SM SCAMPI Lead Appraiser Body of Knowledge (SLA BOK) Steve Masters Sandi Behrens, PhD Judah Mogilensky Charlie Ryan October 2007 TECHNICAL REPORT CMU/SEI-2007-TR-019 ESC-TR-2007-019 Software Engineering Process Management Program Unlimited distribution subject to the copyright. This report was prepared for the SEI Administrative Agent ESC/XPK 5 Eglin Street Hanscom AFB, MA 01731-2100 The ideas and findings in this report should not be construed as an official DoD position. It is published in the interest of scientific and technical information exchange. This work is sponsored by the U.S. Department of Defense. The Software Engineering Institute is a federally funded research and development center sponsored by the U.S. Department of Defense. Copyright 2007 Carnegie Mellon University. NO WARRANTY THIS CARNEGIE MELLON UNIVERSITY AND SOFTWARE ENGINEERING INSTITUTE MATERIAL IS FURNISHED ON AN "AS-IS" BASIS. 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Table of Contents Acknowledgements v Abstract vii Introduction 1 SLA BOK Uses 3 SLA BOK Structure 5 CC 1 Achieving and Managing Agreements 13 KA 1.1 Appraisal Planning 13 KA 1.2 Preparing Team and Participants 15 KA 1.3 Managing Objective Evidence 16 KA 1.4 Judging Processes 17 KA 1.5 Reporting Outcomes 17 Suggested Readings for CC 1 18 CC 2 Decision Making and Problem Solving 19 Ka 2.1 Appraisal Planning 19 KA 2.2 Preparing Team and Participants 19 KA 2.3 Managing Objective Evidence 20 KA 2.4 Judging Processes 21 KA 2.5 Reporting Outcomes 22 Suggested Readings for CC 2 23 CC 3 Project Planning and Management 25 KA 3.1 Appraisal Planning 25 KA 3.2 Preparing Team and Participants 28 KA 3.3 Managing Objective Evidence 30 KA 3.4 Judging Processes 31 KA 3.5 Reporting Outcomes 32 Suggested Readings for CC 3 33 CC 4 Interpersonal Communication and Facilitation 35 KA 4.1 Appraisal Planning 35 KA 4.2 Preparing Team and Participants 36 KA 4.3 Managing Objective Evidence 38 KA 4.4 Judging Processes 40 KA 4.5 Reporting Outcomes 42 Suggested Readings for CC 4 44 CC 5 Integration, Articulation, and Expression of Information 45 KA 5.1 Appraisal Planning 45 KA 5.2 Preparing Team and Participants 46 KA 5.3 Managing Objective Evidence 47 SOFTWARE ENGINEERING INSTITUTE | i KA 5.4 Judging Processes 47 KA 5.5 Reporting Outcomes 50 Suggested Readings for CC 5 51 CC 6 Understanding and Adapting to Organizational Context 53 KA 6.1 Appraisal Planning 53 KA 6.2 Preparing Team and Participants 55 KA 6.3 Managing Objective Evidence 56 KA 6.4 Judging Processes 57 KA 6.5 Reporting Outcomes 59 Suggested Readings for CC 6 60 CC 7 Model Interpretation 63 KA 7.1 Appraisal Planning 63 KA 7.2 Preparing Team and Participants 64 KA 7.3 Managing Objective Evidence 65 KA 7.4 Judging Processes 65 KA 7.5 Reporting Outcomes 68 Suggested Readings for CC 7 69 CC 8 SCAMPI Method Tailoring, Adaptation, and Application 71 KA 8.1 Appraisal Planning 71 KA 8.2 Preparing Team and Participants 72 KA 8.3 Managing Objective Evidence 73 KA 8.4 Judging Processes 73 KA 8.5 Reporting Outcomes 74 Suggested Readings for CC 8 77 CC 9 Professionalism 79 KA 9.1 Appraisal Planning 79 KA 9.2 Preparing Team and Participants 80 KA 9.3 Managing Objective Evidence 82 KA 9.4 Judging Processes 82 KA 9.5 Reporting Outcomes 83 Suggested Readings for CC 9 84 Appendix A Competency Clusters, Knowledge Areas, and Competencies 85 Appendix B SLA BOK Competencies Table 91 Appendix C Related Competencies Sorted by Competency Number 95 References 106 ii | CMU/SEI-2007-TR-019 List of Figures Figure 1: SLA BOK Structure 5 Figure 2: Sample Page from CC 6 10 Figure 3: Sample Page from CC 6 11 SOFTWARE ENGINEERING INSTITUTE | iii iv | CMU/SEI-2007-TR-019 Acknowledgements This technical report reflects the collective efforts of many individuals. The authors would first and foremost like to thank all of the participants in the SLA BOK workshop. Their work during and after the workshop became the basis for the initial