermine and documen he organizatonal organizatonal scope of he appraisal • Deermine and documen documen he lis of individuals who will partcipae partcipae in he appraisal • Deermine and documen he planned coverage coverage of each process area in he model scope of he appraisal for each basic uni or suppor functon wihin he organizatonal scope of he appraisal Parameters and Limits The refer reference ence model scope shall include he PAs in he seleced model(s) and for CMMI models in he represenaton chosen as well as he associaed maximum capabiliy or mauriy level argeed. The reference model scope of he appraisal shall include a leas one PA. All practces and goals ha are par of he seleced P PAs As mus be included; individual practc practces es and goals wihin a PA shall no be excluded. When a PA is deermined o be ouside of he organizatonal uni's scope of work, he PA is designaed as "no applicable" and he ratonal ratonale e for is excl exclusion usion mus be documened in he appraisal plan and appraisal disclosure saemen (ADS). The organizatona organizatonal of heton appraisal be documened by listng he selectons basic unisisand suppor functons selecedl scope for partcipaton partcipa in he shall appraisal. The ratonale for hese based on he way he organizaton allocaes allocaes roles and responsibilites o accomplish he work, as well as he sampling facors ha aec he way people do he work.

Sampling facors associaed associaed wih he variey and diversiy of conditons under which work is performed in he organiz organizatonal atonal uni mus be recorde recorded d during planning. The following candida candidae e sampling facors mus be evaluaed o deermine he organizatonal scope of he appraisal: Locaon:   if work is performed dierenly in dieren locatons (e.g., counries, cites, sies, or   • Locaon: insallatons)   • Customer: Customer:   if work is performed di dierenly erenly depending on he cusom cusomer er served by ha work Size:   if work is performed di   • Size: dierenly erenly based on he size of he basic uni or suppor functon Organizaonal onal Structure Structure:: if work is performed di   • Organiza dierenly erenly in die dieren ren pars of he organizatonal srucure (e.g., dieren divisions as depiced on an organizatonal char)  inegraton, • Type ofsoware Work: if developmen, Work: work is performed dierenly based he "ype of work" (e.g., sysem IT-suppor services, or on help-desk) Each of hese poental sampling facors shall be evaluaed for is eec on he conditons under which work is performed in dieren dieren pars of he organiz organizatonal atonal uni. Oher sources of diversiy ha aec hese conditons shall also be considered as additonal poental sampling facor aec facors. s. Examples of sampling facors could include funding source, duraton, complexiy, or oher facors ha aec he conditons under which work is performed. Evaluatons Eva luatons of poental sampling facors shall be based on he identcaton of meaningful values (e.g., large or small unis; he name of cites where sies are locaed) ino which basic unis can be allocaed for each sampling facor. facor. The number of subgroups is deermined by analyzing all combinatons of values wihin he sampling facors. The resul is a se of subgroups ha represens he poentally unique conditons under which work is performed across he organizatonal organizatonal uni.

 

Poentall sampling facors ha do no drive dierences Poenta dierences in conditons under which work is performed may reasonably be excluded. Ratonale for inclusion or exclusion of hese facors in deermining a represenatve represen atve sample shall be documened in he appraisal plan, along wih he subgroups dened by he combinaton of all relevan sampling facors. Subgroups dened using he sampling facors represen deermined o be releva relevan n represen cluserss of similar conditons for process implemen cluser implemenaton. aton. These subgroups conain one or more basic unis ha are candidaes o partcipae in he appraisal daa collecton actvites (i.e., supply artfacs and/or armatons). Esablish a represenatve represenatve sample for he organiza organizatonal tonal uni by selectng basic unis from each of he subgroups according o he following formula: Minimum number of Basic Units to be selected from a given subgroup = (Number of subgroups X Number of Basic Units in the given subgroup) / Total number of Basic Units

The compued value of he formula above may generae a fractonal number. number. If he compued value using his formula is less han 1, hen he required number number of basic unis shall be 1. Fractonal Fractonal values (greaer (greaer han 1) resultng from he compuaton shall be subjec o sandard rounding rules (i.e., 1.51 becomes 2 and 1.49 becomes 1). The organizatonal organizatonal scope of he appraisal is dened as he se of basic unis seleced using he process described above and he idented suppor functons. This se of organizatonal entt enttes es shall provide daa for he model scope of he appraisal, in accordance wih he daa coverage rules specied below. The mapping of PAs o basic unis and suppor functons shall be recorded in order o esablish how he organizatonal organizatonal scope of he appraisal is linked o he model scope of he appraisal. Some P PAs As may be insantaed in each and every basic uni. Oher PAs ma may y be insantaed in a single suppor functon. I is also possible ha a given PA PA is insanta insantaed ed in parallel suppor functons ha exis wihin given subgroups, or are shared across a number of subgroups. The following coverage rules ensure corroboraton of objectve evidence from multple independen sources across he se of basic unis or suppor functon sampled.

Coverage Rules for Process Areas Coverage Coverage–1:: Objectve evidence provided for a process area mus address all practces ha are par Coverage–1 of ha process area. For CMMI models, his includes all specic practces as well as all generic practces practc es included in he scope of he process area. Each basic uni or suppor functon sampled mus address all practces in he process areas for which hey supply daa. Coverage–2 : In erms of he organizat Coverage–2: organizatonal onal coverag coverage e of a process area, he design of he process in he organizaton may may lead o process areas implemened implemened by one of he following: • an individual basic uni wihin a subgroup • a single suppor functon ha serves he entre organizatonal organizatonal uni • a se of suppor functons ha each serve dieren pars of he organiz organizatonal atonal uni • some hybrid of he above where he groupings of basic unis in subgroups would be oo limitng (I would make sense o ‘collapse he subgroups ogeher’ for he purpose of looking a his process area because of he level of sandardizaton.) As an excepton o he following coverage rules specied for basic unis below, he implemenaton of a process area in a sandardized manner across subgroups may reduce he daa collecton needs. By documentng ratonale in he appraisal plan, he appraisal eam leader may dene a daa collecton sraegy sraegy ha collapses he subgroups when considering process areas implemened in a highly sandardized sandardized fashion.

 

Coverage Rules for Basic Units Coverage Coverage–1:: For each subgroup, boh artfacs and armatons shall be provided for a leas one Coverage–1 basic uni for every process area implemened by basic unis wihin ha subgroup. This sampled basic uni shall provide daa for all process areas. Selecton of his basic uni mus consider he schedule of work (e.g., lifecycle sage) achieved, in order o maximize coverage of he process areas. In cases where his sampled basic uni would have “no ye” charac characerizatons erizatons in a process area, additonal basic unis mus be sampled o cover ha process area (unless no oher basic unis remain o be sampled in he subgroup). Coverage–2 : For a leas 50 percen of he sampled basic unis in each subgroup, boh artfacs and Coverage–2: armatons shall be provided for a leas one process area implemened implemened by basic unis wihin ha subgroup. Coverage–3: For all sampled basic unis in each subgroup eiher artfacs or armatons shall be provided for a leas one process area implemened by basic unis wihin ha subgroup. For subgroups wih only one sampled basic uni, satsfacton of he rs rule leads o satsfa satsfacton cton of he oher wo rules.

