SEI SM Appraisal Program Communication Issuance Date: October 24, 2008 May 20, 2009 Revised Communication Type: Communication ID: Title: References: Implementation Date: Source: Action Identified: Distribution: Notification of Policy SCAMPI-N-0022 R Defining the SEI Appraisal Program Appeal Process for Adverse Decisions None Immediately Rawdon Young, SEI Appraisal Program Manager FYI (1) SEI Certified SCAMPI High Maturity Lead Appraisers SM (2) SEI Authorized/Certified SCAMPI Lead Appraisers SM (3) SEI Authorized SCAMPI B&C Team Leaders SM (4) SEI Certification and Authorization Candidates (5) SEI Partners for the CMMI Product Suite (6) Appraisal Sponsors Note: None
SCAMPI-N-0022 - R Defining the SEI Appraisal Program Appeal Process for Adverse Decisions Notification This formal notification is an accompaniment to the previous two SCAMPI notifications: 0020 SEI Auditing of CMMI Appraisals and 0021 SEI Appraisal Certification and Authorization Programs Adverse Decisions. When a Lead Appraiser or an Appraisal Sponsor is subject to an adverse decision, they may choose to appeal after all reviews have been exhausted. While each situation will be unique, the purpose of this notification is to provide an appeal process that can be followed by Lead Appraisers and Appraisal Sponsors. The appeal process calls for the constitution of an Appeal Board, so this notification will also address the formation and maintenance of the board. Applicability This notification applies to all SEI Certified SCAMPI High Maturity Lead Appraisers, SEI Authorized/Certified SCAMPI Lead Appraisers, SEI Authorized SCAMPI B&C Team Leaders, SEI Certification and Authorization Candidates, SEI Partners for the CMMI Product Suite, and Appraisal Sponsors. Business Points of Contact and Appraisal Sponsors (or their designee) will receive updated communications during the appeal process as appropriate. This Appeal Process is the process referred to in the Software Engineering Institute s Certification Agreement that all Lead Appraisers are required to sign before they can be granted authorization or certification credentials from the SEI. The Certification Agreement can be found at: http://www.sei.cmu.edu/certification/governance.html. Background When the SEI Appraisal Program certifies or authorizes individuals to deliver SCAMPI appraisal services, it is possible that during any phase of certification, authorization, appraisal delivery, or appraisal review that a Lead Appraiser, Team Leader, or Appraisal Sponsor could be subject to an adverse decision. The notification, 0021 SEI Appraisal Certification and Authorization Programs Adverse Decisions defines some adverse decisions and can be found at http://www.sei.cmu.edu/appraisal-program/appraiser-communications/. Some adverse decisions are eligible for appeal. Adverse decisions eligible for appeal are listed in notification 0021referenced above. If an individual wishes to appeal an adverse decision, they must follow the appeal process outlined below.
