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December 2014
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HANDBOOK
CMMI Institute-2
2014-HB-001
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CMMI Institute-2014-HB-001
Table of Contents
Acknowledgments vii
Abstract viii
Part I: Overview 1
About this Document 2

Part III: Appendices, References, and Glossary 3
Feedback Information 6
Executive Summary 7
What Is SCAMPI? 7
Core Concepts and Approach 8
SCAMPI Methodology 8
Phase 1: Plan and Prepare for Appraisal 9
Phase 2: Conduct Appraisal 10
Phase 3: Report Results 10
Phase 4: Action Plan Reappraisal 10
SCAMPI Tailoring 10
Time Frame and Personnel Requirements 11
SCAMPI Method Overview 12

Method Context 12
Method Objectives and Characteristics 12
Summary of SCAMPI V1.3b Changes 13
Key SCAMPI V1.3b MDD Change Concepts 14

Incorporate Option for Action Plan Reappraisal 14
Method Concepts 14
Types of Objective Evidence 16
Focused Investigation 18
Characterizing Practices 20
Generating Findings 21
Generating Ratings 21
Reporting Results 22
Instruments and Tools 22
Conducting Cost-Effective Appraisals 23
Strategies for Planning Cost-Effective SCAMPI Appraisals 24
Part II: Process Definitions 31

1. Plan and Prepare for Appraisal 32
1.1 Analyze Requirements 32
1.1.1 Determine Appraisal Objectives 35
1.1.2 Determine Data Collection Strategy 37
1.1.3 Determine Appraisal Constraints 40
1.1.4 Determine Appraisal Scope 41
1.1.5 Determine Appraisal Outputs 50
1.1.6 Obtain Commitment to Initial Appraisal Plan 52
1.2 Develop Appraisal Plan 55
1.2.1 Tailor Method 58
1.2.2 Identify Needed Resources 60
1.2.3 Develop Data Collection Plan 62
1.2.4 Determine Cost and Schedule 66
1.2.5 Plan and Manage Logistics 68
1.2.6 Document and Manage Risks 70
1.2.7 Obtain Commitment to Appraisal Plan 72
1.3 Select and Prepare Team 73
1.3.1 Identify Appraisal Team Leader 76
1.3.2 Select Team Members 78
1.3.3 Document and Manage Conflicts of Interest 83
1.3.4 Prepare Team 86
1.4 Obtain and Inventory Initial Objective Evidence 92
1.4.1 Obtain Initial Objective Evidence 95
1.4.2 Inventory Objective Evidence 98
1.5 Prepare for Appraisal Conduct 100
1.5.1 Perform Readiness Review 103
1.5.2 Re-Plan Data Collection 106
2 Conduct Appraisal 108
2.1 Prepare Participants 108
2.1.1 Conduct Participant Briefing 110
2.2 Examine Objective Evidence 111
2.2.1 Examine Objective Evidence from Artifacts 114
2.2.2 Examine Objective Evidence from Affirmations 118
2.3 Document Objective Evidence 123
2.3.1 Take/Review/Tag Notes 126
2.3.2 Record Presence/Absence of Objective Evidence 128
2.3.3 Document Model Component Implementation 130
2.3.4 Review and Update the Data Collection Plan 132
2.4 Verify Objective Evidence 134
2.4.1 Verify Objective Evidence 137
2.4.2 Characterize Implementation of Model Practices and Generate Preliminary Findings139
2.5 Validate Preliminary Findings 146
2.5.1 Validate Preliminary Findings 148
2.6 Generate Appraisal Results 152
2.6.1 Derive Findings and Rate Goals 155
2.6.2 Determine Process Area Ratings 157
2.6.3 Determine Process Area Profile 159
2.6.4 Determine Maturity Level 160
2.6.5 Document Appraisal Results 161
3 Report Results 162
3.1 Deliver Appraisal Results 162
3.1.1 Deliver Final Findings 165
3.1.2 Conduct Executive Session(s) 168
3.1.3 Plan for Next Steps 169
3.2 Package and Archive Appraisal Assets 172
3.2.1 Collect Lessons Learned 175
3.2.2 Generate Appraisal Record 176
3.2.3 Provide Appraisal Feedback to the CMMI Institute 178
3.2.4 Archive and/or Dispose of Key Artifacts 179
4 Action Plan Reappraisal (Optional) 181
4.1 Action Plan Reappraisal 181
4.1.1 Plan Action Plan Reappraisal 181
4.1.1 Plan Action Plan Reappraisal 184
4.1.2 Conduct Action Plan Reappraisal 188
4.1.3 Report Action Plan Reappraisal 190
Part III: Appendices, References, and Glossary 192

Appendix A: The Role of Objective Evidence in Verifying Practice Implementation 194
Appendix B: Alternative Practice Identification and Characterization Guidance 199
Appendix C: Roles and Responsibilities 202
Appendix D: Reporting Requirements and Options 207
Appendix E: Managed Discovery 209
Appendix F: Scoping and Sampling in Benchmark Appraisals 215
Appendix G: Benchmark Appraisals Including Multiple Models 246
Appendix H: SCAMPI Tailoring Checklist 252
References/Bibliography 256
Acronyms 258
Glossary 260
List of Figures
Figure 1: SCAMPI Practice Characterization and Rating Process 20

Figure 2: Sampling Formula 44
List of Tables
Table 1: Part I Contents 2

Table 2: Part II Contents 3
Table 3: Part III Contents 3
Table 4: Process Definition Elements 5
Table 5: Activity Elements 6
Table 6: Essential Characteristics of the SCAMPI A Method 13
Table 7: SCAMPI Phase Summary: Plan and Prepare for Appraisal 27
Table 8: An Objective Evidence Database Schema 196
Table 9: Sample Database Record Structure 197
Table 10: Appraisal Team Roles and Responsibilities 202
Table 11: Other Appraisal Participants: Roles and Responsibilities 204
Table 12: Appraisal Team: Role Obligations and Access Rights 206
Table 13: Submissions Requirements for SCAMPI Appraisals 207
Table 14: Examples of Key Work Products 212
Table 15: Example of Sampling Factors: Customer 217
Table 16: Example of Sampling Factors: Basic Units 217
Table 17: Subgroups Defined by Sampling Factors 220
Table 18: Subgroups and Sample Size (Blue Business Unit) 221
Table 19: Subgroups and Sample Size (Blue Business Unit LA and Dayton Locations) 222
Table 20: Subgroups and Sample Size (Blue Business Unit LA and Dayton Locations/Large Projects)222
Table 21: Summary of the Blue Business Unit’s Organizational Unit and Scope Alternatives 223
Table 22: Subgroups and Sampled Process Areas (Blue Business Unit) 225
Table 23: Subgroups and Sampled Process Areas (LA and Dayton Locations Only) 226
Table 24: Subgroups and Sampled process areas (LA and Dayton Locations/Large Projects Only) 227
Table 25: Subgroups Defined by Sampling Factors 230
Table 26: Subgroups and Sample Size (The Whole Company) 231
Table 27: Subgroups and Sample Size (The Red Company - C3I Contracts) 232
Table 28: Subgroups and Sample Size (The Red Company - Non-Classified Contracts) 232
Table 29: Summary of Organizational Unit and Scope Alternatives 233
Table 30: Subgroups and Sampled Process Areas (The Red Company) 235
Table 31: Subgroups and Sampled Process Areas (The Red Company - C3I Contracts) 236
Table 32: Subgroups and Sampled Process Areas (The Red Company/Non-Classified Contracts) 237
Table 33: Number of Projects in the Green Company Divisions 239
Table 34: Definition of Subgroups 240
Table 35: Subgroups and Number of Sampled Basic Units 241
Table 36: Process Areas and Basic Units and Support Functions 242
Table 37: Basic Unit/Support Function versus Process Area Map 243
Table 38: Basic Unit or Support Function versus Process Area Map (continued) 244
Table 39: Tailoring Checklist 252
Acknowledgments
The integration of the Action Plan Reappraisal into the SCAMPI Method Definition Document,
Version 1.3b was the combined effort of numerous individuals.
SCAMPI Action Plan Reappraisal Team

Dan Blazer, Leidos
Geoff Draper, Harris Corporation; CMMI Institute Client Advisory Board
Linda Kovar, Raytheon
Pat O’Toole, Process Assessment, Consulting, and Training, LLC.
Hilla Singh, L3 Communications
Kathy Smith, Sogeti USA, LLC.
Lisa Ming, BAE Systems
Darlene Moore, CMMI Institute
Alexander Stall, CMMI Institute
Rusty Young, CMMI Institute
Great thanks go to the members of the SCAMPI community, who provided feedback during the
design of the Action Plan Reappraisal.
Abstract
The Standard Capability Maturity Model Integration (CMMI®) Appraisal Method for Process
Improvement (SCAMPI) is designed to provide a well-defined set of methodologies for providing
appraisals relative to CMMI models and the People CMM. The method is embodied in three
variants based on the class structure defined in the Appraisal Requirements for CMMI (ARC
V1.3). This document defines the boundaries of tailoring and provides guidance for the
application of the SCAMPI A, B, and C methods. The SCAMPI Method Definition Document
(MDD) describes the requirements, activities, and practices associated with the processes that
compose the SCAMPI method. The MDD also contains precise descriptions of the method’s
context, concepts, and architecture.
Part I: Overview
CMMI Institute-2014-HB-001 | 1
About this Document
This document, also called the Method Definition Document (MDD), describes the Standard
Capability Maturity Model Integration (CMMI) Appraisal Method for Process Improvement
(SCAMPI) for three variants of SCAMPI Appraisals (SCAMPI A, B, and C). The MDD is
divided into three major parts, each with a different level of detail, intended usage, and primary
audience. The structure, audiences, and suggested use of each part of the document are described
below.
Revision History
April 12, 2011: SCAMPI Method Definition Document published to the SEI website at the
following URL: <http://www.sei.cmu.edu/library/abstracts/reports/11hb001.cfm>
April 25, 2011: SCAMPI Method Definition Document republished to the SEI website with
corrections.
June 1, 2011: SCAMPI Method Definition Document republished to the SEI website with
corrections.
October 30, 2013: SCAMPI Method Definition Document republished to CMMI Institute’s
website with the integration of SCAMPI B and C Methods.
December 15, 2014: SCAMPI Method Definition Document republished to CMMI Institute’s
website with the integration of the Action Plan Reappraisal (APR) capability.
Part I: Overview
Part I of the MDD provides an overview of the SCAMPI A, B, and C method context, concepts,
and architecture. Part I provides a big picture of each method, rather than details about how to
enact each. Table 1 shows the contents of Part I of the MDD.
Table 1: Part I Contents
Section Page Number
About this Document 2
Executive Summary 7
SCAMPI Method Overview 12
Part II: Process Definitions

Part II of the MDD describes the method, requirements and the detailed activities and practices
associated with each of the processes that compose the SCAMPI A, B, and C methods. Part II lists
required practices, parameters, and the limits of allowable variation, and gives guidance for
enacting each method. Table 2 shows the contents of Part II.
Table 2: Part II Contents
Phase Process Page Number
1: Plan and Prepare for 1.1 Analyze Requirements 32
Appraisal
1.3 Select and Prepare Team 73
1.4 Obtain and Inventory Initial Objective Evidence 92
1.5 Prepare for Appraisal Conduct 100
2: Conduct Appraisal 2.1 Prepare Participants 108
2.2 Examine Objective Evidence 111
2.3 Document Objective Evidence 123
2.4 Verify Objective Evidence 134
2.5 Validate Preliminary Findings 146
2.6 Generate Appraisal Results 152
3: Report Results 3.1 Deliver Appraisal Results 162
3.2 Package and Archive Appraisal Assets 172
4: Action Plan Reappraisal 4.1 Action Plan Reappraisal 181
Part III: Appendices, References, and Glossary
Part III of the MDD includes appendices that elaborate selected topics and supplement the first
two parts of this document. Read the first two parts of the MDD prior to reading Part III. The
topical elaboration and reference material available in the appendices provides deeper insights to
readers already knowledgeable about the material. Table 3 shows the contents of Part III.
Table 3: Part III Contents
Section Page Number
Appendix A The Role of Objective Evidence in Verifying Practice Implementation 194
Appendix B Alternative Practice Identification and Characterization Guidance 199
Appendix C Roles and Responsibilities 202
Appendix D Reporting Requirements and Options 207
Appendix E Managed Discovery 209
Appendix F Scoping and Sampling in Benchmark Appraisals 215
Appendix G Benchmark Appraisals Including Multiple Models 246
Appendix H SCAMPI Tailoring Checklist 252
References References/Bibliography 256
Acronyms List of Acronyms 276
Glossary CMMI/SCAMPI Terms 260
Audiences for this Document
The MDD is primarily intended for SCAMPI lead appraisers and team leaders certified by the
CMMI Institute. It is expected that these professionals have the prerequisite knowledge and skills
specified by the CMMI Institute appraisal program (see http://cmmiinstitute.com for details), and
that they use the MDD as a key part of their knowledge infrastructure. SCAMPI lead appraisers
and team leaders are the primary audience for Part II. The MDD is also used as a training aid in
SCAMPI lead appraiser training.
Appraisal team members are expected to refer to this document as a training aid. Portions of the
MDD may also be used as work aids during the conduct of an appraisal. Potential appraisal team
members can use the MDD to build their knowledge base so they can participate in a future
appraisal.
Appraisal stakeholders are also part of the targeted audience for the MDD, particularly for Part I.
These stakeholders include the following:
 Appraisal sponsors: leaders who sponsor appraisals to meet business objectives
 Process group members: process improvement specialists who need to understand the
method, and sometimes to also help others gain familiarity with the method
 Other interested people: those who want deeper insight into the methodology for purposes
such as ensuring that they have an informed basis for interpreting SCAMPI outputs or making
comparisons among similar methodologies
How to Use this Document
Part I
It is expected that every member of the audience for this document will find value in Part I. The
two primary sections in this part are the Executive Summary and the SCAMPI Method Overview.
The Executive Summary is intended to provide high-level information describing SCAMPI A, B,

and C, and does not require extensive knowledge of appraisals. This portion of the document may
be excerpted and provided to a more casual reader or a stakeholder in need of general information
to support their decision to conduct an appraisal.
The SCAMPI Method Overview section provides comprehensive coverage of SCAMPI A, B, and
C, and can be used to begin building a base of knowledge for readers who need more detailed
information. Appraisal sponsors wanting more than a summary view should read this section.
Every prospective SCAMPI appraisal team leader and team member is expected to read this
section of the document to ensure that they have the “big picture” before they study the detailed
methodology.
Part II
People who will enact an appraisal are expected to read the second part of the document.
Members of this audience need to know how to enact the method, not just what the method is.
Part II is divided into process definitions, which are in turn divided into activities. Each activity
delineates required practices, parameters and limits, and implementation guidance. Required
practices and parameters and limits are the only required elements of the MDD. Both required
practices and parameters and limits use a parenthetical notation to delineate applicability to each
SCAMPI method.
Examples:
 (ABC) applies to all three methods

 (AB) applies to only SCAMPI A and B appraisals
 (C) applies to SCAMPI C
Several processes are contained in SCAMPI MDD. The processes support a variety of orderings
and enactments to facilitate a variety of usage modes for SCAMPI. The temporal flow, as well as
the flow of inputs and outputs among the processes, is described in the Method Overview section.
The process definitions are not intended to provide a start-to-finish view of SCAMPI. Instead,
these sections provide detailed definitions of processes and activities that are implemented
according to the appraisal plan created by the appraisal team leader.
Each of the process definitions begins with an overview of the process. Every process is defined
by information contained in the elements shown in Table 4.
Table 4: Process Definition Elements
Element Description
Purpose A brief summary of what is accomplished by enacting the process
Entry Criteria Conditions that must be met before enacting the process
Inputs Artifacts or information needed to enact the process
Activities The set of actions that, in combination, make up the process
Outputs Artifacts and assets that result from enacting the process
Outcome Any change in important conditions or artifacts that results from
enacting the process
Exit Criteria Conditions to be met before the process can be considered complete
Key Points A summary of the most notable events associated with the process
Tools and Techniques Work aids commonly used in enacting the process
Metrics Useful measures that support the process enactment or future
enactments
Verification and Techniques to verify and/or validate the enactment of the process
Validation
Records Information to be retained for future use
Interfaces with Other A discussion of how the process interacts with other processes in the
Processes method
Summary of Activities A narrative summary of the set of activities
Following the introductory material, each activity that is a part of the process definition is briefly
summarized to orient the reader to the scope of the activity. Each activity includes the elements
shown in Table 5.
Table 5: Activity Elements
Element Description
Activity Description A brief overview of what is accomplished by enacting the activity
Required Practices A listing of practices that must be implemented to consider the enactment
of a valid SCAMPI. Requirements applicable to each SCAMPI are denoted
using (ABC) notation as applicable.
Parameters and Limits Acceptable limits for things that are allowed to vary, and acceptable limits
for things under the discretion of the appraisal team leader. Parameters
and Limits applicable to each SCAMPI are denoted using (ABC) notation
as applicable.
Implementation Guidance A narrative description of advice or things to consider in performing the
activity
Part II provides complete, unambiguous descriptions of method processes and activities. In

combination with the training materials and work aids that comprise the CMMI Institute’s
appraisal program, this information provides a firm basis for standardization of the practice of
process appraisals.
Part III
The appendices of the document provide detailed coverage of special topics as well as references
and a glossary. Readers knowledgeable about SCAMPIs are expected to read these sections to
gain further understanding of best practices and implementation guidance on SCAMPI concepts
that may span multiple appraisal activities.
Feedback Information
We are very interested in your ideas for improving this document. See the CMMI web site for
information on how to provide feedback by using a Change Request form:
http://cmmiinstitute.com/cmmi-solutions/change-requests/.
If you have questions, please send an email to info@cmmiinstitute.com.
Executive Summary
What Is SCAMPI?
The Standard Capability Maturity Model Integration (CMMI) Method for Process Improvement
(SCAMPI) is designed to provide a well-defined set of methodologies for conducting appraisals
relative to CMMI models. Each SCAMPI method satisfies all of the appraisal requirements for
CMMI (ARC) for the appropriate Class A, B, or C appraisal method. SCAMPI A satisfies all of
the ARC requirements for a Class A benchmark appraisal. Although designed for conducting
appraisals against CMMI-based reference models, the SCAMPI method can also be applied for
conducting appraisals against the People CMM and other reference models.
SCAMPI A appraisal sponsors are encouraged to consider the SCAMPI B or SCAMPI C

appraisal methods, which may produce acceptable results where ratings are not required, with
significantly less investment of cost and resources.
Key differentiating attributes for appraisal classes include
 The degree of confidence in the appraisal outcomes

 The generation of ratings
 Appraisal cost and duration
A SCAMPI enables a sponsor to
 Gain insight into an organization’s capability by identifying the strengths and weaknesses of
its current processes relative to appraisal reference model(s)
 Focus on improvements (correct weaknesses that generate business risks) that are most
beneficial to the organization given its current level of process implementation
 Identify risks relative to achieving capability or maturity targets
As a Class A appraisal method, SCAMPI A is appropriate for generating ratings as benchmarks to

compare maturity or capability levels across organizations. As a benchmarking method, the
emphasis is on a rigorous method capable of achieving high accuracy and reliability of appraisal
result through the collection of objective evidence from multiple sources. Sponsors who want to
compare an organization’s process improvement achievements with other organizations in the
industry may have a maturity level determined as part of the appraisal process. Organizational
maturity level or capability level ratings resulting from a SCAMPI A are valid for up to three
years.
Decisions made on the basis of maturity level ratings are only valid if the ratings are based on
known criteria. Consequently, contextual information—organizational unit, organizational scope,
reference model scope, appraisal method type, the identity of the appraisal team leader and the
team—are items for which criteria and guidance are provided within the method to ensure a
consistent interpretation within the community. Benchmarking can only be valid when there is a
consistent basis for establishing the benchmarks.
The SCAMPI B appraisal method complies with a subset of ARC requirements. Several
requirements of the SCAMPI A method are optional for the SCAMPI B method. Two types of
objective evidence are required for both SCAMPI A and B methods. The SCAMPI B method
does not produce ratings. These types of appraisals are recommended for initial assessments in
organizations that are just beginning to use CMMI models for process improvement activities.
They also provide a cost-effective means for performing interim assessments and/or capability
evaluations between SCAMPI A appraisals.
SCAMPI C appraisal method complies with a subset of ARC requirements for the SCAMPI B
method. Only one of the two types of objective evidence required for SCAMPI A and SCAMPI B
methods is required for the SCAMPI C method. The SCAMPI C method does not produce ratings.
Corroboration is also optional for the SCAMPI C method. These types of appraisals would most
likely be used when the need for a “quick look” arises or for periodic self-assessments by projects
and organizational support groups.
The CMMI Institute maintains industry aggregates for SCAMPI appraisal results. These data are
reported in industry maturity profiles gathered from organizations that have performed appraisals
since 1987. The profile is based on appraisal data provided by CMMI Institute-trained
professionals, and is updated twice annually.
The CMMI Institute supports the SCAMPI methods and operates a certification program for
SCAMPI lead appraisers. Additional details can be found on the CMMI Institute web site at
http://certification.cmmiinstitute.com/.
Core Concepts and Approach

SCAMPI relies on an aggregation of information that is collected via defined types of objective
evidence. The objective evidence feeds an “information-processing engine” whose parts are made
up of a series of data transformations. The appraisal team observes, hears, or reads information
that is transformed into notes and then into model gaps, and then into findings. These findings are
typically validated by the organizational unit before they become final findings. The critical
concept is that these transformations are applied to data reflecting the enacted processes in the
organizational unit and the appraisal reference model, and this collection of data forms the basis
for appraisal results.
Planning is critical to the execution of a SCAMPI. All phase and process activities briefly
discussed below derive from a well-articulated plan developed by the appraisal team leader in
concert with members of the appraised organization and the appraisal sponsor.
SCAMPI Methodology
SCAMPI consists of three phases and several essential processes, as was shown in Table 2. Each
phase is described in detail below.
Phase 1: Plan and Prepare for Appraisal
Appraisal planning starts with understanding the sponsor’s objectives, requirements, and
constraints. All other planning, preparation, execution, and reporting of results proceed from this
initial activity. Because of the significant investment and logistical planning involved,
considerable iteration and refinement of planning activities should be expected in phase 1. With
each subsequent phase, the amount of iteration will decrease as data are collected, analyzed,
refined, and translated into findings of significance relative to the model.
Experienced and trained personnel perform a SCAMPI over a period of time negotiated by the
sponsor and the appraisal team leader. The scope of the organization to be appraised, as well as
the scope of the appraisal reference model (process areas), must be defined and agreed upon. The
scope of the organization and model provides the basis on which to estimate personnel time
commitments, logistical costs (e.g., travel), and overall costs to the appraised organization and to
the sponsoring organization.
During the appraisal, the appraisal team verifies and validates the objective evidence provided by
the appraised organization to identify strengths and weaknesses relative to the appraisal reference
model. Objective evidence consists of artifacts and/or affirmations (refer to glossary for
definitions, page 260) used as indicators for implementation and institutionalization of model
practices or model components. Before the Conduct Appraisal phase begins, members of the
appraised organization typically collect and organize documented objective evidence, using
defined data collection strategies based on the extent of artifacts available within the organization
and aligned with the appraisal reference model.
Advance preparation by both the appraisal team and the appraised organization is key to the most
efficient execution of the method. Analysis of preliminary documented objective evidence
provided by the appraised organization plays an important role in preparing for appraisal
execution. If substantial data are missing at this point, subsequent appraisal activities can be
delayed or even cancelled if the judgment is made that continuing appraisal activities will not be
sufficient to make up for the deficiency given the resources available.
The collection of documented objective evidence by the appraised organization in advance of the
appraisal can help to improve appraisal team efficiency and offer several other benefits to the
organization including the following:
 Improved accuracy in appraisal results delivered by external appraisal teams (i.e., clear
understanding of implemented processes, strengths, and weaknesses)
 Detailed understanding of how each part of the organization participating in the appraisal has
implemented model practices, and the degree of compliance and tailoring of organizational
standard processes
 The establishment of residual appraisal assets that can be reused on subsequent appraisals,
minimizing the effort necessary for preparation
However, the effort to collect, organize, and review large amounts of objective evidence in
advance of the appraisal can be a large cost to appraised organizations, and can lead to
diminishing returns if not done efficiently. Incremental data collection strategies with specific
data requests can help to mitigate the risks of inefficiently using the organization’s resources on
collecting data that is not appropriate or useful. A data collection plan, developed by the appraisal
team leader in conjunction with the appraised organization, can help make explicit the choices on
how much data collection effort to distribute between the organization and the appraisal team.
Phase 2: Conduct Appraisal

In phase 2, the appraisal team focuses on collecting data from the appraised organization to judge
the extent to which the model is implemented. Integral to this approach is the concept of
coverage, which implies two things: first, the collection of sufficient data for each model
component within the model scope selected by the sponsor, and second, obtaining a representative
sample of ongoing processes.
The organizational scope, determined in phase 1, is based on the understanding of unique process
implementations within the appraisal scope, with the goal of optimizing the effort for collection
and analysis of objective evidence. This means collecting data and information on all the appraisal
reference model components in the appraisal scope, and across sampled process instantiations
within the organizational unit being appraised. The data collection plan developed in phase 1
undergoes continuous iteration and refinement until sufficient coverage is achieved.
Upon determining that sufficient coverage of the appraisal reference model and organizational
unit has been obtained, appraisal results may be generated.
Phase 3: Report Results

In phase 3, the appraisal team provides the appraisal results to the appraisal sponsor and the
organization. These artifacts become part of the appraisal record, which becomes protected data in
accordance with the appraisal disclosure statement. The level of protection and the plan for the
disposition of appraisal materials and data are determined in phase 1 in collaboration with the
sponsor. A completed appraisal data package, which includes a subset of the contents of the
appraisal record, is provided to the CMMI Institute. The CMMI Institute adds the appraisal data to
confidential databases, and provides overall profiles of the community on a periodic basis.
Phase 4: Action Plan Reappraisal

In phase 4, if the benchmark appraisal resulted in one or more goals rated “unsatisfied” or “not
rated,” the organization has the option of addressing the goal-impacting weaknesses in an action
plan and subsequent action plan reappraisal. The action plan reappraisal is performed on a subset
of the model scope and organizational scope after correcting goal-impacting weaknesses reported
in the initial appraisal activity to get updated rating results. The action plan reappraisal is per-
formed within 4 months of the initial appraisal. Only one action plan reappraisal is permitted per
SCAMPI A.
SCAMPI Tailoring
Successful application of SCAMPI relies on adjusting the parameters of the method to the needs
of the organization and to the objectives and constraints of the sponsor’s organization.
The sponsor’s objectives largely influence tailoring decisions. The reference model scope and
representation (staged or continuous), the size of the organizational unit, the selected parts of the
organization, the size of the appraisal team, and the number of interviews greatly influence things
such as preparation time, time on site, and monetary costs, and so are also major factors when
choosing tailoring options. All tailoring decisions must be documented in the appraisal plan.
Appropriate tailoring of the appraisal method provides flexibility to efficiently adapt the appraisal
to the needs of the sponsor. The appraisal team leader is responsible for ensuring that the
requirements of the method are satisfied. Tailoring the method too severely could result in failure
to satisfy method requirements, the inability to obtain sufficient data for generation of appraisal
results, or failure to meet the criteria necessary for recognition as a valid SCAMPI appraisal.
Time Frame and Personnel Requirements

A requirement of the SCAMPI A method is that the Conduct Appraisal phase must be completed
within 90 days. SCAMPI A appraisal results are valid for up to 3 years. Since neither SCAMPI B
nor SCAMPI C produce ratings, no specific time constraints are imposed on the conduct or
validity of appraisal results for SCAMPI B or C methods.
Personnel needed to participate in activities or perform tasks in a SCAMPI appraisal include the
sponsor, the appraisal team leader, the appraisal coordinator, selected participants, and appraisal
team members. Their time commitments will vary widely depending on the specific parameters of
the appraisal (e.g., organizational scope) and their role.
Much of the effort spent by an organization preparing for an appraisal is for the collection and
review of objective evidence; these costs can vary widely based on the data collection strategy
and acceptable level of risk. Excluding data collection costs, appraisal participants can typically
expect to spend one to three hours each to participate in interviews and attend validation sessions,
plus one to three hours each for presentations. On the other extreme, the appraisal coordinator
may spend weeks of full-time effort helping the team and the organization to prepare for and
conduct the appraisal. Appraisal team leaders should engage appraisal sponsors on effort
estimates and the set of tailoring options to be used in conducting a SCAMPI appraisal.
SCAMPI Method Overview
This section provides an overview of the underlying principles and concepts of the Standard
Capability Maturity Model Integration (CMMI) Appraisal Method for Process Improvement
(SCAMPI) methods. Readers of the SCAMPI Method Definition Document (MDD) should
become familiar with this material prior to reading the process descriptions in Part II, where the
method requirements and tailoring options are defined. This overview is primarily targeted at
appraisal team leaders and appraisal team members who will be performing SCAMPI appraisals.
Additional audiences might include appraisal sponsors or process improvement professionals
interested in understanding SCAMPI features and the results that can be expected.
Method Context
The SCAMPI appraisal method is used to identify strengths and weaknesses relative to the
appraisal reference model. It incorporates best practices recognized as successful in the appraisal
community, and is based on the features of several legacy appraisal methods.
Method Objectives and Characteristics

The SCAMPI method has the following primary objectives:
 Provide a common, integrated appraisal method capable of supporting appraisals in the
context of internal process improvement, supplier selection, and process monitoring.
 Provide an efficient appraisal method capable of being implemented within reasonable
performance constraints (see “Conducting Cost-Effective Appraisals” on page 23).
The SCAMPI method is also designed to prioritize and satisfy certain essential characteristics,
which were obtained via community feedback and are summarized in Table 6. These
characteristics have been used as the rationale for key method architecture and design decisions,
which are described in this overview and throughout the MDD.
Table 6: Essential Characteristics of the SCAMPI A Method
Characteristic Explanation
Accuracy Appraisal results truly reflect the organization’s process implementation and
reflect the appraisal reference model.
Appraisal results reflect the strengths and weaknesses of the appraised

organization (i.e., no exemplary strengths and weaknesses are left
undiscovered).
Repeatability The findings of an appraisal are likely to be consistent with those of another
independent appraisal conducted under comparable conditions (i.e., another
appraisal of identical scope will produce consistent results).
Cost and/or The appraisal method is efficient in terms of person-hours spent planning,
Resource preparing, and executing an appraisal.
Effectiveness
The method takes account of the organizational investment in obtaining the
appraisal results, including the resources of the host organization, the impact on
the appraised organization, and the appraisal team.
Meaningfulness Appraisal results are useful to the appraisal sponsor in supporting decision
of Results making. This support of decision making may include application of the
appraisal results in the context of internal process improvement, supplier
selection, or process monitoring.
ARC Compliance SCAMPI complies with all ARC requirements.
Summary of SCAMPI V1.3b Changes

Updates to the SCAMPI method for V1.3b are based on adding the option to perform an action
plan reappraisal when maturity level or capability level targets are not achieved. SCAMPI V1.3b
method changes are described throughout the MDD and detailed in Part II process descriptions.
Attention should be given to the following:
Phase 4 describes the Action Plan Reappraisal.
Key SCAMPI V1.3b MDD Change Concepts
Incorporate Option for Action Plan Reappraisal

The primary objective for SCAMPI V1.3b is to add the option to perform an action plan
reappraisal when maturity level or capability level targets are not achieved (reference Phase 4
Action Plan Reappraisal (Optional)). An action plan reappraisal addresses goal-impacting
weaknesses within the scope of the appraisal. The action plan reappraisal enables organizations to
accept some ratings risk (i.e., since an unfavorable rating is potentially recoverable) and can
minimize the non-value-added costly iterations of perfecting objective evidence and performing a
series of intermediate appraisals prior to conducting the benchmark appraisal. Only one action
plan reappraisal is permitted per SCAMPI A appraisal. If the sponsor elects to pursue an action
plan reappraisal, the action plan reappraisal must be completed within 4 months of the initial
SCAMPI final findings. In the action plan reappraisal, the appraisal team re-examines the goal(s)
that were “unsatisfied” or “not rated” during the initial SCAMPI appraisal activity. If the goals are
“satisfied,” the maturity level or capability level ratings are achieved. If the sponsor does not elect
to pursue an action plan reappraisal, the SCAMPI targeted ratings are not achieved, and the results
of the benchmark appraisal stand.
Method Concepts
This section describes fundamental concepts employed by the SCAMPI method. These concepts
are treated here to provide readers with an overall understanding of the method prior to reading
the method process definitions in Part II. Many of these concepts are distributed across several
appraisal method processes or activities, so it is important to ensure that a common understanding
is obtained to recognize the components of these concepts as they appear elsewhere in this
document.
In addition to requirements of the ARC, these method concepts are derived from, and heavily
influenced by, the method objectives and essential method characteristics.
Method Assumptions and Design Principles

In addition to method objectives and characteristics, SCAMPI features are based on certain
method assumptions and design principles, described below, related to the expected use of the
method.
SCAMPI A is a Class A benchmarking method.
As an ARC Class A method, SCAMPI A can be used to generate ratings as benchmarks to

compare maturity levels or capability levels across organizations. As a benchmarking method, the
emphasis is on a rigorous method capable of achieving high accuracy and reliability of appraisal
results through the collection of objective evidence from multiple sources.
Goal ratings are a function of the extent to which the corresponding reference model practices
are present in the planned and implemented processes of the organization.
In the CMMI appraisal reference models, there is a direct relationship between goals and the
practices that contribute toward achievement of those goals. Goals are required model
components; practices are expected model components in that alternative practices could be
implemented that are equally effective in achieving the intent of the associated goals.
In the SCAMPI method, a fundamental premise is that satisfaction of goals can be determined
only upon detailed investigation of the extent to which each corresponding practice is
implemented for each sample instantiation used as a basis for the appraisal (i.e., basic units and
support functions).
SCAMPI B and C methods do not produce ratings. These types of appraisals are recommended
for initial assessments in organizations that are just beginning to use CMMI models for process
improvement activities or to identify process strengths and weaknesses as part of process
improvement.
Additional information on rating goals is provided in “Data Collection, Rating, and Reporting” in
this document.
The aggregate of objective evidence provided is used as the basis for determining model
component implementation.
To make reasonable judgments regarding an organization’s implemented processes relative to the

appraisal reference model, appraisal teams base their judgments on the collection of objective
evidence for each model component within the appraisal reference model scope.
Appraisal teams compare the objective evidence collected against the corresponding model
component in the appraisal reference model. In making inferences about the extent to which
model components are or are not implemented, appraisal teams draw on the entire model
document to understand the intent of the model, and use it as the basis for their decisions. This
comparison includes the required and expected model components (i.e., goals and practices) as
well as informative material, such as model front matter, introductory text, glossary definitions,
and subpractices.
Practice implementation at the organizational unit level is a function of the degree of practice
implementation at the instantiation level.
Practices described in the CMMI appraisal reference models are abstractions that are realized by
their implementation within organizations, and instantiated at the level of basic units and support
functions in the organizational unit. The context within which the practice is applied drives the
implementation. The details of the implementation, as well as the context within which the
practice is implemented, are referred to as the instantiation of the practice.
An organizational unit is the part of an organization that is the focus of an appraisal. An

organizational unit operates within a coherent process context and a coherent set of business
objectives. (Refer to the Glossary for a complete definition of organizational unit.)
The extent to which an organizational unit has implemented appraisal reference model practices
can be determined only by considering, in aggregate, the extent to which those practices are
implemented within the organizational unit by basic units and support functions. This process, in
turn, necessitates the consideration of objective evidence for each instantiation, for each model
practice within the appraisal reference model scope.
Appraisal teams seek and consider objective evidence of various types in determining model
Decisions on model component implementation are made based on the aggregate of objective
evidence available to the appraisal team. Multiple types of objective evidence (artifacts and
affirmations) are considered; these types are described in Types of Objective Evidence in this
document.
Affirmations ensure that the documentation reflects the actual organizational process
implementation and preclude any judgments on results being made solely on the basis of artifacts.
SCAMPI method establishes minimum requirements for each appraisal class, called data coverage
rules (described in Activity 1.1.3, Determine Appraisal Constraints ) for the extent to which
objective evidence from artifacts and affirmations must be collected from basic units and support
functions for model components.
Types of Objective Evidence

The fundamental idea behind SCAMPI appraisals is that the conduct of an activity or process
results in footprints or objective evidence which substantiates that work is being done consistent
with appraisal reference model components. For example, the establishment of an artifact, such as
a document, is often an expected outcome resulting from implementation of a model component.
Other artifacts may also substantiate implementation of the model component, such as evidence of
a status meeting or review being held. Members of the organizational unit may affirm, through
interviews, how model components are implemented.
The SCAMPI method provides for the collection and analysis of data from the following types of
objective evidence:
 Artifact: a tangible form of objective evidence indicative of work being performed that
represents either the primary output of a model practice or a consequence of implementing a
model practice. These artifacts may include organizational policies, meeting minutes, review
results, or other implementation-level work products. Sufficient artifacts demonstrating and
corroborating that the work is being done are necessary to verify the implementation of
associated model practices.
 Affirmation: an oral or written statement confirming or supporting implementation (or lack

of implementation) of a model practice provided by the implementers of the practice,
provided via an interactive forum in which the appraisal team has control over the interaction.
These statements are typically collected using interviews, demonstrations, questionnaires, or
other means. Note that negative affirmations confirming the lack of implementation of a
practice are possible.
Using multiple data-gathering mechanisms improves the team’s depth of understanding and
enables corroboration of the data. An over-reliance on one type of objective evidence or another is
undesirable. Too much dependence on artifacts could result in the perception that the appraisal
was a “paper review” (i.e., a cursory examination of prepared documents) and not truly indicative
of organizational and/or project behavior. An over-reliance on affirmations could be criticized as
not truly objective or repeatable. Requirements for these types of objective evidence are described
in data coverage rules (refer to Activity 1.1.4 Determine Appraisal Scope ).
The extent to which objective evidence is judged appropriate to determine whether a given model
component is implemented (or not implemented) will vary according to the context in which the
process is implemented, and is influenced by factors such as size, organizational culture,
application domain, customer market, and so on. For example, the level of detail necessary for a
work breakdown structure will differ widely for a one-person, two-week maintenance effort as
opposed to a 100-person, multi-year, and mission-critical development of a new product.
Data Collection Approaches

SCAMPI appraisals involve the collection, organization, and evaluation of artifacts that
substantiate the implementation of appraisal reference model components. Data collection is
typically the single largest driver in the overall cost and schedule for conducting SCAMPI
appraisals, and can be a substantial impact on resources within the appraised organization. Often,
this may depend on the extent to which the appraised organization has existing assets already
collected and in place to serve as objective evidence provided to the appraisal team. This range of
advance data readiness can be characterized by the following three appraisal data collection
approaches:
1. Verification approach: For organizations that already have detailed collections of artifacts
organized by mappings to model components in the reference model, much of the appraisal
team effort can concentrate on verifying the appropriateness of the data collected. This
approach leverages prior investments in data collection by the organization for its own
purposes (such as standardization, process compliance monitoring, or product reuse), and
can offer great efficiencies to the appraisal team. Rarely, however, has this ideal been fully
realized in practice, and many organizations have spent huge effort creating these
verification-ready appraisal data structures essentially from scratch, often with very little
business value, and frequently resulting in much rework of artifacts that are inappropriate,
incomplete, or overkill for what is needed. Despite the potential for high costs, this
preparation-intensive approach may still be preferable to organizations for which risk of
achieving maturity level ratings is a primary concern.
2. Discovery approach: At the other end of the spectrum, an organization may have few such
collections of artifacts already collected and mapped to the reference model. The appraisal
team must then work directly with the organization to identify, locate, organize, and evaluate
these artifacts in order to proceed with the appraisal. This can be a time-consuming task for
the appraisal team, and may involve planning for higher costs and a longer schedule for the
additional appraisal team effort; however, it limits the advance preparation needed to be
done by the organization. This approach may be appropriate for some situations, such as
organizations just starting a process improvement initiative.
3. Managed discovery: An incremental (phased) approach to data collection can also be used.
Initial data collection is focused on a predetermined set of high-leverage work products that
typically provide substantial coverage of reference model components. For example, plans,
documents, schedules, measures, and reviews. The appraisal team maps these artifacts to the
appraisal reference model, and determines the extent to which gaps in model coverage still
remain. These gaps are closed by iteratively acquiring more data through a series of specific
data calls. This approach balances the distribution of effort between the appraisal team and
the appraised organization, and can optimize data collection by focusing on the work
products most naturally understood by the organization and leaving much of the detailed
model knowledge to the appraisal team. In many situations, this can offer the most cost-
effective approach to data collection and best use of an organization’s resources. However,
lack of an initial reference model-centric focus could also obscure the potential risk an
organization may face for model compliance.
Often some combination of these approaches may be used. With data collection such a large
influence on the cost of appraisals, this topic is given much emphasis throughout the SCAMPI
MDD, notably in appraisal planning where a data collection strategy (refer to 1.1.2, Determine
Data Collection Strategy) and data collection plan (refer to 1.2.3, Develop Data Collection Plan)
must be negotiated with the appraisal sponsor to understand the choices and costs involved.
Appendix E, Managed Discovery, provides more guidance on the managed discovery approach
and associated tradeoffs.
Focused Investigation
In order to achieve efficient appraisals, emphasis is needed not only on effective data collection
and management approaches, but also on the methods used by the appraisal team to maintain
focus on the end objectives and to prioritize effort where it most needed. The term focused
investigation is used to describe this concept of optimized investment of appraisal team resources,
which applies throughout the SCAMPI appraisal processes. Essentially, this approach can be
described at a high level using the following paradigms:
 Understand what objective evidence is available, and how it contributes toward

implementation of model components within the appraisal reference model scope.
 Continually consolidate data to determine progress toward sufficient coverage of model
components.
 Focus appraisal resources by targeting those areas for which further investigation is
necessary, and collect additional data to complete the set of objective evidence needed.
 If sufficient objective evidence has been gathered to conclude a model component is
implemented, there is no need to continue working on it. Stop and move on to another model
component where adequate data has not yet been gathered or where the appraisal team still
has concerns.
 Avoid unnecessary or duplicated effort that does not contribute additional information toward
achievement of sufficient coverage or toward obtaining significantly greater confidence in the
appraisal results. For example, keep interviews efficient by asking further questions only
about model components for which sufficient data has not already been obtained.
This approach begins with the initial collection and analysis of objective evidence from the
organizational unit. The appraisal team’s inventory of objective evidence can be annotated to
identify model components that are strongly supported, or those that need further clarification.
This knowledge can be used as the basis for determining findings that affect appraisal outcomes.
As the appraisal process progresses, the appraisal team aggregates and synthesizes additional
objective evidence, and uses this evidence to draw inferences about the overall implementation
within the organizational unit. Wherever there are shortcomings in the appraisal team’s
understanding of the organizational unit’s implementation of model components, data collection
strategies can be determined to probe for and obtain additional information.
For example, cases where the objective evidence is missing, unclear, or insufficient might be
addressed through additional documentation requests or by generating focused questions for
specific interview participants. By maintaining a current inventory of the status of the appraisal
objective evidence and prioritizing areas where additional information is still needed, these
focused investigation approaches can be continuously and iteratively applied to narrow remaining
gaps and converge on sufficient coverage for generating appraisal results.
Data Collection, Rating, and Reporting
The appraisal team follows a consensus-based, structured process to synthesize and transform
information collected from the sources described in “Types of Objective Evidence” in this
document. Data from these sources are collected and considered in several discrete data gathering
sessions, either as integrated appraisal team activities or by subsets of the team organized into
mini-teams operating in parallel. Mini-teams are typically organized around related process areas,
with mini-team members assigned by the appraisal team leader on the basis of their individual
experience, knowledge, and skills.
The SCAMPI data transformation and rating process is depicted in Figure 1.
Level of
Consensus
Capability Level and/or

Full Team
Maturity Level Ratings
Goal Satisfaction Ratings Full Team
Practice Implementation Characterizations

Full Team
(organizational unit level)
Practice Implementation Characterizations

Mini-Team
(practice instantiation level)
Figure 1: SCAMPI Practice Characterization and Rating Process
Team members review objective evidence provided by the organizational unit and determine its
relevance to the appraisal reference model.
Areas of strength or weakness observed relative to the implementation of appraisal reference

model components are recorded in written findings. Findings are generated primarily for
weaknesses or gaps of the implementation compared to the intent of a model.
Findings of strengths should be reserved for exemplary model components that are particularly
effective and are candidates for inclusion in aggregated findings. Observations that simply reflect
a sufficient implementation of a model component can produce substantial data management
overhead that does not contribute toward generation of findings; these gratuitous strengths are
more effectively captured as simple indicators in the appraisal team’s database of objective
evidence. Findings may also be generated for alternative practices, which are acceptable
alternatives to implementing one or more model practices that contribute equivalently to the
satisfaction of process area goals.
Characterizing Practices
Verification of objective evidence continues in this way at the instantiation level (basic units and
support functions) until sufficient objective evidence has been obtained to characterize the
implementation of an appraisal reference model practice. Consensus is obtained at the mini-team
level on the sufficiency of objective evidence and the accuracy of strengths and weaknesses.
Based on the objective evidence supporting practice implementation, the appraisal team assigns
values to characterize the extent to which the appraisal reference model practice is implemented.
Each practice is characterized using defined characterization scales. These values are based on
criteria defined by the method (refer to 2.4.2, Characterize Implementation of Model Practices
and Generate Preliminary Findings).
The intent of this characterization is to summarize the appraisal team’s judgment of practice
implementation and identify and prioritize areas where further judgment, investigation, or
corroboration may be necessary. These characterization values are an aid, not a replacement, for
the recorded findings of weaknesses, which are used as a basis for rating decisions.
Upon assigning characterization values for a given model practice for each basic unit or support
function, the characterization values are aggregated, using full appraisal team consensus, to the
organizational unit level. Weaknesses across the basic units and support functions are similarly
aggregated to the organizational unit level, and form the basis for rating. Where team judgment is
necessary to characterize practice implementation, these decisions are made considering factors
such as the mix of practice characterizations, the reasons for the supporting instantiation-level
characterizations, and the severity of the associated weaknesses (in aggregate).
Generating Findings
Strengths and weaknesses identified across basic units and support functions within the
organizational unit are synthesized and aggregated to statements of preliminary findings,
expressed at the organizational unit level. These strengths and weaknesses are often organized at
the level of process area goals using common themes. Preliminary findings are provided to the
organizational unit for validation; the mechanisms and timeframe used for this validation may
vary across the appraisal modes of usage (internal process improvement, supplier selection,
process monitoring). Validation of preliminary findings is optional for SCAMPI B and C
appraisals.
During this activity, the appraisal team is still in the process of collecting data to ensure that an
accurate understanding of the organizational process implementation is obtained. Feedback from
the participants in the appraisal is used to validate the preliminary findings and may result in
revised or additional findings.
The appraisal team may also request additional data sources for areas where their understanding
of the organizational unit’s implementation of model practices is insufficient. Final findings are
generated based on the complete, validated set of appraisal data (i.e., findings and additional
aggregated strengths and weaknesses, if any).
Generating Ratings
For SCAMPI A, ratings are generated based on the set of validated appraisal data. Ratings are
generated for process area goals within the appraisal reference model scope. Ratings may also be
generated for process areas, capability levels, and/or maturity levels if desired by the appraisal
sponsor. Maturity level ratings and/or capability level ratings are based on the definitions of
capability levels and maturity levels in the appraisal reference model. Refer to Process Definition
2.6, Generate Appraisal Results, for additional information about the rating processes.
Reporting Results
The results of the appraisal are reported to the appraisal sponsor and to the appraised organization.
In supplier selection or process monitoring contexts, the mechanisms and timeframe used for
reporting results may be subject to acquisition or contractual restrictions. An appraisal record is
generated and provided to the sponsor, documenting further information regarding the appraisal
according to the specifications found in later sections of this document. Appraisal results are valid
for a period not to exceed three years.
A subset of this data is provided to the CMMI Institute for the purposes of quality control and the
collection of appraisal measures for reporting to the appraisal community. The appraisal data to be
provided is defined by the CMMI Institute separately from this document to allow for continuous
improvement of appraisal reporting apart from the CMMI Product Suite.
Instruments and Tools

Instruments are artifacts that may be used in an appraisal for the collection and presentation of
data. Instruments are provided by the organizational unit to inform the appraisal team about the
processes implemented in the organization and how they relate to the appraisal reference model.
Instruments can take various forms, including questionnaires, surveys, site orientation packets,
and mappings from reference model practices to the corresponding processes that are defined and
implemented within the organizational unit.
The SCAMPI method does not require that an instrument be used. However, instruments can
provide the appraisal team with an in-depth understanding of the organizational implementation
of the model on a model component-level basis for the basic units and support functions within
the organizational unit to be investigated in the appraisal.
Instruments also often provide an opportunity for the organizational unit to provide a self-
characterization of their implemented processes, identify applicable substantiating objective
evidence, and specify any additional comments that might be useful in understanding the
implemented processes. Used in this manner, instruments can support the SCAMPI method
emphasis on verification-based appraisals and minimize the need for discovery of objective
evidence (see the discussion of data collection approaches beginning on page 17), thus helping to
facilitate efficient appraisal performance.
An appraisal team member should facilitate the entry of data into instruments where feasible to
ensure that appropriate data are obtained. This approach can help the appraised organization
clarify or interpret the intent of the appraisal reference model components, understand what data
are expected, and focus the responses. The entry of either too much or too little data into
instruments can be problematic for both the appraisal team and the appraised organization and
result in inefficient use of resources.
Effective management of appraisal data is a challenge that can be simplified with the use of
automated tools. The CMMI Institute provides a rudimentary toolkit to SCAMPI lead appraisers
that can be used to collect data and to characterize, consolidate, and summarize information.
Several vendor tools are also available in the marketplace. The choice of tools is largely one of
personal preference; some appraisal team leaders prefer manual techniques, such as wall charts, to
record information and findings.
Conducting Cost-Effective Appraisals

