Levels Of CMM

The Levels of the CMM

The best method for understanding the value of the CMM is to understand each level of the model and its characteristics. The model defines 5 stages of increasing process maturity: Initial, Repeatable, Defined, Managed, and Optimized. As organizations move from level to level, productivity is enhanced and risk is minimized. The characteristics of each level are described below:

CMM Level 1

Level 1: Initial
Organizations at this level perform their work on an “ad hoc” basis with each consultant left to his /her own devices for the quality of his his/her efforts. These organizations typically lack formalized procedures for most of their work efforts. If any formal procedures exist, they lack the management mechanisms required to ensure their use. Project management disciplines are lax at best and key processes and project planning are applied haphazardly. Consultants in these organizations tend to view quality assurance efforts as overhead not directly related to delivery of their work efforts. They fail to understand the consequences of chaotic behavior. There is very little formalization of process, and hence successes are difficult to repeat and failures difficult to avoid. Results are unpredictable, the process is poorly controlled and successes are due to the efforts of dedicated individuals rather than the organization.

CMM Level 2

Level 2: Repeatable
Organizations at this level rely heavily on rigorous project management to control their efforts and meet project cost and time commitments. Although these enhancements are still rudimentary from a process perspective, they are sufficient to gain dramatic improvements in operational performance over level one organizations. These controls allow the organization to successfully repeat previously mastered tasks and avoid the repetition of failures. This strength is derived from the organization’s ability to capitalize on its experience at performing similar work. Although level two organizations have formal planning and project controls in place, the bulk of their procedures are institutionalized through staff experience rather than documentation. This greatly increases the difficulty of adapting to new situations. Processes cannot be changed or tools added without significant disruption and resistance. There is no frame of reference for new activities, and instituting new tools or processes destroys the relevance of the prior experience.

CMM Level 3

Level 3: Defined
At this level, processes have been formally defined and documented and are well understood and followed by the staff. Formal process models establish best practices and illustrate the correct point to employ various tools. As a result, consultants implement the same task in the same manner. When faced with a crisis, teams will continue to use the procedures rather than revert to manual methods of attacking the problem. Once an organization has reached this level, it has created the foundation for continuing progress. New processes and tools can be introduced with minor disruption to the work effort. New staff members are easily trained to adopt that organization’s practices. Although this level represents a major improvement over the previous two stages, it does not capture the data to proactively manage its processes.

CMM Level 4

Level 4: Managed
This level of process maturity focuses on the quality of the products delivered by each process. At this stage, processes are managed in a manner akin to the methods used to manage an assembly line. Quality targets are set for each process step and cost and yield data is collected. Processes are measured for efficiency and level of reworks. This data is used to identify and correct issues with process performance. When new tools or processes are added or adjustments are made to existing processes, the metrics data provides a means of assessing the success of the adjustment. The data can be used proactively to justify new tools and techniques. The greatest risk at this level is allocating excessive resources toward collecting and maintaining the process data. For this reason, only the most valuable data should be collected and automatic collection methods should be employed wherever possible.

CMM Level 5

Level 5: Optimized
Organizations that reach this level of process maturity can devote their efforts to continuous process improvement. The data collected during process operation is used to tune the processes themselves. Process performance is continually monitored for opportunity for improvement. Since the previous stages focus on control and work product production, they run the risk of sub-process optimization. Sub-process optimization results when one sub-process is optimized at the expense of the processes that surround it. While the performance of the sub-process in enhanced, the performance of the overall process is degraded. Organizations at this level have the data and experience to monitor and adjust their processes as a whole. These organizations go beyond being able to quickly assimilate new processes; they can proactively determine when the new processes will be needed.