Situation before APR option was available
Prior to the December 2014 release of APR, if a SCAMPISM-A resulted in an unsatisfactory rating(s) (e.g., a lower maturity level than the target maturity level), the organizational unit had to address the issues that had negatively impacted the rating and then do a new appraisal to achieve the target level. They did not receive any credit for the first (failed) appraisal.
Organizations obviously did not want to risk the chance of a failed appraisal, because in addition to correcting the identified negative issues, they would have to do the entire planning, scoping and sampling, artifact collection, artifact review, affirmations, characterizations, ratings, and so on. Doing another appraisal was very time-consuming and expensive.
To play “safe” and avoid any chance of failing, organizations tended to postpone their appraisal till they were absolutely sure of achieving their target rating(s). This often led to delays in initiating the SCAMPISM-A. Organizations also conducted excessive and unnecessary mini-appraisals in different avatars (pre-appraisal, SCAMPISM-B, SCAMPISM-C) to be doubly sure.
To address this, the CMMI Institute has enhanced the SCAMPISM-A method (released in end-Dec 2014) to allow for delta appraisals, within a limited time-frame, where the ‘failed’ SCAMPISM-A can be extended. This enhancement is called APR (Action Plan Reappraisal) and is built into the SCAMPISM-A, as an additional, optional phase.
More Details on the APR (Action Plan Reappraisal)
Before the APR option was available, the SCAMPISM-A had 3 phases, namely:
- Phase-1: Plan and Prepare for Appraisal
- Phase-2: Conduct Appraisal
- Phase-3: Report Results
The new, optional phase, Phase-4 added in end-Dec 2014 is:
- Phase-4: Action Plan Reappraisal
Here are some important aspects of the APR:
- The APR (i.e., Final Findings of the APR) must be completed within 120 days of the Final Findings of the main SCAMPISM-A.
- Only one APR can be conducted for a SCAMPISM-A.
- The sponsor decides whether an APR is to be conducted or not (the appraisal team may advise the sponsor, but the final call is the sponsor’s). The APR is not mandatory, even if the target rating(s) has not been achieved.
- The same ATL (Appraisal Team Leader) should continue in the APR (the method includes ways to handle exceptions to this).
- The same ATMs must participate in the APR. There are some additional rules which require ATMs to examine the objective evidence related to the goals being re-investigated. If all ATMs are not available for some reason, the method includes ways to handle that situation.
- At a minimum, all practices of the goals that were rated as Unsatisfied or Not Rated must be covered in the APR. More goals can be added if the appraisal team feels that the corrections to the weaknesses may impact other goals. However, the sponsor can explicitly reduce the model scope, and exclude some maturity levels or process areas from the APR.
- The same basic units and support functions (from the original appraisal) need to be picked up in the APR. However, the sponsor can explicitly reduce the organizational unit, and the appraisal team can investigate additional basic units (from within the organizational unit).
Listing in PARS
If the APR option is chosen, no new listing will be made in PARS till the APR is completed.
After the APR is completed, the ratings achieved (as a result of the original SCAMPISM-A and the APR) will be listed in PARS (subject to sponsor’s permission).
The date of the appraisal result will be the date of the Final Findings of the original SCAMPISM-A (not of the APR). The three year validity will start from the date of the Final Findings of the original SCAMPISM-A.
PARs will NOT indicate whether the APR option was used or not.
PARs will show the final scope for which the appraisal was successful. If the scope was reduced during the APR, the PARS will show this reduced scope.
Links with more material:
- The APR has been explained in simple, lucid terms by Pat O’Toole and Jeff Dalton. It is hosted on Jeff Dalton’s Blog – Ask the CMMI Appraiser. Read it!
- The SCAMPI Method Definition Document (also called MDD) V1.3b, Dec 2014 includes the APR phase. Register and download the pdf from here (if you like to wallow in legalese)
- Discussions between lead appraisers on the positive and negative aspects related to APR on a LinkedIn Group
By the way, this provides an opportunity for organizations and lead appraisers to be first in something 🙂
- First successful APR
- First unsuccessful APR
- First APR with reduced model scope
- …. and many more… 🙂
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Nothing Official About It! – The views presented above are in no manner reflective of the official views of any organization, community, group, institute, country, government, or association. They may not even be the official views of the author of this post :-).