Appraisal Requirements for CMMI(SM), Version 1.1 (ARC, V1.1)

Requirements	Class A (15504 conformant)	Class A (not 15504 conformant)	Class B	Class C
Responsibilities
4.1.1 – Appraisal Sponsor	yes	yes	yes	yes
4.1.2 – Appraisal Team Leader	yes	yes	yes	yes
Appraisal Method Documentation
4.2.1– Documentation of method	yes	yes	partial (a-d only)	partial (a-d only)
4.2.2– Guidance for identifying appraisal purpose and objectives	yes	yes	yes	yes
4.2.3– Guidance for CMMI model scope	yes	yes	yes	yes
4.2.4 – Guidance for identifying organizational unit	yes	yes	yes	yes
4.2.5 – Guidance for team member selection	yes	yes	yes	yes
4.2.6 – Guidance for team leader qualification criteria	yes	yes	yes	yes
4.2.7 – Guidance for size of team	yes	yes	yes	yes
4.2.8 – Guidance for team member roles and responsibilities	yes	yes	yes	yes
4.2.9 – Guidance for appraisal sponsor responsibilities	yes	yes	yes	yes
4.2.10 – Guidance for team leader responsibilities	yes	yes	yes	yes
4.2.11 – Guidance for estimating appraisal resources	yes	yes	yes	yes
4.2.12 – Guidance for logistics	yes	yes	yes	yes
4.2.13 – Guidance for collecting and mapping data to appraisal reference model	yes	yes	yes	yes
4.2.14 – Guidance for creation of findings	yes	yes	yes	yes
4.2.15 – Guidance for assuring confidentiality and non-attribution	yes	yes	yes	yes
4.2.16 – Guidance for appraisal record	yes	partial (a-f only)	partial (a,b,d,e only)	partial (a,b,d,e only)
Planning and Preparing for the Appraisal
4.3.1 – Preparation of participants	yes	yes	yes	yes
4.3.2 – Development of appraisal input	yes	yes	yes	yes
4.3.3 – Content of appraisal input	yes	partial (all except e.5)	partial (all except e.5)	partial (all except e.5)
4.3.4 – Sponsor approval of appraisal input	yes	yes	yes	yes
4.3.5 – Development of appraisal plan	yes	partial (a-e only)	partial a-e only)	partial (a-e only)
Appraisal Data Collection
4.4.1 – Data from instruments	yes	yes	At least two sources of data, one of which must be interviews	At least one source of data
4.4.2 – Data from interviews	yes	yes
4.4.3 – Data from documents	yes	yes
Data Consolidation and Validation
4.5.1 – Consensus of team members	yes	yes	yes	optional
4.5.2 – Accuracy of observations	yes	yes	yes	yes
4.5.3 – Validation of observations	yes	yes	yes	optional
4.5.4 – Corroboration of observations	yes	yes	yes	optional
4.5.5 – Sufficiency of data	yes	yes	optional	optional
4.5.6 – Draft findings preparation	yes	yes	optional	optional
4.5.7 – Draft findings presentations	yes	yes	optional	optional
Rating
4.6.1 – Define a rating process	yes	yes	N/A	N/A
4.6.2– Basis for maturity level and capability level rating	yes	yes	N/A	N/A
4.6.3– Rules for goal rating	yes	yes	N/A	N/A
4.6.4 – Rules for process area rating	yes	yes	N/A	N/A
4.6.5 – Rules for maturity level rating	yes	yes	N/A	N/A
Reporting Results
4.7.1 – Report results to sponsor and appraised organization	yes	yes	yes	yes
4.7.2 – Translation for 15504	yes	N/A	N/A	N/A
4.7.3 – Appraisal results to CMMI Steward	yes	yes	optional	optional
4.7.4 - Retention of appraisal record	yes	yes	yes	yes

[Title Page]     [Abstract]     [Preface]     [PDF file]     [1 Introduction]
[2 Benefits and Features of CMMI Appraisal Methods]
[3 Requirements for CMMI Appraisal Method Class Structure]
[4 Requirements for CMMI Appraisal Methods]     [References]
[Appendix A: CMMI Appraisal Method Class Specification]
[Appendix B: ARC Coverage of 15504-3 Requirements]
[Appendix C: Glossary]    [Appendix D: CMMI Project Participants]