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Attendees: Include the Lead Appraiser, Appraisal Team Members (if

identified and available), Sponsor, selected Management,
Stakeholders, Organizational Unit Coordinator

Purpose – Formal Approval to Conduct the Appraisal

• To identify sponsor and relevant stakeholders
• To establish communication between Lead Appraiser and the
• To agree on the objectives, constraints, scope, outputs/appraisal
results, intended use of appraisal results, and pre-appraisal

Determine Appraisal Objectives

1. What are the business-needs for process improvement that drive
the requirements for an appraisal? Samples of business related
objectives include:
a. Document a credible benchmark that reflects successful
process improvement
b. Evaluate areas of potential risk that may affect the
performance of the organization.
c. Involve members of the appraised organization in improving
the performance of the process.
d. Support specific decisions related to the direction of a new or
existing improvement program.
e. Motivate a supplier to focus on process issues that affect
contract performance.

Determine appraisal constraints

1. Which organizational entities are included in the appraisal? Which
divisions, teams, or projects?
2. What constraints exist for this appraisal? Time, resources, location,
budget constraints?
3. Agreement with confidentiality and non-attribution rules.

Determine Appraisal Scope

1. Model (CMMI, CMMI Acquisition Module)
2. Representation (Staged or Continuous)
3. Which process areas (PA) are included in the appraisal? All process
areas? Selected process areas?

Crest Consulting Sponsor Initial Meeting v3 - 12/2/2009 1/2

Determine Appraisal Outputs
1. Determine the outputs of our appraisal – rating, final findings,
statement of strengths and weaknesses (Note: the type of appraisal
may dictate the outputs).
2. Understand the outputs – what they mean, how they will be
presented, ownership, future use of outputs, etc.

Determine Pre-Appraisal Training

1. Will Lead Appraiser offer pre-appraisal training to your
organization? What, how, when and where?
2. Will Lead Appraiser educate Sponsor & Sponsor’s organization on
purpose and role of appraisals, as well as how an appraisal is

1. Appraisal Plan – review the whole document
2. SAS – register
a. Evaluations
3. Confidentiality rules
4. Non-attribution Rule
a. Projects
b. People
5. ATMs work for Crest during Appraisal
6. SEI Report
a. Appraisal Plan
b. ADS
c. Final Findings
7. DVD copies
8. SEI auditing 30 days
9. No perfection. No zero weaknesses.
10. Running as planned.

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