Coverage Rules for Support Funcons Coverage Coverage–1:: Boh artfacs and armatons shall be provided for each suppor functon for all Coverage–1 process areas relatng o he work performed by ha suppor functon. Coverage–2 : The artfac Coverage–2: artfacs s and armatons provided by suppor functons shall demonsra demonsrae e he work performed for basic unis for a leas one sampled basic uni in each subgroup. This applies for each process area relatng relatng o he work performed by ha suppor functon for basic unis. For example, qualiy assurance or conguraton managemen functons would provide daa on he applicaton of PPQA or CM respectvely. respectvely. The linkage of he functons o assure qualiy or mainain conguratons congur atons of key work producs relaed o oher process areas does no mean hese suppor functons mus address all he practces in hose oher process areas. Coverage–3: In Coverage–3:  In cases where multple suppor functons exis wihin he organizatonal uni, all insances of he suppor functon shall be included in he appraisal scope. For example, if divisionspecic Conguraton Conguraton Managemen groups exis, every group in each division included in he organizatonal organiz atonal uni mus be sampled. Organizatonal Organiz atonal uni size (i.e., number of people and number of basic unis) and sizes of basic unis (i.e., number of people) in he organizatonal scope shall be documened in he appraisal plan as well as he percena percenage ge rato of hese wo measures:   • Popula Populaton ton perc percen: en: he num number ber of pe people ople in he organizatonal organizatonal sscope cope divided by he number of people in he organiz organizatonal atonal uni (x100)   • Basic uni perc percen: en: he num number ber of ba basic sic unis in he organiza organizatonal tonal sc scope ope divided b by y he num number ber of basic unis in he organiz organizatonal atonal uni (x100) Basic unis ha are specically exc excluded luded from partcipatng in he appraisal (hough hey are included in he deniton of he organizatonal organizatonal uni) mus be idented in he appraisal plan and in he appraisal disclosure saemen along wih a justcaton for heir exclusion. Such exclusions migh arise from logistcal consrains consrains idented during planning – such as unplanned urgen cusomer demands. Unis ha are no par of he organiz organizatonal atonal uni need no be lised in his manner – as he resuls do no apply o hem.

 

The appraisal eam reserves he righ o seek clarica claricaton ton or daa from oher basic unis or suppor functons wihin he organizatonal uni, beyond hose specied in he daa collecton plan. These basic unis or suppor functons mus also be idented in he appraisal disclosure saemen. saemen. The organizatonal organizatonal scope o be invest investgaed gaed during he appraisal will drive he selecton of partcipans needed o provide sources of objectve objectve evidence. An inital deerminaton of appraisal appraisal partcipans, by name and role, mus be negotaed wih he appraisal sponsor and/or he senior sie manager as par of he early deerminaton of organizatonal organizatonal scope. This inital deerminaton will be rened laer during deailed appraisal planning. If he Conduc Appraisal phase is o be performed using incremenal incremenal subses of he organizatonal organizatonal uni or he model, he appraisal plan mus identfy he organiza organizatonal tonal scope and appraisal reference reference model scope for each incremen. Dela appraisals are no permied. A dela appraisal is dened as a second appraisal performed performed on a subse of an original appraisal model scope aer correct correctng ng weaknesses repored in he previous appraisal, and hen combining he resuls of he second appraisal wih he resuls of he pars of he rs appraisal ha were no investgaed in he second appraisal o ge new resuls. 1.1.5 Determine Outputs Required Pracces • Review required required SCAMPI A oupus wih he appra appraisal isal sponsor • Review and and selec optonal SCAMPI A oupus wih he appraisal appraisal sponsor Parameters and Limits Required SCAMPI A oupus include:   • appraisal record record (see Actviy 3.2.2, Generae Appraisal R Record) ecord)   • SEI daa (see Actviy 3.2.3, Provide Appraisal Feedback o he SEI) A leas all he goals for he process area or process areas wihin he model scope mus be raed for he organizatonal organizatonal uni, alhough he choice may be made o no disclose he ratngs o anyone oher han he appraisal sponsor. sponsor. Ratngs for individual disciplines or for individual basic unis, unless he basic uni is he organizat organizatonal onal uni, are no allowed. The sponsor shall receive he appraisal rec record, ord, which includes:   • nal ndings, includi including ng saemens of srenghs and weaknesses documened for every PA PA investgaed   • all ratngs planned for and generaed by he eam eam   • he ADS The appraisal eam leader and sponsor are required o sign he ADS 1.1.6 Obtain Commitment to Inial Appraisal Plan Required Pracces • Record Record required informa informaton ton in he inital appraisal plan • Obain sponsor approval approval of he inital appraisal plan • Manage changes o he inital appraisal plan, obaining obaining sponsor approval of changes Parameters and Limits The appraisal plan is oen generaed incremenally hroughou he Plan and Prepare for Appraisal phase, and mus be approved prior o he sar of he conduc appraisal phase. The inital appraisal plan addresses he requiremens of he appraisal, and guides fuure appraisal planning. A a minimum, he inital appraisal plan provides he informaton needed o address he following:   SEE APPRAISAL PLAN CONTENT T TAB AB FOR DETAILS 1.2 Develop Appraisal Plan

 

1.2.1 Tailor Method Required Pracces • Review and selec ailoring optons wihi wihin n each actviy. • Ensure ha he ailoring decisions are self-consisen self-consisen and ha hey are appropriae appropriae in ligh of he appraisal objectves and consrains. • Documen he ailoring decisions decisions made in he appraisal plan Parameters and Limits The srucure of he MDD claries which SCAMPI A feaures feaures are required. Parameers and Limis sectons dene he allowable variaton variaton wihin hese mehod requiremens. Tailoring guidance and Implemenaton Implemena ton Guidance are provided o assis wih uning he mehod o  sponsor objectves and appraisal consrains. 1.2.2 Idenfy Needed Resources Required Pracces • Identfy appraisal eam members. • Identfy appraisal appraisal partc partcipans. ipans. • Identfy equipmen equipmen and ffacilites. acilites. • Identfy oher appraisal appraisal resour resources ces needed. • Documen resource resource decisions in he appraisa appraisall plan. Parameters and Limits

The level of deail in he identcaton of needed resources mus be sucien o suppor he creaton of he appraisal plan. A a minimum, he appraisa appraisall eam leader mus identfy he following:   • he nam names es of peopl people e who are are candida candidaes es for for armatons armatons or appraisal appraisal eam membership, membership, and suppor personnel   • he organizatonal organizatonal or basic uni a aliaton liaton of hese people   • he locaton, seatng capaciy, and conguraton of rooms o be used by he eam   • specic equipmen equipmen needed (e.g., overhead projecor projecor,, lapop projecor projecor,, or video-conferencing) video-conferen cing)  1.2.3 Develop Data Collecon Plan Required Pracces Documen he daa collecton plan Parameters and Limits The daa collecton plan mus specify contngencies o manage he risk of having insucien daa For every insantaton of every model practce, he daa collecton plan mus specify how, when, and by whom he objectve evidence will be veried For insantatons insantatons of model practc practces es ha have no been addressed in he inital objectve evidence, he daa collecton plan mus specify how he eam inends o discover he presence or absence of objectve evidence ha characerizes he exen of implemenaton for ha practce.

 

The daa collecton plan is considered par of he appraisal plan and is oen documened in a variey of artfacs, which may be compleed a dieren phases of appraisal planning. The daa collecton plan includes   • documenaton of he approach o daa collecton sr sraegy aegy (see actviy 1.1.2, Deermine Daa Collecton Sraegy)   • identcaton of partcipans o be involved in armaton actvites   • assignmen of PAs o eam members   • he schedule and and succ success ess cri crieria eria ffor or rea readiness diness rreviews eviews   • he approach for using Class C and Class B appraisals for daa collecton and/or readiness reviews (if hey are used for his purpose)   • a summa summary ry of inital objectve e evidence vidence pro provided vided by he organizaton organizaton   • iden identcat tcaton on of highes prioriy daa needs   • a schedule schedul e of inerview-gahering evens, revised over tme o include more deail   • for inerv inerviews, iews, he ident identcaton caton of a an n inital se ques questons tons (his may be maina mainained ined ouside of he overall appraisal plan)   • identcaton of artfacs stll needed aer he performance of readiness reviews (if any)   • risks ass associaed ociaed w wih ih he sucienc suciency y of he da daa a and he adequacy of he schedule  1.2.4 Determine Cost and Schedule Required Pracces • Estmae he duraton of key evens as a basis for deriving a comprehensive schedule. schedul e. • Estmae he eor required for he people partcipatng in he appraisal. • Estmae Estmae he coss associaed wih using facilit facilites es and equipmen as appropriae. • Estmae he coss for incidenal incidenalss (e.g., ravel, ravel, lodging, meals) as appropriae. • Documen a deailed deailed schedule in he appr appraisal aisal plan. • Documen deailed cos estmaes in he appraisal plan. Parameters and Limits Scheduling for each day of he appraisal is required. 1.2.5 Plan and Manage Logiscs Required Pracces • Documen logistcal logistcal schedules and dependencies. • Mainain communicaton channels for for providing saus. saus. • Assign responsibilites for for racking logistcal logistcal issues. Parameters and Limits None 1.2.6 Document and Manage Risks Required Pracces • Identfy appraisal appraisal risks. • Develop mitgaton plans for key appraisal risks, and implemen hese plan planss as necessary. • Keep he appraisal sponsor and oher sakeholders sakeholders informed of he appraisal risk saus. The risks and mitga mitgaton ton plans idented hrough conductng his actviy are required elemens of he appraisal plan (see Parameers and Limis for actviy 1.2.7, Obain Commimen o Appraisal Plan). If an idented risk occurs during appraisal executon executon hen his should be documened in he plan.

