How many projects have to be included in our Appraisal?

 Dear Appraiser,

We want to have an appraisal for CMMI Development, and we heard that we could offer three projects to the appraiser to look at.  We really want to limit it so we don't have to implement CMMI and don't have to be in compliance on all of our projects.  Is it true we can limit it to three?  ~ CMMI newbie

Cmon, be a badass.  I dare you!

CMMI Newbie,

Short answer is ....maybe!  But, no.

The Evolution of the CMMI Appraisal: From Negotiation to Randomized Samples

In the early days of CMMI, specifically with v1.2 and earlier, the process for determining the scope of an appraisal was more of a negotiation. The Appraiser and the Sponsor of the appraised organization would sit down and agree on the scope, aiming to ensure that the organization would get the maximum benefit from adopting CMMI. If it made sense to include only one project in the appraisal, that was the route they would take. However, over time, CMMI started becoming a gatekeeper for federal contracts, which led to a shift in how these negotiations were viewed. Instead of focusing on value, many organizations began using this process as a way to avoid fully adopting CMMI. So, even though your company might have 100 projects in play, all you had to do was select one, right?

Well, it didn't take long for the Software Engineering Institute (SEI) to notice this trend. They began wrestling with the question, “How many projects are enough?” Their answer? Three. That was the new minimum requirement unless there were extenuating circumstances that could be justified. As a result, most appraisals began featuring a "standard" scope of three projects.

Fast forward to today, and I still get calls from companies saying, “We’ve picked our three projects.”  A complete policy fail.

Enter CMMI V2.0: The "Randomly Generated Sample"

With the introduction of CMMI V2.0, the game changed once again. This time, the CMMI Institute moved away from letting companies pick their own projects and instead introduced the Randomly Generated Sample (RGS). Here’s how it works: the organization sends in a list of their active projects, and the Institute randomly selects a sample of projects to be appraised. But there’s a twist: rather than a single project being evaluated for all Capability Areas, each project is assigned a selection of individual Capability Areas. For example, one project might focus on Planning, Risk, and Monitoring, while another is evaluated for Requirements, Validation and Verification and Peer Reviews, and so on. No one project is expected to cover all practice areas, except for the overarching organizational ones.

To be honest, I’m not a huge fan of the partial samples—but, it is what it is.

The Surprise of Last-Minute Samples

Another major change with CMMI V2.0 was the timing. With earlier versions, you could pick your three projects far in advance and know about what to expect before your appraisal. With the RGS process, you won’t know which projects have been selected for evaluation until 60 days or less before your scheduled appraisal. That means the entire preparation process is compressed and, dare I say it, assumes you are actually performing at the maturity level you are seeking!  OH NOOOOO!

A Funny (and Ironic) Twist

Ironically, my experience with the RGS  has been that, in some cases, fewer than three projects are actually selected. Go figure! It seems that in their effort to make the process more comprehensive and random, the nature of the sample doesn’t always result in the old "three-project" minimum.

At the end of the day, whether you’re used to navigating the old-school "negotiated" approach or the more structured, randomized sample of V3, one thing is clear: CMMI appraisals have evolved—and they continue to shift as the landscape of federal contracts and organizational processes change.

What do you think? Has your company had to comply any of these shifts firsthand?

Feel free to leave me a question here or email me at AskMe@broadswordsolutions.com.

Feel free to leave me a question here or email me at AskMe@broadswordsolutions.com.

Like this blog?  Forward to your nearest engineering or software exec! 

Jeff Dalton is a Certified Lead Appraiser, Certified CMMI Instructor, author, and consultant with years of real-world experience with the CMMI in all types of organizations. Jeff has taught thousands of students in CMMI trainings and has received an aggregate satisfaction score of 4.97 out of 5 from his students.

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