Standard CMMI Appraisal Method for Process Improvement (SCAMPI)

1.4.3 Obtain Initial Objective Evidence (continued)
Implementation
Guidance
Whether collected through instruments, the review of documents, attending
presentations, or interviews, the data used for an appraisal is related to the
practices of the reference model. For every practice within the model scope of
the appraisal, and for every instance of each practice, objective evidence is
used as the basis for appraisal team determinations of the extent to which the
practice is implemented. Indicators that substantiate practice implementation
include
• direct artifacts, which represent the primary tangible output of a practice.
These are typically listed in CMMI models as typical work products. One
or more direct artifacts may be necessary to verify the implementation of
associated model practices.
• indirect artifacts, which represent artifacts that are a consequence of
performing the practice, but not necessarily the purpose for which it is
performed. These are typically things like meeting minutes, review
results, or written communications of status.
• affirmations, which are oral or written statements confirming the
implementation of the practice. These are typically validated using
interviews, questionnaires, or other means.
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 documentation and identification of the
personnel who can provide relevant affirmations. This instrument 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 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 the data collection activities,
including interviews and presentations on site. Any objective evidence that is
not identified in advance of the team’s arrival will need to be sought by the
team members once they arrive on site. This process of “discovering”
whether, and how, the organization has addressed a given practice in the
model can be quite time consuming, and it is often difficult to predict how
long it will take.
CMU/SEI-2001-HB-001
Page II-55