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Maturity Model

CMU/SEI-95-MM-02

September 1995

People Capability Maturity ModelSM

Bill Curtis

William E. Hefley

Sally Miller



Software Engineering InstituteCarnegie Mellon University

Pittsburgh, Pennsylvania 15213

Unlimited distribution subject to the copyright.

Maturity Model

CMU/SEI-95-MM-02

September 1995

People Capability Maturity ModelSM

Bill Curtis

William E. Hefley

Sally Miller

Capability Maturity Modeling



This report was prepared for the

SEI Joint Program OfficeHQ ESC/AXS

5 Eglin StreetHanscom AFB, MA 01731-2116

The ideas and findings in this report should not be construed as an official DoD position. It is published in theinterest of scientific and technical information exchange.

FOR THE COMMANDER

(signature on file)

Thomas R. Miller, Lt Col, USAFSEI Joint Program Office

This work is sponsored by the U.S. Department of Defense.

Copyright © 1995 by Carnegie Mellon University.

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Table of Conten ts

Acknowledgments......................................................................................................ix

About This Document.............................................................................................xiiiHow Is This Document Organized?................................................................xiiiBackgrou nd..........................................................................................................xiiiHow to Receive More Information ...............................................................xvi

Executive Overview.................................................................................................xix

Need for the Peop le Capability Maturity ModelSM

......................................xixStructure of the P-CMM....................................................................................xxi

O v e r v i e w

1 Introduction ........................................................................................................O-11.1 Motivation for Imp roving Software Developm ent Talent... .. .. .. .. ..O-11.2 A Maturity Fram ework for Developing H um an Talent..................O-4

1.2.1 P-CMM Objectives........................................................................O-41.2.2 The Maturity Fram ew ork ...........................................................O-4

1.2.2.1 Backg rou nd of the Matu rity Fram ew ork ..........................O-61.2.2.2 Principles Und erlying the Matur ity Framew ork.............O-8

1.2.3 A Fam ily of Maturity Mod els...................................................O-10

2 Overv iew of th e Peop le CMM......................................................................O-132.1 Definition of the P-CMM Ma tu rity Levels........................................O-13

2.1.1 Level 1 - The Initial Level.........................................................O-132.1.2 Level 2 - The Repeatable Level................................................O-152.1.3 Level 3 - The Defined Level......................................................O-172.1.4 Level 4 - The Man aged Level...................................................O-182.1.5 Level 5 - The Op timizing Level...............................................O-19

2.2 The Key Process Areas of the P-CMM ...............................................O-202.2.1 Key Process Areas at the Repeatable Level............................O-222.2.2 Key Process Areas at the Defined Level.................................O-232.2.3 Key Process Areas at th e Man aged Level...............................O-25

2.2.4 Key Process Areas at the Optimizing Level...........................O-272.3 Them es in the P-CMM..........................................................................O-28

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Table of Contents

3 Ap plying the Peop le CMM............................................................................O-33

3.1 P-CMM-Based Assessm ents..................................................................O-333.2 Using th e P-CMM as a Guid e for Imp rovem ent..............................O-353.2.1 Guidance Provid ed by the P-CMM..........................................O-353.2.2 Skipp ing Maturity Levels..........................................................O-36

3.3 Locating a P-CMM-Based Imp rovement Program inthe Organization.....................................................................................O-37

3.4 Imp lementing a P-CMM-Based Imp rovem ent Program ...............O-383.5 Integrating Maturity-Based Improv ement Program s.....................O-42

4 Structure of the Peop le CMM........................................................................O-454.1 Goals .........................................................................................................O-48

4.2 Com mon Features..................................................................................O-494.3 The Key Practices.....................................................................................O-50

5 Inter preting the Peop le CMM.......................................................................O-535.1 Using the Key Practice Pages.................................................................O-535.2 Interp reting the Com mon Features....................................................O-55

5.2.1 Com mitment to Perform ..........................................................O-555.2.2 Ability to Per form .......................................................................O-555.2.3 Activ ities Per form ed ..................................................................O-575.2.4 Measurem ent and Analysis......................................................O-585.2.5 Verifying Imp lementat ion .......................................................O-58

5.3 Using the Key Practices..........................................................................O-595.3.1 Interpreting the Key Practices...................................................O-595.3.2 Ap plying Professional Judgm ent ............................................O-60

5.4 Organizational Roles and Structu re...................................................O-625.4.1 Organization al Roles..................................................................O-625.4.2 Organization al Structure...........................................................O-65

T h e Ke y P r o c e s s A r e a s f o r Le v e l 2 : Re p e a t a b l eWork Env ironment.........................................................................................L2-1Communication..............................................................................................L2-13Staffing..............................................................................................................L2-25

Per form an ce Managem ent...........................................................................L2-41Training ...........................................................................................................L2-59Compensation.................................................................................................L2-69

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Table of Contents

T h e Ke y P r o c e s s Ar e a s f o r Le v e l 3 : D e f in e d

Knowled ge an d Skills An alysis.....................................................................L3-1Workforce Planning.......................................................................................L3-11Com petency Dev elop ment...........................................................................L3-25Career Development......................................................................................L3-35Competency-Based Practices.........................................................................L3-49Participatory Culture......................................................................................L3-63

T h e Ke y P r o c e s s A r e a s f o r Le v e l 4 : M a n a g e dMentorin g...........................................................................................................L4-1Team Build ing.................................................................................................L4-15Team-Based Practices.....................................................................................L4-31

Organizational Competen cy Mana gem ent...............................................L4-45Organizationa l Per form ance Align ment...................................................L4-57

T h e Ke y P r o c e s s Ar e a s f o r Le v e l 5 : O p t i m i z in gPersonal Competency Development ...........................................................L5-1Coach ing...........................................................................................................L5-13Con tinuou s Wor kforce Inn ovat ion ...........................................................L5-25

A p p e n d i c e sAp pen d ix A: References.................................................................................A-1Ap pen d ix B: Glossary of Term s...................................................................A-7App end ix C: Abridg ed Version of the P-CMM Key Practices..............A-27Ap pendix D: Map ping of Key Practices to Goals.....................................A-69Ap pendix E: Change History......................................................................A-75

CMU/SEI-95-MM-02 People Capability Maturity Model s ii i



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iv s People Capability Maturity Model CMU/SEI-95-MM-02



List of Figures

Figure EO.1 Three Comp onen ts of Imp rovem ent Focus............................xixFigure EO.2 The Five Matu rity Levels of the P-CMM ................................xxiiFigure EO.3 The Key Process Areas Assigned to Process Categories.......xxiv

Figure 1.1 Three Compon ents of Imp rovement Focus.... .. .. .. .. .. .. .. .. .. .. .O-10Figure 2.1 The Five Maturity Levels of the P-CMM ..............................O-14Figure 2.2 The Key Process Areas of the P-CMM

by Maturity Level........................................................................O-21Figure 2.3 The Key Process Areas Assigned to Process Categories......O-29

Figure 3.1 The IDEALSM

Model..................................................................O-39Figure 4.1 The P-CMM Structure................................................................O-46Figure 5.1 Exam ple of Key Pra ctice Sta temen ts ...................................O-54

Figure A.1 P-CMM Key Process Areas........................................................A-28

CMU/SEI-95-MM-02 People Capability Maturity Model s v



List of Tab les

Table A.1 Level 2 KPAs: Key Practices Mapped to Goals .....................A-69Table A.2 Level 3 KPAs: Key Practices Mapped to Goals .....................A-71Table A.3 Level 4 KPAs: Key Practices Mapped to Goals .....................A-72Table A.4 Level 5 KPAs: Key Practices Mapped to Goals .....................A-73Table A.5 P-CMM Chan ge History.............................................................A-75

CMU/SEI-95-MM-02 People Capability Maturity Model s v ii



List of Tables

viii s People Capab ility Maturity Mod el CMU/SEI-95-MM-02



Acknowledgments

The People Capability Matu rity ModelSM (P-CMM SM) draw s on the topicsof capa bility matu rity mod els, benchmark pra ctices, and organizationalimp rovem ent to increase an organ ization’s capability to engineer software;and p resents a docum ented roadm ap for organizational imp rovement.

For his contributions and guid ance as the leader of the Capab ility MaturityModelsSM (CMMSM) project, his broad contributions to ou r on goingdiscussions regard ing the evolving d rafts of the P-CMM, and his

continuing sup por t for the P-CMM efforts, w e thank Mike Konrad . WattsHu mp hrey contributed to many d iscussions that led to the developmentand refinem ent of the mod el. Jim Over has shared h is expertise andknow ledge of the Personal Software Process (PSP) [Hu mp hrey95a, 95b] tothe developm ent of the P-CMM. We thank them for their contributions.The extraord inary efforts of Mark Pau lk in the d evelopm ent of theCapability Maturity Mod el for Software established a w orld-class stand ardand enabled th e P-CMM to bu ild on th ese efforts.

We acknow ledge Ron Radice, Floyd Hollister, and Bill Peterson for their

foresight in p rovid ing initial spon sorship for this work , as well as MiriamBrow ning , Cynth ia Kend all (Office of the Assistant Secretary of Defense

C3I), LTG Otto Guenth er (U.S. Arm y, DISC4) and David Borland (U.S.Arm y, DISC4) for provid ing the sp onsorship from the U.S. Departm ent of Defense (DoD) necessary to comp lete this work. We also than k ArleneDukanauskas (U.S. Army, DISC4) and Joyce France (Office of the Assistant

Secretary of Defense C3I) for their continued and un failing sup port an dadvice.

The SEI w ould like to thank th e man y peop le who ha ve been involved inthe d evelopm ent of the P-CMM . This effort could not ha ve beenaccomp lished w ithout these man y ind ividu als lend ing their expertise to

SM Capa bility Matu rity Model and CMM are service mar ks of Carnegie Mellon University.

CMU/SEI-95-MM-02 People Capability Maturity Model s ix



Acknowledgments

includ e Edu ard o Cad ena (Servicios en Informatica, Mexico), NancyChau ncey (U.S. Army), Pat D. Delohery (Trecom Business Systems), PatDey (Indep end ent Consu ltant, U.K.), Tore Dyba (SINTEF DELAB, Nor wa y),Pau l Gehrm ann (IBM), Jerry H ake (Aviation Technology SystemsCorpor ation), Bob H oleman (AST), John Hu bbs (Martin Marietta), WattsHu mp hrey (Software Engineering Institute), Shash i Jasthi (Motorola),Dave John son (Allied Signal), Phil Koltun (Har ris), Pete Malp ass (SoftwareEngineering Institute), Steph en Masters (Software Engineering Institute),Shirley M oore (Un iversity of Keele, U.K.), Yan nis N an akis (INTRACOMS.A., Greece), Dave N ickum (Pacific Bell), Carm en Paz (Motorola), Jenn iferRadford (Motorola), Mike Ph illips (Softwar e Engineering Institute), JoyceStatz (TeraQu est Met rics), Vassilios Sylaidis (INTRACOM S.A., Greece),

Mar k Telford (Texas Instru ment s, Inc.), J.C. Tenn ison (IBM), Su e Tur ner(UNISYS), John Velman (Hu gh es), Dav e Wichers (Arca System s), PierreYergeau (Center d e Recherche informatique d e Montreal, App liedSoftware Engineering Center, Canada ), and Rawd on R. Youn g (AbacusTechn ology Corp oration).

We app reciate the contributions of those individ ua ls w ho p articipated inthe work ing discussions on capability matu rity mod el integration thatfollowed th e P-CMM National Workshop . These contributors were BettyDeimel, Suz ann e Garcia, Watts H um ph rey, Jud ah Mogilensky, Mark

Pau lk, and Michael Dedolph .

Michael Zu ccher (SEI) served as ou r gu ide in m ining the Pr ocess App raisalInforma tion System (PAIS). This wealth of softwar e p rocess assessmen tda ta pr ovided real-world insights into the p eople-related issues beingnoted in num erous softwa re pr ocess ap pr aisals. H is un ique contribu tionsare greatly app reciated.

We than k Dean Behrens for his research assistance. We also greatly

ap pr eciate the efforts of Marlene MacDon ald, Angela Miller, Carolyn Tad y,Dorothy Joseph son, and Ma rcia Theoret for their adm inistrative sup por t;and the ed itorial assistance of Sand ra J. Bond and Suz ann e Coutu riaux.

CMU/SEI-95-MM-02 People Capability Maturity Model s xi



Acknowledgments

Bill Pollak h as contributed his w it and editorial expertise, as needed , andwe are gratefu l for h is assistance.

xii s People Capability Maturity Model CMU/SEI-95-MM-02



About This Document

pu blished in A merican Programm er in August, 1990 [Curt is90]. Follow ingthe p ublication of the concept, Citicorp ran a su ccessful p ilot pr ogramduring 1990 and 1991.

A pr oject to d evelop the m od el was ann oun ced at the 1992 SEISymp osium . This work extend s the managem ent and organizationalpersp ectives of the Cap ability Matu rity Mod el for Software [Paulk93a;Paulk93b; Paulk95] to includ e the m anagem ent of the p eople resourcesnecessary for the developm ent and m aintenan ce of softw are systems. TheSEI has been d evelop ing an d r efining t he P-CMM since 1992.

Following initiation of the pr oject, a P-CMM Ad visory Board formed inJu ly 1993. This ad visory board consists of senior ind ividu als withbackground s in software engineering, information systems d evelopm entand man agement, and hu man resources. Version 0.1 of the P-CMM wasreleased for review by th e advisory board in October, 1993. Subsequen t torelease of Version 0.1, the ad visory board investigated best p ractices.

Strategic DoD sponsor ship was obtained d ur ing 1994. The sponsors of thiswork are the

u Arm y Office of the Director of Information Systems for Com ma nd ,Control, Communication, and Computers, Directorate of ArmyInformation

u Office of the Assistant Secretary of Defense for Com mand , Control,Comm un ication, and Intelligence, Deputy Assistant Secretary of Defense for Information Managem ent.

P-CMM Draft Version 0.2 was d eveloped based on th e concepts d escribedabove and current best practices. It was widely distributed for review bythe m embers of the P-CMM Ad visory Board , P-CMM Correspond ence

xiv s People Capability Maturity Model CMU/SEI-95-MM-02



About This Document

Group 1 , and other interested reviewers, and wa s the sub ject of d iscussion

at a N ationa l Workshop , held Decem ber 14-15, 1994, in Virginia.

Following the N ational Workshop, a focused tw o-day working meetingwas h eld to add ress the structure and content of capability ma turitymod els and the interrelationships betw een these mod els. In th is meeting,the foci of ou r d iscussions were on p eop le- and skills-related top ics andissues, and how these peop le and skills top ics map across capabilitymatu rity mod els.

P-CMM Draft Version 0.3 was dev eloped based on extensive feedback (over 1400 comm ents) on P-CMM Version 0.2, as well as ou r continu edefforts to iden tify the best benchm ark p ractices in each of the key p rocessareas. As with Version 0.2, P-CMM Version 0.3 was w idely d istribu ted forreview by th e mem bers of the P-CMM Ad visory Board , P-CMMCorrespond ence Group, and other interested reviewers. Over 1,000 copiesof Draft Version 0.3 were d istributed in h ard copy, and several hu nd redcopies were obta ined electron ically.

This docum ent w as released a t the 1995 SEI Softwar e Engineering

Symposium, September 11-14, 1995, held in Pittsburgh, Pennsylvania.

1You can join the group by contacting Custom er Relations at the Softwa re Engineering Institute,

Carn egie Mellon Un iversity, Pittsbu rgh , PA 15213-3890 (412/ 268-5800; fax: 412/ 268-5758; Intern et:

custom [email protected] .edu ).

CMU/SEI-95-MM-02 People Capability Maturity Model s xv



About This Document

H ow to Rece ive More In fo rmat ion

For fur ther information regard ing the P-CMM and its futu re associatedprod ucts, including training on the P-CMM and how to perform P-CMM-based assessmen ts, contact

SEI Custom er RelationsSoftware Engineering InstituteCarn egie Mellon UniversityPittsburgh, PA 15213-3890

(412) 268-5800Intern et: custom [email protected] .edu

SEI technical reports are directly available from Research Access Inc. (RAI),the N ationa l Technical Inform ation Service (N TIS), and the D efenseTechn ical Information Cen ter (DTIC). These docum ents can be obtainedby contacting:

RAI: Research Access In c.800 Vinial StreetPittsbur gh, PA 15212Telephone: (800) 685-6510International: +1-412-321-2992FAX: +1-412-321-2994WWW: ht tp:/ / www .rai.com

NTIS: Nat ional Technica l Information ServiceU.S. Departm ent of Comm erce

Springfield, VA 22161-2103Telephone: (703) 487-4600

xv i s People Capability Maturity Model CMU/SEI-95-MM-02



About This Document

DTIC: Defense Technica l Informat ion CenterATTN: FDRA Camer on StationAlexand ria, VA 22304-6145Telephone: (703) 274-7633

Ad d itional information a bou t the SEI, its efforts and pu blications areavailable u sing the World-Wide Web at

http:/ / www .sei.cmu.edu

Inform ation abou t available P-CMM docum ents is available at

ftp:/ / ftp.sei.cmu.edu/ pu b/ p-cmm/ READ_ME.txt

SEI technical repor ts are also ava ilable via Internet. To obtain the P-CMMvia anony mou s FTP from a Unix system on Internet

ftp ftp.sei.cmu .edulogin: anonymous password: <your u ser id or an y string>cd pub/ p-cmmget READ_ME.txtget <files>quit

The file READ_ME.txt contains inform ation o n w hat files are av ailable.

Other SEI pu blications are available in a similar m ann er in th e d irectory / pu b/ docum ents. The Capability Maturity Model for Software is availablein a s imilar manner in the directory / pu b/ cmm .

CMU/SEI-95-MM-02 People Capability Maturity Model s xvii



About This Document

xviii s People Capability Maturity Model CMU/SEI-95-MM-02



Executive Overview

Need for the People Capab ility Maturity ModelSM

In order to imp rove their performance, organizations m ust focus on threeinterrelated components—people, process, and technology—shown inFigure EO.1. With the h elp of the Cap ability Maturity Mod elSM forSoftwar e (CMMSM) [Paulk95], many softwar e organizations have m ad ecost-effective, lasting improvements in their software processes andpr actices [Herbsleb94]. Yet man y of these organizations have discovered

that their continu ed improvem ent requ ires significant changes in th e w aythey man age, develop, and use their people for d eveloping andmaintaining software and information systems—changes that are n otfully accounted for in the CMM. To d ate, imp rovem ent prog ram s forsoftwa re organizations hav e often emp hasized p rocess or techn ology, notpeople.

Figure EO.1 Three Componen ts of Improvement Focus

SM Capab ility Matu rity Model and CMM are service mar ks of Carnegie Mellon University.

CMU/SEI-95-MM-02 People Capab ility Maturity Mod el s xix



Executive Overview

To provide gu idance to organizations that w ant to improve th e way theyadd ress these people-related issues, the SEI has d eveloped the PeopleCapability Matu rity ModelSM (P-CMM SM). The P-CMM is a matu rityframework , patterned after the stru cture of the CMM, that focuses oncontinuously imp roving the management and development of thehu m an assets of a softwa re or information systems organization. TheP-CMM provid es guidance on how to continu ously improve the ability of softwar e organizations to attract, develop, motivate, organize, and retainthe talent n eeded to steadily imp rove their software d evelopm entcapa bility. The strategic objectives of the P-CMM are to

u imp rove the capability of softwar e organ izations by increasing thecapability of their wor kforce

u ensur e that softwa re developm ent capability is an attribu te of theorganization rather th an of a few individua ls

u align th e motivation of ind ivid uals w ith that of the organ ization

u retain hu ma n assets (i.e., peop le with critical knowled ge an d skills)w ithin the organization

The P-CMM describes an evolutionary improvem ent pa th from ad hoc,inconsistently p erformed pra ctices, to a m ature, d isciplined, an dcontinu ously improv ing d evelopm ent of the know ledge, skills, and

motivation of the wor kforce. The P-CMM helps softwa re organizations

u characterize the matu rity of their workforce practices

u guid e a program of continuou s workforce development

u set pr iorities for imm ediate actions

u integrate workforce developm ent w ith process imp rovement

u establish a cultur e of software en gineering excellence

The P-CMM is designed to gu ide software organization s in selecting

immed iate improv ement actions based on th e curr ent matu rity of theirworkforce p ractices. The benefit of the P-CMM is in nar row ing the scopeof imp rovem ent activities to those practices that p rovid e the nextfound ational layer for an organization’s continu ed w orkforce

xx s People Capability Maturity Model CMU/SEI-95-MM-02



Executive Overview

developm ent. These practices have been chosen from ind ustrialexperience as those that have significant imp act on individ ua l, team , u nit,and organ izational performan ce. The P-CMM includ es practices in suchareas as

u work environment

u communicat ion

u staffing

u managing performance

u training

u compensation

u competency developmentu career developmen t

u team-building

u culture d evelopm ent

Structure of the P-CMM

As organizations establish an d imp rove their people managem entpr actices, they p rogress throu gh five levels of ma tu rity. Figu re EO.2d epicts these five levels, each of wh ich p rovides a layer in the foun d ationfor the continu ous imp rovem ent of an orga nization’ s workforce practices.Each m atur ity level is comp osed of several key process areas (KPA) thatiden tify clusters of related workforce p ractices. When p erformedcollectively, the p ractices of a key pr ocess area achieve a set of goalsconsid ered im portan t for enhan cing w orkforce capability.

Achieving each m atu rity level in the P-CMM institu tionalizes new

capabilities as a result of an organ izational imp rovem ent p rogram ,resulting in an overall increase in the w orkforce capability of theorganization. Growth throu gh the matu rity levels creates fund amentalchanges in how people are managed and the culture in which they work.

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Executive Overview

Level 2—Repeatable

CompensationTraining

Performance ManagementStaffing

CommunicationWork Environment

Level 1—Initial

Level 3—Defined

Participatory CultureCompetency-Based Practices

Career DevelopmentCompetency Development

Workforce PlanningKnowledge and Skills Analysis

Level 4—Managed

Organizational Performance AlignmentOrganizational Competency Management

Team-Based PracticesTeam Building

Mentoring

Level 5—Optimizing

Continuous Workforce InnovationCoaching

Personal Competency Development

Instill basicdisciplineintoworkforceactivities

Identify primarycompetenciesand alignworkforceactivitieswith them

Quantitatively manageorganizational growthin workforcecapabilities andestablish

competency-based teams

Continuously improvemethods for developingpersonal andorganizationalcompetence

Fi g u r e EO .2 T h e Fi v e Ma t u r i t y Le v e l s o f t h e P-CM M

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Executive Overview

In matu ring from th e Initial to the Repeata ble level, the orga nizationinstalls the d iscipline of performing basic practices for man aging itswork force. In matu ring to the Defined level, these practices are tailored toenha nce the particular know ledge, skills, and w ork method s that bestsup port th e organization’ s business. The core competencies of theorganization are iden tified, and work force activities are aligned to sup portthe developmen t of these comp etencies. In maturing to the Managedlevel, the organ ization u ses data to ev aluate h ow effective its workforcepr ocesses are and to redu ce variation in their execution. The organizationqu antitatively m anag es organizational growth in work force capabilitiesand , wh en app ropriate, establishes comp etency-based teams. In maturingto the Op timizing level, the orga nization looks continu ally for innov ative

w ays to imp rove its overall talent. The organization is actively involvedin applying and continuou sly improving method s for developingindividu al and organ izational comp etence.

A num ber of imp rovem ent themes cour se throu gh the P-CMM. Thesethemes help organize an un derstand ing of the structure of the model andthe relationship s among th e key process areas within the P-CMM. Asshown in Figure EO.3, the key p rocess areas are mapp ed to four processcategories. The fou r them es of these pr ocess categories are

u developing capabilities

u building teams and culture

u motivating and managing p erformance

u shap ing the workforce

The P-CMM has been designed to be coupled with a CMM-based softwareprocess imp rovement program . How ever, it can be used on its own togu ide imp rovem ents in the workforce pr actices of an organ ization. TheP-CMM can be u sed to gu ide an assessment of the w orkforce practices of anorgan ization, and the SEI is piloting an assessment meth od . H ow ever, the

use of the P-CMM should been d one in conjun ction w ith those in anorganization w ho h ave expertise in wor kforce pr actices.

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Executive Overview

Developingcapabilities

Buildingteams and

culture

5Optimizing

4Managed

3Defined

2Repeatable

1

Initial

WorkforcePlanning

Training

ParticipatoryCulture

CareerDevelopment

Competency-Based

Practices

MentoringOrganizationalCompetencyManagement

Knowledgeand SkillsAnalysis

CompetencyDevelopment

Communication Staffing

Compensation

PerformanceManagement

WorkEnvironment

Process Categories

MaturityLevels

Motivatingand managingperformance

Shapingthe workforce

TeamBuilding

Team-BasedPractices

OrganizationalPerformance

Alignment

PersonalCompetencyDevelopment

Coaching

Continuous Workforce Innovation

Communication

Fi g u r e EO .3 T h e Ke y Pr o c e s s Ar e a s As s ig n e d t o

Pr o c e s s Ca t e g o r i e s

xxiv s People Capability Maturity Model CMU/SEI-95-MM-02



People

Capability Mat urity Model

In t rod u ct ion to th e Peop leCapab i l ity M atur i ty M odel(P-CMM)

This overview p resents an introd uction to the People Capa bilityMatur ity Model (P-CMM) and the reasons for developing su ch amod el. It describes the concepts of a matu rity framew ork and howthis fram ework can be app lied to d eveloping the workforcecapab ility of an organiza tion. The structu re of the P-CMM isdescribed. In add ition, advice for interpreting and using theP-CMM and its key p ractice statements is provided to help an

organization ap ply th e P-CMM in its setting.