Note: The appeal process, when initiated, includes a review by an Appeal Board. Since the Appeal Board has the potential to seat individuals who may have a conflict of interest with the individual or organization subject to the Adverse Decision being appealed, we have defined how the board will be established. Guidelines for formation and maintenance of this board can also be found below. APPEAL PROCESS OVERVIEW This process is intended to provide a process for Lead Appraisers (LA) and Appraisal Sponsors (Sponsor) to follow when they have been subject to adverse decisions. 1 Throughout this document, when the word Sponsor is used, it refers to a member of the appraised organization authorized to represent the organization s interests. For LA adverse decisions, this process applies to: SEI-Authorized/Certified SCAMPI Lead Appraisers, SEI-Certified SCAMPI High Maturity Lead Appraisers, and SEI-Authorized SCAMPI B&C Team Leaders. Throughout this document, when the word Appraiser is used, it refers to these authorized or certified individuals (including authorization or certification candidates). The term Adverse Decision is defined as a decision made by the SEI Appraisal Program that has an unfavorable effect on an Appraiser s candidacy, authorization, and/or certification, or a rejected appraisal. The Appeal Process is a process in which the Appeal Board (described below) reviews the decision made by the SCAMPI Quality Management Team (QMT). Appeal Board reviews are conducted at the written request of an Appraiser or Sponsor subject to an Adverse Decision which has been confirmed by a QMT review. An Appeal Board reviews all documentation provided by the SEI Appraisal Program, documentation provided by the Appraiser, or documentation provided by the Sponsor and any notes. The Appeal Process is not to be used to address Code of Professional Conduct (CoPC) violations. Code of Professional Conduct violations are managed through the SEI s Ethics and Compliance Office. CONFLICT OF INTEREST (COI) POLICY SEI personnel and personnel external to the SEI shall not participate in discussions of, or vote on, any Appeal in which they have or have had a substantial personal or professional relationship with the Appraiser or Appraisal Sponsor. SEI personnel who were involved in the original reviews that led to the Adverse Decision action shall not serve on the Appeal Board but may be questioned by board members. 1 When an appraisal has been audited and rejected by the SCAMPI Quality Management Team (QMT), the rejection is considered an adverse decision. Before an appeal can be initiated by an Appraisal Sponsor, it is expected that the Lead Appraiser (LA) has explained to the Appraisal Sponsor the reasons for the rejection.
APPEAL PROCESS Appraisal Sponsors who receive notice of an adverse decision on their appraisal by the QMT should have already been briefed by their Lead Appraiser (LA) on the reasons for rejection. After discussions with their LA, if the Sponsor decides to contest the adverse decision they should contact the CMMI Program Manager. Appraisers who receive notice of an adverse decision should contact the QMT to appeal. Appeals must be requested within 30 days of receipt of the adverse decision. 1. The Appraiser or Sponsor must first request a review of the adverse decision, via an e- mail, to the CMMI Program Manager. The Appraiser or Sponsor then works directly with the QMT to understand the reasons for the adverse decision. This review process may involve communication via e-mail, teleconferences, video conferences, and/or meetings. It is expected to be a two-way communication with the objective of resolving the matter as expeditiously as possible. The QMT will explain the reasons for the adverse decision, and the Appraiser or Sponsor may present information countering the adverse decision (see Evidence Guidance and Restrictions). Based on the information presented the possible outcomes are: 1) QMT overturns the adverse decision 2) the Appraiser or Sponsor understands and accepts the adverse decision, and the adverse decision stands, or 3) the two parties do not agree, but the adverse decision stands 2. If the Appraiser or Sponsor is not satisfied with the results of the review outlined above, an appeal of the adverse decision can be requested. Appeals must be requested via e-mail to the SEI s Director of Software Engineering Process Management (SEPM). 3. The Director of SEPM will form an Appeal Board consisting of three independent Lead Appraisers from a pool of certified SCAMPI High Maturity LAs (see the section on Constituting the Appeal Board below)the SEI will also appoint a non-voting chair whose responsibilities are to facilitate meetings, teleconferences, requests for additional information, and/or interviews. Consideration is made for conflicts of interest that may arise. Each potential member will have to submit a Conflict of Interest disclosure form prior to his or her participation if there is an apparent or actual conflict of interest. The QMT and the Appraiser or Sponsor each has two vetoes over individual members of the board and the chair. Appropriate non-disclosure agreements ( NDAs ) will be signed by the board members if requested. 4. Board members volunteer their time. However, the Appraiser or Sponsor is required to pay the costs of travel and facilities if incurred. Estimated costs for board members travel and board facilities, when applicable, are prepared and delivered to the Appraiser or Sponsor for approval prior to the board convening. Facility costs are intended to cover