High appraisal costs can be a significant factor in the overall business value obtained from
CMMI-based process improvement and conducting SCAMPI appraisals. While much has been
done to improve the integrity of maturity level ratings for SCAMPI A and protect the
corresponding investments of CMMI adopters, it is the improvement actions taken as a result of
various classes of appraisals, and not the benchmark ratings, that are most likely to provide
substantial and lasting benefits to the organization’s business results and operational
effectiveness. High appraisal costs can substantially impact the investment available for other
aspects of a process improvement cycle, and could even detract from a business case for CMMI
adoption. We conclude this overview with a discussion of approaches, both in selecting the
appropriate SCAMPI method depending on appraisal objectives and efficient enactment by
adopters that can help to achieve cost-effective SCAMPI appraisals and maximize business
returns.
These descriptions are based on inefficient practices that have been commonly observed to drive
high appraisal costs and recommendations to help to improve these practices and reduce appraisal
costs across the community. Several of these appraisal efficiency topics are described more fully
in other areas of the SCAMPI method overview or following sections of this document. This is
not an exhaustive list of the sources of appraisal cost inefficiencies or of the potential strategies
that could help to address them; numerous ideas are also suggested in other publications and
conference presentations.
Strategies for Planning Cost-Effective SCAMPI Appraisals
Data Collection
Observation: Inefficient collection of data from the appraised organization has been a driver of
high appraisal costs. Much of this has been due to a misunderstanding of verification-mode ap-
praisals, which are an optional approach (not a SCAMPI method requirement) intended to save
costs by leveraging any existing assets the organization may be able to provide to help the data
collection effort. Instead, this has often led to a disproportional shift of data collection responsibil-
ity to the appraised organization. Efforts to build model-centric evidence tables (e.g., practice im-
plementation indicator descriptions [PIID], populated with artifacts) can increase appraisal prepa-
ration costs.
Method: Revisions made to the method clarified and contrasted data collection approaches. It
also added a focus on managed discovery, phased data collection, and product-centric data sets to
reduce costs associated with data collection and better balance effort between the organization and
the appraisal team. The revisions to the method also added emphasis on maintaining a data
collection plan to anticipate, reduce, and manage the data collection effort, in communication with
the appraisal sponsor.
Recommendations: Negotiate expectations for the delivery of data to the appraisal team. Lead
appraisers are trained to seek artifacts that result from routine implementation of model
components. Use managed discovery and other techniques to enable the appraisal team to
incrementally request and map specific artifacts to the model. Iterative data collection allows the
team to ask for the only the data that are needed thereby optimizing the use of resources by the
appraised organization. Work with the lead appraiser to strike a balance between the duration of
the appraisal and the time spent preparing for it in order to balance data collection time between
the two.
Sampling Factors
Observation: Prior SCAMPI A versions were based on focus and non-focus projects, with at least
three instantiations needed for each process area, and representation of the organizational unit
based on coverage of critical factors. Without guidance about the number of projects and
instances needed, implementation on appraisals has sometimes been inconsistent, impacting
repeatability, confidence in the representativeness of the sample, and uncertainty about the
amount of data collection needed (too much or too little), which can impact predictability of
appraisal costs.
Method: Quantitative sampling approaches have been implemented (described in detail elsewhere
in the MDD) to determine the organizational scope based on sampling factors and subgroups
reflecting coverage of the variety of conditions under which the process is used. These sampling
factors, in conjunction with data coverage rules, define how much data is needed to assure
coverage. Not only does this improve representation and confidence in results, but selection of
well-designed sampling factors may reduce the overall amount of data needed and associated cost
incurred by the appraised organization.
Recommendations: Invest due diligence in defining sampling factors that truly characterize the
range of conditions in which the process must operate. Work with the lead appraiser to find a
value-added compromise between depth and breadth. The lead appraiser will help the sponsor to
strike a balance between generalizability and appraisal cost. If the initial appraisal scope is too
costly, consider constraining the organizational scope to a smaller subset of the organization
where the attributed appraisal results (e.g., maturity level ratings) are most valuable and needed.
Understand SCAMPI Tailoring Options

Observation: For both lead appraisers and sponsoring organizations, a lack of clarity about the
range of accepted tailoring options may have led to an over-reliance on traditionally implemented
approaches.
Method: This revised method clarifies tailoring options for SCAMPI A, B, and C and the range
of expected implementations of each method.
Recommendations: Lead appraisers serve as an intermediary for appraisal sponsors and

organizations, and when needed, act as a translator between business space and model space.
Appraisal sponsors, as informed consumers, should strive to understand available SCAMPI
tailoring options and make trade-offs to help conduct cost-effective appraisals.
Action Plan Reappraisals
Observation: Prior versions of the MDD did not allow a reappraisal targeting goals that were
“unsatisfied” in a SCAMPI A appraisal after goal-impacting weaknesses were corrected. This
often led to risk adverse behavior when achieving a maturity level or capability level rating was
the primary concern. Many organizations spent significant effort creating verification-ready
appraisal data structures essentially from scratch, often with very little business value and
frequently resulting in actions that were inappropriate or over and above what was needed.
Method: This revised method introduces the concept of an action plan reappraisal where a
subsequent appraisal activity is performed on a reduced model scope after correcting goal-
impacting weaknesses reported in the initial appraisal activity and updating rating results based on
the reappraisal. The action plan appraisal is performed within 4 months of the initial appraisal
activity (Reference Phase 4 Action Plan Reappraisal).
Recommendations: In preparing for a benchmark appraisal, the lead appraiser will help the
sponsor to strike a balance between time spent creating comprehensive appraisal data structures
and minimizing the risk of not achieving targeted ratings.
Method Description
This section provides an overview of the SCAMPI method architecture, including appraisal
phases, processes, and activities. These descriptions are high-level abstractions of the process
descriptions contained in Part II of this document.
A summary of the SCAMPI method processes and activities for each of the three appraisal phases
is contained in Table 7 (p. 27), Table 8 (p. 196), and Table 11 (p. 204).
Table 7: SCAMPI Phase Summary: Plan and Prepare for Appraisal
Phase Process Purpose Activities
1 Plan and 1.1 Analyze Understand the business needs 1.1.1 Determine Appraisal
Prepare for Requirements of the organizational unit for Objectives
Appraisal which the appraisal is being 1.1.2 Determine Data
requested. The appraisal team Collection Strategy
leader will collect information and 1.1.3 Determine Appraisal
help the appraisal sponsor match Constraints
appraisal objectives with their 1.1.4 Determine Appraisal
business objectives. Scope
1.1.5 Determine Appraisal
Outputs
1.1.6 Obtain Commitment to
Initial Appraisal Plan
1.2 Develop Document the results of 1.2.1 Tailor Method

Appraisal Plan appraisal planning including the 1.2.2 Identify Needed
requirements, agreements, Resources
estimates, risks, method 1.2.3 Develop Data
tailoring, and practical Collection Plan
considerations (e.g., schedules, 1.2.4 Determine Cost and
logistics, and contextual Schedule
information about the 1.2.5 Plan and Manage
organization) associated with the Logistics
appraisal. Obtain and record the
1.2.6 Document and
sponsor’s approval of the
Manage Risks
appraisal plan.
1.2.7 Obtain Commitment to
Appraisal Plan
1.3 Select and Ensure that an experienced, 1.3.1 Identify Appraisal

Prepare Team objective, trained, and Team Leader
appropriately qualified team is 1.3.2 Select Team Members
available and prepared to 1.3.3 Document and
execute the appraisal process. Manage Conflicts of
Interest
1.3.4 Prepare Team
1.4 Obtain and Obtain information that facilitates 1.4.1 Obtain Initial Objective
Inventory Initial site-specific preparation and an Evidence
Objective understanding of the 1.4.2 Inventory Objective
Evidence implementation of model Evidence
components across the
organizational unit. Identify
potential issues, gaps, or risks to
aid in refining the plan.
Strengthen the appraisal team
members’ understanding of the
organization’s operations and
processes.
1.5 Prepare for Ensure readiness to conduct the 1.5.1 Perform Readiness
Appraisal appraisal, including confirmation Review
Conduct of the availability of objective 1.5.2 Re-Plan Data
evidence, appraisal team Collection
commitment, logistics
arrangements, risk status and
associated mitigation plans. Plan
and document data collection
strategies.
Table 8: SCAMPI Phase Summary: Conduct Appraisal

2 Conduct 2.1 Prepare Ensure that appraisal participants 2.1.1 Conduct Participant
Appraisal Participants are appropriately informed of the Briefing
appraisal process, purpose, and
objectives and are available to
participate in the appraisal
process.
2.2 Examine Examine information about the 2.2.1 Examine Objective

Objective model components implemented Evidence from
Evidence in the organization, and relate the Artifacts
resultant data to the appraisal 2.2.2 Examine Objective
reference model. Perform the Evidence from
activity in accordance with the Affirmations
data collection plan. Take
corrective actions and revise the
data collection plan as needed.
2.3 Document Create lasting records of the 2.3.1 Take/Review/Tag

Objective information gathered by identifying Notes
Evidence and then consolidating notes, 2.3.2 Record
transforming the data into records Presence/Absence of
that document gaps in model Objective Evidence
component implementation or 2.3.3 Document Model
exemplary model component Component
implementation. Implementation
2.3.4 Review and Update
the Data Collection
Plan
2.4 Verify Objective Verify the sufficiency of objective 2.4.1 Verify Objective
Evidence evidence to determine the Evidence
implementation of model 2.4.2 Characterize
components for each instantiation. Implementation of
Describe any strengths and Model Practices and
weaknesses in the implementation Generate Preliminary
of model components. Each Findings
implementation of each model
component is verified so that it
may be compared to the reference
model. Then, the team
characterizes the extent to which
the practices in the model are
implemented.
2.5 Validate Validate preliminary findings, 2.5.1 Validate Preliminary

Preliminary including weaknesses (i.e., gaps Findings
Findings in model component
implementation) and strengths
(i.e., exemplary implementation of
model component) with members
of the organizational unit.
2.6 Generate Rate goal satisfaction based on 2.6.1 Derive Findings and
Appraisal the extent of practice Rate Goals
Results implementation throughout the 2.6.2 Determine Process
organizational scope of the Area Ratings
appraisal. The extent of practice 2.6.3 Determine Process
implementation is judged based Area Profile
on validated data (e.g., artifact 2.6.4 Determine Maturity
and affirmation objective Level
evidence) collected from the entire 2.6.5 Document Appraisal
representative sample of the Results
organizational unit. Aggregate
ratings (process area ratings,
maturity level ratings, capability
ratings, etc.) are driven by the
goal satisfaction ratings.
Table 9: SCAMPI A Phase Summary: Report Results
3 Report 3.1 Deliver Provide credible appraisal results 3.1.1 Deliver Final Findings
Results Appraisal that can be used to guide actions. 3.1.2 Conduct Executive
Results Represent the strengths and Session(s)
weaknesses of the processes in use 3.1.3 Plan for Next Steps
at the time. Provide ratings (if
planned for) that accurately reflect
the capability level or maturity level
of the processes in use.
3.2 Package and Preserve important data and 3.2.1 Collect Lessons
Archive records from the appraisal, and Learned
Appraisal dispose of sensitive materials in an 3.2.2 Generate Appraisal
Assets appropriate manner. Record
3.2.3 Provide Appraisal
Feedback to the CMMI
Institute
3.2.4 Archive and/or Dispose
of Key Artifacts
Table 10: SCAMPI A Phase Summary: Action Plan Reappraisal
4 Action Plan 3.1 Action Plan If the benchmark appraisal 3.1.1 Plan Action Plan
Reappraisal Reappraisal resulted in one or more goals Reappraisal
rated “unsatisfied” or “not rated,” 4.1.2 Conduct Executive
the organization has the option of Session(s) Reappraisal
addressing the goal-impacting 4.1.3 Report Action Plan
weaknesses in an action plan and Reappraisal
subsequent action plan
reappraisal. The action plan
reappraisal is performed on a
subset of the model scope and
organizational scope after
correcting goal-impacting
weaknesses reported in the initial
appraisal to get updated rating
results.
Part II: Process Definitions
1. Plan and Prepare for Appraisal
1.1 Analyze Requirements
Purpose Understand the business needs of the organization for which the appraisal is
being requested. The appraisal team leader will collect information and help the
appraisal sponsor match appraisal objectives with their business objectives.
Determine and communicate the strategy for collecting appraisal evidence. The
appraisal team leader will work with the appraisal sponsor to determine the
overall strategy for collecting appraisal information. This strategy will form the
basis for the appraisal data collection plan.
Entry Criteria  An appraisal sponsor has decided that a SCAMPI appraisal should be
performed.
 People who can provide statements of requirements for the appraisal are
available.
Inputs  Initial sponsor appraisal objectives

 Initial requirements and constraints
 Process-related legacy information
 Business objectives
Activities 1.1.1 Determine Appraisal Objectives

1.1.2 Determine Data Collection Strategy
1.1.3 Determine Appraisal Constraints
1.1.4 Determine Appraisal Scope
1.1.5 Determine Appraisal Outputs
1.1.6 Obtain Commitment to Initial Appraisal Plan
Outputs Initial Appraisal Plan
Outcome The decision to proceed with the appraisal based on a shared understanding of
the appraisal objectives, constraints, outputs, and scope.
Exit Criteria  Initial contact between the appraisal sponsor and the appraisal team leader
(i.e., a certified or candidate SCAMPI lead appraiser) has occurred.
 The appraisal team leader has been given access to appropriate members of
the sponsoring organization.
 The initial strategy for collecting appraisal data has been established for use
in subsequent planning activities.
 The initial appraisal plan has been approved by the appraisal sponsor and
placed under change management.
Key Points At this early stage in the process, gathering information that supports good
planning is most important. Often, the appraisal team leader must educate
members of the sponsor’s organization in the purpose and role of appraisals.
Tools and Collaborative consultation between the appraisal team leader and the appraisal
Techniques sponsor is important in this activity. The appraisal team leader may be able to
simply interview the sponsor to get the needed information and reach
agreements. In some settings, a series of meetings with different stakeholders
may be needed to elicit and build consensus on the business needs that can be
met through a SCAMPI appraisal.
Understanding the history of appraisals in the organization, especially the

organizational and appraisal reference model scope of past appraisals, is
important for understanding the requirements for the appraisal under
consideration. The choices sponsors make about appraisal scope are often tied to
their (sometimes unstated) priorities for process improvement.
Metrics A number of metrics support the appraisal team leader’s monitoring of this work:
 Calendar time between initial contact and finalization of requirements

 Effort expended to gather and analyze requirements
 Number of meetings with representatives of the sponsoring and/or appraised
organization
Verification and The exit criterion for this activity is the approval of the initial appraisal plan and
Validation its placement under change management.
Review of the documented agreements resulting from the work of this set of
activities will serve to validate the requirements, which feed into appraisal
planning.
Records The initial appraisal plan
Interfaces This process is a foundation for the success or failure of the entire appraisal; it
with Other is at this point in the appraisal that the most leverage exists for avoiding
Processes
problems and issues downstream. Gathering and understanding the
requirements for the conduct of a SCAMPI appraisal is vital to making
appropriate decisions and providing value to the sponsor. Many examples of
problems encountered during appraisals can be traced to shortcomings in the
conduct of this process. The activities described here form the basis for the
activities described in the next process, Develop Appraisal Plan.
The selected data collection strategy, which includes the data collection
approach (discovery, managed discovery and/or verification), will affect the
activities of Section 1.4, Obtain and Inventory Initial Objective Evidence. The
balance between discovery and verification will have a significant impact on the
amount of time required by the organization to prepare for an appraisal in a
verification-based mode or the amount of time for the team to conduct the
appraisal in a discovery-based mode. A managed discovery approach balances
verification and discovery activities using an iterative, phase-based approach to
data collection. The results of the readiness review in Section 1.5, Prepare for
Appraisal Conduct could result in revisions to the data collection approach.
Summary of The objectives that motivate the conduct of an appraisal, as well as the intended
Activities strategy for collecting appraisal data, must be well understood so that
appropriate participants, tailoring decisions, and appraisal outputs can be
selected. The constraints that shape the appraisal enactment, in light of the
objectives and data collection strategies, may limit achievement of the desired
result if they are not adequately understood and negotiated. A clear agreement
regarding appraisal outputs and their intended usage will help to maintain the
sponsorship needed for conducting the appraisal and acting on the results.
Establishing agreement on these objectives, constraints, outputs, and intended
usage forms the basis for a commitment to the plan for conducting the
appraisal.
1.1.1 Determine Appraisal Objectives
Activity The business needs for process improvement drive the requirements for the
Description conduct of any given appraisal and generally include one or more of three
closely related factors:
 Reducing costs
 Improving quality
 Decreasing time to market
The fundamental premise of process improvement is that organizational

processes significantly impact these factors.
Performing a fair and objective evaluation of the processes in use in the

organization(s) is the essential reason for conducting an appraisal. In addition to
this motivation, a sponsor’s desire to conduct an appraisal could be driven by
one or more of the following business-related objectives:
 Document a credible benchmark that reflects successful process

improvement.
 Confirm that organizational processes are maintained.
 Evaluate areas of potential risk that may affect the performance of the
organization.
 Involve members of the appraised organization in improving the
performance of the process.
 Support specific decisions related to the direction of a new or existing
improvement program.
 Motivate a supplier to focus on process issues that affect contract
performance.
Required The appraisal team leader or designee shall

Practices
 (ABC) identify sponsor and relevant stakeholders, and establish
communication
 (ABC) document the business objectives provided by the sponsor and the
specific appraisal objectives
 (ABC) ensure the alignment of the appraisal objectives to the business
objectives
 (A) determine and document the appraisal usage mode (i.e., Internal
Process Improvement, Supplier Selection, or Process Monitoring)
Parameters and (ABC) At least one communication between the appraisal team leader
Limits and sponsor is required.
1.1.1 Determine Appraisal Objectives
Implementation Organizations with experience in the use of appraisals may have a clear set of
Guidance appraisal objectives identified in advance of contacting an appraisal team
leader.
In some cases, the usage mode will be self-evident; however, there may be
instances in which the appraisal sponsor either may not be sure or may have
made an assumption that is not founded on fact. The appraisal team leader is
responsible for ensuring that the best choice of usage mode is made consistent
with the sponsor’s input and direction.
Depending on the structure of the appraised organization, as well as the usage

mode, it is often important to distinguish the role of senior site manager from
that of the appraisal sponsor. For some appraisals, these two roles are encom-
passed in the duties of a single person. For other appraisals, these two roles
may represent two people working many time zones away from each other.
Reviewing the final appraisal plan, final findings, and appraisal disclosure
statement from any prior appraisals can help the appraisal team leader to
understand the context of the prior appraisal.
Activity The data collection strategy is determined based on the appraisal objectives.
Description The data collection strategy employed to obtain an objective characterization of
the processes in use in the organization has major implications for the appraisal
in terms of the following:
 Amount of time and effort expended by the organization in preparing for

the appraisal
 Ability of the team to make accurate judgments
 Usefulness and accuracy of the appraisal results
 Overall cost of the Conduct Appraisal phase
A well-defined data collection strategy is important for appraisal planning, as it

provides the basis for detailed data collection planning (see Activity 1.5,
Prepare for Appraisal Conduct) and examining objective evidence (see Activity
2.2, Examine Objective Evidence). It should be established early and
continually refined throughout the Plan and Prepare phase, as it provides the
basis for effective data collection.
The data collection strategy outlines the overall high level scheme for data
collection including the choice of data collection approach (discovery, managed
discovery, and/or verification), when the data will be collected (e.g.,
preparation phase or conduct phase) and what data collection techniques (e.g.,
demonstrations, presentations, interviews and questionnaires) will be employed
for objective evidence types (artifacts and/or affirmations). A complete data
collection strategy will address how and when evidence types will be collected
(artifacts and/or affirmations). It will specify what the organization is
responsible for collecting.

Practices
 (ABC) work with the sponsor or designee to identify the data collection
strategy that best aligns with appraisal objectives and constraints
 (ABC) document the planned data collection strategy in the data collection
plan, which is part of the overall appraisal plan
Parameters The data collection strategy must address

and Limits
 (ABC) the data collection approach (discovery, managed discovery and/or
verification)
 (ABC) the techniques for collecting artifacts (e.g., documents,
demonstrations, presentations)
 (ABC) the techniques for collecting affirmations (e.g., interviews,
demonstrations, presentations)
 (ABC) a high-level schedule for collecting data
 (ABC) roles and responsibilities for collecting appraisal data
Implementation There are three basic data collection approaches.

Guidance
Discovery: a data collection approach where limited objective evidence is
provided by the appraised organization prior to the appraisal, and the appraisal
team must probe and uncover a majority of the objective evidence necessary to
obtain sufficient coverage of reference model practices or model components.
Managed discovery: a phased data collection approach beginning with an
initial data call for a pre-determined set of artifacts (e.g., plans, requirements
documentation, test procedures), followed by a set of iterative calls based on
the appraisal team’s evaluation of the artifacts and remaining evidence gaps.
Refer to Appendix E, Managed Discovery, for more information on managed
discovery and comparison to discovery and verification data collection
approaches.
Verification: a data collection approach in which the focus of the appraisal
team is on verifying the set of objective evidence provided by the appraised
organization (i.e., mapped to CMMI practices) in advance of the appraisal.
Appraisal team leaders, in conjunction with the appraisal sponsor, select one
or a combination of these three data collection approaches to best satisfy the
needs of the organization and appraisal.
Key artifacts are identified that can be used to gain insight regarding a number
of model practices. These artifacts referred to as high-yield artifacts, contain
potential high-leverage information, and may be good candidates for early
review by team members. High-yield artifacts are often collected in
preparation for a managed discovery data collection strategy. (Refer to
Appendix E: Managed Discovery for examples of high-yield artifacts.)
Organizations that have not previously conducted an appraisal or are
increasing their organizational maturity or capability relative to a previous
appraisal may likely find a discovery or managed discovery data collection
approach (at least in part) would make the most effective use of organizational
resources to prepare for the appraisal. These two discovery-type approaches
would minimize organizational resources to supply artifacts that are not
applicable and/or are never reviewed by the appraisal team due to the
organization misinterpreting the CMMI model and/or the misperceiving
appraisal team’s need for artifacts. Organizations that employ a discovery or
managed discovery data collection approach are likely to expend far less
resources in preparing data for the appraisal than if a verification data
collection approach is used. Discovery-type approaches are particularly
suitable for SCAMPI Bs or Cs where the focus is on process improvement.
Organizations that have undergone past appraisals may have a data collection
approach the appraisal team can use. If so, a verification-based appraisal may
be the most efficient data collection approach. The appraisal team lead should
work with organization staff to confirm that existing strategies are still
Implementation applicable, and changes should be made to ensure that the strategy aligns well
Guidance with the objectives and usage mode of the current appraisal.
(continued)
Organizations that have undergone past appraisals typically have an existing
objective evidence data base mapped to model practices. The use of prior
appraisal events (e.g., SCAMPI B or SCAMPI C appraisals) can be used to
help complete the organization’s evidence database, and can be included in the
defined data collection strategy. The data collection strategy will impact
appraisal planning, and may be revised after planning milestones, such as
readiness reviews, other appraisal events, sponsor meetings, or even changes
in business objectives. As changes or refinements are determined, the data
collection plan will be maintained to accurately reflect the strategy in place.
The data collection strategy should be tailored to meet the needs of the
organization and the appraisal team. It is important that the strategy be
documented and understood, so that appropriate appraisal planning can be
done.
1.1.3 Determine Appraisal Constraints
Activity The constraints within which the appraisal must be conducted are determined
Description based on a dialog between the appraisal team leader and the appraisal sponsor
and/or senior site manager. This dialog typically is an iterative process in which
the preferences of the appraisal sponsor, the limits of the method, and the
consequent resource requirements are balanced against each other to arrive at an
optimal set of appraisal plan parameters.

Practices
 (ABC) establish high-level cost and schedule constraints
 (ABC) document model scope of the appraisal
 (A) document initial rating targets (if any)
 (ABC) document initial description of the organizational unit
 (ABC) negotiate constraints and objectives with stakeholders to ensure
feasibility
 (ABC) document negotiated appraisal constraints in the appraisal plan.
Parameters (ABC) Constraints identified by the appraisal plan must be negotiated between
and Limits the sponsor and the appraisal team leader.
Implementation Constraints on cost and schedule identified during this early stage of the
Guidance appraisal are expected to be high-level and not detailed estimates. They may
take the form of statements such as “We need this to be done in Q4,” “You
can’t use more than five of my people on the team,” and “I can’t afford to have
it last more than a month.” During these initial discussions with the sponsor, the
appraisal team leader gains an understanding of the desired model scope as well
as the organizational scope of the appraisal. The process of specifying the OU,
as well as the sampling that defines the organizational scope of the appraisal
(described in Activity 1.1.3, Determine Appraisal Constraints is influenced by
this understanding.
Practical limitations relating to time, cost, and effort are clarified and negotiated
in the context of other requirements the sponsor has. The business context in
which the appraisal is conducted drives choices that the appraisal team leader
must make. For example, if virtual methods (e.g., video conferences,
teleconferences, and other similar technology) are to be used to conduct
appraisal activities, the constraints imposed by these methods should be
discussed, documented, and taken into account as the appraisal is planned.
Appraisals should not be conducted in isolation from other activities relating to
process management and improvement. The needs of relevant stakeholders be
they acquisition organizations or division heads managing an engineering-
related process group, often place requirements on the conduct of the appraisal.
Activity The appraisal scope consists of the appraisal reference model scope and the organiza-
Description tional scope to be examined during the appraisal. The reference model scope must be
determined and documented early in the planning process, identifying the relevant
models and process areas or model components.
For CMMI models, the scope specification includes selection of the staged
representation (and the maturity levels included) or the continuous representation
(and the capability levels included). In conjunction with the appraisal sponsor, the
appraisal team leader is responsible for deciding which process areas or model
components to include in the scope of the appraisal and which model representation
to use.
An organizational unit is the part of an organization that is the subject of an appraisal

and to which the appraisal results will be generalized. This organizational unit may
include the entire organization, one or more divisions within the organization, or one
or more basic units and support functions within the organization. Depending on the
reference model used for the appraisal, the organizational unit may be comprised of
different types of basic units and support functions. These building blocks of the
organizational unit will differ according to how people are organized to accomplish
the work.
For SCAMPI A, the organizational scope is a subset of the organizational unit. The
organizational scope is determined by selecting support functions and sampling basic
units to supply data for the appraisal. The organizational scope of the appraisal is
selected as a representative sample of the organizational unit, based on sampling
factors that reflect meaningful differences in the conditions under which work is
performed. This selection process involves defining subgroups that reflect differences
according to the sampling factors. Basic units within these subgroups are sampled in
the process of defining the organizational scope.
An iterative process can be used in which a preliminary specification of the

organizational scope leads to re-scoping the organizational unit. A more narrowly
defined organizational unit permits a smaller organizational scope of the appraisal.
Conversely, a broader definition of the organizational unit leads to a larger
organizational scope of the appraisal. This interplay between scoping and sampling is
managed collaboratively by the appraisal team leader and the appraisal sponsor.
For SCAMPI B and C, have no requirement to consider sampling factors or define

subgroups when determining the organizational scope. In this regard, the
organizational unit is equivalent to the organizational scope and the appraisal results
apply to the support functions and basic units selected for inclusion in the appraisal.
Finally, the mapping of process areas or model components to basic units and support
functions is established to support data collection planning. Differences in the way
people are organized to perform the work within the organizational unit may affect
the sources of data that must be considered to appraise each process area.
Activity Some organizations may share resources to perform support functions like
Description configuration management or measurement and analysis, whereas other
(continued)
organizations may establish those functions within each basic unit. Data coverage
requirements applied to the mapping between the model and the organization
form the detailed data collection plan.
Required The appraisal team leader, in conjunction with the appraisal sponsor and/or the
Practices sponsor’s designee, shall determine and document the following:
 (ABC) the reference model scope to be used for the appraisal

 (ABC) the organizational unit to be investigated during the appraisal
 (ABC) the basic units into which people are organized to accomplish the
work done by the organizational unit
 (ABC) the support functions that exist and the responsibilities assigned to
each function
 (A) the sampling factors used to specify the organizational unit and the
organizational scope of the appraisal
 (ABC) a mapping between each basic unit or support function and the
process areas or model components in the scope of the appraisal
 (ABC) the organizational scope of the appraisal
 (ABC) the list of individuals who will participate in the appraisal
 (ABC) the planned coverage of each process area or model component in the
model scope of the appraisal for each basic unit or support function within
the organizational scope of the appraisal
Parameters (A) The reference model scope shall include the process areas in the selected
and Limits model(s) and for CMMI models the representation chosen as well as the
associated maximum capability or maturity level targeted.
(A) The reference model scope of the appraisal shall include at least one process
area. All practices and goals that are part of the selected process areas must be
included; individual practices and goals within a process area shall not be
excluded.
(B) If portions of the process areas or goals are sampled (to the exclusion of the
rest of the process area or goal), a more detailed specification of the exact
practices selected shall be documented.
(C) If model components are sampled; a detailed specification of the exact model
components (practices, goals, process areas, or other model component) shall be
documented.
Parameters (A) When a process area is determined to be outside of the OU's scope of work,
and Limits the process area is designated as “not applicable.” Any process area designated as
(continued)
“not applicable” and the rationale for its exclusion must be documented in the
appraisal plan and appraisal disclosure statement (ADS).
(ABC) The organizational scope of the appraisal shall be documented by listing

the basic units and support functions selected for inclusion in the appraisal.
(A) The rationale for these selections is based on the way the organization
allocates roles and responsibilities to accomplish the work as well as the
sampling factors that affect the way people do the work.
(A) Sampling factors associated with the variety and diversity of conditions
under which work is performed in the organizational unit must be recorded
during planning. The following candidate sampling factors must be evaluated to
determine the organizational scope of the appraisal:
 Location: if work is performed differently in different locations (e.g.,

countries, cities, sites or installations)
 Customer: if work is performed differently depending on the customer
served by that work
 Size: if work is performed differently based on the size of the basic unit or
support function
 Organizational structure: if work is performed differently in different parts
of the organizational structure (e.g., different divisions as depicted on an
organization chart)
 Type of work: if work is performed differently based on the “type of work”
(e.g., system integration, software development, IT-support services, or help-
desk)
(A) Each of these potential sampling factors shall be evaluated for its effect on
the conditions under which work is performed in different parts of the
organizational unit. Other sources of diversity that affect these conditions shall
also be considered as additional potential sampling factors. Examples of
sampling factors could include funding source, duration, complexity, or other
factors that affect the conditions under which work is performed.
(A) Evaluations of potential sampling factors shall be based on the identification

of meaningful values (e.g., large or small units; the name of cities where sites are
located) into which basic units can be allocated for each sampling factor. The
number of subgroups is determined by analyzing all combinations of values
within the sampling factors. The result is a set of subgroups that represents the
potentially unique conditions under which work is performed across the
organizational unit.
Parameters (A) Potential sampling factors that do not drive differences in conditions under
and Limits which work is performed may reasonably be excluded. Rationale for inclusion or
(continued)
exclusion of these factors in determining a representative sample shall be
documented in the appraisal plan, along with the subgroups defined by the
combination of all relevant sampling factors.
(A) Subgroups defined using the sampling factors determined to be relevant

represent clusters of similar conditions for process implementation. These
subgroups contain one or more basic units that are candidates to participate in the
appraisal data collection activities (i.e., supply artifacts and/or affirmations).
(A) Establish a representative sample for the organizational unit by selecting basic
units from each of the subgroups according to the following formula:
Number of
Number of
Minimum number
subgroups
X basic units in the
of basic units to given subgroup
be selected from =
a given subgroup Total number
of basic units
Figure 2: Sampling Formula

(A) The computed value of the formula above may generate a fractional number. If
the computed value using this formula is less than 1, then the required number of
basic units shall be 1. Fractional values (greater than 1) resulting from the
computation shall be subject to standard rounding rules (i.e., 1.5 becomes 2, and
1.49 becomes 1). The organizational scope of the appraisal is defined as the set of
basic units selected using the process described above and the identified support
functions. This set of organizational entities shall provide data for the model scope
of the appraisal, in accordance with the data coverage rules specified below.
(ABC) The mapping of process areas or model components to basic units and
support functions shall be recorded in order to establish how the organizational
scope of the appraisal is linked to the model scope of the appraisal. Some process
areas or model components may be instantiated in each and every basic unit. Other
process areas or model components may be instantiated in a single support function.
It is also possible that a given process area or model component is instantiated in
parallel support functions that exist within given subgroups, or are shared across a
number of subgroups.
(A) The following coverage rules ensure corroboration of objective evidence from
multiple independent sources across the set of basic units or support functions
sampled.
Parameters Coverage Rules for Process Areas

and Limits
(continued) (A) Coverage 1: Objective evidence provided for a process area must address all
practices that are part of that process area. For CMMI models, this includes all
specific practices as well as all generic practices included in the scope of the
process area. Each basic unit or support function sampled must address all
practices in the process areas for which they supply data.
(A) Coverage 2: In terms of the organizational coverage of a process area, the

design of the process in the organization may lead to process areas implemented by
one of the following:
 (A) an individual basic unit within a subgroup

 (A) a single support function that serves the entire organizational unit
 (A) a set of support functions that each serve different parts of the
organizational unit
 (A) some hybrid of the above where the groupings of basic units in subgroups
would be too limiting (i.e., it would make sense to “collapse the subgroups
together” for the purpose of looking at this process area because of the level of
standardization).
(A) As an exception to the following coverage rules specified for basic units
below, the implementation of a process area in a standardized manner across
subgroups may reduce the data collection needs. By documenting rationale in the
appraisal plan, the appraisal team leader may define a data collection strategy that
collapses the subgroups when considering process areas implemented in a highly
standardized fashion.
Coverage Rules for Basic Units

(A) Coverage 1: For each subgroup, both artifacts and affirmations shall be
provided for at least one basic unit for every process area implemented by basic
units within that subgroup. This sampled basic unit shall provide data for all
process areas. Selection of this basic unit must consider the schedule of work (e.g.,
lifecycle stage) achieved, in order to maximize coverage of the process areas. In
cases where this sampled basic unit would have “not yet” characterizations in a
process area, additional basic units must be sampled to cover that process area
(unless no other basic units remain to be sampled in the subgroup).
(A) Coverage 2: For at least 50 percent of the sampled basic units in each
subgroup, both artifacts and affirmations shall be provided for at least one process
area implemented by basic units within that subgroup.
(A) Coverage 3: For all sampled basic units in each subgroup either artifacts or
affirmations shall be provided for at least one process area implemented by basic
units within that subgroup.
Parameters For subgroups with only one sampled basic unit, satisfaction of the first rule
and Limits leads to satisfaction of the other two rules.
(continued)
Coverage Rules for Support Functions
(A) Coverage 1: Both artifacts and affirmations shall be provided for each
support function for all process areas relating to the work performed by that
support function.
(A) Coverage 2: The artifacts and affirmations provided by support functions

shall demonstrate the work performed for basic units for at least one sampled
basic unit in each subgroup. This applies for each process area relating to the
work performed by that support function for basic units.
For example, quality assurance (QA) or configuration management functions

would provide data on the application of Process and Product Quality
Assurance (PPQA) or Configuration Management (CM), process areas
respectively. The linkage of the functions to assure quality or maintain
configurations of key work products related to other process areas does not
mean these support functions must address all the practices in those other
process areas.
(A) Coverage 3: In cases where multiple support functions exist within the
organizational unit, all instances of the support function shall be included in the
appraisal scope. For example, if division-specific configuration management
groups exist, every group in each division included in the organizational unit
must be sampled.
(A) Coverage Rule for the Basic Unit or Support Function: For basic units
or support functions that encompass multiple disciplines or facets of work,
ensure that the objective evidence covers all aspects of the work (e.g., in a
systems and software project, looking only at evidence relating to software
engineering is inadequate).
(A) Organizational unit size (i.e., number of people and number of basic units)
and sizes of basic units (i.e., number of people) in the organizational scope shall
be documented in the appraisal plan as well as the percentage ratio of these two
measures:
 (A) Population percent: the number of people in the organizational scope

divided by the number of people in the organizational unit (x100)
 (A) Basic unit percent: the number of basic units in the organizational
scope divided by the number of basic units in the organizational unit (x100)
Parameters (A) Basic units that are specifically excluded from participating in the appraisal
and Limits (though they are included in the definition of the organizational unit and
(continued)
therefore, in the population percentage and basic unit percentage calculations
above) must be identified in the appraisal plan and in the appraisal disclosure
statement along with a justification for their exclusion. Such exclusions might
arise from logistical constraints identified during planning—such as unplanned
urgent customer demands. Units that are not part of the OU need not be listed
in this manner—as the results do not apply to them.
Coverage Rules for SCAMPI B and C:
(BC) The following coverage rules ensure evaluation of objective evidence

across the set of basic units or support functions sampled.
(B) For each practice, at least one artifact or affirmation must be obtained for
each basic unit or support function in the scope of the appraisal. In addition, for
each practice within the scope of the appraisal, at least one affirmation and one
artifact must be present when considering the set of basic units or support
functions for that practice.
(B) For an appraisal focused on a single basic unit or support function, an

artifact must be obtained for every practice. In addition, at least one affirmation
must be obtained for at least one practice from the set of practices mapped to a
goal.
(C) For each model component in the scope of the appraisal, at least one
artifact or affirmation must be obtained when considering the set of basic units
or support functions for that model component.
(ABC) The appraisal team reserves the right to seek clarification or data from
other basic units or support functions within the organizational unit, beyond
those specified in the data collection plan. These basic units or support
functions must also be identified in the appraisal disclosure statement.
(ABC) The organizational scope to be investigated during the appraisal will

drive the selection of participants needed to provide sources of objective
evidence. An initial determination of appraisal participants, by name and role,
must be negotiated with the appraisal sponsor and/or the senior site manager as
part of the early determination of organizational scope. This initial
determination will be refined later during detailed appraisal planning.
Parameters (ABC) If the Conduct Appraisal phase is to be performed using incremental

and Limits subsets of the organizational unit or the model, the appraisal plan must identify
(continued)
the organizational scope and appraisal reference model scope for each
increment.
(A) An action plan reappraisal is permitted. An action plan reappraisal is

defined as a subsequent appraisal activity performed on a subset of the
appraisal model scope and organizational scope after correcting goal-impacting
weaknesses reported in the initial appraisal activity, and then updating the
results of the initial appraisal with the results from the subsequent appraisal to
get final results (Reference Phase 4 Action Plan Reappraisal (Optional)).
Implementation The topic of sampling and determining the organizational scope can be a
Guidance complex issue, with considerable impacts on the credibility of the appraisal
overall and the cost-effective implementation of appraisals. A thorough
understanding of these concepts is necessary to ensure they are consistently
and practically applied. Appendix F, Scoping and Sampling in benchmark
appraisals (SCAMPI A), provides much more detailed descriptions,
illustrations, and case studies to further elaborate these concepts.
For SCAMPI B and C, have no requirement to consider sampling factors or

define subgroups when selecting basic units or support functions for inclusion
in the appraisal. In this regard, the OU is the same as the organizational scope.
Appraisal results apply to the selected support functions and basic units.
However, it may be beneficial to consider sampling factors and sampling factor
values when selecting basic units and support functions when the SCAMPI B
and/or C are performed in preparation for a SCAMPI A.
The selection of the appraisal reference model scope should have been
discussed during the setting of appraisal objectives. Choices regarding the
reference model and the selection of components to include may impact the
achievability of appraisal objectives. Clearly, a broadly defined OU (e.g., a
multi-national enterprise) will require collecting and analyzing significantly
more objective evidence than a narrowly defined OU (e.g., a specific product
line within a specific business unit at a single geographical location).
The organizational unit to which appraisal results will be attributed should be

described accurately in all statements made by the appraisal team leader and
sponsor. It is the responsibility of the appraisal team leader to understand the
larger organizational context in which the appraised OU resides. Familiarity
with the nature of departmental structures, matrixed subject matter expert
groups, integrated product teams, program and basic unit groupings, or product
line implications that may affect the interpretation of appraisal outcomes will
aid in obtaining this understanding.
Implementation In some organizations, a small number of process areas may be implemented

Guidance uniformly across basic units to an extent that differences across subgroups do
(continued)
not exist as they do in the implementation of other process areas. For example,
maintenance projects or service offerings that fall under a common program
management structure may be governed by a unified set of work processes
relating to project and work monitoring and control. Such a program (which is
a collection of basic units) would be managed by common management lines
with shared reporting requirements.
The behavior of staff in the program is guided by a set of conditions that

override the influences of sampling factors that lead to differences in other
parts of the organizational unit. In these exceptional cases, the method supports
a different form of sampling for basic units—one that considers an instantiation
of the process area that is identical among basic units from different subgroups.
The organizational unit should be documented in the clearest terms possible. It

is often difficult to specify unambiguous boundaries without resorting to
naming individual people in some organizations. Information about the OU
should be documented in a way that allows future appraisal sponsors to
replicate (to the extent possible) the OU appraised. This information should be
in the appraisal plan, and used (in summary form if needed) in briefing the
appraisal team and appraisal participants.
Activity Identify the specific appraisal outputs to be produced. Some appraisal outputs are
Description required and additional outputs are tailorable (see Parameters and Limits). Some
possible SCAMPI outputs are supported by all reference models; other possible
outputs are reference-model specific (see model-specific implementation
guidance below).
Obtain information to answer the following questions:
 What characterizations will be generated during the appraisal?

 Will a final report be written to document appraisal results?
 Will recommendations on how to address specific findings be generated and
reported?

Practices
 (ABC) review required SCAMPI outputs with the appraisal sponsor
 (ABC) review and select optional SCAMPI outputs with the appraisal
sponsor
Parameters Required SCAMPI outputs include

and Limits
 (ABC) appraisal record (see Activity 3.2.2, Generate Appraisal Record)
 (ABC) the CMMI Institute data (see Activity 3.2.3, Provide Appraisal
Feedback to the CMMI Institute)
(A) At least all the goals for the process area or process areas within the model
scope must be rated for the organizational unit, although the choice may be made
to not disclose the ratings to anyone other than the appraisal sponsor.
(A) Ratings for individual disciplines or for individual basic units, unless the
basic unit is the organizational unit, are not permitted.
(ABC) The sponsor shall receive the appraisal record (refer to section 3.2.2
Generate Appraisal Record for identification of the contents of the appraisal
record).
(A) The appraisal team leader and sponsor are required to sign the appraisal
disclosure statement.
Implementation Non-model findings reflect items that have significant positive or negative
Guidance impact on the enactment of processes within the organizational unit that do not
directly relate to model practices or model components.
While statements of findings (strengths and weaknesses) are a required output

of the method, creating a written report that elaborates on the findings is
optional. The sponsor should decide if resources are to be spent creating this
artifact.
Similarly, the task of creating recommendations to address appraisal results

may require expertise that is not represented on the appraisal team in some
cases. Recommendations may address suggestions to resolve a weakness or to
propagate a strength. When requested, recommendations are often included in
final findings; however, the sponsor may request a separate recommendations
report that elaborates on the recommendations.
Additionally, the characteristics of the appraised organization and the

constraints that shape its improvement program should be carefully considered
when generating a process improvement action plan that defines the tasks
necessary to address weaknesses.
Activity The appraisal sponsor formally approves the initial appraisal plan, and this set
Description of information is placed under change management.