OverviewIn troduction O-1

Overview of the Peop le CMM O-13

Applying the People CMM O-33

Structure of the People CMM O-45

Interpreting the People CMM O-53



1 Introduction

1.1 Motivation for Improving SoftwareDevelopm ent Talent

“The most important ingredient on this su ccessful project was

having smart people...Very little else matters in my

opinion...The most important thing you do for a project is

selectin g t he staff...Really the su ccess of t he software

development organiz ation is v ery, very mu ch associated w ith

its ability to recruit good people.”

“The only rule I have in m anagement is t o ensu re that I have

good people–real good people–and that I grow good people, and

that I provide an environment where good people can

produce.”

Two software vice presidents qu oted in [Curtis88]

“The cent ral quest ion in how t o improve the softw are art

centers, as it always has, on people.”

[Brooks87]

“Personn el att ributes and hum an resource activ ities provide by

far t he largest source of opportu nit y for improvin g softw are

development productivit y.”

[Boehm81]

Knowledge is the raw material of softwar e developm ent, and it is softwar eengineers who transform knowledge into software p rodu cts. Althou gh

software tools can help record an d m anage kn owledge, they do n ot createand app ly it. The level of talent on a software p roject is often the strongestpr ed ictor of its results [Boehm 81], and p ersonn el shortfalls are on e of themost severe p roject risks [Boehm 88]. Therefore, imp roving technology

CMU/SEI-95-MM-02 People Capab ility Maturity Mod el s O-1



Introduction

and process alone is not enough in the most know ledge-intense ind ustryin history. Imp roving a softwa re organization requ ires continua limprovem ent of its people and of the conditions that empow er theirperformance.

Software development is large-scale, integrated, intellectual work [Hum ph rey89]. The skill of developing software is the skill of manag ingintellectual comp lexity. Performance ranges am ong p rofessional softwa reeng ineer s rou tinely exceed 20 to 1 [Curtis81, Sackman68, Valett89].Software en gineers d iffer marked ly in the level of complexity th ey canhand le [Basili83]. The folklore of softwar e engineer ing is replete withremarkable feats by heroes, wizard s, and guru s. Although the p resence of

an extraordinary ind ividu al on a project can hav e d ramatic imp act, thereare not enou gh of these ind ividu als to staff more than a han dful of thepr ojects in most organ izations [Curtis88]. Softwar e organ izations canlamen t these circum stances, or they can take actions to imp rove them .

As the size of softwar e systems continues to grow an ord er of ma gnitud eeach decade, the ind ustry m ust chan ge from a mystique of artisticallycreative individ ua ls to a team-based p rofession tha t emp hasizescontinuou s learning. Accord ingly, softw are organizations mu st becomecenters of excellence that take talented ind ividu als from un iversities and

other sources and d evelop them into motivated and prod uctive softwareengineering teams. Increasing the know ledge, skills, and performa nce of software d evelopers is necessary to

u compete w ith lower priced talent in other countries

u satisfy the exponen tial explosion in the am oun t and comp lexity of software required by m ost curren t and futu re prod ucts

u increase the qu ality and reliability of software system s to levelsachieved by hard ware, especially in life- and bu siness-criticalapplications

To motivate continu ous imp rovem ent of the workforce, the organ izationmu st perceive its people as assets rather than as expen se items. Whenmem bers of the w orkforce are essentially interchang eable, organizations

O-2 s People Capab ility Maturity Model CMU/SEI-95-MM-02



Introduction

focus m ore on m anag ing w orkforce costs than on increasing wor kforceperforman ce. It is tragic wh en this old labor relations m od el is carriedover into high technology, becau se it wa s based on jobs that w ere never asknow led ge intense as those in software d evelopm ent. With the level of performa nce differences cited for softwa re engineers, ind ividu al and teamskills become strateg ic competitive assets.

The benefit of better workforce practices has been d emon stratedemp irically in n um erous stud ies [Labor93, Mavrinac95]. Comp anies withthe best workforce practices hav e been show n to ou tperform oth er firmsin grow th of profits, sales, earn ings, and d ividend s [Hansen 89, Kravetz88].These practices are usu ally consider ed to be integra l to a total qu ality

ma nagem ent (TQM) program , and are includ ed as criteria in the MalcolmBaldridg e National Qua lity Awa rd [Comm erce95]. Nev ertheless, mostsoftware organ izations hav e moved slowly on im proving th eir workforcepractices.

With the help of the Capability Matur ity ModelSM for Softw are (CMMSM)[Paulk95], man y organ izations hav e m ade improvem ents in their softwareprocesses and p ractices. These improvem ents have resulted in improvedpr od uctivity, qu ality, and time to market [Herbsleb94]. Even so, many of these organizations have discovered tha t their continu ed imp rovemen t

requires significant chan ges in the w ay they m anage p eople, chan ges thatare not fully accoun ted for in the CMM for Software. To date, mostimprovem ent program s for software organ izations have emp hasizedpr ocess or technology, not peop le.

Despite the imp ortance of talent, hu man resources and other w orkforcepra ctices in man y organ izations are often ad h oc and inconsistent, andsoftwa re man agers are insu fficiently trained in p erforming them .Consequently, managers often expect their hu man resources dep artmentsto be resp onsible for the a dm inistration of most p eople-related pra ctices.

Comp oun d ing the problem, these practices are often ap plied w ith littleanalysis of their imp act. In man y cases, even w hen software organizations

SM Capa bility Matu rity Model and CMM are service mar ks of Carnegie Mellon University.




Introduction

are aw are of the p roblem and w ant to includ e peop le-related activities intheir imp rovement p rograms, they don’t know w here or how to begin.

1.2 A Maturity Framework for DevelopingHu man Talent

1.2.1 P-CM M O b ject i ve s

The People Capability Matu rity ModelSM (P-CMM SM) focuses oncontinu ously developing the h um an assets of a software or informationsystems organ ization. The P-CMM pr ovides guida nce on how to developan org anization w hose p ractices continuou sly imp rove the cap ability of itswo rkforce. The motivation for the P-CMM is to rad ically imp rove theability of software organizat ions to attract, develop, motivate, organize,and retain th e talent n eeded to steadily imp rove their softwaredev elopm ent capability.

The strateg ic objectives of th e P-CMM ar e to

u imp rove the capability of softwar e organ izations by increasing thecapability of their wor kforce

u ensur e that softwa re developm ent capability is an attribu te of theorganization rather th an of a few individua ls

u align th e motivation of ind ivid uals w ith that of the organ ization

u retain hu ma n assets (i.e., peop le with critical knowled ge an d skills)w ithin the organization

1.2.2 Th e M at u r i t y Fram ew or k

The P-CMM is a ma turity framew ork, patterned after the structure of theCapa bility Matu rity Mod el for Software (CMM), that d escribes the key




Introduction

elemen ts of man aging and d eveloping an organization’s w orkforce. Itdescribes an evolutionary improvem ent p ath from ad hoc, inconsistentlyperformed pr actices, to a matu re, d isciplined d evelopmen t of theknow ledge, skills, and motivation of the w orkforce, just a s the CMMd escribes an evolutionar y impr ovem ent path for the softwa re processeswithin an organ ization. The P-CMM helps softw are organizations

u characterize the matu rity of their workforce practices

u guid e a program of continuou s workforce development

u set pr iorities for imm ediate actions

u integrate workforce developm ent w ith process imp rovement

u establish a cultur e of software en gineering excellence

The P-CMM is designed to gu ide software organ izations in selecting high-priority imp rovement a ctions based on the current m aturity of theirworkforce p ractices. The benefit of the P-CMM is in nar row ing the scopeof imp rovem ent activities to those practices that p rovid e the nextfound ational layer for developing an organization’s workforce. Byconcentrating on a focused set of pr actices and working agg ressively toinstall them , organizations can stead ily imp rove their wor kforce andmake lasting gains in their performance and competitiveness.

The P-CMM gu ides an organization th roug h a series of increasinglysoph isticated p ractices and activities for dev eloping its workforce. Thesepr actices hav e been chosen from ind u strial experience as those that h avesignificant imp act on ind ividu al, team, u nit, and organizationalper formance. The P-CMM includ es pr actices in such areas as

u work environment

u communicat ion

u staffing

u managing performance

u training

u compensation

u competency development




Introduction

u career developmen t

u team bu ildingu culture d evelopm ent

When installed, key p ractices in these areas imp rove the a bility of organizations to attract, develop, motivate, and retain a talentedwork force. These pr actices also help org anizations align th e performan ceof individua ls and teams with that of units and th e organization.

1.2.2.1 Ba ck g r o u n d o f t h e M a t u r i t y Fr a m e w o r k

The matu rity fram ewor k un d erlying the CMM for Software app lies totalqu ality man agemen t practices to softwa re organizations to help themimpr ove their cap ability to develop high-qua lity softwar e on schedu le andwithin bud get. This framew ork guides softwa re organ izations throu ghfive stages in imp roving their capability. The conceptu al structure of theCMM is based on qu ality man agemen t principles evolved by W. Edw ard sDeming [Deming86], Philip Crosby [Crosby79], Joseph Juran [Juran89], andother s over the last 60 years.

The original concept for a matu rity fram ework w as developed by WattsHum ph rey and his colleagu es at IBM in the early 1980s. In his 27 years atIBM, Hu mp hrey n oticed that the q uality of a software p rodu ct was d irectlyrelated to the qu ality of the process used to develop it. Observing thesuccess of total qu ality man agemen t in other p arts of indu stry, Hu mp hreywanted to install a Shew art-Deming cycle (plan-do-check-act) into asoftwar e organization as a wa y to continua lly imp rove its processes.

Hu mp hrey realized that the Shew art-Deming cycle mu st be installed instages as imp ediments to continu ous imp rovement are systematicallyremoved. The staged structure that und erlies the maturity framew ork was first elaborated by Crosby in Quality is Free [Crosby79]. Crosby’s qualityman agem ent matu rity grid d escribes five evolutionary stages in adop tingqua lity practices in an organization. This fram ework w as adap ted to the




Introduction

software p rocess by Ron Rad ice and his colleagues w orking u nd er thed irection of H um phrey at IBM [Radice85].

Hu mp hrey brou ght these concepts to the Software Engineering Institute(SEI) in 1986. In 1986 the SEI received a request from the U.S. Air Force todevelop a m ethod for assessing the capability of its softwa re contractors.With assistance from Mitre, the SEI elaborated the p rocess m atur ityfram ework [Hum ph rey88] and d eveloped a questionnaire [Hu mp hrey87]to aid in app raising ma turity. The SEI intend ed the matu rityqu estionn aire to provide a simp le tool for id entifying areas wh ere anorganization’s softwa re process need ed imp rovem ent. In particular, it wasdesigned to collect some initial data to gu ide the in-dep th interviews

du ring a softwa re process assessmen t. Unfortun ately, the matu rityqu estionn aire was too often regard ed as “the m odel” rather than as avehicle for exploring p rocess m atur ity issues.

The original form ulation for the stru cture of the CMM in its curren t formwas presented by Hu mp hrey in Managing t he Softw are Process

[Hu mp hrey89]. Through software process assessments, workshop s, andextensive review, the SEI evolved the software p rocess ma tur ityframework into the Cap ability Maturity Mod el for Softwar e (CMM)[Paulk95]. Version 1 was released for nation al review in Augu st 1991, and

the r evised Version 1.1 [Pau lk93a, 93b] was released in January 1993.

The CMM is widely used for guid ing softwa re process impr ovemen tprogram s both in the U.S. and abroad . Although originally ad opted byaerospace firms, the CMM is now used in commercial software andinformation systems organizations. The CMM has been used su ccessfullyto impro ve softwa re performa nce in comp anies such as Citicorp , Corning,GTE, Grumman, Hewlett-Packard, Hughes Aircraft, IBM, Motorola,Procase Corp ., Raytheon , Rockwell, Schlum berger , and the U.S. Air Force[Billings94, Dion93, Goldenson95, Grady92, Herbsleb94, Humphrey91,

Johnson94a, Johnson94b, Lipke92, Nid iffer95, Paulk95, Selfridge94,Sud low94, Wohlw end 93]. Recent emp irical results point to an averagereturn on investment in software p rocess improvem ent of $5.70 saved forevery $1 spent [Herbsleb94].




Introduction

1. 2. 2.2 P r i n ci p l e s U n d e r l y i n g t h e Ma t u r i t y Fr am ew o r k

A fun dam ental premise un derlying the maturity framew ork is that apractice cannot be impr oved if it cann ot be repeated . In an organ ization’sleast matu re state, systematic and repeated p erforman ce of practices is onlyspor ad ic. The Repeatab le level of the CMM (Level 2) is prima rily focusedon helping software organizations remove th e imped iments that keepthem from repeating su ccessful software developm ent or m aintenancepractices. The most comm on imp ediments are sched ule or resourcecomm itments that the software staff could n ot meet regard less of howsoph isticated their skills or process are. Ano ther particularly wickedimped iment is un controlled requirements changes that devastate theoriginal p lanning.

In a ru sh to satisfy un reasonable objectives, the p roject staff begin cuttingcorners on sou nd engineering practices and making m istakes that are notcaught u nti l i t is mu ch more t ime consuming and expensive to removethem . As a result, p rojects lose control of their sched u le, costs, andprod uct quality. When sou nd practices are sacrificed to sched ule or otherconstraints, engineers have little chan ce to imp rove their per forman ce orfollow throu gh effectively on innova tive id eas. The prima ry objective atthe Repeata ble level is to instill a process discipline in th e environ men t

that ensu res that the basic practices need ed to stabilize the environ men tare performed on a regular and repeatable basis.

Hav ing established an ability to make an d protect achievablecomm itments, the organ ization can focus on tran sferring its bestdevelopm ent or m aintenance practices across the organization. Althoughsuccessful p ractices are executed repeatab ly at the Repeatable m atu ritylevel, they m ay be p erformed quite d ifferently by d ifferent p eople or indifferent grou ps. Some w ays of performing th ese practices w ill provemo re effective than oth ers.

Capitalizing on processes that work best is the heart of the Defined level(Level 3). The organ ization iden tifies the d esign, testing , inspection,




Introduction

ma nag emen t, configu ration control, and other p rocesses that seem tohav e worked best on different p rojects, and integra tes them into anorganization-wide p rocess for d evelopmen t. This pr ocess is trainedthrou ghou t the organization so that people have a comm on reference forperforming their work. In using d efined organization-wide processes,ma nagers a nd technical staff benefit from lessons learned on ear lierprojects and do not h ave to reinvent successful m ethods.

Once the organization can execute its developm ent p rocesses consistently,it can u se its pr ocess data to systema tically eliminate th e causes of w idevariations in its p erforman ce. The objective of the Man aged level (Level4) is to set quan titative performan ce and quality targets and r edu ce the

var iation in pr ocess to stabilize the organ ization’s capa bility in achievingthese targets. During this attemp t to redu ce performan ce variation,statistical pr ocess control principles can be app lied . How ever, theirap plication, and even th e relevant statistical meth od s, ma y d iffer fromthose used in manu facturing. Manag ers now u se these detailed processdata as their primary m anagemen t tool.

At the O ptim izing level (Level 5), the org anization continu es on itsimprovement p ath w ith a focus on continuous p rocess imp rovement.The organization begins to id entify technology and pr ocess inn ovations

that can continually imp rove its performan ce and competitive p osture.Cau ses of defects are systematically eliminated . The organization focuseson continu al imp rovem ent of any factor tha t affects the achievem ent of itsbusiness goals.

The CMM gu ides organ izations in stead ily imp roving th eir cap ability fordev eloping software. The cap ability of an organ ization to d evelopsoftwa re is the ran ge of results it ord inarily experiences when executingprojects. Capa bility is imp roved b y establishing a learning env ironmen twh ere the organization ha s quan titative feedb ack on its perform ance. In

the abstract, the m aturity framework bu ild s an environm ent in wh ichu practices can be rep eated

u best practices can be rap idly transferred across group s




Introduction

u variations in performing best practices are red uced

u pr actices are continuou sly imp roved to enha nce cap ability

This ma turity framework sh ould be app lied on ly to practices thatcontribute directly to the business performance of an organ ization. Theseare the p ractices that increase the organization ’s cap ability to prov ide high -qu ality prod ucts and services efficiently. Since the kn owledge, skills, andmotivation of an organ ization’s softwa re dev elopm ent talent are crucial toits perform ance, the practices for ma naging th eir developm ent areexcellent cand idates for imp rovement u sing th e matu rity framework.Thus, the P-CMM seeks to increase the capability of the workforce in th esame w ay th at the CMM increased the capability of the organ ization’ssoftware process.

1.2.3 A Fam i ly of M a tu r i ty M o d els

In laying a strategy for imp roving th e p ractice of softwa re engineering, theSEI focused on imp rovem ents in three areas. As dep icted in Figure 1.1,these three areas—people, process, and techn ology—are the p rimarysources of leverage for imp roving th e softw are engineering p ractice of an

organization and its resulting p rod ucts. The SEI has been condu ctingpr ogram s in each of these area s since the m id-1980s.

Figure 1.1 Three Compon ents of Imp rovemen t Focus




Introduction

The efforts of the SEI in softwa re pr ocess have centered arou nd using th eCMM for Softwa re as a gu ide for improv ing an organization’s softwar eprocess. The SEI has sup plemented the use of the CMM in imp rovementprograms by p roviding m ethods for

u ap praising the a ctual practice of software engineering in organ izations

u d efining and representing software p rocesses

u using qu antitative method s for process managem ent andimprovement

u imp roving each d eveloper’s personal softwa re process

The success of the CMM for Softwar e generated an interest in ap plyingma tur ity principles to other activities within an organ ization. The SEI isnow exploring the ap plication of matu rity principles to each corner of thetriangle in Figu re 1.1. An obvious ap plication of the matu rity fram ewor k is to raise its app lication from th e softw are comp onen t up to the level of systems engineering. The SEI has coordinated th e developm ent of aSystem s Eng ineering Capability Matu rity Mod el (SE-CMM) [Bate94]. Thismod el translates the CMM to term s and processes that are relevant to theentire systems engineering p rocess on a p roject.

As many defense contractors began to matu re their developm ent

pr ocesses, the DoD rea lized that th eir acquisition p ractices were becominga major imp ediment to further gains in prod uctivity and q uality.Accord ingly, DoD has begu n th e develop men t of an System AcquisitionCapa bility Maturity Mod el (SA-CMM) to gu ide imp rovemen ts in DoDacqu isition pr actices. The combina tion of the CMM, SE-CMM, andSA-CMM should dramatically increase the effectiveness of the contractor-acqu isition office partn ership for delivering defense system s. Thesemod els w ill be just as ben eficial in commercial ind ustry as they ar e in theaerospace ind ustry.

The SEI has also tentatively explored the ap plication of m atur ity principlesto softwar e techn ology. The objective of such a m od el w ould be toevaluate software technologies on a continuu m that stretches from ad hocinconsistent m ethod s to consistently performed , quan titatively-based




Introduction

method s. Thus, software wou ld be d esigned u sing method s that yield aqu antitative char acterization of the results of design d ecisions. The initialformu lations of this mod el are prom ising, bu t it is still u nd er exploration.

The P-CMM was d eveloped to app ly matur ity principles to thedev elopmen t of the work force. In app lying these principles, w e areimplying th at the d evelopmen t of the workforce is a process with p racticesthat can be imp roved. Further we are implying that p rinciples that havebeen trad itionally used for the improv emen t of a prod uct can also beapp lied to the improvem ent of peop le. Thus, the P-CMM rests on thepremise that people have skills that can be m easured an d thatorgan izations can continu ously imp rove their processes for d eveloping

and organ izing th ese skills.

The P-CMM is the found ation for systematically building a set of tools,includ ing an assessment m ethod, wh ich are useful in u nd erstanding anorgan ization’s baseline capabilities to develop its workforce and incharting imp rovem ents in an organ ization’s workforce practices.Althou gh th e P-CMM has been d eveloped with the needs of the softwareengineering and information systems comm un ity in mind , the keypractices for d eveloping th e w orkforce can be app lied to almost anyknow ledge-intense job. In fact, most of these pr actices will app ly to jobs

through out an organ ization. We use software examp les frequentlythrou ghou t this docu men t, bu t this does not imp ly that these pr actices canonly be app lied to p eople directly involved w ith software. It may bepossible for an orga nization to u se the P-CMM and associated assessmen tinstrumen ts to add ress its capa bility for d eveloping peop le in areas ou tsid eof software, and to integrate the resulting action plans into an overall planfor revitalizing the organ ization.




2 Overview of the People CMM

2.1 Definition of the P-CMM Maturity Levels

As a capability m aturity m odel, the P-CMM gu ides organizations inestablishing and imp roving their wo rkforce practices throug h fiveevolutiona ry stages. Achieving each ma tur ity level in the P-CMMinstitutionalizes new capabilities for developing the kn owled ge and skillsof the wor kforce, resulting in an overall increase in th e talent of theorganization. Growth throu gh the matu rity levels creates fund amentalchanges in how people are developed and organized and in their working

culture.

Figu re 2.1 dep icts the five matu rity levels of the P-CMM. Each matu ritylevel pr ovides a layer in the foun da tion for continu ous imp rovem ent of an orga nization’s workforce practices. In matu ring from the Initial to theRepeatable level, the organ ization installs the d iscipline of performing th ebasic pr actices. In matu ring to the Defined level, these pr actices aretailored to enh ance the particular know ledge, skills, and wor k metho dsthat best sup port the organ ization’s business. In matur ing to the Managedlevel, the organization d evelops competen cy-based, high-performa nce

team s and emp irically evaluates how effectively its workforce practices aremeeting objectives. In matu ring to the Op timizing level, the organ izationlooks continu ally for innovative w ays to imp rove its work force capabilityand to sup po rt individ ua ls in their pu rsuit of pro fessional excellence.

2.1.1 Le ve l 1 - T h e In i ti al Le ve l

At th e Initial level, the p erforman ce of work force activities is inconsistent.The organ ization typically p rovides forms for activities such as

performan ce app raisals or position requisitions, bu t offers little guid anceor training in condu cting th e activities supp orted by th ese forms.Typically m anagers hav e not been trained in p erforming m ost of theirwork force respon sibilities, so their ability to m anage those w ho r eport to




Overview of the People CMM

them is based on pr evious experience and their persona l “peop le skills.”These organizations are not necessarily abusive or inconsiderate. Theirproblem is that th ey d o not h ave the ability to systematically d evelop thecomp etitive cap ability of their work force.

Initial(1)

Repeatable(2)

Defined(3)

Managed(4)

Optimizing(5)

Instill basicdiscipline intoworkforceactivities

Identify primary competenciesand align workforce activitieswith them

Quantitatively manage organizationalgrowth in workforce capabilities andestablish competency-based teams

Continuously improve methods fordeveloping personal andorganizational competence

Fi g u r e 2 . 1 T h e F iv e M a t u r i t y Le v e l s o f t h e P -CM M





In the w orst circum stances, ma nagers in Level 1 organ izations do n otaccept d eveloping the m embers of their unit as a p rimary personalrespon sibility. They perform wor kforce activities such as interviewing jobcandid ates or cond ucting performan ce appra isals with little prep aration,often resulting in poor staffing decisions or disgrun tled emp loyees. Thehu man resources departm ent too often imports p ractices and app lies themwith little analysis of their effectiveness. Individ ua ls in m ost Level 1organizations do not take work force practices seriously, since they d o n otbelieve the p ractices have m u ch relation to their real work an d level of contribution to the organization.

The wor kforce capability of a Level 1 organ ization is u nkn ow n, since there

is little effort to measu re or imp rove it. Individ u als are motivated topu rsue their ow n agen d as, since there are few incentives in p lace to aligntheir mo tivations with th e business objectives of the orga nization .Turnover is high w hen peop le feel there are better working cond itions orgrow th poten tial in another organization. Consequ ently, the level of know ledge and skills available in the organization d oes not grow overtime because of the need to replace experienced an d know ledg eableindividu als wh o have left the organization.

2.1.2 Le ve l 2 - T h e R ep e at ab l e Le ve l

The prim ary objectives at the Repeatable level are to eliminate p roblemsthat keep peop le from b eing able to perform their w ork respon sibilitieseffectively and to establish a found ation of work force pr actices that can becontinu ously imp roved in developing the workforce. The most frequen tproblems th at keep peop le from being able to perform effectively in low-matu rity organizations includ e

u environmental distractions

u u nclear perform ance objectives

u lack of relevan t know ledge or skill

u poor comm un ication





In ma turing to the Repeatab le level, an organ ization establishes policiesthat comm it it to develop ing its peop le. A prim ary objective in achievinga rep eatable capability is to establish a sense of responsibility and d isciplinein performing basic workforce p ractices. These pr actices ensu re that thepeople in each un it will have the kn owledge and skills required toperform their curren t assignment. When these practices areinstitutionalized, the organization has laid a foun d ation on wh ich it canbuild improved method s and practices.

At the Repeatab le level, those w ho h ave been assigned respon sibility forperforming wor kforce activities accept personal responsibility for ensu ringtha t all workforce pr actices are imp lemen ted effectively. In doing so, they

accept the grow th and developm ent of their staff as a primaryrespon sibility of their position. When p eople take their workforceresponsibilities seriously, they begin to dev elop repeatable m ethod s forperforming specific activities such as interview ing or establishingperforma nce criteria. Individu als will notice greater consistency in th eperformance of workforce functions w ithin their group , althoughdifferent man agers or group s may h ave individu al variations in thespecific method s they use.

The effort to implem ent imp roved wo rkforce practices begins w hen

executive manag ement comm its the organization to constantly impr ovethe know ledge, skills, motivation, and per forman ce of its wo rkforce. Theorgan ization states that th e continuou s developm ent of its workforce is acore value. The organization docum ents policies and d evelops basicwo rkforce pr actices that the un its will imp lement. Units d evelop plansfor satisfying their wor kforce need s and resp onsibilities. These initialneeds ar e in the areas of the work environm ent, comm un ication, staffing,performance managem ent, training, and comp ensation. Until these basicwor kforce pr actices become institutionalized, the org anization w ill haved ifficulty adopting m ore soph isticated w orkforce pr actices.





