Standard CMMI Appraisal Method for Process Improvement (SCAMPI)

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3.2.2 Generate Appraisal Record Activity Description Required Practices Parameters and Limits Appraisal data collected throughout the appraisal is aggregated and summarized into a permanent record documenting the appraisal conduct and results. The appraisal record is delivered to the appraisal sponsor for retention. • Collect and baseline appraisal data that becomes part of the permanent records provided to appraisal stakeholders. • Document the satisfaction of all SCAMPI requirements. • Generate the appraisal record from baselined planning and execution data collected throughout the appraisal. • Deliver the appraisal record to the appraisal sponsor. Required contents of the appraisal record include the following: • dates of the appraisal • appraisal input • appraisal plan • objective evidence, or identification thereof, sufficient to substantiate goal-rating judgments • characterizations of practice implementation determined at the instantiation level and aggregated at the organizational unit level • identification of the appraisal method (and version) used along with any tailoring options • final findings • all ratings rendered during the appraisal (goals, PAs, and maturity or capability levels) • ADS • the set of 15504 process profiles resulting from the appraisal (if requested by the appraisal sponsor) Depending on the recipient and intended usage, appraisal data may be subject to being sanitized or edited in order to 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. The appraisal team leader documents in the ADS that all SCAMPI requirements were satisfied. Continued on next page Page II-140 CMU/SEI-2001-HB-001
3.2.2 Generate Appraisal Record (continued) Optional Practices Implementation Guidance The appraisal record should also contain any additional outputs requested by the appraisal sponsor, as agreed to during appraisal planning and documented in the appraisal input. The actual objective evidence (artifacts or portions of artifacts) need not be part of the appraisal record, but an identification of the objective evidence is required. This may be implemented by providing the PIIs that were used as the basis for characterizing practice implementation decisions. 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, projects) with non-attributable, general identifiers (e.g., numeric codes assigned to projects, 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 Steward: same as for appraisal sponsor, for data that is shared by both. For data that is provided only to the CMMI Steward, the data collection vehicles (e.g., forms) are already designed to observe nonattribution and confidentiality rules. Additionally, supplied data may be subject to further sanitization to comply with acquisition or securityrelated 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. CMU/SEI-2001-HB-001 Page II-141
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Standard CMMI SM Appraisal Method f
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This report was prepared for the SE
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Focused Investigation 23 Practice I
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2.2.2 Characterize Implementation o
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I-vi CMU/SEI-2001-HB-001
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I-x CMU/SEI-2001-HB-001
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I-xii CMU/SEI-2001-HB-001
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I-2 CMU/SEI-2001-HB-001
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Table I-2: Part II Contents Phase P
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Part II People who will enact an ap
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I-8 CMU/SEI-2001-HB-001
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As the CMMI Steward , the SEI suppo
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Upon determining that sufficient co
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I-14 CMU/SEI-2001-HB-001
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The SCAMPI method is also designed
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Usage Mode Process Monitoring Descr
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Method Concepts This section provid
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quirement of the SCAMPI method. Fac
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• Understand what objective evide
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consider all aspects of the process
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Characterizing Practices Verificati
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els. Instruments can take various f
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Method Description This section pro
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I-34 CMU/SEI-2001-HB-001
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Table I-11: SCAMPI Phase Summary: C
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Sponsor, Initial Requirements and C
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2 Conduct Appraisal Appraisal Data,
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Nominal Evaluation Schedule View An
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Page II-2 CMU/SEI-2001-HB-001
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1.1 Analyze Requirements (continued
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1.1.1 Determine Appraisal Objective
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1.1.2 Determine Appraisal Constrain
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1.1.3 Determine Appraisal Scope Act
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1.1.3 Determine Appraisal Scope (co
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1.1.4 Determine Outputs Activity De
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1.1.5 Obtain Commitment to Appraisa
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1.2 Develop Appraisal Plan (continu
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1.2.1 Tailor Method Activity Descri
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1.2.2 Identify Needed Resources Act
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1.2.3 Determine Cost and Schedule A
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1.2.4 Plan and Manage Logistics Act
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1.2.6 Obtain Commitment to Appraisa
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1.3 Select and Prepare Team (contin
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1.3.1 Identify Team Leader Activity
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1.3.2 Select Team Members Activity
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1.3.3 Prepare Team Activity Descrip
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1.3.3 Prepare Team (continued) Opti
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1.3.3 Prepare Team (continued) Impl
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1.4 Obtain and Analyze Initial Obje
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1.4.1 Prepare Participants Activity
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1.4.2 Administer Instruments Activi
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1.4.3 Obtain Initial Objective Evid
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1.4.4 Inventory Objective Evidence
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1.4.4 Inventory Objective Evidence
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1.5 Prepare for Collection of Objec
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1.5.1 Perform Readiness Review Acti
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1.5.2 Prepare Data Collection Plan
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1.5.2 Prepare Data Collection Plan
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1.5.3 Replan Data Collection Activi
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2.1 Examine Objective Evidence (con
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2.1.1 Examine Objective Evidence fr
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2.2 Verify and Validate Objective E
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2.2.1 Verify Objective Evidence Act
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Page 181 and 182: 3.1 Deliver Appraisal Results Purpo
Page 183 and 184: 3.1 Deliver Appraisal Results (cont
Page 185 and 186: 3.1.1 Present Final Findings (conti
Page 187 and 188: CMU/SEI-2001-HB-001 Page II-129
Page 189 and 190: 3.1.2 Conduct Executive Session(s)
Page 191 and 192: 3.1.3 Plan for Next Steps (continue
Page 193 and 194: 3.2 Package and Archive Appraisal A
Page 195 and 196: 3.2 Package and Archive Appraisal A
Page 197: 3.2.1 Collect Lessons Learned (cont
Page 201 and 202: 3.2.4 Archive and/or Dispose of Key
Page 203 and 204: Part III: Appendices, References, a
Page 205 and 206: Appendix A Appraisal Disclosure Sta
Page 207 and 208: Appendix B The Role of Practice Imp
Page 209 and 210: time-consuming task of investigatin
Page 211 and 212: Direct Artifact This PII type is re
Page 213 and 214: Since models are necessarily expres
Page 215 and 216: Appendix C Focused Investigation El
Page 217 and 218: Appendix D ARC/MDD Traceability Tab
Page 219 and 220: ARC ID ARC Requirement MDD Process
Page 233 and 234: References/Bibliography [AFMC 94] A
Page 235 and 236: Glossary The MDD glossary defines m
Page 237 and 238: the appraisal findings and ratings
Page 239 and 240: ganization. (See verification-based
Page 241 and 242: Implemented (PI) are not satisfied.
Page 243 and 244: supplier). [derived from MDD method
Page 245: REPORT DOCUMENTATION PAGE Form Appr
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Standard CMMI Appraisal Method for Process Improvement (SCAMPI)

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