draft of the SLA BOK. We would also like to thank the members of the SLA BOK Advisory Board, all of whom were workshop participants, for their input and suggestions on developmental issues and for taking the time to comment on key questions and to participate in teleconferences. The authors would like to express their sin- cere appreciation to the following SLA BOK workshop participants: Pete Barletto Venkat Gopalan Terry Rout Jim Belford Will Hayes Debra Roy Sandi Behrens Rick Hefner* Charlie Ryan Dan Bennett Mary Anne Herndon Nita Sarang Dan Blazer Barbara Hilden Kevin Schaaff Bruce Boyd* Jacques Joubert* Henry Schneider* Paul Byrnes* Marappa Kaliappan Les Stamnas Laura Caldwell Frank Koch Bob Stoddard Dave Card Ron Lear* Meenakshi Sundaresan* Mike Campo Anne-Sophie Luce Agapi Svolou Rushby Craig* Steve Masters Wilson Tan Jeff Dalton Larry McCarthy* John Voss Mike D’Ambrosa* Gene McGuire Ron Weidemann Glyn Davies Kathy Smith Ed Weller Mike Evanoo Judah Mogilensky Rayney Wong Andy Felschow Alice Parry* Rusty Young Jack Ferguson Mac Patrick Tami Zemel Sam Fogle Lynn Penn* Bosheng Zhou Hillel Glazer Partha Ramachandran Dave Zubrow * SLA BOK advisory board member We would also like to thank all of the individuals who provided comments on both the Developer Review baseline and the Stakeholder Review baseline. We would particularly like to thank those below who provided detailed comments that were very useful. Yan Bello Mary Busby Paul Byrnes Mike Campo Jacques Joubert Marappa Kaliappan Winifred Menezes Boris Mutafelija Pat O’Toole Alice Parry Channaveer Patil Lynn Penn Kevin Schaaff Ed Weller Tami Zemel SOFTWARE ENGINEERING INSTITUTE | v We also received many insightful comments from the following individuals who also commented on the Developer Review baseline, the Stakeholder Review baseline, or both: Pete Barletto Richard Basque Frank Blucha Laura Caldwell Mike D’Ambrosa Gerhard Fessler Matt Fisher Jose Guerrero Jim Hart Norm Hammock Mary Anne Herndon Ray Kile Frank Koch Mike Konrad Anne-Sophie Luce Daniel Luttrell David Malas John Miller Marilyn Phillips Jay Pickerill Fernando Pinto Robyn Plouse Terry Rout John Ryskowski Clenio Salviano Hitesh Sanghavi Giuseppe Satriani Kathy Smith Steve Thomas Jeff Welch Rusty Young The authors would also like to thank everyone at the SEI who contributed to producing this document. We would like to thank Jack Ferguson, Bill Peterson, and Mike Phillips for sponsor- ing the work and providing us with the resources to get the job done. We would like to express our appreciation to Michele Falce and Beth Borza for all of their behind the scenes work in coor- dinating the SLA BOK workshop and in facilitating the SLA BOK Advisory Board teleconfer- ences. We would also like to thank Peter Capell, Mike Konrad, Caroline Graettinger, Joanne O’Leary, Mike Phillips, and Gian Wemyss for the great job they did as facilitators at the SLA BOK workshop. Finally, we would like to thank Claire Dixon, Keith Kost, and Sandy Shrum for their assistance and editorial expertise in getting this technical report published. vi | CMU/SEI-2007-TR-019 Abstract The Standard CMMI Appraisal Method for Process Improvement (SCAMPISM) is designed to provide benchmark quality ratings relative to Capability Maturity Model® Integration (CMMI®) models. The role of the SCAMPI Lead Appraiser, who conducts the SCAMPI process, has devel- oped into a distinct profession that encompasses a wide and deep array of competencies. The SCAMPI Lead Appraiser Body of Knowledge (SLA BOK) provides a multi-dimensional view of the competencies and associated skills that are needed to be a successful SCAMPI Lead Ap- praiser. The SLA BOK is a driver for the SEI Appraisal Program’s approach to ensure quality of SCAMPI appraisals. It establishes a comprehensive basis for curriculum, training, certification, observation, and quality assurance programs. SOFTWARE ENGINEERING INSTITUTE | vii viii | CMU/SEI-2007-TR-019