2.1.3 Le ve l 3 - T h e D e fi n ed Le ve l

Organ izations at the Repeatable level find th at although they areper forming ba sic w orkforce practices, ther e is inconsistency in how t hesepr actices are perform ed across un its. The organization is not capitalizingon op portunities to stand ard ize its best workforce pr actices, becau se it hasnot identified the common know ledge and skills needed across its un itsand the best practices to be used for developing them. The organization ismotivated to achieve the Defined level in ord er to gain a strategiccomp etitive ad van tage from its core comp etencies.

At the Defined level, the organization begins to ad ap t its workforcepr actices to the sp ecific natu re of its bu siness. By an alyzing th e skillsrequired by its workforce and the bu siness fun ctions they p erform, theorganization id entifies the core competen cies required to perform itsbusiness. The organization then ad apts its workforce practices to developthe sp ecific know ledge an d skills that comp ose these core competencies.The organ ization id entifies best p ractices in its ow n w orkforce activities orthose of other organ izations and tailors them a s the basis for ad apting itsworkforce practices.

The organization an alyzes its business processes to d etermine the corecomp etencies involved in its work and the know ledge and skills thatconstitute these comp etencies. The organization then dev elops strategicand near-term p lans for d eveloping these competen cies across theorganization. A progra m is defined for systematically d eveloping corecompeten cies, and ind ivid ua ls’ career developm ent strategies are plann edto sup port competency developm ent for each individu al. Theorganization ad ministers its workforce practices to develop and rewardgrowth in its core comp etencies and to app ly them to improveperformance.

A comm on organ izational culture can d evelop at the Defined level,because the organization becomes focused on d eveloping and r eward ing aset of core comp etencies. This culture p laces imp ortance on grow ing the





organ ization’s cap ability in its core competencies, and th e entire wor kforcebegins sharing respon sibility for this grow th. Such a cultur e is reinforcedwh en workforce practices are adapted to encourage and reward growth inthe organ ization’s core competencies. This culture can be enh anced byestablishing a p articipatory environment w here individuals and group sare involved in d ecisions regarding their w ork.

The wor kforce capab ility of organ izations at the Defined level is based onhaving a w orkforce that p ossesses the basic knowledge a nd skills toperform the core bu siness functions of the organization. Knowled ge andskills in the orga nization’s core competen cies are m ore evenly sp readacross the organization. The organization has imp roved its ability to

pred ict the perform ance of its wor k activities based on kn owing th e levelof knowledge an d skills ava ilable in its work force. Also, it has establisheda foun da tion on which continu ous d evelopm ent of know ledge and skillscan be bu ilt.

2.1.4 Le ve l 4 - T h e M a n ag ed Le ve l

Organ izations at the Defined level have established the foun d ation forcontinu ously imp roving their workforce. At the Managed level, theorganization takes th e first steps in cap italizing on man aging its corecomp etencies as a strategic ad van tage. It sets quan titative objectives forgrow th in core comp etencies and for the alignmen t of perform ance acrossthe individu al, team, unit, and organ izational levels. These measu resestablish th e qu antitative found ation for evaluating trend s in thecapability of the organ ization’s workforce. Furth er, it seeks to maximizethe effectiveness of ap plying th ese comp etencies by d eveloping team s thatintegrate comp lementary know ledge and skills.

At the Managed level, high-perform ance teams comp osed of people with

comp lementary kn owledge and skills are developed w here conditionssup po rt their fun ctioning. Team-building activities are performed toimp rove the effectiveness of these teams. When ap p lied to teams,





work force practices are tailored to supp ort team dev elopmen t andperformance.

Mentors are mad e available to both ind ividu als and teams. Mentors usetheir experience to provide p ersonal supp ort, guidan ce, and some skilldevelopm ent. Mentors also provide another way to retain andd isseminate lessons learned across the organ ization.

Organ izational grow th in each of the organization’s core competen cies isqu antitatively ma nag ed. Data on the level of core comp etencies in theorganization are analyzed to determ ine trend s and capability. These

comp etency trends are then used to evaluate the effectiveness of comp etency-related workforce pr actices. In ad d ition, performan ce d ata arecollected an d an alyzed for trends in the alignmen t of perform ance at theindividu al, team, unit, and organ izational levels. Trends in thealignm ent of performan ce are used to eva luate the effectiveness of perform ance-related w orkforce pr actices. These trend s are tracked againstthe objectives set in th e strategic and near-term w orkforce p lans.

The workforce cap ability of Level 4 organ izations is pred ictable because th ecurrent capability of the w orkforce is know n qu antitatively. The

organ ization ha s also developed a mechan ism for dep loying itscompetencies effectively th roug h high-performan ce, comp etency-basedteams. Future trend s in w orkforce cap ability and performan ce can bepr ed icted becau se the cap ability of the w orkforce pr actices to impr ove theknow ledge and skills of the w orkforce is know n qu antitatively. This levelof wor kforce capa bility provides the organ ization w ith an imp ortantpr edictor of trend s in its business cap ability.

2.1.5 Le ve l 5 - T h e O p t im i zin g Le ve l

At the Op timizing level, there is a continu ous focus on imp rovingindividu al comp etencies and find ing inn ovative ways to imp rovewor kforce motivation and capability. The organ ization sup ports





individu als’ effort toward continu ous d evelopm ent of personalcomp etencies. Coaches are provided to sup port further development of person al or team comp etencies.

Data on the effectiveness of work force pra ctices are u sed to id entify needsfor inn ovative w orkforce pr actices or technologies. Innova tive practicesand technologies are evaluated and the most p romising are u sed inexploratory trials. Successful innovations ar e then transferred into u sethroughou t the organization.

The w orkforce capability of Op timizing organizations is continuou sly

improving because they are perpetu ally imp roving their workforcepr actices. Imp rovem ent occurs both by incremen tal ad van cements intheir existing workforce practices and by ad option of innov ative practicesand method s that may have a dram atic impact. The culture created in anOp timizing organ ization is one in wh ich all member s of the w orkforce arestriving to imp rove their ow n, their team’s, and their un it’s know ledge,skills, and motivation in ord er to imp rove the organization’s overallperforman ce. The workforce practices are honed to create a culture of performance excellence.

2.2 The Key Process Areas of the P-CMM

Figu re 2.2 displays th e key p rocess areas for each of the five ma tu rity levelsin the P-CMM. Each key process area (KPA) iden tifies a cluster of relatedactivities that, wh en p erformed collectively, achieve a set of goalsconsidered imp ortan t for enh ancing work force capab ility. Key p rocessareas have been d efined to reside at a single matu rity level.

Key process areas identify the capabilities that m ust be institutionalized toachieve a matu rity level. They describe the p ractices that an organizationshou ld imp lement to impr ove its workforce capability.





Initial (1)

Repeatable (2)

Compensation

Training

Performance Management

Staffing

Defined (3)

Peer reviews

Competency-Based Practices

Competency Development

Knowledge and Skills Analysis

Workforce Planning

Managed (4)

Coaching

Optimizing (5)

Organizational Performance Alignment

Organizational Competency Management

Participatory Culture

Mentoring

Work Environment


Team Building

Team-Based Practices

Career Development


Communication

Figure 2.2 The Key Process Areas of the P-CMM

by M aturity Level





selected cand idates, orienting them to the organ ization, and ensu ringtheir successful transition into their new p ositions.

u Performance Man agement is designed to establish objective criteriaagainst which u nit and individual p erforman ce can be measured , toprov ide performan ce feedba ck, and to enhan ce performa ncecontinu ously. Performan ce Managem ent involves establishingobjective criteria for u nit and ind ividu al performa nce, discussingperforman ce regularly and identifying wa ys to enh ance it, prov idingperiod ic feedba ck on performance, identifying d evelopmen t needs,and systematically add ressing performance problems or reward ing

extraordinary performance.

u Training is d esigned to ensu re that all ind ividu als have the skillsrequ ired to p erform their assignm ents. Training involves iden tifyingthe skills required to perform critical tasks, identifying training needswithin each un it, and en suring that n eeded training is received.

u Compensation is d esigned to provid e all ind ivid ua ls w ithremu neration and benefits based on th eir contribution and value to

the organization. Comp ensation includes developing a docum entedcompen sation strategy, developing a plan for adm inisteringcompensation, and m aking periodic adjustmen ts to comp ensationbased on performan ce.

2.2.2 K ey Pr oce ss Ar ea s a t t h e D e fi n ed Le ve l

The key process areas at the Defined level add ress organizational issues, asthe organization ta ilors its d efined workforce practices to the corecompeten cies required by its business environm ent. Descriptions of eachof the six key process areas for Level 3 are given below:





u Knowledge and Skills Analysis is designed to identify the kn owledgeand skills required to p erform core business processes so that theymay be developed and used as a basis for work force practices.Knowled ge an d Skills Analysis inv olves id entifying th e bu sinessprocesses in w hich th e organization mu st maintain competence,dev eloping profiles of the know ledge and skills need ed to p erformthese business fun ctions, maintaining a know ledge and skillsinventory, and identifying future kn owledge an d skill needs.

u Workforce Planning is d esigned to coord inate workforce activitieswith current and futu re business needs at both the organizational and

un it levels. Workforce Plann ing inv olves d evelopin g a strategicwork force p lan th at sets organ ization-wide objectives for comp etencydevelopm ent an d workforce activities, and developing n ear-termplans to gu ide the wor kforce activities of each u nit.

u Competency Developmen t is designed to constantly enh ance thecapability of the w orkforce to perform th eir assigned tasks andrespon sibilities. The core comp etencies id entified in Knowled ge andSkills Analysis and Workforce Plann ing p rovide th e found ation forthe organization’s developm ent and training program. Comp etency

Developmen t involves establishing training and other developm entprog ram s in each of the organization’s core competencies.Developm ent activities are d esigned to raise the level of know ledgeand skill in the org anization’s cur rent an d anticipa ted corecompetencies.

u Career Development is d esigned to ensure that all ind ivid ua ls aremotivated and are provided opp ortunities to develop n ew skills thatenh ance their ability to achieve career objectives. CareerDevelopm ent includ es discussing career options with each

individua l, developing a p ersonal developm ent plan, trackingprogr ess against it, identifying training op portu nities, and mak ingassignm ents tha t enh ance career objectives.





u Comp etency-Based Practices is designed to ensure th at all workforcepractices are based in p art on d eveloping th e know led ge and skills of the work force. Com petency-Based Practices involves recru itingagainst know ledge and skill needs, basing selection method s onassessing th e know ledge an d skills of cand idates, assessing jobperforman ce against the tasks and roles assigned to the p osition, andbasing comp ensation at least in p art on grow th in know ledge an dskills.

u Participatory Cu lture is designed to en sure a flow of inform ationwithin the organ ization, to incorporate the kn owledge of individu als

into decision-mak ing p rocesses, and to gain their sup port forcommitmen ts. Establishing a participatory cultur e lays thefound ation for building high-performan ce teams. ParticipatoryCulture involves establishing effective comm un ications am ong alllevels of the organization, seeking inp ut from ind ividu als, involvingindividu als in making d ecisions and commitmen ts, andcommu nicating d ecisions to them.

2.2.3 K ey Pr oce ss Ar ea s a t t h e M an a ge d Le ve l

The key process areas at the Managed level focus on bu ild ing competency-based teams and establishing a qu antitative u nd erstand ing of trend s in thedevelopm ent of know led ge and skills and in the alignment of performa nce across d ifferent levels of the organ ization. Analyses of thefive key p rocess areas at this level are high ly interd epen dent, as describedbelow:

u Mentoring is designed to u se the experience of the orga nization’sworkforce to provide p ersonal supp ort and guidance to other

individu als or group s. This guidance can involve developingknow ledge and skills, imp roving p erforman ce, han d ling d ifficultsituations, and ma king career d ecisions. Mentoring involves settingobjectives for a mentor ing p rogram , designing m entoring a ctivities to





achieve these objectives, selecting and training ap pr opriate m entors,assigning m entors to individu als or group s, establishing m entoringrelationships, and evalu ating the effectiven ess of the m entorin gprogram.

u Team Building is designed to capitalize on op portu nities to createteams that m aximize the integration of diverse know led ge and skillsto perform bu siness fun ctions. Team Building involves matchingpotential team m embers to the know ledge an d skill requirements of the team , training all new m emb ers in team skills, d efiningobjectives for team performan ce, tailoring stand ard pr ocesses for u se

by the team, and period ically reviewing team p erformance.

u Team-Based Practices is designed to tailor the organ ization’swor kforce practices to sup por t the developm ent, motivation, andfunctioning of team s. Team-Based Pra ctices involves ensurin g thatthe work en vironmen t sup ports team functions, setting p erforman cecriteria and reviewing team performan ce, involving team m embersin p erforming w orkforce activities, and reflecting team criteria inindividu al comp ensation decisions.

u Organizational Comp etency Management is designed to increase thecapability of the organ ization in its core comp etencies and tod etermine th e effectiveness of its comp etency d evelopm ent activitiesin achieving specific competency grow th goals. OrganizationalComp etency Managem ent involves setting measu rable goals forgrow th in th e organization’s core comp etencies, d efining andcollecting d ata relevant to th em, analyzing th e imp act of comp etencydevelopm ent activities on achieving these goals, and using th eresults to guide th e app lication an d improvem ent of comp etencydevelopm ent activities.

u Organ izational Performance Alignmen t is d esigned to enhan cealignm ent of performance results at the individu al, team, un it, and





organizational levels with th e app rop riate goals and to quan titativelyassess the effectiveness of workforce p ractices on achievingalignm ent. Organizational Performa nce Alignmen t involves settingmeasu rable goals for aligning performa nce at the ind ividu al, team,un it, and organ izational levels, d efining the da ta and analyses,collecting the da ta, analyzing trend s against objectives, acting onexceptional find ings, analyzing the impact of peop le-related p racticeson p erforman ce alignment, and reporting results.

2.2.4 K ey Pr oce ss Ar ea s a t t h e O p ti m iz in g Le ve l

The key p rocess areas at th e Op timizing level cover the issues that boththe organization and ind ividu als mu st ad d ress in imp lementingcontinuou s imp rovem ents in their capability. Descriptions of each of thethree key p rocess areas for Level 5 are given below :

u Personal Comp etency Developm ent is designed to p rovide afound ation for professional self d evelopm ent. Personal Comp etencyDevelopm ent consists of a volun tary p rogram for continuou slyimprov ing individu al work p rocesses. This program involves

dev eloping goals and plans for p ersonal work activities, establishingand using d efined p ersonal processes, measu ring and a nalyzing theeffectiveness of these personal p rocesses, and imp lementingimprovements to them.

u Coaching is designed to prov ide expert assistance to enhan ce theperforman ce of individu als or teams. Coaches engag e in closerelationships w ith ind ividu als or teams to guid e developm ent of skills that imp rove perform ance. Coaching involves selectingapp ropriate coaches, analyzing d ata on p ersonal or team p erforma nce,

provid ing guidan ce on method s for improving p erforman ce, andevaluating prog ress towa rd goals for imp roving performan ce.





u Continuous Workforce In novation is designed to identify andevaluate imp roved w orkforce practices and techn ologies, andimplement the m ost promising on es throughou t the organization.Continu ous Workforce Inn ovation involves establishing amechanism for prop osing impr ovemen ts in w orkforce activities,identifying need s for new pra ctices and technologies, surveying an devalua ting innovative p ractices and techno logies, cond uctingexploratory tr ials of new p ractices and technologies, andimp lementing th e most beneficial ones across the organization.

2.3 Th em es in th e P-CM M

By d efinition, key process areas are expressed at a single matu rity level.There are, however, relationships betw een the key p rocess areas thatstretch across matu rity levels. These relationships establish four them esthat run th rough the P-CMM:

u developing capabilities

u building teams and culture

u motivating and managing p erformance

u shap ing the workforce

The key process areas are map ped to the four them es in Figure 2.3. Each of these themes are rep resented as p rocess categories in the figur e, and thefour them es are described in fur ther detail below. These p rocess categorieshelp organ ize an u nd erstand ing of the structure of the P-CMM andrelationships of the key p rocess areas w ithin the P-CMM.

The existence of these them es imp lies that imp rovemen ts in some areasneed not be restricted to a single key process area, bu t can includ e anintegrated set of pr actices from severa l p rocess areas. Furth er, theimp lementation of key pr ocess areas at one level can be seen a sestablishing the ba sis for p ractices and capab ilities at the next level.





Developingcapabilities

Buildingteams and

culture

5Optimizing

4Managed

3Defined

2Repeatable

1Initial

WorkforcePlanning

Training

ParticipatoryCulture

CareerDevelopment

Competency-Based

Practices

MentoringOrganizational

Competency

Management

Knowledgeand SkillsAnalysis

CompetencyDevelopment

Communication Staffing

Compensation

PerformanceManagement

WorkEnvironment

Process Categories

MaturityLevels

Motivatingand managingperformance

Shapingthe workforce

TeamBuilding

Team-BasedPractices

OrganizationalPerformance

Alignment

PersonalCompetencyDevelopment

Coaching


Communication

Fi g u r e 2 . 3 T h e Ke y P r o c e s s Ar e a s As s ig n e d t o

Pr o c e s s Ca t e g o r i e s

Developing capabilit ies — The effort to dev elop th e capabilities of thepeop le in th e organ ization begins at th e Repeatable level with iden tifyingthe immed iate training need s of peop le in each un it (Training). Oral and

written commu nication capab ilities are imp roved throu gh training(Comm un ication). At the Defined level the organization takes a moresystematic look at the know ledge and skills required to perform theorgan ization’s business processes (Know ledge an d Skills Analysis) and





iden tifies core comp etencies. The organiza tion also establishes anorganization-wide d evelopm ent p rogram for these competencies(Comp etency Developm ent). At the Managed level mentors are providedto guide ind ividu als or teams in their development (Mentoring). Finally,at the Op timizing level, people can initiate an individual p rogram tod evelop their com peten cies (Personal Comp etency Develop men t), andcoaches w ill be provided for those who w ant assistance (Coaching). Thema turity trend in d eveloping the workforce starts w ith id entifying cur renttraining need s within a u nit, gradu ates to the identification of corecomp etencies that are d eveloped by the organization, and then return s toindividu als being able to establish their own p rogram of professionaldevelopment.

Building t eams and cultu re — The effort to imp rove the w ays in w hichpeop le are organized an d interact in the organ ization begins at theRepeatable level with a focus on imp roving both th e formal andinterpersona l comm un ications within the organization(Comm un ication). At the Defined level the organization develops apa rticipatory cultu re by increasing th e involvemen t of the w orkforce indecisions that affect their work (Participator y Cultur e). At the Managedlevel the organ ization begins building high-perform ance, comp etency-based teams and p rovides them with an ap prop riate level of autonom y(Team Bu ild ing). At the Op timizing level the organ ization continu ou slysearches for innovative ways to improv e the culture or the functioning of teams (Continu ous Workforce Inn ovation). The matur ity trend inbuilding team s and culture begins with establishing basic comm un icationskills, grow s to developing a par ticipatory culture, and continues on intoformal team-building an d continu ous imp rovement of team cap abilities.

M otivatin g and managing performance — The focus on motivation an dperforma nce begins at the Repeatab le level with establishing anenvironment that has ad equate resources and d oes not imp ede or d istractfrom job performan ce (Work Environmen t). Discussions abou t how to

imp rove performa nce are held p eriodically, unacceptable performan ce isman aged, and recognition is provided for outstand ing performance(Performan ce Manag emen t). The basic compen sation and ben efits systemis defined at this level, and its adm inistration is partly tied to p erform ance





(Comp ensation ). At the Defined level the workforce p ractices establishedat the Repeatab le level are ad ap ted to motivate the d evelopm ent of corecomp etencies (Comp etency-Based Practices). The organization alsoestablishes a set of gradu ated career opp ortun ities designed to motivateand rewa rd p eople for developing ad ditional skill (Career Developm ent).At the Man aged level the w orkforce pra ctices are again ad apted , this timefor use with comp etency-based team s (Team-Based Pr actices). Theorganization also sets and tracks targets for the a lignm ent of performan ceat the individu al, team, u nit, and organizational levels (OrganizationalPerforma nce Alignm ent). At the Op timizing level the organ izationsearches for inn ovative w orkforce p ractices and technologies that canfurther motivate or enha nce comp etency developm ent or work

performan ce (Continu ous Workforce Inn ovation). The maturity trend inmotivating and ma naging p erformance begins with establishing basicperformance mana gement and compensation practices, then imp rovesthese practices through adap ting them to comp etency d evelopm ent andteam bu ild ing, and then looks for constant sources of innova tion.

Shaping the w orkforce — The effort to shap e the w orkforce to m eetbusiness needs beg ins at the Repeatable level by establishing basic pr acticesfor recru iting, selecting am ong job candid ates, and orienting peop le intonew assignm ents (Staffing). At the Defined level the organ ization beginsdev eloping strategic and near-term p lans for ensur ing that it has the corecomp etencies that it needs to meet current and future business demand s(Workforce Planning ). At the Managed level the organ ization sets andtracks targets for the d evelopmen t of know ledge an d skill in each of itscore comp etencies (Organizational Comp etency Manag emen t). At theOp timizing level the organization searches for inn ovative p ractices ortechnologies to help sha p e its w orkforce (Continuou s WorkforceInnovation). The maturity trend in shap ing the workforce begins w ithestablishing basic staffing p ractices, grows to developing p lans forwor kforce d evelopm ent, sets and tracks objectives for competen cies in thew orkforce, and then looks for constan t sources of innov ation.




3 Applying the Peop le CMM

The P-CMM adap ts the architecture an d the m aturity framework un derlying the CMM for use with p eople-related imp rovement issues.The CMM focuses on helping orga nizations imp rove their softw aredevelopment p rocesses. By adap ting the m aturity framework an d theCMM architecture, activities gu ided by th e P-CMM can be more easilyintegrated into existing softwa re process imp rovem ent progra ms. Thissection d iscusses using th e P-CMM to guide the peop le-related asp ects of an improvement program.

The value of the P-CMM is in the w ay tha t organ izations use it. The

P-CMM can be ap plied by an organ ization in tw o primary w ays:u as a stand ard for assessing w orkforce p ractices

u as a guide in planning and imp lementing improv ement activities

3.1 P-CMM-Based Assessments

The P-CMM p rovides a stand ard against wh ich th e w orkforce practices of an organ ization can be assessed. A P-CMM-based assessmen t may be

condu cted by itself, or jointly with som e other assessmen t of theorganization, such as an em ployee opinion assessment or software p rocessassessment. The assessment team for a P-CMM-based assessment w ouldinclud e at a minimu m som eone skilled in cond ucting such assessments,someone w ho w ill be involved in mak ing P-CMM-related imp rovem ents,and som eone from the hu man resou rces function. A single person mayfill m ore tha n on e of these roles.

During th e fall of 1995 a P-CMM-based assessmen t meth od will bedev eloped, and trial use of this method is schedu led for late 1995 and into

1996. This assessmen t method is plan ned to be comp liant w ith the CMMAppr aisal Framew ork [Masters95], bu t it will be tailored so it consu mesless time and resources than a trad itional softwar e process assessment or




Applying the People CMM

CMM-based assessment. P-CMM-related training courses will also beavailable in 1996.

When a P-CMM-based assessment is cond ucted jointly with a softwar epr ocess assessmen t, data for the P-CMM-based assessment shou ld begathered sep arately, since the un it of stud y is not a p roject, as it is dur ing asoftware p rocess assessmen t. Because of its conten t, the P-CMM focuses onorganizational units such as group s, sections, and dep artmen ts, and howworkforce practices are cond ucted w ithin these u nits. Even so, a P-CMM-based assessment w ill use man y of the same conventions as a softwa reprocess assessment. For examp le, both are performed by a trainedassessmen t team , collect some initial d ata u sing qu estionn aires, observe

confid entiality of the information obtained , and interview p eople atd ifferent levels of the organization . The results of a P-CMM-basedassessment m ight be presented at the same time as th ose of a p rocessassessment, but they shou ld p resented as a separate analysis of theorganization.

A P-CMM-based assessmen t w ill look at w orkforce practices as actuallyperformed across the organization. The P-CMM assessment teamdeterm ines whether a p ractice is imp lemented broa dly across theorganization and is institutionalized. The assessment team determines

wh ether the goals and intent of each key process area have beenimplemen ted. How ever, they need n ot assess key process areas formatu rity levels that are clearly beyond th e cur rent m atur ity of theorganization.

The results of a P-CMM-based assessment ar e presen ted a s a profile of theorganization’s strengths an d weakn esses against the key process areas of the P-CMM. The matu rity level of an orga nization is the low est level forwh ich a ll of the key p rocess areas hav e been su ccessfully imp lemented .The results of the assessmen t ind icate the p ractices or process areas that

the organization shou ld consider wh en ini t iat ing an imp rovementprogram.





In the futu re, the P-CMM should help an organization comp are thematu rity of its wor kforce pr actices with the state of the p ractice acrossindu stry. Using the P-CMM as a benchmark w ill require that P-CMM-based assessmen ts be submitted to a comm on rep ository, such as theProcess App raisal Inform ation System (PAIS) at the SEI. These da ta w illindicate trends in the indu stry in ad dition to p roviding a benchmark.

3.2 Using the P-CMM as a Guide forImprovement

3.2.1 G u i d an ce P ro vid e d b y th e P-CM M

The P-CMM prov ides gu idan ce for imp lementing p ractices in anorganizational imp rovement p rogram. There are two levels of guid anceprovided by the P-CMM: guid ance on a strategy for developing theorganization over time and guidan ce on p ractices that the organizationcan em ploy to solve explicit problems or shortcomings in its w orkforcepractices.

In prov iding gu idan ce, the P-CMM does not specify the explicit wor kforcepr actices to be imp lemen ted . Rather, it sets a fram ework for selecting andtailoring p ractices to the organ ization’s history, cultu re, and environ men t.There are m any professional sources that d escribe specific method s forwor kforce practices such as performa nce mana gemen t, team bu ild ing, andtraining.

The P-CMM does not provide gu idance on how to imp lement theimprovem ent program itself. The P-CMM is a roadm ap for organizationalgrowth an d n eeds to be coup led w ith a model of how to imp lement animprovement program. A model for condu cting imp rovement programswill be p resented in Section 3.4.