any extraordinary expenses the SEI would incur for hosting the Appeal Board meeting. There is no charge for use of SEI s meeting space. Additional charges may be incurred for videoconference use if such capabilities are not readily available to the SEI. The SEI will reimburse the board members for their expenses and bill the Appraiser or Sponsor as appropriate (see Reimbursement for Expenses below). 5. Once the Appraiser or Sponsor has agreed to the estimates, the appellant must pay the full estimated amount into an escrow account before any work is performed in pursuit of the appeal. In addition permission for the release of the information must be obtained as appropriate, and if requested, appropriate NDAs must be negotiated and signed. The Appraiser or Sponsor may select an advocate to represent their position during the appeal. The QMT may select an experienced LA internal to the SEI to serve as their advocate. When these actions are complete, the SEI will gather the components of the adverse decision from the interested parties and an appeal data package is distributed to the board members, the Appraiser or Sponsor s advocate, and the QMT s advocate. The appeal data package will consist of the information generated during the audit including all questions and responses, and any relevant additional information introduced during the review process. 6. The QMT and Appraiser or Sponsor advocates will present evidence and arguments that represent their position during the appeal process. They may, within the guidelines, request additional information or clarification of existing information (see Evidence Guidance and Restrictions below). Advocates may prepare presentations supporting their position. 7. The interested parties will review the material prior to a scheduled appeal meeting. It is expected that the review will take one month or less, and the appeal meeting will be scheduled accordingly. Questions, requests for additional information, and requests for more review time will be coordinated through the board chair. The Appeal Board members are free to communicate with each other during the review period, but it is expected that all members are kept abreast of the communications and their results (i.e., they are expected to deliberate as a full board, not separate mini-boards). The appeal process, once initiated, should be completed within 90 days. 8. The interested parties will meet at the SEI office in Pittsburgh to participate in the appeal meeting. If this is not possible, the board chair should be notified and potential alternative arrangements may be considered. 9. During the appeal meeting each side will advocate for its position. Either an advocate or a board member may ask for clarification of points and/or additional information to support a position. Each advocate will have the opportunity to present closing arguments.
10. At the conclusion of all presentations and arguments, the board will convene alone and will arrive at a decision which will be communicated to all parties. Decisions made by the board must be by majority vote. Each board member can only vote for outcome 1 or 2. There is no time limit on the meeting and the results are binding. The possible outcomes are: 1) uphold the audit adverse decision 2) overturn the adverse decision (for an appraisal with this outcome the appraisal will be returned to SAS Quality Gate 2 to follow normal processing cycles). Evidence Guidance and Restrictions As indicated above, at any time during the process, the advocates or the Board may request additional information or clarifications. There are no restrictions on requesting clarifications. For appraisal information, requests are limited to information that was available during the appraisal s Phase II activities. Information here is defined as raw data, status reports, management reports, analyses reports, etc. where the consolidation, aggregation, analyses, etc. were documented and performed before Phase II (following SCAMPI rules of evidence). While it is very important that requests for information and clarification be fulfilled as quickly as possible so as not to disrupt the board review, at times this may not be possible and a delay may be required. A maximum delay of two weeks is allowed; however, all parties must be aware that if the requested additional information or clarification of points can t be provided immediately, the board may have to adjourn and reconvene later at additional cost to the Appraiser or Sponsor. If the lack of information or clarity was attributable to the QMT, the SEI would bear this cost. Constituting the Appeal Board All members of the Appeal Board, including the non-voting chair, shall be Certified High Maturity SCAMPI Lead Appraisers in good standing. Preferably they should have domain experience/knowledge appropriate to the appraisal being adjudicated. Full details on the constitution of an Appeal Board can be found below. Reimbursements for Expenses The SEI will reimburse the board members for their travel related expenses and bill the Appraiser or Sponsor for any charges in excess of the funds available in escrow. In the event of non-payment by the Appraiser or Sponsor, within 30 days after invoicing, the Appeal decision is forfeited and the original adverse decision stands.