 

The appraisal eam leader is responsible for keeping he appraisal sponsor informed of risk managemen actvites actvites so ha, if needed, tmely sponsor inerventon is possible o ensure he achievemen of appraisal objectves Parameters and Limits

When evaluatng risks o an appraisal plan he following poental risk areas mus be considered:   • personnel   • logistcs   • echnical   • facilites   • schedule 1.2.7 Obtain Commitment to Appraisal Plan Required Pracces • Documen he appraisal plan. • Review he appraisal appraisal plan wih he sponsor and secure he sponsor’s approv approval. al. • Provide he appraisal plan o relevan sakeholders sakeholders for review. Parameters and Limits

Required conens conens of he appraisal plan include he following, a a minimum:   • he inita initall appr appraisal aisal plan (see actviy actviy 1.1. 1.1.6, 6, Ob Obain ain Commimen Commimen o Inital Appraisal Appraisal Plan) Plan)   • he actvites o be performed in cconductng onductng he appraisal appraisal   • resour resources ces needed for cconductng onductng he appraisal (see actviy actviy 1.2.2, 1.2.2, Identfy Identfy Needed Resources) Resources)   • da daa a collecton collecton plan plan (see actviy 1.2.3, Develop Daa Collecton Plan)   • cos and schedule estmaes for performing he appraisal (see actviy 1.2.4, Deermine Cos and Schedule)   • appraisal logistcs (see actviy 1.2.5, Plan and Manage Logistcs)   • risks and mitgaton plans associaed wih appraisal executon executon (see actviy 1.2.6, Documen and Manage Risks) There mus be a signaure block for he appraisal em leader and he sponsor o indicae in writng heir commimen commimen o he plan. If minor updaes are made made o he plan, signaures do no have o be obained again. If changes ae aec c he scope (mode or organizatona organizatonal) l) of he appraisal, hen he plan mus be re-baselined. A a minimum, he appraisal eam members are considered relevan sakeholders and should receive a copy of he approved apprai appraisal sal plan. 1.3 Select and Prepare Team 1.3.1 Idenfy Appraisal T Team eam Leader Required Pracces • Selec an auhorized SCAMPI Lead Appraiser Appraiser o serve as he appraisal eam leader • Verify he qualicatons qualicatons of he appraisal eam leader (experienc (experience, e, knowledge, and skills). Parameters and Limits The appraisal eam leader mus be an SEI-certed SCAMPI Lead Appraiser in good sanding (or a candidae SCAMPI Lead Appraiser being observed by a Qualied Observing Lead Appraiser). This certcaton can be veried on he web or by conactng he SEI direcly. If he SCAMPI A o be performed includes he ratng of High Mauriy Process Areas, he appraisal eam lead mus be an SEI-certed High Mauriy Lead Appraiser Appraiser in good sanding. This certcaton certcaton can be veried on he web, or by conactng he SEI direcly.

 

There can be only one ocial appraisal eam leader on any given appraisal. The appraisal eam leader has sole discreton o delegae imporan asks o appraisal eam members, bu canno delegae leadership responsibiliy or ultmae responsibiliy for he successful completon of he appraisal. The inclusion of multple SCAMPI Lead Appraiser Appraiserss on a eam for a given appraisal can be a srong asse for he leader of ha eam. However, However, he single designaed appraisal eam leader mus perform he leadership role and manage he appraisal proces process. s. 1.3.2 Select Team Members Required Pracces • Selec Selec individual individual eam eam members members memberss ha ha collectvely mee he minimum for individual members. members. • member mee hecrieria minimum cri crieria eria foream he eam as a whole. • Documen he qualicatons qualicatons and responsibilites of eam members in he appraisal plan Parameters and Limits The minimum accepable eam size for a SCAMPI A appraisal is four people (including he appraisal eam leader). Each Appraisal Team Member mus have previously compleed an SEI-licensed oering of he designaed inroducory course relatng o each and every reference model (e.g., CMMI Consellaton, Consellat on, or People CMM) ha is included in he scope of he appraisal

The eam overall mus have eld experience relatng o he conen of he reference model (e.g., developmen of producs and services for CMMI-DEV, delivery of services for CMMI-SVC, acquisiton for CMMI-ACQ, human resources for P-CMM). For each reference model (e.g., consellaton) in he scope of he appraisal, he eam mus have:   • Individual m members embers wih a leas leas wo y years ears of eld eld experience performing he ype of work work addressed in each appraisal reference reference model included. This means each eam member has eld experience experien ce wih each include included d model. The appraisal eam leader, leader, a heir discreton, may accep one eam member wih no eld experience - however however,, his mus be documened along wih he ratonale for his excepton in he appraisal plan.   • An a average verage of a leas 6 years of eld experience excluding he experience of he appraisal eam leader, relatng o he conen of each of he reference models. This ensures ha eam members wih relatvely limied experience are balanced by ohers who have a greaer level of experience.   • An aggregae of 25 y years ears of eld experience relatng o he conen of each of he reference reference models excluding he experience of he Lead Appraiser. This ensures ha he eam as a whole has a subsantal subsant al experience baseisorequired supporo heir judgmens. The Appraisal Team Leader evaluae and validae he eam members' experience by eiher a review of he eam members members'' resumes or inerview each eam member o deermine heir level of expertse The eam (as a group) mus have a oal of a leas 10 years of managemen experience, and a leas one eam member mus have a leas 6 years experience as a manager - excluding he eam leader. The seleced appraisal eam members and heir organizatonal aliaton and qualicatons (individually and in aggregae) mus be documened in he appraisal plan. The eam leader mus identfy he range of roles, functons, or actvites performed in he work done wihin he organizatonal uni (e.g., life cycle sages for CMMI-DEV). The appraisal eam as a whole, mus have members wih experience performing practces from all of he Process Areas included in he appraisal scope. The appraisal eam shall no be comprised entrely of sa who wroe he processes being appraised. If one or more process auhors are included on he eam, he risk managemen secton of he appraisal plan mus address how poental conics of ineres will be managed.

 

The sponsor of he appraisal shall no be an appraisal eam member A senior manager who has supervisory auhoriy over he entre Organizatonal Uni shall no be an appraisal eam member. Additonal requiremens specic o High Mauriy appraisals appraisals::   • Ensure a all ll member memberss of he high m mauriy auriy mini- mini-eam eam ha have ve high mauriy mauriy experienc experience. e.   • A high mauriy lea lead d appraiser or a appraisal ppraisal eam eam member wih wih satstcal satstcal analysis analysis and oher high mauriy-relaed mauriyrelaed raining and experience shall be assigned o all mini-eams foc focused used on high mauriy PAs The eam as a whole mus have collectve experience experience implementng High Mauriy actvites such as esablishing, evaluatng, evaluatng, using, or analyzing process performance baselines and process performance performance models. The appraisal eam leader is he nal auhoriy on accepance of appraisal eam members and is responsible for ensuring heir qualicatons and suiabiliy for he appraisal scope 1.3.3 Document and Manage Conicts of Interest Required Pracces • Identfy poental conics of ineres • Take Take seps o av avoid oid hose conic conicss of ineres ha can be avoided • Develop sraegies sraegies o manage poenta poentall conics of ineres ha ca canno nno be avoided, and documen hose sraegies in he appraisal plan • Monior he conics of ineres o ensure ha managemen sraegies are eectve • Take Take appropriae correctve acton when conic of ineres managemen sraegies do no work Parameters and Limits