3.2.2 Sk ip p in g M atu r i ty Levels

The ma tu rity levels in the P-CMM d escribe the cha racteristic practices of an organ ization at that m aturity level. Each level forms a found ation onwh ich an organization can build w orkforce p ractices effectively a ndefficiently at succeeding m atur ity levels. How ever, an organization canoccasionally ben efit from imp lementing p rocesses described at a highermatu rity level even thou gh it ha s not satisfied all the key process areas at alower m aturity level.

The P-CMM shou ld n ot be interp reted a s proh ibiting p ractices or activities

from higher m atu rity levels that the organ ization find s beneficial. Forexamp le, team-related processes are not d iscussed in th e P-CMM u ntil theMana ged level, yet organizations at the Initial level may h aveimplemented self-man aged teams for some activities, or m ay even have along history of using m entors. Similarly, a less matu re organization m aybe able to train its workforce in areas that wou ld correspond to corecompeten cies (Defined level), pr ovide team-based incentives (Managedlevel), or use m entors (Mana ged level).

Imp rovem ent of personal comp etencies is the focus of an Op timizing key

process area; how ever, un derstand ing and imp roving ind ividu al work processes, through such m eans as the ap plication of the Personal Softw areProcess [Hu mp hrey95a, 95b], can p rovide substan tial ind ividu al benefits atlower m atu rity levels. These p ractices shou ld b e institutionalizedthrou ghou t the organization wh en the organization achieves theOptimizing level.

If the organ ization sees the opp ortu nity to benefit from a h igher ma turitypra ctice and can supp ort its performance, then th e organization shouldimp lement it. Ho w ever, the ability to imp lement pra ctices from higher

matu rity levels d oes not imp ly that matu rity levels can be skipp edwithou t risk. There is risk in implementing pra ctices without the p roperfoun dation being d eveloped ben eath them. For examp le, the team-building literature contains m any examp les of failed team s [Mohrm an95].





These failures occurred because the found ation in com mu nication skillsand p articipatory culture had not been properly developed. Similarly,ma ny inn ovative m otivational p ractices fail to work effectively in anenvironm ent w here there are no objective performance criteria or w herebasic performan ce manag emen t pra ctices are p erformed inconsistently.

Skipp ing levels is counterp rod uctive because each level forms a n ecessaryfoun dation u pon wh ich the next level can be built. The P-CMM wasdesigned to develop the sup porting found ation needed to ensure thathigher level pr actices cou ld achieve their full imp act on raising w orkforcecapability. Processes withou t the prop er foun d ation fail at the very pointthey are needed most – und er stress – and they p rovide n o basis for future

improvement .

3.3 Locating a P-CMM-Based ImprovementProgram in the Organization

Organ izations are initially inclined to hou se the coordina tion of a P-CMM-based imp rovement program in the hum an resources function. How ever,there is a strong belief that this is not the m ost effective hom e for such aprogram . The P-CMM Advisory Board, many of wh om are hum anresour ce executives, was strong in its belief that P-CMM-basedimprov ements not be perceived as a function of the hu man resourcesgrou p. Rather, they strongly advised that peop le-related imp rovem ents beintegrated w ith existing softwa re process imp rovem ent progra ms.

The P-CMM Advisory Board recomm end ed that a h um an resourcespr ofessional be add ed to th e software engineering p rocess grou p (SEPG) towor k on P-CMM-based imp rovem ents. Thus, the message carried tosoftware executives is, “We have a program to add ress the imp rovement

of you r overall softwa re operation. This pr ogram includ es comp onen tsthat ad dress pr ocess, technology, and peop le.” The P-CMM part of theimprov ement p rogram is where the people-related practices are ad d ressed.





Many h um an resource professionals have reported a frustration in notbeing considered part of the mainstream of the organization. Accord ingly,they are concerned that an improvement p rogram coming from thehu ma n resou rces function will not be considered a critical part of theimp rovem ent effort. Accord ingly, includ ing P-CMM imp rovem ents aspart of the overall imp rovement p rogram th at is hou sed in adevelopm ent organization provid es a vehicle for hu ma n resourcepr ofessionals to partn er in a mainstream effort to imp rove the bu siness.Further, coordinating P-CMM-based im pr ovem ents from th e SEPGincludes m embers of the w orkforce directly in m aking imp rovements thataffect them . This involvem ent instills a greater sense of ow nersh ip of theimprov ed p ractices.

3.4 Implementing a P-CMM-Based ImprovementProgram

The SEI has d eveloped a mod el for improv ement p rograms that isgrou nd ed in several years experience with an d lessons learned fromsoftware p rocess imp rovement p rograms. This mod el, presented inFigu re 3.1, is a life cycle for orga nizing th e ph ases of an im provem ent

program . It is called the IDEALSM

mod el after the first letters in each of itsfive ph ases: initiating, d iagnosing , establishing, acting, and leverag ing. Inthe following pa ragraph s, an ap proach to cond ucting a P-CMM-basedimprovemen t program will be presented throu gh the ph ases of the IDEALmodel.

SM IDEAL is a service mar k of Carn egie Mellon University.





Stimulus forImprovement

Set Context& Establish

Sponsorship

EstablishImprovement

Infrastructure

Appraise &Characterize

Current

Practice

DevelopRecommendations

& DocumentPhase Results

Set Strategy& Priorities

Establish ProcessAction Teams

DefineProcesses& Measures

Plan &Execute

Pilots

Plan, Execute,

& TrackInstallation

Document& AnalyzeLessons

Leveraging

Acting

Establishing

Diagnosing

Initiating

Plan Actions

ReviseOrganizationalApproach

Figure 3.1 The IDEALSM

Model

One of the clearest lessons that w e hav e learned is that successfulimprovem ent program s mu st be run like any other project. That is, theymu st have plans, their progress mu st be tracked, and someone mu st beheld accountable for their performa nce. The IDEAL mod el presents aproven life cycle that can be used to man age and guide an improvemen tprogra m in the sam e way th at a stand ard developm ent life cycle is usedwith a softwa re developm ent project.

The first stage of IDEAL is the Initiating ph ase, wh erein executive sup portis engaged an d the infrastructure for imp rovement is organized. The

most comm on reason for the failure of imp rovemen t progra ms is lack of executive sup port. The program should n ot be initiated u ntil executivesup port is ensured . The effort begins with one or more briefings toexecutives. These briefings shou ld includ e inform ation about





u the benefits of P-CMM-based imp rovem ents such as redu ced turn overand greater readiness to p erform in fast-paced environments

u a d escription of the effort and sched ule involved in the imp rovemen tprogram

u executive respon sibilities un der th e P-CMM and in sup por ting theimprovement program

Once executive supp ort is ensured, the infrastructure for imp rovementshould be organized. There are several group s that should be created torun the imp rovement program. The program should be run from animprovem ent group such as an SEPG or some other entity that reports to

line man agement in the organization. If no such grou p exists, then oneshou ld be created explicitly for making p eople-related imp rovem ents.Such a grou p shou ld include p eople with expertise in hu man resourcesand in software develop men t. Such a cross-functional team ha s the bestchance of mak ing sensible imp rovemen ts in the organ ization.

The imp rovemen t group shou ld report to a Managem ent SteeringComm ittee that oversees and app roves the improv ement effort. Thisgroup should h ave representation both from line operations and from thehu ma n resources function. It should h ave immed iate know ledge of how

various p eople-related pra ctices are being performed w ithin theorgan ization and a vision for imp roving the current p ractices. Thesteering group mu st also have au thority to comm it some of their ownpeop le to improv ement activities.

Once executive supp ort and an infrastructure for imp rovement h ave beenestablished, the organization then p repa res to enter the Diagnostic phase.During th is phase, the organization condu cts a P-CMM-based assessmentand d evelops the findings and recommen d ations. P-CMM-basedassessmen ts have been d iscussed in Section 3.1.

With th e assessment results in hand , the organization is ready to enter the Establishing ph ase. In this ph ase, the impr ovem ent team selects several of the most p ressing p roblems for action an d g ets the Managem ent Steering





Comm ittee to ap pr ove this strategic selection. Since the organization canabsorb only a limited amou nt of change at on e time, only the m ost seriousprob lems should be chosen for action.

An action team shou ld then be organized to add ress each p roblem. Themem bers of the action team should be chosen to ensure that it containsexpertise both in the problem an d in the method of solution. For instance,an action team add ressing performance managem ent in a softwareorganization should have p eople who u nd erstand the criteria againstwh ich software p erformance should be m easured, how best to work w ithsoftwa re engineers in analyzing job perform ance, the m ethod s of evaluating job p erformance, what kind of recognition and reward s

motivate softw are engineers, and oth er related topics that are covered inthe Performance Managem ent key pr ocess area. Such a team will consistof people who know software and people who u nd erstand p erformancemanagement methods .

One of the first du ties of the team is to develop an action p lan thatadd resses planned improvem ents in their problem area. Developing andtracking su ch an a ction p lan is one of the distingu ishing factors of successfu l imp rovem ent teams. To ensu re that the action team stays on asuccessful trajectory, the team shou ld b e facilitated by someone from th e

core imp rovement group.

Once the action team has d eveloped a basic p lan for its activities, itlaunches into the Acting ph ase. The action team shou ld identify bestworkforce practices that are a lread y being u sed in th e organization andbuild arou nd th em. Ad d itional practices can be identified to imp lement akey process area comp letely. Any p roposed wor kforce practices shou ld bereviewed by the action team with those wh o are expected to imp lementthem.

The practices that have been d efined shou ld u sually be tested to ensu rethat they w ork as expected before being installed across the organization.After a successful trial has been cond ucted , then the p ractices can be





implemented across the organization and institutionalized.Institutionalization implies that there is enough infrastructure d evelopedin the organ ization to en sure th at the p ractices are continually pra cticedeven w ith the inevitable mov ement of p eople to new responsibilities andthe assignm ent of new p eople.

When th e action teams hav e comp leted implemen ting practices in theirassigned areas, then th e organ ization can comp lete the IDEAL cycle withthe Leveraging ph ase. In this phase, the action teams assess their lessonslearned in developing and implementing their improvements, and theimprovement group determines how the p rocess of futu re improvementefforts can be enh anced. They then begin planning the next

imp lementation of an IDEAL cycle to make th e next roun d of improv ements. Since executive sup port shou ld remain strong if asuccessful imp lementation has been comp leted, the imp rovemen t teamcan begin p lanning th e next P-CMM-based a ssessment.

IDEAL is a rep eating cycle that establishes a continu ous im prov emen tcapability w ithin the organiza tion. The IDEAL cycle is a version of theShew art-Deming plan-d o-check-act imp rovem ent cycle. As such it hasmu ch in common w ith other total qua lity managem ent imp rovementactivities. The use of IDEAL with w orkforce imp rovem ents imp lies that

man y of the same p rinciples that have been u sed for imp roving otheraspects of organ izational life can be u sed in imp roving the d evelopm entof the w orkforce.

3.5 Integrating Maturity-Based ImprovementPrograms

The P-CMM ap plies the essential elements of a capa bility matu rity mod el

to the w orkforce pra ctices of the organ ization. Therefore, organizationsthat hav e some experience in ap plying the CMM to imp rove theirsoftwar e d evelopm ent p rocesses will find the P-CMM to be comp atible





with an imp rovement ph ilosophy they have already adopted . Both theCMM and P-CMM can be u sed in an IDEAL imp rovemen t cycle.

Using the CMM and P-CMM together in an imp rovement p rogram begsthe qu estion of wh ether the organization should synchronize its matu ritylevels on the two mod els. Maturity growth on one mod el d oes notrequire or restrict maturity growth on the other. How ever, matu ritygrowth on either mod el probably assists in m aturity growth on the other.

Both m od els begin at the Repeatable level by emp hasizing theresponsibility of p roject or unit m anagers for installing basic discip line in

their environm ents. Creating this basic d iscipline using either mod el aidsin creating the m anagem ent attitud es that sup port grow th in the othermod el. Basic ma nagem ent d iscipline w ill aid both the pr ocess of dev eloping software or th e process of d eveloping the w orkforce.

At the Defined level, the analysis of know ledge and skills and thedetermination of core competencies requires an u nd erstanding of thework being p erformed . Thus, it is probably best that the organization havedefined its software pr ocess before it begins defining the know ledge an dskills requ ired by th e com petencies involved in its specific softwar e

activities. This may be the area of d epend ency between the two m odels.Certainly the concepts of an organization-wide w ay of performingtechn ical activities and of an organ ization’s core com petencies fit welltogether, each sup porting developm ent in the other. The P-CMMactivities for d efining an d dev eloping core comp etencies elaborate andextend the requ ired training p rogram activities described in th e CMM.

At the Managed level, the d ata being generated by the software p rocessprov ide an excellent source of information on wh ether the d evelopmen tof know ledge an d skills is being effective, and where shortfalls migh t exist.

That is, a matu re software p rocess will provid e da ta that can be u sed inanalyzing th e trend s that form the core of ma naging th e organization’scompetency developm ent and p erforman ce alignm ent. At the same time,the d evelopm ent of high-perform ance, comp etency-based team s instills





the kind of emp owerm ent that has been observed in high maturityorgan ization s [Billings94, Pau lk95].

At the Optimizing level, both m odels emp hasize establishing continuou simp rovem ent as an ordinary p rocess. Both mod els also seek to engageindividu als in making the continu ous improvem ent of their own w ork aperson al objective. Thus, at the Optim izing level the mod els begin tomerge in th eir search for w ays to imp rove p erforman ce continuou sly.At th is level, the capab ility of the p rocess will probably be d ifficult todistinguish from the capab ility of the work force.

Since both th e CMM and P-CMM share similar und erlying ph ilosoph iesabout how to change an d m ature an organization, it should not besurp rising that they sup por t each other at each level of ma turity. Thechallenge for an organ ization initiating an imp rovemen t program thathas both CMM and P-CMM comp onents is to integrate an imp rovementstrategy that allows imp rovemen ts guided by one mod el to help create anenvironment that supp orts improvements guided by the other model. Atthe same time, the organization m ust always balance the amou nt of change being u nd ertaken so that the workforce is not inu nd ated w ithchange activities that interfere with cond ucting th e organ ization’sbu siness. An organ ization that can balance these tensions and

improvem ent strategies will find that it has a pow erful comp etitivead van tage in a well-defined pr ocess being executed by a well-prepa red an dmotivated workforce.




4 Structure of the People CMM

With th e exception o f the Initial level (Level 1), each m atu rity level iscomposed of several key process areas. Each key p rocess area is organ izedinto five sections called comm on features. The comm on features specifythe key p ractices that, when collectively addressed, accomplish the goals of the key p rocess area. Some of these comm on features of the key processarea imp lement th e practices, w hile other comm on features establish thesup por t needed to institutiona lize their perform ance. The glossary inApp end ix B contains definitions of terms, includ ing those d escribed inthis section an d oth ers.

The relationships amon g the comp onents of a ma turity level areillu strated in Figur e 4.1. The componen ts of the P-CMM’s stru ctureinclude

Maturity levels A matu rity level is a well-d efined evolution aryplateau that establishes a level of cap acity forimp roving wor kforce cap ability. The fivema tur ity levels pr ovid e the top-level stru cture of the P-CMM.

Workforce capability Workforce capab ility describes the level of know ledge an d skills in th e organization’sworkforce and the ability of the w orkforce to app lythem to imp roving business performa nce.Workforce cap ability contribu tes to anorganization’s performance and its ability toachieve business objectives. It is an imp ortantpred ictor of bu siness performan ce.




Structure of the People CMM

Maturity Levels

KeyPractices

contain

Key Process Areas

Implementation orInstitutionalization

Goals

WorkforceCapability

describe

achieve

indicate

organized by

CommonFeatures

address

Infrastructure orActivities

contain

Figure 4.1 The P-CMM Structure





Key process areas Each matu rity level is comp osed of key p rocessareas (KPAs). Each key process area conta ins a setof goals that, when satisfied, establish that keyprocess area’s ability to a ffect workforce capability.Key process areas hav e been d efined to reside at asingle ma tur ity level. For examp le, one of the keypr ocess areas for Level 2 is Performan ceManagem ent. The comp lete set of key processareas at each m atur ity level is shown in Figu re 2.2.

Goals The goals of a key process area sum marize thestates that mu st exist for that key p rocess area tohave been imp lemented in a n effective andlasting w ay. The extent to which the goals havebeen accomp lished is an indicator of how mu chcapability the organ ization h as established at thatma tu rity level. The goals signify the scope,boun d aries, and intent of each key process area.An examp le of a goal from th e Perform anceManagem ent key p rocess area is: “Job per forman ceis measured against objective criteria and

documented.”

Common featuresThe key p ractices of each key p rocess area ared ivided in to five clusters called com mon features.The com mon features inclu d e practices thatimp lement an d institutionalize a key pr ocess area.These five types of com mon features includ e

• Co mm itm en t to Per fo rm

• Ability to Per fo rm

• Act iv it ies Per fo rmed• M ea su r em en t an d A n aly sis

• Verify ing Impl emen ta tion





Common features(continued)

The Activities Performed common featured escribes imp lementa tion activities. The otherfour common featur es help institutionalize theseimp lementa tion pra ctices in the organ ization’scultur e so that they are effective, repeata ble, andlasting.

Key practices Each key p rocess area is comp osed from a set of key practices that, wh en imp lemented , help tosatisfy the goals of that key p rocess area. The key

pr actices describe the elemen ts of infrastructureand w orkforce practice that contribute most to theeffective im plemen tation an d institutionalizationof their key process area. For examp le, a keypra ctice from the Performance Managem ent keypr ocess area is: “Objective p erforman ce criteria areperiod ically docum ented for each ind ivid ua l.”

4.1 Goals

The goals of a key process area summ arize a state that exists when anorganization has implemen ted the key practices of that area. Goalachievement can be used to d etermine whether an organization haseffectively imp lemented a key process area. The goals signify the scope,boun da ries, and intent of each key process area. In adap ting the keypractices of a key process area to a sp ecific unit, success in satisfying th egoals can be used to determ ine wheth er the adap tation is a reasonablerend ering of the practices. Similarly, w hen a ssessing or evaluatingalternative way s to implement a key p rocess area, the goals can be u sed tod etermine if the alternatives satisfy th e intent of the area .





4.2 Com mon Featu res

The key pr actices in each key p rocess area are organ ized by a set of comm on featu res. The comm on featu res are attribu tes that indicatewh ether the imp lemen tation an d institutionalization of a key process areais effective, repeatable, and lasting. The comm on features also group andord er the key pr actices in a sequence helpful for organ izations u sing th em.The five comm on featur es are listed below :

Commitm ent toPerform

Comm itment to Perform d escribes the actions theorganization m ust take to ensure that theactivities constituting a key pr ocess area ar e

established and w ill end ure. Comm itment toPerform typically involves establishingorgan izational policies and executivemanagem ent sponsorship.

Ability to Perform Ability to Perform d escribes the p reconditions th atmu st exist in the u nit or organization toimplemen t key practices comp etently. Ability toPerform typ ically inv olves resources,organizational structures, and training.

ActivitiesPerformed

Activities Performed describe the roles andprocedu res necessary to implement the functionsconstituting a key p rocess area. ActivitiesPerformed typically involve establishing p lansand procedu res, performing the w ork, tracking it,and taking corrective actions as necessary.

Measurement and Analysis

Measurem ent and Analysis d escribes the need tomeasu re the key practices and analyze themeasurements. Measurement and Analysis

typically includ es exam ples of measu remen ts thatcould be taken to d etermine the status andeffectiveness w ith w hich th e Activities Performedhave been imp lemented .





Verifying Implementation

Verifying Imp lementation d escribes the steps toensu re that the activities are performed incompliance with the policies and p rocedu res thathav e been established. Verification typ icallyencomp asses objective reviews an d aud its byrespon sible parties.

Th e Activities Performed key p ractices describe the pr ocesses that shou ldbe implemen ted to establish a workforce capability. Activities Performedare the largest category of key p ractices because they d escribe the actualimp lementation of the key p rocess areas.

The other p ractices, taken as a w hole, form the basis by wh ich anorganization can institutionalize the p ractices described in ActivitiesPerformed . Key pra ctices und er the other comm on features are equa llyimportant, however, for they add ress what m ust be done to supp ort andinstitutionalize the key p rocess areas. The C o mmi t me n t an d Ability to

Perform key p ractices describe pr erequ isites for imp lementing each keyprocess area. Measurement and Analysis an d V erifying Im plement ation

key pr actices determ ine if pr erequisites have been m et and processes havebeen institutionalized.

4.3 Th e Key Practices

Each key pr ocess area is described in terms of the key practices thatcontribute to satisfying its goals. The key p ractices describe theinfrastructure an d activities that contribu te most to th e effectiveimplementation an d institutionalization of the key process area.

Each key p ractice consists of a single sentence, often follow ed by a mor edetailed description. These key practices state the fund am ental policies,pr ocedu res, and activities for the key pr ocess area. The key practicesdescribe “wh at” is to be don e, but th ey should not be interpreted as





man d ating “how ” the goals shou ld be achieved. Alternative pra ctices ma yaccomplish the goals of a key process area. The key practices shou ld beinterpreted r ationally to jud ge w hether th e goals of the key p rocess areaare effectively, although perhaps differently, achieved.




5 Interpreting the People CMM

5.1 Using the Key Practice Pages

The key practices are group ed by m aturity level, and each matu rity level isseparated by a tab page. The tab page includ es a description of the matu ritylevel, a list of the key p rocess areas for that matu rity level, and the p agenu mber w here each key process area begins.

Each key pr ocess area contains

u a brief description of the key p rocess areau the goals for the key p rocess area

u the key practices

The key practices themselves are group ed into th e five comm on features(Comm itment to Perform, Ability to Perform, Activities Performed ,Measurement an d Analysis, and Verifying Implementation) and arepresented in a h ierarchical format, as show n in Figure 4.2, an examp lepage of the key p ractice statemen ts. The key p ractices include

Key practices The key pr actices, also know n as top -level keypractices, state the fundamental policies,pr ocedu res, and activities for the key pr ocess area.They are identified in bold and are nu mberedwithin each common feature. For examp le, thefirst key p ractice in th e common featu re of Activities Performed is id entified as Activity 1.

Subpractices Subpractices, also known as subordinate keypractices, are listed beneath the key pr actices anddescribe wh at one w ould expect to findimplemen ted for th e key practice. The su bpra cticescan be used to help d etermine whether or not thekey p ractices are imp lemented satisfactorily.




Interpreting the People CMM

Supplementary

informationSupplementary information is boxed followingthe key pr actices. The sup plem entary inform ationinclud es examp les, elaborations, and references toother key p rocess areas.

Abil it y 5 Adequate resou rces and funding are provided for

recognition and reward activities.

1. Experienced individuals who have expertise in

recognition and reward programs are mad e

available for guidin g these activities.

2. Tools to support reward activities are madeavai lab le .

Examples of too ls include:

- examples of documentation for recognition andrewards,

- space for recognit ion announcements inbulletins and other organizational media, and

- standard forms for documenting recognit ionand reward activities.

Abil it y 6 All ind ividuals responsib le for perfo rm ing

recognition and reward activities are trained in the

organization's recognition and reward p ractices.

Activities performed

Act ivi ty 1 Object ive performance cr it er ia are estab l ished for

each u nit.

Key practice

Common feature

Subpractice

Supplementaryinformation

- recognit ion and reward guidelines,- repositories of previously defined recognit ion

and rew ard criteria,

3. Funding for recognition and reward activitiesis mad e available.

Figure 5.1 Examp le of Key Practice Statements





5.2 In terpreting the Common Features

Within each comm on feature, certain ph rases and conven tions were usedto provide continuity and consistency between th e key process areas. Themajor phrases and conven tions are described below, arrang ed by comm onfeature.

5.2.1 Com m itm en t to Per fo rm

Policy Statements Where p olicy statemen ts are used , they generally

refer to following a written, organizational policyfor the practices of that key p rocess area. Thisemp hasizes the connection betweenorganizational comm itment an d the activitiesperformed in the un its.

Leadership In some key pro cess areas, Comm itment toPerform contains a statement that ad d resses theassignm ent of a lead ership r ole (e.g.,organ izational role(s) assigned responsibility) or

that describes particular sponsorship activities,wh ich ar e necessary for the key p rocess area to besuccessfully institutionalized.

5.2.2 Ab il i ty to Perform

Resources and Funding

Most key p rocess areas contain a key p ractice thatreflects the need for adequ ate resources andfun d ing for the activities covered by the keyprocess area. These resources and fund ing

genera lly fall into five categories: ad equ atepersonnel, adequate fund ing, adequate time,access to special skills, and access to tools.Tools that ma y be of use in p erforming the





Resources and Funding

(continued)

activities of the key p rocess area are listed asexamp les. The wor d “fund ing” is used , ratherthan “bu d get,” to emp hasize that the resourcesused are more p ertinent to actual pr actice thanwhat was budgeted.

Training The P-CMM’s context for “train ing” is somew ha tbroader than m ight normally be considered w henusing the term. Training is provid ed to make anind ividu al or team p roficient throu gh sp ecializedinstruction and p ractice. Training may includ einformal, as w ell as formal, vehicles for

transferring kn owledg e an d skills to the staff.While classroom training is common ly used bymany organizations to build the know ledge an dskills of their emp loyees, the P-CMM alsoaccomm od ates other techn iques, such asfacilitated v ideo, compu ter-aided instruction, orformal mentoring and app renticeship p rograms.

Orientation In some key p rocess areas, key p ractices thatdescribe orientation are found . “Orientation” isused broadly to indicate less depth of knowledge

or skills being transferred th an w ould be expectedthrou gh training. Orientation is an overview orintrod uction to a top ic for those overseeing orworking w ith the ind ividu als respon sible forperforming in th e topic area.