Practices
 (ABC) record required information in the initial appraisal plan
 (ABC) obtain sponsor approval of the initial appraisal plan
 (ABC) manage changes to the initial appraisal plan, obtaining sponsor
approval of changes
Parameters (ABC) The appraisal plan is often generated incrementally throughout the Plan
and Limits and Prepare for Appraisal phase, and must be approved prior to the start of the
Conduct Appraisal phase. The initial appraisal plan addresses the requirements
of the appraisal, and guides future appraisal planning. At a minimum, the
initial appraisal plan provides the information needed to address the following:
 (ABC) the identity of the appraisal sponsor and the relationship of the
sponsor to the organizational unit being appraised
 (ABC) the appraisal purpose, including alignment with business
objectives (see Activity 1.1.1, Determine Appraisal Objectives)
 (ABC) the organizational unit being appraised
 (ABC) the appraisal scope (see Activity 1.1.4, Determine Appraisal
Scope)
 (ABC) the organizational scope of the appraisal
 (ABC) the reference model scope
 (A) sampling factors affecting the appraisal
 (ABC) the process context, which includes, at a minimum
 (ABC) organizational unit size and demographics
 (ABC) application domain, size, criticality, and complexity
 (ABC) high-priority characteristics (e.g. time to market, feature rich-
ness and reliability) of the products and services of the organizational
unit
 (ABC) the data collection strategy (see Activity 1.1.2, Determine Data
Collection Strategy) which include
 (ABC) the data collection approach (discovery, managed discov-
ery, and/or verification
 (ABC) the data collection timing (e.g. preparation phase or con-
duct phase)
 (ABC) the data collection techniques (e.g. demonstrations,
presentations, interviews and questionnaires)
 (ABC) responsibility for data collection
Parameters  (ABC) the appraisal constraints (see Activity 1.1.3, Determine Appraisal
and Limits Constraints) which include, at a minimum, the following:
(continued)
 (ABC) availability of key resources (e.g., staffing, funding, tools, and
facilities)
 (ABC) schedule constraints
 (A) the maximum amount of time to be used for the appraisal (The
maximum time to perform the Conduct Appraisal phase is 90 days.)
 (ABC) specific process areas or organizational entities to be excluded
from the appraisal
 (ABC) the maximum, minimum, or specific sample size or coverage
desired for the appraisal if such constraints are communicated by the
sponsor
 (ABC) ownership of appraisal results and any restrictions on their use
 (ABC) controls on information resulting from a confidentiality
agreement
 (ABC) non-attribution of appraisal outputs to individuals
 (ABC) the identity of the appraisal reference models used (version,
addition, and representation)
 (A) any process area designated as “not applicable” and the rationale for
its exclusion (note that “not applicable” areas may preclude ratings, for
some reference models
 (A) the rationale for selecting the sample basic units and support functions
as representative of the organizational unit
 (A) basic units, categories, or groups or functions that are specifically
excluded from the appraisal as well as the justification for their exclusion
 (ABC) the identity and affiliation of the SCAMPI lead appraiser who is to
be the appraisal team leader for the appraisal
 (ABC) the identity and affiliation of the appraisal team members and their
specific appraisal responsibilities
 (ABC) the identity (i.e., name and organizational affiliation) of appraisal
participants and support staff, and their specific responsibilities for the
appraisal
 (ABC) any additional information to be collected during the appraisal to
support the achievement of the appraisal objectives
 (ABC) a description of the planned appraisal outputs (see Activity 1.1.5,
Determine Appraisal Outputs)
 (A) ratings to be generated
 (ABC) any anticipated follow-on activities (e.g., reports, appraisal action
plans)
Parameters  (ABC) planned tailoring and associated tradeoffs

and Limits  (A) appraisal usage mode (i.e., Internal Process Improvement, Supplier
(continued)
Selection, or Process Monitoring)
Implementation An appraisal team leader’s ability to build and maintain commitment from the
Guidance sponsor and the members of the sponsoring organization is a major factor
contributing to the success of the appraisal. The process of understanding the
requirements and constraints should yield a series of agreements that form an
input to the appraisal plan. Based on the judgment of the appraisal team leader,
these agreements may be covered in a formal (signed) document that forms a
basis for future activities. More typically, the appraisal team leader maintains a
record of interactions with the sponsor, which are incorporated into the
appraisal plan as it is drafted.
The appraisal team leader and the sponsor should have verbal agreement on
the items discussed above, and these items should be documented in some
way. The formality of the documentation may range from simple meeting
minutes maintained by the appraisal team leader, to a more formal
memorandum of understanding or other vehicle that documents agreements
and provides traceability. It is expected that the appraisal plan will be used to
document important issues pertaining to requirements.
For SCAMPI A, discuss the option of performing an action plan reappraisal

with the sponsor. If the benchmark appraisal results in one or more goals rated
“unsatisfied” or “not rated,” the organization has the option of addressing the
goal-impacting weaknesses in an action plan and subsequent action plan
reappraisal. The action plan reappraisal enables organizations to accept some
ratings risk (i.e., since an unfavorable rating is potentially recoverable with an
action plan reappraisal) and can minimize the non-value added costly
iterations of perfecting objective evidence and performing a series of
intermediate appraisals prior to conducting the benchmark appraisal.
1.2 Develop Appraisal Plan
Purpose Document the results of appraisal planning including the requirements,
agreements, estimates, risks, method tailoring, and practical considerations
(e.g., schedules, logistics, and contextual information about the organization)
associated with the appraisal. Obtain and record the sponsor’s approval of the
appraisal plan.
Entry Criteria The appraisal sponsor and appraisal team leader have agreed to proceed with
appraisal planning based on a common understanding of the key parameters
that drive the planning process.
Inputs Documented agreements, reflected in the appraisal plan, that support a

common understanding of appraisal objectives and key appraisal-planning
parameters
Activities 1.2.1 Tailor Method

1.2.2 Identify Needed Resources
1.2.3 Develop Data Collection Plan
1.2.4 Determine Cost and Schedule
1.2.5 Plan and Manage Logistics
1.2.6 Document and Manage Risks
1.2.7 Obtain Commitment to Appraisal Plan
Outputs Approved appraisal plan
Outcome The sponsor and appraisal team leader agree on technical and non-technical
details for the planned appraisal. The plan is refined in conjunction with
performing the other Planning and Preparation phase activities. This
agreement is documented and reviewed by affected stakeholders as
appropriate.
Exit Criteria The final appraisal plan is reviewed and approved.
Key Points Skilled appraisal team leaders will effectively develop and use outputs from
the other Planning and Preparation phase activities to achieve clarity of the
shared vision necessary to make the tradeoffs and decisions resulting in a final
plan. This activity is an important opportunity for the appraisal team leader to
demonstrate process discipline, as well as the type of careful planning
described in the reference models. Experienced appraisal team leaders will
leverage data, templates, and assets (developed through their own experience)
Key Points to improve the completeness and effectiveness of the appraisal plan,
(continued) recognizing the return on investment that will be obtained through smooth and
efficient appraisals.
Tools and Tools include an appraisal plan template, samples, and embedded procedural
Techniques guidance in planning templates. Estimation worksheets and methods for
assessing the impact of appraisal constraints are also quite useful.
Metrics  Calendar time spanned by the activity

 Effort consumed in carrying out the activities of this process
 Level and frequency of changes to the appraisal plan
Verification and  Comparison of actual effort for this activity with historical data
Validation accumulated by the appraisal team leader
 Review of the appraisal plan by affected stakeholders
 Sponsor’s approval of the plan
Records  Estimation worksheets (if used)

 Appraisal plan (see Activity 1.2.7, Obtain Commitment to Appraisal Plan,
for a detailed list of plan contents)
Interfaces The appraisal plan will guide and define the execution of the appraisal such
with Other that it is in concert with the business needs and constraints. An initial plan can
Processes
be generated immediately following consultation with the sponsor. Further
refinement is done as detailed planning occurs and new information comes to
light in executing appraisal planning and preparation. A final appraisal plan
must be completed prior to the completion of process 1.5, Prepare for
Appraisal Conduct. Typically, resources, method tailoring, model-related
decisions, and a planned list of outputs are finalized early on, while cost,
schedule, and logistics are finalized later in the Plan and Prepare for Appraisal
phase.
While it may not be necessary to formally separate the requirements analysis

activities from the activities described in this section, prior understanding of
the appraisal requirements is a necessary input to this process. The plan for the
appraisal provides an important vehicle for the following:
 Documenting agreements and assumptions

 Establishing and maintaining sponsorship
 Tracking and reporting the performance of the appraisal process
 Reinforcing commitments at key points in the appraisal process
Interfaces The initial version of the appraisal plan is intended to capture key appraisal
with Other requirements and strategic objectives, which require high sponsor visibility
Processes
and change control approval. Later versions of the appraisal plan add the
(continued)
tactical planning details necessary to implement and satisfy these objectives.
Summary of This process is composed of the activities summarized here and described
Activities below. The scope of the appraisal is defined in terms of (a) the portion of the
appraisal reference model that will be investigated and (b) the bounds of the
OU for which the results can be considered valid (e.g., a basic unit, a product
line, a work group, an operating division, a business unit, or an entire global
enterprise). Method-tailoring choices are made to most effectively achieve
appraisal objectives within defined constraints of time, effort, and cost. The
resources required to carry out the appraisal are identified. The cost and
schedule are negotiated and recorded. The details of logistics, particularly for
the Conduct Appraisal phase, are documented. Risks and risk-mitigation plans
are identified and documented. Completion of these activities results in a well-
defined, achievable appraisal plan.
1.2.1 Tailor Method
Activity Tailoring of SCAMPI includes

Description
 Selection of choices (if any) within the required practices
 Setting parameters that are allowed to vary within the parameters and limits
Because SCAMPI is designed to apply to a wide range of appraisal

applications, the tailoring activity is one that deserves careful and thoughtful
attention.
The SCAMPI MDD is designed to clearly indicate which aspects of the method
are required and which are tailorable.
In addition, the appraisal usage mode will determine some tailoring choices.
Required The appraisal team leader or designee shall do the following:

Practices
 (ABC) review and select tailoring options within each activity
 (ABC) ensure that the tailoring decisions are self-consistent and that they
are appropriate in light of the appraisal objectives and constraints
 (ABC) document the tailoring decisions made in the appraisal plan
Parameters (ABC) the structure of the MDD clarifies which SCAMPI features are required.
and Limits Required Practices sections identify any optional activities. Parameters and
Limits sections define the allowable variation within these method
requirements. Implementation guidance is provided to assist with tuning the
method to fit sponsor objectives and appraisal constraints.
Implementation This appraisal method offers a wide variety of choices that allow the appraisal
Guidance team leader and sponsor to select appraisal features that best address appraisal
and business objectives. Refer to appendix H, SCAMPI Tailoring Checklist for
additional guidance on tailoring. While tailoring decisions are documented in
the Appraisal Plan, the use of the Tailoring Checklist is optional.
Method tailoring is directly related to the organizational scope and appraisal

reference model scope decisions. Most of the allowable tailoring options flow
logically from these decisions when taken in context of the appraisal objectives
and constraints. Tailoring decisions typically affect the appraisal risk. Typical
tailoring choices that significantly impact appraisal planning include the
following:
1.2.1 Tailor Method
Implementation  Assigning mini-teams by basic unit or by process area grouping

Guidance  Data collection approaches to be used (discovery, managed discovery
(continued)
and/or verification) and the associated supporting work aids and tools (e.g.,
use of video conference, teleconference, or other similar technology to
conduct interviews, conducting parallel interview sessions with a minimum
of two team members, and use of a database of objective evidence mapped
to model practices)
 Verification approaches to be used, including supporting work aids and
tools (e.g., mini-team verification of practices at the instantiation level)
 Validation approaches to be used including supporting work aids and tools
(e.g., use of instrument or targeted focus group for validation of
preliminary findings)
 Selection of optional SCAMPI outputs (e.g., preliminary findings focused
on basic units, division, or disciplines, and the goal ratings, capability level
ratings, and maturity level ratings)
 Documenting non-model findings
 Optional activities (e.g., conduct executive session, plan for next steps, or
collect lessons learned)
 Optional action plan reappraisal in the event of not achieving targeted
ratings
Experienced appraisal team leaders will provide a well-defined approach to

ensure that the appraisal objectives are achieved in an efficient and effective
manner. Experienced sponsors will require a well-defined approach to ensure
an acceptable level of risk in meeting objectives within the constraints. The
appraisal plan documents the method-tailoring decisions and their rationale,
and the associated method variations and techniques that will be employed.
Activity This activity is concerned with the identification and estimation of resources
Description needed to carry out the appraisal. Resources include personnel, facilities, tools,
and access to information.

Practices
 (ABC) identify appraisal team members needed
 (ABC) identify appraisal participants
 (ABC) identify equipment and facilities
 (ABC) identify other appraisal resources needed
 (ABC) document resource decisions in the appraisal plan
Parameters (ABC) The level of detail in the identification of needed resources must be
and Limits sufficient to support the creation of the appraisal plan. At a minimum, the
appraisal team leader must identify the following:
 (ABC) the names of people who are candidates for affirmations

 (ABC) the names of support personnel (if any)
 (ABC) the organizational or basic unit affiliation of these people
 (ABC) the location, seating capacity, and configuration of rooms to be
used by the team
 (ABC) specific equipment needed (e.g., overhead projector, laptop
projector, or video-conferencing)
Implementation Appraisal resources are typically defined early in the appraisal-planning

Guidance process. Identifying resources goes hand in hand with estimating appraisal cost
and schedule (see Activity 1.2.4, Determine Cost and Schedule), and these
resources may be iteratively refined. Tradeoffs are routinely made in light of
the appraisal objectives and constraints.
The appraisal sponsor or senior site manager may identify candidate appraisal
team members and appraisal participants. Review of the organizational unit
structure or other site-specific information can also be useful for this
identification. Initially, participants can be specified in terms of roles or
responsibilities, with specific names to be determined later. Process 1.3, Select
and Prepare Team, contains additional guidance on selecting appraisal team
members.
Equipment and facilities are often negotiated with the organizational unit where
the appraisal activities will be performed, but sometimes these equipment and
facilities must be acquired. A room for dedicated use by the appraisal team is
usually necessary for private discussions and to protect the confidentiality of
appraisal data. Ideally, this room is separate from the other rooms where
interview sessions are held.
The availability of computing resources, such as computers, printers, and

networks, is a key consideration that should be planned and understood. Access
to special tools or applications may also be needed.
For SCAMPI A, if targeted maturity and/or capability levels are not achieved,
optional action plan reappraisal activities will require additional resources,
including reassembling the appraisal team or the use of virtual methods to
conduct appraisal activities.
Activity The data collection plan is based on the data collection strategy defined in
Description Activity 1.1.2, Determine Data Collection Strategy. It is considered a part of the
overall appraisal plan and is part of the record submitted at the end of the
appraisal. It is typically documented as section of the appraisal plan. However, it
can also be documented as an appendix to the appraisal plan or as a standalone
document. This plan information is higher level information that helps document
and communicate the overall approach to data collection for the appraisal.
The data collection activities are tailored to meet the needs for objective evidence
so that the extent of practice or model component implementation can be
determined.
For practices or model components that have objective evidence, a strategy for
verifying that evidence will be formulated.
For practices or model components that lack objective evidence, a strategy for
discovering that evidence will be formulated.
Detailed information on data collection can be recorded in work aids that manage
appraisal data and in the appraisal schedule. A record of “information needed”
items is the most detailed, while artifact lists, interview schedules, and the
assignment of process area mini-teams help to shape the strategy for obtaining the
needed data. The documented data collection plan will explicitly state where this
detailed information will be recorded. The data collection plan will evolve and be
revised as the appraisal is planned and performed. Analysis of the data collection
plan can be used to identify important risks to the appraisal which will be
documented in the risk section of the appraisal plan.
Required (ABC) The appraisal team leader or designee shall document the data collection
Practices plan.
Parameters (ABC) The data collection plan must specify contingencies to manage the risk of
and Limits having insufficient data.
(AB) For every instantiation of every model practice, the data collection plan
must specify how, when, and by whom the objective evidence will be verified.
(AB) For instantiations of model practices that have not been addressed in the
initial objective evidence, the data collection plan must specify how the team
intends to discover the presence or absence of objective evidence that
characterizes the extent of implementation for that practice.
(C) When considering the set of basic units or support functions for each model
component, the data collection plan must specify how, when, and by whom the
Parameters objective evidence will be verified. For model components that have not been
and Limits addressed in the initial objective evidence, the data collection plan must specify
(continued)
how the team intends to discover the presence or absence of objective evidence.
(ABC) The data collection plan is considered part of the appraisal plan and is
often documented in a variety of artifacts, which may be completed at different
phases of appraisal planning. The data collection plan includes the following:
 (ABC) documentation of the data collection strategy (see Activity 1.1.2,

Determine Data Collection Strategy)
 (ABC) identification of participants to be involved in affirmation activities
 (ABC) assignment of process areas or model components to team members
 (ABC) the schedule and success criteria for readiness reviews
 (ABC) the approach for using prior appraisals (e.g., Class C and Class B
appraisals) for data collection and/or readiness reviews (if they are used for
this purpose)
 (ABC) a summary of initial objective evidence provided by the organization
 (ABC) identification of highest priority data needs
 (ABC) a schedule of affirmation-gathering events, revised over time to
include more detail
 (ABC) identification of artifacts still needed after the performance of
readiness reviews (if any)
 (ABC) risks associated with the sufficiency of the data and the adequacy of
the schedule
Implementation Types of objective evidence include artifacts and affirmations (see process 2.2
Guidance Examine Objective Evidence). A combination of these evidence types is required
for corroboration (see activity 1.1.4 Determine Appraisal Scope). The data
collection status is continually monitored during appraisal activities (see process
2.3 Document Objective Evidence) to ensure that sufficient data coverage is
obtained. These key considerations should be understood and accounted for in
the generation of the data collection plan.
Multiple types of interviews can be used to obtain affirmations (see Activity

2.2.2 Examine Objective Evidence from Affirmations):
 Standard structured interviews scheduled in advance that use scripted

questions
 On-call interviews, scheduled in advance for calendar purposes, but held

only if it is determined they are necessary
 Office hours interviews in which interviewees are notified that they may
need to be available as a contingency during scheduled period
Implementation The data collection plan should specify sources of data, tools, and techniques to
Guidance be used.
(continued)
A robust data collection plan will plan for interviews of all three types. Start
with a full set of scheduled interviews and gradually add, eliminate, or modify
events as the inventory of initial objective evidence indicates the need.
The data collection plan should clearly specify whether any virtual methods
(e.g., video conferences, teleconferences, and other similar technology) will be
used and how they will be used. It is the responsibility of the appraisal team
leader to ensure that virtual methods do not compromise the integrity or
accuracy of appraisal activities or appraisal results.
Planning for evidence reviews should include artifacts as described in Activity

2.2.1, Examine Objective Evidence from Artifacts.
Ultimately, the appraisal team must have data on each practice or model
component in the reference model within the appraisal scope for each
organizational element within the appraisal scope. For process areas addressing
practices implemented at the basic unit level (e.g., Project Planning [DEV: PP]),
this requirement means that data will be collected for each practice from each
basic unit selected to provide data for that process area. For process areas
addressing practices implemented at the organization level (e.g., Organizational
Training), only one instantiation of each practice may be needed, depending on
the way the organization chooses to implement such practices.
The results of the analysis of initial objective evidence are used to determine
which practices or model components are not already covered with objective
evidence. Practices or model components for which no initial objective
evidence has been provided should be identified as high-risk areas for the team
to address immediately. The schedule for data collection may need to change
dramatically if the team is unable to find relevant data for these areas in short
order. In the case of practices or model components for which data are available
in the initial objective evidence, the team members assigned to the process areas
plan the strategy for verifying the implementation of each of the practices or
model components through review of the named artifacts, affirmations from the
people who fill the named roles, or other data collection events. Artifacts used
to manage data collection events are populated with the current understanding
of the planned data collection events, as follows:
 The schedule for interviews is finalized, so participants can be informed of

the expectations for their participation as interviewees.
 The list of documents on hand (e.g., accessible electronically) is finalized
so that the team members know what is and is not available for document
review.
Implementation  A preliminary allocation of practices or model components to be covered

Guidance in each of the scheduled interviews is documented.
(continued)
A list of needed documents (not yet available to the team) can be generated,
if necessary.
Activity A top-level cost breakdown and schedule are developed and included in the
Description plan.
Required (ABC) The appraisal team leader or designee shall

Practices
 (ABC) estimate the duration of key events as a basis for deriving a
comprehensive schedule
 (ABC) estimate the effort required for the people participating in the
appraisal
 (ABC) estimate the costs associated with using facilities and equipment as
appropriate
 (ABC) estimate the costs for incidentals (e.g., travel, lodging, and meals) as
appropriate
 (ABC) document a detailed schedule in the appraisal plan
 (ABC) document detailed cost estimates in the appraisal plan
Parameters (ABC) Scheduling for each day of the appraisal is required.

and Limits
Implementation Cost and schedule may be developed from the “top down” based on sponsor
Guidance objectives and constraints, from the bottom up based on results of other
planning and preparation processes and activities, or more generally, using a
combination of the two approaches. Scheduling the events and activities of the
appraisal is an ongoing logistical task that requires the coordination of many
different groups of individuals. Determining and communicating a schedule for
the appraisal, and maintaining ongoing visibility as the details take form, is the
primary responsibility of the appraisal team leader. The appraisal coordinator is
expected to provide support in this task, and the appraisal team leader typically
selects the person who plays that role with this duty in mind.
The needs of the sponsor for appraisal outputs of a specified quality fulfilling a
specified purpose, balanced against the resources available to conduct the
appraisal, will determine the schedule constraints. Schedule and cost must be
considered for the entire span of the appraisal activities. Effort estimates should
be developed not only for the appraisal team, but also for the expected
participants within the OU (e.g., interviewees, respondents to instruments
administered, attendees at briefings, and support staff).
Organizational costs for preparing and supporting appraisals can be reduced by
gathering and maintaining objective evidence for each instantiation. In addition
to providing an effective mechanism for monitoring the process implementation
and improvement progress of the OU, this approach enables the ready
availability and reuse of objective evidence for subsequent appraisals.
Implementation While the schedule for the appraisal is shared with a fairly wide audience, the
Guidance cost of the appraisal (or basic units within the appraisal) is often kept from
(continued) wide view, due to the potentially sensitive nature of this information.
1.2.5 Plan and Manage Logistics
Activity The logistical details of the appraisal are negotiated and documented. The
Description appraisal team leader, supported by the appraisal coordinator, manages planning
tasks that document and communicate logistical arrangements. Checklists and
action item tracking mechanisms are important structures used to manage these
tasks.

Practices
 (ABC) document logistical schedules and dependencies
 (ABC) maintain communication channels for providing status
 (ABC) assign responsibilities for tracking logistical issues
Parameters None
and Limits
Implementation Effective planning depends on anticipating a variety of logistical issues that

Guidance may occur during the appraisal. The time-critical nature of appraisal activities
makes it difficult to manage last-minute changes in important details such as
the following:
 Identifying hotels for people traveling to the appraisal
 Providing transportation and/or lodging for team members or the remote
members of the organizational unit
 Providing workstation support
 Ordering meals
 Interacting with facilities staff on site
 Meeting security or classification requirements
 Providing badges or arranging for escorts in limited-access facilities
 Providing access to rooms, equipment, and supplies needed for
administrative tasks
 Providing use of virtual methods (e.g., video conferences, teleconferences,
and other similar technology) to conduct appraisal activities
 Providing communication channels and back-up staff to support the team
on site
If virtual methods such as video conferences, teleconferences, and other
similar technology are to be used to perform appraisal activities, these methods
should be clearly defined in the Appraisal Plan. Furthermore, it is the
responsibility of the appraisal team leader to ensure that the use of virtual
methods in no way compromises the integrity or accuracy of the appraisal
activities or the appraisal results. Virtual methods should allow for adequate
interaction between the appraisal team members and the appraisal participants
and should provide mechanisms for the appraisal team to control the
interactions.

Activity As with any activity containing dependencies among events, people, and other
Description resources, risk management is an important ingredient to success. The appraisal
team leader is responsible for documenting and communicating risks and
associated mitigation plans to the sponsor and appraisal team members.

Practices
 (ABC) identify appraisal risks
 (ABC) develop mitigation plans for key appraisal risks and implement these
plans as necessary
 (ABC) keep the appraisal sponsor and other stakeholders informed of the
appraisal risk status
The risks and mitigation plans identified through conducting this activity are
required elements of the appraisal plan (see Parameters and Limits for activity
1.2.7, Obtain Commitment to Appraisal Plan). If an identified risk occurs during
appraisal execution then this should also be documented in the plan.
The appraisal team leader is responsible for keeping the appraisal sponsor
informed of risk management activities so that, if needed, timely sponsor
intervention is possible to ensure the achievement of appraisal objectives.
Parameters (ABC) When evaluating risks to an appraisal the following potential risk areas
and Limits must be considered:
 (ABC) personnel
 (ABC) logistics
 (ABC) technical
 (ABC) facilities
 (ABC) schedule
 (ABC) cost
Implementation Risk management is the systematic process of planning for, identifying,

Guidance analyzing, responding to, and monitoring risks. It involves processes, tools, and
techniques that help the appraisal team leader to maximize the probability and
results of positive events and minimize the probability and consequences of
adverse events as indicated and appropriate within the context of risk to the
overall appraisal objectives. Risk management is most effective when performed
early in the appraisal planning process and is a continuing responsibility of the
appraisal team leader throughout the appraisal.
Implementation Most appraisal team leaders include a section titled “Risk Management” in the
Guidance appraisal plan. The level of effort devoted to risk-management activities is
(continued)
something the appraisal team leader must adjust to fit the situation.
1.2.7 Obtain Commitment to Appraisal Plan
Activity Formal sponsor commitment to the appraisal plan is obtained. The appraisal
Description plan constitutes a contract between the appraisal sponsor and the appraisal team
leader, so it is vital that this agreement be formal.

Practices
 (ABC) document the appraisal plan
 (ABC) review the appraisal plan with the sponsor and secure the sponsor’s
approval
 (ABC) provide the appraisal plan to relevant stakeholders for review
Parameters Required contents of the appraisal plan include the following, at a minimum:
and Limits
 (ABC) the initial appraisal plan (see Activity 1.1.6, Obtain Commitment to
Initial Appraisal Plan)
 (ABC) the activities to be performed in conducting the appraisal
 (ABC) resources needed for conducting the appraisal (see Activity 1.2.2,
Identify Needed Resources)
 (ABC) a data collection plan (see Activity 1.2.3, Develop Data Collection
Plan)
 (ABC) cost and schedule estimates for performing the appraisal (see
Activity 1.2.4, Determine Cost and Schedule)
 (ABC) appraisal logistics (see Activity 1.2.5, Plan and Manage Logistics)
 (ABC) risks and mitigation plans associated with appraisal execution (see
Activity 1.2.6, Document and Manage Risks)
(ABC) A signature block must be used for the appraisal team leader and the
sponsor to indicate, in writing, their commitment to the plan. If minor updates
are made to the plan, signatures do not have to be obtained again. If changes
affect the scope (model or organizational) of the appraisal, then the plan must
be re-baselined.
(ABC) At a minimum, the appraisal team members are considered relevant

stakeholders and must receive a copy of the approved appraisal plan prior to the
Conduct Appraisal phase.
(ABC) Appraisal team leads must register the appraisal with SCAMPI
Appraisal System (SAS) at least 30 days before the Conduct Appraisal phase.
(ABC) Appraisal team members and sponsors must register with SAS.
1.3 Select and Prepare Team
Purpose Ensure that an experienced, objective, trained, and appropriately qualified team is
available and prepared to execute the appraisal process.
Entry Criteria  Appraisal requirements have been documented (at least in draft form).
 Appraisal constraints are understood and documented (at least in draft form).
 The appraisal plan is defined (at least in draft form).
Inputs  Appraisal requirements and constraints (in draft or final form)

 Appraisal plan (in draft form)
 Team training materials
Activities 1.3.1 Identify Appraisal Team Leader

1.3.2 Select Team Members
1.3.3 Document and Manage Conflicts of Interest
1.3.4 Prepare Team
Outputs  Training records

 Appraisal team member assignments and qualifications
 Identified and documented conflicts of interest
 A prepared appraisal team that has completed the following:
 Appraisal method training
 Appraisal reference model training
 Team building activities
 Team orientation regarding appraisal
Outcome The successful completion of this process results in an experienced, objective,

qualified, and trained team ready to execute the appraisal. The appraisal team
members have acquired the necessary knowledge to play their roles, or their
previous knowledge is confirmed to be satisfactory. The appraisal team leader
has provided opportunities to practice the skills needed for each person to play
his/her role, or has confirmed that these skills have already been demonstrated in
the past. The team members have been introduced to one another, and have
begun to plan how they will work together.
Exit Criteria  The prepared team is committed to the appraisal.

 Training has been provided and its results recorded.
 Conflicts of interest have been mitigated.
 Remediation of knowledge and skill shortfalls has been completed (if
needed).
Key Points Whether the appraisal team leader trains an intact team or forms a team from a
corps of experienced team members, the responsibility to ensure that the team is
ready to succeed rests with the appraisal team leader.
Tools and Training course material is available from the CMMI Institute for training teams.
Techniques This training should be tailored or supplemented by the appraisal team leader
based on the appraisal context or degree of team member experience. Case
studies and exercises are recommended to reinforce the situations team members
are likely to encounter during the appraisal.
Other ways of accomplishing this activity may draw on one or more of the
following:
 Providing supplementary training to previously experienced team members

so that the operational details of the approach used will be familiar
 Training a cadre of team members and keeping their knowledge and skills
up-to-date as part of an overall program of appraisals
Metrics  Summary of team member qualifications

 Effort and calendar time expended to accomplish training
 Trainee ratings of instructional materials and approach (if applicable)
 Achievement of milestones for remedial activities (if applicable)
Verification  Sponsor and appraisal team leader approval of identification and mitigation
and Validation of conflicts of interest, team membership, and preparation
 Results of exams used to demonstrate training effectiveness (if used)
 Feedback from team members on their readiness to perform their role(s)
Records  Team member contact information

 Training records (if applicable)
 Feedback provided by trainees (if applicable)
 Team qualification summary (recorded in appraisal plan)
Interfaces This process includes selecting appraisal team members, identifying and
with Other mitigating conflicts of interest, and preparing the appraisal team. It may occur
Processes
after obtaining sponsor commitment to the initial appraisal plan. The appraisal
plan should be available, at least in draft form, as a necessary input (see Activity
1.2.7, Obtain Commitment to Appraisal Plan for contents). Selected appraisal
team members may provide input into further definition of the appraisal
Interfaces planning. Appraisal team training may provide an initial means to obtain a
with Other preliminary understanding of the appraised organization’s operations and
Processes
processes. If available, the organizational unit’s database of objective evidence
(continued)
mapped to model practices is a useful resource for orienting the appraisal team
on organizational characteristics, such as the application domain, the
organizational structure, the process improvement structure, and approaches for
appraisal reference model implementation.
Summary of The appraisal team is a cohesive unit of objective, trained and capable
Activities professionals, each of whom must meet stringent qualifications. An appraisal
team leader is selected to plan and manage the performance of the appraisal,
delegate appraisal tasks to team members, and ensure adherence to SCAMPI A
requirements. Appraisal team members are selected based on defined criteria
for experience, objectivity, knowledge, and skills to ensure an efficient team
capable of satisfying the appraisal objectives. Training is provided to ensure
proficiency in the appraisal reference model and appraisal method.
1.3.1 Identify Appraisal Team Leader
Activity The appraisal sponsor selects an appraisal team leader who has the appropriate
Description experience, knowledge, and skills to take responsibility for and lead the
appraisal. By definition, an appraisal team leader is a SCAMPI lead appraiser,
certified by the CMMI Institute Appraisal Program, and is a member of that
program in good standing. The CMMI Institute Appraisal Program is
described on the CMMI Institute web site http://cmmiinstitute.com/cmmi-
solutions/cmmi-appraisals/. The appraisal team leader ensures that the
appraisal is conducted in accordance with applicable SCAMPI A, B, or C
requirements, with tailoring to meet appraisal objectives and constraints within
allowable bounds defined by the method.
Required The sponsor or designee shall do the following:

Practices
 (ABC) select a certified SCAMPI A, B, or C lead appraiser as applicable,
to serve as the appraisal team leader
 (ABC) verify the qualifications of the appraisal team leader (experience,
knowledge, and skills)
Parameters and (ABC) The appraisal team leader must be a CMMI Institute -certified
Limits SCAMPI lead appraiser in good standing (or a candidate SCAMPI lead
appraiser or People CMM appraiser being observed by a qualified observing
lead appraiser). This certification can be verified on the web or by contacting
the CMMI Institute directly.
(A) If the SCAMPI to be performed includes the rating of high maturity

process areas, the appraisal team leader must be a CMMI Institute-certified
SCAMPI high-maturity lead appraiser in good standing. This certification can
be verified on the web, or by contacting the CMMI Institute directly.
(A) The appraisal team leader must be external to the organizational unit being
appraised.
(ABC) There can be only one official appraisal team leader on any given
appraisal. The appraisal team leader has sole discretion to delegate important
tasks to appraisal team members, but cannot delegate leadership responsibility
or ultimate responsibility for the successful completion of the appraisal. The
inclusion of multiple SCAMPI lead appraisers on a team for a given appraisal
can be a strong asset for the leader of that team. However, the single
designated appraisal team leader must perform the leadership role and manage
the appraisal process.
1.3.1 Identify Appraisal Team Leader
Implementation SCAMPI lead appraisers, by definition, will have participated on a minimum of

Guidance three appraisals (two as an appraisal team member and one as an appraisal team
leader). These requirements are outlined in the CMMI Institute lead appraiser
program. An additional consideration impacting team experience requirements,
however, is the appraisal usage mode for appraisal. Additional experience may
be necessary if the appraisal is for supplier selection and/or process monitoring,
or if it will focus on other disciplines or environments. Similarly, if the
appraisal will be used in a high maturity organization (maturity levels 4-5),
additional team qualifications are needed as listed in Activity 1.3.2, Select
Team Members.
Appraisal team leader responsibilities are defined and described throughout the
SCAMPI MDD, but a summary overview of these responsibilities includes the
following:
 Confirm the sponsor’s commitment to proceed with the appraisal.

 Ensure that appraisal participants are briefed on the purpose, scope, and
approach of the appraisal.
 Ensure that all appraisal team members have the appropriate experience,
knowledge, and skills in the appraisal reference model and in SCAMPI.
 Ensure that the appraisal is conducted in accordance with the documented
SCAMPI method.
 Verify and document that the appraisal method requirements have been
met.
The appraisal team leader may be selected at any time in the appraisal planning
phase; preferably, the appraisal team leader is selected upon initiation of
appraisal activities so that he or she may participate in analyzing the
requirements with the appraisal sponsor. In any event, the appraisal team leader
is identified in time to (a) review and approve the appraisal plan with the
appraisal sponsor prior to beginning the Conduct Appraisal phase of the
appraisal, and (b) ensure adequate planning and the preparation of appraisal
team members.
Activity This activity involves identifying available personnel, assessing their

Description qualifications, and selecting them to become appraisal team members. It may
occur after obtaining the sponsor’s commitment to conduct the appraisal and may
provide input to appraisal planning.
Due to the nature of benchmark appraisals (SCAMPI A), appraisal team member
qualifications are more stringent.
Required The appraisal team leader shall do the following:

Practices
 (AB) select individual team members that meet the minimum criteria for
individual team members
 (AB) select individual team members that collectively meet the minimum
criteria for the team as a whole
 (ABC) document the qualifications and responsibilities of team members in
the appraisal plan.
Parameters (A) The minimum acceptable team size is four people (including the appraisal
and Limits
team leader).
(B) The minimum acceptable team size is two people (including the appraisal
team leader).
(C) The minimum acceptable team size is one (including the appraisal team
leader).
(ABC) Each appraisal team member must have previously completed a CMMI
Institute-licensed offering of the most recent version of the designated
introductory course or upgrade training relating to each and every reference
model (e.g., CMMI constellation, or People CMM) that is included in the scope
of the appraisal.
(A) The team (as a group) must have a total of at least 10 years of management
experience, and at least one team member must have at least 6 years of
experience as a manager, excluding the appraisal team leader.
(A) The team overall must have field experience relating to the content of the
reference model (e.g., development of products and services for CMMI for
Development (CMMI-DEV), delivery of services for CMMI for Services
(CMMI-SVC), acquisition for CMMI for Acquisitions (CMMI-ACQ), human
resources for P-CMM). For each reference model (e.g., constellation) in the
scope of the appraisal, the team must have the following:
 (A) Individual team members, each of whom have at least 2 years of

experience performing the type of work addressed in each appraisal
Parameters reference model included.

and Limits  (A) Each team member has field experience with each included model.
(continued)
 (A) The appraisal team leader, at their discretion, may accept one team
member with no field experience; however, this must be documented along
with the rationale for this exception in the appraisal plan.
 (A) An average of at least 6 years of field experience excluding the
experience of the appraisal team leader, relating to the content of each of the
reference models. This ensures that team members with relatively limited
experience are balanced by others who have a greater level of experience.
 (A) An aggregate of 25 years of field experience relating to the content of
each of the reference models excluding the experience of the appraisal team
leader. This ensures that the team as a whole has a substantial experience
base to support their judgments.
 (A) The appraisal team, as a whole, must have members with experience
performing practices from all of the process areas included in the appraisal
scope. The appraisal team shall not be comprised entirely of staff who wrote
the processes being appraised. If one or more process authors are included on
the team, the risk management section of the appraisal plan must address
how potential conflicts of interest will be managed.
(B) In selecting team members, the following criteria must be met:
Experience Category Individuals Team

Field Experience At least 5 years At least 10 years
on average total
At least one with At least 5 years
Management
5 years total
The team must include experienced
Each life-cycle phase used
practitioners for at least the majority
by the OU
of lifecycle phases in use.
(AB) The appraisal team leader is required to evaluate and validate the team
members experience by either a review of the team members resume or interview
each team member to determine their level of expertise.
(AB) The selected appraisal team members and their organizational affiliation
and qualifications (individually and in aggregate) must be documented in the
appraisal plan. The team leader must identify the range of roles, functions, or
activities performed in the work done within the organizational unit (e.g.,
lifecycle stages for CMMI-DEV).
(ABC) The sponsor of the appraisal shall not be an appraisal team member. A
senior manager who has supervisory authority over the entire organizational unit
Parameters shall not be an appraisal team member.

and Limits
(continued) (A) Additional requirements specific to high maturity appraisals:
 (A) Ensure that all members of the high maturity mini-team have high
maturity experience.
 (A) A high maturity lead appraiser or appraisal team member with statistical
analysis and other high maturity-related training and experience shall be
assigned to all mini-teams focused on high maturity process areas.
 (A) The team as a whole must have collective experience implementing high
maturity activities such as establishing, evaluating, using, or analyzing
process performance baselines and process performance models.
(ABC) The appraisal team leader is the final authority on acceptance of appraisal
team members and is responsible for ensuring that their qualifications are
suitable for the appraisal purpose.
Implementation Although not required in the Parameters and Limits section, the following are
Guidance considered recommended best practices and should be employed whenever
feasible:
 Each member should have good written and oral communication skills, the
ability to facilitate the free flow of communication, and the ability to perform
as team players and negotiate consensus.
 At least half of the team members should have participated in a previous
process appraisal.
 Team members should be perceived by the appraisal sponsor as credible.
Additional appraisal team member selection considerations include the

following:
 Considering individual team member personal characteristics (e.g.,

communication preferences and personality types) and how these
characteristics may affect the dynamics of the team
 Using more internal or external team members based on appraisal parameters

like model scope or organization size
 Recruiting team members from other divisions, or external organizations
where applicable and appropriate
 Encouraging the sponsor or internal process lead or appraisal coordinator to
identify team members that are external to the OU or organization in order to
get a greater component of non-OU members
Implementation  In small organizations, where the appraised OU may equal the full organiza-
Guidance tion, it may be more appropriate to select some external personnel (outside of
(continued)
the organization) as appraisal team members (cooperation with other small
organizations to exchange team members is also an option). For large organ-
izations, persons external to the OU, e.g., from another corporate function,
may bring in the same objectivity as an external person. All these situations
should be considered, discussed with the sponsor and rationale should be
given in the appraisal plan.
 Assessing tradeoffs between team size and team member expertise levels
 Assessing appraisal constraints, such as security classification (may be
additional criteria for team member selection)
 Assessing team member continuity throughout multiple appraisals
 Balancing the scope of the appraisal and appraisal cost and schedule
constraints
 Encouraging involvement of team members who participated on previous
appraisals within the organization, in order to benefit from legacy experience
 Considering lessons learned from prior events in adjusting the team for the
current event
 Considering bringing in some new team members to get a fresh perspective
 Striving for maintaining overall team member continuity for a series of
appraisals (e.g. for a SCAMPI C, B, A sequence or related OU). Consider
exchanging team members by assignment to other tasks. Another option
might be to add team members while moving from C to B to A (also due to
changing minimum team size).
 Making tradeoffs between assigning specialized roles to certain team
members versus a “more uniform distribution of tasks”
 Ensuring that the mini-teams are aware of the rules associated with
interviews, if the appraisal team leader allows mini-teams to ask the
questions during an interview
 Considering an adjustment of the workload of team members that are
assigned specialized responsibilities such as time keeper, etc., as the situation
dictates
 Using one or more certified SCAMPI lead appraisers as team members
A balance between the scope of the appraisal and the size of the team should be
considered. Team member training in the appraisal method is discussed in
Activity 1.3.4, Prepare Team.
Selecting team members external to the organizational unit being appraised helps
to ensure unbiased results. However, team members do not need to be external to
the organization. For example, Company XYZ includes two divisions, a
Implementation commercial division and a defense division. The OU of the appraisal includes
Guidance only the commercial division. Appraisal team members external to the
(continued)
commercial division (i.e., from the defense division) are considered external to
the OU even though they work for the same company or organization.
Team members should not be managers of any of the selected basic units or
support functions or be within the direct supervisory chain of any of the
anticipated interviewees.
Appraisal team members are selected to provide a diverse set of qualified

professionals with the appropriate experience, knowledge, and skills to make
reasoned judgments regarding implementation of the appraisal reference model.
The accuracy and credibility of the appraisal results depends greatly on the
capability, qualifications, and preparation of the appraisal team members. In
addition to the qualifications described above, other factors that may affect the
performance of the team or reliability of appraisal results should be considered.
Appraisal constraints, such as security classification, may be additional criteria
for team member selection.
Appraisal team members are typically selected from a pool of qualified

individuals provided by the appraisal sponsor or his/her designee. Situations
where a conflict of interest may arise should be avoided. Team members who
manage people or processes in the organization may struggle with their ability to
be objective. Team members who are directly impacted by the appraisal outcome
may be distracted by the potential consequences of the decisions they contribute
to on the appraisal team.
While no requirements exist for team members relating to field or management

experience for SCAMPI C, it may be beneficial to use the SCAMPI B parameters
and limits as a guide for selecting qualified team members,
Additional guidance specific to high maturity appraisals include these:
 Consider having a certified high maturity lead appraiser lead the high
maturity mini-team.
 Consider splitting up high maturity skills on the team onto multiple mini-
teams to spread input and balance experience across the process areas in
scope. Assign team members with particular knowledge (e.g. statistical
techniques), to different mini- teams to balance expertise among teams.
Activity This activity involves identifying and handling conflicts of interest that may
Description impair an appraisal team’s ability to function objectively. The appraisal team
leader is responsible for handling potential conflicts of interest by avoiding or
developing strategies to manage them.
Required The appraisal team leader shall

Practices
 (ABC) identify potential conflicts of interest
 (ABC) take steps to avoid those conflicts of interest that can be avoided
 (ABC) develop strategies to manage potential conflicts of interest that cannot
be avoided, and document those strategies in the appraisal plan
 (ABC) monitor the conflicts of interest to ensure that management strategies
are effective
 (ABC) take appropriate corrective action when conflict of interest
management strategies do not work
Parameters (A) The appraisal team leader must use professional judgment and evaluate, at a
and Limits minimum, the following potential conflicts of interest, review them with the
sponsor, and ensure detailed documentation and rationale in their appraisal plan:
 (A) Are any team members authors of one or more processes included in the
scope of the appraisal?
 (A) Are any members of the organization’s process group serving on the
appraisal team?
 (A) Are any “process owners” serving as appraisal team members?
 (A) Are staff with supervisory responsibility over one or more parts of the
OU on the team?
 (A) Are people who served on previous appraisals (Class C, B, or A) of the
OU serving as appraisal team members?
 (A) Are any of the appraisal team members in a direct reporting relationship
above any appraisal participants or other appraisal team members, including
administrative, functional, basic unit, performance, or technical authority
(e.g., supervisory, basic unit, program, technical)?
 (A) Will any of the appraisal team members be interviewed or providing
evidence?
 (A) Are members of the appraisal team involved in process or product
quality audits?
Parameters  (A) Are you using a translator?

and Limits  (A) Is the translator an appraisal team member?
(continued)
 (A) Does the translator work for the appraised company?
 (A) Does the translator work within the OU?
(A) In support of this appraisal, was the appraisal team leader or any of the
appraisal team members providing coaching, consulting, or labor for the
organizational unit's project work or process identification, documentation, or
creation? (Providing CMMI Institute-licensed training is excluded.)
The sponsor of an appraisal shall not be an appraisal team member(see Activity

1.3.2, Select Team Members).
(ABC) Potential conflicts of interest that cannot be avoided, along with the
strategy to be used to manage them, are to be documented in the risk
management section of the appraisal plan.
(ABC) The appraisal team leader must keep the appraisal sponsor informed of
management activities for conflicts of interest so that, if needed, timely sponsor
intervention is possible to ensure the achievement of appraisal objectives.
Caution must be exercised to ensure that confidentiality and non-attribution
requirements of the appraisal are maintained.
(ABC) In the event that conflicts of interest prove unmanageable, or compromise

the team’s objectivity and ability to reach valid conclusions, the appraisal team
lead must take appropriate steps, up to and including termination of the appraisal.
(ABC) The level of effort devoted to conflict of interest management activities is

something the appraisal team leader must adjust to fit the existing situation.
Implementation The following practices to manage potential conflicts of interest should be

Guidance considered whenever possible:
Pairing of internal and external team members on a mini-team
 Pairing internal and external team members provides benefits of external

objectivity and internal knowledge.
 If mini-teams are planned, ensure that each mini-team has at least one mem-
ber with experience in the process areas to which they are assigned.
Implementation Balancing mini-teams based on expertise or areas of interest

Guidance
(continued)  If this is the first SCAMPI A for any of the appraisal team members, ensure
that they are paired with an experienced appraisal team member and/or give
them experience on other types of appraisal events prior to the SCAMPI A.
 If any mini-teams do not have at least one member with experience from at
least one SCAMPI A then consider the following:
 Have appraisal team leader spend more time with that mini-team
during the event.
 Include that mini-team on other appraisal events prior to the SCAMPI
A to increase their experience level.
 Provide a greater amount of training prior to the appraisal.
 Assign the process areas with the least risk to the mini-team.
 Potentially increase the team size or extend duration to account for lack
of appraisal experience.
 If all appraisal team members are not experienced in all product
development, service delivery, and/or project management areas in scope;
pair mini-teams based on known experience to mitigate areas where some
have less experience in a particular area.
Identify internal and external team members
 External team members do not work for the organizational unit, but may be
from the same organization.
 Internal team members work directly for the organizational unit being
appraised.
 If any appraisal team members perform process evaluations for the OU,
assign them to mini-teams covering process areas unrelated to those
evaluations.
 Do not assign an appraisal team member to evaluate a process they
improved or developed.
1.3.4 Prepare Team
Activity The appraisal team leader ensures that appraisal team members are sufficiently
Description prepared for performing the planned appraisal activities. This preparation
includes ensuring that team members are familiar with the appraisal reference
model, the appraisal method, the appraisal plan, organizational data and
characteristics, and the tools and techniques to be used during the appraisal.
Roles and responsibilities are assigned for appraisal tasks. Team building
exercises are used to practice facilitation skills and reach unity in understanding
the team objectives and how they will be satisfied.
All team members are expected to observe strict rules for confidentiality, the
protection of proprietary or sensitive data, and the non-attribution of information
to appraisal participants. Non-disclosure statements are often used to formalize
these understandings.
Required The appraisal team leader shall do the following

Practices
 (ABC) ensure that appraisal team members have received appraisal reference
model training
 (ABC) provide appraisal method training to appraisal team members or
ensure that they have already received it
 (ABC) foster team building and establishing team norms
 (ABC) provide an orientation to team members on appraisal objectives,
plans, and their assigned roles and responsibilities
 (ABC) ensure that no appraisal activity (performed by team members)
begins until after the method training relating to that activity has been
completed.
Parameters Model training must be provided using the standard introductory course for the
and Limits model(s) in scope, delivered by an instructor who is certified by CMMI Institute.
(ABC) At a minimum, all team members must be trained on the following topics
using information from the SCAMPI A team training materials provided by the
CMMI Institute:
 (ABC) Applicable SCAMPI method overview

 (ABC) Appraisal planning, including the contents of the appraisal plan
 (ABC) Objective evidence collection and analysis
 (ABC) Team decision making
 (ABC) Appraisal confidentiality and non-attribution
 (ABC) Practice characterization
 (ABC) Findings development, verification, and validation
 (A) Rating
 (ABC) Appraisal output requirements
1.3.4 Prepare Team
Parameters (ABC) For teams involved in U.S. government source selection or process
and Limits monitoring appraisals, team members must also be trained in the following:
(continued)
 Applicable laws, regulations, and policies that affect the appraisal such as
Federal Acquisition Regulations and Department of Defense (DoD) service
or organizational regulations and policies
 Role of the appraisal and the appraisal team in source selection or process
monitoring processes and structures
 Limitations on findings development, validation, and release
 Special domain and/or model requirements (e.g. space, command and
control, information technology, supplier sourcing, and statistical process
management)
(ABC) Appraisal activities may not be performed until the method training for
those activities has been provided.
(ABC) Three configurations of method training are recognized:
 To a single appraisal team

 To multiple appraisal teams in a single event
 To a large group of potential future team members who are not currently
engaged in an appraisal
(ABC) When appraisal method training will be delivered to more than one
appraisal team in a single event, the CMMI Institute must be notified in writing
(e.g., via email), at least 30 days prior to the first day of training. When method
training is delivered in this way, care must be exercised to ensure that
confidentiality of information is maintained between organizations.
(ABC) Method training delivered to groups of potential future team members

must cover the complete set of tailoring options and allowable variations for the
method to prepare them for a range of situations that they are likely to encounter
on future appraisals. When method training is to be delivered in this way, the
CMMI Institute must be notified, in writing (e.g., via email), at least 30 days
prior to the first day of training.
(ABC) Team members who have previously received SCAMPI team training are
not automatically qualified to participate on an appraisal without first attending
method training. In such cases, the appraisal team leader is required to
understand the nature of the training delivered previously and the adequacy of
that training for the appraisal at hand.
1.3.4 Prepare Team
Parameters (ABC) At least one event must be held where the team gathers as a group for the
and Limits purpose of establishing team norms and making operational decisions about how
(continued)
the team will work for the appraisal at hand. Even if all team members have
previously been trained in the method, a team orientation session must bring the
team together to identify potential issues with team operation.
(ABC) Any training-related waivers must be documented in the appraisal plans.
(ABC) Individuals who are not CMMI Institute-certified SCAMPI lead

appraisers or People CMM appraisers may not deliver appraisal method training.
(ABC) Due to the confidentiality required during an appraisal and the

cohesiveness needed to participate in appraisal activities, observers are not
permitted to participate in the appraisal processes. The only exception is an
observer who is certified by the CMMI Institute.
Implementation The team training event is a good place to review the appraisal plan with
Guidance appraisal team members, having sent it to them in advance of their arrival. This
event provides the orientation for the entire appraisal that all appraisal team
members must execute their roles appropriately. This event also is in keeping
with the “Provide appraisal plan to relevant stakeholders for review” required
practice in Activity 1.2.7, Obtain Commitment to Appraisal Plan.
Additionally, the team training event is an opportunity to conduct Activity 1.5.1,

Perform Readiness Review. The assembled, trained appraisal team can then
appropriately assess the organization’s readiness for the appraisal and validate
the reasonableness of appraisal plan.
A typical model training course is delivered in three days. The successful

Training in completion of appraisal reference model training precedes training in the
the Reference appraisal method. No “aging” requirement exists for when this model training
Model
was received, but the appraisal team leader ensures that each team member has
adequate reference model understanding, and takes remedial action if necessary.
Attendance at model training is recorded by the training instructor and provided
to the CMMI Institute, in accordance with the terms of instructor authorization.
This action establishes a record in a database that makes that trained individual
eligible to be added to the appraisal team in the SAS.
For appraisals that include higher levels (i.e., MLs 4 and 5), team members may
benefit from receiving additional training on this subject matter.
1.3.4 Prepare Team
Implementation Delivery of appraisal team training varies depending on the appraisal method
Guidance and the relative experience of the appraisal team members.
Training in
Exercises in appraisal techniques and team development are used to reinforce
the Appraisal
Method the skills that will be important during conduct of the appraisal. It is
recommended that exercises be used that are appropriate for the organizational
unit being appraised. Where sufficient organizational artifacts exist, “live” data
can be collected and used in training exercises where appropriate. Just-in-time
training can also be used to re-emphasize method concepts at appropriate points
in the appraisal process during which the skills will be used.
Appraisal team training materials are tailored to fit team needs and objectives of
the specific appraisal. Tailoring provides opportunities to do the following:
 Provide insight into the context, objectives, and plans of the particular
appraisal
 Communicate team members’ assigned roles and responsibilities
 Identify tailoring of SCAMPI for the upcoming appraisal
 Acquaint the team with the organizational unit’s characteristics and
documentation
 Focus on skills that may be more critical to the upcoming appraisal, such as
the ability to facilitate interviews
It is recommended that this training be provided within 60 days of the appraisal.

The appraisal team leader typically provides method training using materials
available in the SCAMPI lead appraiser kit(s), but other delivery options are also
acceptable (as described above). Although alternative training options can
provide some advantages and efficiencies for method training, they have also
potential negative consequences. Familiarization with the particular tailoring
options of a given event or unique aspects of the organization may not be
adequately covered in a large training session that includes many teams.
Regardless of how method training is delivered to the team members,
opportunities for team building are provided to coalesce the team and bring the
team up to speed on the specifics of the appraisal being planned.
Implementation Method training and team building provide good opportunities to establish team
Guidance familiarity with the appraisal plan. This familiarity includes such items as
Familiarization appraisal objectives, organizational scope, appraisal reference model scope, and
with the the schedule, resources, and constraints for conducting the appraisal. Team
Appraisal Plan member input can be obtained to refine or complete the contents of the appraisal
plan.
1.3.4 Prepare Team
Implementation Analysis of the objective evidence provided by the appraised organization, such
Guidance as questionnaire responses or worksheets summarizing objective evidence, can be
Analysis of accomplished following or as an integrated part of appraisal team preparation and
Objective training.
Evidence
Demonstrations or exercises using the data collection tools and methods planned
for the appraisal provide appraisal team members with an opportunity to practice
techniques for data recording, verification, and analysis. These tools and methods
may include mechanisms such as wall charts, spreadsheets, or data reduction
tools. The more familiarity and comfort obtained with these tools in advance, the
greater the savings in team efficiency during the Conduct Appraisal phase.
Implementation The appraisal team leader assigns and explains team member roles and
Guidance responsibilities to be performed during the appraisal. Typical roles to be assigned
Roles and include the following:
Responsibilities
Appraisal coordinator: The appraisal coordinator handles logistics and provides
technical, administrative, and logistical support to the appraisal team leader. This
support usually includes activities such as coordinating schedules, notifying
participants, arranging adequate facilities and resources, obtaining requested
documentation, and arranging catering. He or she may also coordinate or provide
clerical support to the team. This role is often assigned to one or more members
of the OU. The appraisal coordinator may be one of the appraisal team members,
or this role may be assigned to other site personnel.
Librarian: The librarian manages the inventory of appraisal documents,

coordinates requests for additional documentation evidence, and returns
documents at the end of the appraisal. This role can be filled by an appraisal team
member or by a member of the support staff.
Process area or basic unit mini-teams: Mini-team members take the lead for data
collection in assigned process areas or basic units. They ensure that information
collected during a data-gathering session covers their process areas or basic units,
request additional information needed relative to their process areas or basic
units, and record the work performed by individual appraisal team members
pertaining to their process areas or basic units.
Mini-teams typically consist of two or three members. Mini-team assignments

can be made based on several factors, including related process areas (e.g.,
process area categories) and a mix of mini-team members (e.g., discipline
experience and appraisal experience).
1.3.4 Prepare Team
Implementation Facilitator: The facilitator conducts interviews.