The appraisal eam leader mus use professional judgmen and evaluae, a a minimum, he following poental conics of ineres, review hem wih he sponsor and ensure deailed documenaton documenat on and ratona ratonale le in heir appraisal plan:   • Are any eam eam member memberss auhors of one or m more ore processe processess included in he scope of he appraisal?   • Are any members of he organizaton’s process group serving on he appraisal eam?   • Are any “process owners” serving as appraisal eam members?   • Are sa sa  wih supervisory rresponsibiliy esponsibiliy over one or more pars of he O Organiz rganizatonal atonal Uni on he eam?   • Are people who serv served ed on previous appraisals appraisals (Class C C,, B or A) of he Or Organiza ganizatonal tonal Uni serving as appraisal eam members?   • Are any of he appraisal eam members in a direc reportng relatonship above any appraisal partcipans or oher appraisal eam members, members, including adminisratve, functonal, basic uni, performance, or echnical auhoriy (e.g., supervisory, basic uni, program, echnical)?   • Will any of he appr appraisal aisal eam members be inerview inerviewed ed or prov providing iding evidence?   • Are me members mbers of he appraisal eam in involved volved in process or produc qualiy audis?   • If using a ranslaor,   a. Is he ranslaor an appraisal eam member?   b. Does he ranslaor work for he appraised company?   c. Does he ranslaor ranslaor work wihin he Organizatonal Organizatonal Uni?   d. In suppor of his a appraisal, ppraisal, was he appr appraisal aisal eam leader or any any of he appraisal appraisal eam members providing coaching, consultng, or labor for he OU's projec work or process identcaton, identcaton, documenaton, or creaton? (Providing SEI-licensed raining is excluded.) The sponsor of he appraisal shall no be an appraisal eam member (see actviy actviy 1.3.2 Selec Team Team Members)

 

Poental conics of ineres ha canno be avoided, along wih he sraegy o be used o manage hem, are o be documened in he risk managemen secton of he appraisal plan. The appraisal eam leader mus keep he appraisal sponsor informed of managemen actvites fro conics of ineres so ha, if needed, tmely sponsor inerventon inerventon is possible o ensure he achievemen of appraisal objectves. Cauton mus be exercised o ensure ha condentaliy and non-aributon requiremens of he appraisal are mainained. In he evenoha conics of ineres prove unmanageable, or mus compromise he eam'sseps, objectviy and abiliy reach valid conclusions, he appraisal eam lead ake appropriae up o and including erminaton of he appraisal The level of eor devoed o conic of ineres managemen actvites is somehing he appraisal eam leader mus adjus o  he existng siuaton 1.3.4 Prepare Team Required Pracces • Ensure ha appraisal eam members have received received appraisal reference model raining. • Provide appraisal mehod raining o appraisal eam members or ensure ha hey have already received i. • Foser eam eam building and esablishing eam eam norms • Provide an orienaton orienaton o eam members on appraisal objectv objectves, es, plans, and heir assigned roles and responsibilites • Ensure ha no appraisal actviy (performed (performed by eam members) members) begins untl aer he mehod raining relatng o ha actviy has been compleed. Parameters and Limits Model raining mus be provided using he sandar sandard d inroducory course for he model(s) in scope, delivered by an insrucor who is certed by he SEI.

A a minimum, all eam members mus be rained on he following opics using informaton from he SCAMPI A eam raining maerials provided by he SEI:   • SCAMPI A mehod overview   • appr appraisal aisal planning, including he cconens onens of he appraisal plan   • objectve evidence collecton and analysis   • eam decision making          

• appraisal condentaliy condentaliy and non-aributon • practce characerizaton • ndings developmen, verica vericaton, ton, and validat validaton on • ratng • appraisal oupu requireme requiremens ns

For eams involved in U.S. governmen source selecton or process monioring appraisals, eam members mus also be rained in:   • applicable laws, rregulatons, egulatons, and policies ha aec aec he appr appraisal aisal such as as Federal Federal Acquisiton Regulatons and DoD service or organizatonal organizatonal regulatons and policies   • role of he a appraisal ppraisal and he appraisal appraisal eam in source selecton or process monioring pr processes ocesses and srucures   • lim limiatons iatons on ndings developmen, validat validaton, on, and and release release   • special domain and/ and/or or model requireme requiremens ns (e.g. space, ccommand ommand and conrol, informa informaton ton echnology, supplier sourcing, and satstcal process managemen) Appraisal actvites actvites may no be performed untl he mehod raining for hose actvites has been provided.

 

Three conguratons of mehod raining are recognized:   • o a single appraisal eam   • o multple appraisal eams in a single single even   • o a large large group of poental fuure ea eam m member memberss who are no currenly engaged in an appraisal When appraisal mehod raining will be delivered o more han one appraisal eam in a single even, he SEI mus be noted in writng (e.g. via email), a leas 30 days prior o he rs day of raining. When mehod raining is delivered in his way, care mus be exercised o ensure ha condentaliy of informaton is mainained beween organizatons. Mehod raining delivered o groups of poental fuure eam members mus cover he complee se of ailoring optons and allowable varia variatons tons for he mehod o prepare hem for a range of siuatons hey are likely likely o encouner on fuure appraisals. When mehod raining is o be delivered in his way, he SEI mus be noted, in writng (e.g., via email), a leas 30 days prior o he rs day of raining. Team members who have previously received SCAMPI A eam raining are no auomatcally qualied o partcipae on an appraisal wihou rs rs aending mehod raining. In such cases, he appraisal eam leader is required o undersand he naure of he raining delivered previously previously and he adequacy of ha raining for he appraisal a hand. There mus be a leas one even where he eam gahers as a group for he purpose of esablishing eam norms and make operatonal decisions abou how he eam will work for he appraisal a hand. Even if all eam members have previously been rained in he mehod, here mus be a eam orienaton session ha brings he eam ogeher in order o identfy poental issues wih eam operaton. Any raining-relaed waivers mus be documened in he appraisal plans. Individuals who are no SEI-Certe SEI-Certed d SCAMPI Lead Appraisers or People CMM Appraisers may no deliver appraisal mehod raining. Due o he condent condentaliy aliy required during an appraisal and he cohesiveness needed o partcipae in appraisal actvites, observers observers are no permied o partcipa partcipae e in he appraisal processes. The only excepton excep ton is an observer who is auhorized by he SEI. 1.4 Obtain and Inventory Inial Objecve Evidence 1.4.1 Obtain Inial Objecve Evidence Required Pracces • Obain daa reectng he implemenaton of model practces among sample Basic Unis and suppor functons wihin he Organizatonal Organizatonal Uni. Parameters and Limits A a minimum, he organizaton mus provide a lis of artfacs ha are relevan o undersanding he processes in use among sample Basic Unis and suppor functons wihin he Organizatona Organizatonall Uni, unless a discovery-based appraisal appraisal has been planned. This lis mus be mapped o he model practces practc es ha are in he scope of he appraisal. This actviy does no replace he actvites in secton 2.2, Examine Objectve Evidence. Evidence. 1.4.2 Inventory Objecve Evidence Required Pracces • Examine he inital se of objectve evidence provided provided by he organizatonal uni, unless a discovery-based appraisal has been seleced. • Deermine he exen o which additonal objectve objectve evidence is needed for adequae cover coverage age of model practces. Parameters and Limits

 

Informaton provided by he organizatona Informaton organizatonall uni mus be deailed enough o undersand he exen o which each ype of objectve evidence (i.e., artfacs and armatons) is available for each process insantaton insantaton for each model practce wihin he scope of he appraisal. This inital review of objectve evidence identes model practces for which he eam may decide i has   • srong objectve evidence   • no objectve evidence      

• conictng objectve evidence • inconsisen inconsisen objectve evidence • insucien objectve evidence

In he process of invenorying he available objectve evidence, poental alernatve practces mus be considered. Any objectve evidence for such practces mus be deermined as early as possible. See Appendix B, Alernatve Practce Identcaton and Characerizaton Guidance, for informaton on identfying accepable alernatve practces. Key artfacs artfacs are idented ha can be used o gain insigh regar regarding ding a number of model practces. These artfacs conain poental high-leverage informaton and may be good candidaes for early review by eam members. Identfy additonal objectve evidence needs relatve o model practces for each basic uni or suppor functon wihin he scope of he appraisal. This actviy does no replace replace he actvites in secton 2.2, Examine Objectve Evidence. 1.5 Prepare for Appraisal Conduct 1.5.1 Perform Readiness Review Required Pracces • Deermine wheher whehe r he objectve evidence for each ffor or each insance of each practce in he appraisal scope is adequae o proceed wih he appraisal as planned (refer o actviy 1.4.2, Invenory Objectve Evidence) • Deermine wheher whehe r he appraisal eam is prepared o conduc he appraisal (refer o actviy 1.3.4, Prepare Team) • Ensure he appraisal logistcs (e.g. facilites, equipmen, and partcipan availabiliy) availabiliy) have been arranged and conrmed (refer o actviy 1.2.5, Plan and Manage Logistcs) • Review idented appraisal risks o deermine saus and impac o conductng he appraisal as planned (see o actviy 1.2.6, Documen Documen and Manage Risks) • Review he feasibiliy feasibiliy of he appraisal plan in ligh of daa readiness, e eam am readiness, logistcs logistcs readiness, and overall risk. Parameters andof Limits The number Readiness Rev Reviews iews planned and heir daes mus be documened in he daa collecton plan. Explici crieria for deermining readiness mus be esablished by he appraisal eam leader. leader. These crieria mus be documened in he daa collecton plan. A leas one R Readiness eadiness Review mus be conduced.