Prerequisite Items Some key pr ocess areas contain key p ractices thatexpress a need for prerequisite items; for exam ple,an analysis of tasks and skills is a p rerequ isite forComp etency Development. In keeping with theP-CMM p hilosoph y of highlighting “k ey”

pr actices, not all prerequ isite items are listed foreach key pr ocess area. The P-CMM cites onlythose that have been foun d to be p articularlycritical for implemen ting th e key pr ocess area.





5.2.3 Act ivi t ies P erform ed

Of all the comm on features, Activities Performed show s the greatestam ou nt of structura l variability, because the imp lementa tion activities forthe key p rocess area vary in level of d etail, organizational focus (e.g., unitor organization), and n eed for planning and d ocumentation. Somegeneralizations are h ighlighted below.

Plans Plans requ ire management comm itment, bothfrom th e standp oint of creating them an densuring tha t they are followed . The key practice

for a p lan requires that it be developed or revisedand that th e activities of the key pr ocess area bebased on it.

According to adocumented procedure

A docum ented p rocedu re is usually needed sothat the ind ivid ua ls respon sible for a task oractivity are able to perform it in a repeatab le way.Docum ented p rocedu res also ensure that otherswith gen eral knowledg e of the area will be able tolearn an d perform the task or activity in th e same

way. This is one aspect of institution alizing apr actice or process.

The form ality an d level of detail of a d ocum entedprocedu re can vary significantly, from a han d-written ind ividu al desk procedu re to a formalstand ard operating procedu re used throughoutthe organization . The formality and level of detail dep ends on wh o w ill perform the task oractivity (e.g., ind ividu al or team), how often it isperformed, the imp ortance and intended u se of

the results, and the intend ed recipients of theresults.





5.2.4 M easu rem en t an d An alys is

The Measuremen t and A nalysis comm on feature describes basicmeasu remen t activities that are necessary to determ ine status related tothe key p ractices in th e Activities Perform ed comm on featur e.Measurem ents that a re inherently p art of the activities of the key p rocessarea are contained u nd er the Activities Performed common feature.

5.2.5 Veri fyin g Im p le me n tat ion

The Verifying Imp lementation comm on feature generally contains keypractices that relate to oversight by executive man agemen t, as well asspecific verification activities that a respon sible role(s) is expected toperform to verify that the key p ractices are being performed prop erly.

Executivemanagement reviewon a periodic basis

The primary p urp ose of periodic reviews byexecutive man agement is to p rovide aw areness of,and insight into, workforce activities at anapp ropriate level of abstraction an d in a timelymann er. The t ime between reviews should meet

the needs of the organization and may be lengthy,as long as ad equa te mechanisms for reportingexception s are ava ilable.

The scope an d content of executive m anagem entreviews w ill dep end on w hich executive isinvolved in the review. Reviews by the executiverespon sible for all hu ma n r esource activities of anorganization are expected to occur on a d ifferentsched ule, and ad dress d ifferent topics, than areview by the chief executive of the organ ization.

Executive man agement reviews w ould also beexpected to cover d ifferent top ics, or similar topicsat a h igher level of abstraction, than u nit-levelreviews.





5.3 Using the Key Practices

5.3.1 I n te rp r et in g th e Ke y P ra ct ice s

Each key p rocess area in the P-CMM lists a set of key pr actices that whenimp lemented accomp lish the goals outlined for that process area. Theintention in d efining key pr actices is not to requ ire or espou se a specificmeth od of performing w orkforce pra ctices, organizational stru cture,separation of respon sibilities, or man agem ent app roach. Rather, theintention is to d escribe the essential elemen ts of an effective p rogram for

dev eloping and m otivating talent. The key practices are intend ed tocommu nicate principles that ap ply to a w ide variety of organizations, arevalid across a ran ge of typical bu siness activities, and w ill rem ain validover time. Therefore, the app roach is to describe the p rinciples and leaveimp lementation d ecisions up to each orga nization, according to its cultu reand the exp eriences of its staff.

In d escribing practices, the P-CMM seeks to delineate the “w hat” and notthe “how .” These practices describe the “w hats” in broad terms so thatorgan izations are left great leeway in creatively implemen ting the “h ow s.”

For examp le, the P-CMM might ind icate that individual p erforman ceshould be reviewed on a p eriodic basis. How ever, it wou ld not specifyhow often, wh at dimensions shou ld be reviewed , wh o provides inpu t, orhow a performa nce discussion should be performed . Decisions about howpra ctices shou ld be imp lemented a re left up to the organization.

Although the p ractices described in the P-CMM are mean t to beindep end ent of any par ticular imp lementation, exam ples of specificpr actices are consistently used in elaborating the key p ractices to imp roveclarity. These exam ples typically list num erous ways a pra ctice has been

implemented or nu merous issues an organization m ay w ish to h and le inimp lementing a practice. H owev er, these examp les are not intend ed to beprescriptive or exhau stive. They are merely includ ed to provid eadditional assistance in interpreting a practice.





To provide w orkforce practices that ap ply to as w ide a ran ge of situationsas possible, some of the key p ractices are inten tionally stated to allowflexibility. Throu ghou t the key pr actices, nonsp ecific ph rases like “affectedindividu als,” “as app ropriate,” and “as necessary” are used. The use of such n onsp ecific terms allows for the w idest possible interp retation andap plication of the pr actices. In man y cases, examp les are provided fornon specific term s, at least for the first use of the term . These ph rases mayhav e different m eanings for two d ifferent organizations, for tw o un its in asingle organ ization, or for one un it at different p oints in its life cycle. Eachun it or organization m ust interp ret these nonsp ecific phra ses for itsspecific situation .

5.3.2 Ap p lyin g Pro fe ss ion al Ju d gm en t

Professional jud gm ent is critical in mak ing informed u se of the P-CMM.When app lying th e P-CMM in a p articular context, a reasonableinterpretation mu st be mad e of how these practices might beimp lemented . For instance, the P-CMM mu st be interpreted flexibly whenap plying it to smaller organizations or u nu sual bu siness circum stances, sothat u nreasonab le or need lessly bureau cratic activities are notimplemented . For instance, small organizations may implement the key

practices without the infrastructure n eeded by large organizations.

Professional jud gm ent mu st be used wh en interpreting the key pra cticesand how they contribute to the goals of a key process area. In general, thekey p rocess areas describe a fund amen tal set of behaviors that allorganizations should exhibit, regardless of their size or prod ucts. The keypra ctices in th e P-CMM, how ever, mu st be interpreted in light of a un it’sor organ ization’s business environm ent and specific circum stances. Thisinterpretation shou ld be based on an informed kn owledge of the P-CMM,the orga nization, its business environm ent, its projects, and its workforce.The goals of the key p rocess areas provid e a m eans for structuring thisinterpretation.





on w orking cond itions. Professional jud gm ent is necessary to make suchd istinctions abou t the reasonableness of a pr actice.

The P-CMM should be app lied with an un derstanding of an organization’spotent ial capabilities within th e constraints that affect it. Theseconsiderations esp ecially ap ply to large organ izations th at h ave centralizedfunctions. Some org anizations, for examp le, hav e a centralized staffingfun ction that ma y partially prevent it from imp lementing some of thepr actices at the Repeatab le level. On assessing this organ ization, it mayap pear to be at the Initial level. How ever, within their constraints, it mayhav e imp lemented all the Repeatable practices that are un der its authority.

5.4 Organizational Roles and Structure

Althoug h the P-CMM attemp ts to remain indep enden t of specificorganizational structures an d mod els, P-CMM p ractices consistently u seterminology related to organizational structure and roles wh ich m ay d ifferfrom that follow ed by an y specific organ ization. The following sectionsdescribe the va rious concepts related to orga nizational roles and structuresthat ar e necessary for interp reting the key p ractices of the P-CMM.

5.4.1 O rgan iza t io n al Ro le s

A role is a cluster of defined responsibilities that m ay be assum ed by on eor more ind ividu als. Various ind ividu als are responsible for thew orkforce activities w ithin an organ ization. These ind ividu als includ eexecutive m ana gers; ma nag ers at all levels, includ ing team leaders, lineman agers, and matrix managers; the individu als within the organizationthemselves; and the hum an resources grou p.

The following d escript ions of roles are frequ ently u sed in th e key pr actices:





Executive manager An executive mana ger fulfills a man agemen t roleat a high enou gh level in an organ ization that th eprim ary focus is the long-term vitality of theorganization, rather than short-term project an dcontractual concerns and p ressures. An executiveman ager provid es and p rotects resources for long-term imp rovement of the w orkforce processes.

Executive man agem ent, as used in the P-CMM,can den ote any ma nager w ho satisfies the abovedescription, up to and including the h ead of the

wh ole organization. As used in the key pra ctices,the term “executive man agement” shou ld beinterpreted in the context of the key p rocess areaand the units and organization un derconside ration . The inten t is to includ e specificallythose executive managers w ho are need ed tofulfill the leadersh ip an d oversight roles essentialto achieving the goals of the key p rocess area.

Manager A ma nag er fulfills a role that en comp asses

provid ing technical and ad ministrative directionand control to individuals p erforming tasks oractivities within the m ana ger’s area of resp onsibility. The trad itional functions of aman ager includ e plann ing, resourcing,organ izing, directing, and controlling wor k w ithinan a rea of responsibility.





Individuals,workforce

Several terms are u sed in the P-CMM to den otethe individu als wh o perform the various rolesrequired to execute th e business of theorganization. The individu als are those wh o areresponsible for accomp lishing th e bu sinesspr ocesses of the organ ization. The work force isthat collection of individ ua ls that com p rise theorganization.

The term “ind ividu als” as u sed in certain k eypractices is qualified an d boun ded by th e contextin wh ich th e term a pp ears (e.g., “responsibleindividua ls,” or “the individu al responsible for

improving the work environm ent”) .

Human resourcesgroup, member of the human resourcesgroup

The hu man resources group is the collection of individu als (both man agers and staff) compr isingthe u nit(s) within an organization that focuses ondevising p ractical, effective w ays to m ana geemp loyer/ emp loyee relations. Theirrespon sibility is d irected tow ard , bu t not limitedto, the recruiting, selection, hiring, and training of emp loyees and the formu lation of po licies,

proced ur es, and relations with emp loyees or theirrepresentatives. The hu man resources groupfacilitates the d evelopm ent of imp rovedworkforce practices.

Generally, the concerns of the hu m an resou rcesgroup encomp ass Affirmative Action/ EEO,benefits, classification and compensation,emp loyment, labor relations, staff services, andtraining and developm ent. The scope of therespon sibilities of the hu ma n resou rces grou p

dep end s largely on the size and type of business of the organ ization.





Human resourcesgroup, member of

the human resourcesgroup (continued)

The hum an resources group also shares theresponsibility for verification and measurementof the organ ization’s workforce activities withman agement and serves in a quality assurancerole for the or gan ization’s wor kforce processes.

Throughout an organization’s processimprov ement efforts, the hu man resources groupmaintains these common administrative roles.How ever, some asp ects of the role of the h um anresources grou p chan ge as the organization an d itsstaff chan ge d ue to improvem ents in w orkforcecapab ilities. For examp le, as the organization ’swork force capability increases, the hu ma nresources grou p shares respon sibility for processand individu al imp rovement wi th m anagementand individu al staff members.

There does not need to be a one-to-one correspond ence between roles andind ividu als. One p erson could perform m ultiple roles, or each role couldbe performed by sepa rate ind ividu als. On a large project, many roles,especially those of management, wou ld likely be filled by sep arateindividuals.

5.4.2 O r ga n iz at io n al S tr u ct u re

The fun dam ental concepts of organization, un it, and team m ust beun derstood to p roperly interpret the key practices of the P-CMM. Thefollowing par agrap hs d efine the u se of these concepts in th e P-CMM.





Organization An organization is a un it within a comp any orother entity (e.g., government agency, branch of service, non profit entity). It has an iden tifiableexecutive m anag er(s) who has th e respon sibilityfor the operations, practices, and performan ce of the organization. Most frequently an organ izationis contained w ithin a single site, but th is is notalways true. An organ ization is the entity inwhich an improvement p rogram is applied.

Unit A uni t is a single d efined organizationalcompon ent (e.g., a d epartm ent, section, group ,

project team) w ithin an organization. Typically,there is an individu al wh o is assignedresp onsibility for the activities of a un it. The term“un it” is used in the P-CMM to refer to anyorganizational comp onent tha t is larger than ateam, but smaller than the organization. Thus,sma ller un its (e.g., grou ps) can report into largerunits (e.g., sections).

Group A group is a collection of ind ividu als wh o hav erespon sibility for a set of tasks or activities.

Group s are most frequen tly formed as a cluster of individu als organized into a structure that isconvenient for ma nag ing [Plun kett91]. Althou ghgroup mem bers have fun ctional relationshipswith each other, these relationships d o notnecessarily involve strong w ork interdep end encies. A grou p is comp osed of morethan an ind ividu al, bu t if it is not cross-functional, it constitutes nothin g larger than th elowest level un it. Group comp osition could varyfrom several part-time individuals assigned from

different d epartm ents, to individu als in th e sameun it assigned fu ll time. Teams are grou ps thathave u nd ergone team-building processes.





Team A team is a group of people wh o w ork closelytogether to a chieve shared objectives, wor k together on tasks that are highly interdepend ent,and ma y exercise a level of au tonom y inma nag ing their activities in pu rsuit of thoseobjectives. Teams hav e been prep ared to wh owor k closely together throu gh formal team-building.

Other grou ps comm only referred to in the P-CMM are described below:

Softwareengineering processgroup

Th e software engin eering process group (S EPG)[Hum ph rey89, Fowler90] is a grou p of specialistsresponsible for supp orting a softwareimprovem ent program . They facilitate thedefinit ion, maintenance, and improvem ent of thesoftware process u sed by the organization.

When integrating workforce improvem entactivities with ongoing software processimpr ovemen t activities of the orga nization, theSEPG may be au gmented with m embers from th e

hu man resources or other groups.

Human resourcesgroup

Th e hum an resources group is the collection of individu als (both man agers and staff) compr isingthe u nit(s) within an organization that focuses ondevising p ractical, effective w ays to m ana geemp loyer/ emp loyee relations. See Section 5.4.1for a discu ssion of the roles that m ay influ ence theorganizational structure of the h um an resourcesgroup.





Training group Th e training group is the collection of ind ividu als(both m anagers an d staff) wh o are respon sible forcoordinating an d arr anging th e training activitiesfor a un it or an organ ization. This grou p typ icallyprepares and cond ucts most of the trainingcourses and coordinates use of other trainingvehicles.

The P-CMM does not specify any organ izational structure. It u ses anorgan ization’s existing stru cture (teams, if they exist; grou ps; un its; andindividu als) and p rovides a framew ork for the organization to imp rove

its capa bility to make use of and dev elop its workforce; thu s, imp roving itsworkforce capability.




People


Level 2: Rep eatab le

The key p rocess areas at the Repeatab le level focus on establishinga found ation of basic workforce p ractices that can be continu ouslyimproved to develop the workforce and on eliminating problemsthat hinder work performance. A supp ort ive work environment,ground ed in app ropriate values and supp ortive of effectiveinterperson al comm un ication, is established . These basicworkforce practices are established for staffing, p erforman cema nag emen t, training, and com pen sation. Basic d iscipline is inplace in th e organ ization's work force activities.

Key process areasWork En viron m en t L2-1

Communication L2-13

Staffing L2-25

Perform ance Man agem ent L2-41

Training L2-59

Compensation L2-69



Work Environment

A k ey p rocess a rea fo r Lev e l 2 : Rep ea tab le

The purpose of Work Environment is to establish and maintain p hysicalworking cond itions that allow individuals to perform their tasks efficientlyand to concentrate on their tasks without u nnecessary or inapp ropr iatedistractions.

Work Environm ent involves ensuring that the work environment comp lieswith all applicable laws and regulations, that imp rovements are m ade that

will enhance performan ce, that imp ediments to performance are removed,and that d istractions are minimized.

Establishing an effective work environment begins with ensur ing that thework environm ent comp lies with all laws and regulations. Sufficientfacilities and p ersonal worksp ace are mad e available for individu als toperform their assigned r esponsibilities. Improvem ents to the effectivenessof the work environm ent are identified and pr ioritized. Within reasonablebound aries, improvem ents are mad e to the work environment.

Environmental and physical imp ediments in the work environment areeliminated . Distractions in the work environm ent are identified an dminimized.

Goals

Goal 1 An environment that supp orts the performance of business

processes is established and maintained.

Goal 2 The resources needed by the workforce to perform their

assignm ents are made available.

CMU/SEI-95-MM-02 People Capab ility Maturity Mod el s L2-1



Work Environment Level 2: Repeatable

Goal 3 Distraction s in the work en vironment are min imized .

C o m m i t m e n t to p e r fo rm

Commitmen t 1 The organization follows a documented policy for establishing

and maintaining i ts work environmen t.

The policy typically specifies that:

1. Work environment conditions w ill support the bu siness objectives andstated valu es of the organization.

2. Laws and regulations governing the work environment will beadministered and enforced.

3. Within pru dent limits, the resources needed to perform the work willbe identified, pr ioritized, and mad e available.

4. Conditions that degrade the work environment will be eliminated.

5. Distractions in the work environment w ill be minimized.

Commitmen t 2 An organizational role(s) is assigned responsibili ty for assistingand advising un its on w ork environmen t-related activities.

Examp les of ind ividu als or group s who m ay assist and ad vise on w ork

environm ent activities includ e:

– committees on work environment conditions,

– management or staff commit tees,

– phys ical p lant or faci li ti es st a ff,

– telecommunications s taff,

– computing faci li ties staff, or

– members of the human resources group.

L2-2 s People Capability Maturity Model CMU/SEI-95-MM-02



Level 2: R epeatable Work Environm ent

Ab il i ty to perform

Ab ility 1 With in each un it, an in divid ual is assign ed resp on sib ility for

ensuring th at work environment activities are performed.

Ability 2 With in pru den t lim its, ad eq uate resou rces an d fu nd in g are

provided for implemen ting improvements to the work

environment .

Prud ent limits are those that are determined by man agement and arebased on considerations that might includ e:

– responsible fiscal policies ,

– sound m anagement of the organization’s resources,

– resources that would be expected to be available in a professional

environment,

– the resources that are available in competitors’ environments,

and

– benchmarks of similar work environments.

1. Experienced individu als who have expertise in improving various

aspects of the work environm ent are made ava ilable for imp rovementactivities.

Examp les of contributions that could be m ade by those with sp ecial

skills include:

– training in laws and regulations governing the work environment,

– analyzing impediments in the work environment ,

– analyzing the potential benefits from automation, and

– identifying resources that would improve performance.

2. Adequate fund ing is made available for resources that would improve

the work environment.

3. Supp ort for implementing work environment improvements is madeavailable.





Ability 3 In divid uals receive th e train in g n ecessary to main tain an

effective work environmen t.

Examp les of training related to the w ork environm ent includ e:

– laws and regulations governing the work environment,

– hea lth and safe ty procedures , and

– how to use new equipment or workstations.

Ability 4 In divid uals resp on sib le for im provin g th e w ork en viron men t

are trained in method s relevant to their responsibilities.

Examp les of training in method s to improve the w ork environment

include:

– remedies and procedures for handling violations of laws,

regulations, and p rocedu res related to the w ork environment;

– methods for assessing the work environment;

– methods for minimizing or eliminating impediments or distractions

in the work env ironment; and

– methods for aiding task performance with technology.

Activ i t ies p erform ed

Activity 1 Law s an d regu lation s govern in g th e w ork en viron m en t are

comm un icated to the work force.





Activity 1(continued)

Examp les of laws and regulations include:

– labor-related laws and regulations, including the Federal Labor

Standards Act (FLSA) and the National Labor Relations Board

(NLRB);

– safety-related laws and regulations, including those of the

Occup ational Safety and H ealth Adm inistration (OSHA ) and

local fire codes;

– laws and regulations that govern equal access to the workplace,

limit discrimination, and identify sexual harassment, including

the Equal Employment Op portu nity (EEO) laws and regulations;

– laws and regulations providing access for the physically

challenged , includ ing th e Am ericans with Disabilities Act (ADA);and

– appl icable state and local laws and regulat ions.

Guidance should be sought from the hum an resources and/ or legal

departments in interpreting and adm inistering these laws and

regu lations since they can ha ve serious legal implications.

Activity 2 Violation s of law s an d regu lation s govern in g th e w ork

environmen t are raised to a responsible ind ividu al and are

han dled according to a docum ented p rocedu re.

Guidance should be sought from the hum an resources and/ or legal

dep artments in han dling all violations of laws and regulations

governing the w ork environment.

The proced ure typically specifies:

1. How and to whom violations of various laws and regulations are tobe reported.

2. How reports of violations are to be documented.

3. Who should be informed for different types of violations.

4. How different types of violations are to be investigated.





Activity 2 5. Procedures for bringing the work environment into comp liance with(continued) various laws and regu lations.

6. How actions related to resolving different types of violations are to betracked to closure.

7. Management and ind ividu al responsibilities related to all aspects of hand ling different typ es of violations.

Act ivity 3 Th e resou rces n eed ed to accom p lish a u n it’s b u sin ess p rocesses

are made available in a timely man ner.

1. Adequate space is provided for performing assigned work.

Examples of space includ e:

– ind iv idua l workspaces;

– public spaces, such as conference rooms and meeting spaces; and

– specialized w orkspaces, such as laboratories and training areas.

2. Adequate physical and technical resources are provided forperforming assigned work.

Examples of physical resources include:

– office furniture and equipment;

– ligh ting;

– computers and workstat ions;

– application software (e.g., editors, word p rocessing and d ocument

prod uction tools, spreadsheets, and project managem ent tools);

– commu nications technologies, such as telephones, fax, and

electronic mail;

– printing and reproduction equipment, such as high-resolution

printers, copiers, and microform printers;

– d ocu men tation ;

– lab equ ip men t;

– m ain tenance; and

– tr ain ing equipm en t.





Activity 3 3. Specialized resources that w ould normally be available for performing

(continued) a specific type of w ork in m ost organizations are m ade available.

For examp le, in a software developm ent organ ization, basic

computational technology resources would include:

– computers, workstat ions, and/ or PCs;

– networks (LANs, WANs, etc.);

– software tools such as compilers, linker-loaders, and d ebuggers;

– project management tools; and

– electronic communications.

4. Adequate staff support is provided for performing assigned work.

Examples of staff sup por t resources includ e:

– business and administrative support,

– computer support personnel,

– technical writing and documentation support,

– lab t echn icians , and

– cler ica l su p p or t.

5. Space, facilities, and staff resource needs are planned and providedon a p eriodic (e.g., ann ua l) and event-d riven (e.g., project initiation)

basis.

Activity 4 In divid ual w ork sp aces p rovid e an ad eq uate p erson al

environmen t for performing assigned work respon sibilities.

Individual workspaces provide:

1. Protected private space where personal effects, work tools, andprod ucts can be secured an d stored as necessary.

2. Adequate desktop space for the tools that are used in performingtasks and the work p rodu cts that are being produ ced an d

manipulated.

3. Adequate illumination for performing work.





Act ivity 7 Ph ysical factors th at d egrad e th e effectiven ess of th e work

environm ent are identified an d corrected.

Examples of physical factors that degrade the effectiveness of the

work environment include:

– unsafe working condit ions;

– inadequat e secu r it y;

– inadequate office or meeting space;

– p oor ligh tin g;

– inadequate heat ing, venti lat ion, and cooling;

– u np leasan t od ors;

– vibration;– excessive noise; or

– crowding.

Activity 8 Sou rces of freq u en t in terru p tion or distraction th at degrad e th e

effectiveness of the w ork environm ent are identified an d

minimized.

Examples of time-related d istractions includ e:

– t elephone in ter rup tions,

– excessive meet ings,

– poor ly or gan ized work ,

– unnecessary or excessive administrative tasks, or

– work that could be performed by lower paid individuals .

M e a s u r e m e n t an d a n a l y s is

Measurement 1 Measurements are made and used to determine the s ta tus of

activities related to the work en vironm ent.




Communication


The purp ose of Comm un ication is to establish a social environmen t thatsup ports effective interaction an d to ensure that the workforce has theskills to share information an d coordinate their activities efficiently.

Comm unication involves establishing effective top-down and bottom-upcomm un ication mechanisms w ithin the organization, ensuring that allindividu als have the necessary comm un ications skills to perform their

tasks, coord inate effectively, conduct meetings efficiently, and resolveproblems.

Establishing effective comm un ication begins w ith comm un icating thevalues, policies, and procedu res of the organ ization to the w orkforce.Oral and written commun ication capabilities are imp roved throu ghtraining. The interpersonal comm un ication skills necessary to maintaineffective working relationships are developed. Meetings are man aged toensure that time is used most effectively. Comm unication problems are

hand led through appropriate means. Individu al opinions on workingconditions are sought. Formal procedu res are established for raising andresolving grievances.

Goals

Goal 1 A social environment that supports task performance and

coordination among ind ividuals and group s is established and

maintained.

Goal 2 Information is shared across levels of the organ ization .




Communication Level 2: Repeatable

Goal 3 In divid uals d evelop sk ills to sh are in form ation and coord in ate

their activities.

Goal 4 Ind ivid uals are ab le to raise grievances and have them ad dressed

by management.


Commitment 1 Execut ive management es tablishes and communicates a se t of values for the organization regardin g the developmen t and

man agement of its workforce.

Examples of workforce issues that can be covered in the organ ization’s

values includ e:

– implicit and explicit commitments between the organization and its

workforce;

– commitment to growing talent and increasing performance;

– philosophy of career development ;

– t reat m en t o f ind iv idua ls ;

– w or kfor ce righ ts;

– open communication without fear of reprisal;

– em phasis on teamwor k;

– intent to align individual , team, unit , and organizational

performance;

– people-related act ivit ies to be performed regularly;

– desired cul tural values and att r ibutes;

– commitment to continuous improvement of people-related

activities; an d

– o ther values, a s app rop ria te .

