Pittsburgh, PA 15213-3890 Understanding Model ... · • The process is either not performed or...

Sponsored by the U.S. Department of Defense© 2004 by Carnegie Mellon University

Pittsburgh, PA 15213-3890

CMMI ®

Understanding ModelRepresentations and Levels:What Do They Mean?

Mary Beth ChrissisMike KonradSandy Shrum

® CMMI is registered in the U.S. Patent and Trademark Office by Carnegie Mellon University.

© 2004 by Carnegie Mellon University page 2

CMMI ®

TopicsRepresentations: Continuous and Staged

Levels: Capability and Maturity

Process Areas

Selecting a Representation

Summary


CMMI ®

Understanding CMMIRepresentationsRepresentations reflect different types of approaches toprocess improvement and emphasize the organization,use, and presentation of components in a model.

There are two types of representations in CMMI models:• staged• continuous

A representation in CMMI is analogous to a view into adata set provided by a database:• The data viewed is the same for each representation.• The use, organization, and presentation of the data are

different.


CMMI ®

Continuous RepresentationAllows you to choose a process area to improve and howfar you would like to improve it

Uses capability levels to characterize improvement

Allows you to select the order of improvementthat best meets your organization’s businessobjectives and mitigates your organization’sareas of risk

Enables comparisons across and amongorganizations on a process area by processarea basis PA

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PAPA


CMMI ®

Staged RepresentationUses predefined sets of process areas to define animprovement path for organizations

Uses maturity levels to characterize improvement

Provides a single rating that summarizes appraisal resultsand allows comparisons among organizations


CMMI ®

Comparison of RepresentationsStaged

Process improvement ismeasured using maturity levels.

A maturity level is the degree ofprocess improvement achievedacross a predefined set ofprocess areas.

Organizational process maturitydescribes the degree to whichthe organization implementsthe behaviors described in aset of process areas.

Continuous

Process improvement ismeasured using capability levels.

A capability level is the degree ofprocess improvement achievedwithin an individual process area.

Process area capabilitydescribes the degree to whichthe organization implements thebehaviors described in a singleprocess area.


CMMI ®



Process Areas


Summary


CMMI ®

LevelsLevels provide a means to measure process improvement.

What improvement do you want to measure?• Improvement of a SINGLE process within your

organization?• Improvement of your organization (i.e., collection of

processes that characterize organizational behavior)?

CMMI levels are associated with a particularrepresentation:• The continuous representation has capability levels.• The staged representation has maturity levels.


CMMI ®

Maturity LevelsA maturity level is a well-defined evolutionary plateau ofprocess improvement.

There are five maturity levels.

Each maturity level has one generic goal.

Each level is a layer in the foundation for continuousprocess improvement using a proven sequence ofimprovements, beginning with basic managementpractices and progressing through a predefined andproven path of successive levels.


CMMI ®

1

2

3

4

5

The Maturity Levels

Process unpredictable,poorly controlled, andreactive

Process characterized forprojects and is oftenreactive

Process characterizedfor the organizationand is proactive

Process measuredand controlled

Focus on continuousprocess improvement

Optimizing

QuantitativelyManaged

Defined

Initial

Managed

Optimizing

Defined


CMMI ®

Capability LevelsA capability level is a well-defined evolutionary plateaudescribing the organization’s capability relative to aprocess area.

There are six capability levels.

For capability levels 1-5, there is an associated genericgoal. Therefore, each process area has five generic goalsassociated with it.

Each level is a layer in the foundation for continuousprocess improvement. Thus, capability levels arecumulative (i.e., a higher capability level includes theattributes of the lower levels).


CMMI ®

The Capability Levels

5 Optimizing

4 Quantitatively Managed

3 Defined

2 Managed

1 Performed

0 Incomplete


CMMI ®

Levels 0 and 1Capability Level 0: Incomplete• The process is either not performed or partially performed.• One or more specific goals of the process area

are not satisfied.Capability Level 1: Performed• All specific goals of the process area are satisfied.• Essential activities are performed and the work is

accomplished.• The process may be unstable and inconsistently

implemented.Maturity Level 1: Initial• Processes are performed but often in an ad-hoc and

occasionally chaotic manner.• Performance is dependent on the competence and heroics

of the people.• Performance is difficult to predict.


CMMI ®

Level 0 and 1 Behavior

Requirements flow in.

A product is (sometimes) produced by someamorphous process.

The product flows out and (we hope) works.

In OutThe process is ad hoc.


CMMI ®

Level 2: ManagedA managed process is a performed process that is alsoplanned and executed in accordance with policy; employsskilled people having adequate resources to producecontrolled outputs; involves relevant stakeholders; ismonitored, controlled, and reviewed; and is evaluated foradherence to its process description.

A managed process is institutionalized (i.e., ingrained in theway work is performed).

Discipline helps ensure that existing practices are retainedduring times of stress.

The status of activities and work products is visible tomanagement at defined points.


CMMI ®

Level 2 Behavior

Requirements flow in.

Plans are developed in accordance with policies.

Activities are performed in accordance with plans.

Measurements and reviews occur at defined points.

The product flows out and (usually) works.

In OutThe process is managed.


CMMI ®

Level 3: DefinedA level 3 process is a defined process.

This level builds on the foundation of level 2.

A defined process is a managed process whosedescription is tailored from the organization’s set ofstandard processes according to the organization’stailoring guidelines.

This contributes work products, measures, and otherprocess-improvement information to the organizationalprocess assets.