Guidance
Timekeeper: The timekeeper is responsible for tracking time and schedule
Roles and
constraints during interviews and other activities.
Responsibilities
(continued) Appendix C contains additional information about the roles and
responsibilities of appraisal team members.
1.4 Obtain and Inventory Initial Objective Evidence
Purpose Obtain information that facilitates site-specific preparation and an understanding
of the implementation of model practices across the organizational unit. Identify
potential issues, gaps, or risks to aid in refining the plan. Strengthen the appraisal
team members’ understanding of the organization’s operations and processes.
Note: The data collection approach (discovery, managed discovery, and/or
verification) is a tailoring option of SCAMPI. If the discovery option is chosen,
there may be limited objective evidence to inventory at this stage of the
appraisal. If the managed discovery option is chosen, an initial data call results
in a set of evidence that is evaluated, and followed by successive data calls based
on remaining evidence gaps.
Entry Criteria  Draft appraisal plan

 Sponsor authorization to proceed
 Availability of practice or model component implementation data for
organizational unit
Inputs  Practice or model component implementation data for organizational unit

 Identified participants
Activities 1.4.1 Obtain Initial Objective Evidence

1.4.2 Inventory Objective Evidence
Outputs  Data inventory results (e.g., data availability summaries)

 Identification of additional information needed
 Initial set of objective evidence
Outcome  Initial objective evidence has been collected, organized, and recorded.
 Potentially important areas of needed information have been noted.
 The team has a deeper understanding of the organizational unit’s operations
and processes.
 The team is ready to make detailed plans for data collection.
Exit Criteria  All objective evidence captured during this activity has been recorded for
later use.
 High-priority areas for additional data collection have been identified.
 The level of sufficiency of the inventory of objective evidence to support the
appraisal is determined.
Key Points Gather high-leverage objective evidence. The amount of initial objective
evidence provided by the organization will determine the proportion of evidence
that remains to be discovered (versus verified) during the appraisal. Efficient and
effective time spent in collection, inventory, and verification of evidence is a key
performance objective for the Conduct Appraisal phase.
Tools and  Automated support, including data reduction tools, may be available to make
Techniques the data inventory activity more efficient.
 Breaking into mini-teams to inventory data related to specific process areas
is a way to help ensure completeness of the data.
Metrics  The number of practices or model components for which complete objective
evidence is available
 The calendar time and effort expended for this activity compared to the
planned values
Verification and  Where the team includes members of the appraised organization, these
Validation members should be used to help understand the initial objective evidence
provided to prevent misinterpretation of terms or special conditions.
 Inconsistencies and contradictions among the items provided in initial
objective evidence should be identified and recorded for resolution.
Records  Lists of information needed should be maintained and used as input to the
later data collection activities.
 Calendar time and effort expended in this activity should be recorded and
compared to the plan. These data will be part of the appraisal record.
Interfaces This process plays a critical role in the planning and preparation processes. The
with Other information generated in this process provides the most important opportunity to
Processes
reset expectations and plans with the appraisal sponsor, if initial assumptions
about the availability of objective evidence turn out to be in error. It will also
provide the basis of data collection planning.
For appraisals that are conducted in discovery or managed discovery mode, some
activities in this process may necessarily be combined with the activities in
Section 2.2, Examine Objective Evidence.
Summary of The appraisal team leader works with representatives of the organization to
Activities obtain an initial data set that provides input for an inventory of the objective
evidence pertaining to the implementation of each practice or model component
among the selected sample basic units and support functions within the
appraisal scope. This initial data set may be first reviewed by the appraisal team
leader for a high-level assessment of adequacy and completeness. The appraisal
team leader or appraisal team then performs a more detailed inventory to use as
input for planning the data collection and verification activities that will occur
when they begin the Conduct Appraisal phase. Finally, a record is created that
reflects a detailed accounting of any missing objective evidence. This record is
used as primary input for the generation of the data collection plan.
1.4.1 Obtain Initial Objective Evidence
Activity The appraisal team leader will request that the organization provide detailed
Description data on the implementation of practices or model components in the
organization. The appraisal team leader is free to specify the format to be used
and the level of detail to be provided, knowing that anything that is not
provided in advance must be collected later in the appraisal process. There are
no minimum requirements set by the method with respect to completeness or
detail in this initial data set. Before the appraisal outputs can be created, the
team must verify objective evidence for each instantiation of each practice or
model component within the scope of the appraisal. For detailed requirements
on the sufficiency of data, refer to process 2.4, Verify Objective Evidence.
The data collection approach influences the conduct of this activity. Minimal
evidence may be available in a discovery-based appraisal. A pre-determined set
of high-leverage evidence requested in an initial evidence call is provided in a
managed discovery appraisal. In a verification-based appraisal, the
organization may provide a completely populated database of objective
evidence mapped to the model. The appraisal team leader must allow an
opportunity for the organization to provide evidence based on the chosen data
collection approach.

Practices
(ABC) Obtain data reflecting the implementation of model practices or model
components among selected basic units and support functions within the
organizational unit as planned.
Parameters (AB) At a minimum, the organization must provide a list of artifacts that are
and Limits relevant to understanding the processes in use among sample basic units and
support functions within the organizational unit, unless a discovery-based
appraisal has been planned.
(AB) Map the list of artifacts to the model practices that are in the scope of the
appraisal.
(ABC) This activity does not replace the activities in Section 2.2, Examine
Objective Evidence.
(C) If artifacts are part of the data collection strategy, the organization must
provide a list of artifacts mapped to model components in the scope of the
appraisal that are relevant to understanding the processes in use among selected
basic units and support functions within the organizational unit
1.4.1 Obtain Initial Objective Evidence
Implementation Whether collected using questionnaires, reviewing artifacts, attending

Guidance presentations, observing demonstrations, or conducting interviews, the data
used for an appraisal is related to the practices or model components of the
appraisal reference model. For every practice or model component within the
reference model scope of the appraisal, and for every instance of each practice
or model component, objective evidence is used as the basis for appraisal team
determinations of the extent to which the practice or model component is
implemented. Objective evidence that substantiates practice or model
component implementation includes the following:
 Artifacts, which represent a tangible form of objective evidence indicative of

work being performed that represents either the primary output of a model
practice or component or a consequence of implementing a model practice
or component. Sufficient artifacts demonstrating and corroborating that the
work is being done are necessary to verify the implementation of associated
model practices or components.
 Affirmations, which are oral or written statements that confirm whether or
not a model practice or component has been implemented. Those who have
implemented (or should have implemented) a model practice or component
provide affirmations to the appraisal team during an interactive forum that
the appraisal team controls.
Prior to the data collection activities carried out by the appraisal team, an initial
data set is usually created by the appraised organization. This data set contains
descriptions of the objective evidence available for the team to examine,
complete with references to artifacts and identification of the personnel who can
provide relevant affirmations. The data set provides the baseline of objective
evidence for the appraisal. Most organizations experienced in process
improvement will already have this type of data on hand, as they will have used
it to track their improvement progress.
Artifacts may be obtained as hard copies, soft copies, or hyperlinks to where

these documents reside in a web-based environment. If hyperlinks are used, the
accessibility of artifacts via these links should be verified in the appraisal
environment. For example, appraisal team access could be inhibited by invalid
references or firewalls.
The initial data set forms the basis for planning data collection activities,
including interviews, demonstrations, and presentations on site. Any objective
evidence that is not identified in advance of the team’s arrival must be sought
by the team members once they begin the Conduct Appraisal phase. This
process of discovering whether and how the organization has addressed a given
practice or component in the model can be quite time consuming and it is often
difficult to predict how long it will take.

Activity The inventory of the initial data set provides critical new information for the
Description overall planning of the appraisal and forms the basis for the detailed data
collection plan that must be developed before the Conduct Appraisal phase. The
inventory of initial objective evidence at this stage is focused primarily on the
adequacy and completeness of information in the context of the data collection
approach chosen (discovery, managed discovery, and/or verification) and the
implications for future data collection. The results of this activity are the primary
basis for determining the extent of additional evidence collection to be performed
in the future appraisal activities.
Required The appraisal team leader and/or designees shall do the following:
Practices
 (ABC) examine the initial set of objective evidence provided by the
organizational unit, unless a discovery-based appraisal has been selected
 (ABC) determine the extent to which additional objective evidence is needed
for adequate coverage of model practices or model components
Parameters (ABC) Information provided by the organizational unit must be detailed enough
and Limits to understand the extent to which each type of objective evidence (i.e., artifacts
and/or affirmations) is available for each process instantiation for each model
practice or model component within the scope of the appraisal. This initial
review of objective evidence identifies model practices or model components for
which the team may decide it has
 Appropriate objective evidence

 No objective evidence
 Conflicting objective evidence
 Inconsistent objective evidence
 Insufficient objective evidence
(AB) In the process of inventorying the available objective evidence, potential

alternative practices must be considered. Any objective evidence for such
practices must be determined as early as possible. See Appendix B, Alternative
Practice Identification and Characterization Guidance, for information on
identifying acceptable alternative practices.
(ABC) Identify additional objective evidence needs relative to model practices or

model components for each basic unit or support function within the scope of the
appraisal. This activity does not replace the activities in Section 2.2, Examine
Objective Evidence.
Implementation Members of the team may choose to summarize the extent of available
Guidance information at the discretion of the appraisal team leader. However, the objective
of this activity is to determine how much additional data team members must
gather to complete their work. It is recommended that the appraisal team leader
establish an expectation with the sponsor that the results of this activity will form
the basis for a revised schedule estimate. If the initial objective evidence is
lacking in completeness and detail, the team will need to seek more information
during the Conduct Appraisal phase, unless corrective actions are taken before
that time.
Organizations with a limited understanding of CMMI, may not yet have a clear
idea of how the practices or model components described in the reference models
ought to be implemented to meet their specific business needs. Deciding on a
reasonable implementation of the practices or model components, and working to
ensure that they are enacted throughout the organization, are activities typically
performed using SCAMPI B or C.
Whatever data collection approach is chosen (discovery, managed discovery,

and/or verification), the appraisal team leader often reviews the initial data set
provided by the organization prior to assembling the team for its first meeting to
identify areas where additional data will be needed and to assess the feasibility of
the planned appraisal schedule. This readiness review should be conducted prior
to finalizing the appraisal schedule, and may comprise a “go” or “no-go”
decision for the appraisal in some situations. The appraisal team may then review
the initial objective evidence in more detail (typically toward the end of the team
training event) to begin formulating plans for how missing evidence will be
collected. This preliminary readiness review is the basis for the data collection
plan, which is described in the next process, 1.5, Prepare for Appraisal Conduct.
The appraisal team leader generates a list of additional information needed. The
results of the inventory of initial objective evidence are documented as an input
to the data collection plan. The use of an integrated appraisal tool to annotate the
set of initial objective evidence will permit the automated tracking of information
needs, and will aid in the compilation of a detailed data collection plan. Where
the completeness of initial objective evidence is insufficient to conduct the
appraisal under the original schedule, the results of this activity form an
important basis for renegotiating the appraisal schedule in some cases.
The adequacy of objective evidence relative to model practices or components is

typically determined using a software tool of some sort, either one built for use
on appraisals or a spreadsheet template. However, paper forms and wall charts
may be used if preferred.
1.5 Prepare for Appraisal Conduct
Purpose Ensure readiness to conduct the appraisal, including confirmation of the
availability of objective evidence, appraisal team commitment, logistics
arrangements, risk status and associated mitigation plans. Plan and document data
collection strategies.
Entry Criteria  Sponsor commitment to proceed with the appraisal has been documented.
 Appraisal objectives and constraints have been documented.
 Initial objective evidence has been received and an inventory has been
completed.
 Appraisal logistics and risks have been documented.
 The appraisal team is trained for the activities before they are performed.
Inputs  Appraisal plan

 Initial data collection plan
 Data base of objective evidence mapped to model practices or components
 Initial objective evidence inventory
 Data collection status
Activities 1.5.1 Perform Readiness Review

1.5.2 Re-Plan Data Collection
Outputs  Revised appraisal plan

 Updates to the data collection plan as required
Outcome  Updated plans

 Team member awareness of data status and needs
Exit Criteria  The team is ready to conduct the appraisal.

 Logistical arrangements are confirmed.
 All preparations for data collection by the team have been made and the data
collection plan has been revised to reflect current understanding.
 The data collection plan is revised based on readiness review results in
preparation for the Conduct Appraisal phase.

Key Points Performance of at least one readiness review resulting in the appraisal team
leader’s and sponsor’s joint decision to continue the appraisal as planned, re-
plan the appraisal, or cancel the appraisal is paramount to the successful
conduct of the appraisal. The data collected are the most important input the
team receives. Careful planning, disciplined tracking against the plan, and
effective corrective actions are cornerstones to success in this process.
Tools and The use of a spreadsheet to record and track the data collection plan is a
Techniques common technique. A matrix showing the practices or components of the
model, or questions to be asked, arrayed on the vertical axis and the sources of
information arrayed on the horizontal axis provides a simple planning and
tracking tool. A number of vendor-provided data management tools are
available as well.
Metrics  Estimated and tracked calendar time and effort for this activity
 Planned and actual number of data sources per practice or model
component
 Planned and tracked number of scripted questions used per interview
 Planned and tracked number of scripted questions used per process area or
model component
 Percentage of planned coverage achieved per data collection event or
process area or other model component
 Number of changes to the appraisal plan relative to the appraisal team,
logistics, and risks
Verification and The data collection plan should be summarized and reviewed with the team to
Validation ensure that appraisal requirements will be successfully implemented if the plan
is carried forward. Experienced appraisal team leaders will use historical data to
assess the feasibility of (and risks associated with) the data collection plan.
Records Planned and actual coverage of practices, process areas or other model
component across the set of data collection activities should be recorded. These
data support future estimates and corrective actions during data collection
activities.

Interfaces The data collection plan is an essential element of the appraisal plan. The
with Other activities described here rely on the results of an inventory of the initial
Processes
objective evidence to derive a plan and set of strategies for accomplishing the
data collection needed to meet the objectives of the appraisal. The data
collection plan developed through these activities is reviewed and revised on a
continual basis throughout the appraisal. Dynamically managing the inventory
of data on hand, the list of data needed, and the available data collection
opportunities are processes critical to the success of the appraisal.
Summary of The activities in this process serve to (a) ensure readiness to conduct the
Activities appraisal, (b) establish the initial planning baseline for the acquisition of
objective evidence, and (c) update the plan to account for information acquired
and unexpected developments. Since a SCAMPI can be a data-intensive
method, the conduct of these activities in accordance with the descriptions
provided is essential to the successful use of the appraisal method.

1.5.1 Perform Readiness Review
Activity The purpose of the readiness review is to determine whether or not the appraisal
Description team and appraised organization are ready to conduct the appraisal as planned,
and in the time allocated. The readiness review addresses several aspects of
readiness to conduct the appraisal: data readiness, team readiness, logistics
readiness, and appraisal risk status. The readiness review will result in a decision
to continue as planned, re-plan or reschedule, or cancel the appraisal. The
appraisal team leader and sponsor are responsible for the decision and
determining the conditions under which to proceed.

Practices
 (ABC) determine whether the objective evidence is adequate to proceed with
the appraisal as planned (refer to Activity 1.4.2, Inventory Objective
Evidence)
 (ABC) determine whether the appraisal team is prepared to conduct the
appraisal (refer to Activity 1.3.4, Prepare Team)
 (ABC) ensure the appraisal logistics (e.g. facilities, equipment, and
participant availability) have been arranged and confirmed (refer to Activity
1.2.5, Plan and Manage Logistics)
 (ABC) review identified appraisal risks to determine status and impact to
conducting the appraisal as planned (refer to Activity 1.2.6, Document and
Manage Risks)
 (ABC) Review the feasibility of the appraisal plan in light of data readiness,
team readiness, logistics readiness, and overall risk
Parameters (ABC) The number of readiness reviews planned and their dates must be
and Limits documented in the data collection plan.
(ABC) Explicit criteria for determining readiness must be established by the

appraisal team leader. These criteria must be documented in the data collection
plan. At least one readiness review must be conducted.
(A) The conduct of a readiness review may trigger the start of the 90-day
constraint for accomplishing phase 2 activities. If team members perform
document review during the readiness review (for the purpose of data collection
to support characterization), or if any practice characterizations are determined,
the readiness review starts the “90-day clock” for conducting phase 2 activities.
If the plan calls for such document review or characterization, then the entire
team must participate in the readiness review where those activities are carried
out.
(A) A readiness review may not to be used to identify weaknesses in the

organization’s implementation with the intent to fix them prior to the beginning

Parameters of the Conduct Appraisal phase.

and Limits
(continued) (A) If the performance of readiness review is integrated with the performance of a
Class B or Class C appraisal, then the following constraints apply:
 The phase 2 start date of the Class B or Class C appraisal is taken as the start of
the 90-day period of performance for phase 2 of the SCAMPI A appraisal.
 The draft appraisal plan for the SCAMPI must be written prior to the start of phase
1 of the Class B or Class C appraisal.
Implementation More than one readiness review might be needed. One should be performed early in
Guidance the planning phase, long enough in advance to give the organization time to collect
any additional objective evidence and for the appraisal team leader to address any
logistical problems, team issues, or other critical appraisal risks to support a more
successful appraisal. Another should be performed once the objective evidence has
been gathered and the appraisal is ready to start. This review may be conducted in
conjunction with the team training event.
The appraisal team leader should lead the readiness review. Recommended
participants include at least one representative from each appraisal mini-team, the
appraisal coordinator, and any additional OU representatives desired.
Data readiness should address what data is available, what data is still needed, and
how and where additional data will be obtained.
Recommended minimum criteria for data readiness include the following:
 No significant coverage gaps may exist in the evidence-to-practice or model

component mapping.
 Artifacts identified in the objective evidence databases must be accessible.
 The state of readiness and completeness must be consistent with the duration of
the planned Conduct Appraisal phase.
Thresholds for the sufficiency of data should be established as targets to be met at the
readiness review. For example, an 80 percent threshold may be used to initiate re-
planning at the final readiness review. That is, the appraisal team leader establishes an
expectation with the sponsor that, if more than 20 percent of the planned objective
evidence is missing at the time of team training, the appraisal must be re-planned.
However, the primary objective is reducing the risk that will be insufficient objective
evidence to make the determinations required by the appraisal plan in the time allotted.
Objective evidence for all basic units and support functions selected should be
reviewed to assess appropriateness and applicability to the practice or model
component.

Implementation Objective evidence for alternative practices should be considered. See Appendix
Guidance B, Alternative Practice Identification and Characterization Guidance, for
(continued) information on identifying acceptable alternative practices.
Team readiness should address whether the appraisal team is prepared to conduct
the appraisal. The appraisal team leader should determine whether the team
members are adequately trained and the mini-teams are operating effectively and
efficiently. If necessary, the appraisal team leader may change mini-team
membership, add resources, or change assignments to optimize team
performance.
Logistical readiness should address whether the necessary logistics arrangements

have been made for the Conduct Appraisal phase. The appraisal team leader
should review the logistics arrangements to determine whether appropriate
facilities have been reserved, the necessary equipment will be available, and the
appraisal participants have been contacted and will be available during the
Conduct Appraisal phase.
A summary of the inventory of objective evidence and readiness to proceed

should be reviewed with the sponsor or sponsor’s designee. If insufficient
objective evidence is available or if any other aspect of appraisal readiness is not
met, the appraisal team leader may need to initiate re-planning in light of newly
discovered constraints (e.g., insufficient data to support the appraisal as planned).
Refer to Activity 1.1.3 Determine Appraisal Constraints. The criteria for
adequacy will depend on where the readiness review occurs in the schedule, and
the chosen data collection approach (discovery, managed discovery, and/or
verification) that is being sought for the Conduct Appraisal phase of the
appraisal.
The readiness review is a key event whose impact should not be underestimated.
Failure to ensure that all aspects of appraisal readiness (i.e., data, team, logistics,
and overall risk) are reviewed to determine the impact on the appraisal plan can
have grave consequences for the appraisal team during the Conduct Appraisal
phase. The Conduct Appraisal phase may include long hours, exhaustion,
extensive ad hoc data collection (i.e., discovery), or the inability to achieve
appraisal objectives within defined estimates and constraints.

Activity The data collection plan is updated as required during the conduct of the
Description readiness review or during the appraisal itself as objective evidence is found, or
as new sources of information are uncovered. The activity described in this
section refers to a more substantial change in the plan, which is expected to be a
rare occurrence in practice. If during the conduct of an appraisal the team
discovers that their assumptions about the availability of objective evidence are
substantially incorrect, the appraisal team leader may renegotiate the appraisal
plan with the sponsor.

Practices
 (ABC) review the current inventory of objective evidence and determine
model practices or model components for which the objective evidence is
inadequate relative to the appraisal plan
 (ABC) revise the data collection plan as necessary based on the appraisal
status and availability of objective evidence
 (ABC) renegotiate the appraisal plan with the sponsor if the appraisal cannot
proceed as planned
Parameters None
and Limits

Implementation This activity is not a substitute for tactical decisions about where and how to
Guidance find objective evidence. The intent of this activity is to respond to a major gap
between expected data and actual data.
Major gaps between expected and actual data may occur, for example, as a
result of the following:
 Inaccurate assumptions about the availability of objective evidence

 Content of artifacts or information from interviews not providing
significant amounts of the information required and other sources not being
planned
 Unexpected absence of multiple key interviewees
 Unanticipated delays in the implementation of new processes
 Major customer-driven emergencies for one or more of the sampled basic
units or support functions
This activity serves as a “pressure valve” of sorts for the appraisal. The pressure
to perform the appraisal under unrealistic conditions can lead to a severe
degradation in the quality of the appraisal outputs. Carefully planning for
contingencies and communicating them to the sponsor help to protect the
standards that must be met in the performance of an appraisal. Clearly
documenting the data collection plan, and regularly monitoring the availability
of data compared to that plan, support effective risk mitigation.
When this activity must be employed to recover from an unrealistic expectation,

the documentation reflecting the assumptions made during planning, as well as
concrete facts about what is or is not available, are used to renegotiate with the
appraisal sponsor. This need to renegotiate is one of the reasons why a detailed
appraisal plan, with the sponsor’s signature, is a required artifact for the
conduct of a SCAMPI appraisal.

2 Conduct Appraisal
2.1 Prepare Participants
Purpose Ensure that appraisal participants are appropriately informed of the appraisal
process, purpose, and objectives and are available to participate in the
appraisal process.
Entry Criteria  Data collection has been planned.

 The sponsor has approved the appraisal plan.
 The appraisal team is trained in activities prior to performing them and is
familiar with the appraisal plan.
Inputs Appraisal plan
Activities 2.1.1 Conduct Participant Briefing
Outputs Prepared appraisal participants
Outcome At the end of this process, appraisal participants are prepared to provide
relevant information to the appraisal team and have confirmed their
participation.
Exit Criteria Participants have been briefed and appraisal participants are prepared to
participate.
Key Points Inform members of the organization who participate in the appraisal of their
roles, and expectations of the sponsor and appraisal team.
Tools and  Presentation tools

Techniques  Video teleconferencing facilities
Metrics Planned and actual number of participants briefed
Verification and Feedback from appraisal participants on their readiness to perform their role(s)
Validation
Records Participants briefed compared to the plan

2.1 Prepare Participants
Interfaces This process includes informing appraisal participants of the appraisal process,
with Other its purpose and objectives, and their roles in the appraisal. This communication
Processes
may be addressed in a single opening briefing at the start of the Conduct
Appraisal phase. Alternatively, it might be addressed initially during the Plan
and Prepare phase, but with a short, additional opening briefing to all
participants—again at the start of the Conduct Appraisal phase—to introduce
the team and reiterate the appraisal goals. In any event, it must occur prior to
the conduct of any interviews.
Summary of The activities in this process serve to prepare participants for the appraisal.
Activities Participants are prepared prior to their participation to ensure they are aware of
their roles in the appraisal, confirm their availability, and prepare for their
participation.

2.1.1 Conduct Participant Briefing
Activity Members of the organization who participate in the appraisal must be informed
Description of their role and the expectations the sponsor and appraisal team have. This
communication is typically accomplished through a briefing in which the
appraisal team leader provides an overview of the appraisal process, purpose,
and objectives. Specific information about the scheduled events and the
locations where they occur is also communicated during this briefing, as well as
through ongoing contact between the appraisal coordinator and the members of
the organization.
Required The appraisal team leader and/or designees shall do the following:
Practices
 (ABC) brief appraisal participants on the appraisal process
 (ABC) provide orientation to appraisal participants on their roles in the
appraisal
Parameters (ABC) Participants must reconfirm their availability to participate in the

and Limits appraisal.
Implementation The preparation of appraisal participants may be accomplished using a video

Guidance conference or teleconference if desired.
Depending on the appraisal usage mode (e.g., supplier selection versus internal
process improvement), various types of communication may be used. In the
internal process improvement usage mode, the importance of management
sponsorship within the organization will likely lead the appraisal team leader to
work with senior management to help demonstrate commitment to the appraisal
process as well as the process improvement work that will follow. In the
supplier selection usage mode, the possibility of the same team visiting multiple
organizations adds coordination tasks and communication channels as well.

2.2 Examine Objective Evidence
Purpose Examine information about the practices or model components implemented in
the organization and relate the resultant data to the appraisal reference model.
Perform the activity in accordance with the data collection plan. Take corrective
actions and revise the data collection plan as needed.
Entry Criteria  Data collection has been planned, and the plan documented.
 The sponsor has approved the appraisal plan.
 The appraisal team is trained in activities prior to performing them and is
familiar with the appraisal plan.
 Participants have been informed about the appraisal process and their roles in
it.
Inputs  Appraisal data

 Initial objective evidence
 Documented practice or model component implementation gaps, if any
 Documented exemplary practice or model component implementation, if
any
 Feedback on preliminary findings (if that point in the timeline has been
reached)
 Data collection plan
 Appraisal schedule
 Affirmation schedule
 Artifact list
 New interview questions
Activities 2.2.1 Examine Objective Evidence from Artifacts

2.2.2 Examine Objective Evidence from Affirmations
Outputs  Updated appraisal data

 Updated data collection plan
Outcome After the final iteration of this process, the team has sufficient data to create or
revise preliminary findings and to make judgments about the implementation of
practices or model components, as well as the satisfaction of specific and generic
goals.
Exit Criteria The coverage of the appraisal reference model and the organizational scope has
been achieved, and the team is ready to produce the appraisal outputs.

Key Points The appraisal team reviews the objective evidence that has been gathered
according to the data collection plan. They evaluate this evidence against the
reference model to determine if it is appropriate and adequate to support the
implementation of model practices or components. The data collection plan is
modified if additional information is needed to complete this task. Effective
contingency planning and the use of work aids to monitor progress are key points
to consider. The team must be able to focus on examining the most relevant
information available, rather than be distracted by a mission to find new
evidence.
Tools and Wall charts and other visual aids are often used to display the results of data
Techniques collection activities. Electronic tools are prevalent among experienced appraisal
team leaders and can be effective for continually monitoring and updating the
inventory of objective evidence.
Metrics Tracking the actual coverage obtained, as compared to the planned coverage, in
each data collection activity facilitates timely corrective actions where they are
needed. The most critical resource during an appraisal is time. Using a
timekeeper during data collection and verification activities provides feedback on
team performance. Recording the actual duration of planned events helps the
team in taking actions to recover from unexpected events.
Verification and The appraisal method provides detailed verification and validation procedures for
Validation objective evidence. They are described in process 2.4, Verify Objective
Evidence, and 2.5, Validate Preliminary Findings.
Records Work aids used to record and track the progress of data collection activities are
retained for traceability and provide an important input to a final report
describing the appraisal, if the sponsor has requested a final report. The duration
and effort required for specific data collection events can be recorded to provide
useful historical data for planning subsequent appraisals.

Interfaces The activities that provide the team with the data needed to produce reliable
with Other appraisal outputs are perhaps the most visible part of the appraisal process from
Processes
the perspective of the appraised organization. For this reason, SCAMPI places a
heavy emphasis on methodically planning and tracking the data collected
during an appraisal. The initial objective evidence collected early in the process
allows team members to analyze the state of information available at the earliest
stages of the appraisal and narrow their search for new information. This early
work serves to facilitate an efficient use of time. An explicit understanding of
what information is needed and how that information will be used therefore
drives the activities associated with this process.
Summary of The members of the team continually manage the data collected previously and
Activities target new data collection activities to fill known information needs.
Instruments can be used early in the appraisal process and often provide leads to
be pursued through other data collection activities. Presentations are sometimes
used to provide a flexible interactive forum where members of the organization
can explain important information about the practices or model components
implemented in the organization. Artifacts provide the most explicit and lasting
representation of practice or model component implementation in the
organization, and the team uses them to understand how practices or model
components in the reference model are implemented. Finally, interviews are
used as the most dynamic data collection technique, allowing for branching
among related topics and the explanation of contextual information that affects
the implementation of practices or model components as well as alternative
practices.
The appraisal activities conducted for each of these data collection sources are
similar:
 Determine if the information obtained is acceptable as objective evidence.

 Relate the objective evidence to corresponding practices or model
components in the appraisal reference model.
 Relate the objective evidence to the appropriate part of the appraised
organizational unit (i.e., the selected basic unit or support function).
 Determine the extent to which model practices or components have been
implemented within the organizational unit.

2.2.1 Examine Objective Evidence from Artifacts
Activity A substantial portion of the data used by appraisal team members is typically
Description derived from artifacts (see MDD glossary) that demonstrate or support the
implementation of model practices or model components. Artifact review is an
effective means to gain detailed insight about the implementation of practices or
model components in the organizational unit. However, without a clear focus on
the data being sought, artifact review can consume a great deal of time as team
members sometimes attempt to read everything in hopes that something useful
will be discovered. Likewise, if artifact review is not well planned, the team will
be more likely to accept artifact(s) that do not completely address or support the
implementation of the model practices or components in scope.
Artifacts are a required component of a SCAMPI A and SCAMPI B appraisal in

all usage modes. Only one type of objective evidence is required for SCAMPI C.
Objective evidence obtained from artifacts and from other sources is documented
in process 2.3, Document Objective Evidence, and verified in process 2.4, Verify
Objective Evidence.
Required The appraisal team shall do the following:

Practices
 (ABC) update the inventory of artifacts used as a source of objective
evidence
 (ABC) review information obtained from artifacts and determine if it is
acceptable as objective evidence
 (ABC) determine the model practices or model components corresponding to
the objective evidence obtained from artifacts
 (ABC) determine the portions of the organizational unit that correspond to
the objective evidence obtained from artifacts
 (ABC) review artifacts and determine the extent to which model practices or
model components have been implemented in the organizational unit
Parameters (ABC) The appraisal team must evaluate the content of artifacts to determine
and Limits how they support model practice or model component implementation.
(A) If the appraisal team performs any part of this activity during any readiness
review or other appraisal preparation activity, the Conduct Appraisal phase has
begun, and the appraisal must be completed within 90 days.
(A) Artifacts used as objective evidence must have been created or revised prior
to the start of the Conduct Appraisal phase. The team may request to view
artifacts that result from recurring activities, even if the activity occurred after the
start of the appraisal. In no case would an artifact created after the start of the
appraisal be accepted as the only artifact demonstrating the implementation of a
practice or model component.

(C) Only one type of objective evidence (artifacts or affirmations) is required. If

only artifacts are collected, affirmations activities are not expected.
Implementation The inventory should be sufficient to summarize the objective evidence used as a
Guidance basis for appraisal results generated, as required by the appraisal record described
in Activity 3.2.2, Generate Appraisal Record. Much of the inventory contents can
be obtained from the mapping data or instruments obtained from the
organizational unit, such as the objective evidence database or questionnaires.
The inventory can be used to maintain a list of artifacts reviewed or additional
artifacts requested from the organizational unit. This inventory is created in
Activity 1.4.2, Inventory Objective Evidence, and is a key work product of data
collection planning.
One or more team members will seek data for every practice or model component
in the appraisal reference model scope of the appraisal through artifact review.
This review does not require a unique artifact for every practice or model
component, as any given artifact or set of artifacts is likely to provide data
relevant to multiple practices. Refer to section 2.4.1, Verify Objective Evidence,
for objective evidence sufficiency rules. While only one type of objective
evidence (artifacts or affirmations) is required for a SCAMPI C, both type of
evidence are encouraged.
In a verification-based appraisal, the location of objective evidence relating to

every practice or model component should be recorded in advance of the team’s
arrival at the site where the appraisal will occur. Organizations with established
improvement infrastructures typically maintain this type of information to track
their improvement efforts against the model.
In a discovery-based appraisal, the team will need to discover the links between
the reference model and the organization’s implemented practices or model
components, and will therefore require more time to perform the appraisal. In a
managed discovery appraisal, the appraisal team calls for a predetermined set of
high-yield artifacts, and uses a succession of focused, iterative calls for evidence
to fill remaining gaps. Refer to Appendix E, Managed Discovery for more
information on managed discovery and comparison to discovery and verification
data collection approaches.
Artifacts indicative of work being performed can take many forms including
documents, presentations, and demonstrations. A single artifact can reflect the
implementation of one or more model practices or components. The Class C
method (according to the ARC) does not require that this type of data be
included.

Implementation Documents are a collection of data regardless of the medium on which it is

Guidance recorded (hard copy, soft copy, or accessible via hyperlinks in a web-based
(continued)
environment, such as wikis or blogs). Documents can be work products
reflecting the implementation of one or more model practices or components.
These documents typically include work products such as organizational policy,
product components, process descriptions, plans, risk registers and
specifications.
Artifacts also include “ephemeral artifacts,” such as those resulting from agile
project management activities or service delivery activities where there is no
physical evidence of the service having been delivered. In this case, the artifact
may be an observation of a service delivery or work products (e.g., white board,
poster board) used by a team performing agile project or work management
activities.
A demonstration or walkthrough of the tool by the person who uses the tool as
part of performing their process is an acceptable artifact. The demonstration
includes review of the content of the tool for the respective basic units that use
the tool relative to model practice or component implementation (e.g. a
demonstration of fields in a requirements management tool showing traceability
from a requirement to its derived requirement).
Note: This approach has the added benefit of being able to be used as an
affirmation collection session (see Activity 2.2.2, Examine Objective Evidence
from Affirmations).
Members of the appraisal team observing a presentation that is developed by a

basic unit team member as a consequence of their work in implementing a
practice or model component is another acceptable artifact (e.g., attending the
presentation of a basic unit review by a project manager). The basic unit review
package, together with its presentation is an example of an artifact.
Presentations created for an appraisal team as an aid in understanding the

organizational processes and implementation of model practices or components
is not an output of implementing a process and therefore is not a valid artifact
demonstrating implementation of a model practice or component. However,
such a presentation, delivered to the appraisal team in an environment that
allows for interaction and follow-up, can serve as affirmations of practice or
model component implementation (see Activity 2.2.2, Examine Objective
Evidence from Affirmations).
It is recommended that the appraisal team evaluate objective evidence threads

or sequences to better understand the extent of practice or model component
implementation across multiple model practices, goals, or process areas. An
example (applicable to CMMI models) of evaluating objective evidence threads
across process areas is establishing and monitoring work group schedules. The

schedule is established in a project plan is typically part of an integrated master
schedule (Project Planning). Periodic progress reviews of work group tasks are
held to monitor performance against the established schedule (Project
Monitoring and Control). Deviations are recorded in a report and actions are
taken to align performance with work group needs and requirements (Integrated
Project Management).

Activity Affirmations are used to confirm or support implementation of model practices

Description or model components within the organizational scope of the appraisal.
Interviews, as well as other affirmation techniques (e.g., presentations,
questionnaires, and demonstrations) are held with managers and practitioners
responsible for the work being performed. The appraisal team uses affirmations
to understand how the processes are implemented and to probe areas where
coverage of model practices or components is needed.
Affirmations are a required and necessary component of a SCAMPI A and

SCAMPI B appraisal in all usage modes. Only one type of objective evidence is
required for SCAMPI C. The criteria for the amount of affirmation objective
evidence to be collected are described in Activity 1.1.4, Determine Appraisal
Scope. These criteria drive the development of the initial affirmation strategy
documented in the data collection plan described in Activity 1.2.3, Develop Data
Collection Plan. The appraisal team leader works with the team to schedule the
most appropriate affirmation techniques for the situation.
As objective evidence is gathered throughout the appraisal, the data collection

plan is revised as necessary. By using focused investigation techniques, the need
for affirmations may be either increased or diminished, as long as the criteria for
affirmations are satisfied.
Objective evidence obtained from affirmations and other sources is documented

in process 2.3, Document Objective Evidence, and verified in process 2.4, Verify
Objective Evidence.
Required The appraisal team shall

Practices
 (ABC) establish and maintain an inventory of affirmations used as a source
of objective evidence
 (AB) conduct affirmation activities to obtain information that may be used as
objective evidence
 (ABC) review information obtained from affirmations and determine if it is
acceptable as objective evidence
 (ABC) determine the model practices or model components corresponding to
the objective evidence obtained from affirmations
 (ABC) determine the portions of the organizational unit that correspond to
the objective evidence obtained from affirmations
 (ABC) review information obtained from affirmations and determine the
extent to which model practices or model components have been
implemented in the organizational unit

Parameters (AB) Appraisals must use affirmations as a source of information on the extent to
and Limits which practices or model components have been implemented in the
organizational unit and within the selected basic units and support functions.
(AB) Sessions where affirmations are sought and collected must include at least
two members of the appraisal team designated by the appraisal team leader.
(ABC) Whenever virtual methods such as video conferences, teleconferences, and

other similar technologies are used for affirmations, the appraisal team leader
must ensure that these methods do not compromise the integrity or accuracy of
the appraisal activities or the appraisal results.
(ABC) Sufficient affirmations must be obtained to meet the coverage specified in

the data collection plan.
(ABC) Steps must be taken to ensure open communication during affirmations by

addressing potential issues among interviewees and team members (e.g., presence
of supervisors or process owners).
(ABC) The rules of confidentiality and the expected use of appraisal data must be
communicated to every interviewee.
(A) If the appraisal team performs any part of this activity during any readiness
review or other appraisal preparation activity, the Conduct Appraisal phase has
begun, and the appraisal must be completed within 90 days.
(C) Only one type of objective evidence (artifacts or affirmations) is required. If

affirmations are conducted, no artifacts are expected.
Implementation Affirmations are typically sought from logical groupings within an organization to
Guidance provide insight into the depth of the implementation by specific instance of the
model practices or components being examined. Groupings include basic units
(e.g. projects, teams, or work groups), function within the groups (e.g., managers
or service providers), or support functions (e.g., QA, configuration management,
human resources, IT, training). While only one type of objective evidence
(artifacts or affirmations) is required for a SCAMPI C, both type of evidence are
encouraged.
A variety of affirmation collection techniques are employed during an appraisal

including interviews, presentations, demonstrations, and questionnaires.
Interviews are used as the most dynamic data collection technique, allowing for
exploration among related topics.

Implementation Presentations can be used as a flexible interactive forum where members of the
Guidance organization performing the work can explain important information about the
(continued)
practices implemented in the organization.
An interactive demonstration or walkthrough of the tool by the person who uses

the tool as part of performing their process is another affirmation technique.
Use interactive virtual methods (e.g., video conference, teleconference, e-mail

exchange, instant messaging, or other similar technology) to conduct affirmations
at a distance.
Interviews provide the most flexible source of detailed data. Direct interaction
with people who enact the practices or model components being investigated
allows the team to seek detailed information and to understand the
interrelationships among various practices or model components. Detailed
information to address specific data collection needs can be sought and verified
in real time.
Management personnel are typically interviewed individually, or grouped

according to basic unit or support function. The focus of the discussion in these
interviews will therefore be scoped to a particular basic unit or support function,
rather than across the sampled basic unit or support functions.
Functional area representatives (FAR) are typically interviewed in a group across

the basic units and within the organizational scope of the appraisal. The focus of
the discussion in these interviews will therefore be scoped to a particular set of
practices or model components used across the instantiations within the
organizational scope.
Request that interviewees bring a document or other artifact with them to their
interviews for a “show-and-tell” style interview. The interviewee explains how
the artifact is developed and used to support the work being performed.
It is important to avoid sampling interviewees for a session such that two people
in the same reporting chain (e.g., a superior and one of his/her direct reports) are
in the same interview session. This restriction applies to members of the
appraisal team as well. People who have this type of relationship with one
another may be uncomfortable with the expectation for them to be completely
candid during the interview.
Samples of interviewees are typically grouped into categories that roughly

correspond to lifecycle phases, work groups, engineering disciplines,
organizational groupings, and/or process area affinities. Interviews may include
individuals performing work related to a single process area or group of process
areas. As stated previously, interviews of management personnel are typically
grouped by basic unit or support function, while FAR sampled for a given

Implementation interview come from across the organizational unit.

Guidance
(continued) Virtual methods can be used, but they should be set up to allow for adequate
interaction between the appraisal team members and the appraisal participants
and should provide mechanisms for the appraisal team to control the interviews
(e.g., provide the ability to interrupt, ask questions, or redirect the discussion to
other subjects).
Implementation The three basic forms of SCAMPI interviews are described below.
Guidance
The most structured approach is the standard interview, which is scheduled in
Standard
advance and employs a series of scripted questions. Each standard interview
Interviews
typically involves interviewees with similar responsibilities in the organization
(e.g., QA personnel, systems engineers, help-desk technicians, or middle
managers). The schedule and location of each interview session is communicated
to the interviewees well in advance. Questions intended to elicit data about
particular practices are prepared and reviewed in advance, and the team follows a
defined process for conducting the session.
Depending on the interview, the entire team or specific mini-teams may be

present for these interviews. Responsibility for tracking the coverage of
individual process areas is typically assigned to team members. A single
questioner may lead the interview, with the rest of the team or portion of the
team listening and taking notes, or the responsibility for asking questions may be
distributed among the team members. In any case, it is expected that all
participating team members who are not asking questions listen and take notes
for all questions.
A set of planned interviews will be defined during appraisal planning. As the

appraisal progresses and the objective evidence accumulates, the team may find
it convenient to cancel one or more of these interviews to use the time for other
activities. Such changes in the data collection plan are made in a way that does
not violate the coverage criteria described in process 2.4, Verify Objective
Evidence.

Implementation A more flexible approach to scheduling interviews is available in the form of on-
Guidance call interviews, a variant of the standard interview. Prospective interviewees are
On-Call identified and notified in advance, just as described above. However, the
Interviews interviews are only held if team members decide that there is a need and that the
time will be well spent. The prospective interviewees are therefore asked to block
a period of time for such a contingency. These interviews need not include the
entire appraisal team (as long as two appraisal team members attend), thus
permitting parallel sessions with different interviewees.
Implementation Finally, office hours interviews represent an agreement for availability that
Guidance permits pairs of team members (per the Parameters and Limits of this activity), to
Office Hours visit interviewees at their desks, cubicles, or offices. As with the on-call
Interviews interviews, the prospective interviewees block a specific time period to be
available on a contingency basis. Most prospective interviewees will be able to
continue with their daily work and accommodate an interruption if the team
needs to speak with them. Here again, only if specific data needs are identified
will the interview occur. The interviewees should be informed that they may
receive only limited advanced notice for these interviews, although confirming
the interview at least a day in advance is a courtesy that should be offered
whenever possible.

2.3 Document Objective Evidence
Purpose Create lasting records of the information gathered by identifying and then
consolidating notes, transforming the data into records that document gaps in
practice or model component implementation or exemplary practice or model
Entry Criteria Planning activities for the appraisal are complete, including the selection and
preparation of the appraisal team. At least one data collection activity has been
conducted, and appraisal-relevant data are available to record.

 Notes taken during data collection activities (if applicable)
 Annotated worksheets or other work aids containing data (if applicable)
 Gaps in practice or model component implementation or exemplary practice
or model component implementation documented from previous activities
 Data collection plan
Activities 2.3.1 Take/Review/Tag Notes

2.3.2 Record Presence/Absence of Objective Evidence
2.3.3 Document Model Component Implementation
2.3.4 Review and Update the Data Collection Plan

 Tagged notes
 Noted model implementation gaps (if any)
 Noted exemplary implementation (if any)
 Revised data collection plan (if applicable)
 Annotated worksheets
 Requests for additional data (artifacts or affirmations)
Outcome Individual team members understand the data collected thus far, and have
information to guide any needed subsequent data collection.
Exit Criteria All data from the most recent data collection session has been captured as a new
baseline of practice or model component implementation evidence. The data
gathering plans have been updated to reflect additional information needed and
topics that can be removed from active investigation.

Key Points This process has traditionally been the most difficult one to manage during an
appraisal. Members of the team will tend to vary a great deal in their productivity
and style of work. The appraisal team leader must be attentive to the progress of
each team member and take effective corrective actions to ensure team progress.
Tools and Because of the challenging nature of this activity, appraisal team leaders tend to
Techniques have strong preferences for using tools and techniques they have found to be
successful. Only a high-level list of tools and techniques is provided here:
 Work aids like wall charts, spreadsheet programs, and automated database
tools are frequently used to help track the status of data collection.
 Using mini-teams, where pairs (or triplets) of team members are assigned
specific process areas or specific basic units, is a common practice.
 Time management is a critical skill for this activity. Explicitly reviewing the
effort spent, in real-time, is a useful way to focus the team.
 A variety of techniques for structuring team notebooks and formats for
recording notes has been used.
 Team norms regarding techniques for managing debates and divergent views
are important, and should be made explicit well in advance.
Metrics As mentioned above, tracking the effort expended during this activity (in real-
time) is a valuable technique to manage the team’s time. The ability to quickly
learn the rate at which each team member works is a skill that experienced
appraisal team leaders develop using effort and duration metrics.
Verification and The method rules for recording traceability and validating data provide
Validation verification and validation of the appraisal data. Monitoring progress and the
consensus decision-making process, conducted by the appraisal team leader, also
serves as important verification and validation activity.
Records All appraisal data are recorded with full traceability to information sources as
well as the model components to which they pertain. The full detail in this
traceability contains sensitive information that should not be provided to people
outside of the appraisal team. The attribution of data to individuals must never be
divulged even when detailed data are provided to the organization for use in
process improvement.

Interfaces The mechanics associated with the recording and transcription of objective
with Other evidence are described in this section. There are many links between these
Processes
mechanics and the data collection process, as well as the data verification and
validation process. The data-recording process must support these other
processes, and the tools used during an appraisal must accommodate these
linkages. Typically, a database tool is used to manage all appraisal data that
results from the analysis of notes taken during data collection.
Summary of The most basic representation of appraisal data is found in the notes taken by
Activities individual team members. These notes are reviewed and are typically “tagged”
or otherwise processed before their content is transformed into other lasting
representations. The presence, absence, and/or appropriateness of objective
evidence is then judged and recorded based on the data collected. The scheme
by which this set of records is produced is an important implementation choice
made by the appraisal team leader, and must be well understood by the team.
Gaps in the implemented practices or model components are also recorded in a
consistent manner that ensures traceability. Finally, the data collection plan is
reviewed in light of the changes in the set of data available to the team and the
remaining data needed to support appraisal objectives.

2.3.1 Take/Review/Tag Notes
Activity As team members examine data sources, they document what the objective
Description evidence is (e.g., referencing documents, presentations, instruments, and
interviewee comments), as well as why or how the objective evidence meets the
intent of the model.
There may be cases where team members elect to record data directly in the
objective evidence tracking tool. In such cases, team members may choose not to
take notes (on paper or in their notebooks) that describe the objective evidence.
For all interviews and presentations, the team members take notes that capture
the objective evidence before they move to the annotation of the objective
evidence tracking tool.

Practices
 (ABC) record notes obtained from objective evidence data-gathering
sessions
 (ABC) relate notes to corresponding practices or model components in the
appraisal reference model
Parameters (ABC) Every team member present must take notes during interviews and
and Limits presentations. These notes must cover all areas investigated during the interview,
and are not limited to the model components or basic units or support functions
assigned to the individual team member (i.e., everybody takes notes on
everything).
(ABC) During document reviews, notes must be taken to preserve specific

context or focused references, if the rationale for accepting the objective
evidence is not self-evident.
(ABC) The raw notes taken during an appraisal are treated as confidential
information and must not be provided to any person outside of the appraisal
team.
Implementation Team members are typically required to destroy their notes in a secure manner at
Guidance the conclusion of the appraisal. This requirement ensures that the attribution of
detailed information to individuals in the organization cannot lead to
inappropriate consequences following the appraisal.