Executive managem ent:

1. Docum ents a set of values to guide people-related behavior in theorganization.




Level 2: R epeatable Communication

Commitment 1 2. Publicly endorses the docum ented values of the organization.(continued)

3. Ensures that the values are comm unicated to all members of theworkforce.

Examp les of method s for commu nicating the v alues of the organization

include:

– publ ic display of a values s tatement ,

– open discussion of values-related issues through appropriate

commu nications channels,

– inclusion in or ientation t raining,

– inclusion in management and team training,

– explicitly using and applying the values when performing people-

related a ctivities,

– referring to guiding values in explaining decisions, and

– o ther m et hods, as app r op r ia te .

4. Derives policies and procedu res for people-related activities fromthese values.

5. Establishes mechanisms to ensure that all people-related activitiescomply w ith the organ ization’s values.

6. Enforces corrective action w hen p eople-related activities do n otcomply w ith the values of the organization.

7. Ensures that all executive decisions and actions demonstrateconsistent sup port for the organ ization’s values.

Commitmen t 2 The organization follows a documented policy for conducting i ts

comm un ication-related activities.

The policy typ ically sp ecifies:

1. Relationship of the commu nication activities to the business objectivesand docum ented values of the organization.

2. Importance of maintaining an open environment that supportscommun ication flow in all directions.

3. Requirements for periodic comm unication of organization-wideinformation to all ind ividu als and group s.





Activity 1 2. Whenever people-related policies and practices are changed, the(continued) changes are commu nicated to the w orkforce.

3. The organization periodically determines whether the workforce isaw are of its peop le-related p olicies and practices.

4. When misunderstandings of the people-related policies and p racticesexist, corrective action is taken.

Activity 2 M an agem en t com mu n icates in form ation ab ou t organ ization al

events and conditions to the w orkforce on a periodic and event-

driven b asis.

Examp les of commu nication m echanisms includ e:

– organizat ion-wide meet ings,

– sta ff meetin gs,

– one-on-one meet ings,

– bu lletin b oar ds,

– electronic mail announcements,

– in te rna l pub lica tions ,

– n ew sletters, an d

– memos.

Activity 3 Th e com mu nication sk ills need ed to perform task assign men tsare developed.

1. Those with supervisory responsibility assess whether individu alshave the oral or written commu nication skills required to perform thetasks they are assigned.






Examples of oral and written communication problems include:

– inadequate literacy in one or more of the languages used in the

organization;

– lack of knowledge about the jargon or terms used in a specific

business or technical domain;

– inappropriate communication protocols for the situation;

– weak speaking or wr it ing sk ills ;

– lack of skill in using commu nication media, such as email, word

processors, teleph ones, and p ersonal digital assistants.

2. When individu als lack the oral or w ritten commu nication skillsnecessary to per form a task, corrective action is taken.

Examples of corrective action includ e:

– training in oral or written communication skills,

– training in the use of communication media,

– personal coaching, or

– reassignment of t asks.

3. Training in oral and w ritten commu nication skills is instituted in thosesituations w here it is necessary for successful individu al and/ or un it

performance.

Activity 4 Th e in terp erson al com mu n ication sk ills necessary to estab lish

and maintain effective working relationships are developed.

Examp les of interpersonal skills that su pp ort w orking relationships

include:

– interpersonal communication and dynamics,

– group communication and dynamics,

– interaction protocols for specific situations,

– problem resolu t ion skills ,– negot ia tion sk ills , o r

– mult icultural sensit ivi ty and other diversi ty related skil ls .





Act ivity 5 In terp erson al p rob lem s or con flicts th at d egrad e th e q u ality or

effectiveness of work ing relationship s are hand led app ropriately.

Examples of appropriate ways to handle interpersonal problems

include:

– improving interpersonal communication skills;

– coaching or counseling one or more individuals;

– improving the dynamics of a group;

– use of an ombudsman, arbitrator, or facili tator;

– reassignment of one or more individuals;

– performance management actions; or

– d iscip lin ar y act io n.

Activity 6 In d ivid u al’s op in ion s on th eir w ork in g con d ition s are sou gh t on

a periodic and event-driven b asis.

1. Input is collected on a periodic basis.

Examp les of mechanisms for gathering op inions from individu als

include:

– opinion surveys or organizational climate questionnaires;

– interviews with a sample of the workforce;

– interviews with management, including meetings that allow

individuals to skip levels of management;

– group meetings on issues;

– postm or tem rev iews;

– suggestion boxes or other private means;

– elect ronic means; and

– other so licit at ions for input .

2. Inputs are analyzed and results are prepared according to the issuesbeing studied.

3. Feedback on the results of these analyses, decisions to be made basedon th ese analyses, and actions to be taken a s a result of theseanalyses are comm un icated to th e workforce.





Activity 8 3. When appropriate progress has not been made in resolving a(continued) grievance or issue, corrective action is taken.

Activity 9 M eetin gs are con d ucted to m ak e th e m ost effective u se of th e

time of those participatin g.

1. Guidelines are developed for maximizing meeting efficiency based onthe organ ization’s culture and values, business processes, and thepu rpose of the meeting.

Examples of topics addressed by meeting guidelines include:

– m eetin g p urp ose,

– m eetin g plan nin g,

– meet ing agenda and t ime management ,

– responsibil it ies and roles of par ticipants ,

– attendance size and requirements ,

– meet ing procedures,

– loca tion and room se t-up ,

– part icipa tion mechanisms, and

– practices for tracking action items or issues.

2. Meetings are called only if they offer an ad equate benefit for the timeconsumed ; otherwise, a more efficient way to accomplish the goal is

pursued.

3. To the extent possible, a m eeting’s pu rpose, objectives, andprocedures are planned, and an agend a is distributed in advance.

4. Meetings are condu cted to m aintain focus on accomplishing theiroriginal purpose.

5. Meetings are condu cted to encourage the participation of all who areable to make a contribution.

6. Actions to be performed following the meeting are assigned andtracked to comp letion.







communication activities.

Examples of measu remen ts of commu nication activities includ e:

– use of communication media,

– number of people trained in communication skills,

– results from opinion surveys,

– number of interpersonal conflicts handled through formal

mechanisms,

– number of grievances or issues raised,

– number of grievance or issue meetings that were requested,

– time and effort expended to resolve grievances and issues,

– t ime spent in meetings, and

– rate at which meeting act ion i tems are closed.

Veri fying im plem enta t ion

Ver if ica tion 1 A respons ib le ind ividual (s ) ver if ie s tha t communica tion

activities are cond ucted accordin g to th e organization ’s

documented policies.

These reviews verify that:

1. Commu nication activities comp ly with the organization’s statedvalues, policies, and d ocumented procedu res.

2. Commu nication activities are performed according to the un it’s plansand selected methods.

3. Noncompliance items are handled appropriately.





Verif ica tion 2 Execut ive management per iodically reviews the organization’s

comm un ication activities to determin e if they comp ly with th e

organization’s documented policies.

These reviews ad dress:

1. Conformance of commu nication activities with the organization’sstated valu es, policies, and procedures.

2. Status of resolution for noncompliance issues.

3. Progress in the p erformance of any planned commu nication activities.

4. Rate at which serious commu nication problems are being reduced.

5. Trends related to communication issues.

6. The number of grievances and issues raised an d the rate of resolvingthem.

7. Conforman ce of grievance resolution with the organization’sdocumented procedure.

8. Trends related to grievances and issues raised.




Staffing


The pu rpose of Staffing is to establish a formal p rocess by which talent isrecru ited , selected, and transitioned into assignm ents in the organization.

Recru iting involves identifying the know ledge and skill requiremen ts foropen positions, motivating all individu als to seek out qu alified cand idates,announ cing the availability of positions to likely sources of cand idates, andreviewing the effectiveness of recru iting efforts. Selection involves

developing a list of qualified candidates, defining a selection strategy,identifying qu alified candidates, thorough ly evaluating qualifiedcandidates, and selecting the most qualified cand idate. Transitioninginvolves attracting selected cand idates, orienting them to theorgan ization, and ensu ring their successful tran sition into their newpositions.

Recruiting activities begin w hen open positions are identified. Tasks to beperformed by individu als filling these open positions and the

characteristics of candidates who w ould be capable of performing thetasks are listed . These open p ositions are comm un icated to the unit’sworkforce so that they can aid in recruiting an d screening qu alifiedcandid ates. The open ings are also posted internally and comm unicated toexternal sources that are likely sources of qualified cand idates. Aresponsible individu al(s) works w ith external sources to maximize thelikelihood of identifying candidates. The status of recru iting activities isreviewed w ithin each unit and per iodically by executive man agement.Lessons learned abou t recru iting approaches and sources are periodicallyassessed.

A list of qualified cand idates is drawn from the resu lts of recruiting efforts.A selection strategy is d eveloped based on th e characteristics of the




Level 2: R epeatable Staffing

Commitment 1 The policy typically specifies that:(continued)

1. Staffing activities comp ly with the bu siness objectives and statedvalues of the organization.

2. Staffing activities comply w ith all app licable laws and regulations.

Examp les of relevant laws and regulations includ e:

– requirements to verify the right to work (i .e., citizenship, work

per mits, etc.);

– Equal Employment Opportunity (EEO) requirements;

– Americans with Disabilit ies Act (ADA) requirements;

– other regulatory mand ates, such as conflict of interest, licensing or

certification; an d– state and local laws and regulat ions.

3. Responsibilities for initiating, cond ucting, and app roving all staffingdecisions a re assigned.

4. Approp riate procedures will be defined, docum ented, and used for:

t having p ositions declared op en;

t internal and external recru iting;

t annou ncing the availability of the position;

tdeveloping a list of qua lified cand idates;

t evaluating and selecting the m ost qualified candida te;

t commu nicating ou tcomes to cand idates, both p ositive andnegative;

t han dling confidential selection information;

t transitioning selected candidates into their new position;

t orienting selected candidates to the organ ization;

t outprocessing and conducting exit interviews with terminatingemployees;

t workforce reductions and outp lacement; and

t documenting an d measuring the staffing p rocess.




Staffing Level 2: Repeatable

Commitment 1(continued)

These procedures are intend ed to define a minimal set of staffing

activities. The purp ose of these procedures is to keep those in un its who

are responsible for staffing from having to invent their own procedu res,

wh ile allowing them the flexibility to perform staffing activities most

suited to their unit’s needs and providing them the guidan ce to condu ct

their staffing activities in comp liance with ap plicable law s,

regulations, and organizational policies.

5. The rights and d ignity of each candidate are to be protected du ringthe staffing p rocess.

Commitmen t 2 An organizational role(s) is assigned responsibili ty for assistingand advising un its on staffing activities and procedu res.

Examp les of individu als who m ight assist or advise units on staffing

activities and procedu res includ e:

– human resources s ta ff,

– leg al sta ff, o r

– trainers.


Ab ility 1 With in each un it, an in d ivid u al(s) is assign ed resp on sib ility for

ensu ring that staffing activities are performed .

Examp les of individu als who m ay be assigned respon sibility for

various staffing activities include:

– a member of the human resources group,

– the unit manager or ass is tan t,

– a st affing com mit tee,

– a project or group leader, or

– an empow ered team.





Ability 2 Ad eq uate resou rces an d fu nd in g are p rovid ed for th e p lan ned

staffing activities.

1. Where feasible, experienced individuals who have expertise in staffingmethod s and procedu res are mad e available for condu cting staffingactivities.

2. Tools and instruments to supp ort staffing activities are mad eavailable.

Examples of tools and instrum ents includ e:

– templates for job or task descriptions;

– templates for recruiting announcements;

– instruments used in the selection process;– candidate folders including resumes, recommendations, and

correspondence;

– copies of po licies such as recru iting travel, relocation, benefits, and

transition; and

– standard forms for documenting staffing activities.

3. Supp ort for recruiting activities is made available.

Examp les of supp ort for recruiting activities includ e:

– r ecr uitin g tr ip s,

– fin d er ’s fees,

– ad vertisin g, an d

– st aff in vo lv em en t.

Ab ility 3 In divid uals resp on sib le for staffin g activities are train ed in

method s and procedu res relevant to their responsibilities.





Ability 3(continued)

Examples of methods in which individuals may receive training

include:

– staffing procedures required by organizational policy,

– posit ion and t ask analysis ,

– developing and weight ing select ion cri ter ia ,

– in ter view in g s kills,

– select ion techniques and candidate evaluat ion,

– orienting and transitioning individu als into new positions, and

– laws and regulations governing selection and employment.

Ab ility 4 In d ivid uals p articip atin g in s taffin g activities receive orien tation

in th e laws, regulations, methods, and organizational p olicies

relating to the staffing process.


Activity 1 Resp on sib le in divid uals p lan an d coord in ate th e staffin g

activities of th eir un its in accordance with documented policies

and procedures.

1. Staffing activities are planned and tracked.

2. Unit staffing activities are condu cted according to the organization’sdocumented policies and procedures.

3. Unit staffing activities are defined and condu cted w ith the assistanceand approval of the hum an resources group.

Activity 2 Position op en in gs with in a un it are id en tified an d an alyzed .

1. A unit’s activities and w orkload are analyzed to determine thenu mber an d typ e of staff required to accomp lish the assigned w ork.





Activity 2 2. Position openings are approved according to a documented procedure(continued) based on:

t increased workload,

t budget,

t dep arted staff, or

t other relevant criteria.

3. Tasks to be performed by each open position are identified anddocumented.

4. Characteristics of candidates who are capable of performing the tasksinvolved in each open position are defined an d d ocumented .

Examples of relevan t characteristics may includ e:

– job-rela ted knowledge ,

– t as k-r ela te d s kills ,

– w ork habits,

– ability to work in groups or teams,

– development potent ial within the organizat ion,

– years of relevant experience ,

– related accomp lishm ents, or

– degrees and/ or t raining cert ificates.

5. The primary source(s) for filling each open position is determined.

Examples of sources for filling positions may includ e:

– in te rnal r ecr u it ing,

– ext er na l r ecr u it ing,

– temporary or contract staff, or

– consu ltan ts.

Activity 3 Position op en in gs w ith in th e organ ization are w id ely

communicated.

1. Open positions are comm unicated throughout the organization so thatqualified individu als can ap ply for the opening.





Activity 3 2. All position openings within a u nit are regularly comm unicated to(continued) members of the unit so that they can assist in recru iting qualified

candidates.

Activity 4 Extern al recru itin g activities are plan n ed an d coord in ated w ith

un it requirements.

1. Responsibilities for external recruiting activities are coordinatedbetween the unit an d the organization, and recruiting activities areplanned.

External recruiting activities can be condu cted either by m embers of the

unit or by the organization, depending on the source of candidates being

app roached. When the organization takes responsibility forapp roaching a sou rce of candidates, it should represent both current an d

future needs of u nits in the organization.

2. Likely sources of candidates who are qualified for open p ositions areidentified.

Examples of sources of likely candidates include:

– u niv ersities;

– t echn ica l s chools ;

– trad e p ress;

– bu lletin b oar ds;

– ad ver tisem en ts;

– professional, trad e, or hon orary societies;

– professional conferences and trad e show s;

– minority recruitment sources;

– profess ional recru iter s;

– co lleagues; o r

– other relevant sources .

3. Position openings are commu nicated to external sources through the

relevant media.

4. A designated individu al(s) follows up with external sources to aid incontacting q ualified candid ates.





Activity 6 Each un it, in con ju n ction with th eir h u man resou rces grou p ,

cond ucts a selection p rocess for each p osition it inten ds to fill.

1. A list of qualified cand idates for each position is draw n fromrecruiting activities, maintained throughout the selection process, andretained for future u se.

Examples of uses for this retained list include:

– EEO rep ortin g,

– analyzing the most effective sources of candidates, and

– analyzing factors influencing recruiting success and failure.

2. A set of the most qualified candidates is invited to und ergo furtherevaluation through the selection process.

3. The selection process is performed to generate information regardingcandid ates’ qualifications an d fitness relative to the id entifiedselection criteria for the p osition.

4. Appr opriate members of the unit participate in the selection processand provid e inpu t to the selection decision.

5. Docum entation from the selection p rocess is systematicallymaintained according to a docum ented procedu re.

Issues covered in the procedu re might includ e:

– what informat ion will be maintained ,

– how long documentation will be maintained,

– who has access to the documentation,

– how documents may be inspected and challenged,

– how documentation security will be maintained, and

– how the documentat ion may be used.





Activity 7 Th e p osition is offered to th e m ost q ualified can did ate.

1. The identified selection criteria are consistently ap plied to allcandid ates involved in th e selection process.

2. All qualified candidates are compared regarding their relative fitnessfor the open p osition, and the most qualified cand idate is selected.

3. References and/ or backgrounds are checked for the selectedcandid ate before an offer is mad e.

4. Timely feedback is provided to all candidates regarding the results of the selection process.

Act ivity 8 Th e organ ization coord in ates to attract th e selected can d id ate.

1. Within reason and fairness to the existing workforce, the hiring unitattemp ts to coordinate the arrangements for the position with theattributes and expectations of the selected candidate.

2. Terms of the offer are negotiated w ith the selected candidate inaccordan ce with the d ocumented policies of the organ ization.

Usually the terms of the offer are han dled by th e hum an resources

group . How ever, the person(s) in the hiring u nit who is responsible for

adm inistering comp ensation decisions should be a p arty to thesenegotiations, since the outcome of these negotiations can create

imbalances in th e u nit’s compen sation and benefits profile.

Examples of offer terms to be negotiated includ e:

– job leve l and t it le ,

– sa la ry an d ben efit s,

– p rob ation ar y p er iod ,

– relocation ,

– train ing,

– assignm en t and t asks,

– office a rrangements,

– p riv ileges, a nd

– other app ropriate issues.





Activity 9 Th e selected can d id ate is tran sition ed in to th e n ew p osition .

Example transition activities include:

– r eloca tion p lann ing,

– hou se-h untin g,

– setting up a computing environment,

– setting up an office and required equipment,

– meeting existing members of the unit,

– orientat ion to the job, and

– orientation to the organization.

1. Respon sibilities are assigned for transition activities.

2. A formal orientation to the organization is provided to the newlyassigned individual.

Examp les of information p resented in an orientation include:

– business objectives and stated values of the organization;

– company and organizat ional st ructure;

– the organization’s business (i.e., the products, software, and

services it produ ces);

– r elev an t p olicies ;

– employee benefits and services;

– computing and information facili ties; and


3. Orientation to the unit and job responsibilities is provided to thenewly assigned individual.

Examples of information presented in a job orientation include:

– descr ip t ion of in it ia l t asks;

– p eop le in th e u nit;

– ordinary unit processes and procedures;

– job-rela ted knowledge;

– location of resources, such as compu ting facilities, informationsources, and supplies;

– upcoming events and schedules; and






Activit y 10 Al l ap p rop ri ate m em b er s of a u n it are act ively i nvolved in its

staffing p rocess.

1. Each u nit periodically reviews the status of its staffing activities withall members of the unit.

2. All mem bers of the unit participate in staffing activities, asappropriate.

Examples of staffing activities in w hich mem bers of the u nit can

participate include:

– an aly zin g ta sk s,

– identi fying characterist ics of qual ified candidates ,

– recru iting,– screening potent ial candidates ,

– evalua t ing quali fi ed candida tes ,

– making select ion decisions,

– checking references ,

– attracting selected candid ates,

– orienting newly assigned individuals , or

– o the r r elevan t act iv it ie s.

3. Each unit reviews and documents lessons learned from its staffingactivities.

Activity 11 Work force red u ction a nd o th er ou tp lacem en t activities are

cond ucted in accordan ce with the organization ’s policies and

procedures.

1. The criteria for retaining or releasing individuals are defined in eachun it where a w orkforce redu ction or other outp lacement activities areplanned.

Examples of criteria includ e:

– unit ’s act iv it ies and workload ,

– tasks to be per formed,

– job character is tics ,

– skill r equirements, and

– indiv idual per formance result s.





Activity 11 2. The identified criteria are consistently applied to all individu als(continued) subject to workforce reductions.

3. Workforce reductions and outp lacement activities are reviewed toensure tha t they respect the rights and d ignity of each ind ividu al andthat they ar e consistent with all laws, regulations, and organizationalpolicies governing staffing decisions.

4. Workforce reductions and outplacement activities are commu nicatedto the w orkforce.

5. Individu als to be released from a unit are made aware of openpositions within the organization, wh en app ropriate.

6. The termination of individuals from the organization is handled

according to a documented procedu re.

Examp les of issues that m ight be included in the p rocedu re includ e:

– methods for ident ifying individuals to be terminated,

– how individuals wil l be informed of their terminat ion,

– access to work premises,

– severance package, and

– outp lacement ass is tance .


Measurement 1 Measurements are made and used to determine the s ta tus and

performan ce of staffing activities.





Measurement 1(continued)

Examples of staffing measures include:

– num ber of qualified candidates contacted through each recruiting

source;

– percent of qualified candidates contacted directly by staff rather

than through other sources;

– percentage of selected candidates accepting offers;

– success of selection methods based on performance at the end of a

probationary period;

– time spent on recruiting, selection, and transitioning;

– time from opening a position to fill ing it ;

– percent of un it mem bers involved in staffing activities; and

– rate of transitioning individuals into new positions.

Measurement 2 Unit measures of staffing status are collected and aggregated at

the organizational level.

1. A historical database of staffing data is maintained.

2. Staffing data are periodically analyzed to determine trends.


Verification 1 A responsible individual(s) verif ies that staffing activit ies are

cond ucted according to the un it’s p lan an d the organization’s



1. Staffing activities comp ly with relevant legal and regu latory

requirements.

2. Staffing activities are cond ucted in comp liance with the organization’spolicies and stated values.





Verification 1 3. Staffing activities are performed according to the unit’s plans and(continued) selected m ethods.


Verif ica tion 2 Execut ive management periodically reviews the s ta tus of the

organization’s staffing activities to determin e if they comply

with its docum ented p olicies.

These reviews ad dress:

1. Results from reviews of staffing practices against the organization’sstated values and policies.


3. Progress in filling open positions.

4. Success in attracting selected candid ates.

5. Trends relevant to future staffing d ecisions and requirements.




Performance Management Level 2: Repeatable

Goals

Goal 1 Job performan ce is measu red against ob jective criteria and

documented.

Goal 2 Job performance is regularly discussed to iden tify actions th at can

imp rove it.

Goal 3 D evelopm ent op portu nities are d iscu ssed w ith each ind ivid ual.

Goal 4 Performance prob lems are managed .

Goal 5 Outstanding performance is recognized.


Commitment 1 The organization fol lows a documented pol icy for i tsperforman ce man agemen t activities.


1. Performance man agement activities serve business objectives andstated valu es of the organization.

2. Performance management activities comply with all applicable lawsand regulations.

3. Performance is to be measured, w here possible, against objective

criteria.4. Performance management information and d ata are confidential to

the ind ividu al(s) they concern.





Commitment 1(continued)

Examples of reasons for providing recognition and rewards include:

– exceptional individual, group, subunit, or unit performance;

– process improvement;

– project complet ion;

– exce pt io na l qu a lit y;

– exceed ing goa ls;

– accomplishments beyond work assignments; or

– outs tanding sk ill development .

8. Appropriate recognition and reward procedures will be defined,

documented, and u sed for:t identifying those responsible for recognition and reward activities,

t defining the p urp oses of recognition and reward s,

t defining the basis for aw ard ing special recognition or m akingrewards,

t comm unicating th e structure of the recognition and reward systemto the w orkforce,

t recommending an individual or group for recognition or reward,

t determining app ropriate recognition and reward s,

t providing recognition an d reward information to individuals,

t establishing and maintaining equ ity in the recognition an d reward ssystem, and

t publicizing recognition and rewards.

Commitmen t 2 An organizational role(s) is assigned responsibili ty for assisting

and advising un its on performance man agement activities.

Examp les of ind ividuals wh o may assist or advise units on performance

management activities include:

– human resources s ta ff,

– leg al st aff, a nd

– those with expertise in performance improvement techniques.




Level 2: R epeatable Performance Management



ensu ring that performan ce managem ent activities are

performed.


various p erformance managem ent activities includ e:


– a per formance commit tee,

– a pro ject or group leader ,

– an empow ered team,

– a committee of peers,

– an in d iv id u al, or

– a member of the human resources group.

Ability 2 Adequ ate resou rces and fu nd ing are provid ed for th e

performan ce man agemen t activities.

1. Experienced individu als who have expertise in performance

man agement m ethods are mad e available for guidance in theseactivities.

Examples of expertise in performance management include:

– definition of performance criteria and measurement of performance;

– analysis of tasks and job performance;

– product ivity and quality improvement methods;

– methods for providing effect ive feedback;

– method s for hand ling problem people; and

– laws, regulations, policies, and p rocedures governing performance

management.





Ability 2 2. Tools and instruments to supp ort performance management activities

(continued) are made ava ilable.


– repositories of previously defined performance criteria,

– templates with categories for recording performance information,

– templates for capturing developmental needs information,

– examples of documentation for performance problems, and

– standard forms for documenting performance management

activities.

3. Adequate staff time is allocated for performance managementactivities.

Ab ility 3 All in divid uals resp on sib le for p rovid in g p erform an ce feed back

are trained in p erformance man agement skills.

Examples of relevan t skills in w hich individ ua ls responsible for

provid ing performance feedback are trained include:

– defining objective performance criteria,

– assess ing performance,

– coaching and feedback skills ,

– performance appraisal methods,– ident ify ing development needs,

– handling problem employees,

– docum enting un satisfactory performan ce,

– providing recognit ion and rewards, and

– laws and regulations governing selection and employment.





Ab ility 6 All in divid uals resp on sib le for p erform in g recogn ition an d

reward activities are trained in th e organization’s recognition

and reward p ractices.


Act ivity 1 Ob jective p erform an ce criteria are estab lish ed for each u nit.

Examples of objective performance criteria include:

– measurable goals to be achieved,

– work products to be produced,

– milestones to be met ,

– quant itative qual ity targets to be achieved,

– customer/ user sat isfact ion,

– costs t o be saved ,

– cycle time to be reduced,

– increased integration with cooperating units,

– services to be provided, and

– business to be won.