Appeal Process Flow Diagrams for Lead Appraisers and Appraisal Sponsors A process diagram for the appeal process can be found at the link below. Note that there are separate pages for the Lead Appraiser and Sponsor Review processes and a common page for the appeal process. Combined Docs\Visio-Adverse Decision Appeal Process.pdf CONSTITUTING AN APPEAL BOARD The Appeal Board plays a critical role in the review of appeals of rejected appraisals or substantive adverse decisions submitted to the SEI. The Appeal Board s primary function will be, when called upon by the Director of SEPM, to participate on an SEI Appraisal Program Appeal Board. Appeal Boards review adverse decisions that have been reviewed and upheld by the SEI SCAMPI Appraisal or Quality Programs. The appeal process commences only after a Lead Appraiser or Sponsor has exhausted all review procedures and has submitted a written request for appeal. General Created by the Director of the SEPM, the Appeal Board is authorized to retain expert consultants, and conduct interviews with auditors, Lead Appraisers, appraisal team members, and Appraisal Sponsors to advise the board in the advancement of their reviews. Composition of the Board The Appeal Board shall consist of: One non-voting Appeal Board Chair from the SEI who meets all the other board member qualifications, selected by the Director of the SEPM Three Board Members, selected from the pool of Appeal Board volunteers The Appeal Board Chair is internal to the SEI and Board members must be external to the SEI, and are chosen from a list of Appeal Board volunteers ( the Appeal Board Pool ) maintained by the SEI. All participants will be bound to the terms of an NDA. Qualifications of Board Members To qualify as a participant on an Appeal Board, individuals must: hold an active High Maturity Lead Appraiser Certification (in good standing) 2 have active SEI Partner sponsorship have signed the SEI CoPC sign appropriate NDA agreements 2 Good standing means that the Lead Appraiser has completed all renewal requirements, has not failed an audit, does not have a history of SEI Appraisal Program adverse decisions, has not violated the CoPC, and is sponsored by an SEI Partner in good standing with the SEI Partner Network.
agree that participation on the board is voluntary and understand that members do not receive compensation but may be reimbursed for necessary travel expenses. All volunteers will be subject to an SEI review to determine eligibility to serve on the Appeal Board. Those chosen for consideration will be required to submit a resume and will be asked to participate in a telephone interview. Volunteers selected to serve on the board must understand that participation on an actual appeal will depend on the following factors: All conflicts of interest or appearances of conflicts of interest must be avoided. If an Appeal Board member has been selected to participate on the Appeal Board of an organization or for an appraiser that the board member has worked with in the past, he or she should recuse themselves from the board once they are aware of the situation. Participation of any individual on a board being seated for the review of an adverse decision must be approved by the Director of SEPM, the Lead Appraiser or Appraisal Sponsor requesting the appeal, and/or the SEI Partner or Appraisal Sponsor designee if one is identified. Term of Service Candidates for board membership will remain in the Appeal Board Pool for two years. If a member chooses to be released from participation, he or she must notify the Manager of the SEI Appraisal Program. A solicitation for volunteers will be sent to the Lead Appraiser community each October prior to the Annual CMMI Workshop. Since there are numerous conditions which may hinder participation on any given review, there will not be a limitation on how many participants will be accepted. If interest exceeds demand, an annual election may be required. Responsibilities The Appeal Board has the responsibility and authority reverse or uphold adverse decisions subject to appeal, or rejections of the results of audited appraisals which have been previously upheld by the review. The Board Chair, appointed by the Director of the SEPM, will manage the appeal and render final decisions. Meetings Due to the sensitivity of documents being reviewed, files will not be shared electronically, and there will not be an opportunity for preliminary reviews. Appeal Board members selected to participate on an Appeal Board will be required to attend scheduled meetings. In extreme cases, remote communications will be considered. Procedures Decisions made by the Appeal Board are based on a majority vote of the Appeal Board members present at a meeting. A the full board shall constitute a quorum at any meeting unless otherwise instructed by the Director of SEPM.
All contacts on behalf of the Appeal Board, outside of regular or special meetings, shall be conducted only by the Director of SEPM or an SEI designee. Confidentiality Due to the sensitivity and confidentiality of documents that will be shared with the board, Appeal Board members must acknowledge that violation of confidentiality, the SEI Code of Professional Conduct, or the terms of any non-disclosure agreements could result in loss of SEI Partner Agreements, SEI Certification or SEI Authorization credentials.