The conduc of he Readiness Review may rigger he sar of he 90 day consrain for accomplishing Phase II actvites. If eam members perform documen review during he Readines Readinesss Review (for he purpose of daa collecton o suppor characerizaton) or if any practce characerizatons are deermined - hen he Readiness Review sars he "90 day clock" for conductng Phase II actvites. If he plan calls for such documen review or characerizaton, hen he entre eam mus partcipae in he Readiness Rev Review iew where hose actvites are carried ou. A Readiness Review beoused identfy of weaknesses in he organizaton's organizPhase. aton's implemenaton wih he inen o xmany hemno prior he o beginning he Conduc Appraisal

 

If he performance of he Readiness Review for a SCAMPI A is inegraed wih he performance of a class B or Class C appraisal, hen he following consrains apply:   - The Phase IIII sa sar r dae of he class B or class C appraisal is ak aken en as he ssar ar of he 90 day period of performance for Phase II of he SCAMPI A appraisal   - The dra dra  apprai appraisal sal plan for he SCAMPI A mus be wrien pr prior ior o he sar sar of P Phase hase I of he class B or class C appraisal The performance of class B or class C appraisals in advance of he SCAMPI A does no require performance of Readiness Review actvites. The consrains above apply only in siuatons where Readiness Review actvites are carried ou along wih he class B or class C appraisal actvites. 1.5.2 Re-plan Data Collecon Required Pracces • Review he curren invenory of objectve evidence and deermine model practces for which he objectve evidence is inadequae relatve o he appraisal plan. • Revise he daa collecton plan as necessary based on he appraisal saus and availabiliy of objectve evidence. • Renegotae Renegotae he appraisa appraisall plan wih he sponsor if he appraisal canno proceed proceed as planned. 2 Conduct Appraisal 2.1 Prepare Parcipants 2.1.1 Conduct Parcipant Brieng Required Pracces • Brief appraisal appraisal partcipans on he appra appraisal isal process. • Provide orienaton orienaton o appraisal partcipans on heir roles in he appraisal. Parameters and Limits • Partcipans mus reconrm heir availabiliy o partcipae in he appraisal. 2.2 Examine Objecve Evidence 2.2.1 Examine Objecve Evidence from Arfacts Required Pracces Updae he invenory of artfacs used as a source of objectve evidence Review informaton obained from artfacs and deermine if i is accepable as objectve evidence. Deermine he model practc practces es corresponding o he objectve evidence obained from artfacs Deermine he portons of he organiz organizatonal atonal uni ha correspond o he objectve evidence obained from artfacs Review artfacs artfacs and deermine he exen o which model practces have been implemened in he Organizatonal Uni Parameters and Limits The appraisal eam mus evaluae he conen artfacs o deermine how hey suppor model practce implemenaton If he appraisal eam performs any par of his actviy during any Readiness Review Review or oher appraisal preparaton actviy, he Conduc Appraisal phase has begun, and he appraisal mus be compleed wihin 90 days.

 

Artfacs used as objectve evidence mus have been creaed or revised prior o he sar of he Conduc Appraisal phase. The eam may reques reques o view artfacs ha resul from recurri recurring ng actvites, even even if he actviy occurred aer he sar of he appraisal. In no case would an artfac creaed aer he sar of he appraisal be acceped as he only artfac demonsratng he implemenaton of a practce. 2.2.2 Examine Objecve Evidence from Armaons Required Pracces • Esablish and mainain an invenory of armatons used as a source of objectve evidence • Review Conducinformaton armaton obained actvites from o obain informaton may be as objectve • armatons and ha deermine if used i is accepable asevidence. objectve evidence. • Deermine he model practces practces corresponding o he objectve evidence oba obained ined from armatons • Deermine he portons of he organizatonal organizatonal uni ha correspond o he objectve evidence obained from armatons • Review informaton from armatons and deermine he exen o which model practces have been implemened in he Organizatonal Organizatonal Uni Parameters and Limits All SCAMPI A appraisals mus use armatons as a source of informaton on he exen o which practces practc es have been implemened in he organiz organizatonal atonal uni and wihin he sampled Basic Unis and suppor functons Sessions where armatons are sough and colleced mus include a leas wo members of he appraisal eam designaed by he appraisal eam leader Whenever virual mehods such as video conferences, conferences, eleconfer eleconferences, ences, and oher similar echnologies are used for armatons, he appraisal eam leader mus ensure ha hese mehods do no comprom compromise ise he inegriy or accur accuracy acy of he appraisal actv actvites ites or he appraisal resuls. Sucien armatons mus be obained o mee he coverage coverage specied in he daa collecton plan. Seps mus be aken o ensure open communicaton during armatons by addressing poental issues among inerviewees and eam members (e.g., presence of supervisors or process owners). The rules of condentaliy and he expeced use of appraisal daa mus be communicaed o every inerviewee. If he appraisal eam performs any par of his actviy during any Readiness Review Review or oher appraisal preparaton actviy, he Conduc Appraisal phase has begun, and he appraisal mus be compleed wihin 90 days. 2.3 Document Objecve Evidence 2.3.1 Take/Review/Tag Notes Required Pracces • Record Record noes obained from objectve evide evidence nce daa-ga daa-gahering hering sessions. • Relae noes o correspond corresponding ing practces in he appraisal reference model. Parameters and Limits Every eam member presen mus ake noes during inerviews and presenatons. These noes mus cover all areas investgaed during he inerview, and are no limied o he PAs assigned o he individual eam member (i.e., everybody akes noes on everyhing). During documen reviews, noes mus be aken o preserve specic conex or focused references, if he ratonale for acceptng he objectve evidence is no self-eviden. self-eviden. 2.3.2 Record Presence/Absence of Objecve Evidence Required Pracces

 

• For each insantaton, record he presence or absence of objectve evidence colleced for each reference model practce wihin he appraisal scope. Parameters and Limits