1. The unit’s performance criteria are based on the un it’s operationalbusiness plan. These performan ce criteria are redefined on a schedu lethat coincides with each business planning cycle.

2. The unit’s operational business plan responds to the businessobjectives of executive management and the organization.

3. All appropriate members of the unit are involved in developing theun it’s perform ance criteria.

4. The unit’s performance criteria are reviewed w ith and ap proved by

the managem ent to which the un it reports.

5. Approved p erformance criteria for the unit are comm unicated to allmembers of the un it.





Activity 2 Th e u n it’s p erform an ce criteria are p eriod ically review ed to

determine their appropriateness und er chan ging busin ess or

organizational cond itions an d, if necessary, revised.

Act ivity 3 Th e u n it’s p erform an ce criteria are allocated ap p rop riately to

subu nits, group s, or individuals within the un it.

1. The unit’s performance criteria are allocated to subunits, groups, andindividu als based on their assigned resp onsibilities.

2. Individuals, groups, and subunits review the allocated performancecriteria before accepting resp onsibility for them .

3. Issues with any allocated performance criteria are raised andnegotiated w ith the ap propr iate au thority and other affected p arties.

4. Once agreement has been reached on allocated performance criteria,their acceptance is documen ted.

5. When the u nit’s performance criteria are revised, allocatedper forman ce criteria (e.g., subun it, grou p, or ind ividual criteria) arerevised to remain consistent w ith the u nit’s new performance criteria.

Act ivity 4 Ob jective p erform an ce criteria are p eriod ically d ocu m en ted for

each individu al.

1. At least some of each ind ividual’s objective performance criteria aredraw n from the performance criteria for their un it, subun it, or group .

2. The criteria for each individual’s job performance include bothindividual criteria and group , subunit, and un it criteria, asappropriate.

3. The criteria for each ind ividu al’s job performance are not in conflictwith their grou p’s, subu nit’s, or unit’s performance criteria.

4. Individuals participate in d eveloping their p erformance criteria.

5. Individu als agree to and approve their performance criteria.

6. Individual performance criteria are documented.





Activity 5 Perform an ce criteria for each in d ivid u al are period ically

reviewed and , if necessary, revised.

1. Individual performance criteria are periodically reviewed to determinetheir approp riateness und er changing personal, group, subun it, or un itconditions.

2. When app ropriate, the individu al’s performance criteria are revisedusing the standard procedures employed for defining theirperforman ce criteria.

3. Revisions to the individu al’s performance criteria are d ocum ented.

Activity 6 Th ose resp on sib le for p erform an ce m an agem en t activities

maintain ongoing commun ication ab out job p erformance withthose wh ose performance they evaluate.

Examp les of method s for maintaining communication abou t job

performance includ e:

– informal d iscussions,

– periodic meetings to review progress,

– periodic meetings to analyze how the performance of assigned

responsibilities could be imp roved, an d

– periodic meetings to discuss formal performance feedback.

1. Various components of job performance are periodically d iscussedand analyzed.

2. Ways to imp rove job performance are periodically discussed andimprovement actions taken.

Examp les of ways to imp rove job performance includ e:

– training in task-related knowledge and skil ls ,

– apprenticing to an experienced individual or group,

– coaching or mentoring,

– improved coordination with other individuals, and– improvements in work environment conditions.





Activity 7 Th ose resp on sib le for p erform an ce m an agem en t activities

maintain an aw areness of job performance of the individu als

wh ose performance they evaluate against each ind ividual’s

documen ted p erformance criteria.

Examples of perform ance issues to maintain an aw areness of includ e:

– performance against documented individual performance criteria;

– performance against documented performance criteria for the group,

subun it, or unit;

– individual contributions to performance against documented

performance criteria for the ind ividu al, group, subu nit, or unit;

– impediments to achieving documented performance criteria;

– the influence of rapid ly changing conditions on reprioritizingdocumented performance criteria; and

– the need to revise documented performance criteria.

Activity 8 Poten tial im p rovem en ts in p rocess, tools, or resou rces w h ich

could enhan ce an individu al’s performance in his or her current

assignment are identified and actions taken to provide them.

Activity 9 A con sisten t m eth od is d efin ed an d d ocu men ted for p rovid in g

formal feedb ack on in dividu al or group p erformance on a

periodic or event-driven basis.

1. Docum entation from the performance feedback process issystematically maintained according to a documented p rocedure.

Issues covered in the procedure may include:

– what information will be documented,

– how long documentation will be retained,

– who has access to the documentation,

– how documents may be inspected and challenged,

– how documentation will be kept secure, and

– how the documentat ion may be used.





Activity 9 2. The documented method for providing performance feedback should:(continued)

t be consistent with law s and regulations,

t respect the rights and dignity of individua ls and group s, and

t be performed consistently for all members of the workforce.

Examples of methods for providing performance feedback include:

– job performance discussions between each individual and those

responsible for their performan ce,

– performance appraisal in terv iew,

– peer gr oup evaluat ion ,

– 360o

review,

– per formance panel review, or

– other app ropriate mechanisms.

Examples of issues to be discussed during job performance discussions

include:

– individual performance compared w ith documented performance

criteria;

– special causes of performance variation, if applicable;

– potential for job improvement (process, tools, and resources);

– knowledge & skills needing development; and

– career op tion s.

Activity 10 Form al feed b ack on in d ivid u al an d /or grou p p erform an ce is

provided on a periodic and event-driven b asis.

1. Accomplishments are compared with documented performancecriteria.

2. Other performan ce-related feedback is discussed, such as:

t capability on a nu mber of predefined dimensions as evidenced in job performance,

t perceptions of performance by others if these perceptions arerelevant to job performance criteria,

t subjective criteria such as interp ersonal skills, and

t other relevant factors.





Activity 12(continued) t the results that will be expected in correcting the problem(s),

t the frequency for reviewing resu lts against the performanceimprovement plan,

t the criteria that w ill be used in evaluating progress against theperformance imp rovement plan,

t the minimal acceptable performance for imp rovement p urp oses,

t the consequences for failure to improve performance, and

t the criteria that w ill be used to evaluate w hether a differentposition or career option shou ld be considered.

2. The performance improvement plan is documented.

3. The organization provides reasonable resources to assist theindividual(s) or group in improving performance.

Activity 13 Progress again st a d ocu m en ted p erform an ce im p rovem en t p lan

is periodically evaluated , discussed, and docum ented .

1. If performance deviates significantly from that expected based on adocum ented p erforman ce imp rovement p lan, corrective action isdiscussed.

2. At an appropriate time, the improvement program is terminated, andapp ropriate decisions are mad e and d ocum ented based onperformance against the improvement p lan.

Guidance should be sought from the hu man resources group in

developing, managing, and making decisions based on performance

improvement plans.

Activity 14 A d evelop m en t d iscu ssion is h eld w ith each in d ivid u al on a

periodic basis.

1. The developm ent discussion can be conducted in conjunction with or

subsequent to p roviding formal performance feedback.





Activity 14 2. The knowledge and skills needed to enhance performance in current

(continued) and future assignments are identified.

Information on knowledge and skills needing development can come

from:

– individual desire to know more in a business-related area,

– evidence from current performance,

– changing requirements of the current assignment,

– anticipated future assignments,

– recommendations from others, or

– desire for reassignment or advancement.

3. Future assignment and career options are discussed.

4. Development activities to enhance knowledge and skills and toprep are for future assignments and career options are identified anddocumented.

5. A personal development plan may be created and progress against ittracked.

Activit y 15 Recogn ition an d reward s are m ad e on an ap p rop riate b asis as

events occur th at justify special attention.

Examples of recognition and rewards include:

– money;

– plaques, trophies, certificates, or citations;

– public recognit ion;

– tim e off;

– specia l pe rqu isit es;

– specia l assignm en ts;

– parties or celebrations; or

– other meaningful considerations.






Measurement 1 Measurements are made and used to determine the s ta tus and

effectiveness of p erformance managem ent activities w ithin each

uni t .

Examp les of measuremen ts include:

– percent of accomplished p erformance criteria at unit and

individu al levels,

– rate of change in performance criteria during the performance

period at un it and individu al levels,– profile of performance across unit criteria,

– profile of performance across individu al criteria,

– trends in development needs,

– percent of the workforce with performance problems,

– progress against performance improvement plans,

– time spent on performance man agement activities,

– number of outstanding performances recognized,

– number and size of rewards,

– disbursement of rewards by reward types, and

– time from proposing a recognition or reward u ntil it is received.

Measurement 2 Unit measures of performance s ta tus are collected and

aggregated at the organization al level.

1. A historical database of performance criteria and p erforman ce data ismaintained.

2. Performance data are periodically analyzed to determine trends.






Verif ica tion 1 A responsible individual(s) ver if ies that performance

man agement activities are cond ucted according to the



1. Performance management activities comply with app licable laws andregulations, and with th e organization’s policies and stated values.

2. Performance management activities are performed according to theun it’s plans and selected m ethod s.

3. All actions related to the developm ent and implementation of performance improvement plans are periodically reviewed to ensurethat they conform to d ocumented policies.



performan ce man agement activities to determine if they comply

with its docum ented p olicies.

These reviews ver ify:

1. Approp riateness of performance criteria defined at the unit level.

2. Progress in the performance of planned performance managementactivities.

3. Results from reviews of performance management practices againstthe organ ization’s stated valu es and policies.


5. Status of performance problems and improvement plans.

6. Effectiveness of the performance management activities in enhancingperformance.




Training


The purpose of Training is to ensure that all ind ividuals have the skillsrequired to p erform their assignments.

Training involves identifying the skills required to perform critical tasks,identifying training needs within each unit, and ensur ing that neededtraining is received .

Each u nit identifies the skills requ ired to p erform critical tasks involved in

the assignm ents given to ind ividuals. Training need s are identified foreach u nit, and a p lan is developed to ensure that needed training isreceived.

Goals

Goal 1 Train ing in the critical sk ills requ ired in each un it is p rovid ed .

Goal 2 In dividu als receive tim ely train in g that is n eed ed to p erform

their assignmen ts.

Goal 3 Train in g opp ortu nities are m ade availab le to all in divid uals.




Training Level 2: Repeatable


Commitment 1 The organization fol lows a documented policy for i ts t ra in ing

activities.


1. Training activities serve the business objectives and stated values of the organization.

2. Training requirements for critical project skills are identified.

3. Training to supp ort the performance of assigned responsibilities isprovided in a timely mann er.

4. Training opportunities are provided to support individualdevelopm ent activities.

5. Training time is allocated for each individual.


and ad vising un its on training activities.

Examp les of ind ividuals wh o might assist or adv ise un its on trainingactivities includ e:

– members of the t ra in ing staff,

– instruct ional designers, or




ensurin g that training activities are cond ucted.




Level 2: R epeatable Training


Examp les of individu als who m ight be assigned resp onsibility for

various training activities includ e:


– a tr ain ing comm it tee,


– an empow ered team, or


Ability 2 Ad eq uate resou rces an d fu nd in g are provid ed for im plem en tin g

the plan ned training activities.

1. When feasible, experienced individuals who have expertise in trainingmethod s and p rocedu res are mad e available for cond ucting trainingand / or training-related activities.


skills include:

– assis tance in t raining needs analysis;

– knowledge of sources for relevant training opportunities;

– application of instructional design principles;

– conducting in-house training; and

– evaluating mastery of learning, transfer of learned skills to the

workp lace, and return on investment.

2. Tools and instruments to supp ort training activities are mad eavailable.





Ab ility 3 Train in g tim e is m ad e availab le to each in divid ual accord in g to

the organ ization’s trainin g policy.

Examp les of methods to d etermine the amoun t of training time to be

allocated to each ind ividual include:

– standard number of days of training that each individual should

receive du ring a chosen time p eriod (usually per year),

– exi st ing level of ski ll ,

– time needed to acquire the crit ical skills required by an

individu al’s current assignm ent,

– t ime required to develop a sk ill,

– time required to achieve a given proficiency level in actual working

conditions, and– time needed to prepare for potential future assignments.

Ab ility 4 In divid uals resp on sib le for id en tifyin g train in g n eed s are train ed

in m ethods relevant to their responsibilities.

Examp les of relevant m ethods in w hich individuals are trained

include:

– identifying t raining needs, and

– identifying training resources.

Ab ility 5 In divid uals d evelop in g or p rovid in g train in g h ave th e n ecessary

training and /or experience required to perform th eir

responsibilities.


Act iv ity 1 Cri tical sk ill s requ ired for performing criti cal tasks are iden tified

in each u nit.





Activity 1 1. Critical tasks involved in p erforming assignments in each u nit are(continued) identified.

A critical task is one that could jeopard ize the successful performan ce of

the assignm ent, if it is not p erformed well accord ing to the task-related

criteria. Examp les of task-related criteria includ e:

– accuracy,

– speed, and

– synchroniza tion with other tasks.

2. Critical skills required to perform the critical tasks of an assignmentare identified.

Critical skil ls are those th at, if not p erformed effectively, could

jeopard ize the successful p erformance of a critical task.

3. The identification of critical skills is upd ated each time there is asignificant change in th e critical tasks of the assignm ent or u nit.

Activity 2 Th e train in g n eed s for each un it are id en tified .

1. The knowledge and skills of the individu als assigned to critical tasksare review ed against the critical skills requ ired for the assignm ent to

determ ine if they need training.

Examp les of method s for evaluating training needs include:

– individual’s personal assessment,

– individual’s previous experience,

– per formance reviews ,

– assessment centers,

– tests, and

– tr ain ing r ecor ds.

2. Prior to undertaking a new assignment, an individu al’s knowledgeand skills are assessed against th e critical skills requ ired for th e newassignment to determine if training is needed.





Activity 4 In divid uals an d/or grou ps receive th e train in g th ey n eed to

perform their assigned tasks.

1. Training alternatives are evaluated to determine which p rovides themost effective mechanism for developing the required kn owledge andskills.

2. Training content is evaluated to ensure that it covers all theknowledge and skills needed by the individual or group .

3. To the extent possible, training is provided to improve knowledge andskills for their timely application in performing assigned tasks.

4. Individuals and groups provide feedback on the quality and

usefulness of the training they receive.

Activity 5 Relevan t train in g op portu nities are id en tified an d m ad e

available to sup port each in dividu al’s developmen t.

1. Training needs are identified for each individu al that support thedevelopment n eeds and interests identified d uring p erforman ceman agement activities conducted w ith them.

See Activity 14 of the Performance Management key process area for

the p ractices dealing w ith identifying the d evelopm ent need s of

individuals in the w orkforce.

2. Potential matches are sought between training opportunities anddevelopment needs.

3. Within the limits of available training resources, training is providedwh en beneficial matches with an individual’s d evelopment need s areidentified.

Activity 6 Train in g is track ed again st th e u nit’s train in g p lan .

1. The unit’s performan ce is routinely reviewed against its training plan.

2. When performance deviates significantly from the plan, correctiveaction is taken.







training activities within each un it.


– amount of t ra in ing provided ,

– rate of t raining against s tated t raining needs,

– retent ion of t ra ined sk ills ,

– improvements in l earned sk ills ,

– application of learned skills or behaviors in job performance, and– quality of t raining as rated in s tudent evaluat ions.

Measurement 2 Unit measures of training status are collected and aggregated at

the organizational level.

1. A historical database of training data is maintained.

2. Training data are periodically analyzed to determine trends.


Verif ica tion 1 A responsible individual(s) ver if ies that train ing act iv it ies are

cond ucted according to the un it’s p lan an d the organization’s



1. Training activities comply with the organization’s policies and statedvalues.

2. Training activities are performed according to the unit’s plans andselected m ethods.





Verification 1 3. All actions related to the developm ent and implementation of training(continued) plans are p eriodically reviewed to ensure th ey conform to

docum ented p olicies.



training activities to determin e if they comply w ith its



1. The amoun t and effectiveness of the training provided.

2. Progress in p erformance of planned training activities.

3. Results from reviews of training practices against the organization’sstated values and app ropriate policies.


5. Trends related to training needs.




Compensation


The purpose of Comp ensation is to provide all individu als withremu neration and benefits based on their contribution and value to theorganization.

Compensation includes d eveloping a d ocum ented compensation strategy,developing a plan for ad ministering compensation, and making p eriodicad justm ents to comp ensation based on performance.

A comp ensation strategy is developed that states the organization’sph ilosophy and m ethods for comp ensating individu als. This comp ensationstrategy is periodically reviewed against business cond itions and revisedwhen necessary. The strategy covers all forms of compensation toindividuals and the criteria by which compensation will be determined. Acomp ensation p lan is prepared periodically to gu ide the ad ministration of the comp ensation strategy.

Those respon sible for making compensation d ecisions are p rovidedguidance in ad ministering and d iscussing the comp ensation strategy anddecisions. Comp ensation decisions are based on comm on criteria stated inthe strategy. Ad justm ents are per iodically mad e to comp ensation based onindividu al performance and other docum ented criteria such as skilldevelopment or promotion.

Goals

G oal 1 Com pen sation strategies an d activities are p lan ned , execu ted ,and communicated.




Compensation Level 2: Repeatable

G oal 2 Comp en sation is eq uitab le relative to sk ill q ualification s an d

performance.

Goal 3 Adjustments in compensation are made periodically based on

defin ed criteria.


Commitment 1 The organization fol lows a documented pol icy for i tscomp ensation activities.

In this discussion compen sation is used to represent the concept of pay

and gu aranteed benefits. Pay includes any gu aranteed fixed rate of

salary or hourly wages provided to individuals, plus any variable

amou nts that are provided based on an existing agreement between the

organization and the individual.

This policy typically specifies that:

1. Compensation activities serve the business objectives and statedvalues of the organization.

2. The comp ensation strategy and associated activities comp ly with allrelevant laws an d regu lations.

3. Responsibilities for the organization’s compensation strategy aredefined and assigned.

4. A compensation strategy will be developed and p eriodicallyreevaluated.

5. The basis for determining and adjusting compensation includes skill

qualifications and performan ce.

6. The frequency with w hich compensation activities are performed isdefined.




Level 2: R epeatable Compensation

Commitment 1 7. Equity will be established and maintained in the compensation(continued) system.

8. Compensation information is confidential to the individu al concerned.

9. The forms in which compensation information may be comm unicated,wh en this information will be comm unicated, and to w hom thisinformation may be comm unicated are defined.


and ad vising un its on comp ensation activities.


Ab ility 1 With in each un it, an in divid ual is assign ed resp on sib ility for

ensu ring that compensation activities are performed .


various comp ensation activities includ e:


– a compensat ion and reward commit tee,– a pro ject or group leader ,

– an empow ered team, or



comp ensation activities.

1. Experienced individuals who have expertise in compensationmethod s and p rocedu res are mad e available for guiding comp ensation

activities.







skills include:

– designing and revising the compensation system,

– determining criteria for adjustments to compensation, and

– participating in compensation decisions.

2. Tools to sup port comp ensation activities are mad e available.

Examples of tools includ e:

– spreadshee ts and ana lysis tools ,

– compensation surveys, and

– compensa tion guidelines .

3. The available pool for fund ing compensation is determined.

4. Funding for compensation activities is made available.

Ability 3 All in divid uals resp on sib le for perform in g com pen sation

activities are trained in those componen ts of the organization’s

comp ensation strategy and p ractices that they need to

un derstand to perform their responsibilities.


Activity 1 A compensation strategy is develop ed.

The compen sation strategy typ ically includes:

1. The rationale behind the strategic decisions mad e in the compensationstrategy.





Activity 1 2. The vehicles for providing compensation and how they are to be used.(continued)

Examples of vehicles for providing compensation include:

– sa la ry o r hou r ly wages ;

– incentive pay (e.g., production-based pay);

– period ic bonuses;

– profit-sharing or other forms of gain-sharing;

– health , life , and/ or d isabil ity insurance ;

– benefits such as holidays, leave, and edu cational assistance;

– d aycare;

– ret irement contr ibutions;

– stock or stock opt ions;

– professional society memberships;

– compan y furnished resources (e.g., cars, home compu ters); or

– specia l a ss ignm en t pay .

3. Criteria for determining and adjusting compensation.

Examp le criteria for d etermining and adjusting compensation includ e:

– cu rr en t sk ills,

– exp erien ce,

– educa tion com pleted ,

– availab i li ty of sk il ls in the marke t,– ind iv idua l per fo rm ance,

– behaviors or act ivit ies valued by the organization,

– contr ibut ion to improvement act ivit ies,

– personal improvement relative to prior performance,

– group or organizat ional performance,

– continued benefit of past contributions or performance,

– functions performed beyond assigned responsibilities,

– add it ional skills developed ,

– leadership exercised,

– willingness to take on difficult assignments,

– posit ion respons ib ilit ies,– job band s, or

– impact of position on organizational performance.





Activity 1 4. Guidelines for using different comp ensation vehicles and criteria in(continued) determining compensation for d ifferent positions.

5. The methods by which compensation decisions will be mad e forindividu als (and group s or un its, if app ropriate). These meth ods mayvary by p osition or unit.

6. Methods for establishing and m aintaining equity in the compensationsystem.

7. The frequency with which the compensation strategy needs to bereviewed.

8. Criteria for evaluating the appropriateness of the comp ensationstrategy.

Activity 2 Th e com p en sation strategy is period ically review ed to determ in e

wh ether it needs to be revised.

1. The review is organized by the individual(s) assigned responsibilityfor coordinating comp ensation activities across th e organ ization.

2. Individu als are involved in the review if and w here appropriate.

3. Revision of the compensation strategy is considered w hen:

t it is not having the intend ed motivational effect,

tit does not reflect current business conditions,

t it creates inequities,

t current p ractices are not comp etitive with benchmark d ata fromsimilar organizations, or

t better compensation concepts have been identified.

4. The decision to revise the comp ensation strategy is reviewed w ithexecutive management.

Activity 3 Wh ere ap p rop riate, in divid u als are in volved in d evelop in g or

revising compon ents of th e comp ensation strategy.






Involving ind ividuals in developing or r evising th e compensation

strateg y is beneficial in:

– gaining insights into the most effective compensation strategies,

– determining perceived fairness of the strategy, and

– generating buy-in and support for the strategy.

They can be involved either as an individu al or as a member of a

committee representing the workforce or a comp onent of the wor kforce.

1. Individu als can provide inpu ts to the compensation strategy

regarding:t benefits and drawbacks of current comp ensation vehicles,

t criteria for determining or adjusting compensation,

t fairness of the comp ensation strategy, and

t method s for adm inistering comp ensation.

2. Individuals can review a revised compensation strategy with regardto:

t impact of prop osed changes on motivation and p erformance,

t fairness of prop osed changes, and

tmost effective w ays to initiate and adm inister the chan ges.

Activity 4 A com pen sation p lan is p rep ared on a p eriod ic b asis for

admin istering th e comp ensation strategy.

The compensation p lan typically includ es:

1. The financial data needed for administering the compensationstrategy.

2. The schedule of events and responsibilities for those involved inadm inistering the comp ensation strategy.

3. How the methods described in the compensation strategy will beapp lied in m aking compensation decisions.

4. How and when the compensation decisions will be reviewed.





Activity 5 Th e com p en sation strategy is com m un icated to th e w ork force.

1. Information typically commu nicated to the w orkforce includes:

t strategic basis and stru cture of the comp ensation strategy,

t method s for m aintaining equity within the comp ensation system,an d

t events that result in changes to compen sation.

2. Whenever the compensation strategy is changed, the changes arecommu nicated to the workforce.

Activity 6 Each in d ivid u al’s com p en sation p ack age is d eterm in ed th rou gh

a docum ented p rocedu re that is consistent with theorganization’s comp ensation policy, strategy, and plan .

The proced ure typically specifies:

1. How financial resources will be allocated to un its for assignment toindividu al comp ensation packages.

2. Who will make decisions that allocate comp ensation resources toun its and to the individu al’s comp ensation packages.

3. How criteria will be applied in making decisions for individualcompensation packages.

4. How compensation decisions will be reviewed and ap proved beforebeing comm unicated to individuals.

5. How comp ensation d ecisions will be commu nicated to individuals.

6. How individuals may add ress issues related to their compensationpackages.

Activity 7 Com pen sation activities are p erform ed b y resp on sib le

ind ividuals in accordance with a docum ented p rocedu re.

1. Compensation adjustments are determined by the responsibleindividu als based on criteria established in the compensation p olicy,strategy, and plan.






Examples of trends to be reviewed include:

– compensation versus market by position,

– workforce perceptions regarding compensation practices and equity,

– growth in compensation over t ime, and

– compensation versus individual, unit, and/ or organizational

performance.


Verif ica tion 1 A responsible individual(s) ver if ies that compensat ion act iv it ies

are cond ucted according to th e compen sation plan and the



1. Compensation activities comply with all relevant laws andregulations, and with th e organization’s policies and stated values.

2. Compensation activities are performed according to theorganization’s plans and selected m ethods.


4. All actions related to compensation activities are periodicallyreviewed to ensu re that they conform to docum ented p olicies.


compen sation activities to determine if they comply w ith its

documen ted policies and compen sation plan.


1. The structure and growth of compensation.

2. Progress in the performance of planned compensation activities.

3. Results from reviews of compensation p ractices against the

organization’s policies and stated v alues.


5. Trends related to comp ensation, both internal and external to theorganization.




People


Level 3: D efin ed

The key p rocess areas at the Defined level ad d ress organizationalissues. The organization identifies its core competen cies and plans,and tailors and executes its d efined workforce practices to enh anceits cap abilities in th e core competen cies requ ired by its businessenviron men t. The organization tailors its workforce activities fordeveloping and reward ing these core competencies. Careerdevelopment activities are un dertaken and a p articipatory cultureis nurtured .

Key process areasKnowledge and Skills Analysis L3-1

Work force Plan ni ng L3-11

Competency Development L3-25

Career Developm ent L3-35

Competency-Based Practices L3-49

Participatory Culture L3-63



Knowledge andSkills Analysis

A k ey p rocess a rea fo r Lev e l 3 : De f in ed

The purpose of Knowledge and Skills Analysis is to identify the knowledgeand skills required to p erform core business processes so that they m ay bedeveloped an d u sed as a basis for workforce practices.