2.3.1 Take/Review/Tag Notes
Implementation Team members actively take notes (electronic or hand-written) during all data-
Guidance gathering sessions. The purpose is to record, verbatim, what the information
Taking Notes source reveals about the implementation of practices in the basic unit or
organization.
Whenever notes are taken in a data-gathering session, individual team members

should review their notes immediately after the conclusion of the session. The
review will focus on tagging significant items that relate to one or more model
practice(s). This review and tagging process should occur within 24 hours of
the data-gathering session.
Implementation The context in which the data are provided—be it during an interview,
Guidance presentation, or in a document—affects the proper interpretation of the facts.
Reviewing For example, notes taken during an interview are based on a give and take
Notes between the interviewer and the interviewee. The threads of discussion often
provide a context that may not be reflected in a single excerpt from the middle
of the interview. Note takers should review their work to ensure that such
contextual information can be preserved at least in their recollection, and
preferably through the annotation of the notes.
Implementation As notes are reviewed, team members often use highlighter pens or annotation
Guidance schemes to identify the most salient excerpts. The process area and/or practice
Tagging Notes to which the information applies may be written in colored ink over the raw
notes. All notes should identify the data gathering session, and the pages should
be numbered to preserve the sequence of information. For notes taken during
interviews, it is often useful to draw a seating chart to show where each person
was sitting during the interview. Scripts prepared in advance of scheduled
interviews may already be tagged, and can help relate responses to appropriate
sections of the appraisal reference model. Some interviewee responses may deal
with model practices other than those targeted by a given question, which
would still necessitate some additional tagging.

Activity The presence or absence of appropriate objective evidence for each model
Description practice or component in the scope of the appraisal is determined based on
information obtained from data-gathering sessions. Annotations are recorded
indicating the source, relevance, and coverage of objective evidence collected. In
situations where just referencing the data source would not make it obvious why
the objective evidence is appropriate, a comment can be added to the annotation.
For example, when an alternative to the typical work breakdown structure is
used, it may be necessary to document why that alternative meets the intent of
the model practice. Adding comments to the annotations can help to avoid
rehashing the rationale for accepting the objective evidence multiple times during
team discussions.

Practices
 (ABC) record the presence or absence of objective evidence collected for
reference model practices or model components within the appraisal scope
Parameters (ABC) The inventory of objective evidence (be it in electronic or paper form) is
and Limits updated to reflect what the data imply about the implementation of particular
practices or model components. For every practice or model component within
the reference model scope of the appraisal, annotations indicating the presence or
absence of objective evidence will be made throughout the appraisal conduct.
The annotation scheme used must ensure that the record reveals the following
information:
 (ABC) the basic unit or support function to which the data apply
 (AB) the specific or generic practice to which the data apply
 (C) the model component to which the data apply
 (ABC) the type of objective evidence being recorded (i.e., artifact or
affirmation)
 (ABC) whether the data imply the presence or absence of the objective
evidence
 (ABC) whether the data suggest that the objective evidence is appropriate
 (ABC) whether or not additional information is needed before the team can
characterize the extent to which the practice is implemented

Implementation This activity represents the mechanical aspects of processing appraisal data, and
Guidance is strongly tied to the activities described in process 2.4, Verify Objective
Evidence. The emphasis of this activity description is on the steps needed to
update the inventory of objective evidence and maintain traceability to data
sources. The emphasis of the activity description in Verify Objective Evidence
is on the interpretation of data collected and the sufficiency of objective
evidence relative to the appraisal reference model.
Team members typically record the presence or absence of appropriate

objective evidence into tools such as tracking tables or data consolidation
worksheets. Prior to the assignment of goal ratings, the entire team reviews the
status of the objective evidence as reflected in the annotations made by each
team member.
The data gathered during every data collection session should be related to the
practices or model component in use in a basic unit (e.g., project or work
group) or support function within the organizational unit. In recording the
presence or absence of objective evidence, the intent is to quickly inventory the
composite of factual information. Elaboration about what the data mean or how
they relate to other important issues is captured either in notes or in the
descriptions of practice or model component implementation gaps crafted by
team members.
A single high-yield artifact can reflect the implementation of practices associat-

ed with one or more goals. High-yield artifacts collected to support specific
goals may reflect implementation of practices associated with related generic
goals or practices (e.g., artifacts supporting configuration management goals
may reflect implementation of Generic Practice 2.6 Control Work Products).

Activity The primary intent of this activity is to derive, from the objective evidence
Description gathered, records that describe the gap between what the objective evidence
shows and what the team was looking for to support a claim that the model
practice or component was implemented.
Statements expressing exemplary implementation of practices or model

components (i.e., strengths) may be recorded when objective evidence
indicates that the implementation of the practice or model component is
exceptional. If the organization is compliant with the model practices or
components, but the implementation is not considered to be exemplary, no
statements are recorded.

Practices
 (ABC) document gaps in the basic unit or support function’s implemented
processes relative to appraisal reference model components
 (ABC) document exemplary implementation in the basic unit or support
function’s implemented processes relative to appraisal reference model
components
Parameters (A) For any practice that is characterized as something other than “fully
and Limits implemented” (FI), a statement must explain the gap between what the
organization does and what the model expects (refer to section 2.4.2,
Characterize Implementation of Model Practices and Generate Preliminary
Findings).
(B) For any practice that is characterized as something other than Green, there
must be a statement explaining the gap between what the organization does
and what the model expects.
(C) For any practice that is characterized as something indicating a gap in the
practice in accordance with the characterization scale defined for the appraisal
(see Activity 2.4.2 Characterize Implementation of Model Practices and
Generate Preliminary Findings) a statement must explain the gap between
what the organization does and what the model expects.
(ABC) Statements of practice implementation gaps, presented to the

organizational unit in the form of preliminary findings for validation, must be
free of references to specific individuals or groups, unless basic unit level
findings are planned for the appraisal.
(ABC) Regardless of the medium used, statements describing model compo-

nent implementation gaps or exemplary implementation of model components
must be annotated with the following identifying information:

Parameters  (ABC) the model component to which the statement relates (i.e., process
and Limits area, goal, and practice)
(continued)
 (ABC) the data collection session(s) in which the information was
uncovered
 (ABC) the basic unit or support function to which the statement applies
Implementation The database used to record the inventory of objective evidence may
Guidance incorporate functionality to record practice or model component
implementation gaps and exemplary practice or model component
implementation, or a separate location or tool may be used if desired. Such
statements should be recorded at the level of a particular instance of a model
practice or component. These precursors to preliminary findings (i.e., strengths
and weaknesses) are more detailed and pointed, while all information presented
outside of the team will be aggregated to the goal or other model component
and OU level of abstraction. It is not necessary to generate statements
expressing adequate implementation of a model practice.

Activity This activity is used to continuously monitor the state of available objective
Description evidence and to select the next tactic in the pursuit of obtaining full coverage of
the reference model scope and organizational scope of the appraisal.

Practices
 (ABC) review the inventory of objective evidence collected and the data
collection plan to determine what additional objective evidence is still
needed for sufficient coverage of the appraisal reference model scope
 (ABC) revise the data collection plan to obtain additional objective evidence
for instances where insufficient data are available to judge the
implementation of appraisal reference model practices or components
 (ABC) identify priorities for the upcoming data collection events and
reevaluate the feasibility of the schedule in light of the current state of the
objective evidence
Parameters (ABC) This activity must be enacted at least once a day, and a consolidated
and Limits summary of the appraisal data collection status must be available to the team at
the start of each day during which data collection events are planned.
Implementation The data collection status summarizes the differences between the objective
Guidance evidence on hand and the evidence needed to support the creation of appraisal
outputs (e.g., findings and ratings). Annotations regarding the presence (and
appropriateness) of objective evidence allow the team to inventory the state of
the “knowledge base.” This status then drives requirements for the collection of
more data. Annotation of the inventory of objective evidence is described in
process 2.4, Verify Objective Evidence.
The plan for future data collection should be revisited and updated as necessary.
There may be several situations in which additional data are required for the team
to sufficiently characterize the implementation of appraisal reference model
practices. For example:
 The process of reconciling new data with the old may identify conflicts or
ambiguities in the data that require clarification.
 The search for objective evidence may lead to the discovery of one or more
previously undocumented practice(s) in the organization.
 Attempts to confirm the use of a particular practice or tool by a basic unit or
support function may have been unsuccessful.

Implementation Prioritizing data needs and allocating data collection effort to particular data
Guidance collection events are ongoing activities that the appraisal team leader is
(continued)
responsible for overseeing. The data collection status summary may be
maintained by the appraisal team leader and reported to the team members, or
the appraisal team leader may elect to have each mini-team perform this activity
for the process areas it is assigned.
Specific information needed to resolve ambiguities or conflicts in the existing

data should be documented for follow-up by one or more members of the team.
For detailed data items that have a limited scope of impact, the notes of
individual team members may be adequate to document the data needed. For
example, whether or not a particular person is involved in a meeting, or reviews
a given document, can be confirmed by a simple question asked during an on-
call interview. Therefore, a note made by an individual team member to make
sure the question is asked may suffice.
In contrast, if conflicting information is uncovered about whether or not a given

event occurred (e.g., a meeting) more visibility of this conflict may be needed
among the team members to understand why the information collected thus far
is not internally consistent. In such a case, the person(s) responsible for the
process area in which that practice resides may need to alert the team to the
conflicting data and facilitate a team discussion to seek clarity, as well as
additional data. This potential conflict may lead to the crafting of a specific
interview question, which is used in a standard interview.
The data collection plan and inventory of objective evidence provide a means
for the appraisal team to continuously monitor progress toward sufficient
coverage of appraisal reference model practices in preparation for practice
characterization. Estimates of the additional data collection effort should be
regularly reviewed. If the feasibility of the appraisal schedule is called into
question, a re-planning effort may be necessary (as described in Activity 1.5.2,
Re-Plan Data Collection).

2.4 Verify Objective Evidence
Purpose Verify the sufficiency of objective evidence to determine the implementation of
model practices or model components for each instantiation. Describe any
strengths and weaknesses in the implementation of model practices or model
components. Each implementation of each practice or model components is
verified so that it may be compared to the practices or model components of the
reference model. Then the team can characterize the extent to which the practices
in the model are implemented.
Entry Criteria Objective evidence has been collected about the implementation of practices or
model components in the organization. Gaps in the implementation of model
practices or exemplary practice or model component implementation have been
identified, and the team is ready to characterize the extent to which model
practices (or acceptable alternatives to those practices) have been implemented.
Inputs  Appraisal plan, including schedule and participants for verification activities
 Practice or model component implementation gaps (if any)
 Exemplary practice or model component implementation (if any)
 Data collection plan specifying any additional information needed
Activities 2.4.1 Verify Objective Evidence

2.4.2 Characterize Implementation of Model Practices and Generate
Preliminary Findings

 Strength statements (if any)
 Weakness statements (if any)
 Annotated worksheets
 Updated appraisal artifacts

 Preliminary findings
 Revised data collection plan
 Requests for additional data
 Practice characterizations
 Instantiation level
 organizational unit level
Outcome The team’s confidence in the material that will form the basis for appraisal
outputs is increased. Any critical deficiencies in the data on hand have been
identified and actions to resolve these issues have been initiated.

Exit Criteria The team has recorded data on the implementation of practices or model
components in the organization, and characterized the extent to which practices
in the model are implemented as planned.
Key Points The data used to formulate appraisal outputs must be verified to ensure that the
results of aggregating individual detailed data items will lead to appropriate
appraisal outputs.
Tools and Facilitation techniques to guide the team through difficult decisions are important
Techniques during this activity (as they are during the rating activity as well). Techniques to
enhance the credibility of the preliminary findings are also important.
Metrics Planned versus actual effort expended for this process (as with all activities) will
assist in monitoring progress as well as planning subsequent appraisals.
Verification and The appraisal team leader must ensure active participation in verification
Validation activities as a way of confirming that the verification process is working as
intended. Reactions to the validation activity (Activity 2.5.1, Validate
Preliminary Findings) will provide feedback to help validate that this activity
was successful.
Records Any characterizations of practice implementation and strength/weakness

statements will be recorded for subsequent use by the team.
Interfaces with During the conduct of an appraisal, the team gathers and analyzes a great deal of
Other detailed information. Processes described earlier in this document clarify how
Processes
data are gathered and examined. The process described here is focused on
understanding the information revealed by the data. The processes described after
this one are focused on making reliable and valid rating judgments based on the
verified data.
Summary of The initial objective evidence provided by the organization is used to understand
Activities how practices or model components are intended to be implemented. Members of
the appraisal team then seek information to confirm that the intended practices or
model components are indeed implemented. This first verification Activity
(2.4.1, Verify Objective Evidence) may reveal gaps or strengths in the actual
implementation that are not apparent in the initial objective evidence provided by
the organization.

Summary of The next verification Activity (2.4.2, Characterize Implementation of Model
Activities Practices and Generate Preliminary Findings) then compares the implemented
(continued)
practices to the practices in the reference model. This activity may also reveal
gaps in the implementation(s) that will later bear on the ratings assigned by the
team during a SCAMPI A. Standard characterizations to capture the extent of
practice implementation, first at the instantiation level and then at the
organizational unit level, are recorded by the team with descriptions of gaps in
implementation.

2.4.1 Verify Objective Evidence
Activity The appraisal team establishes a clear understanding of the practices or model
Description components implemented in the organization through the data collection
activities carried out during the appraisal. Typically, the organization provides a
set of objective evidence at the beginning of the appraisal process, and the team
follows the data collection plan to gather the complete set of data required to
support the verification process described here. Parameters for adequacy,
coverage and sufficiency are specified here. Consult Appendix F, Scoping and
Sampling in SCAMPI A Appraisals, for more detailed illustrations of the flow of
activities relating to sampling and data adequacy.

Practices
 (ABC) verify the appropriateness of objective evidence (i.e., artifacts and/or
affirmations) provided by basic units or support functions to enable adequate
understanding of the extent of implementation of each practice or model
component within the appraisal reference model scope
 (ABC) verify that the objective evidence provided are sufficient to cover the
organizational and model scope of the appraisal
Parameters (ABC) Data Adequacy Rules

and Limits
Artifacts: For an artifact to be accepted as evidence of practice or model
component implementation, it must be a product or by-product of the practice or
model component being examined by the appraisal team.
Affirmations: For an affirmation to be accepted as evidence of practice or model

component implementation, it must be supplied by an individual who
participated in the implementation of the practice or model component being
examined by the appraisal team.
Data Sufficiency: Verify that all data (i.e., artifacts and/or affirmations) are
provided for selected basic units and support functions for the model scope of the
appraisal, in accordance with the coverage rules specified in Section 1.1.4
Determine Appraisal Scope, and documented in the data collection plan.
Coverage of the Basic Unit or Support Function: For basic units or support
functions that encompass multiple disciplines or facets of work, ensure that the
objective evidence covers all aspects of the work (e.g., in a systems and software
project, looking only at evidence relating to software engineering is inadequate).
Implementation See Appendix B, Alternative Practice Identification and Characterization

Guidance Guidance, for information on cases involving alternative practices.

2.4.1 Verify Objective Evidence
Implementation The example work products listed in the reference models provide examples of
Guidance artifacts that can be used to indicate practice implementation. These are
(continued)
examples only and are not required; alternatives more appropriate to the
organization and the basic units will typically be appropriate.
Typically, many of the artifacts required to support this verification are
provided in advance of the Conduct Appraisal phase. The primary focus of data
collection is to permit the team to verify that the intended practices or model
components are implemented across the organizational unit. Where the
implemented practices or model components differ from the intended practices
or model components, the objective evidence provided at the start of the
appraisal process is annotated to more accurately reflect the implemented
process in the organization. These annotations are typically statements
describing a gap in the implementation of a practice or model component, some
of which will eventually become weaknesses.
Only after team members have a clear understanding of the implemented
practices can they compare them to the model to characterize the extent to
which the organizational unit implements the practices in the model or
acceptable alternatives.

Activity Once objective evidence on practice implementation has been verified, the team
Description turns to characterizing the implementation of model practices. For each model
practice, and each instance sampled (i.e., in each basic unit or support function
supplying data for that practice), the team will document a characterization of the
extent to which the model practice (or an acceptable alternative) has been
implemented. The implementation-level characterizations are then aggregated to
the organizational unit level.
Characterizations of practice implementation are used as a means to focus

appraisal team effort on areas where professional judgment is needed, and to aid
in reaching team consensus on the extent to which practices are implemented.
In preparation for validating the verified information, the appraisal team

generates preliminary findings that summarize potential strengths or weaknesses
that support judgments about appraisal results. The preliminary findings are
written in reference to model practice(s) or model component(s), and are
abstracted to the level of the organizational unit, unless the appraisal is planned
to allow for basic unit-level preliminary findings.

Practices
 (AB) characterize the extent to which appraisal reference model practices are
implemented
 (A) aggregate practice implementation characterization values to the
organizational unit level
 (ABC) document summary level weaknesses in practice or model
component implementation if appropriate
 (ABC) document summary level strengths in practice or model component
implementation, if appropriate
 (ABC) generate and verify preliminary strengths and weaknesses
Parameters (AB) Characterization of the implementation of each practice in each basic unit
and Limits or each support function is assigned according to the appropriate tables below.
Characterize These initial characterizations may be assigned through consensus of a mini-
Practice team (consisting of more than one team member), or may be based on the
Implementation consensus of the entire appraisal team.
(AB) Judgments described in the tables below are contingent on the appraisal
scope requirements for sufficient data, as defined in 1.1.4 Determine Appraisal
Scope and 2.4.1 Verify Objective Evidence. In some cases, only artifacts will be
examined, and in some cases only affirmations will be examined.

Activity (B) Characterization at the OU level is optional.

Description
(C) Characterization is an optional output. Characterizations may be performed
at the instance level or at the OU level. If OU characterizations are generated,
they may be based on aggregation of instance characterizations, or they may be
based on data summarized at the OU level. If practice characterizations are to be
generated, characterizations generated must be supported by relevant objective
evidence.

Parameters (A) The table below summarizes the rules for characterizing each practice for
and Limits each instantiation within the appraisal scope.
(continued)
Label Meaning
Fully Sufficient artifacts and/or affirmations are present (per

Implemented (FI) 1.1.4 Determine Appraisal Scope and 2.4.1 Verify
Objective Evidence) and judged to be adequate to
demonstrate practice implementation, and no
weaknesses are noted.
Largely Sufficient artifacts and/or affirmations are present (per

Implemented (LI) 1.1.4 and 2.4.1) and judged to be adequate to
demonstrate practice implementation, and one or more
weaknesses are noted.
Partially Some or all data required (per 1.1.4 Determine Appraisal

Implemented (PI) Scope and 1.4.1 Obtain Initial Objective Evidence) are
absent or judged to be inadequate, some data are
present to suggest some aspects of the practice are
implemented, and one or more weaknesses are noted.
OR
Data supplied to the team (artifacts and/or affirmations)

conflict –some data indicate the practice is implemented
and some data indicate the practice is not implemented,
and one or more weaknesses are noted.
Not Some or all data required (per 1.1.4 Determine Appraisal

Implemented (NI) Scope and 2.4.1 Verify Objective Evidence) are absent or
judged to be inadequate, data supplied does not support
the conclusion that the practice is implemented, and one
or more weaknesses are noted.
Not Yet (NY) The basic unit or support function has not yet reached the
stage in the sequence of work, or point in time to have
implemented the practice.

Parameters (A) The table below summarizes rules for aggregating implementation-level
and Limits characterizations to derive organizational unit-level characterizations.
(continued)
Consensus of all members of the appraisal team is necessary for organizational
unit-level characterizations.
(A) The column labeled “Implementations” is the input condition—the pattern

of practice implementation characterizations for basic units or support
functions. The column labeled “Outcome” is the resultant aggregated practice
implementation characterization at the organizational unit level.
Implementations Outcome Remarks
All FI or NY, with at FI All implementations are characterized FI or

least one FI NY, with at least one FI.
All LI or FI or NY, with LI All implementations are characterized LI or FI

at least one LI or NY, with at least one LI.
At least one LI or FI LI or PI At least one implementation is characterized

and at least one PI or as LI or FI and at least one implementation is
NI characterized as PI or NI. Team judgment is
applied to choose LI or PI based on whether
the weaknesses, in aggregate, have a
significant negative impact on goal
achievement.
All PI or NI or NY, PI All implementations are characterized PI or NI

with at least one PI or NY, with at least one PI.
All NI or NY, with at NI All implementations are characterized NI or

least one NI NY, with at least one NI.
All NY NY All implementations are characterized NY. No

basic units or support functions within the
organizational unit have yet reached the stage
in the sequence of work to have implemented
the practice. (Note: If literally all basic units
and support functions in an organizational unit
have not reached the stage in the sequence
of work to have implemented the practice, but
will in the future, no rating can be given for the
associated goal.)

Parameters (B) The table below summarizes the rules for characterizing practices for each
and Limits instantiation within the appraisal scope.
(continued)
Label Meaning
The intent of the model practice is judged to be absent or
Red poorly addressed in the set of implemented practices; gaps
or issues will prevent goal achievement.
The intent of the model practice is judged to be partially
addressed in the set of implemented practices; some gaps
Yellow
or issues were identified that might threaten goal
achievement.
The intent of the model practice is judged to be adequately
Green addressed in the implemented set of practices examined in
a manner that would support goal achievement.
(B) In addition to the above, a designation of “out of scope” is used when no

characterization was assigned because the appraisal did not gather data to sup-
port characterization of the practice.
(BC) Also, a designation of “not yet” may be used to indicate that there was no
opportunity to observe the implementation of the practice due to the fact that
none of the sampled parts of the organization have reached the phase in the life
cycle where the practice would be implemented.
(B) If generating OU characterizations for practices in the appraisal scope, the
following aggregation scheme is required.
Resulting OU
Instance Characterizations
Characterization
All instantiations characterized red Red
All instantiations characterized yellow Yellow
All instantiations characterized green Green
All conditions not included above Team judgment—subject
to below*
* The OU characterization shall not be Red unless at least one instance
characterization is Red, and the OU characterization shall not be Green
unless at least one instance characterization is Green
(B) Appraisal teams use professional judgment, in light of the needs of the
organization, to determine OU characterizations for practices where not all
instantiations are Red and where not all instantiations are green. When the team
elects to set rules for characterizing (e.g., if at least one instance is red, then the
OU is red), these rules must be documented in the appraisal plan and reported as
part of the appraisal results.

Parameters (A) For any practice that is characterized other than fully implemented a
and Limits statement must explain the gap between what the organization does and what the
(continued)
model expects.
Generate
Preliminary (B) For any practice that is characterized other than green, a statement must
Findings explain the gap between what the organization does and what the model expects.
(C) If characterizations are to be generated note the following:
 (C) The characterization scale must be a three-point scale.

 (C) The three-point scale may include additional values for “not yet” as well
as “out of scope”
 (C) The characterization scale must not overstate the conclusiveness of the
outcome (e.g., referencing satisfaction of related goals, process areas, or
capability or maturity levels).
 (C) Characterization schemes must be documented in the appraisal plan.
(ABC) Statements of strengths and weaknesses presented to the organizational

unit in the form of preliminary findings for validation must be free of references
to specific individuals, basic units, or support functions. Attribution to basic
units and support functions is permitted as a tailoring option if it is planned and
communicated to appraisal participants in advance of the data collection
activities. However, attribution to individuals shall never be permitted.
(ABC) Findings (i.e., strengths and weaknesses) must be verified, that is, they
must be based on sufficient objective evidence (refer to Activity 2.4.1, Verify
Objective Evidence) and they must be consistent with other verified findings.
Verified findings cannot be both true and mutually inconsistent; in aggregate,
they constitute a set of truths about the organizational unit that must be
consistent.
(ABC) Strengths are only documented if the implementation of a practice or

model component is exemplary (above and beyond the capability described in
the model), and reflects a strong asset of the process in use. An adequate
implementation of a model practice or model component is not a strength. Team
members use their collective experience and judgment to determine whether or
not they have uncovered a strength to highlight in the appraisal findings.

Implementation A weakness is defined in the glossary as “the ineffective, or lack of,

Guidance implementation of one or more reference model practices or model
components.”
For a SCAMPI A, if there is no impact on goal satisfaction, there is no need to

document a weakness. If the appraisal team identifies a process improvement
suggestion with a model practice that is not an ineffective (or lack of)
implementation of a model practice, it is recorded as a note rather than a
weakness.
See Appendix B, Alternative Practice Identification and Characterization

Guidance, for information on applying these characterization rules in situations
where acceptable alternative practices have been identified.
When the team is ready to perform the ratings for SCAMPI A, these
characterizations serve to simplify the judgments. The team is then able to
focus on the aggregation of weaknesses observed to determine the goal
satisfaction ratings (explained in process 2.6, Generate Appraisal Results).
Instantiations in situations where the basic unit or support function has not yet
reached the appropriate stage in the sequence of work where the practice would
be enacted are characterized as Not Yet (NY). The appraisal-planning activities
are expected to prevent situations that severely limit the examples of actual
implementation for any given practice.
The characterization activity can begin as soon as sufficient data are available.
It is not necessary that data for the entire organizational unit scope be available
before any given practice can be characterized at the implementation level.
However, before the implementation of a practice across the organizational unit
can be characterized, the implementation-level characterizations have been
completed. Each instance of practice enactment is characterized using the
implementation-level characterization schemes.
The characterization of practice implementation for the organizational unit is

carried out using the aggregation rules summarized in the tables above. These
rules provide a basis for identifying the areas where professional judgment is
required, and simplify the areas where the data are unanimous.

2.5 Validate Preliminary Findings
Purpose Validate preliminary findings, including weaknesses (i.e., gaps in practice or
model component implementation) and strengths (i.e., exemplary implementation
of model practices or components) with members of the organizational unit.
Entry Criteria Strengths and weaknesses in the implementation of model practices or

components have been identified, and when practice characterizations are
included as an appraisal output, the team has characterized the extent to which
model practices (or acceptable alternatives to those practices) have been
implemented. Preliminary findings at the level of the organizational unit have
been crafted and verified for validation.
Inputs  Appraisal plan, including a schedule and participants for data validation
activities
 Strength and weakness statements
 Verified objective evidence
 Characterizations of model practice implementation
Activities 2.5.1 Validate Preliminary Findings
Outputs Validated appraisal findings
Outcome The team’s confidence in the material that will form the basis for appraisal
outputs is increased, and the process of transferring ownership of these results
has been started. Any critical deficiencies in the data on hand have been
identified and actions to resolve these issues have been initiated.
Exit Criteria Preliminary findings have been validated with members of the organization who
provided appraisal data.
Key Points This activity has one purpose—ensuring the validity of the appraisal data and
associated outputs. Managing the interaction with people outside of the team is a
vitally important process to ensure that the results will be accurate.
Tools and Techniques to enhance the credibility of the preliminary findings are important.
Techniques Using a flip chart or note taker during the presentation of preliminary findings is
often effective for instilling confidence among audience members.

2.5 Validate Preliminary Findings
Metrics Planned versus actual effort expended for this process (as with all activities)
will assist in monitoring progress as well as planning subsequent appraisals.
Gauging the level of acceptance for preliminary findings can be facilitated by
computing the percentage of findings adjusted based on feedback, then
comparing this value with past experience.
Verification and The attendees of preliminary findings presentations are likely to express
Validation agreement and/or discuss issues with the data being validated. The appraisal
team leader must ensure active participation in these activities as a way of
confirming that the verification and validation process is working as intended.
The actions taken following the appraisal will provide feedback to help validate
that this activity was successful.
Records Any characterizations of practice implementation, strength/weakness

statements, and changes made based on feedback will be recorded for
subsequent use by the team.
Interfaces During the conduct of an appraisal, the team gathers and analyzes a great deal
with Other of detailed information. Processes described earlier in this document clarify
Processes
how data are gathered and examined. The process described here is focused on
ensuring the data reflects actual conditions in the organization. The processes
described after this one are focused making reliable and valid rating judgments
based on the validated data.
Summary of When team members have achieved their planned coverage of data collection,
Activities the preliminary findings are validated with the members of the organization.
This final activity prior to rating allows team members to build confidence that
their investigation has been thorough, and the members of the organization are
provided with an opportunity to correct any perceived errors in the appraisal
data.

2.5.1 Validate Preliminary Findings
Activity Validation of preliminary findings is primarily a data collection activity, and the
Description intent is to validate the appraisal team’s understanding of the processes
implemented within the organizational unit. Feedback from participants may
result in modifications to the appraisal team’s inventory of objective evidence.
The results of the validation activity are considered in the formulation of final
findings and goal ratings. These latter activities cannot commence until after the
validation activity has occurred.

Practices
 (BC) this is an optional activity
 (A) validate preliminary findings weaknesses with members of the
organizational unit
Parameters (A) Every model practice characterized as not implemented (NI), partially
and Limits implemented (PI), or largely implemented (LI) at the organizational unit level
must have at least one weakness associated with it.
(A) At least one appraisal participant from each basic unit or support function
providing objective evidence and from any associated staff function must
participate in the set of validation activities.
(ABC) Only appraisal participants may participate (i.e., only people who
provided data may participate in validation).
(ABC) At the appraisal team lead’s discretion, or at the request of the sponsor,
weaknesses can be written to describe connections between the weakness and
business goals.
(ABC) The rules of confidentiality and the expected use of appraisal data must be
communicated to participants in each validation activity.
Implementation Areas where the appraisal team’s inventory of objective evidence is insufficient
Guidance to satisfy the corroboration (see 1.1.4 Determine Appraisal Scope) may instead
be addressed by requests for additional information needed.
Preliminary findings are the building blocks that lead to the judgment of goal
satisfaction for SCAMPI A, and are the detailed information that forms the basis
for the final findings. As an intermediate artifact of the appraisal process,
preliminary findings are used to ensure traceability between inputs to the
appraisal and outputs of the appraisal. While not required for SCAMPI B or C, it
is beneficial to validate preliminary findings with members of the organization to
ensure that the appraisal team correctly interpreted the objective evidence
reviewed.

Feedback from participants on the preliminary findings should be solicited by the
appraisal team and considered for possible revisions to its inventory of objective
evidence.
If virtual methods such as video conferences, teleconferences, and other similar

technology are used for the validation session(s), the appraisal team leader
should ensure that these methods in no way compromise the integrity of the
appraisal or the accuracy of the results. Virtual methods should allow for
adequate interaction between the appraisal team members and the appraisal
participants and should provide mechanisms for the appraisal team to control the
validation session. Appropriate arrangements, such as meeting rooms at remote
sites, should be made and checks done to ensure that only appraisal participants
attend this presentation to maintain confidentiality.
It is not expected that preliminary findings will provide a detailed listing of the
implementation status of every model practice or component in every sampled
basic unit or support function. Furthermore, it is not expected that the
preliminary findings will identify the status of individual basic units or support
functions with regard to practice or model component implementation or goal
achievement. An appraisal sponsor may request these more detailed appraisal
results. The appraisal team leader should negotiate for the proper allocation of
time to accommodate this tailoring option, and the expectation that such
information will be preserved at the end of the appraisal should be made clear to
all appraisal participants.

Implementation An interactive presentation is the most effective mechanism for validating the
Guidance preliminary findings. The members of the organization who provided data to
Preliminary the appraisal team are typically brought together in a conference room, and a
Findings slide presentation is used to review the preliminary findings in an effort to
Presentations invite people to provide additional data or express their agreement with the
summary statements. The audience is often grouped by seniority in the
organization, and separate presentations are made for practitioners, project
managers, and middle managers.
During the presentation, one or more members of the team review the
preliminary findings statements and provide the audience with an opportunity
to comment or ask questions. The presenter uses only the words crafted by the
appraisal team and avoids elaborating on the findings using his or her own
words.
When questions are asked about a preliminary finding, the appraisal team
leader provides any clarification needed to understand what the statement
means. However, team members avoid the appearance that they are justifying
the content of the statement.
The detailed data that led to the preliminary findings must be protected, and
negotiations for wording changes avoided. The appraisal team records new data
made available to them without commenting on how the data may be
interpreted or how the findings may need to change.
Implementation As an alternative (or in addition) to the presentation, focus groups can be used
Guidance to probe more deeply into specific areas of the reference model with a targeted
Focus Groups audience. This use of focus groups permits the team to explore a particular area
in more depth to help sharpen the appraisal results, or to raise the visibility of
the results to people who are most informed on the topic. For example, a focus
group conducted with project managers could be an ideal environment to
validate (and gather more detailed data on) the topic of project planning and
project monitoring.
In contrast, a focus group composed of engineering process group members

may be an ideal setting to validate findings associated with the organization’s
infrastructure for process improvement. The preliminary findings that relate to
the group may be distributed as handouts or displayed using a projector, and
the participants can engage in a free-form dialogue with the team and amongst
themselves. Notes taken by the members of the team are treated as any data
collected during an interview would be.

Implementation Finally, a survey instrument can be used in addition (or as an alternative) to

Guidance either of the techniques above. A carefully worded instrument that asks
Survey respondents to rate their level of agreement with the finding statement, and
Instrument provides an opportunity for written feedback, can provide a low-cost and timely
source of data for the team.

2.6 Generate Appraisal Results
Purpose Rate goal satisfaction based on the extent of practice implementation throughout
the organizational scope of the appraisal. The extent of practice implementation
is judged based on validated data (e.g., artifact and affirmation objective
evidence) collected from the entire representative sample of the organizational
unit. Aggregate ratings (process area ratings, maturity level ratings, capability
ratings, etc.) are driven by the goal satisfaction ratings.
Entry Criteria The set of validated preliminary findings, statements of practice or model
component implementation strengths and weaknesses, and/or tabulations of
validated objective evidence of practice or model component implementation on
which they are based are available. Team members are confident that they have
all the data needed to make rating judgments. The data obtained completely
covers the practices or model components within the defined appraisal reference
model scope and the entire representative sample selected for the organizational
unit.
Inputs Appraisal data
 Validated preliminary findings

 Tabulations of objective evidence of practice or model component
implementation
 Annotated worksheets, checklists, working notes
Activities 2.6.1 Derive Findings and Rate Goals

2.6.2 Determine Process Area Ratings
2.6.3 Determine Process Area Profile
2.6.4 Determine Maturity Level
2.6.5 Document Appraisal Results
Outputs  Final findings

 Recorded rating decisions
Outcome A formal rating decision is made for each appraisal reference model component
that was planned to be rated, and for which the team obtained complete or
sufficient data.
Exit Criteria Ratings against all components per the plan have been made and recorded.

Key Points The judgment of goal satisfaction is based on and traceable to the extent of the
implementation of practices associated with that goal (or alternative practices
contributing equivalently to goal satisfaction).
Success in this activity is driven by team members’ ability to limit their focus
to the data that support the judgments, and to avoid issues that threaten their
ability to be objective. This activity can create a great deal of stress for team
members under pressure to help their organization “do well.” The appraisal
team leader must skillfully facilitate this activity when external pressures exist.
Tools and There is a significant amount of data to review in making each round of
Techniques judgments. Rating worksheets and automated support tools facilitate the
team’s decision-making process by presenting necessary data in a concise,
well-organized manner. When controversial issues are encountered, the
appraisal team leader must actively facilitate to ensure that the team remains
focused on the pertinent issues. Strategic rest breaks, and sequencing and
pacing critical discussions, are often keys to success.
Metrics  Planned versus actual effort for each component rated

 Number of model components rated satisfied or unsatisfied
Verification and The appraisal team leader verifies that the rating process was performed in
Validation accordance with the method rules and the rating baseline selected and
documented in the appraisal plan. Work aids used to record the team
judgments help to ensure traceability to the basis for the rating judgments.
Records A worksheet or other work aid may be used to make a record of the rating
decisions. A process area profile is often an effective means of recording and
communicating these results.

Interfaces The rating judgments made by the appraisal team are dependent on the quality
with Other of the data available to them, as well as their ability to reliably judge the
Processes
implementation and institutionalization of practices in the organization that
relate to the reference model. All processes previously described contribute to
the team’s ability to effectively execute this process to generate appraisal
results.
The Analyze Requirements process establishes the rating baseline, the

organizational unit to which ratings will apply, and the purpose for which the
ratings are used. The Develop Appraisal Plan process, in conjunction with the
Obtain and Inventory Initial Objective Evidence and Prepare for Appraisal
Conduct processes, determines the sample of the organizational unit for which
data will be collected and from which the ratings will be determined.
The Select and Prepare Team process ensures that the team has sufficient
knowledge and skills to interpret the data and arrive at sound rating judgments.
The Examine Objective Evidence and Document Objective Evidence processes
provide the basic information that is needed to support judgments in a form that
facilitates making the judgments.
The Verify Objective Evidence process characterizes the extent to which the
organizational unit implements practices in the model (or acceptable
alternatives). The Validate Preliminary Findings process validates findings that
describe any weaknesses or strengths associated with the practice or model
component implementations.
Upon the successful execution of these processes, the team is ready to rate the
satisfaction of goals dependent on those practices.
Summary of The required and fundamental rating activity involves making team judgments
Activities about goal satisfaction for each and every goal within the appraisal reference
model scope. Once goal satisfaction has been determined, optional aggregate
ratings may be produced.
The first level of aggregate rating aggregates goal satisfaction to process area
ratings. This process is described in Section 2.6.2. The second level of
aggregate rating is to produce a process area profile, as described in Section
2.6.3. The third and final level of aggregate rating is to produce a maturity level
rating for the entire organizational unit.

2.6.1 Derive Findings and Rate Goals
Activity The preliminary findings focus on exemplary practice implementations as well as

Description gaps in the implementation of practices. For SCAMPI A, the judgments made
about goal satisfaction are driven by the preliminary findings that were
documented by the appraisal team and validated by appraisal participants as well
as the extent of implementation of associated practices. When performing goal
ratings, the team judges whether or not these weaknesses in the implementation
of practices (in aggregate) threaten the organizational unit’s ability to satisfy the
goals associated with the practices. Goal ratings are not permitted for SCAMPI B
or C.

Practices
 (ABC) derive final findings using preliminary findings statements, any
feedback or additional objective evidence collected from validation activities
 (A) rate each goal within the reference model scope of the appraisal, based
on the practice implementation characterizations at the organizational unit
level as well as the aggregation of weaknesses associated with that goal
 (ABC) obtain appraisal team consensus on the findings statements
 (A) obtain appraisal team consensus on the ratings generated for the
organizational unit level
Parameters (ABC) When deriving final findings, the aim is to create high-level statements
and Limits that summarize the strengths and weaknesses in practice or model component
implementation. These statements must be abstracted to the level of the
organizational unit, and cannot focus on individual basic unit or increments
(unless the tailoring option for basic unit- or increment-specific findings has been
agreed on during planning).
(A) A specific goal must be rated “not rated” if any associated practices are not
characterized at the organizational unit level or if they are characterized as “not
yet” at the organizational unit level.
(A) A specific goal is rated “not rated” if the associated set of objective evidence
does not meet the defined criteria for sufficient data coverage.
(A) The goal is rated “satisfied” if and only if both of the following are true:
 (A) All associated practices are characterized at the organizational unit level
as either largely implemented or fully implemented.
 (A) The aggregation of weaknesses associated with the goal does not have a
significant negative impact on goal achievement.
(A) For a goal to be rated as “unsatisfied,” the team must be able to describe how
the set of documented weaknesses (or single weakness) led to this rating.

2.6.1 Derive Findings and Rate Goals
(BC) Goal ratings are not permitted.
Implementation Any endeavor that results in producing a score, grade, or rating is by definition
Guidance an area of sensitivity to those affected by the outcome. An objective and clear
basis for assigning a rating lessens this sensitivity and results in a more
consistent basis of comparison among the organizational units and goals rated.
Judgments made prior to and during the rating process should be based on
observable facts and should be made at the lowest level of abstraction that
makes sense.
Characterizations made at the instantiation level are aggregated into a

characterization of the extent of practice implementation throughout the
organizational unit, as described earlier in process 2.4, Verify Objective
Evidence. The judgment of goal satisfaction is then based on, and directly
traceable to, the extent of implementation of practices associated with that goal.
(See Appendix B, Alternative Practice Identification and Characterization
Guidance, for information regarding the judgment of goal satisfaction when
acceptable alternative practices are involved.)
Findings should be phrased in terms that best support the appraisal sponsor’s
decision making and taking and taking action to address appraisal results.

Activity The appraisal team may produce ratings for process areas. Assigning process
Description area ratings is an optional activity that is selected at the discretion of the
appraisal sponsor and documented in the appraisal plan. Depending on the
reference model chosen, the process area ratings may reflect a staged architecture
(“satisfied” vs. “unsatisfied”) or a continuous architecture (capability levels 0 to
3).
Required (A) If process area ratings are selected as an appraisal output by the sponsor, the
Practices appraisal team shall do the following:
 (A) If using a continuous representation, assign a capability level to each

process area within the scope of the appraisal, based on the highest level for
which all specific goals and generic goals within the appraisal scope have
been satisfied. (See the parameters and limits section that follows for a more
specific discussion.)
 (A) If using a staged representation, rate the satisfaction of each process area
within the scope of the appraisal, based on the satisfaction ratings assigned to
all goals included in that process area. See the parameters and limits section
(below) for a more specific discussion.
 (A) If any of the goals are rated “not rated” and none of the other goals are
rated “unsatisfied,” then the process area is rated “not rated.”
 (A) When a process area is determined to be outside of the organizational
unit’s scope of work, the process area is designated as “not applicable” and
is not rated.
 (A) When an applicable process area is outside of the scope of the model
used for the appraisal, the process area is designated as “out of scope” and is
not rated.
(BC) Process area ratings are not permitted.

Parameters (A) For an appraisal using a continuous representation, the following table
and Limits defines the basis for capability level ratings:
Capability Process Areas

Level
0 Default rating
1 Generic goal for capability level 1 is rated “satisfied.”

(All specific goals are rated “satisfied.”)
2 Generic goals for capability levels 1 and 2 are rated “satisfied.”

3 Generic goals for capability levels 1, 2, and 3 are rated “satisfied.”

(A) For an appraisal using a staged representation model, the “satisfied” rating
for a process area may depend on the target maturity level for the appraisal if
performing the maturity level rating was selected by the appraisal sponsor.
(A) For CMMI models, rating a process area “staged at maturity level 2” as
satisfied would require a “satisfied” rating for generic goal 2 to support a
maturity level 2 outcome for the appraisal. If the target maturity level for the
appraisal is level 3, then generic goal 3 must be satisfied for the process area to
be rated as “satisfied.”
Implementation If the targeted ratings for process areas are not achieved, the organization can
Guidance implement an action plan and participate in an action plan reappraisal to address
the goals which were “unsatisfied” or “not rated,” reference Phase 4, Action Plan
Reappraisal.

2.6.3 Determine Process Area Profile
Activity The appraisal team may create a process area profile (called “capability level
Description profile” or “achievement profile” in CMMI models) that graphically depicts the
ratings assigned to each process area within the scope of the appraisal. The
generation of a process area profile is an optional activity, selected at the
discretion of the appraisal sponsor and documented in the appraisal plan.
Required (A) If a process area profile was selected as an output by the sponsor, the
Practices appraisal team shall generate a process area profile depicting the ratings for
each process area within the scope of the appraisal.
Parameters (A) A simple bar chart can be used for the display. Each process area is
and Limits represented in a single bar along the horizontal axis, and the vertical axis
represents the rating dimension (i.e., “satisfied” vs. “unsatisfied” or a capability
level of 0, 1, 2, or 3). The height of each bar communicates the rating for the
process area represented.
(A) Capability levels take only the values 0, 1, 2, or 3. Intermediate values (e.g.,
2.7) are not defined for this appraisal outcome, and any embellishment of the
Capability Profile with such values is outside the boundaries of SCAMPI A.
(A) Satisfaction ratings, which may take on one of two values “satisfied” or
“unsatisfied” for each process area, are used when the appraisal is using the
staged representation.
(BC) Process area profile is not permitted.
Implementation Process area profiles are typically used to communicate the rating results to the
Guidance sponsor and others designated by the sponsor.
Comparing different process areas with respect to their satisfaction status or

capability level may be informative in discussing trends or patterns in the
organization.
This activity may be omitted entirely: it is a tailoring option.

2.6.4 Determine Maturity Level
Activity Historically, one of the most visible outcomes of an appraisal has been the
Description maturity level (ML) rating. The determination of a maturity level rating is
straightforward and is derived mechanically from the ratings assigned to
process areas. Assigning a maturity level rating is an optional activity, selected
at the discretion of the appraisal sponsor and documented in the appraisal plan.
Required (A) If a maturity level rating was selected as an output by the sponsor, the
Practices appraisal team shall assign the maturity level based on the ratings assigned to
process areas.
Parameters (A) When using the staged representation, the ML determined is the highest
and Limits
level at which all process areas contained within the ML, and within all lower
MLs, are rated as “satisfied” or “not applicable.” (Note: as explained in the
parameters and limits for rating processes areas, to achieve ML 3, CMMI
models also require satisfaction of GG 3 for process areas staged at ML 2.
(A) When using the continuous representation, use the equivalent staging in the
reference model for a description of the capability level profiles required for
each ML rating.
(A) To determine a ML as an output of the appraisal, the model scope of the

appraisal must include the minimum set of process areas required by the
appraisal reference model. (BC) ML rating is not permitted
Implementation This activity may be omitted entirely, as it is a tailoring option. If a ML is to be

Guidance
reported, the process area ratings that form the basis for the ML rating are
derived as described in Activity 2.6.2, Determine Process Area Ratings.
If the targeted maturity level is not achieved, the appraisal team lead provides a
recommendation about the suitability of an action plan reappraisal. The sponsor
then decides whether to implement an action plan and participate in a
subsequent action plan reappraisal to address goal-impacting weaknesses
(Reference Phase 4Action Plan Reappraisal (Optional)).

2.6.5 Document Appraisal Results
Activity The results of conducting the appraisal are documented for reporting. Verbal
Description reports of the rating outcomes or oral explanations of implementation
weaknesses discovered by the team are not sufficient to communicate appraisal
results.

Practices
 (ABC) document the final findings
 (A) document the rating outcome(s)
 (A) document the validity period of maturity level or capability level
ratings
 (ABC) document the appraisal disclosure statement
Parameters (ABC) The appraisal disclosure statement and the set of appraisal outputs
and Limits agreed on with the appraisal sponsor must be documented.
(ABC) The appraisal disclosure statement, and the associated findings, must be
documented as a part of the appraisal information returned to the CMMI
Institute.
Implementation This activity is focused on collecting and documenting the results of activities
Guidance related to the generation of findings and ratings. Depending on who will receive
the results, multiple forms of the results may be needed. Certain data may not
be appropriate for all audiences, or the style and language of the results may
need to be adjusted to best fit the needs of the recipients.
The documented appraisal results are typically provided in a final findings

presentation, described in activity 3.1.1, Deliver Final Findings.

3 Report Results
3.1 Deliver Appraisal Results

Purpose Provide credible appraisal results that can be used to guide actions. Represent the
strengths and weaknesses of the processes in use at the time. Provide ratings (if
planned for) that accurately reflect the capability level or maturity level of the
processes in use.
Entry Criteria  Objective evidence has been verified (through the team process).
 Preliminary findings have been validated.
 Ratings have been determined (for model components selected for rating).
 Final findings have been created and reviewed by the team.

 Final findings
 Ratings
 Appraisal artifacts
 Appraisal plan
Activities 3.1.1 Deliver Final Findings

3.1.2 Conduct Executive Session(s)
3.1.3 Plan for Next Steps
Outputs  Documented final findings

 Final report (if requested)
 Recommendations report (if requested)
 Process improvement action plan (if requested)
Outcome  The sponsor and the appraised organizational unit are provided with the
results of the appraisal.
 A valid and reliable assessment of the current state of the processes in use
across the organizational unit is documented.
Exit Criteria  Appraisal results are delivered to the appraisal sponsor and organizational
unit.
 An executive session is conducted, if appropriate.

Key Points The appraisal results are intended to support decision making, and should be
delivered in a way that promotes appropriate actions. Whether the appraisal was
conducted for internal process improvement, supplier selection, or process
monitoring purposes, the delivery of results should facilitate the actions that will
be driven by the information.
Tools and Templates containing standard information for use in a final findings briefing are
Techniques provided to all SCAMPI lead appraisers. Experienced appraisal team leaders
frequently use electronic (database) tools that support the transformation of raw
appraisal data into appraisal results. These tools may be useful in real time as
appraisal results are presented. Strategies for presenting and packaging the results
should leverage presentation and documentation techniques that best suit the
audience.
Metrics It is highly recommended that the attendance at the final briefing (if one is held)
be recorded. Significant absenteeism of key stakeholders is likely to be an
indication of risk for future success in addressing the appraisal findings.
Verification and The required elements of appraisal results are specified in the activity description
Validation found here, and a checklist can support verification that these elements are
present. Validation of this activity can only occur after the appraisal is complete.
Records  Final findings

 Final report (if requested)
 Recommendations report (if requested)
 Process improvement action plan (if requested)
Interfaces Upon completion of the Generate Appraisal Results process, the ratings and
with Other findings generated are used to prepare and deliver the final appraisal results to
Processes
the appraisal sponsor and OU. The appraisal results become part of the appraisal
record, which is discussed in process 3.2, Package and Archive Appraisal Assets.

Summary of The final findings contain the validated strengths, weaknesses, and ratings (as
Activities defined by the appraisal plan), reflecting the organizational process capability
and/or maturity level for process areas or model components within the
appraisal scope. Other appraisal outputs, as requested by the appraisal sponsor
and documented in the appraisal plan, are generated and provided. Optionally, a
separate executive session may also be held to clarify and discuss the appraisal
results from a senior management perspective that facilitates decision making.
Plans are established for acting on the appraisal results.