The organization’s set of standard processes areestablished and improved over time.


CMMI ®

Level 3 Behavior

Commonality allows more uniform estimation ofperformance and sharing of resources.

In Out

The process is managed according to a defined process.


CMMI ®

Level 4: QuantitativelyManagedA level 4 process is a quantitatively managed process.A quantitatively managed process is a defined processthat is controlled using statistical and other quantitativetechniques.

Statistical predictability is achieved.

Projects use measurable objectives to meet the needs ofthe customers, end-users, and the organization.

Managers and engineers use the data with statistical andother quantitative techniques in managing the processesand results.


CMMI ®

Level 4Levels 2 and 3 build a foundation• defined processes, which

- achieve consistency across the organization- provide a qualitative understanding of sub-processes and

their relationships• measures are collected and analyzed to understand and

manage activities and results.- threshold limits are set, but not using statistical and other

quantitative methods.- exceeding threshold limits triggers actions.

Statistical and other quantitative methods are used, at theorganizational and project levels, to• understand past process performance, past product quality,

and past service quality• predict future process performance, future product quality,

and future service quality


CMMI ®

Level 4 Behavior

The behavior of the process is predictable and quantitativelyunderstood.

A quantitative basis exists for decisions to achieveestablished product quality, service quality, and process-performance goals.

In Out

Processes are quantitatively managed.


CMMI ®

Level 5: OptimizingA level 5 process is an optimizing process.

An optimizing process is a quantitatively managed processthat is changed and adapted to meet relevant current andprojected business objectives.

The focus is on continually improving the range of processperformance through incremental and innovativetechnological improvements.

Process improvement is inherently part of everybody’srole, resulting in cycles of continual improvement.


CMMI ®

Level 5 Behavior

Continual and measurable process improvement(while managing process stability) is a way of life.

In Out

Processes and products are measurably improved.


CMMI ®



Process Areas


Summary


CMMI ®

5

4

3

2

Quantitative ProjectManagement

Organizational ProcessFocus

Organizational ProcessDefinition

Organizational Training

Project Planning

Project Monitoringand Control

Supplier AgreementManagement

RiskRework

MaturityLevel

Project ManagementProcess Management Engineering Support

Organizational Innovationand Deployment

Organizational ProcessPerformance

RequirementsDevelopment

Technical Solution

Product Integration

Verification

Validation

Decision Analysisand Resolution

OrganizationalEnvironment forIntegration

Integrated ProjectManagement for IPPD

Risk Management

Integrated Teaming

Integrated SupplierManagement

RequirementsManagement

Measurement andAnalysis

Process and ProductQuality Assurance

ConfigurationManagement

1

Causal Analysis andResolution


CMMI ®



Process Areas


Summary


CMMI ®

Selecting a RepresentationThe most important consideration is which businessobjectives you would like your process improvementprogram to support and how these business objectivesalign with the two representations.

When choosing a representation, consider the followingfactors:• Business/Cultural• Historical/Legacy


CMMI ®

Business/Cultural FactorsBusiness• senior management

vision• knowledge of business

objectives• product line focus• strategic alliance

partners• competition• political pressure• market pressure

Culture• process-based culture• management’s attitude

toward change• knowledge of

organizational changemanagement

• experience in processimprovement

• TQM exposure• strong engineering

discipline culture


CMMI ®

Historical/Legacy FactorsHistorical• availability of case

studies and return oninvestment data

• papers and publications• SEI Process Appraisal

Information System(PAIS) data

• ISO 9000 audit results• quality improvement

programs• self-assessments

Legacy• experience with previous

models (e.g., EIA-731,SE-CMM, SW-CMM)

• familiarity with existingCMMI terminology

• international standardssuch as ISO/IEC TR15504

• certification in ISO 9001or Tickit

• PSP and TSP influences


CMMI ®

Align with Business GoalsRemember:

Process improvement should be the driver behind thechoice.

The focus behind process improvement is theorganization’s business goals.


CMMI ®

Advantages of EachRepresentation

Results that reflect maturity ofthe organization

Ability to improve process areasat different rates

Familiar benchmarking capabilityEasy comparison to ISO 15504

Easy upgrade from SW-CMMEasy upgrade from EIA 731

Organizational improvementfocus

High visibility of improvementwithin process areas

Predefined and proven path withcase study and ROI data

Maximum flexibility to select theorder of process improvement

Staged RepresentationContinuous Representation


CMMI ®

Both RepresentationsSupport Each OtherThe continuous representation can be useful to aninitiative focused on the staged representation• as a guide for detailed planning for improvement within

each process area• as a way to track and report intermediate progress short

of achieving a full maturity level

The staged representation can be useful for an initiativefocused on the continuous representative• as a guide to understanding how process areas support

each other• as a guide for big picture, organization-based planning• as a means for benchmarking success


CMMI ®

SummaryBoth representations are designed to offeressentially equivalent results.

Most of the content is similar.

Why not choose both representations?

The Addison-Wesley CMMI book and V1.2 (will) package therepresentations together to make it easier to use bothrepresentations.

Much of this material in this presentation camefrom the section on “Choosing aRepresentation” in the book CMMI® Guidelines forProcess Integration and Product Improvement


CMMI ®

For More InformationFor more information about CMMI, seehttp://www.sei.cmu.edu/cmmi/

Or, contactSEI Customer RelationsPhone: 412 / 268-5800Email: [email protected]

mailto:[email protected]

http://www.sei.cmu.edu/cmmi/


CMMI ®

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