The invenory of objectve evidence (be i in elecronic or paper form) is updaed o reec wha he daa imply abou he implemenaton of partcular practces. For every practce wihin he reference model scope of he appraisal, annoa annoatons tons indicatng he presence or absence of objectve evidence will be made hroughou he appraisal conduc. The annoaton scheme used mus ensure ha he record reveals he following informaton:   • he basic uni or suppor group group o which he daa apply   • he spec specic ic or generic practce practce o which he daa apply   • he ype of objectve e evidence vidence being recorded (i.e., artfac artfac or armaton) armaton)   • wheher he daa imply he presence or absence of he obj objectve ectve evidence   • wheher he daa sugges ha he objectve evidence is appropriae appropriae   • com commens mens a abou bou he appropriaeness appropriaeness of he evidenc evidence e (if needed)   • wheher or no additonal informaton is needed before he eam can can characerize he exen o which he practc practce e is implemened   • a descripton of wha wha he evidence is, if such such a descripton was was no provided b by y he organizaton organizaton in advance 2.3.3 Document Pracce Implementaon Required Pracces • Documen gaps in he basic uni or suppor functon's implemened processes relatve relatve o appraisal reference model practces. • Documen exemplary exemplary implemen implemenaton aton in he basic uni or suppor functon's implemened processes relatve o appraisal reference model practces Parameters and Limits For any practce ha is characerized as somehing oher han Fully Implemened, here mus be a saemen sae men explaining he gap beween wha he organiz organizaton aton does and wha he model expecs. Saemens of practce implemenaton gaps, presened o he organizatonal uni in he form of preliminary ndings for validaton, mus be free of references o specic individuals or groups, unless basic uni level ndings are planned for he appraisal. Regardless of he medium used, saemens describing practce implemenaton gaps or exemplary implemenaton implemena ton of model practces mus be annoaed wih he following identfying informaton:   • he model componen o which he saemen relaes (i.e., PA, goal, and practce)   • he daa collecton session(s) in which he informaton w was as uncovered   • he basic uni or suppor func functon ton o o which which he saemen saemen applies 2.3.4 Review and Update the Data Collecon Plan Required Pracces • Review he invenory invenory of objectve evidence collec colleced ed and he daa collecton plan o deermine wha additonal objectve evidence is stll needed for sucien coverage of he appraisal reference model scope. • Revise he daa collecton plan o obain additonal objectve evidence for insances where insucien daa are available o judge he implemenaton of appraisal reference model practces. • Identfy priorites for he upcoming daa collecton collecton evens and reevaluae reevaluae he feasibiliy of he schedule in ligh of he curren sae of he objectve evidence. Parameters and Limits

 

This actviy mus be enaced a leas once a day, and a consolidaed summary of he appraisal daa collecton saus mus be available o he eam a he sar of each day during which daa collecton evens are planned. 2.4 Verify Objecve Evidence 2.4.1 Verify Objecve Evidence Required Pracces • Verify he appropriae appropriaeness ness of artfacs pr provided ovided by basic unis or suppor functons o enable enable adequae undersanding undersanding of he exen of implemena implemenaton ton of each practce wihin he appraisal reference model scope • Verify he appropriaeness appropriaeness of armatons prov provided ided by people from basic unis or suppor functons o enable adequae undersanding of he exen of implemenaton implemenaton of each practc practce e wihin he appraisal reference model scope • Verify ha he artfacs and armatons provided are sucien o cover he organizatonal and model scope of he appraisal Parameters and Limits DA DATA TA ADEQUACY RULES RUL ES Arfacts:   for an artfac o be acceped as evidence of practce implemenaton, i mus be a Arfacts: produc or by-produc of he practce being examined by he appraisal eam Armaons: for an armaton o be acceped as evidence of practce implemenaton, i mus be supplied by aneam individual who partcipaed in he implemenaton of he practce practce being examined by he appraisal Data Suciency: Verify ha all daa (i.e., artfacs and/or armatons) are provided for all sampled basic unis and suppor functons for he model scope of he appraisal, in accor accordance dance wih he coverage cover age rules specied in secton 1.1.4 Deermine Appraisal Scope, and documened in he daa collecton plan. Coverage Coverag e of the Basic Unit or Support Funcon: For basic unis or suppor functons ha encompass multple disciplines or faces of work, ensure ha he objectve evidence covers covers all aspecs of he work (e.g., in a sys sysems ems and soware projec, looking only a evidence relatng o soware engineering is inadequae). 2.4.2 Characterize Implementaon of Model Pracces and Generate Preliminary Findings Required Pracces • Characerize he exen o which appraisal reference model practces are implemened • Aggregae practce implemenaton characerizaton values o he organizatonal uni level. • Documen summary level weaknesses in practce implemenaton, if appropriae • Documen summary level srenghs in practce implemenaton, if appropriae • Generae and verify preliminary srenghs and weaknesses Parameters and Limits Characerizaton of he implemenaton of each practce in each basic uni or each suppor functon Characerizaton is assigned according o he able able below. These inital characerizatons may be assigned hrough consensus of a mini-eam (consistng of more han one eam member), or may be based on he consensus of he entre appraisa appraisall eam Judgmens described in he able below are contngen on he appraisal scope and requirem requiremens ens for sucien daa, as dened dened in 1.1.4 and 2.4.1. In some cases, only artfacs will will be examined, and in some cases only armatons will be examined. Table dening FI, LI, PI, NI, and NY The able below summarizes rules for aggregatng implemenaton-level characerizatons o derive organizatonal uni-level characerizatons. Consens Consensus us of all members of he appraisal eam is necessary for organizatonal uni-level characerizatons.

 

The column labeled "Implemenatons" is he inpu conditon - he paern of practc practce e implemenaton charac implemenaton characerizatons erizatons for for basic unis or suppor functons. The column labeled "Oucome" is he resulan aggregaed practce implemenaton characerizaton a he organizatonal uni level. Table of rules for aggregatng characerizatons For any practce ha is characerized oher han Fully Implemened, here mus be a saemen explaining he gap beween wha he organiz organizaton aton does and wha he model expecs. Saemens of srenghs and weaknesses presened o he organiz Saemens organizatonal atonal uni in he form of preliminary ndings for validaton validaton mus be free of referenc references es o specic individuals, basic unis, or suppor functons. Aributon o basic unis and suppor func functons tons is permied as a ailoring opton opton - if i is planned and communica communicaed ed o appraisal partcipans in advance of he daa collecton actvites. However However,, aributon o individ individuals uals shall never be permied. Findings (i.e., srenghs and weaknesses) mus be veried, ha is, hey mus be based on sucien objectve evidence (refer o actviy 2.4.1, Verify Objectve Evidence) and hey mus be consisen wih oher veried ndings. Veri Veried ed ndings canno be boh rue and muually inconsis inconsisen; en; in aggregae, aggrega e, hey constue a se of ruhs abou he organizatonal uni ha mus be consisen. Srenghs are only documened if he implemenaton of a practce is exemplary (above and beyond he capabiliy described in he model), and reecs reecs a srong srong asse of he process in use. An adequae implemenaton implemen aton of a model practce is no a srengh. Team members use heir collectve experience and judgmen o deermine wheher or no hey have uncovered a srengh o highligh in he appraisal ndings. 2.5 Validate Preliminary Findings 2.5.1 Validate Preliminary Findings Required Pracces • Validae Validae preliminary ndings (i.e., documened sreng srenghs hs and weaknesses) wih members of he organizatonal uni. Parameters and Limits Every model practce characerized as No Implemened, Partally Implemened, or Largely Implemened a he organizatonal uni level, mus have a leas one weakness associaed wih i. A leas one appraisal partcipan from each basic uni or suppor functon providing objectve evidence and from any associaed sa functon mus partcipae in he se of validaton actvites. Only appraisal partcipans may partcipae (i.e., only people who provided daa may partcipae in validaton). The minimum number of validaton sessions required is one A he appraisal eam lead's discreton, or a he reques of he sponsor, weaknesses weaknesses can be wrien o describe connectons beween he weakness and business goals. The rules of condentaliy and he expeced use of appraisal daa mus be communicaed o partcipans in each validaton actviy. 2.6 Generate Appraisal Results 2.6.1 Derive Findings and Rate Goals Required Pracces • Derive nal ndings using preliminary ndings saemens, fee feedback dback from validaton actvites, actvites, and any additonal objectve evidence colleced as a resul of he validaton validaton actvites. • Rae each goal wihin he ref reference erence model scope of he appraisal, appraisal, based on he practce practce implemenaton characerizatons a he organizatonal uni level, as well as he aggregaton of weaknesses associaed wih ha goal.