3.1.1 Deliver Final Findings
Activity The final findings contain a summary of the documented strengths and
Description weaknesses for each process area within the appraisal scope, as well as additional
information that provides context for the findings. The generation of the findings
is addressed in activity 2.6.1, Derive Findings and Rate Goals; this activity
relates to the communication of these findings to the appraisal sponsor and
appraised organization. These findings may be in a summarized form, with the
detailed findings provided as backup information, and is often presented using
view graphs in a meeting room or auditorium.
In addition to the final findings, a draft appraisal disclosure statement

summarizing the results of the appraisal is provided to the appraisal sponsor.

Practices
 (ABC) provide appraisal final findings, signed by the appraisal team leader
and all appraisal team members, to the appraisal sponsor
 (ABC) provide an appraisal disclosure statement to the appraisal sponsor
summarizing the appraisal results and conditions under which the appraisal
was performed. Use the appropriate (i.e., SCAMPI A, B, or C) appraisal
disclosure statement template provided by the CMMI Institute.
 (A) The appraisal disclosure statement must be signed by the appraisal team
leader and appraisal sponsor.
Parameters (ABC) Required elements of the final findings include

and Limits
 (ABC) a summary of the appraisal process
 (ABC) description of the model and organizational scope
 (ABC) the findings (i.e., summary of documented strengths and weaknesses)
 (ABC) signed verification that the appraisal team leader and all appraisal
team members agree with the findings and any ratings reported
(ABC) Appraisal team consensus must be obtained on the wording of the final
findings, to ensure that the whole team supports the accuracy of the described
appraisal results.
(A) If a model component is reported as “unsatisfied,” the corresponding

findings of weaknesses that caused the team to make that judgment must also be
reported.
(ABC) Confidentiality and non-attribution principles apply to statements made in
the presentation of final findings.

Implementation The appraisal disclosure statement is a summary statement describing the

Guidance appraisal results that includes the conditions and constraints under which the
appraisal was performed. It contains information considered essential to
adequately interpret the meaning of assigned maturity level or capability level
ratings (if planned for). The appraisal disclosure statement is prepared by the
appraisal team leader and provided to the appraisal sponsor.
The appraisal disclosure statement is considered a draft at this stage of the

appraisal process, in that it also contains an affirmation that all appraisal
requirements have been satisfied, which cannot be claimed until the completion
of all appraisal activities.
A template for a final findings briefing, describing its typical contents and
format, is provided to SCAMPI lead appraisers as a work aid by the CMMI
Institute.
Findings include a summary of strengths and weaknesses determined for each

process area or model component within the appraisal reference model scope.
This summary may also include global findings that apply across multiple
process areas or model components, and non-reference model findings that
affect the implementation (positively or negatively) of associated processes
within the organizational unit.
Normally, the appraisal team leader presents the final findings. In some
applications of the method for internal process improvement, the team may
elect to have an appraisal team member from the organizational unit provide the
briefing to encourage the acceptance of the final findings and ownership of the
appraisal results for follow-on action.
As a courtesy, the appraisal team can consider informing the appraisal sponsor
and/or the senior site manager of the appraisal results prior to presenting them
publicly in the final findings briefing. This private briefing may help them to
avoid surprises and obtain feedback on ways to present the findings that best
meet the needs of the sponsor, appraisal participants, and the organizational
unit. See activity 3.1.2, Conduct Executive Session(s) for a description of topics
for discussion.
If virtual methods, such as video conferences, teleconferences, or other similar

technology are used for the final findings presentation, the appraisal team leader
should ensure that these methods do not compromise appraisal integrity.
The number and scope of findings reported will affect the impact of appraisal
results, whether or not the team intends for it to happen. There are times when
providing a long list of details is beneficial. Other times, high-level summaries
are more appropriate.
If an action plan reappraisal was conducted as a result of one or more goals

rated “unsatisfied” or “not rated,” a corresponding final findings presentation is

developed and presented associated with the action plan reappraisal activity
(Reference Phase 4 Action Plan Reappraisal (Optional)).

3.1.2 Conduct Executive Session(s)
Activity The executive session is an optional activity that may be performed at the
Description discretion of the appraisal sponsor or senior site manager. The executive session
provides the appraisal sponsor, senior site manager, and invited staff a private
opportunity to (a) discuss with the appraisal team leader any issues with the
appraisal, (b) obtain clarification of the appraisal results, (c) confirm
understanding of the process issues, and (d) provide guidance regarding focus,
timing, and priorities of the recommendations report and follow-on activities.
Required (ABC) If the option is selected, hold a private meeting between the appraisal
Practices team leader and the sponsor, including any participants invited by the sponsor.
Parameters (ABC) If an executive session is conducted, the confidentiality and non-

and Limits attribution of data sources must be maintained.
Implementation The intent of the executive sessions is to ensure that the appraisal sponsor
Guidance and/or the senior site manager have a sound understanding of the appraisal
results. Any feedback obtained from these executive sessions should be
recorded. All rules for confidentiality and non-attribution are still in effect. The
appraisal team leader and sponsor may elect to include all or part of the
appraisal team in executive sessions. The executive session is often conducted
prior to communicating the final findings to appraisal participants, giving the
sponsor the opportunity to understand any negative results prior to
communicating to the organization.

Activity Following the delivery of the appraisal results, a plan for follow-on activities is
Description determined. The anticipated follow-on activities are defined in the appraisal plan,
reflecting sponsor requests for additional appraisal tasks and products necessary
to meet appraisal objectives, or for a commitment to take action on the appraisal
results. Follow-on activities may include
 Development of a final report

 Development of a recommendations report or briefing
 Generation or update of a process improvement plan
Required (ABC) None

Practices
Parameters (ABC) None

and Limits
Implementation Planning for next steps includes optional activities such as

Guidance
 Development of a final report by the appraisal team, summarizing the
appraisal results for delivery to the appraisal sponsor
 Submission of appraisal team recommendations report for action on the
appraisal findings
 Generation of a process improvement action plan for the organizational unit
to act on the appraisal findings
 Conducting an action plan reappraisal if maturity level or capability level

targets are not achieved
In addition to specifying the activities to be performed, these plans usually

include the assignment of responsibility, schedule, and estimated resources for
the implementation of the follow-on actions. The plans established can be used to
track the progress of the follow-on activities over time.
Implementation Findings and recommendations from the appraisal team can be used by the
Guidance organizational unit to establish action plans for process improvement. This use of
Process findings and recommendations is an optional output most often used in internal
Improvement process improvement or process-monitoring applications of the appraisal
Action Planning method.
Recommendations reports often include a prioritized list of improvement

activities, including the development of an improvement plan that defines the
tasks, schedules, and resources necessary for implementation.
Follow-on appraisals are usually performed to verify improvement progress. A

follow-on appraisal might include a combination of Class A, Class B, and Class
C appraisals (refer to the ARC for additional details).

Implementation The purpose of the final report is to provide details or explanations beyond
Guidance what was contained in the final findings. The generation of an appraisal final
Final Report report is an optional activity that, if requested by the appraisal sponsor,
documents the execution of the appraisal, contains detailed appraisal findings,
and forms a basis for action planning. This baseline is used for subsequent
reports and follow-on actions, and also may be an input for use in subsequent
appraisals.
Items contained or referenced in the final report, either in their entirety or as a

subset, might include
 Executive summary of the appraisal process and results
 Appraisal plan (see process 1.2, Develop Appraisal Plan)
 Appraisal record (see process 3.2, Package and Archive Appraisal Assets)
The final report should be completed as soon after the appraisal as possible,
preferably within four weeks. The appraisal team leader usually generates the
final report; other team members may also contribute.
The format and content of the final report may vary according to its intended
use by the appraisal sponsor. In its simplest form, this final report could be a set
of notes annotated to the final findings, elaborating on some aspect of the
findings or capturing essential comments or recommendations from the
appraisal team.
Implementation If requested by the appraisal sponsor, appraisal team recommendations for

Guidance taking action on the appraisal results can be provided in a report. These
Recommendations recommendations can provide momentum to the appraisal follow-up by serving
Report as a link between the appraisal findings and subsequent decision making or
action plans. The emphasis of these recommendations depends on the appraisal
sponsor’s objectives and planned use of the appraisal results, as defined in the
appraisal plan. This emphasis can vary widely based on the context in which
the appraisal method is applied (i.e., internal process improvement, supplier
selection, or process monitoring).
The recommendations report should be completed as soon after the Conduct
Appraisal phase as possible. Rather than generate a separate recommendations
report, a common alternative is to include these recommendations in the final
findings or final report.
It is important to consider the possibility that the expertise needed for making
the appropriate recommendations may be beyond the level of expertise
reflected on the team.

3.2 Package and Archive Appraisal Assets
Purpose Preserve important data and records from the appraisal, and dispose of sensitive
materials in an appropriate manner.
Entry Criteria  The appraisal has been conducted.

 Results have been delivered to the sponsor.
 All appropriate data have been collected and retained during the appraisal.

 Appraisal plan
 Final findings
 Objective evidence
 Signed appraisal disclosure statement
 Appraisal team artifacts

 Notes
 Documented practice or model component implementation gaps
 Preliminary findings
 Objective evidence
Activities 3.2.1 Collect Lessons Learned

3.2.2 Generate Appraisal Record
3.2.3 Provide Appraisal Feedback to the Institute
3.2.4 Archive and/or Dispose of Key Artifacts
Outputs  Appraisal data package

 Appraisal record
 Completed forms and checklists
 Sanitized data (as appropriate and agreed upon during planning)
 Lessons learned (appraisal team, organization)
Outcome Data and artifacts are appropriately archived or destroyed. The team has captured
lessons and data to help improve the appraisal process. Requirements for
providing appraisal artifacts to stakeholders and the CMMI Institute are met.
Exit Criteria  Appraisal assets are baselined and archived.

 Required reports are delivered to the appropriate stakeholders.
 Artifacts containing sensitive information are disposed of in an appropriate
manner.

Key Points Protect the confidentiality of sensitive data while distributing and archiving
appraisal assets. Bundle related information together whenever appropriate.
Tools and The use of electronic (database) tools for managing appraisal data often provides
Techniques assistance in ensuring the integrity of baselines, as well as repackaging
information for archival purposes. Electronic tools allow the appraisal team
leader to remove traceability information so that data can be provided to the
appropriate people while preserving the anonymity of the data sources.
Electronic tools also support the submission of appraisal data to the CMMI
Institute. This use of electronic tools reduces the administrative burden and
facilitates the analysis of appraisal method performance data. These tools also
provide feedback on the consolidated analysis results to the appraisal community.
Metrics While archiving and reporting the metrics associated with the conduct of the
appraisal is an important element of this activity, the metrics associated with the
conduct of this activity itself are limited. The effort and calendar time consumed
are collected and compared to the plan. Some appraisal team leaders will choose
to maintain personal metrics associated with the artifacts described in this
activity.
Verification and The Required Practices section of activity 3.2.2, Generate Appraisal Record,
Validation guides the verification of the list of artifacts provided to the sponsor.
The Required Practices section of activity 3.2.3, Provide Appraisal Feedback to

the CMMI Institute, guides the verification of the list of artifacts provided to the
CMMI Institute. Validation is provided by the CMMI Institute upon receipt of
the appraisal data package.
Records  Appraisal record

 Appraisal data package
 Lessons learned

Interfaces As the final process in the appraisal, this process is about collecting, packaging,
with Other and archiving those results and artifacts produced by previous processes that
Processes
become part of the appraisal record. Most notably, this collection of
information includes the appraisal plan and appraisal results. Additionally,
sensitive or proprietary data produced by other appraisal processes must be
returned to the organizational unit or destroyed.
Summary of This process performs the data collection, data management, and reporting
Activities activities necessary to close out the appraisal. Data collected throughout the
appraisal is consolidated and baselined, becoming a permanent part of the
appraisal record.

3.2.1 Collect Lessons Learned
Activity As one of the final activities in wrapping up an appraisal, teams typically record
Description lessons learned from their experience. The purpose of these lessons learned is to
document what went right, what went wrong, and any suggestions or
recommendations for improving the method or its execution. The collection of
lessons learned is a recommended activity for the improvement of future
appraisals, but is not a method requirement.
Required (ABC) None

Practices
Parameters (ABC) Lessons learned must adhere to the same principles of confidentiality
and Limits and non-attribution applicable to other appraisal results.
Implementation Capturing lessons learned is often done as a group at the end of the appraisal,
Guidance while the appraisal activities are fresh in team members’ minds. This collection
of lessons learned can be supplemented with additional inputs from team
members upon further reflection, if necessary. Appraisal team leaders forward
these aggregate lessons learned, as appropriate, to various stakeholders, but
always to the other team members. Appraisal team leaders and members often
maintain summary lists of appraisal best practices and lessons learned as a
mechanism for continuous learning and improvement, and these lists are used
as a resource for planning subsequent appraisals.

Activity Appraisal data collected throughout the appraisal is aggregated and summarized
Description into a permanent record documenting the appraisal conduct and results. This
collection of data is referred to as the appraisal record and is delivered to the
appraisal sponsor for retention.
Required The appraisal team leader shall do the following:

Practices
 (ABC) collect and baseline appraisal data that becomes part of the permanent
records provided to appraisal stakeholders
 (ABC) document the satisfaction of all SCAMPI requirements
 (ABC) generate the appraisal record from baselined planning and execution
data collected throughout the appraisal
 (ABC) deliver the appraisal record to the appraisal sponsor
Parameters Required contents of the appraisal record include the following:

and Limits
 (ABC) An appraisal plan
 (A) Objective evidence, or identification thereof, sufficient to substantiate
goal-rating judgments
 (AB) Characterizations of practice implementation determined at the
instantiation level and aggregated at the OU level (if any)
 (ABC) Final findings
 (A) Goal level ratings
 (A) All ratings rendered during the appraisal (process area ratings, capability
levels, maturity levels, etc.)
 (ABC) Appraisal disclosure statement (ADS)
 (A) If the targeted ratings are not achieved, the ADS must state whether
an action plan reappraisal will be conducted.
(A) Validity period for the assigned ratings (ABC) Appraisal data must comply
with rules for non-attribution, confidentiality, protection of proprietary
information, and applicable laws, regulations, or standards (e.g., acquisition
regulations or security classification). Recipients are expected to place the
appropriate limitations on the access and use of the provided appraisal data.
(ABC) The appraisal team leader documents in the appraisal disclosure statement
that all SCAMPI requirements were satisfied.

Implementation The actual objective evidence (artifacts or portions of artifacts) need not be part
Guidance of the appraisal record, but an identification of the objective evidence is
required for SCAMPI A. This identification may be implemented by providing
the database of objective evidence mapped to model practices that were used as
the basis for characterizing practice implementation.
Guidance on the protection of appraisal data can be summarized based on the

recipient of the data as follows:
 Appraisal sponsor: Replacement of specific sources (persons, basic units,

support functions) with non-attributable, general identifiers (e.g., numeric
codes assigned to basic units, support functions, roles, or data-gathering
sessions). If the sponsor is separate from the appraised organization (e.g., in
the case of a supplier selection context), there may be situations where
confidential or proprietary data relating to the appraised organization must
be removed.
 CMMI Institute: Guidance is the same as for appraisal sponsor, for data
that is shared by both. For data that is provided only to the CMMI Institute,
the data collection vehicles (e.g., forms) are already designed to observe
non-attribution and confidentiality rules. Additionally, supplied data may
be subject to further sanitization to comply with acquisition or security-
related restrictions.
Senior site manager: In cases where the appraised organizational unit is
separate from the appraisal sponsor, the appraised organization is typically
provided only with appraisal results and not data related to planning and
decision making, or data that makes use of the results.

3.2.3 Provide Appraisal Feedback to the CMMI Institute
Activity Appraisal data required by the CMMI Institute is collected and reported. This
Description data includes a subset of the contents of the appraisal record, as well other data
used by the CMMI Institute to aggregate and analyze appraisal performance
data for reporting to the community and monitoring the quality of performed
appraisals.

Practices
(ABC) submit the completed appraisal data package as required by the CMMI
Institute The appraisal data package consists of
 (ABC) approved appraisal disclosure statement (ADS)

 (A) If the targeted ratings are not achieved, the ADS must state
whether an action plan reappraisal will be conducted.
 (ABC) approved appraisal plan
 (ABC) the final findings presentation or report
Parameters (ABC) The CMMI Institute defines the specific set of data required for
and Limits submission at the completion of an appraisal. Submission of the appraisal data
package is required for the appraisal to be recorded in the CMMI Institute’s
database of appraisal results. This data is also a requirement established by the
CMMI Institute to maintain SCAMPI lead appraiser certification.
Implementation The appraisal team leader is responsible for ensuring that the appraisal data
Guidance package is collected and reported. The CMMI Institute, as custodian of the
product suite and the appraisal program, has several objectives in seeking
appraisal feedback:
 Characterization of the state of the practice in the appraisal community,

for the collection and distribution of effective appraisal techniques
 Analysis of reported appraisal data to obtain an understanding of appraisal
performance for continuous improvement
 Quality control within the appraisal program, to ensure a high level of
confidence in the accuracy of appraisal results
The CMMI Institute provides approved information within the bounds of

confidentiality to the community, based on results from the appraisal data
collected. The CMMI Institute establishes the format and mechanisms for the
presentation of this information.

3.2.4 Archive and/or Dispose of Key Artifacts
Activity After the various reports are delivered to the appropriate stakeholders and the
Description appraisal assets have been baselined, the appraisal team leader is responsible for
properly archiving and/or disposing of the appraisal data, in accordance with
agreements made with the sponsor and documented in the appraisal plan. The
team librarian (if one is used) ensures that all organization-provided
documentation and objective evidence is returned or disposed of properly. Any
remaining team artifacts or notes are disposed of properly.

Practices
 (ABC) archive or dispose of key artifacts collected by the appraisal team
 (ABC) return objective evidence provided by the organizational unit
 (A) If an action plan reappraisal is to be conducted, the appraisal team
leader shall ensure the organization retains the initial appraisal artifacts
until the completion of the action plan reappraisal.
Parameters (ABC) In all usage modes of SCAMPI, strict non-attribution policies apply.
and Limits Confidentiality and non-disclosure agreements established with the appraisal
team members remain in effect.
Implementation How the records will be preserved or disposed of is dependent on the usage
Guidance mode of the method and the appraisal objectives that shape the current
application. Confidentiality rules may differ by application. In a supplier
selection usage, the results are not proprietary in that the sponsor is not a
member of the appraised organization. However, results are only known to the
sponsor and the recipient; competing organizations do not see the results.
Confidentiality of results can be characterized as one of the following:
 Known only to the recipient organization

 Known to the recipient and sponsor, when they are from different
organizations
 Known to anyone
The sponsor is solely responsible for determining the confidentiality with which
the appraisal results will be maintained. The non-attribution of data to specific
individuals is the responsibility of the appraisal team. The recipient
organization, if the sponsor agrees and it is planned, may always choose to
make the results known outside the organization. At a high level, this disclosure
might be done for marketing and public relations reasons. Disclosures of results
include the context and constraints under which the appraisal was performed
(e.g., appraisal reference model scope and organizational scope), as defined by
the appraisal disclosure statement described in process 3.1, Deliver Appraisal

Results.
Any annotations related to the objective evidence provided to the organization

by the appraisal team should be recorded and archived for use in process
improvement actions or for reuse in subsequent appraisals.

I
m
p
l
4 Action Plan Reappraisal (Optional)
e
m
e
n4.1 Action Plan Reappraisal
tPurpose
a Re-evaluate goals that were rated “unsatisfied” or “not rated” from the initial
t SCAMPI A appraisal activity. When one or more goals in the scope of an appraisal
i is rated “unsatisfied” or “not rated,” the organization has the option to identify the
o
goal-impacting weaknesses they intend to remediate. The organization first imple-
n
ments an action plan to address the goal-impacting weaknesses and then participate
G in an action plan reappraisal. During the action plan reappraisal, the goal-impacting
u weaknesses are re-evaluated and corresponding goals rerated to determine if organi-
i zational changes have been institutionalized. If the goals are now rated “satisfied,”
d
any required maturity level or capability level profile is regenerated. The action plan
a
n reappraisal is conducted within 4 months of the initial SCAMPI A final findings ses-
c sion. The initial SCAMPI A activities and subsequent action plan reappraisal activi-
e ties are considered one appraisal event.
(
cEntry  Initial appraisal activity resulted in one or more goals rated “unsatisfied” or “not
oCriteria rated.”
n  Sponsor elects to exercise the action plan reappraisal option.
t
iInputs
 Initial appraisal data
n
u  Initial final findings
e  Initial ratings
d  Initial appraisal artifacts
)
 Initial appraisal plan
 Initial ADS
Activities 4.1.1 Plan Action Plan Reappraisal

4.1.2 Conduct Acton Plan Reappraisal
4.1.3 Report Action Plan Reappraisal
Outputs  Updated final findings

 Updated appraisal package
 Updated appraisal record
 Updated ADS

4.1 Action Plan Reappraisal
Outcome  The sponsor and the appraised organizational unit are provided with the results
of the action plan reappraisal.
 A valid and reliable assessment of the current state of the processes in use across
the organizational unit is documented.
Exit Criteria  Updated appraisal results are delivered to the appraisal sponsor and
Key Points The appraisal lead documents the appraisal plan for the action plan reappraisal with
a focus on defining the appraisal scope based on the goal-impacting weaknesses
from the initial SCAMPI A activity. The appraisal team evaluates artifacts and
affirmations to determine if the goal-impacting weaknesses have been addressed and
the associated changes institutionalized. The appraisal team rerates the goals and, if
required, regenerates the maturity level or capability level profile. The appraisal
findings and data package are updated and provided to the sponsor, and the appraisal
record is updated and provided to the CMMI Institute.
Tools and The action plan reappraisal is performed on a subset of the model scope and
Techniques organizational scope after goal-impacting weaknesses reported in the initial appraisal
activity have been addressed to get updated rating results. The appraisal team
determines whether the corrections have been institutionalized. When controversial
issues are encountered, the appraisal team leader must actively facilitate to ensure
that the team remains focused on the pertinent issues.
Metrics Tracking the effort expended during this activity (in real time) is a valuable
technique to manage the team’s time.
Verification The required elements of an action plan reappraisal are specified in the activity
and descriptions, and a checklist can support verification that these elements are present.
Validation
Validation of this activity can only occur after the action plan reappraisal is
complete.
Records  Updated final findings

 Updated appraisal package
 Updated appraisal record
 Updated ADS

4.1 Action Plan Reappraisal
Interfaces Upon completion of the action plan reappraisal process, the ratings and findings
with Other generated are updated from the initial appraisal and become part of the final
Processes
appraisal record.
Summary of The initial SCAMPI A activities and subsequent action plan reappraisal are
Activities considered one appraisal event. The updated final findings contain the validated
strengths, weaknesses, and ratings for process areas or model components within the
appraisal scope.

4.1.1 Plan Action Plan Reappraisal
Activity The action plan reappraisal is performed on a subset of the model scope and
Description organizational scope after the organization has corrected goal-impacting
weaknesses reported in the initial appraisal to get updated rating results. The
action plan appraisal is performed within 4 months of the initial appraisal final
findings briefing. Only one action plan reappraisal is permitted as part of a
SCAMPI A.
Planning for an action plan reappraisal is similar to developing an appraisal plan

in section 1.2, Develop Appraisal Plan, for the initial appraisal activities. A key
activity in planning for an action plan reappraisal is determining the appraisal
scope and data collection plan based on the goal-impacting weaknesses selected
by the sponsor for near-term remediation.
Required (BC) Action plan reappraisal does not apply.

Practices
(A) The appraisal team leader shall provide a recommendation on whether an ac-
tion plan should be developed and implemented, and an action plan reappraisal
performed.
(A) The appraisal sponsor shall determine whether the organization implements
an action plan and participates in an action plan reappraisal.
(A) Only one action plan reappraisal shall be performed per SCAMPI A.
(A) The action plan reappraisal activities must be completed within four (4) cal-
endar months of the date the initial final findings is provided to the sponsor.
(A) The appraisal team leader for the reappraisal must be the same as the
appraisal team leader that led the initial appraisal. Any exceptions must be
coordinated with the CMMI Institute.

4.1.1 Action Plan Reappraisal
Parameters (BC) None

and Limits
(A) Determine the appraisal scope. The appraisal scope is a subset of the original
SCAMPI A appraisal scope based on goal-impacting weaknesses (Reference
section 1.1.4 Determine Appraisal Scope).
(A) Determine the model scope.
 (A) Identify the goals to be re-evaluated and rerated.
 (A) The model scope of the action plan reappraisal activity must include all
practices associated with selected goals.
 (A) To ensure institutionalization, the model scope of the action plan

reappraisal activity may be expanded to include additional goals that may be
impacted by actions taken to correct goal-impacting weaknesses.
(A) Determine the organizational scope.
 (A) The organizational scope of the action plan reappraisal must be, at a
minimum, the same organizational scope as the appraisal event that led to the
action plan reappraisal. That is, all basic units and support functions from the
original appraisal event must be in scope for the action plan reappraisal. The
only permitted modifications to the organizational scope are:
o (A) In the case where a basic unit is no longer performing, another

basic unit is required to be evaluated. If there is no other basic unit in
the organizational unit to be evaluated, then the organizational unit
must be redefined to exclude the portion of the organization where
that basic unit resided or the model scope redefined to exclude the
process area(s) that included the weakness(es).
o (A) Depending upon the extent of the goal-impacting weaknesses or

the proposed corrective actions, the organizational scope of the
action plan reappraisal activity may be expanded to include
additional basic units or support functions included in the
organizational scope of the initial appraisal to ensure
institutionalization.
(A) Determine maturity level and/or capability level target ratings. Targeted
ratings must be the same or a subset of the initial SCAMPI A appraisal activity.
(A) Develop an appraisal plan for the action plan reappraisal activities (Reference
section 1.2 Develop Appraisal Plan).

Parameters (A) A detailed data collection plan must be developed for the action plan
and Limits reappraisal activities (Reference section 1.2.3 Develop Data Collection Plan and
1.5.2 Re-plan Data Collection).
(A) Select appraisal team members from the initial SCAMPI A appraisal team.
Any exceptions must be coordinated with the CMMI Institute (Reference section
1.3 Select and Prepare Team).
 (A) The minimum acceptable team size is two people (including the appraisal
team leader) for the entire conduct phase of the action plan reappraisal.
 (A) At least one team member responsible for the initial instantiation level
practice characterization of the “unsatisfied” or “not rated” goals included in
the model scope must participate in the entire conduct of the action plan
reappraisal.
 (A) The entire appraisal team from the appraisal that resulted in the action plan
reappraisal must be involved in organizational level practice characterization
and re-rating goals.
(A) Obtain and inventory initial objective evidence and perform readiness review
(Reference section 1.4 Obtain and Inventory Initial Objective Evidence and
section 1.5.1 Perform Readiness Review).
Implementation While the appraisal team lead provides a recommendation for next steps regarding
Guidance the feasibility of addressing the weaknesses in the required four-month timeframe,
the sponsor is ultimately responsible for making the decision to proceed with an
action plan reappraisal. Some weaknesses may involve systemic issues that are
not correctable within a four-month time frame. In this case the appraisal team
should not recommend proceeding with an action plan reappraisal for the
associated goals.
The organization may choose to re-scope the appraisal to a lower targeted

maturity level. The team lead will select a subset of the goals rated “unsatisfied”
or “not rated” from the initial appraisal to be included in the action plan
reappraisal at the new maturity level. The organization cannot include any goal
that was not in the initial appraisal activity model scope. For example, if the
maturity level target for the initial SCAMPI A activity was maturity level 4, and
there were goal-impacting weaknesses at maturity levels 3 and 4, the organization
may choose to implement an action plan to address the goal-impacting

Implementation weaknesses associated with maturity level 3 only and participate in an action plan
Guidance reappraisal with a reduced maturity level 3 target rating. In this example, the
organization would not be allowed to include any maturity level 5 goals in the
scope of the action plan reappraisal.
Selecting team members to participate in the entire conduct of the action plan
reappraisal who were involved in initial instantiation level practice
characterization that lead to goals rated “unsatisfied” or “not rated” helps ensure
consistency in determining whether the goal-impacting weaknesses have been
resolved and organizational changes institutionalized. When using mini teams, it
is recommended to involve the entire mini team in the conduct of the action plan
reappraisal.
Since the initial SCAMPI appraisal activities and the action plan reappraisal are
considered one appraisal event, the entire appraisal team from the original
appraisal reaches consensus on organizational level practice characterization, goal
rating, and if required, determining maturity and/or capability level ratings. It is
not necessary for the entire original team to be in one location for this consensus.
Appropriate telecommunications mechanisms may be employed, but the appraisal
plan should note the mechanisms to be used, and any potential risks associated
with each one.

4.1.2 Conduct Action Plan Reappraisal
Activity The appraisal team focuses on collecting data from the organization to judge the
Description extent to which goal-impacting weaknesses have been addressed and the
corresponding changes institutionalized. The appraisal team rerates each of the
goals and, if any of the goals are now rated “satisfied,” regenerates the maturity
level or capability level profile as required.

Practices
(A) Based on a combination of the specific and generic goal ratings within the
initial appraisal scope and rerated specific and generic goal ratings within the
action plan reappraisal scope, the appraisal team shall do the following:
 (A) If using a continuous representation, and process area ratings were

selected by the sponsor, assign a capability level to each process area within
the scope of the appraisal, based on the highest level for which all specific
goals and generic goals within the initial appraisal scope have been satisfied
(Reference section 2.6.2 Determine Process Area Ratings).
 (A) If using a staged representation, and process area ratings were selected by
the sponsor, rate the satisfaction of each process area within the scope of the
appraisal, based on the satisfaction ratings assigned to all goals included in
that process area (Reference 2.6.2 Determine Process Area Ratings).
 (A) If a process area profile was selected as an output by the sponsor, gener-
ate a process area profile depicting the ratings for each process area within
the scope of the appraisal (Reference section 2.6.3 Determine Process Area
Profile).
 (A) If a maturity level rating was selected as an output by the sponsor, assign
the maturity level based on the ratings assigned to process areas in the scope
of the appraisal (Reference section 2.6.4 Determine Maturity Level).
Parameters (BC) None

and Limits
(A) Conduct participation briefing (Reference section 2.6.1 Conduct Participant
Briefing).
(A) Review artifacts and conduct affirmation activities (Reference section 2.2
Examine Objective Evidence).
 (A) Artifacts and affirmations must be collected and reviewed for each prac-
tice from each basic unit or support function in the scope of the action plan
reappraisal.
 (A) Artifacts used as objective evidence must have been created or revised
prior to the start of the conduct action plan reappraisal activity.

4.1.2 Conduct Action Plan Reappraisal
Parameters (A) Evaluate the data and record the results (Reference section 2.3 Document Ob-
and Limits jective Evidence).
 (A) Evaluate the extent of institutionalization of the implementation of
the practices.
 (A) Request evidence from other practices or additional basic units or
support functions within the organizational unit during the conduct of the
action plan reappraisal to address any concerns. The sponsor must be no-
tified of any changes in the organizational or model scope.
(A) Characterize the practices for in-scope goals at the instantiation and organiza-
tional unit levels (Reference section 2.4 Verify Objective Evidence).
(A) Develop and deliver the preliminary findings (Reference section 2.5.1 Vali-
date Preliminary Findings).
(A) Rate the specific goals and generic goals for the model scope of the action
plan reappraisal (Reference section 2.6.1 Derive Findings and Rate Goals).
(A) If the action plan reappraisal results in “unsatisfied” or “not rated” goals, or if
the action plan reappraisal is not completed within the 4-month time frame, the
ratings are not achieved, and the ratings from the original appraisal event apply.
Implementation If the initial SCAMPI A rating period expires prior to the completion of the
Guidance Action Plan Reappraisal, the existing rating is no longer valid. Ratings are
updated after the successful completion of an action plan reappraisal.

4.1.3 Report Action Plan Reappraisal
Activity The appraisal team provides the updated appraisal results to the appraisal sponsor
Description and the organization. These artifacts become part of the final appraisal record,
which becomes protected data in accordance with the appraisal disclosure
statement. A final appraisal data package, which includes a subset of the contents
of the appraisal record, is provided to the CMMI Institute.

Practices
The appraisal team shall do the following:
(A) Develop and deliver the action plan reappraisal final findings signed by the
appraisal team leader and all appraisal team members to the appraisal sponsor
(Reference section 3.1.1 Deliver Final Findings).
(A) Update the appraisal record and deliver to the sponsor (Reference section
3.2.2 Generate Appraisal Record).
(A) Update the appraisal data package and provide to the CMMI Institute (Refer-
ence section 3.2.3 Provide Appraisal Feedback to the CMMI Institute).
(A) Archive or dispose of key artifacts collected by the appraisal team (Reference
section 3.2.4 Archive and/or Dispose of Key Artifacts).
Parameters (ABC) None

and Limits
Implementation The appraisal team leader is responsible for ensuring that the updated appraisal
Guidance data package is collected and reported. Reference Appendix D: Reporting
Requirements and Options for a concise picture of what needs to be submitted,
when it needs to be submitted, and to whom it needs to be submitted.

Part III: Appendices, References, and
Glossary

Appendix A: The Role of Objective Evidence in Verifying
Practice Implementation
Purpose
This appendix provides a conceptual overview of the process of verifying practice implementation
and the role of objective evidence in that process. Verification of practice implementation is an
essential element of appraising the implementation of processes relative to models of best
practices such as the CMMI constellations and the People CMM.
Verifying Practice Implementation

In this discussion, verifying practice implementation means the substantiation of practice
implementation based on a review of objective evidence. For example, one might inquire as to
whether a practice implemented by multiple basic units is substantiated by objective evidence for
each basic unit. Alternatively, one might inquire as to whether an organization-specific practice is
implemented within an organization.
Having a well-defined approach for verifying practice implementation is of critical importance

from several perspectives. For the process improvement sponsor, it provides some assurance that
the resources applied to the improvement effort will result in the desired outcome and that the
resultant benefits can therefore be expected. For process improvement agents or champions, it
enables them to know when they have succeeded with the implementation activity, and to
informally monitor whether the practice continues to be implemented over time. For appraisal
teams, a well-defined verification approach is essential for determining what capability level or
maturity level ratings are warranted. Goal satisfaction is predicated on implementation of the
relevant practices (or acceptable alternatives). Hence verification of practice implementation is a
crucial appraisal task.
Determining Practice Implementation

The conduct of an activity or the implementation of a practice will result in “footprints”—
evidence that the activity was conducted or the practice was implemented.
For example, if one balances one’s checkbook at the end of the month, there are several potential
ways to confirm that this activity has indeed taken place. First, the person who engaged in the
checkbook balancing activity can affirm that this activity was conducted. Second, there will likely
be an entry in the checkbook register for each check or transaction to indicate that it matches with
a corresponding entry in the bank’s statement. Additional artifacts could be identified.
The general idea is clear: the actual conduct of an activity leaves footprints that provide a basis for
verification.
Objective evidence refers to the footprints that are the necessary and unavoidable consequence of
practice implementation. They include information contained in artifacts and affirmation gathered
from interviews with managers and practitioners.

The Role of Objective Evidence
ARC-compliant appraisal methods employ one or more types of objective evidence.1 An appraisal
team bases its decisions about practice implementation on examination of this objective evidence.
Once a basic unit or support function has an understanding of how its processes relate to the
reference model, the stage is set for capturing the objective evidence of implementation. The work
of establishing the collection of objective evidence for basic units and the support functions
mapped to model practices provides assurance to the process improvement sponsor that the
expected implementation activities have in fact resulted in alignment of the organization’s
activities with the reference model.
This database of objective evidence is itself an important organizational process asset that has a
number of potential uses, most notably providing an appraisal team a head start in understanding
the organization’s implementation of the reference model. This approach leaves the appraisal
team the task of verifying whether the objective evidence provided is adequate for substantiation
of practice implementation, rather than the more difficult, error prone, and time-consuming task
of investigating each practice to discover the objective evidence needed to substantiate
implementation.
Both the appraised organization and the appraisal team have a clearer picture of what artifacts
must be provided to substantiate implementation of the practices, thereby minimizing the amount
of further investigation necessary in the form of affirmations and additional artifact requests. The
extent to which the appraised organization can provide this information becomes a principal factor
in how much further investigation may be required.
Another benefit of this approach is significantly greater reliability and accuracy of appraisal.
Populating a database of objective evidence mapped to model practices is not meant to turn the
appraisal into an artifact review exercise. It merely allows for more focused and effective use of
the on-site phase and potentially a shorter on-site phase than would otherwise be the case.
Finally, the populated database is not intended to tie the hands of model implementers or process
appraisal teams. The primary value of the populated database lies in making explicit what has
heretofore been implicit and therefore subject to wide variations in interpretation and
understanding. Over time, sharing of populated databases will result in a set of practice
implementation scenarios (e.g., small, medium, and large organizations, work groups, or projects)
and a standard set of populated databases that could be used as a starting point for further
customization. The particular process implementation context and the specifics of the instantiation
would determine which objective evidence makes sense for that implementation. Appraisal teams
would be obliged to inquire into the existence of the agreed-upon objective evidence, while still
having the freedom to make judgments based on the facts and circumstances of the
implementation.
1
The ARC defines objective evidence as “qualitative or quantitative information, records, or statements of fact
pertaining to the characteristics of an item or service or to the existence and implementation of a process ele-
ment, which are based on observation, measurement, or test and are verifiable.”

A standard set of objective evidence could establish norms within which most implementations
will fall, thereby allowing efficiencies to be realized in implementation and appraisal, while at the
same time recognizing that alternative implementations may be possible using alternative
practices.
Types of Objective Evidence

An appraisal team bases its decisions about practice implementation on the existence of objective
evidence available to it. This objective evidence can take on one or more of the following types:
 Artifacts: tangible forms of objective evidence indicative of work being performed that
represents either the primary output of a model practice or a consequence of implementing a
model practice.
 Affirmations: oral or written statement confirming or supporting implementation (or lack of

implementation) of a model practice provided by the implementers of the practice, provided
via an interactive forum in which the appraisal team has control over the interaction,
demonstrations, or presentations (e.g., the demonstration of capability of a tool or other
mechanism as it relates to the implementation of a practice, or a presentation explaining some
aspect of the organization or one or more of its basic units).
Objective Evidence Database

An objective evidence database is a structure or schema defined to provide a repository, or links
to a repository, for the objective evidence and corresponding mapping to model practices. Table 8
shows an example of such a structure. Note that this example is a notional description of the
content, not a physical definition of the format.
Table 8: An Objective Evidence Database Schema
Attribute Synopsis Remarks
Practice ID This ID identifies the process area, goal, and practice Acronyms are found in the
that the objective evidence is associated with. reference models.
Objective This ID identifies the type of objective evidence. Types are artifact and
Evidence ID affirmation.
Description This attribute is a description of the objective evidence

as applied to this practice.
Examples These attributes are examples of artifacts or Aim to minimize any

affirmations that would exemplify the intent of the overlap with such
objective evidence and/or exploratory questions (EQ) information that is already
or “look fors” (LF). They assist appraisers in identifying in the model document.
relevant artifacts or eliciting relevant information.
Organizational This attribute would be filled in by the organization as

Implementation part of its implementation program and provided to the
appraisal team as a resource.
Table 9 shows an example objective evidence database entry for specific practice 1.1 for CMMI-
DEV of the Project Planning process area.
Table 9: Sample Database Record Structure
Attribute Value
Practice ID PP SP 1.1
Objective Evidence ID Artifact
Objective Evidence Work product(s) that reflect (document the information content of) the
Description establishment of a top-level work breakdown structure (WBS) to estimate of
the scope of the project.
Organizational To be provided by the organization for a specific implementation

Implementation
These descriptions have a number of uses in addition to their utility during process appraisal.
They can be used, for example, during the model implementation phase, after model
implementation as a training vehicle for new personnel, and/or for internal monitoring of practice
implementation, etc.
Application of Objective Evidence Databases in Model Implementation

The use of objective evidence has significant utility for an organization that is committed to
model-based process improvement. Typically, organizations will either implement model
practices directly or will ensure that the practices used in the organization affect goal achievement
(through the mechanism of alternative practices).
Since models are necessarily expressed in an implementation-independent manner, the

implementation of a model will require that an understanding of how the model intent (as
expressed though goals, practices, and other model material) is to be realized in the organization
be developed, documented, and operationalized. The model intent is made real through its impact
on the way people work; if there is no relation between how they work and the model, the
organization has not implemented the model. Thus, having an understanding of the ways in which
implementation of the model relates to what people are doing in the organization is a necessary
and unavoidable prerequisite to implementing the model. Objective evidence databases provide a
mechanism by which the implementation of a model practice can be described.
Application of Objective Evidence Databases in Process Appraisal

During the course of process appraisal, the appraisal team’s primary focus is on verifying practice
implementation. This verification is accomplished by (1) obtaining objective evidence relevant to
the implementation of a practice, (2) comparing the objective evidence available with what is
expected, and then (3) making a determination of practice implementation based on the difference
between actual and expected evidence.
The database assists the appraisal team (as well as the implementing organization) with task 1 by
providing a framework or structure that makes explicit the types of objective evidence that should
be considered. In concert with the reference model documentation, this framework provides the
model basis against which the organization’s actual operating practices are compared.

Note that the database does not prescribe what objective evidence must be present for practice
implementation determinations to be made; they only make explicit what is reasonable for an
appraisal team to consider. The particular circumstances and attributes of the instantiation must be
taken into consideration when making determinations of practice implementation.
The database structure assists the appraisal team with task 2 to the extent that the team has agreed
in advance on the objective evidence it expects to see for each process instantiation examined. In
some cases it may be difficult or impossible to have completely developed a team consensus on
what objective evidence must be seen (in advance). But sooner or later the appraisal team must
establish a consensus view on what is reasonable to expect, since it is only the presence of that
consensus view that permits a determination of practice implementation to be made.
The final practice implementation determination task is that of developing a team consensus on
whether the practice is implemented for the process instantiation being examined. This decision is
based on the difference between what is expected and what is observed.

Appendix B: Alternative Practice Identification and
Characterization Guidance
Concept Description
This appendix provides guidance on how to identify acceptable alternatives to practices
documented in the reference models and how to perform practice characterization at the
instantiation and organizational unit levels when acceptable alternative practices are implemented
in lieu of model practices.
The MDD glossary (Appendix K) includes the following definition of “alternative practice”:
A practice that is a substitute for one or more practices contained in a reference model
that achieves an equivalent effect toward satisfying the goal associated with the model
practice. Alternative practices are not necessarily one-for-one replacements for the
model practices.
Analysis and use of alternative practices in SCAMPI appraisals involves the following activities:
 Identifying which model practices appear to be implemented using an alternative practice,

and analyzing whether or not the alternative practice does indeed achieve an effect equivalent
to that achieved by the model practices toward satisfying the associated goal
 Developing an instantiation-level characterization of the implementation of the alternative
practice by determining whether the provided evidence includes appropriate artifact(s) or
affirmations for the practice
 Applying the instantiation-level characterization of the alternative practice to the model
practice(s) addressed
 Aggregating all of the instantiation-level characterizations to derive the organizational unit-
level characterizations and generating findings and goal ratings, just as is performed when an
alternative practice has not been used
Identification of Acceptable Alternative Practices

Technically, alternative practices can be discovered at any time during an appraisal, up to and
including when the appraisal team is analyzing feedback from validation of the preliminary
findings. However, in most cases, alternative practices are uncovered during the appraisal
planning and preparation activities. Typically, they are either communicated to the appraisal team
lead by the organizational unit during appraisal planning discussions or are discovered by the
appraisal team in the early examinations of objective evidence. For example, little or no evidence
might be found for a given model practice or set of related model practices, but evidence for an
alternative practice might be uncovered when the initial data set is analyzed (activity 1.4.2,
Inventory Objective Evidence) or when a readiness review is conducted (activity 1.5.1, Perform
Readiness Review).
The alternative practice is not acceptable until the appraisal team agrees that it does indeed
achieve an effect equivalent to one or more model practices. To do so, the team must first analyze
the alternative practice for its content to identify which model practice(s) it addresses. The
appraisal team then must determine what effect is achieved by the implementation of the
addressed model practice(s) toward goal satisfaction. This determination is more than simply what
work product(s) might be developed as a result of implementation of the model practice(s).
What is achieved, supported, and/or enabled as a result of implementation of the practice(s) and
generation of the work product(s)? What information becomes available, when, and to whom?
Once these questions and any others the team deems appropriate are answered, the team would
need to decide whether the alternative practice achieves the same or similar results or just-as-
effective results for the given business environment. If it does, then it achieves an equivalent
effect toward satisfying the goal associated with the original model practice(s) and can be
considered an acceptable alternative.
As noted above, an alternative practice is not necessarily a one-for-one replacement for a given
model practice. In some cases, an alternative practice might only partially address one or more
model practices. In such cases, the alternative practice should be analyzed in conjunction with the
associated model practice. The combined implementation could be acceptable. In other cases, an
alternative practice might consist of multiple elements, all or some of which appear to address one
or more related model practices. The separate elements would need to be examined to ensure that
the aggregate of those elements achieves effect(s) toward goal satisfaction equivalent to the
effect(s) achieved by the addressed model practice(s).
Instantiation-Level Characterization of Alternative Practices

Once an alternative practice has been approved as acceptable by the appraisal team, its
implementation can be characterized at the instantiation level. The same rules are used for
alternative practices as those applied to model practices (see the first table in the Parameters and
Limits section for activity 2.4.2, Characterize Implementation of Model Practices and Generate
Preliminary Findings). However, the team must determine what artifacts should logically be
expected from implementation of the alternative practice. Particular attention needs to be paid to
whether more than one type of objective evidence might be needed to cover the complete
implementation approach. This situation could occur especially when an alternative practice
 Addresses more than one model practice

 Provides only partial coverage of a model practice and is combined with the remaining
aspects of that model practice to create an acceptable alternative practice
 Consists of multiple elements
After the appraisal team decides what artifacts it should expect to see, the team can examine the
evidence provided to determine its adequacy and coverage of the alternative practice to
characterize the implementation of that practice.
Instantiation-Level Characterization of the Associated Model Practice(s)

Typically, the characterization of the alternative practice is applied directly to the addressed
model practices. This characterization is straightforward in cases where the alternative practice
addresses a single model practice. However, in cases where an alternative practice addresses more
than one model practice, the characterizations of the model practices may vary depending on the
weaknesses documented for the alternative practice and whether the evidence provided fully

covers the alternative practice or not. The weaknesses associated with the alternative practice
might apply to only some of the addressed model practices. For example, in a case where an
alternative practice is characterized as Largely Implemented or Partially Implemented,, some of
the addressed model practices could still be characterized higher if none of the weaknesses apply
to those model practice(s) and the provided evidence is adequate for those practices.
Organizational Unit-Level Characterization and Goal Rating

Once the addressed model practices have been characterized at the instantiation level, aggregation
of the instantiation-level practice characterizations proceeds just as is documented in the second
table in the Parameters and Limits for activity 2.4.2Characterize Implementation of Model
Practices and Generate Preliminary Findings. In addition, goal rating is performed just as is
documented in activity 2.6.1, Derive Findings and Rate Goals.

Appendix C: Roles and Responsibilities
Appraisal Team Lead and Members

Appraisal team members are individuals who are on the appraisal team during the onsite period.
“R” indicates the responsibility is required. “O” indicates the responsibility is optional. During
appraisal planning, the appraisal team leader should determine which optional roles and
responsibilities will be required for the appraisal. Mini-team, facilitator, and time keeper roles are
not specifically required by name, however, the responsibilities associated with the roles (as
indicated by “R”) are required to be performed by the appraisal team.
Table 10: Appraisal Team Roles and Responsibilities
Role Responsibility Required/
Optional
Appraisal For each appraisal, there is exactly one appraisal team leader. The R
Team Leader appraisal team leader must be a CMMI Institute-certified SCAMPI
leader appraiser for each reference model in scope, and must be
affiliated to the CMMI Institute partner that is responsible for the
appraisal.
Has overall responsibility for the appraisal R
Meets with the sponsor prior to the appraisal to discuss appraisal R

scope and other appraisal planning parameters
With the support of the appraisal coordinator, determines process R

areas
With the support of the appraisal coordinator, selects basic units R
With the support of the appraisal coordinator, creates and completes R

the appraisal plan and detailed schedule
Signs the appraisal plan R
Meets with the sponsor to discuss outcomes of the readiness review R

and jointly decides whether the appraisal should proceed as planned,
be re-scheduled, or be cancelled
Provides appraisal participants an overview of the appraisal process R

and schedule
Assigns team roles R
May be a member of a mini-team O
Facilitates team resolution of conflicts and impasses R
Monitors schedule and performance R
Votes on appraisal outcomes R
Ensures the SCAMPI appraisal process is followed R
Delivers the preliminary findings R
Ensures the final findings are delivered R

Optional
Signs the final findings and the appraisal disclosure statement R
Reports results to the CMMI Institute R
Mini-Teams or The appraisal team members are typically assigned to mini-teams in O (use of
appraisal team groups of two to three members each. Mini-teams are typically mini-teams
members organized by related process areas (e.g., process area categories), is optional)
(Optional for
organizational entities or by discipline and appraisal experience.
SCAMPI C)
Reviews evidence for their assigned process area or basic unit or R
support function
Requests additional evidence needed relative to their process areas or R

basic unit or support function
Records review results pertaining to their process areas or basic unit R

or support functions
Consolidates findings prior to full team consolidation R
Votes on appraisal outcomes R
Signs the final findings R
Facilitator This role is typically assigned to the appraisal team lead or an R

appraisal team member for each affirmation session. The individual
may differ between affirmation sessions.
Ensures interviewees are aware of confidentiality and non-attribution R

rules
Conducts affirmations R
Ensures appraisal team members take notes during the affirmations R
Timekeeper This role is typically assigned to an appraisal team member. O
Tracks time and schedule constraints during affirmations and other O

activities
Other Appraisal Participants

Other appraisal participants are individuals who may support the appraisal prior to, during, and
after the onsite period; however, they are not on the appraisal team. “R” indicates the
responsibility is required. “O” indicates the responsibility is optional. During appraisal planning,
the appraisal team leader and “appraisal coordinator” should determine which optional
responsibilities will be required for the appraisal. The responsibilities of the appraisal coordinator
may be fulfilled by more than one individual and may be referred to by other titles (e.g., site
coordinator, librarian).

