Capability Levels - Continuous representation

apply to an organisation’s process improvement achievement in individual process areas. These levels are a means for incrementally improving the processes corresponding to a given process area. There are six capability levels, numbered 0 through 5.

• (5) Optimizing process - The focus of an optimizing process is on continually improving the range of process performance through both incremental and innovative improvements.
• (4) Quantitatively managed process - 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.
• (3) Defined process - Process are tailored from the organisation’s set of standard processes according to the organisation’s tailoring guidelines, and contributes work products, measures, and other process improvement information to the organisational process assets.
• (2) Managed process - is a 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.
• (1) 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. Although capability level 1 results in important improvements, those improvements can be lost over time if they are not institutionalized.
• (0) Incomplete process - is a process that either is 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 institutionalise a partially performed process.

Maturity Levels - Staged representation

apply to an organisation’s process improvement achievement across multiple process areas. These levels are a means of predicting the general outcomes of the next project undertaken. There are five maturity levels, numbered 1 through 5

• (5) Optimizing – Focuses on continually improving process performance through incremental and innovative process and technological improvements. Quantitative process improvement objectives for the organisation are established, continually revised to reflect changing business objectives, and used as criteria in managing process improvement. The effects of deployed process improvements are measured and evaluated against the quantitative process improvement objectives. Both the defined processes and the organisation’s set of standard processes are targets of measurable improvement activities. The organisation is concerned with addressing common causes of process variation and changing the process (to shift the mean of the process performance or reduce the inherent process variation experienced) to improve process performance and to achieve the established quantitative process improvement objectives.
• (4) Quantitatively managed - The organisation and projects establish quantitative objectives for quality and process performance and use them as criteria in managing processes. Quantitative objectives are based on the needs of the customer, end users, organization, and process implementers. Quality and process performance is understood in statistical terms and is managed throughout the life of the processes [SEI 2001]. For selected sub-processes, detailed measures of process performance are collected and statistically analysed. Quality and process-performance measures are incorporated into the organisation’s measurement repository to support fact-based decision making [McGarry 2000]. Special causes of process variation are identified and, where appropriate, the sources of special causes are corrected to prevent future occurrences.
• (3) Defined - Processes are well characterised and understood, and are described in standards, procedures, tools, and methods. The organization’s set of standard processes, which is the basis for maturity level 3, is established and improved over time. These standard processes are used to establish consistency across the organization. Projects establish their defined processes by tailoring the organisation’s set of standard processes according to tailoring guidelines.
• (2) Managed - The projects of the organisation have ensured that processes are planned and executed in accordance with policy; the projects employ skilled people who have adequate resources to produce controlled outputs; involve relevant stakeholders; are monitored, controlled, and reviewed; and are evaluated for adherence to their process descriptions. The process discipline reflected by maturity level 2 helps to ensure that existing practices are retained during times of stress. When these practices are in place, projects are performed and managed according to their documented plans. The status of the work products and the delivery of services are visible to management at defined points (e.g., at major milestones and at the completion of major tasks). Commitments are established among relevant stakeholders and are revised as needed. Work products are appropriately controlled. The work products and services satisfy their specified process descriptions, standards, and procedures.
• (1) Initial - processes are usually ad hoc and chaotic. The organisation usually does not provide a stable environment to support the processes. Success in these organizations depends on the competence and heroics of the people in the organization and not on the use of proven processes. In spite of this chaos, maturity level 1 organisations often produce products and services that work; however, they frequently exceed their budgets and do not meet their schedules. Organizations are characterised by a tendency to over commit, abandonment of processes in a time of crisis, and an inability to repeat their successes.