Understanding Capability Levels

All CMMI models with a continuous representation reflect capability levels in their design and content. A capability level consists of related specific and generic practices for a process area that can improve the organization's processes associated with that process area. As you satisfy the specific and generic goals of a process area at a particular capability level, you reap the benefits of process improvement.

The six capability levels, designated by the numbers 0 through 5, are:

0. Incomplete

1. Performed

2. Managed

3. Defined

4. Quantitatively Managed

5. Optimizing

The fact that capability levels 2 through 5 use the same terms as generic goals 2 through 5 was intentional because the concepts of generic goals and capability levels are highly related. Generic goals represent the process institutionalization of best practices in an organization. Capability levels represent the process improvement attained in an organization. Since institutionalization and process improvement attainment are interdependent, the same characterization applies to both concepts. To get a complete understanding of capability levels 1 through 5, refer to chapter 3. A short description of each capability level follows.

Capability Level 0: Incomplete

An "incomplete process" is a process that is either not performed or partially performed. One or more of the specific goals of the process area are not satisfied and no generic goals exist for this level since there is no reason to institutionalize a partially performed process.

Capability Level 1: Performed

A capability level 1 process is characterized as a "performed process." A performed process is a process that satisfies the specific goals of the process area. It supports and enables the work needed to produce work products.

Capability Level 2: Managed

A capability level 2 process is characterized as a "managed process." A managed process is a performed (capability level 1) process that has the basic infrastructure in place to support the process. It is planned and executed in accordance with policy; employs skilled people who have adequate resources to produce controlled outputs; involves relevant stakeholders; is monitored, controlled, and reviewed; and is evaluated for adherence to its process description.

Capability Level 3: Defined

A capability level 3 process is characterized as a "defined process." A defined process is a managed (capability level 2) process that is tailored from the organization's set of standard processes according to the organization's tailoring guidelines, and contributes work products, measures, and other process-improvement information to the organizational process assets.

Capability Level 4: Quantitatively Managed

A capability level 4 process is characterized as a "quantitatively managed process." A quantitatively managed process is a defined (capability level 3) process that is controlled using statistical and other quantitative techniques. Quantitative objectives for quality and process performance are established and used as criteria in managing the process. Quality and process performance is understood in statistical terms and is managed throughout the life of the process.

Capability Level 5: Optimizing

A capability level 5 process is characterized as an "optimizing process." An optimizing process is a quantitatively managed (capability level 4) process that is improved based on an understanding of the common causes of variation inherent in the process. The focus of an optimizing process is on continually improving the range of process performance through both incremental and innovative improvements.

Remember that capability levels 2 through 5 use the same terms as generic goals 2 through 5, and a detailed description of these terms appears in chapter 3.

Advancing through Capability Levels

The capability levels of process areas are achieved through the application of generic practices or suitable alternatives.

Reaching capability level 1 for a process area is equivalent to saying you have achieved the specific goals of the process area.

Reaching capability level 2 for a process area is equivalent to saying that there is a policy that indicates you will perform the process. There is a plan for performing it, resources provided, responsibilities assigned, training to perform it, selected work products from performing the process are controlled, and so on. In other words, a capability level 2 process can be planned and monitored just like any project or support activity.

Reaching capability level 3 for a process area assumes that an organizational standard process or processes exist associated with that process area that can be tailored to the needs of the projects. The processes in the organization are now more consistently defined and applied because they are based on organizational standard processes.

Reaching capability level 4 for a process area assumes that this process area is a key business driver that the organization wants to manage using quantitative and statistical techniques. This analysis gives the organization more visibility into the performance of selected subprocesses that will make it more competitive in the marketplace.

Reaching capability level 5 for a process area assumes that you have stabilized the selected subprocesses and that you want to reduce the common causes of variation within that process. Remember that variation is a natural occurrence in any process, so although it is conceptually feasible to improve all processes, it would not be economical to improve all processes to level 5. Again, you would concentrate on those processes that would help you to meet your business objectives.