Table 11: Other Appraisal Participants: Roles and Responsibilities

Optional
Appraisal This role is typically performed by an individual or group within the R

Coordinator organizational unit who supports planning of the appraisal and prepares basic
unit or support functions for the appraisal. However, the appraisal team leader
may perform any of these responsibilities.
1. Defines activities and schedules to prepare basic unit or support functions O

for the appraisal
2. Supports the appraisal team leader to determine process areas O
3. Works with the appraisal leader to determine appraisal dates O
4. Assists in selection of any internal appraisal team members O
5. Supports the appraisal team leader to select basic units and support O
functions
6. Assists the appraisal team leader in completing the appraisal plan and R
detailed schedule
7. Assists the basic unit or support functions in selecting appraisal O

participants
8. Ensures interviewees arrive to affirmations on time O
9. Assists basic unit or support functions to address appraisal findings after O

the appraisal
10. Uses the strengths and weaknesses from appraisals to improve processes O
Appraisal This role is assigned to the individual who sponsors the appraisal and approves R
Sponsor
the appraisal plan.
1. Defines the initial organizational unit to be appraised R
2. Explains the value of process improvements to upper management O
3. Ensures budget is provided to support the appraisal R
4. Meets with the appraisal team leader prior to the appraisal to discuss R
appraisal scope and other appraisal planning parameters
5. Selects the appraisal team leader R
6. Selects the appraisal coordinator O
7. Reviews and approves the appraisal plan R
8. Meets with the appraisal team leader to discuss outcomes of the readiness R
review and jointly decides whether the appraisal should proceed as
planned, be re-scheduled, or be cancelled
9. Attends an executive briefing O
10. Attends the final findings presentation R

Optional
11. Signs the appraisal disclosure statement R
Appraisal The appraisal participant role applies to members of basic units or support R
Participant
functions who provide artifacts or participate in affirmation activities such as
interviews, or demonstrations.
1. Attends the participant briefing R
2. Works with the appraisal coordinator or appraisal team leader to provide R

artifacts in support of the appraisal prior to and during the Conduct
Appraisal phase
3. Attends affirmation sessions as initially scheduled and as requested for R

follow-up
4. Participates in the validation of preliminary findings and provides additional R

evidence to resolve preliminary finding issues
5. Attends the final findings presentation O

Role Obligations and Access Rights
“R” indicates the role is required to participate in the activity. “O” indicates the role may
participate in the activity at their discretion, or delegate the activity to another individual. “N”
indicates the role is not allowed to participate in the activity (no access) unless requested by the
appraisal team leader.
Table 12: Appraisal Team: Role Obligations and Access Rights
Mini-Team Consolidation (if used)
Preliminary Findings Validation

Evidence Review Activities
Perform Readiness Review
Final Findings Delivery

Readiness Decision
Participant Briefing
Team Consensus
Team Training
Affirmations
Appraisal Team Leader R R R R R O1 O1 R R R
Appraisal Team Member R O O R R R R2 R R O
Appraisal Coordinator N O O O N N N N N O
Sponsor N O R O N N N N N R
Appraisal Participant N O O R3 N N R3 N R3 O
1
The appraisal team leader has additional responsibilities and may or may not be able to support
mini-team consolidation and all affirmations.
2
At least two team members are required to attend their affirmations. Team members are not
required to attend all affirmations unless requested by the appraisal team leader.
3
Applies to at least one person from each support function and basic unit (for SCAMPI A and
B).

Appendix D: Reporting Requirements and Options
The reporting requirements for SCAMPI appraisals are documented throughout Part II of the
Method Definition Document. The following table provides lead appraisers with a concise picture
of what needs to be submitted, when it needs to be submitted, to whom it needs to be submitted,
and the relevant sections in the MDD where its content and submittal is discussed. In some cases,
items are required to be submitted in accordance with policy set by the CMMI Institute rather than
required practices in the MDD.
Table 13: Submissions Requirements for SCAMPI Appraisals
Item When Due Recipient(s) Relevant MDD Section
Appraisal May be generated incrementally throughout CMMI Institute 1.2.7 Obtain Commitment to
plan planning, but must be approved prior to the Appraisal Plan
start of Conduct Appraisal phase. Portions
must be submitted with the initial SAS record
for the appraisal 30 days prior to the Conduct
Appraisal phase.
Final findings Presented or provided to the sponsor prior to Sponsor 2.6.5 Document Appraisal
the conclusion of the Conduct Appraisal CMMI Institute Results
phase. 3.1 Deliver Appraisal Results
Appraisal A draft is provided to the sponsor with the Sponsor 3.1.1 Deliver Final Findings
Disclosure final findings. The initial ADS is sent to the CMMI Institute 3.1.2 Conduct Executive
Statement CMMI Institute within 30 days of the final Session(s)
findings. The final appraisal disclosure 3.2.2 Generate Appraisal
statement is created with the closure of the Record
SAS record for the appraisal and is included 3.2.3 Provide Appraisal
with the appraisal record and the package of Feedback to the CMMI
appraisal data provided to the CMMI Institute Institute
within 30 days of the conclusion of the
Conduct Appraisal phase. If an Action Plan
Reappraisal is conducted, the SAS record is
reopened for the Action Plan Reappraisal
Phase.
Appraisal Prior to the completion of the Report Results Sponsor 3.2 Package and Archive
Record phase. Appraisal Assets
3.2.2 Generate Appraisal
Record
Package of Within 30 days of the conclusion of the CMMI Institute 3.2.3 Provide Appraisal
Appraisal Conduct Appraisal phase. Feedback to the CMMI
Data for the Institute
CMMI
Institute
Action Plan May be generated incrementally throughout CMMI Institute 4.1.1 Plan Action Plan
Reappraisal planning, but must be approved prior to the

Item When Due Recipient(s) Relevant MDD Section
Plan start of Conduct Action Plan Reappraisal Reappraisal

activity. Portions must be submitted with the
SAS record for the appraisal 30 days prior to
the Conduct Action Plan Reappraisal activity.
Action Plan Presented or provided to the sponsor prior to Sponsor 4.1.2 Conduct Action Plan
Reappraisal the conclusion of the Report Action Plan CMMI Institute Reappraisal
Final Findings Reappraisal activity.
Updated A draft is provided to the sponsor with the Sponsor 4.1.3 Report Action Plan
Appraisal final findings. The updated ADS is sent to the CMMI Institute Reappraisal
Disclosure CMMI Institute within 30 days of the final
Statement findings. The final appraisal disclosure
statement is created with the closure of the
SAS record for the appraisal event and is
included with the appraisal record and the
package of appraisal data provided to the
CMMI Institute within 30 days of the
conclusion of the Report Action Plan
Reappraisal phase.
Updated Prior to the completion of the Report Action Sponsor 4.1.3 Report Action Plan
Appraisal Plan Reappraisal activity. Reappraisal
Record
Updated Within 30 days of the conclusion of the CMMI Institute 4.1.3 Report Action Plan
Package of Report Action Plan Reappraisal activity. Reappraisal
Appraisal
Data for the
CMMI
Institute

Appendix E: Managed Discovery
“Managed discovery” is a phased data collection approach beginning with an initial data call for a
pre-determined set of artifacts, followed by a set of iterative calls based on the appraisal team’s
evaluation of the work products and remaining evidence gaps. This approach can be employed to
efficiently use the resources required to prepare data in support of SCAMPI and minimize the
overall data collection effort. It represents a “middle ground” between the legacy “discovery” and
“verification” approaches that have been part of SCAMPI since its inception.
Background
Many organizations invest a significant amount of time, effort, and funds in preparing the data
required to conduct a SCAMPI appraisal. In fact, it appears that some organizations spend more
resources in preparing the data for SCAMPI than in supporting all of the other appraisal activities.
This is often true for organizations that are performing SCAMPI for the first time, or are trying to
achieve higher levels of maturity or capability. Overemphasis on the idea of “verification” has, in
many cases, led to the belief that all appraisal data must be identified and prepared by the
organization in advance of the appraisal event itself rather than relying on the appraisal team to be
diligent in seeking out any additional information needed to support the appraisal. The concept of
“discovery” by the appraisal team has become synonymous with “risk of failure” to many senior
managers in appraised organizations. As a consequence, many organizations over-prepare for a
“verification-based” appraisal. With this verification approach, artifacts may be supplied that are
not applicable and/or are never reviewed by the appraisal team. This can generally be attributed to
the organization misinterpreting the appraisal reference model and/or the perceived appraisal
team’s need for artifacts. The overall result is typically a significant expense in terms of time,
effort and funds to support the data collection activities of the appraisal.
Summary of Approach
Managed discovery attempts to balance verification and discovery activities by using an
interactive, phased approach to data collection to mitigate the risk of the organization failing to
provide the needed data or providing inappropriate data. The key is starting with an initial set of
artifacts that have the most general reference model applicability. This allows the organization to
efficiently provide data that have the greatest likelihood of being useful to the appraisal team. The
appraisal team reviews the provided artifacts and maps them to the appropriate appraisal reference
model components. The appraisal team then enters into an iterative set of data calls that continue
until the full set of relevant data are examined (per the appraisal scope). This approach shifts the
responsibility to focus the data collection and mapping activity to the appraisal team rather than
potentially leaving the organization guessing at what the team needs. The initial series of data
calls may occur during initial planning activities, during readiness reviews, or during Class C and
Class B appraisals that lead up to the Class A event.

The key to successful implementation of this approach is interaction between the appraisal team
and the organization. The team works with experts from the organization who understand the
contents of the products being provided to ensure coverage of the practices in the model. This
leads to a greater understanding of the organization and its work by appraisal team members, and
can serve to further highlight the connection between “doing the work” and the model for the
organization’s staff.
Defining and Reviewing the Initial Data Call

The initial data call is organized around key products with high model leverage (e.g., one-to-many
relationships across model components, such as plans, schedules, financial reports, and reviews).
A list of example “high-yield” work products is provided at the end of this appendix. This
product-centric approach allows the organization to align the data more closely with the way they
actually do business. For example, any CMMI-DEV appraisal that includes the Project Planning
process area would likely find value in reviewing the “Project Plan.” Based upon past
experiences, advanced organizations can scale-up this initial data increment to gain greater
efficiency. For the less experienced organizations, the choice to limit the initial increment is made
in order to reduce the risk of spending effort to gather artifacts that provide little or no value to the
appraisal process.
The appraisal team leader would be responsible for providing the target contents of this initial
data call to the organization. The organization focuses on providing the data requested, centering
on the work performed, and not on the model practices. The appraisal team, in whole or in part, is
responsible for mapping the contents of this data to the model components. The appraisal team,
working with experts from within the organization, reviews their mapping of the data to model
components and identifies areas where evidence is missing, or where additional support might be
needed. These results are documented and used to prepare the next data call.
In this approach to data collection, the initial call and at least one initial review should be done
prior to the beginning of the Conduct Appraisal phase, before the “90-day clock” starts.
Specifying the Subsequent Data Calls

Based on the results of processing the initial data set, another, more focused data call can be
specified. This allows the team to refine the wording used to describe what is needed, based on
what was learned from reviewing the initial data set. As well, the team can sharpen their focus on
topics that appear to be potentially problematic or implemented in a unique way in the
organization. Prioritizing these areas to be investigated early will provide the organization with
more opportunities to supply the right information. It will also allow the appraisal team members
to identify areas requiring follow-up through interviews or demonstrations, thus further refining
the data collection plan.
Earlier calls will tend to focus primarily on data that might be missing from the evidence
database. Later calls may focus more on the appropriateness of the information. These data calls
can be repeated until the appraisal team feels the data provides sufficient coverage of the appraisal
scope and that the data is sufficient for them to be able to generate appraisal results. These review
sessions might coincide with readiness reviews, and possibly early verification of the artifacts,
which would begin the Conduct Appraisal phase and the 90-day clock.

Risk of Employing Managed Discovery
It is important to remember that the objective of data collection for the appraisal is to ensure that
the data provided by the organization adequately covers the reference model components in
scope. Therefore, it is important that the objective evidence database clearly map to the
appropriate model components. The use of product-centered data collection without prior
development of a mapping to the reference model (i.e., managed discovery) can increase the risk
of missing areas of concern to the organization from the perspective of model compliance.
Effective use of interviews by the appraisal team can mitigate this risk.
There will also be organizations for which maturity level ratings risk is the primary concern. Such
organizations may find that creating their own model-based data structures across the sampled
basic units and support functions best mitigates this risk, despite the resources and costs involved.
Summary
Managed discovery represents a third data collection approach in addition to discovery and
verification. It allows the organization to efficiently provide key artifacts that will demonstrate
implementation of multiple reference model components. It allows the appraisal team to identify
specific data needed to enable them to make judgments on that implementation. This is in contrast
to “verification only” appraisals where the organization provides “everything” and the team must
try to pick out, from all the data provided, the “few critical things” that require follow-up actions.
It can help to minimize the negative perception of “discovery” in appraisals, by providing an
interactive build-up of the organization’s objective evidence database. The concepts of continuous
consolidation and triage of appraisal data have been a part of SCAMPI from its earliest versions.
The use of a managed discovery approach can support the organization more completely.

Example High-Yield Work Products
The following table is intended to provide some examples of key work products that can provide one-to-many relationships to multiple practices in the
reference model in scope. These products could be considered as part of the initial data call for use by the appraisal team.
This list is not intended to be exhaustive, nor does it represent any requirement for specific products the organization and its sampled units must
provide.
Table 14: Examples of Key Work Products
Category CMMI-DEV CMMI-SVC CMMI-ACQ People CMM
Planning Products  Program Management Plan (PMP)  Service catalog  Acquisition strategy  Workgroup plan
 Integrated Master Plan and Integrated  Service strategy documents  Workgroup training plan
Master Schedules (IMP, IMS)  Work plan  Supplier evaluation  Individual training and
 Configuration Management Plan (CMP)  Staffing and capacity plans criteria development plan
 Systems Engineering Management Plan  Quality assurance plans  Requests for proposal  Organization schedule for
(SEMP)  Training plans  Specific Acquisition performance management
 Software Development Plan (SDP)  Measurement plans plans activities
 Quality Assurance Plans  Estimating records  Evaluation plans  Business plan
 Training plans  Orders  Staffing plan
 Measurement plans  Proposals  Work environment Plans
 Estimating records  Architectural/ building /interior
 Release planning layout diagrams
 Workflow planning  Customer instructions
 Kanban boards  Posted policies and flow-
diagrams
 Workflow planning
 Kanban boards

Financial  Budget records  Budget vs. actual records  Budget records  Workgroup budget and
Management  Earned value reports  Timesheets  Earned value reports actual records
Products  Cycle time  Personnel schedules  Supplier invoices  Compensation and
 Lead time  Inventory or supply  Operations and support compensation adjustment
 Other financial reports management costs reports
 Invoices  Other financial reports
 Accounts payable or accounts
receivable
 Cycle time
 Lead Time
 Other financial reports
Management  Regular program status reports (i.e., daily  Service-level agreements  Supplier agreements  Process verification
Products or weekly or monthly or quarterly reviews) (SLA)  QA audit records or reports
 Records of major project milestones (e.g.,  Performance reports, such as reports  Process measurements
preliminary design reviews, deliveries) capacity and availability tools,  Measurement reports or  Individual performance
 QA audit records or reports customer praise or complaints repository management records
 Measurement reports or repository  QA audit records or reports  Workgroup goals and
 Kanban board  Measurement reports or measures of success
 Continuous or cumulative flow diagrams repository  Individual goals and
and analysis  Timesheets measures of success
 Personnel schedules
 Kanban board
 Continuous or cumulative flow
diagrams and analysis

Execution  Requirements documents or reports from  These are likely to be quite  Customer and  Sales reports
Products requirements tools specific to the service type, contractual
 Concept of operations documents e.g., training records, for requirements  Records of performance
(CONOPS) training service, diagnostic  Supplier design discussions with manager
 Interface control documents or equivalent metrics in health care, documents  Training records
 Design documents completed orders, served food,  Completed supplier
 Status of performance
 Verification plans order/service/ request tracking evaluations
management activities
 Validation plans systems, Kanban board.  Supplier status reports
 Integration plans and procedures or meeting minutes  Status of new hire
 Test plans, procedures, reports  Product or service requisitions
 Change control board records validation reports  Communication and
 Completed tasks or products or  QA audit reports or coordination reports
components records
 Tasks being tracked  Acceptance documents
 Burn-down or burn-up charts for delivered products
 Kanban board or services
 Continuous or cumulative flow diagram  Verification plans
 Peer review results  Validation plans
Tools/Repositories  Requirements tools  Incident tracking tools  Supplier databases  Metrics tools
 Configuration management tools  Service request processing (preferred supplier  Performance management
 Kanban board tools tools, etc.) tools or systems
 Wikis  Kanban board  Skills databases
 Wikis  Education and training
tracking tools

Appendix F: Scoping and Sampling in Benchmark Appraisals
Introduction
The sampling process for appraisals must provide clear operational definitions, be robust to a
variety of different applications, and promote confidence in appraisal results. The expectation that
benchmark appraisals (SCAMPI A) are based on a representative sample requires a clear
definition for what is meant by “representative.” Use of the appraisal method with organizations
of various sizes and types requires the terminology and definitions have broad applicability to
these contexts. Confidence in the results of appraisals is enhanced through visibility of the breadth
and depth of involvement from different parts of the organization. These goals are addressed in
the process described here.
The process of defining a representative sample relies on the skilled analysis of the way people
are organized, the contextual factors that can lead to diversity in the way work is performed, and
use of a standard method for establishing a balanced set of examples for the appraisal team to
examine. Requirements for prerequisite experience and training confirm the capability of lead
appraisers to apply the SCAMPI method in the settings appropriate to their certifications.
Required analysis of contextual factors is guided by the definition of sampling factors in the
method, which is reinforced through the required training provided to lead appraisers. The process
of establishing a representative (or balanced) sample relies on an objectively verifiable
computation, which is also defined in the method and addressed in required training.
Successful use of the sampling process relies on adequate understanding of core concepts by all
parties who have a stake in the appraisal process. The lead appraiser is responsible for assuring
that the appraisal sponsor has this understanding, and operating within the requirements of the
method.
Defining the Organizational Unit

The concept of an “organizational unit” defines boundaries within the organization to which the
appraisal results apply. The lead appraiser works with the appraisal sponsor to establish an
appropriate specification of this boundary. The appraisal sponsor ensures the scope defined
represents the needs of the business for establishing a credible benchmark. The lead appraiser
ensures the requirements of the SCAMPI process are satisfied to support accurate and credible
statements of appraisal results.
The sponsor typically has an initial expectation about the scope of the appraisal. If the
organization has participated in appraisals in the past, the sponsor may request a re-appraisal of
the same organizational unit. While the work underway (products and services being delivered at
that time) may differ from the previous appraisal, the definition of the organizational unit used in
the previous appraisal is a good starting point for the sampling process.
The process of defining the organizational unit is often carried out in an iterative fashion, in which
tradeoffs between breadth of scope and data collection costs drive key decisions. The lower
boundary for the size of an organizational unit is determined by the model scope of the appraisal,
because the model scope determines the minimum set of examples of work that must be included
(the minimum model scope is a single process area). The upper boundary for the size of an
organizational unit is determined by the requirement to complete phase 2 of the appraisal process
within 90 days (without compromising the data coverage requirements of the method).
As the appraisal sponsor and the lead appraiser define the sampling necessary to meet
requirements for a representative sample with adequate coverage within the organizational unit,
the definition of organizational unit may need to be adjusted to fit the cost, resource and schedule
constraints for the appraisal.
Basic Units and Support Functions

The sampling process used in SCAMPI relies on a key distinction between groups of people who
perform work that is typically visible to customers (basic units) and groups of people who
perform work that enables or supports the work that is ultimately visible to the customers of the
organization (support functions). The appraisal reference model (e.g., CMMI-DEV, CMMI-SVC,
CMMI-ACQ, or People CMM) used will determine the types of basic units or support functions
that are appropriate for the work performed in the organizational unit. When multiple appraisal
reference models are used, the same staff may perform work across multiple representations.
Examples of basic units include projects, work groups, and teams. Examples of support functions
include QA, configuration management, training, and engineering or other process groups. The
lead appraiser works with the organization to understand the basic units and support functions into
which people are organized to perform work.
Sampling Factors
Sampling factors serve to identify meaningful differences in the conditions under which work is
performed in the organizational unit. Based on a thorough understanding of the organization, the
lead appraiser determines the sampling factors that define different clusters of process
implementation for the organization unit. Tiers of the organization chart often provide an initial
view of these potential groupings. The Method Definition Document, Section 1.1.3, Determine
Appraisal Constraints contains a list of potential sampling factors that must be evaluated. In
addition, the lead appraiser seeks information about other potential sampling factors.
Subgroups
Sampling factors are used to define subgroups in the organizational unit. Subgroups consist of sets
of basic units that share the attributes identified by the sampling factors. Subgroups are defined by
determining all potential combinations for each value of the sampling factors. In the example
below the sampling factors “location” and “customer” are used to illustrate the formation of
subgroups into which 30 basic units are classified:

Table 15: Example of Sampling Factors: Customer
Commercial Government
Customers Customers
New York 7 2
Cincinnati 5 0
Denver 11 5
The six subgroups defined above show the count of basic units in each possible combination of
the two sampling factors used in the illustration. Notice that there are no basic units in Cincinnati
that have government customers.
Determine Sample
A representative sample of basic units is determined using the computation defined below.
Sampling formula:
Number of
Number of
Minimum number basic units in the
subgroups X given subgroup
of basic units to
be selected from = Total number
a given subgroup
of basic units
The result of this computation is the minimum acceptable sample for the appraisal with at least
one basic unit sampled from each subgroup. The computed value of the formula may generate a
fractional number. If the computed value using this formula is less than 1, then the required
number of basic units will be 1. Fractional units over 1 are subject to normal rounding rules (e.g.
1.49 would become 1; 1.5 would become 2).
Applying the formula above to the simple example introduced earlier yields the results in the table
below:
Table 16: Example of Sampling Factors: Basic Units
Total Number Basic Units
of Basic Units Sampled
New York, Commercial 7 1
New York, Government 2 1
Cincinnati, Commercial 5 1
Denver, Commercial 11 2
Denver, Government 5 1

The lead appraiser and sponsor may agree on the involvement of additional basic units as
appropriate (e.g., if the sponsor chooses to include specific work efforts in order to address
expectations of customers who want to see appraisal results for work delivered under a given
contract). As well, the discussion between the sponsor and the lead appraiser may lead to reducing
the breadth of the organizational unit involved in the appraisal–for example, omitting the
Cincinnati location altogether–leading to a smaller scope for the appraisal activity. This fact
would be documented with the appraisal results, which would not apply to the status of the
processes used by basic units in the Cincinnati location.
Plan Data Collection

Artifacts and affirmations are required to satisfy the data coverage rules specified in the MDD.
The initial data collection plan identifies how the data coverage rules will be satisfied. This initial
plan provides an added level of detail for the appraisal sponsor and lead appraiser to understand
the effort required to perform the appraisal. At this point in the process, before data collection has
begun, the organizational unit may again be redefined in order to achieve a more desirable balance
between the cost of the appraisal and the breadth of applicability for the appraisal results.
Data Coverage Rules

The data coverage rules defined in SCAMPI, in concert with the sampling process, promote a
balance between breadth and depth of data collection during an appraisal. These rules must be
interpreted in combination to define the data collection plan for an appraisal, rather than addressed
one rule at a time. In most applications of the appraisal method, many different ways to meet the
set of data coverage rules will be possible. This flexibility allows the lead appraiser and appraisal
sponsor to collaborate to devise an efficient sampling and data collection strategy, where cost-
value tradeoffs can be made within an objective framework that promotes credibility of the
appraisal results. At the end of the appraisal, the qualified and trained appraisal team must come
to consensus on the adequacy of the information considered to render decisions.
The sampling process sets a scope for this decision process, and the data coverage rules provide a
minimum threshold for inputs to the team decisions. Depending on what is found during the
examination of the required data, the team may determine that additional information is required
to make a fair and balanced judgment. For example, if weaknesses are found through examination
of some artifacts, additional affirmations may be sought to ensure the team is interpreting the
artifacts correctly. Similarly, if affirmations indicate greater strength of implementation than the
initial set of artifacts support, the team may seek other artifacts to corroborate the information
supplied.
Introduction to Case Studies

The three case studies described in this appendix provide illustrations of the sampling and data
coverage concepts in order to foster understanding. These case studies are not intended to provide
specific templates to be emulated in practice; rather they provide examples of the kinds of
analyses that are to be employed in planning a SCAMPI V1.3. As summaries of real situations,
note that none of these case studies reflect the entire set of information expected to be considered
by appraisal team leaders who apply the process described in the MDD.

While the formats of the three case studies are similar, they intentionally present various levels of
detail that would be appropriate given the focus of each case study. Each case study has the
following major section headings:
 The Organization and Initial Identification of Sampling Factors

 Identification of Subgroups
 Scoping the Organizational Unit and Associated Sample Size
 Evaluating the Tradeoffs
 Apply the Data Coverage Requirements
 Case Study Summary
Case 1: Large Development Organization
The Organization and Initial Identification of Sampling Factors

The appraisal team leader has started to work with a large aerospace and defense corporation to
perform a Maturity Level 2 appraisal. The organization has been improving process for over 10
years. Based on conversations with the sponsor, the appraisal team leader initially determines the
organizational unit should be the Blue Business Unit. The Blue Business Unit is comprised of 30
projects.
The documented analysis resulted in the following sampling factors with their associated relevant
values:
 Location (Los Angeles, Dayton, Other)

 Customer (DoD, Commercial)
 Size (Large>15 people, Small<15 people)
 Duration (Long > 1yr, Short <1yr)
The potential sampling factors “organizational structure” and “type of work” were also evaluated,
and found not to play an important role in the organization. Detailed analysis of the organization
found that the sampling factors “location” and “customer” accounted for all differences associated
with these other potential sampling factors. It was documented that the organizational structure
was partitioned by location, and the type of work was completely accounted for by the customer.
That is, each company location contained only one part of the organizational structure, and
different types of work were not performed for a given customer.
The sampling factor “duration” was added to the sampling process because the threshold of one
year in project duration was found to have a notable influence on the process.
Identification of Subgroups
From this the appraisal team leader determines the number of subgroups by applying the sampling
factors to the projects in the organizational unit. This analysis results in the table of subgroups
identified below. Note that there are 24 possible subgroups given the sampling factors and
associated possible values shown above.

Only eight subgroups are identified below because all of the organization’s basic units exist in
only these eight subgroups.
Table 17: Subgroups Defined by Sampling Factors
Location Customer Size Duration # Basic Units
LA Commercial Large Short 2
LA Commercial Small Short 1
LA DoD Large Long 4
LA DoD Small Long 8
Dayton DoD Large Long 2
Dayton DoD Small Long 6
Other DoD Large Long 3
Other DoD Small Long 4
30
Scoping the Organizational Unit and Associated Sample Size

Several different scenarios are developed to show the impact on the organizational unit and
organizational scope. Refer to the formula in MDD Section 1.1.3, Determine Appraisal
Constraints to determine the “minimum” number of basic units to be selected from a given
subgroup.

OU: Blue Business Unit
(i.e., the full organizational unit)
Table 18: Subgroups and Sample Size (Blue Business Unit)
Subgroup Attributes Count of Result from Number of Basic

(Sampling Factor Values) Basic Units Applying the Units to Sample
Formula
LA, Commercial, Large, Short 2 0.533 1
LA, Commercial, Small, Short 1 0.267 1
LA, DoD, Large, Long 4 1.067 1
LA, DoD, Small, Long 8 2.133 2
Dayton, DoD, Large, Long 2 0.533 1
Dayton, DoD, Small, Long 6 1.600 2
Other, DoD, Large, Long 3 0.800 1
Other, DoD, Small, Long 4 1.067 1
10

OU: Blue Business Unit LA and Dayton Locations
(i.e., limiting organizational unit to two locations and omitting the “other location”)
Table 19: Subgroups and Sample Size (Blue Business Unit LA and Dayton Locations)
Subgroup Attributes Count of Basic Result from Number of Basic

(Sampling Factor Values) Units Applying the Units to Sample
Formula
LA, Commercial, Small, Short 1 0.261 1
LA, DoD, Small, Long 8 2.087 2
Dayton, DoD, Small, Long 6 1.565 2
OU: Blue Business Unit LA and Dayton Locations/Large Projects

(i.e., limiting organizational unit further and omitting “small projects” from the organizational
unit)
Table 20: Subgroups and Sample Size (Blue Business Unit LA and Dayton Locations/Large Projects)
Subgroup Attributes Count of Basic Result from Number of Basic

(Sampling Factor Values) Units Applying the Units to Sample
Formula

Evaluating the Tradeoffs
The appraisal sponsor and appraisal team leader can work with the alternative scenarios above
(and others as they wish) to evaluate the tradeoff between the scope and the magnitude of the
appraisal event. Each organizational unit definition and accompanying organizational scope
alternative would present a different scenario in planning data collection for the appraisal event. A
summary of the alternatives, associated number of subgroups, and number of samples is provided
in the following table.
Table 21: Summary of the Blue Business Unit’s Organizational Unit and Scope Alternatives
Organizational Comments # Subgroups # Sampled

Unit Name and Basic
Scenario Units
The Blue All elements of the Blue Business Unit are 8 10

Business Unit included, so stakeholders in the appraisal
outcome will expect the results to apply to all of
the different types of work done within the
business unit.
The Blue The scope of the appraisal would be limited to 6 8

Business Unit at the LA and Dayton locations. Assertions about
LA and Dayton the results of this appraisal would apply only to
Locations only the work in these two locations.
The Blue The scope of the appraisal would be limited to 3 4

Business Unit at the part of the organization that conducts large
LA and Dayton projects in the LA and Dayton locations.
Locations/Large Assertions about the results of this appraisal
Projects only would apply only to large projects in these two
locations.
Applying the Data Coverage Requirements

The data coverage rules are applied to each of the scenarios developed earlier. Further
assumptions made based on analyzing the organization are as follows:
 A centralized QA support function operates at each location, sharing staff and using location-
specific infrastructure and personnel. The function is applied uniformly, with shared staff,
common templates, and reporting expectations. The customer, size and duration of the project
do not affect the behavior of the staff performing the work. The following tables demonstrate
application of coverage rule 3 for support functions. At least one sample of PPQA is required
for each location.
 A Project Management Office (PMO) was established to manage all DoD projects, and the
management structure overseeing those projects operates as a cross-site function. Standard
planning and monitoring processes are implemented, and personnel who perform that work
have responsibility for multiple DoD projects. The location, duration and size of the project
do not affect the behavior of the staff doing planning and monitoring on DoD projects. In this
instance, the PMO is a support function for DoD projects. The following tables demonstrate
application of coverage rule 3 for support functions. At least one sample of PP and Project

Monitoring and Control (PMC) are required for DoD projects. For commercial projects
however, data covering PP and PMC are required from each subgroup in accordance with
coverage rule 1 for basic units.
 Small projects share a common infrastructure for configuration management, including CM
tools and personnel, who are assigned from a larger pool. For large projects, project-specific
infrastructure and staffing are established. In this instance, CM is a support function for small
projects. The following tables demonstrate application of coverage rule 3 for support
functions. At least one sample is required for small projects. For large projects however, data
covering CM is required from each subgroup in accordance with coverage rule 1 for basic
units.
 DoD projects do not use suppliers as a matter of policy. Supplier Agreement Management
(SAM) is not applicable for DoD projects.
OU: Blue Business Unit

(i.e., the full business unit)
The data collection plan depicted below conforms to the rules, with
 One unit providing PP and PMC data from DoD programs

 One unit each providing PPQA data from the LA and Dayton locations
Cells containing an “x” signify a requirement to collect data (affirmations or artifacts) sufficient
to cover the process area represented by that column, for the basic unit represented by that row.
Cells containing an “o” signify a process area and basic unit combination for which data are not
required, according to the minimum coverage requirements of the method.

Table 22: Subgroups and Sampled Process Areas (Blue Business Unit)
REQM PP PMC MA CM PPQA SAM
Relevant Sampling Factors Sample Art Aff Art Aff Art Aff Art Aff Art Aff Art Aff Doc Aff
LA, Commercial, Large, Short 1 x x x x x x x x x x x x
LA, Commercial, Small, Short 1 x x x x x x x x x x x x
LA, DoD, Large, Long 1 x x x x x x x x
x x x x o o
LA, DoD, Small, Long 2
o o o x o o
Dayton, DoD, Large, Long 1 x x x x x x

x x x x
x x x x o o x x
Dayton, DoD, Small, Long 2
o x o o o o
Other, DoD, Large, Long 1 x x x x x x x x
Other, DoD, Small, Long 1 x x x x o o x x
10 8 9 3 3 3 3 8 9 5 5 4 4 2 2
REQM: Requirements Management PP: Project Planning PMC: Project Monitoring and Control MA: Measurement and Analysis
CM: Configuration Management PPQA: Process and Product Quality Assurance SAM: Supplier Agreement Management
ART: Artifact AFF: Affirmations
OU: Blue Business Unit LA and Dayton Locations

(i.e., limiting organizational unit to two locations and omitting the “other location”)
Only major difference is the omission of “other location” from the scope of the organizational
unit. The appraisal results would apply to only the LA and Dayton locations. (Note that if the
process did not vary that much between the “other locations” and LA/Dayton, the organizational
unit could be considered to be the full organization. This would be left up to the discretion of the
appraisal team leader.)
As in the first alternative, the data collection plan depicted below conforms to the rules, with

 One unit providing PPQA data from the LA location

Table 23: Subgroups and Sampled Process Areas (LA and Dayton Locations Only)
Relevant Sampling Factors Sample Art Aff Art Aff Art Aff Art Aff Art Aff Art Aff Art Aff
LA, Commercial, Large,

1 x x x x x x x x x x x x
Short
LA, Commercial, Small,

Short
x x
LA, DoD, Large, Long 1 x x x x x x
x x x x o o
LA, DoD, Small, Long 2
x o o o o o
x x x x
Dayton, DoD, Large, Long 1 x x x x x x
x x x x o o x x
Dayton, DoD, Small, Long 2
o o x o o o
8 7 6 3 3 3 3 7 6 4 4 2 2 2 2
OU: Blue Business Unit LA and Dayton Locations/Large Projects

(i.e., limiting organizational unit further and omitting “small projects” from organizational unit)
This alternative further limits the organizational unit to large projects. Consistent with the
alternative presented above, the data collection plan depicted below conforms to the rules as
follows:

 One unit providing PPQA data from the LA location

Table 24: Subgroups and Sampled process areas (LA and Dayton Locations/Large Projects Only)
Relevant Sampling Factors Sample Art Aff Art Aff Art Aff Art Aff Art Aff Art Aff Art Aff
LA, Commercial, Large,

Short
x x
x x x x x x
LA, DoD, Large, Long 2
o x x x x x o o o o
Dayton, DoD, Large, Long 1 x x x x x x x x
4 3 4 2 2 2 2 3 3 3 3 2 2 1 1
Case 1 (Large Development Organization) Summary

Under the rules of SCAMPI V1.3, the Blue Business Unit will be able to explore many
alternatives pertaining to the definition of the organizational unit and associated organizational
scope, as appropriate. This will allow the Blue Business Unit to conduct an appraisal that satisfies
the needs of the appraisal sponsor while assuring the quality of the appraisal result.

Case 2: Services Organization

The appraisal team leader is working with a well-established firm providing staff-augmentation
services for a diverse set of software and systems engineering programs in the defense and
intelligence industries. The organization has been engaged in process improvement for a number
of years, and is now interested in establishing a Maturity Level 2 benchmark using CMMI-SVC to
enhance their reputation among their customer base. Following conversations with the sponsor,
the appraisal team leader initially determines the appropriate organizational unit should include
the entire company because of the integrated nature of the processes and the company-wide focus
of the improvement program. The basic unit for organizing the work in this organization is “the
contract,” because each contract has the potential to present some unique needs and constraints on
various processes used in allocating staff and managing their ongoing service. Analysis of the
organization results in the following sampling factors (with relevant value):
 Assignment Duration (Short-Term = less than six months; Medium-Term = six months to one
year; Long-Term = more than one year; Semi-Permanent = no end-date specified)
 Technical Competency Required (Requirements Specification and Analysis; Systems
Feasibility Study and Proof Of Concept/Prototype Development; Software
Engineering/Development; Systems Integration/Testing; Documentation/Training
Development)
 Program Domain (Communications, Command, Control, and Intelligence; Advance Weapons
Systems; Aeronautical Engineering; Logistics and Supply Chain Management) (Note this is
considered an example of the “customer” sampling factor)
 Security/Classification Requirements (Non-Classified Environment; Classification-Level 1;
Classification-Level 2; Unique Classification Requirement)
The potential sampling factors that the SCAMPI method requires to be analyzed (refer to Section
1.1.4 Determine Appraisal Scope) were ruled out from consideration based on the analysis
summarized below:
 Location: The service being delivered by the company is executed from a single centralized
location, though the assignments of the technical staff take them all around the world.
 Customer: The combination of technical competency required and program domain define the
range of customers served by the company. Defining subgroups using “customer” would be
redundant with these two sampling factors.
 Size: The size of the programs being staffed overlap (in terms of categories) with the
assignment duration.
 Organizational Structure: There is no effect on the behavior or practices used by the assigned
staff that can be traced back to an aspect of the organizational structure of the company
providing staff augmentation.
 Type of Work: The sampling factor “program domain” essentially represents this sampling
factor as described in the MDD, but the label “program domain” is more readily understood
in the organization.

During the process of determining the implementation of support functions, a greater degree of
understanding for sampling factors is established. The lead appraiser learns that differences in the
performance of technical work may have been overemphasized in determining sampling factors
that relate to the performance of the CMMI-SVC-related work within the organization.
Consequently, the following two sampling factors have been modified:
 Assignment Duration: Two levels have been combined resulting in three values (Short-Term
= less than six months; Medium-Term = six months to one year; Long-Term = more than one
year). The processes that govern staff assignments on a semi-permanent basis do not differ
substantially from those used to assign staff on a long-term basis. All semi-permanent
assignments have last more than one year. Differences in the content of the service level
agreement for these contracts do not impact the practices used to identify, assign, and manage
the service level agreement.
 Security/Classification Requirements: Two levels have been combined resulting in three
values (Non-Classified Environment; Classification-Level 1 or 2; Unique Classification
Requirement). The qualifications of each staff member are identified with respect to 4 levels
of security clearance (with the first level signifying that the staff holds no clearance of any
type). Each assignment filled by a staff member is categorized in the same manner. The
processes associated with the “middle two” classification levels have no meaningful
difference. In addition, most staff assigned to positions requiring “Classification-Level 1”
have a higher level of clearance.
The appraisal team leader determines the relevant subgroups by applying the sampling factors to
the staff augmentation contracts in the organizational unit. This analysis is documented in the
table below. The table captures the diversity of the work in the organizational unit, in terms of the
differences among contracts that are thought to lead to potential differences in process
implementation. The subgroups below represent different potential challenging conditions
(process contexts) that may at times test the robustness of the policies and practices of the
organization. Note that there are 180 possible subgroups given the sampling factors and
associated possible values shown above.

Only 11 subgroups are identified below because all of the organization’s basic units exist in only
these 11 subgroups.
Table 25: Subgroups Defined by Sampling Factors
Duration Technical Domain Classification # Basic Units

Competency
Short Requirements C3I None 1
Short Requirements Weapons None 1
Short Feasibility Log None 1
Short Document Log None 2
Long Integration Aero None 3
Long Software C3I 1 or 2 8
Medium Requirements C3I Unique 3
Medium Feasibility Weapons 1 or 2 2
Medium Feasibility Aero 1 or 2 2
Long Feasibility Weapons Unique 3
Long Software C3I Unique 4
30

Working with the sponsor, the lead appraiser develops different scenarios to show how alternative
definitions of the organizational unit lead to various samples that make up the organizational
scope. Refer to the formula in MDD Section 1.1.3 Determine Appraisal Constraints to determine
the minimum number of basic units to be selected from a given subgroup.

OU: The Whole Company
(i.e., all contracts)
Table 26: Subgroups and Sample Size (The Whole Company)
Count of Result from Number of

Subgroup Attributes
Basic Applying the Basic Units to
(Sampling Factor Values)
Units Formula Sample
Short, Requirements, C3I, No Classification 1 0.333 1
Short, Requirements, Weapons, No Classification 1 0.333 1
Short, Feasibility, Logistics, No Classification 1 0.333 1
Short, Documentation, Logistics, No Classification 2 0.667 1
Long, Integration, Aerospace, No Classification 3 1.000 1
Long, Software, C3I, Classification 1 or 2 8 2.667 3
Medium, Requirements, C3I, Unique Classification 3 1.000 1
Medium, Feasibility, Weapons, Classification 1 or 2 2 0.667 1
Medium, Feasibility, Aerospace, Classification 1 or 2 2 0.667 1
Long, Feasibility, Weapons, Unique Classification 3 1.000 1
Long, Software, C3I, Unique Classification 4 1.333 1
13

OU: C3 I Contracts Only
(i.e., limiting organizational unit to only C3I contracts)
Table 27: Subgroups and Sample Size (The Red Company - C3I Contracts)
Subgroup Attributes Count of Result from Number of

(Sampling Factor Values) Basic Applying the Basic Units
Units Formula to Sample
Long, Software, C3I, Classification 1 or 2 8 2.000 2
Medium, Requirements, C3I, Unique Classification 3 0.750 1
Long, Software, C3I, Unique Classification 4 1.000 1
OU: Non-Classified Contracts Only

(i.e., limiting OU to exclude classified contracts)
Table 28: Subgroups and Sample Size (The Red Company - Non-Classified Contracts)
Subgroup Attributes Count of Result from Number of

(Sampling Factor Values) Basic Applying the Basic Units
Units Formula to Sample
Short, Requirements, Weapons, No Classification 1 0.625 1
Short, Feasibility, Logistics, No Classification 1 0.625 1
Short, Documentation, Logistics, No Classification 2 1.250 1
Long, Integration, Aerospace, No Classification 3 1.875 2

The appraisal sponsor and appraisal team leader work with the alternative scenarios above (and
others as deemed relevant) to evaluate the tradeoff between the scope and the magnitude of the
appraisal event.
Each organizational unit definition and accompanying organizational scope presents a different
scenario in planning data collection for the appraisal event. As well, each candidate definition of
organizational unit leads to a different scope of generalization that can be made with appraisal
results. The table below summarizes these differences at a high level:
Table 29: Summary of Organizational Unit and Scope Alternatives
Organizational Comments # #
Unit Name and Subgroups Samples
Scenario
The Whole All elements of the organizational unit are included, 11 13

Company so stakeholders in the appraisal outcome will expect
the results to apply to all of the different types of work
done within the organization.
C3I Contracts If the organization is competing for staff 4 5

Only augmentation contracts in this domain, a benchmark
that applies only to their C3I-related portfolio of work
might be an ideal scoping for the appraisal.
Un-Classified If the classification restrictions associated with the 5 6

Contracts Only staffing assignments limits the accessibility of data,
then an appraisal focused on only the un-classified
contracts may present a simpler event from a
logistics perspective.

The data coverage rules are applied to each scenario, to illustrate the ramifications of the scoping
and sampling decisions for the magnitude of the appraisal event. The numbers presented represent
minimum acceptable sampling values for consideration. In order to assert that the data collected is
sufficient to represent the organization, the lead appraiser must use professional judgment to
ensure no sampling factors–or other unforeseen influences on the process context–have been
overlooked.

In addition to the sampling factors identified above, the following information relating to the
allocation of support functions within the organization is documented during planning.
 A highly secure Configuration Management (CM) support function has been established for
managing assets related to ongoing contracts as well as the staff and their capabilities. Assets
maintained include proposals and bids for classified work, as well as resumes and personnel
files for those who perform this work. The following tables demonstrate application of
coverage rule 1 for support functions. At least one sample of CM is required across the
 The organization’s Measurement and Analysis (MA) program has been defined “across the
organization.” It is staffed by a group of professionals that (collectively) have experience with
all types of work done in the organization. The following tables demonstrate application of
coverage rule 1 for support functions. At least one sample of MA is required across the
 A PMO structure is defined to separate management of classified and unclassified work. All
activities relating to Work Planning (WP) and Work Monitoring and Control (WMC) are
handled by a centralized function, one for unclassified work, and a separate one for classified
work. The following tables demonstrate application of coverage rule 3 for support functions.
A sample of WP and WMC are required from each instance of PMO, one for classified and
one for unclassified work.
 All other ML 2 process areas (PPQA, Requirements Management [REQM], Service Delivery
[SD], SAM) potentially have “contract-unique implementations.” The tables below
demonstrate coverage rule 1 for basic units. For the subgroup with three sampled basic units,
coverage rules 2 and 3 apply as well.

OU: The Whole Company
(i.e., all contracts)
Including all basic units and support functions in the organization, the data collection planning
begins with the matrix depicted below. The coverage rules guide more detailed data collection
planning. Note that this will affect the number of pieces of data required for the sixth subgroup in
the table–for the columns labeled PPQA, REQM, SD, and SAM–because three units are sampled
for this subgroup.
Table 30: Subgroups and Sampled Process Areas (The Red Company)
CM MA WMC WP PPQA REQM SD SAM
Relevant Sampling Factors Sample Art Aff Art Aff Art Aff Art Aff Art Aff Art Aff Art Aff Doc Aff
Short, Req, C3I, Non-Class 1 x x x x x x x x
Short, Req, Weap, Non-Class 1 x x x x x x x x
Short, Feas, Log, Non-Class 1 x x x x x x x x x x x x
Short, Doc, Log, Non-Class 1 x x x x x x x x
Long, Int, Aero, Non-Class 1 x x x x x x x x
o o o o x o o o
Long, SW, C3I, Class 1 or 2 3 x x x x x x x x x x x x
o o x x o o o o
Med, Req, C3I, Unique-Class 1 x x x x x x x x

x x x x
Med, Feas, Weap, Cass 1 or 2 1 x x x x x x x x
Med, Feas, Aero, Class 1 or 2 1 x x x x x x x x
Lng, Feas, Weap, Unique-Class 1 x x x x x x x x
Lng, Sw, C3I, Unique-Class 1 x x x x x x x x
13 1 1 1 1 2 2 2 2 11 11 12 12 12 11 11 11
CM: Configuration Management MA: Measurement and Analysis WMC: Work Monitoring and Control WP: Work Planning
PPQA: Process and Product Quality Assurance REQM: Requirements Management SD: Service Delivery SAM: Supplier Agreement Management
The columns associated with CM and MA process areas are depicted as single cells because these
practices are performed by support functions, and not by basic units. This implies that an appraisal
team examining the practices associated with these process areas would examine data that applies
equivalently across all basic units in the organizational unit. This is not to say that data tracing to
individual basic units would not be examined.

In contrast, the columns for WMC and WP process areas are depicted with cells for two different
implementations, one for non-classified contracts, and the other for classified contracts. This
reflects the organization’s choice to define two different PMO functions for the two types of
contracts (non-classified vs. classified).
OU: C3 I Contracts Only

(i.e., limiting organizational unit to only C3I contracts)
Including only the basic units tied to C3I contracts and associated support functions in the
organization, the data collection planning begins with the matrix depicted below. Again, the
coverage and corroboration rules affect the number of pieces of data required for the row labeled
G6–for the columns labeled PPQA, REQM, SD, and SAM–because two units are sampled for this
subgroup. All other cells in the matrix would have at least one item of data.
Table 31: Subgroups and Sampled Process Areas (The Red Company - C3I Contracts)
Short, Req, C3I, Non-Class 1 x x x x x x x x x x x x
o o o o x o o o
Lng, Sw, C3I, Class 1 or 2 2
x x x x x x x x x x x x
x x x x
Med, Req, C3I, Unique-Class 1 x x x x x x x x
Lng, Sw, C3I, Unique-Class 1 x x x x x x x x
5 1 1 1 1 2 2 2 2 4 4 4 4 5 4 4 4

OU: Non-Classified Contracts Only
(i.e., limiting organizational unit to exclude classified contracts)
Including only the basic units tied to non-classified contracts and associated support functions in
the organization, the data collection planning begins with the matrix depicted below. In this case,
the coverage and corroboration rules affect the number of pieces of data required for the row
labeled “Long, Int, Aero, Non-Class”–for the columns labeled PPQA, REQM, SD, and SAM–
because two units are sampled for this subgroup.
In the context of non-classified contracts, this subgroup has a larger number of basic units than the
other subgroups, so the minimum sample size is larger. All other cells in the matrix would have at
least one item of data.
Table 32: Subgroups and Sampled Process Areas (The Red Company/Non-Classified Contracts)
Short, Req, C3I, Non-Class 1 x x x x x x x x
Short, Req, Weap, Non-Class 1 x x x x x x x x
Short, Feas, Log, Non-Class 1 x x x x x x x x

x x x x x x x x
Short, Doc, Log, Non-Class 1 x x x x x x x x
o o x o o o o o
Long, Int, Aero, Non-Class 2
x x x x x x x x
6 1 1 1 1 1 1 1 1 5 5 6 5 5 5 5 5
Case 2 (Services Organization) Summary

Under the rules of SCAMPI V1.3, the sponsor for this company will be able to explore many
different alternatives pertaining to the definition of the organizational unit and associated
organizational scope, as appropriate. This will allow the company to conduct an appraisal that
satisfies the needs of the appraisal sponsor while assuring the quality of the appraisal result.