 

• Obain appraisal eam consensus on he ndings saemens and ratngs generaed for for he organizatonal uni level. Parameters and Limits When deriving nal ndings, he aim is o creae goal-level saemens ha summarize he srenghs and weaknesses in practce implemenaton. These saemens mus be absraced o he level of he organizatonal organizatonal uni, and canno focus on individual basic unis or incremens (unless he ailoring opton for basic uni- or incremen-specic incremen-specic ndings has been agreed on during planning). A goal mus be raed No Raed if here are any associaed practces ha are no characerized a he organizatonal uni level or ha are characerized as No Ye a he organizatonal uni level. A goal is raed No Raed if he associaed se of objectve evidence does no mee he dened crieria for sucien daa coverage. The goal is Satsed if and only if boh of he following are rue:   • all associaed practces ar are e characerized a he organizatonal uni level as eiher Largely Implemened or Fully Implemen Implemened ed   • he aggrega aggregaton ton of weaknesses associaed w wih ih he goal does no ha have ve a signican signican negat negatve ve impac on goal achievemen. For a goal o be raed as Unsatsed, he eam mus be able o describe how he se of documened weaknesses (or single weakness) led o his ratng. 2.6.2 Determine Sasfacon of Process Areas Required Pracces • If using a contnuous represenaton, represenaton, assign a capabiliy level o each process area wihin he scope of he appraisal, based on he highes level for which all specic goals and generic goals wihin he appraisal scope have been satsed. (See he parameers and limis secton ha follow for more informaton). • If using a saged represenaton represenaton,, rae rae he satsfacton of each process area wihin he scope of he appraisal, based on he satsfacton satsfacton ratngs assigned o all goals included in ha process area. See he parameers and limis secton (below) for a more specic discussion. • If any of he goals are raed No Raed and none of he oher goals are raed Unsatsfacory Unsatsfacory,, hen he process area is raed No Raed. • When a PA PA is deermined o be ousid ouside e of he organizatonal uni uni’s ’s scope scope of work, he PA is designaed as “no applicable” and is no raed. • When an applicable PA PA is ouside of he scope of he model used for he appraisal, he P PA A is designaed as “ou of scope” and is no ra raed. ed. Parameters and Limits For an appraisal using a contnuous represen represenaton, aton, he following able denes he basis for capabiliy level ratngs (Table for CL1, CL2,and CL3) For an appraisal using a saged represenaton model, he "satsed" ratng for a process area may depend on he arge mauriy level for he appraisal - if performing he mauriy level ratng was seleced by he appraisal sponsor. 2.6.3 Determine Process Area Prole Required Pracces If a process area prole was seleced as an oupu by he sponsor, he appraisal eam shall generae a process area prole depictng he ratngs for each process area wihin he scope of he appraisal. Parameters and Limits

 

A simple bar char is used for his display. disp lay. Each P PA A is represened in a single bar along he horizonal hor izonal axis, and he vertcal axis represens he ratng dimension (i.e., "Satsed" vs. "Unsatsed" or a capabiliy capabili y level of 0, 1, 2, or 3). The heigh of each bar communicaes he ratng of he PA represened. Capabili y levels ake only he values 0, 1, 2, or 3. Inermediae values (e.g. 2.7) are no dened for Capabiliy his appraisal oucome, and any embellishmen of he Capabiliy Prole wih such values is ouside he boundaries of SCAMPI A Satsfacton ratngs, which may on oneisofusing wo he values "Satsed" or "Unsatsed" for each process area, are used when heake appraisal saged represenat represenaton. on. 2.6.4 Determine Maturity Level Required Pracces If a mauriy level ratng was seleced as an oupu by he sponsor, he appraisal eam shall assign he mauriy level based on he ratngs assigned o process areas. Parameters and Limits When using he saged repr represenaton, esenaton, he mauriy level deermined is he highes level a which all PAs conained wihin he mauriy level, and wihin all lower mauriy levels, are raed as Satsed or No Applicable. Applicable . (Noe: as explained in he parame parameers ers and limis for for ratng process areas, o achieve mauriy level 3, CMMI models also require satsfacton of generic goal 3 for process areas saged a mauriy level 2). When using he contnuous represen represenaton, aton, please consul he discussion of equivalen saging in he reference model for an explanaton of he capabiliy level proles required for each mauriy level ratng. To deermine a mauriy level as an oupu of he appraisal, he model scope of he appraisal mus include he minimum se of PAs required by he appraisal reference model. 2.6.5 Document Appraisal Results Required Pracces • Documen he nal ndings. • Documen he ratng oucome(s). • Documen he ADS Parameters and he Limits The ADS and se of appraisal oupus agreed on wih he appraisal sponsor mus be documened. The ADS, he goal ratngs, and he associaed ndings mus be documened as a par of he appraisal informaton reurned o he SEI. informaton 3 Report Results 3.1 Deliver Appraisal Results 3.1.1 Deliver Final Findings Required Pracces • Provide appraisal appraisal nal ndings, signed by he appraisal eam leader and all appraisal eam members, o he appraisal sponsor. • Provide an ADS o he appraisal appraisal sponsor summarizing he appraisal appraisal resuls and conditons under which he appraisal appraisal was perf performed. ormed. Use he ADS empl emplae ae prov provided ided by he SEI. The ADS mus be signed by he appraisal eam leader and appraisal sponsor. Parameters and Limits

 

Required elemens of he nal ndings include:   • a summary of he appraisal process   • he ndings (i.e., summary of ssrenghs renghs and weaknesses)   • signed veri vericaton caton ha ha he appr appraisal aisal eam leader and al alll appraisa appraisall eam members agree agree wih he ndings and any ratngs repored Appraisal eam consensus consensus mus be obained on he wording of he nal ndings, o ensure ha he whole eam suppors he accuracy accuracy of he described appraisal resuls. The eam, when delivering he nal ndings, mus adhere o some imporan principles:   • If a model componen componen is repored as Unsat Unsatsed, sed, he corresponding ndings of weaknesses ha caused he eam o make ha judgmen mus also be repored.   • Conden Condentaliy taliy and non-aributon principles apply o saemens saemens made in he presen presenaton aton of nal ndings. 3.1.2 Conduct Execuve Session(s) Required Pracces If he opton is seleced, hold a priva privae e meetng beween he appraisal eam leader and he sponsor sponsor,, including any partcipans invied by he sponsor. Parameters and Limits If an executve session is conduced, he condentaliy and non-aributon of daa sources mus be mainained. 3.1.3 Plan for Next Steps Required Pracces None. 3.2 Package and Archive Appraisal Assets 3.2.1 Collect Lessons Learned Required Pracces None. Parameters and Limits Lessons learned mus adhere o he same principles of condenta condentaliy liy and non-aributon applicable o oher appraisal resuls. 3.2.2 Generate Appraisal Record Required Pracces • Collec and baseline appraisal daa ha becomes becomes par of he permanen pe rmanen records records provided o appraisal sakeholders. • Documen he satsfacton satsfacton of all SCAMPI A requir requiremens. emens. • Generae he appraisal record record from baselined planning and executon daa colleced hroughou he appraisal. • Deliver he appraisal record o he appraisal sponsor. Parameters and Limits

 

Required conens of he appraisal record include he following:   • appraisal plan   • objectve evidence, or identcaton hereof, sucien o subsantae goal-ratng judgmens judgmen s   • characerizatons of practce implemenaton deermined a he insantaton level and aggregaed a he organizatonal uni level   • identc identcaton aton of he appraisal mehod (and version) used along wih any a ailoring iloring optons   • nal ndings   * goal level ratngs   • all optonal ratngs rendered during he appraisal (P (PA A rratngs, atngs, capabiliy levels, mauriy levels, ec.)   • ADS Appraisal daa mus comply wih rules for non-aributon, condentaliy, proecton of proprieary informaton, informat on, and applicable laws, regulatons, or sandards (e.g., acquisiton regulatons or securiy classicaton). classica ton). Recipiens ar are e expeced o place he appropriae limiatons limiatons on he access and use of he provided appraisal daa. The appraisal eam leader documens in he ADS ha all SCAMPI A requiremens requiremens were satsed. 3.2.3 Provide Appraisal Feedback to CMMI Steward Required Pracces Submi he compleed appraisal daa package as required by he SEI. The appraisal daa package consiss of    • approved ADS   • approved appraisal plan   • he nal ndings presenaton presenaton or repor repor Parameters and Limits The SEI denes he specic se of daa required for submission a he completon of an appraisal. Submission of he appraisal daa pack package age is required for he appraisal o be recorded in he SEI's daabase of appraisal resuls. This daa is also a requiremen requiremen esablished by he SEI o mainain SCAMPI Lead Appraiser auhorizaton. 3.2.4 Archive and/or Dispose of Key Arfacts Required Pracces • Archive or dispose of key artfacs colleced by he appraisal eam. • Reurn objectve evidence provided by he organizatonal uni. Parameters and Limits In all usage modes of SCAMPI A, sric non-aributon policies apply. apply. Condentali Condentaliy y and nondisclosure agreemens esablished wih he appraisal eam members remain in eec.

