Is Going Directly for a CMMI ML 5 Appraisal Allowed?

Is a CMMI v1.2 ML 5 appraisal allowed in the following situation?

One of my company's divisions was successfully appraised to CMMI v1.1 ML 5 but the appraisal results expired in 2009. Now my company wants all three divisions, which are located in different cities, appraised to ML 5. Though skipping levels is not recommended, however, is it allowed to go for the appraisal?

There is nothing from the SEI that prevents a company from being appraised to whatever Capability Level or Maturity Level that it chooses. That being said, what does drive the CL or ML is the organization being able to collect, analyze, and correctly use data for statistical and quantitative analysis, as well as being able to institutionalize the behaviors and practices. You should hire an SEI-Certified High Maturity Lead Appraiser and have him or her perform a Class C or Class B appraisal to determine the risks with your current approach and implementation of ML 5. The outcome of this exercise will determine if it is feasible to achieve ML 5 at all three sites.

The Right Model to Follow

Our operations involve providing reporting solutions & implementing them based on tools like SAP BOBJ, MSTR, MS, ORCL primarily setting up datamarts & ETL processes and also providing technical support to customers as a line of business (Java/.net support for third party tools based on bugs/additional requirements given by customers at random)

Question 1: For such an organization , would it be right to follow CMMI for Development or CMMI for Services or both?
Question 2: Are appraisals made on CMMI V1.3 or are we still in CMMI V1.2. If still on 1.2, when are we likely to move to V1.3?
Question 3: If only a few projects or one division of an organization is appraised, will the appraisal rating stand for the company?

Question 1 – This question is difficult to answer based upon your description. Are you developing a product or delivering a service? I really cannot tell from your description, it could be either or both. If you are developing a product, then the CMMI-DEV might be applicable. If you are delivering a service, then the CMMI-SVC might be applicable. And you could blend the two. Another aspect to consider is are you planning to have a SCAMPI A appraisal? If so, then your Lead Appraiser will be able to help you decide which constellation is applicable to your organization. If you are not planning on being appraised, then I would suggest that you look at both constellations and use the Process Areas that apply best to your organization.
Question 2 – CMMI v1.2 is the current version. The SEI recently announced that v1.3 will be released in November 2010. And based on past experience, the SEI will most likely allow appraisals against v1.2 to be conducted up until October 31, 2011.
Question 3 – The short answer is no. The appraisal results ONLY apply to the organization that was appraised, not the entire company.

Product Planning and Configuration

It is common knowledge that Maturity Level 2 is project specific, and still I find at times Lead Appraisers asking funny questions during SCAMPI A appraisals. Quite recently, one of my friends told me that his Lead Appraiser is looking for planning at the product level, as well as Configuratuion Management at the product level. I was a bit amazed, thinking that Maturity Level 2 focuses on Project Planning, not product planning. What do you think about this situation? Have you been faced with this situation before? Is there a workaround for it?

From what you describe, it sounds like this Lead Appraiser could be misinterpreting the CMMI and possibly misleading the organization. The CMMI is quite clear that the Project Planning (PP) Process Area (PA) is for project planning purposes, not product planning.

"The purpose of PP is to establish and maintain plans that define project activities."

However, sometimes the difference between project and product can be blurred. By not knowing the context of the situation you described, the Lead Appraiser may have been trying a different approach to draw project planning information out in the interview sessions.

In one respect, it really doesn’t matter the line of questioning in a SCAMPI interview session. The Lead Appraiser could really ask about any topic. However, once he or she starts deviating from the CMMI, they are on shaky ground and could lose credibility. What does matter however, is the set of findings produced by the Lead Appraiser and the Appraisal Team. If there are findings associated with product planning that cannot be tied to the satisfaction of a CMMI Specific Goal or a Specific Practice, then these would be non-model findings and should have no impact on the resulting appraisal rating. However, if these non-model findings do impact the appraisal rating and the Lead Appraiser and Appraisal Team fail to demonstrate the linkage to Goal and Practice satisfaction/implementation, then the Lead Appraiser has not correctly performed his or her Lead Appraiser duties and the SEI should be informed about this issue so it can be investigated.

Does the SEI issue any certificates?

Does the SEI issue any kind of certificate to the organization who achieves a Maturity Level in a SCAMPI A? Please share any information about it.

The SEI does not issue certificates or certifications. The closest they come is certifying the High Maturity Lead Appraisers.

Since most organizations want to receive some sort of certificate documenting the results of a SCAMPI A appraisal, Lead Appraisers will present something that looks like a certificate to the company indicating the organization being appraised, the date the SCAMPI A concluded, and the appraisal team’s results (Maturity or Capability Level), with the caveat that the results are contingent upon the results of the SEI’s Quality Assurance audit. But nowhere on this form will it indicate certificate. This "certificate" is the unofficial document of the resulting Maturity or Capability Level.

The Appraisal Disclosure Statement is the only valid document of the appraisal results, and if approved for posting by the Appraisal Sponsor and if it passes the SEI’s QA audit, then this is the document that is posted on the SEI’s Appraisal Results web site http://sas.sei.cmu.edu/pars/pars.aspx. And keep in mind, these results are only valid for three years from the date the SCAMPI A concluded.

Can organizations still claim CMM?

If I remember correctly SEI retired the CMM and that organizations can no longer advertize their CMM maturity level. If an organization continues to claim on their web site that they are CMM level 4 - even today - and in addition it is claiming that it will be assessed shortly for CMMi Level 5 for more than a year and half - should we ignore it or bring it to the notice of SEI?If you suggest that we should bring such instances to SEI notice please give me the email id.

The short answer is that any claim of a CMM Maturity Level is no longer valid. As for the ML 5 notice, that is fine as long as the web site states that the organization is working towards ML 5, but I don't see how that is a marketing point. It is similar to a graduate student stating that he or she is in the Doctoral Program and have everything completed except for his or her thesis.

The SEI is not in the business of investigating false claims. Buyer Beware: The only official location to verify an organization's Capability or Maturity Level is the SEI's Published Appraisal Results site http://sas.sei.cmu.edu/pars/pars.aspx. Since the appraisal results are only good for three years, the results are automatically removed on the anniversary date. Just check this site daily for a week or two and you will be able to verify this for yourself. The best approach is to contact the offending organization to inform them of their mistaken claims as they may be unaware of the changes to the SEI's appraisal program. And if you still feel that the SEI should be notified, I would suggest that you contact Jill Diorio who is the SEI Ethics person at jdiorio@sei.cmu.edu.

Can I Update My Appraisal Results After Submission to the SEI?

I had an interesting call from a client the other day. He wanted to know if is was possible to change the wording in the Appraisal Disclosure Statement after it has been posted by the SEI on the Published Appraisal Results web site. I told him no, after the appraisal sponsor and Lead Appraiser have signed the ADS and submitted it to the SEI, there can be no changes. I then asked him what he wanted to change on the ADS and he said it was the wording of the project descriptions. Apparently they had responded to an RFP that required the bidders have a Maturity Level 3 rating for the type of product development required by the contract. Unfortunately for the client, their appraisal covered a different type of product development and they got downgraded for this reason. There are several lessons to be learned from this situation: 1. appraisals should cover projects that are the core business of the organization and 2. there should be a section in the proposal that explains how the Maturity Level 3 capability and the processes and procedures from an unrelated project will be used on the contract to achieve the same results.