Case 3: Small Development Organization

The appraisal team leader has started to work with a small organization that is working to achieve
CMMI-DEV Maturity Level 3. The company is comprised of approximately 125 staff, with an
engineering workforce of 80 maintaining three very large information systems. They were a
fledgling start up 20 years ago when five hard-working engineers developed a niche product to
service a government program dispensing funds through the Small Business Administration to
other small companies. As the system grew to serve local offices in municipalities throughout the
U.S. and a wider range of recipients, the company expanded the sphere of their work. The system
that launched the company is now an established product in the industry. The company has
ventured into developing new systems based on the architecture of their flagship product. This
success has brought the attention of the major corporate player in the region, who is working on a
buy-out of the company. Management believes a successful CMMI-based process improvement
program will be appealing to the potential buyer, as they compete for contracts in a market where
these credentials are highly valued.
The engineering practices used on projects–two to four annual releases for each system and
“special projects” as needed–tend to fall into two different categories. The flagship product is
primarily a mainframe, back-office, batch-oriented system written in Cobol73. While training and
tools have greatly influenced the support environment used to maintain this system, the testing
and operating platforms tend to differ substantially from the other two (more modern) systems.
This leads to notable differences in processes relating to Technical Solution (TS), Verification
(VER), Validation (VAL), Product Integration (PI) as well as Integrated Project Management
(IPM) process areas. The two newer systems have adopted modern design methods, higher level
programming languages and more modern tools that integrate easily with the development and
testing environments they use.
Through the hard work of the EPG, as well as many long working sessions with first line
managers and senior engineers, a common approach to managing releases or projects and
providing support functions has been established. A well-established lifecycle model had existed
for over a decade, and common approaches to planning and monitoring releases is in place.
Disciplined approaches to configuration and release management are supported by a company-
wide QA and measurement system. While the expertise required to develop and maintain good
requirements differs according to the history of the customer-base (and the experience of the staff)
the fundamental approach is the same across the company.
The documented analysis resulted in the following sampling factors with their associated relevant
values:
 Type of Project or Work (Release, Special Project): There is a distinction made between
regular releases of systems, and special projects. Special projects are carried out to handle
enhancements, fixes, or special features out of cycle. Changes in regulatory constraints, major
security threats, or significant defect reports may initiate a special project.
These tend to be smaller in scope and shorter in duration. While the fundamental elements of
the development and management processes are still used on the special projects, there is a
distinct “tailoring-down” of the activities to accommodate a shorter time window. Everything
from requirements development to release management–and the project planning and
oversight that occurs in between–is done with abbreviated timetables and a different level of
formality.
 Management Structure (Flagship Division, Other Divisions).The work done on the flagship
product has provided a great deal of opportunity for advancement of the staff in that division.
The new divisions were seeded with the innovative members of that division. Consequently,
there is a larger management structure–accompanied at times by an unreasonable allegiance
to the status quo–in that division. The other two divisions are more amenable to the
introduction of new practices, and therefore able to institutionalize improvements in a shorter
timeframe. In particular, the acceptance of new ways of performing the practices in Decision
Analysis and Resolution (DAR), as well as Risk Management (RSKM), process areas may be
an issue.
 Technology Base (Legacy Technology, Modern Technology): The legacy system identified as
the flagship product leads to notable differences in the implementation of some process areas
including TS, VER, VAL, PI as well as IPM.
 Depth of Product History (Flagship Division, Other Divisions): Work on the flagship system
over the years has resulted in a wealth of historical information that is not yet available for the
other products. While the divisions make an effort to share historical experience and data,
their usefulness is viewed to be limited. The depth of experience also leads to a greater
preference to rely on intuition and engineering judgment at times. This has affected the
acceptance of RSKM and DAR.
 Though not described in detail here, other potential sampling factors (including the required
list in Section 1.1.3 Determine Appraisal Constraints ) were analyzed in detail, and the results
of that analysis were documented by the lead appraiser in the appraisal plan.
Subgroups within the organizational unit: The table below summarizes the current inventory of
releases and projects in the organization, according to the organizational structure. The sampling
factors identified and the subsequent analysis performed on them will lead to the identification of
subgroups and the basic units they contain.
Table 33: Number of Projects in the Green Company Divisions
Division Work Type Release or Project Name Count
Flagship Division Release Rel2010.3, Rel2011.1 2*
Special Project - 0
New Division A Release Rel2010.3, Rel2010.4, Rel2011.1 3*
Special Project DataWarehouse2011 1
New Division B Release Rel2010.2, Rel2011.1 2*
Special Project SecurityReportingABC, 2

FirmwareTester2011
* At any given time, there will be more than one release in progress, at different points in the
lifecycle. These are each counted as one basic unit.
There may be times when no special projects are underway in a given division. The definition of
the subgroups is provided below.
Table 34: Definition of Subgroups
Management Structure Technology Depth of # Basic

Type of Work
Base History Units
Release Flagship Division Legacy Deep 1
Release New Divisions Next Gen New 2
Special Projects New Divisions Next Gen New 3

Follow-up discussions with the engineering process group leader, interviews of first line
managers, and examination of past appraisal records reveals some additional information:
 Overlapping Releases
 Given the strategy for rolling releases, at any given point in time recent examples of
artifacts and activities for each lifecycle phase are available. However, only during
certain times (just after a release) will those current examples all relate to the same
release.
 All releases underway at the current time are based on the same version of the company
process. No major process changes–other than minor revisions to templates or work
instructions–have occurred since the completion of the last release in each division.
 The staff working on releases in each division is drawn from the same pool. The
assignments to different releases can potentially change from day to day.
 The EPG suggests that it is reasonable to pool all the releases within each division rather
than considering them separately for the purpose of the appraisal. This was the approach
taken in the last Class B appraisal performed in the company.
 Special Projects
 At any given time, two to six special projects are typically underway in the organization.
Currently, the organization is engaged in three projects.
Refer to the formula in MDD Section 1.1.3 Determine Appraisal Constraints to determine the
minimum number of basic units to be selected from a given subgroup. The result of applying this
computation is shown in the table below.

Table 35: Subgroups and Number of Sampled Basic Units
Subgroup Attributes # Basic Result from Number of

(Sampling Factor Values) Units Applying the Basic Units to
Formula Sample
Releases in Flagship Division 1 0.500 1
Releases in New Divisions 2 1.000 1
Special Projects in New Divisions 3 1.500 2
* There is no sampling factor for “release ID” and rather than treating each release as a basic unit,
the set of releases within a division, supported by a common pool of staff in the division, is treated
as a single basic unit. Therefore, each division is a basic unit in this case.

Although less likely than in the first two case studies, Green Company can also perform an
analysis of alternative scenarios relative to the organization unit and scope. Performing this
tradeoff analysis is less likely because the sample size (organizational scope) for the entire
organizational unit is four basic units for this case study. An appraisal with this sample size is
generally thought of as a reasonable sized appraisal given that it can be for the entire company.
Refer to Case Study 1 and 2 for examples of how this type of tradeoff analysis could be
performed.

After interviewing Green Company management, process and quality personnel, the following
support functions were found to exist in the organizational unit
 Engineering process
 Configuration and release management
 Quality assurance
 Measurement
 Procurement and training
The table below shows the mapping of process areas to the basic units and support functions that
perform the related work. This is a level of detail not specifically illustrated in the previous case
studies, though obviously this type of understanding is necessary to support data collection
planning in all cases.

Table 36: Process Areas and Basic Units and Support Functions
Process Area Name Work Done By…
Requirements Management Basic Units: Releases and Special Projects
Project Planning Basic Units: Releases and Special Projects
Project Monitoring and Control Basic Units: Releases and Special Projects
Supplier Agreement Management Support Function: Procurement
Measurement and Analysis Support Function: Measurement Specialists
Process and Product Quality Assurance Support Function: Quality Assurance
Configuration Management Support Function: Configuration or Release Management
Requirements Development Basic Units: Releases and Special Projects
Technical Solution Basic Units: Releases and Special Projects
Product Integration Basic Units: Releases and Special Projects
Verification Basic Units: Releases and Special Projects
Validation Basic Units: Releases and Special Projects
Organizational Process Focus Support Function: Engineering Process Group
Organizational Process Definition Support Function: Engineering Process Group
Organizational Training Support Function: Procurement
Integrated Project Management Basic Units: Releases and Special Projects
Risk Management Basic Units: Releases and Special Projects
Decision Analysis and Resolution Basic Units: Releases and Special Projects
Data collection planning for each process area in scope of the appraisal is driven by the data
coverage rules found in activity 2.4.1, Verify Objective Evidence. A high-level view of the data
coverage requirements for this scenario appears in the matrices below. In each matrix, “ART”
stands for artifacts and “AFF” stands for affirmations. Cells that are not shaded in grey represent
areas where data collection would be required. Note, there are alternative allowable
configurations, but the number of cells in the matrices depicts the data coverage requirements.

Table 37: Basic Unit/Support Function versus Process Area Map
REQM PP PMC RD TS PI VER VAL IPM
Relevant Sampling Factors Art Aff Art Aff Art Aff Art Aff Art Aff Art Aff Art Aff Art Aff Art Aff
Flagship Releases x x x x x x x x x x x x x x x x x x
New Division A Releases x x x x x x x x x x x x x x x x x x
New Division B Releases o o o o o o o o o o o o o o o o o o
Data Warehouse 2011 o x o o o o o o o o o o o o o o o o
Security Reporting ABC x x x x x x x x x x x x x x x x x x
Firmware Tester 2011 o o o o o o o o o o o o o o o o o o
Procurement o o o o o o o o o o o o o o o o o o
Measurement Specialist o o o o o o o o o o o o o o o o o o
Quality Assurance o o o o o o o o o o o o o o o o o o
Configuration Management o o o o o o o o o o o o o o o o o o
Engineering Process Group o o o o o o o o o o o o o o o o o o
3 4 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3
REQM: Requirements Management PP: Project Planning PMC: Project Monitoring and Control RD: Requirements Development
TS: Technical Solution PI: Product Integration VER: Verification VAL: Validation IPM: Integrated Project Management

Table 38: Basic Unit or Support Function versus Process Area Map (continued)
RSKM DAR SAM MA PPQA CM OPF OPD OT
Relevant Sampling Factors Art Aff Art Aff Art Aff Art Aff Art Aff Art Aff Art Aff Art Aff Art Aff
Flagship Releases x x x x x x o o o o o o o o o o o o
New Division A Releases x x x x x x o o o o o o o o o o o o
New Division B Releases o o o o o o o o o o o o o o o o o o
Data Warehouse 2011 o o o o o o o o o o o o o o o o o o
Security Reporting ABC x x x x x x o o o o o o o o o o o o
Firmware Tester 2011 o o o o o o o o o o o o o o o o o o
Procurement o o o o x x o o o o o o o o o o x x
Measurement Specialist o o o o o o x x o o o o o o o o o o
Quality Assurance o o o o o o o o x x o o o o o o o o
Configuration Management o o o o o o o o o o x x o o o o o o
Engineering Process Group o o o o o o o o o o o o x x x x o o
3 3 3 3 3 3 1 1 1 1 1 1 1 1 1 1 1 1
RSKM: Risk Management DAR: Decision Analysis and Resolution SAM: Supplier Agreement Management MA: Measurement and Analysis
PPQA: Process and Product Quality Assurance CM: Configuration Management OPF: Organizational Process Focus
OPD: Organizational Process Definition OT: Organizational Training
Notes:
 The single basic unit for the first subgroup (Flagship Division System Releases) supplies both
artifacts and affirmations for all process areas applicable to basic units. This is in accordance
with the data in Coverage Rule 1 for basic units.
 In the next subgroup (Releases in New Division A or B) only one of the two basic units is
sampled. In accordance with Coverage Rule 1 for basic units, artifacts and affirmations are
supplied for all process areas applicable to basic units here as well.
 The next subgroup consists of three basic units (DataWarehouse2011, Security Reporting
ABC and FirmwareTester2011), and only two of these are sampled. In this subgroup,
Coverage Rule 1 for basic units is satisfied by the fact that “Security Reporting ABC”
provides artifacts and affirmations for all process areas applicable to basic units. Due to the
small size of the sample, this also meets the data coverage rule Coverage Rule 2 for basic
units. According to Coverage Rule 3 for basic units, additional data (artifacts OR
affirmations) must be provided by the second sampled basic unit for at least one process area.

Here, the plan exceeds this minimum by seeking affirmations for the basic unit
“DataWarehouse2011” on a number of process areas (including RD, TS, PI, VER and VAL).
Case 3 (Small Development Organization) Summary

Under the rules of SCAMPI V1.3, this company will be able to explore many different
alternatives pertaining to the definition of the organizational unit and associated organizational
scope, as appropriate. At this point, the lead appraiser and representatives from the organization
can establish reliable estimates for the detailed data collection activities that follow, and consider
a variety of trade-offs in the scope and sample of the appraisal. Based on “sanity checks” looking
at the variation in process implementation (perhaps through examination of PPQA records) the
adequacy of the above minimum sample can be evaluated. Costs associated with alternative
scenarios that result from reconsidering other assumptions can also be evaluated.
Summary of Case Studies

Many different permutations of the organizational unit are supported by SCAMPI V1.3.
The analysis of sampling factors, and examination of sampling trade-offs, helps the appraisal team
leader to work with the appraisal sponsor to seek the most efficient appraisal for a given scope of
the organizational unit. If the magnitude of the organizational scope of the appraisal exceeds the
constraints of the sponsor, then eliminating one or another source of diversity in the
organizational unit can provide needed de-scoping.

Appendix G: Benchmark Appraisals Including Multiple
Models
Purpose
The purpose of this appendix is to provide guidance for benchmark appraisals (SCAMPI A) that
incorporate more than one reference model (e.g., a CMMI constellation with the People CMM).
The first area for guidance that sets the stage and underlies all of the other considerations is
scoping. When scoping an appraisal involving more than one reference model the lead appraiser
needs to remember that the requirements for each reference model included in the appraisal scope
must be satisfied. The description of the organizational unit needs to be specified uniquely for
each reference model. There may be overlap, at times substantial, among the organizational units
for the reference models. This is necessary because some organizations may have very tightly
integrated basic units that implement processes that span multiple reference models (e.g.,
configuration management), while others may have sister organizations that fall under the same
management structure but implement different process sets with only limited overlap (e.g., they
share infrastructure, but use very different business practices).
Single Event
An appraisal addressing more than one reference model is considered to be a single appraisal from
an appraisal-planning and record-keeping perspective. The planning will cover all reference
models involved with a single appraisal plan (or single collection of planning documents. A single
SAS entry and one appraisal disclosure statement are to be generated. A single data package will
be submitted to the CMMI Institute upon completion of the appraisal. There will be one lead
appraiser. The lead appraiser and appraisal team members will be recognized as having
participated in a single appraisal for the purpose of satisfying pre-requisites to attend training or
renewing credentials. Conducting an appraisal of more than one reference model at a single event
will save some costs over having separate appraisal teams and separate events (e.g., common
appraisal planning, team training, preparation and conduct).
Planning
Overview
A key step to planning the appraisal is analyzing the organizational structure to determine the
appropriate organizational unit for each of the included reference model. During this analysis the
appraisal team leader in consultation with the sponsor determines which business objectives are
appropriate to each reference model and how these align with the appraisal objectives. The
appraisal team leader will then work with the sponsor to identify and document the organizational
unit and organizational scope for each reference model through selection of the basic units and
groups providing support functions that will participate in the appraisal. Throughout the planning
process various tailoring options for the different reference models will be exercised and
documented.

An integrated organizational process architecture will provide opportunities for appraisal
optimization. Some efficiency may be achieved in the data collection for process management and
possibly support process areas based on the process architecture structure for the organization.
Three Organization Types

This high-level example will consider three organizations that are performing maintenance and
help-desk functions. All three of the organizations are using CMMI- DEV for the maintenance
processes and CMMI-SVC for the help-desk processes.
Organization A: Organization A has closely integrated maintenance and help-desk functions with
each team providing both maintenance and help-desk support for one or more customers. There
will be an almost complete overlap between the organizational unit for CMMI-DEV and the
organizational unit for CMMI-SVC.
Organization B: Organization B has a centralized help-desk team that handles all customers. It has
maintenance teams either for each customer or set of customers (some of the maintenance is for
custom systems and some is for product lines). There will be little to no overlap between the
organizational units between CMMI-DEV and CMMI-SVC functions.
Organization C: Organization C is a hybrid of Organization A and Organization B with a mix of

centralized and dispersed functions depending upon the product line. Some product lines keep the
maintenance and help-desk functions separated and some have them intermingled, depending
upon which seems most appropriate for that particular product line.
Many other options provide varying degrees of centralization versus dispersal. One aspect in
analyzing the organization for planning the appraisal is to understand the interfaces between the
processes and the organizational structure and use that understanding to determine the basic units.
This will then determine the organizational scoping, data collection, and practice characterizations
for the organization. Selection of basic units and support functions during the appraisal planning
process begins the organizational scoping process. The sections below describe the impacts of
having more than one reference model in an appraisal.
Scoping
The description of the organizational unit as well as the description of the organizational scope
must be specified uniquely for each reference model. The identification of the “basic units” to be
sampled may differ depending upon the reference models in scope, and must be documented for
each. For example, CMMI-DEV and CMMI-ACQ have “projects” while CMMI-SVC has “work
units” and People CMM has “units.” The appraisal team leader needs to evaluate the
characteristics of the basic units to understand how processes may be implemented differently
across basic units. For example if the basic unit is executing both development (DEV)- and
services (SVC)-based processes, do we need to examine it from both perspectives or are the
implementations similar enough that they can be treated as one?
Additionally, there may be support functions that exist and relate to multiple reference models, or
may be defined in reference model-specific structures or a combination of both. For example, for
process management process areas, an organization may have one process group for all reference
models, or an over-arching process group followed by reference model specific process groups, or

structure process groups along organization lines (as some organization currently do with
division-specific process groups).
Sampling Factors
A key consideration in scoping is analyzing sampling factors that affect the way people do the
work in different basic units for each organizational unit defined for each reference model. Some
sampling factors will have the same implication for all reference models while other sampling
factors may have reference model-specific implications, and not be relevant to all reference
models in scope. This analysis is used to form a representative sample of the organizational unit to
identify the organizational scope of the appraisal. The analysis of the sampling factors needs to be
documented clearly for each reference model since they may be any of the following:
 Be different for each reference model

 Have the same implication for all reference models
 Have reference model-specific implications, and not be relevant to all reference models in
scope
Subgroups and Basic Units

Next, subgroups are defined for each organizational unit based on the analysis of the sampling
factors. Subgroups defined using the sampling factors represent clusters of similar process
implementations. Basic units within these subgroups are sampled to form the organizational scope
for each organizational unit. If there is overlap in the organizational units defined for each
reference model there may be overlap in the organizational scope for each reference model as
well, depending on how work is performed by different basic units. Subgroups that are the basis
for the final sampling decisions may take on different forms such as
 Reference model-specific subgroups (e.g., Service-Level Agreement [SLA]-based services

within a given service category vs. non-SLA-based services in that same service category)
 Common subgroups (e.g., measurement and analysis staff who support all government work
(e.g., development and services related work)
Process Area Mapping

The business organization and organization structure determine the extent to which data
sufficiency (process area mapping) analysis can be optimized. Mapping of process areas to basic
units and support functions is established to support data collection planning for each
organizational unit for each reference model within the appraisal scope. This mapping varies
depending on the way processes are implemented in each organizational unit. For core process
areas, sampling of objective evidence is needed for each reference model where implementation
of these processes is unique to each reference model. Some organizations however, may share
resources to perform support functions like Configuration Management (CM across both
development and services activities. In this instance, mapping of the core process area CM is at
the organizational level for both reference models. In this case, objective evidence may be reused
to support each practice for each reference model for CM since CM resources support both
development and services efforts. Other organizations may establish separate CM functions for
development and services efforts. While still performed at the organizational level for each

reference model, the mapping of CM would be unique for each organizational unit. Reference
model unique process areas may be instantiated in each and every basic unit and therefore
objective evidence would be collected uniquely for each process area. It is also possible that a
given process area is instantiated in parallel support functions that exist within given subgroups,
or are shared across a number of subgroups. The mapping of process areas to basic units and
support functions will show how each reference model scope relates to each organizational scope.
The appraisal team leader needs to evaluate and determines the process area mapping applicable
to the organizational scope of the appraisal working closely with the sponsor.
Data Collection Planning

The data collection plan will document which artifacts and affirmations apply to each practice, in
each process area, in each reference model. Differences in the way people are organized to
perform the work within each organizational unit for each reference model affects the sources of
data that must be considered to appraise each process area depending on the analysis of the
process area mapping. Approaches for collection of shared data across reference models (e.g.,
common affirmations and artifacts) are addressed in detail in the data collection plan. Planning for
common affirmations (e.g., interviews, demonstrations, and presentations) across organizational
units when common processes are used across each reference model will improve the efficiency
of the Conduct Appraisal phase. Care must be taken to balance the use of common affirmations
and artifacts to ensure that sufficient objective evidence is collected to verify implementation of
each practice in each reference model within the appraisal scope based on the process area
mapping. This requires a detailed understanding of how processes are implemented in each
organizational unit for each reference model.
Risk Management
Examples of risks specific to appraisals of more than one reference models include the following:
 Team size and work load imbalance

 Managing a larger team with extended period of on-site phase
 Managing the individual experience level of appraisal team members specific to each
reference model affecting the team’s ability to reach consensus
 Managing the data collection planning (e.g., determining objective evidence needed to
support core process areas vs. reference model unique process areas or common
implementation of support functions across more than one reference model)
 Inefficient or incorrect reuse of objective evidence to support practices across more than one
reference model
 Unclear appraisal objectives due to multiple sponsors with different business objectives and
maturity levels

Appraisal Team
Team Training
In order to support team consensus, each and every appraisal team member must meet the
requirements associated with each and every reference model included in the scope of the
appraisal. The appraisal team leader must be certified in each reference model (except for People-
CMM) in the scope of the appraisal. At the discretion of the lead appraiser individuals who fall
short of the minimum requirements can participate as long as the team meets the overall
requirements. Enough reference model-specific experience for each mini-team is needed to
properly judge reference model compliance and adequacy of objective evidence to demonstrate
practice instantiations.
Teams, Sub-teams, and Mini-Teams
Team size may increase as compared to an appraisal of one reference model to meet the increased
training and expertise requirements as well as the increase of model scope. During the planning of
the appraisal, the lead appraiser (in collaboration with the sponsor) will explicitly document the
appraisal team structure. Options include the following:
 Identify reference model-specific sub-teams, with further assignment of mini-teams to

organizational entities or groups of process areas.
 Identify mini-teams assigned to organizational entities or groups of process areas, without
differentiating reference models.
 Use neither sub-teams nor mini-teams, in which case the entire team works as a whole on all
organizational entities and process areas (though this is not very common).
Each of these options have advantages and disadvantages and the appraisal team leader needs to
take into consideration the experience levels of the team members in the domain areas, assigned
process areas, appraisal experience, etc. The more people on each team, the longer it takes to build
consensus, however it means more individuals are examining and judging the data that tends to
lead to more thorough results
Examining Objective Evidence
Depending on the differences or similarities in the way processes are implemented for each
reference model, one piece of objective evidence may support more than one practice across more
than one reference model. The details of this requirement are provided in the Data Sufficiency
section. The lead appraiser will analyze and document the result in the plan.
Verification
Data sufficiency
Data sufficiency rules shall be applied to each practice within each included reference model that
will in some cases require the following:
 Refer to model-unique data (e.g., Service Continuity (SCON) in CMMI-SVC must have
enough data from all work groups included)

 Common organizational data that may be evaluated as it applies to each reference model in
turn (e.g., Organizational Process Focus [OPF] evidence for a common implementation that
spans multiple reference models)
 “Parallel data sets” for reference model-specific implementations of process areas (e.g., data used
to evaluate RSKM for CMMI-DEV could be a completely different data set than what the team
examines regarding RSKM for CMMI-SVC. There must be sufficient data for each
implementation of RSKM)
Practice Characterizations
Each practice is characterized separately for each reference model, with the possible exception of
common process areas. For core process areas that are implemented at the organizational level for
each reference model, the characterizations could be same when based on the same objective
evidence. For example, when shared resources support configuration management across the defined
organizational units and their process implementation is the same the resulting characterizations will
likely be the same for each reference model. When core process areas are implemented differently for
each reference model, objective evidence is assessed for each unique implementation of the practice
and characterizations are unique to the organizational unit. This could result in a characterization of
Partially Implemented (PI) for Project Planning (PP) for CMMI- DEV while Fully Implemented (FI)
for Project Planning (PP) for CMMI-SVC. Reference model unique process areas will result in unique
characterizations. Process management process areas common implementation that spans multiple
reference models would likely result in single characterization of model practices for each reference
model.
Data Validation
Multiple validation activities can be conducted for reference model specific findings depending on
how the work is organized across each organizational unit within the appraisal scope.
Ratings
Separate goal ratings (and process area or maturity level ratings, if produced) are required for each
reference model in the appraisal. There is no mechanism provided for deriving a combined rating
(combined ratings are explicitly prohibited). This does not prohibit a continuous appraisal from being
performed and then equivalent staging being applied to the selected organizational unit for each
CMMI reference model separately. For core process areas that are implemented at the organizational
level for each reference model, the ratings could be common when based on the same objective
evidence.
Findings
There may be an integrated final finding or multiple final findings (a tailoring option). All findings
shall be reviewed and affirmed using a consensus decision process involving the entire appraisal team.
Findings may be generated separately for core process areas for each CMMI reference model in scope.
Separate findings may be beneficial when there is limited overlap in organizational units for each
reference model. Combined findings would be appropriate for core process areas especially when
there is significant overlap in organizational units for each reference model. If integrated findings are
provided, the findings must be traceable to each reference model within the appraisal scope.
Appendix H: SCAMPI Tailoring Checklist
Table 39: Tailoring Checklist
MDD Process Tailoring Decisions Tailoring Options Option Tailoring Rationale

Chosen (Provide a brief explanation if
(Y/N) this option was chosen)
1.1.1 Determine (A) Appraisal usage (A) Appraisal usage

Appraisal mode mode (internal
Objectives process
improvement,
supplier selection, or
process monitoring)
1.1.2 Determine (ABC) Collection of (ABC) Discovery,

Data Collection objective evidence managed discovery,
Strategy during the planning or or verification
conduct phase or
combinations of both
approaches
1.1.4 Determine (ABC) Use of

Appraisal Scope incremental appraisals
(A) Selection of (A) Process area,

optional ratings maturity level,
capability level
1.1.5 Determine
Appraisal
Outputs (ABC) selection of (ABC) Non-model
optional findings findings, final report,
recommendations,
process improvement
action plan, basic unit
specific findings
1.3.2 Prepare (ABC) Deliver Reference Waiver

Team appraisal method
training to more than a
single team at the
same event
1.3.2 Prepare (C) Use of team

Team members is optional
1.3.2 Select (A) Accept one team

Team Members member with no field
experience

1.3.4 Prepare (ABC) Teams involved Specify additional

Team in U.S. government training to be
source selection or provided
process monitoring
1.5.1 Perform (A) Practice Conduct Appraisal

Readiness characterizations are phase begins
Review done before or during
the readiness review
1.5.1 Perform (A) Class B or C Conduct Appraisal

Readiness (SCAMPI B or C) used phase begins
Review as readiness review
1.5.1 Perform (ABC) Used as one of

Readiness the iterative data
Review collection activities in a
managed discovery
approach.
2.2.1 Examine (A) Evaluate the Conduct Appraisal

Objective content of artifacts to phase begins
Evidence from determine how it
Artifacts supports model
practice
implementation during
readiness review or
other appraisal
preparation activity
2.2.1 Examine (C) Only one type of

Objective objective evidence
Evidence from (artifact or affirmation)
Artifacts is required.
2.2.2 Examine (A) Evaluate the Conduct Appraisal

Objective information from phase begins
Evidence from affirmations to
Affirmations determine how it
supports model
practice
implementation during
readiness review or
other appraisal
preparation activity

2.2.2 Examine (ABC) Use of virtual Appraisal plans

Objective methods for should address
Evidence from affirmations; Must be possible risks with
Affirmations addressed in risk the use of virtual
mitigation plan methods.
2.2.2 Examine (C) Only one type of

Objective objective evidence
Evidence from (artifact or affirmation)
Affirmations is required.
2.4.2 (C) Practice

Characterize characterization is
implementation optional.
of model
practice (BC) Characterization
implementation at the organizational
and generate unit level is optional
preliminary
findings
2.6.2 Determine (A) This is an optional

Process Area activity selected at the
Ratings discretion of the
appraisal sponsor

Process Area activity selected at the
Profile discretion of the
appraisal sponsor

Maturity Level activity selected at the
discretion of the
appraisal sponsor
3.1.2 Conduct (ABC) This is an

Executive optional activity
Session(s) selected at the
discretion of the
appraisal sponsor
3.1.3 Plan for (ABC) This is an

Next Steps optional activity
selected at the
discretion of the
appraisal sponsor

3.2.1 Collect (ABC) This is an

Lessons optional activity
Learned selected at the
discretion of the
appraisal sponsor
4 Action Plan (A) This is an optional

Reappraisal activity selected at the
discretion of the
appraisal sponsor and
recommendation of
the Appraisal Team
Lead to address goal-
impacting
weaknesses.

References/Bibliography
[SEI 2002]
Barbour, Rick; Benhoff, Melanie; Gallagher, Brian; Eslinger, Suellen; Bernard, Thomas; Ming,
Lisa; Rosa, Linda; Ryan, Charlie. Standard CMMI® Appraisal Method for Process Improvement
(SCAMPISM),Version 1.1: Method Implementation Guidance for Government Source Selection
and Contract Process Monitoring (CMU/SEI-2002-HB-002). Pittsburgh, PA: Software
Engineering Institute, Carnegie Mellon University, September 2002.
http://www.sei.cmu.edu/library/abstracts/reports/02hb002.cfm
[SEI 2004]
Dr. Behrens, Sandi; Mogilensky, Judah; Masters, Steve. CMMI®-Based Professional
Certifications: The Competency Lifecycle Framework. Pittsburgh, PA: Software Engineering
Institute, Carnegie Mellon University, December, 2004.
http://www.sei.cmu.edu/reports/04sr013.pdf
[Curtis 2009]
Curtis, Bill; Hefley, William E.; & Miller, Sally A. The People CMM: A Framework for Human
Capital Management, 2nd Edition. Boston, MA: Addison-Wesley, 2009.
[SEI 2010a]
CMMI Product Team. CMMI for Acquisition, Version 1.3 (CMU/SEI-2010-TR-032). Pittsburgh,
PA: Software Engineering Institute, Carnegie Mellon University, November 2010.
http://www.sei.cmu.edu/library/abstracts/reports/10tr032.cfm.
[SEI 2010b]
CMMI Product Team. CMMI for Development, Version 1.3 (CMU/SEI-2010-TR-033).
Pittsburgh, PA: Software Engineering Institute, Carnegie Mellon University, November 2010.
[SEI 2010c]
CMMI Product Team. CMMI for Services, Version 1.3 (CMU/SEI-2010-TR-034). Pittsburgh, PA:
Software Engineering Institute, Carnegie Mellon University, November 2010.
[SEI 2010d]
Caralli, Richard; Allen, Julia; White, David; CERT® Resilience Management Model (RMM), A
Maturity Model for Managing Operational Resilience. Upper Saddle River, NJ: Addison-Wesley;
The SEI Series in Software Engineering; Software Engineering Institute, Carnegie Mellon
University, 2011.
[SEI 2011a]
SCAMPI Upgrade Team. Appraisal Requirements for CMMI, Version 1.2 (ARC, V1.3)
(CMU/SEI-2011-TR-001). Pittsburgh, PA: Software Engineering Institute, Carnegie Mellon
University, expected April 2011. http://www.sei.cmu.edu/library/abstracts/reports/11tr001.cfm.

[SEI 2011b]
Osiecki, Lawrence T.; Phillips, Mike; Scibilia, John. Understanding and Leveraging a Supplier’s
CMMI® Efforts: A Guidebook for Acquirers (Revised for V1.3). Pittsburgh, PA: Software
Engineering Institute, Carnegie Mellon University, expected March 2011.

Acronyms
ADS Appraisal Disclosure Statement
APR Action Plan Reappraisal
AFF Affirmations
ARC Appraisal Requirements for CMMI
ART Artifact
CM Configuration Management
CMMI Capability Maturity Model Integration
CMMI-ACQ CMMI for Acquisition
CMMI-DEV CMMI for Development
CMMI-SVC CMMI for Services
CONOPS Concept of Operations Documents
DAR Decision Analysis and Resolution
DoD Department of Defense
EPG Engineering Process Group
FAR Functional Area Representatives
FI Fully Implemented
GG Generic Goal
LI Largely Implemented
MA Measurement and Analysis
MDD Method Definition Document
ML Maturity Level
NI Not Implemented
NY Not Yet

OPD Organizational Process Definition
OPF Organizational Process Focus
OU Organizational Unit
PI Partially Implemented
PI Product Integration
PIIDS Practice Implementation Indicator Descriptions
PMC Project Monitoring and Control
PMO Project Management Office
PMP Program Management Plan
PP Project Planning
PPQA Process and Product Quality Assurance
QA Quality Assurance
REQM Requirements Management
RSKM Risk Management
SAS SCAMPI Appraisal System
SCAMPI Standard CMMI Appraisal Method for Process

Improvement
SCON Service Continuity
SD Service Delivery
SDP Software Development Plan
SLA Service-Level Agreement
VAL Validation
VER Verification
WMC Work Monitoring and Control
WP Work Planning

Glossary
The MDD glossary defines many, but not all, terms used in this document. Consult the following
additional sources for terms and definitions supplementary to the MDD glossary:
 CMMI model glossary and terminology

 Appraisal Requirements for CMMI (ARC) glossary
Terms that are important in order to understand this document are duplicated from the model
document or from the ARC for convenience.
action plan reappraisal
A bounded set of appraisal activities performed to address weaknesses that led to unsatisfied goals
in an appraisal. The action plan reappraisal activity includes developing an appraisal plan,
conducting a reappraisal of unsatisfied goals, and reporting the results to the CMMI Steward.
affirmation
An oral or written statement confirming or supporting implementation (or lack of implementation)
of a model practice provided by the implementers of the practice, provided via an interactive
forum in which the appraisal team has control over the interaction.
Examples of oral affirmations include interview responses, presentations, and demonstrations of a

tool or mechanism related to implementation of a CMMI model practice, as long as these
presentations and demonstrations are provided in an interactive setting.
Examples of written affirmations include written statements provided by the implementers of the
practice to the appraisal team via an interactive forum (e.g., email) in which the appraisal team
has the ability to ask questions either orally or written. Presentation and demonstration materials
provided in an interactive setting to the appraisal team can also be written affirmations if they are
not outputs of the process, in which case they could be artifacts instead.
alternative practice
A practice that is a substitute for one or more practices contained in a reference model that
achieves an equivalent effect toward satisfying the goal associated with the model practice.
Alternative practices are not necessarily one-for-one replacements for the model practices.
appraisal
An examination of one or more processes by a trained team of professionals using an appraisal
reference model as the basis for determining, as a minimum, strengths and weaknesses.
Appraisal Disclosure Statement (ADS)

A summary statement describing the ratings generated as outputs of the appraisal, and the
conditions and constraints under which the appraisal was performed. The ADS should be used for
public disclosures of maturity level or capability level ratings so they can be interpreted
accurately.
appraisal findings
The results of an appraisal that identify, as a minimum, any strengths and weaknesses within the
appraisal scope. Appraisal findings are inferences drawn from corroborated objective evidence.
appraisal method class

A family of appraisal methods that satisfy a defined subset of requirements in the Appraisal
Requirements for CMMI (ARC. These classes are defined so as to align with typical usage modes
of appraisal methods.
appraisal modes of usage

The contexts in which an appraisal method might be used. Appraisal modes of usage identified for
the SCAMPI method include internal process improvement, supplier selection, and process
monitoring.
appraisal objectives
The desired outcome(s) of an appraisal process.
appraisal output
All of the tangible results from an appraisal (see appraisal record).
appraisal participants
Members of the organizational unit who participate in providing information during the appraisal.
appraisal rating
The value assigned by an appraisal team to (a) a goal or process area, (b) the capability level of a
process area, or (c) the maturity level of an organizational unit. The rating is determined by
enacting the defined rating process for the appraisal method being employed.
appraisal record
An orderly, documented collection of information that is pertinent to the appraisal and adds to the
understanding and verification of the appraisal findings and ratings generated. Provided to the
sponsor prior to the report results phase of the appraisal.
appraisal reference model

The CMMI or other model to which an appraisal team correlates implemented process activities.
appraisal scope
The definition of the boundaries of the appraisal encompassing the organizational limits and the
model limits within which the processes to be investigated operate. The appraisal scope includes
the reference model scope, organizational unit, and organizational scope.

appraisal sponsor
The individual, internal or external to the organization being appraised, who requires the appraisal
to be performed, and provides financial or other resources to carry it out.
appraisal tailoring
Selection of options within the appraisal method for use in a specific instance. The intent of
tailoring is to assist an organization in aligning application of the method with its business needs
and objectives.
appraisal team leader

The person who leads the activities of an appraisal and has satisfied the qualification criteria for
experience, knowledge, and skills defined by the appraisal method.
artifact
A tangible form of objective evidence indicative of work being performed that represents either
the primary output of a model practice or a consequence of implementing a model practice.
assessment
An appraisal that an organization does internally for the purposes of process improvement. The
word assessment is also used in the CMMI Product Suite in an everyday English sense (e.g., risk
assessment).
basic unit
A managed set of interrelated resources that delivers one or more products or services to a
customer or end user and typically operates according to a plan. Such a plan is frequently
documented and specifies the products or services to be delivered or implemented, the resources
and funds to be used, the work to be done, and the schedule or doing the work.
capability evaluation
An appraisal by a trained team of professionals used as a discriminator to select suppliers, to
monitor suppliers against the contract, or to determine and enforce incentives. Evaluations are
used to gain insight into the process capability of a supplier organization and are intended to help
decision makers make better acquisition decisions, improve subcontractor performance, and
provide insight to a purchasing organization.
consensus
A method of decision making that allows team members to develop a common basis of
understanding and develop general agreement concerning a decision that all team members are
willing to support.
consolidation
The activity of collecting and summarizing the information provided into a manageable set of data
to (a) determine the extent to which the data are corroborated and cover the areas being

investigated, (b) determine the data’s sufficiency for making judgments, and (c) revise the data-
gathering plan as necessary to achieve this sufficiency.
corroboration
The activity of considering multiple pieces of objective evidence in support of a judgment
regarding an individual CMMI model practice.
coverage criteria
The specific criterion that must be satisfied in order for coverage to be claimed.
data collection session

An activity during which objective evidence is gathered. Data collection sessions (or activities)
include artifact reviews and affirmations.
discovery-based appraisal
An appraisal in which limited objective evidence is provided by the appraised organization prior
to the appraisal, and the appraisal team must probe and uncover a majority of the objective
evidence necessary to obtain sufficient coverage of reference model practices. Discovery-based
appraisals typically involve substantially greater appraisal team effort than verification-based
appraisals, in which much of the objective evidence is provided by the appraised organization.
(See verification-based appraisal for contrast.)
document
A collection of data, regardless of the medium on which it is recorded, that generally has
permanence and can be read by humans or machines. Documents can be work products reflecting
the implementation of one or more model practices. These documents typically include work
products such as organizational policies, procedures, and implementation-level work products.
Documents may be available in hardcopy, softcopy, or accessible via hyperlinks in a web-based
environment.
focused investigation
A technique to prioritize appraisal team effort based on the continuous collection and
consolidation of appraisal data, and monitoring of progress toward achieving sufficient coverage
of reference model practices. Appraisal resources are targeted toward those areas for which
further investigation is needed to collect additional data or verify the collected set of objective
evidence.
fully implemented (FI)

A practice characterization value assigned to a process instantiation when (1) sufficient artifacts
are present and judged to be adequate, (2) affirmation exists to confirm the implementation, and
(3) no weaknesses are noted.

instantiation
The implementation of a model practice used in the appropriate context within the boundaries of
an organizational unit.
institutionalization
The ingrained way of doing business that an organization follows routinely as part of its corporate
culture.
internal process improvement (IPI)

An appraisal mode of usage in which organizations appraise internal processes, generally to either
baseline their process capability, to establish or update a process improvement program, or to
measure progress in implementing such a program.
interviews
A meeting of appraisal team members with appraisal participants for the purpose of gathering
information relative to work processes in place. In SCAMPI, this includes face-to-face interaction
with those implementing or using the processes within the organizational unit. Interviews are
typically held with various groups or individuals, such as project or work group leaders,
managers, and practitioners. A combination of formal and informal interviews may be held and
interview scripts or exploratory questions developed to elicit the information needed.
largely implemented (LI)

A practice characterization value assigned to a process instantiation when (1) sufficient artifacts
are present and judged to be adequate, (2) affirmation exists to confirm the implementation, and
(3) one or more weaknesses are noted.
lead appraiser
A person who has achieved recognition from an authorizing body to perform as an appraisal team
leader for a particular appraisal method.
managed discovery
A phased data collection approach beginning with an initial data call for a pre-determined set of
artifacts, followed by a set of iterative calls based on the appraisal team’s evaluation of the work
products and remaining evidence gaps. Managed discovery attempts to balance verification and
discovery activities by using a phased approach to data collection to mitigate the risk of the
organization failing to provide the needed data or providing inappropriate data.
mini-team
A subset of the appraisal team members, typically two or three, assigned primary responsibility
for collection of sufficient appraisal data to ensure coverage of their assigned reference model
process areas or basic units.
model component

Elements of the CMMI model including categories, process areas, specific goals, generic goals
and practices.
non-model findings
Findings that have significant positive or negative impact on the enactment of processes within
the organizational unit that do not directly relate to model practices.
not implemented (NI)

A practice characterization value assigned when the appraisal team determines insufficient
objective evidence exists to state that the practice is implemented. That is, artifacts are absent or
judged to be inadequate, no other evidence (affirmations) supports the practice implementation,
and one or more weaknesses are noted.
not yet (NY)

A practice characterization value assigned when the basic unit has not yet reached the phase in the
lifecycle within the appraisal scope to have implemented the practice.
objective evidence
Artifacts or affirmations used as indicators of the implementation or institutionalization of model
practices.
organizational scope
The collection of basic units and support functions that provides instantiations of practices used
within, and representative of, an organizational unit.
organizational unit
That part of an organization that is the subject of an appraisal and to which the appraisal result
will be generalized. An organizational unit deploys one or more processes that have a coherent
process context and operates within a coherent set of business objectives. An organizational unit
is typically part of a larger organization, although in a small organization, the organizational unit
may be the whole organization.
partially implemented (PI)

A practice characterization value assigned to a process instantiation when (1) artifacts are absent
or judged to be inadequate, (2) affirmations suggest that some aspects of the practice are
implemented, and (3) one or more weaknesses are noted; or (1) sufficient artifacts is present and
judged to be adequate, (2) no other evidence (affirmations) supports the artifact(s), and (3) one or
more weaknesses are noted.
practice characterization
The assignment of a value describing the extent to which a CMMI model practice is implemented.
It is used as a mechanism to reach appraisal team consensus. The range of values for practice
characterization values include Fully Implemented (FI), Largely Implemented (LI), Partially
Implemented (PI), Not Implemented (NI), and Not Yet (NY). Practice characterization values are

assigned to each reference model practice for each process instantiation within the organizational
scope, and aggregated to the organizational unit level.
preliminary findings
Strengths and weakness statements created after synthesizing corroborated objective evidence.
Preliminary findings are provided to appraisal participants for validation. (See also appraisal
findings.)
presentations
In SCAMPI, a source of objective evidence that includes information prepared by the
organization and delivered visually or verbally to the appraisal team to aid in understanding the
organizational processes and implementation of reference model practices. This typically includes
such mechanisms as orientation or overview briefings, and demonstrations of tools or capabilities.
process context
The set of factors documented in the appraisal input that influences the judgment and
comparability of appraisal ratings. These include, but are not limited to, (a) the size of the
organizational unit to be appraised, (b) the demographics of the organizational unit, (c) the
application domain of the products or services, (d) the size, criticality, and complexity of the
products or services, and (e) the quality characteristics of the products or services.
process monitoring
An appraisal mode of usage in which appraisals are used to monitor process implementation (for
example, after contract award by serving as an input for an incentive/award fee decision or a risk
management plan). The appraisal results are used to help the sponsoring organization tailor its
contract or process monitoring efforts by allowing it to prioritize efforts based on the observed
strengths and weaknesses of the organization’s processes. This usage mode focuses on a long-
term teaming relationship between the sponsoring organization and the development organization
(buyer and supplier).
process profile
The set of goal ratings assigned to the process areas in the scope of the appraisal. In CMMI,
“process profile” is also known as the “process area profile.”
rating
See appraisal rating.
recommendation
Suggestions to resolve a weakness or to propagate a strength
sampling factor
Organizational or work context that reflects meaningful differences in the way work is performed
across different basic units within the organizational unit. Examples of sampling factors include
location, customer, and type of work.

satisfied
Rating given to a goal when the aggregate of validated findings does not negatively impact
achievement of the goal. Rating given to a process area in the staged representation of the
reference model when all of its goals are rated “satisfied.”
strength
Exemplary or noteworthy implementation of a reference model practice
subgroup
Cluster of basic units that share common sampling factor alternatives and exhibit similar process
implementations.
sufficient data coverage

A determination that the coverage requirements have been met. See coverage and coverage
criteria.
supplier selection
An appraisal mode of usage in which appraisal results are used as a high value discriminator to
select suppliers. The results are used in characterizing the process-related risk of awarding a
contract to a supplier.
support function
An organizational group that provides products and/or services for a bounded set of activities
needed by other portions of the organization. Examples of support functions include a
configuration management group or an engineering process group.
tailoring
See appraisal tailoring.
usage mode
The purpose for which an appraisal is performed; three modes of usage are defined for SCAMPI
appraisals: 1) internal process improvement, 2) supplier selection, 3) process monitoring. The us-
age mode of an appraisal helps determine appraisal requirements, recommended tailoring of the
method, and other implementations applicable to the use of the appraisal outputs.
verification-based appraisal
An appraisal in which the focus of the appraisal team is on verifying the set of objective evidence
provided by the appraised organization in advance of the appraisal, in order to reduce the amount
of probing and discovery of objective evidence during the appraisal on-site period. (See
discovery-based appraisal for contrast.)
weakness
The ineffective, or lack of, implementation of one or more reference model practices.


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About this Document 2

SCAMPI Method Overview 12

Key SCAMPI V1.3b MDD Change Concepts 14

Part II: Process Definitions 31

Part III: Appendices, References, and Glossary 192

Figure 1: SCAMPI Practice Characterization and Rating Process 20

Table 1: Part I Contents 2

SCAMPI Action Plan Reappraisal Team

Part II: Process Definitions

Part III: Appendices, References, and Glossary

 Appraisal sponsors: leaders who sponsor appraisals to meet business objectives

How to Use this Document

The Executive Summary is intended to provide high-level information describing SCAMPI A, B,

 (ABC) applies to all three methods

Part II provides complete, unambiguous descriptions of method processes and activities. In

If you have questions, please send an email to info@cmmiinstitute.com.

SCAMPI A appraisal sponsors are encouraged to consider the SCAMPI B or SCAMPI C

Key differentiating attributes for appraisal classes include

 The degree of confidence in the appraisal outcomes

A SCAMPI enables a sponsor to

As a Class A appraisal method, SCAMPI A is appropriate for generating ratings as benchmarks to

Core Concepts and Approach

Phase 2: Conduct Appraisal

Phase 3: Report Results

Phase 4: Action Plan Reappraisal

Time Frame and Personnel Requirements

Method Objectives and Characteristics

Appraisal results reflect the strengths and weaknesses of the appraised

ARC Compliance SCAMPI complies with all ARC requirements.

Summary of SCAMPI V1.3b Changes

Phase 4 describes the Action Plan Reappraisal.

Incorporate Option for Action Plan Reappraisal

Method Assumptions and Design Principles

SCAMPI A is a Class A benchmarking method.

As an ARC Class A method, SCAMPI A can be used to generate ratings as benchmarks to

To make reasonable judgments regarding an organization’s implemented processes relative to the

An organizational unit is the part of an organization that is the focus of an appraisal. An

Types of Objective Evidence

 Affirmation: an oral or written statement confirming or supporting implementation (or lack

Data Collection Approaches

 Understand what objective evidence is available, and how it contributes toward

Data Collection, Rating, and Reporting

The SCAMPI data transformation and rating process is depicted in Figure 1.

Capability Level and/or

Goal Satisfaction Ratings Full Team

Practice Implementation Characterizations

Practice Implementation Characterizations

Figure 1: SCAMPI Practice Characterization and Rating Process

Areas of strength or weakness observed relative to the implementation of appraisal reference

Instruments and Tools

Conducting Cost-Effective Appraisals

Understand SCAMPI Tailoring Options

Recommendations: Lead appraisers serve as an intermediary for appraisal sponsors and

Action Plan Reappraisals

Phase Process Purpose Activities

1.2 Develop Document the results of 1.2.1 Tailor Method

1.3 Select and Ensure that an experienced, 1.3.1 Identify Appraisal

Table 8: SCAMPI Phase Summary: Conduct Appraisal