 

MDD Process

Tailoring Opons

1.1.1 Deermine Appraisal Appraisal Objectves Appraisal us usage age mode

Opon Chosen (Y/N)

Tailoring Raonale (Provide a brief explanaon if this opon was chosen) Inernal Process Improvemen, Supplier Selecton, or Process Monioringmanaged discovery, vericaton Discovery,

1.1 1.1.4 .4 D De eerm ermine ine Appr Apprais aisal al Sco Scope pe

Collecton of objectve evidence during he planning or conduc phase or combinatons of boh approaches Use of incr increme emen nal al a appr pprais aisals als

1.1 .1.5 .5 De Deer ermi mine ne Ou up pus

Selec elect t on on of opt opt on onal rat ngs ngs an and d ndi ndin ngs

Optonal ndings: non-model ndings, process improvemen improvemen  acton plan, basicnal unirepor, specicrecommendatons, ndings Optonal ratngs: process area, mauriy level,

1.3.2 Selec Team Members

Deliver Appraisal Mehod raining o more han a single eam a he same even

Reference waiver

1.1.2 Deermine Daa Collecton Sraegy

1. 1.3. 3.2 2S Sel elec ec T Tea eam m Mem Membe berrs

Ac Acce cep p one one ea eam m memb member er wi wih h no e eld ld exper xperie ienc nce e

1.3.4 Prepare Team

Teams involved in U.S. governmen source selecton or process monioring

Specify additonal raining o be provided

1.4.2 Invenory Objectve Evidence

Collecton of objectve evidence during he planning or conduc phase or combinatons of boh approaches Practce characerizatons characerizatons are done b efore or during he readiness review

Discovery, managed discovery, vericaton

1.5.1 Perform Readiness Review 1. 1.5. 5.1 1P Per erfo form rm Rea eadi dine ness ss Revie eview w

Clas Classs B o orr C (SC (SCAM AMPI PI B o orr C) C) use used da ass rrea eadi dine ness ss revi review ew

1.5.1 Perform Readiness Review

Used as one of he i eratve daa daa collecton actvites in a Managed Discovery approach.

2.2.1 Examine Objectve Evidence from Artfacs

Evaluae Evalua e he conen of artfacs o deermine how i suppors model practce implemenaton during readiness review or oher appraisal preparaton preparaton actviy Evaluae Evalua e he informaton from armatons o deermine how i suppors model practce implemenaton during readiness review or oher appraisal preparaton actviy Use of virual mehods for armatons

2.2.2 Examine Objectve Evidence from Armatons

2.2.2 Examine Objectve Evidence from Armatons 2.6.2 Deermine Process Area Ratngs

This is an optonal actviy seleced a he discreton of he appraisal sponsor

2.6.3 Deermine Process Area Prole This is an optonal actviy seleced a he discreton of he appraisal sponsor 2.6.4 Deermine Mauriy Level

This is an optonal actviy seleced a he discreton of he appraisal sponsor

3.1.2 Conduc Executve Session(s)

This is an optonal actviy seleced a he discreton of he appraisal sponsor

3.1.3 Plan for Nex Seps

This is an optonal actviy seleced a he discreton of he appraisal sponsor

3.2.1 Collec Lessons Learned

This is an optonal actviy seleced a he discreton of he appraisal sponsor

Conduc Appraisal Phase begins Cond Conduc uc App Appra rais isal al Phas Phase eb beg egin inss

Conduc Appraisal Phase begins

Conduc Appraisal Phase begins

Risk mitgaton plan

 

 (Y/N)

 

Appraisal Plan Checklist   • he identy of he appr appraisal aisal sponsor and he relatonship relatonship of he sponsor o o he organiz organizatonal atonal uni being appraised appraised   • he appraisal purpose, including alignm alignmen en wih business objectv objectves es (see actviy actviy 1.1.1, Deermine Deermine Appraisal Appraisal Objectves) Objectves)   • he organizatonal organizatonal uni bei being ng a appraised ppraised   • he appr appraisal aisal sc scope ope (see actviy 1.1.4, Deermine Appraisal Scope)  

- he organizatonal scope of he appraisal

  - he appraisal reference model scope   • critcal facors aectng he appraisal   • he process cone conex, x, whic which h includes, a a minimum  

- organizatonal uni size and demographics

 

- applicaton domain, size, critcaliy, and complexiy

 

- high-prioriy charac characeristc eristcss (e.g., tme o mark marke, e, ffeaure eaure richness, and reliabiliy) of he pr producs oducs and services of he or organiza ganizatonal tonal • he daa collecton collecton sraegy (see actviy 1.1.2 Deermine Daa Collecton Sraegy) which include

   

- he daa collecton echniques (e.g., demonsr demonsratons, atons, presenatons, presenatons, inerview inerviewss and questonnaires) questonnaires)

 

- responsibiliy for daa collecton

  • he appraisal consrains (see actviy 1.1.3, Deermine Appraisal Consrains), which include, a a minimum  

- availabiliy availabiliy of key resources (e.g., sang, funding, ools, and facilites)

   

- schedule consr consrains ains - he maximum maximum amoun of tme o be used ffor or he appr appraisal aisal (The maximum tme o perform he Conduc Appraisal phase is 90 days.) days.)

 

- specic PAs or organizatonal enttes o be excluded from he appraisal

 

- he maximum, minimum, or specic sample size or coverage desired for he appraisal

 

- ownership of appraisal resuls and any resricto resrictons ns on heir use

 

- conrols on informaton resultng from a condentali condentaliy y agreemen

 

- non-aributon of appraisal oupus o individuals

  • he identy of he appr appraisal aisal reference reference models used (version, discipline, and repr represenaton) esenaton)

  • any PA designaed as “no applicable” and he rratonale atonale for is exclusion (noe ha "no applicable" areas ma may y preclude ratngs, ratngs, for so   • he ratona ratonale le for select selectng ng he sample basic uni unis s and suppor groups as represenatve represenatve of he organiza organizatonal tonal uni   • basic unis, caegories, or groups/functons groups/fu nctons ha are specically excluded from he appraisal as well as he justcaton for heir exclus   • he identy and a aliaton liaton of he SCAMP SCAMPII Lead Apprai Appraiser ser who is o be he appr appraisal aisal eam leader for he appraisal appraisal   • he identy and a aliaton liaton of he appr appraisal aisal eam members and heir specic appr appraisal aisal responsibilit responsibilites es

  • he identy (i.e., name and org organizatona anizatonall aliaton) of appraisal appraisal partcipans and suppor ssa a,, and heir specic responsibilit responsibilites es for    • any additona additonall informa informaton ton o be collec colleced ed during he apprais appraisal al o suppor he achiev achievemen emen of he appraisal appraisal objectves objectves   • a descripton of he pla planned nned appraisal oupus (see actviy 1.1.5, De Deermine ermine Oupus), inc including luding rat ratngs ngs o be genera generaed ed   • antcipaed follow-on actvites (e.g., repors, appraisal acton plans, or re-appraisal)   • planned ailoring of SCAMP SCAMPII A and associaed associaed radeo radeoss   • appraisal us usage age mode (i.e. (i.e.,, Inernal Pr Process ocess Impro Improvemen, vemen, Supplier Selecton, or Pr Process ocess Monioring)

 

 

 

e models)

l

 

Warning:  

Overview

1

2

3 4

 

Do not modify Columns H, I and J. They are hidden and are used for for determining the cell colors. Instrucons for Use

This spreadshee is for use when planning and leading a v1.3 SCAMPI A appraisal. All Required Practces Practces and Parameers and Limis are included verbatm from v1.3 of he MDD. The spreadshee will auomatcal auomatcally ly adjus he colors based upon your inpus. Green means he actvites or se of actvites are are complee. Yellow means a leas one, bu no all, of he sub-actvit sub-actvites es is done. Red means ha none of he sub-actv sub-actvites ites are done. Make a new copy for he appraisal. When each Required Practce or Parameers and Limis has been compleely addressed, ener he completon dae ino column G. Noe he grayed ou cells are he only cells actve in he color formang. Enering daa ino he whie cells has no eec. By enering he completon dae in he gray cells, you will have a record of when he actvites were done. Columns K and beyond can be used for commens or any additonal daa desired.