Knowledge and Skills Analysis involves identifying the business processes

in which the organ ization must maintain comp etence, developing profilesof the know ledge and skills needed to perform these business fun ctions,maintaining a know ledge and skills inventory, and identifying futu reknowledge and skill needs.

Business fun ctions are evaluated to d etermine the core competencies theorganization must maintain to sustain its business capability. Businessprocesses constituting these fun ctions are an alyzed to identify theknow ledge and skill profiles und erlying each core comp etency. These

profiles are period ically reassessed to ensure that they are cur rent w ith theactual knowledge and skills required by the organization’s businessprocesses. The organization m aintains an information base of theseprofiles. Anticipated changes in p rocesses or technologies are analyzed todetermine their imp lications for futu re know ledge and skill requirements.

The analysis of core comp etencies occurs at th e organ izational level and isof long-term concern to executive m anagement an d those responsible forcoordinating workforce activities across the organization . Knowledgeand skill profiles are used at the u nit level in p erforming w orkforce

activities described in the Staffing, Training, Performance Management,Comp etency Developm ent, Competency-Based Practices, and other keyprocess areas.




Knowledge and Skills Analysis Level 3: Defined

Goals

Goal 1 Th e core com peten cies req uired to p erform th e organ ization ’s

bu siness processes are kn own.

G oal 2 Kn ow ledge and sk ills p rofiles exist for each bu sin ess p rocess.

Goal 3 Core competencies are u pdated for anticipated future needs.


Commitmen t 1 The organization follows a documented policy for analyzing i ts

kn owledge and skills requ irements.


1. Knowledge and skills analysis serve the bu siness objectives and

stated valu es of the organization.

2. The knowledge and skills required to perform the organization’sbusiness p rocesses (includ ing technical, managerial, andad ministrative activities) are identified.

3. A list of the core comp etencies on which to base the workforceactivities is maintained and revised, as necessary.

4. Knowledge and skills analysis activities will be condu cted on aperiodic and event-driven (as needed) basis to m aintain an d up datethe knowledge and skill profiles.

5. An inventory of the knowledge and skills profiles in each of theorganization’s core competencies is maintained.

6. There are defined p rocedures for maintaining and using the inventory,includ ing who has access and for wh at pu rposes.




Level 3: Defin ed Knowledge and Skills Analysis

Commitmen t 2 An organizational role(s) is assigned responsibili ty for

coordinatin g kn owled ge and skills analysis activities across the

organization.


Ab ility 1 Th e organ ization al role(s) assign ed resp on sib ility for

coordinating k now ledge and skills analysis activities is staffed.

Ab ility 2 D escrip tion s of th e organ ization ’s b usin ess p rocesses areavailable for analysis.


kn owled ge and skills analysis activities.

1. Experienced individuals who have expertise in knowledge and skillsanalysis are mad e available.

Examp les of ind ividuals wh o can contribute to know ledge and skills

analysis includ e:

– human resources professionals ,

– train in g staff,

– members of the software engineering process group,

– managers,

– business s trategists , and

– inst ruct iona l des igners.

2. Tools for sup porting knowledge and skills analysis activities aremad e available.

Examp les of tools to supp ort know ledge and skills analysis includ e:

– t as k a na ly sis to ols ,

– posit ion analysis quest ionnaires,

– skil l ana lysis inventor ies, and

– knowledge acquisition and engineering tools.





Ability 3 3. Time, resources, and needed access to staff for analyzing business(continued) tasks and processes are m ade available.

Ab ility 4 All in divid uals p erform in g k now led ge an d sk ills an alysis are

trained in relevant analysis methods and techniq ues.


Activity 1 Th e core com p eten cies th at th e organ ization mu st d evelop an d

maintain to p erform its bu siness functions are identified.

A competency is an u nd erlying characteristic of an ind ividual that is

causally related to effective and/ or sup erior performance, as

determined by measurable, objective criteria, in a job or situation

[adap ted from Spen cer93, p. 9].

A core competency represents the knowledge and skills needed within

the workforce to perform an important business function of the

organization. A core comp etence can be stated at a v ery abstract level,

such as a need for a core comp etence in software engineering. Core

competen cies can also be decomposed to mor e granu lar capabilities, such

as core comp etencies in designing avionics softwa re, testing sw itchingsystem software, or w riting u ser manu als and training for reservations

systems. A core comp etence can be d ecomp osed into the specific

know ledge and skills requ ired to perform the business processes

und erlying th e business function for w hich th e competency is

maintained.

1. The business functions that implement the organization’s mission andstrategy, and the functions required to sup port them are identified.

2. The comp etencies the organization mu st develop and m aintain toperform these business functions are identified as core comp etencies.

3. The results of knowledge and skills analyses are evaluated to identifyany core competencies not previously identified.





Activity 2 Profiles of th e k now led ge an d sk ills u nd erlyin g each of th e

organization ’s core comp etencies are developed .

1. A plan is developed for knowledge and skills analysis activities thattypically includes:

t the core competencies and other bu siness processes to beanalyzed;

t the kn owledge and skills analysis activities to be p erformed;

t the schedule for knowledge and skills analysis activities;

t the individuals or grou ps responsible for know ledge and skillsanalysis activities;

t the resour ces and effort requ ired, includ ing access to the staff; and

t the process for review and ap prov al of the plan by all partiesaffected by kn owledg e an d skills analysis activities.

2. A method is selected for performing knowledge and skills analyses.

Examp les of method s for know ledge and skills analysis includ e:

– p osit io n a na ly sis,

– cr it ica l incident in terv iews,

– behavio ra l event in t er v iews,

– process analysis and engineering,

– task an alysis,

– knowledge acquisition and engineering, and– analysis of sk ill needs.

3. The organization defines the unit for decomposing work for thepu rpose of analyzing know ledge and skills.

Examp les of un its for decomp osing work includ e:

– work breakdown structures,

– tasks or act ivi ties (managerial and technical),

– p rocesses, an d

– other work decomposit ions.

4. Relevant work d escriptions are identified for analysis.





Activity 2

(continued) Examp les of wor k d escriptions selected for the an alysis may includ e:

– posit ion respons ib ilit ies,

– t as ks or act iv it ie s,

– business processes,

– g roup act iv it ie s, and

– other categories into which w ork is organized.

5. The knowledge and skills required to perform defined businessprocesses and w ork tasks are iden tified.

Knowledge is defined as the information and und erstanding that

someone needs to hav e to perform a task su ccessfully. Ski l l s are defined

as the performa nce abilities that mu st be developed to p erform a task

or activity su ccessfully. Skills ma y inv olve behav iors that directly

accomplish the task or that p rovide the sup port of or coordination w ith

others wh o help to accomplish tasks.

Examp les of know ledge and skills und erlying a broadly d efined core

competence in softwa re engineering may include:

– knowledge of the requirements and system behaviors within

a dom ain of application such as ban king, avionics, medical

dev ices, reservations, telecomm un ications, or word processing;

– skills in requirements engineering;

– skil ls in software a rchitecture;

– skills in designing computer programs;

– skil ls in usabil ity analysis and evaluat ion;

– knowledge of a domain-specific software architecture;

– knowledge of specific computer architectures,

– skills in using compu ter-aided software engineering (CASE) tools;

– skills in using one or more programming languages such as Ada, C++,

Visual Basic, or Assembler;

– skills in software test ing;

– ski lls in software quality assurance;

– knowledge of configuration management procedures;

– skills in software process improvement;

– skills in performing a defined software process; and

– skills in performing effectively within a programming team.





Activity 2 6. Individu als are involved in analyzing the knowledge and skills(continued) required to perform their responsibilities.

7. A knowledge and skills profile is defined for each business process,core competency, or other category into w hich the organizationdecomposes its wor k processes.

A knowledge and skills profile is a description of the know ledge and

skills required to perform an a ctivity, process, or p osition.

Activity 3 An in ven tory of k now led ge an d sk ill p rofiles is m ain tain ed .

1. Knowledge and skills profiles are documented and m aintained in aninformation base that is designed for use in sup porting andperform ing w orkforce activities.

2. Changes to the knowledge and skills profiles are controlled accordingto a formal change procedu re.

Activity 4 Kn ow led ge an d sk ills p rofiles are reevalu ated on a p eriod ic or

event-driven basis.

1. Knowledge and skills profiles are periodically analyzed against theactual work of individu als and / or group s to determ ine their accuracy.

2. Changes in w ork methods, processes, or technologies are analyzed onan event-driven basis to determine wh ether related know ledge an dskills profiles need to be up da ted.

3. Needed changes to knowledge and skills profiles are mad e accordingto a documented change procedure.

Activity 5 Core com p eten cies are reevalu ated on a p eriod ic an d even t-

driven b asis.

1. Core competencies are periodically analyzed against knowledge and

skills profiles to determ ine if they continu e to reflect the competen ciesnecessary to perform the organization’s bu siness p rocesses.

2. Changes in knowledge and skills profiles are evaluated to determine if the d escriptions of core comp etencies need to be revised.





Activity 5 3. Changes in prod ucts, processes, or technology are assessed as(continued) necessary to d etermine ad ditions, modifications, or deletions to the

core comp etencies required to accomm odate them .

4. Action is taken to upd ate the description of core comp etencies basedon th e results of periodic or event-dr iven reanalysis.

5. Changes in the description of core comp etencies are subm itted asinpu t to the development of strategic and near-term w orkforce plans.

Typical changes ma y includ e:

– new knowledge and skills that must be developed or acquired,

– changes in existing knowledge and skills,

– changes in the number of people that will need to possess particular

know ledge and skills, and

– knowledge and skills that are outdated or will no longer be needed.



kn owledge and skills analysis activities within each un it and

across the organization .


– amount of time spent in knowledge and skills analysis activities,

– number of people involved in knowledge and skills analysis,

– number of profiles created,

– number of core competencies identified,

– effectiveness of meeting milestones in knowledge and skills

analysis activities,

– effectiveness of achieving the objectives of knowledge and skills

ana lysis activities, and

– period between up dates of know ledge and skills analyses.





Measurement 2 Measurements are made and used to determine the quali ty of

kn owledge and skills profiles.

Examp les of measurem ents of the quality of knowledge and skills

pro files includ e:

– density of knowledge and skill descriptions in each profile,

– frequency and range of uses of the information base containing

knowledge and skills profiles,

– extent that core competencies are used in workforce activities, and

– number of revisions made to knowledge and skills profiles.


Verif ica tion 1 A responsible individual(s) ver if ies that knowledge and ski lls

analysis activities are cond ucted accordin g to plan an d th e



1. Knowledge and skills analysis activities comp ly with theorganization’s policies and stated v alues.


3. All actions related to the developm ent and use of knowledge andskills descriptions are periodically reviewed to ensure they conform todocum ented p olicies.

4. Knowledge and skills profiles are consistent w ith the existing andanticipated organizational conditions and needs.

Verification 2 The organization’s knowledge and skills analysis activit ies are

periodically reviewed by executive m anagement.

These reviews verify the:





Verification 2 1. App ropriateness of knowledge and skills analysis activities.(continued)

2. Progress in the performance of planned knowledge and skills analysisactivities.

3. Results from reviews of knowledge and skills analysis plans againstthe organ ization’s stated values and app rop riate policies.


Ver if ica tion 3 The defini tion and use of data on knowledge and sk il ls are

periodically audited.




Workforce Plann ing


The pu rpose of Workforce Plann ing is to coord inate workforce activitieswith current and futu re business needs at both the organizational and u nitlevels.

Workforce Planning involves developing a strategic workforce plan th atsets organization-wid e objectives for competency developm ent andworkforce activities, and developing near-term plans to guide the

workforce activities of each unit.

The workforce planning process begins by identifying future competencyand workforce needs of the organization. These needs are assessed fromanticipated futu re developm ents in the business and its prod ucts, services,markets, work technologies, and business processes. A plan is created forthe long-term d evelopm ent of each competency needed by theorgan ization. A strategic workforce p lan is created by integra ting thesecompetency development plans and determining how the needed

comp etencies will be provided over time. This plan sets long-termobjectives for w orkforce activities to meet d ocumented workforce needs.

Near-term w orkforce plans are d eveloped periodically at both theorgan izational and u nit levels. These p lans set specific near-termobjectives for performing w orkforce activities that satisfy both long-termstrategic workforce objectives and the current needs of the business andeach u nit. Succession p lans are developed for each key position in theorgan ization. Performan ce against these plans is periodically checked andreported at the ap prop riate level.




Workforce Planning Level 3: Defined

Goals

Goal 1 Th e organ ization develop s a strategic p lan for lon g-term

developmen t of the competencies and w orkforce needed for its

bu siness operations.

Goal 2 N ear-term w ork force an d comp eten cy d evelop men t activities

are plann ed to satisfy both current and strategic work force needs.

Goal 3 The organ ization develops talent for each of its key positions.

G oal 4 Th e organ ization track s p erform an ce in ach ievin g its strategic

and near-term w orkforce developm ent ob jectives.


Commitment 1 The organization fol lows a documented pol icy in developingand up dating its strategic and near-term w orkforce plans.


1. Workforce planning serves the business objectives and stated valuesof the organ ization.

2. The strategic and near-term workforce plans supp ort theorganization’s business strategies and operating objectives.

3. The core competency needs of the organization can be traced torequiremen ts levied by its curr ent and anticipated business processes,

technologies, and activities.

4. Responsibilities for initiating, condu cting, and ap proving the strategicand near-term workforce plans are defined and assigned.




Level 3: Defin ed Workforce Planning

Commitment 1 5. The frequency with which the strategic and near-term workforce plans(continued) are developed an d revised is defined.

6. Approp riate procedures will be defined, docum ented, and used for:

t developing the strategic workforce plan.

t creating d evelopm ent p lans for each core competency.

t reviewing and app roving strategic and near-term workforce plans.

t basing all relevant workforce activities on the strategic and near-term w orkforce plans.

t correcting and amend ing the strategic and near-term workforceplans.

t reviewing the comp liance of workforce activities with the stra tegic

and n ear-term w orkforce plans.t documenting the strategic and near-term workforce planning

process and results.

t comm unicating the strategic and near-term workforce p lansthroughout the organization.


coordin ating strategic and n ear-term work force plans.


Ab ility 1 Th e organ ization al role(s) assign ed resp on sib ility for strategic

and near-term w orkforce plann ing are staffed.

Ab ility 2 Strategic an d op eration al bu sin ess ob jectives are m ad e availab le

for developin g strategic and n ear-term work force plans.

Ab ility 3 Th e organ ization ’s core com peten cies have been id en tified .





Ability 5 All in divid uals w ho are in volved in develop in g or execu tin g

strategic and near-term work force plans are given guidan ceand /or training for performing th eir respon sibilities.

Examp les of app ropriate guidance and/ or training may includ e:

– appropriate s trategic assignments ,

– training in long-range planning,

– training in analyzing knowledge and skill needs,

– training in developing near-term plans, and

– training in executing and tracking near-term plans.


Activity 1 Th e strategic com peten cy an d work force n eed s of th e

organization are documented.

1. The strategic comp etency needs of the organization are developedfrom inpu ts identifying the knowledge an d skills needed to conduct

the organization’s future business activities.

Examp les of relevant inpu ts concerning strategic comp etency needs

include:

– the organization’s business objectives and capabilities,

– the organization’s knowledge and skills profiles,

– anticipated business processes and technologies,

– anticipated working behaviors and environments ,

– data from benchmarking act ivit ies, and

– anticipated changes in laws and regulat ions.

2. An un derstanding of the organization’s strategic needs relative toeach core competency is documented .






Examp les of information that m ay be relative to each core comp etency

include:

– how the knowledge and skills composing the competency are

related to and required by business processes and activities,

– how the competency integrates with competencies required by other

business processes and activities,

– what business measures indicate the effectiveness with which the

competency is being performed , and

– how changes in business processes and functions may change the

defined knowledge and skills composing the comp etency.

3. The organization’s current capability for performing each comp etencyis assessed an d d ocumented as a baseline for determ ining futu redevelopment needs w ithin the w orkforce. The curren t capability isdetermined by:

t the nu mber of people currently possessing th e competency,

t the current level of knowledge and skill exhibited by the p eoplepossessing th e comp etency,

t the nu mber of peop le in the p rocess of developing the comp etency,an d

t the d evelopm ent resources and activities in place for p rodu cingthe competency.

4. The workforce needs of the organization are developed from inpu tsidentifying the n um ber of p eople wh o p ossess different competenciesthat the organization will need to conduct its futu re businessactivities.

Examples of relevant inpu ts concerning strategic workforce needs

include:

– the organization’s anticipated business objectives and capabilities,

– anticipated future requirements in the organization’s core

competencies,

– effort requirements for future business processes and technologies,– anticipated markets and revenues, and

– anticipated talent needs and sources.





Activity 1 5. Strategic comp etency and workforce needs are identified by those(continued) having knowledge of the organization’s future business needs.

Examp les of peop le with know ledge of the organization’s future

business needs include:

– execut ive and l ine managers,

– exper ienced ind iv idua ls ,

– tech nologists,

– str ateg ic p la nn er s,

– m arket ing specia lis ts ,


– customer representatives, and

– external consultan ts .

6. Strategic comp etency and w orkforce needs are docum ented at boththe u nit and organizational levels.

Strategic competency and wor kforce needs cannot be developed in a

strictly top-dow n or bottom-up fashion. Although organ izations should

aggregate the anticipated competency and workforce needs of units,

significant changes in the p rocesses or technologies used to p erform

wor k can result in un its being created, eliminated , or radically

reorgan ized. Therefore, a comp onent of strategic competen cy and

workforce planning m ust be m ore than a simple aggregation of the u nits’

needs.

Act ivity 2 For each of th e organ ization ’s core com p eten cies, a com p eten cy

developmen t plan is p roduced.

1. The developm ent plan for each of the organization’s corecompetencies is based on:

t the organ ization’s current level of capability in each of its corecompetencies,

t the strategic comp etency needs of the organ ization, and

t the organization’s established competency d evelopm ent activities.

2. The competency developm ent plan for each of the organization’sstrategic core comp etencies includ es:





Activity 2 t the anticipated nu mber of people with the needed competency by(continued) specified dates,

t how the nu mber of people w ith the comp etency w ill be developedand/ or provided,

Examp les of mechanisms throu gh w hich people with a competence can

be developed or p rovided includ e:

– hir ing indiv iduals wi th the competence ,

– acquiring an external organization with the competence,

– developing the competence through training,

– motivating the competence through career development and

competence-based practices,

– bringing in consultants ,– hiring contractors with the competence, and

– outsourcing the work.

t the internal w orkforce activities that need to be p erformed todevelop th e competencies,

t the resources needed to p erform the internal w orkforce activitiesneeded for developing an d maintaining the competencies,

t how comp etencies will be maintained or enhanced over time, and

t the rate of change in the kn owledge and skills required to p rovidethe n ecessary comp etencies to sup port the organ ization’s

anticipated business activities.

3. The developm ent plan for each of the organization’s corecompetencies is reviewed on a p eriodic and event-driven basis andup dated or revised as necessary.

4. Competency development plans undergo review by all affectedparties and are app roved by executive management.

Examples of parties affected by th e developm ent p lan for each of the

organ ization’s core competen cies includ e:

– those responsible for coordinating workforce activities across the

organization;– those responsible for performing and reporting workforce activities,

especially those related to comp etency developm ent; and

– those responsible for units or groups.





Activity 2 5. The development plans for the organization’s core comp etencies form(continued) a p artial basis for the organization’s strategic and n ear-term

workforce plans.

Act ivity 3 A strategic work force p lan is d evelop ed an d period ically revised .

The strategic workforce plan:

1. Is developed using a docum ented procedure that specifies the:

t schedu le for per forming the w orkforce planning activities,

t individuals or groups responsible for different strategic workforceplanning activities,

t resources required for the planning activities, and

t process for review and ap proval by all par ties affected bystrategic workforce plann ing activities and by executivemanagement.

2. Integrates the development p lans for each of the organization’scurrent an d anticipated core competencies.

3. Docum ents the organization’s decisions regarding the mechanismsthrough w hich core comp etencies will be developed an d/ or provided.

4. Provides long-term requirements for growth or shrinkage in theorganization’s core competencies and for guiding the development of

comp etency-based practices.

Examples of strategies for d eveloping core comp etencies includ e:

– developing specialists within the competency,

– providing minimal training to all individuals to achieve

core competency,

– growth through graduated career opportuni ties,

– cross-t raining selected individuals, and

– training selected groups within the units.

5. Provides guidance for near-term workforce planning.

6. Includes descriptions of anticipated changes in the organizationrequ ired to attract, develop, motivate, and retain the talent needed bythe organization.






Examp les of changes in the organ ization include chan ges to the:

– workforce pract ices,

– working conditions or arrangements,

– learn ing technologies,

– structure of the organization,

– technologies through which work is performed, and

– loca tion o f t he work .

7. Includes a risk assessment of the organization’s ability to attract,recruit, and retain the talent that will be needed for cond ucting the

organization’s future business.

8. Is revised periodically to reflect changes in the business.

Activity 4 N ear-term work force p lan s are d evelop ed to gu id e w ork force

activities in each un it.

Near-term w orkforce plans:

1. Are designed to satisfy the near-term workforce planning objectives of un its, while at the same time sup porting the long-term strategiccompetency an d workforce objectives of the organization.

Examples of near-term p lanning ob jectives includ e:

– determination of unit staffing, training, and other unit needs;

– aggregation of unit staffing and training needs to the

organizational level; and

– planning workforce activities to satisfy staffing, training, and

other w orkforce need s at the organizational level.

2. Are developed u sing a docum ented procedure that specifies the:

t schedu le for per forming these p lanning activities,

t individuals or groups responsible for producing the near-term

workforce plans for each un it,

t resources for p rodu cing the near-term w orkforce plans, and

t process for review an d ap prov al by all par ties affected by n ear-term w orkforce plans.





Activity 4 3. Are developed by those accountable for w orkforce activities within(continued) each unit working with those respon sible for aggregating unit plans to

higher organizational levels.

4. Identify and d ocum ent the workforce needs of the unit for the nextnear-term p lanning period.

5. Plan and document the unit- and organizational-level activitiesrequired to sup port these near-term w orkforce needs.

These activities includ e all of w orkforce resp onsibilities initiated in

the key p rocess areas at Level 2, in ad dition to n ew r espon sibilities

dev eloped at Level 3. Examples of un it-level workforce activities

include:

– staffing anticipated open posit ions,

– succession planning,

– activities for increasing the u nit’s level of core comp etencies in

add ition to an y training requ ired for performing the sp ecific

assignments made in executing the unit’s business activities,

– t ra in ing to be deliver ed ,

– career development act iv it ies,

– changes in compensation and anticipated rewards,

– improvements to the work environment, and

– other needed human resources act ivit ies.

Examples of organization-level activities include:

– performing organizational recruiting activities,

– organiz ing train ing delivery ,

– developing career opportunit ies,

– preparing compensation and reward plans,

– making improvements to the work environment, and

– other needed human resources act ivit ies.

6. Identify, assess, and d ocum ent the risks associated with the near-term w orkforce plans.

7. Record workforce planning data.





Act ivity 5 Th e organ ization d evelop s su ccession p lan s for its k ey p osition s.

Succession plans are developed for key positions to ensure that

qualified individu als with the required know ledge and skills are

always available to perform the p osition’s responsibilities.

1. Key positions are identified.

2. Key position profiles are developed that provide a description of each position, the comp etencies required to perform itsresponsibilities, and critical success factors.

3. A candidate pool for each key position is developed.

4. Performance managem ent, training, career development, and similardevelopm ent activities for w illing cand idates are based in par t onsuccession planning objectives.

Activity 6 Th e organ ization ’s perform an ce in m eetin g th e ob jectives of its

strategic and near-term work force plan s is tracked .

1. Executive management periodically reviews the status of theorganization’s p erformance against its strategic and near-termworkforce plans.

2. If progress against objectives deviates significantly from the strategicand near-term workforce plans, corrective action is taken.


– taking specific actions to bring results into compliance with the

objectives of the strategic or near-term workforce plan;

– reviewing near-term workforce plans to ensure that they comply

with strategic objectives and making plan r evisions w hen

necessary; and

– revising the s trategic workforce plan.

Activity 7 Each u n it’s p erform an ce in m eetin g th e ob jectives of its n ear-

term work force plans is tracked .





Activity 7 1. Each u nit periodically reviews the status of its performance against(continued) its near-term workforce plan.

2. The progress of each un it in executing its near-term w orkforce plan isperiodically reviewed at the organizational level.

3. Corrective actions are taken wh en results deviate significantly fromobjectives in th e near -term workforce plan.


– taking specific actions to bring results into compliance with the

un it’s near-term w orkforce plan , and

– reviewing a unit’s near-term workforce plan against current unit

performance and organization’s near-term plans to d etermine if

revisions are n ecessary.



strategic and near-term workforce plann ing activities across the

organization.

Examp les of workforce plann ing measur ements includ e:

– time spent in strategic and near-term workforce planning,

– number of people involved in strategic and near-term workforce

planning,

– effectiveness of meeting milestones in strategic and n ear-term

workforce p lanning,

– effectiveness of achieving the objectives of the strategic

workforce plan,

– effectiveness of meeting objectives of the near-term workforce

plans at the organ izational and un it levels,

– number of revisions made to strategic and near-term workforceplans, and

– length of time between strategic and near-term work force

plann ing cycles.




Competency Developmen t Level 3: Defined


Commitment 1 The organization fol lows a documented pol icy for developing

the core comp etencies requ ired to perform its b usin ess processes.


1. Competency d evelopment activities serve the business objectives andstated valu es of the organization.

2. Activities to increase the core comp etencies of the organizationsup plement activities to increase the kn owledge an d skills required toperform w ork in each u nit.

3. The organization continuously develops knowledge and skills in eachof its core competen cies.

4. The organization ensures that effective methods for developing andmaintaining core comp etencies are provided and used.

5. Progress in d eveloping core competencies is tracked for:

t all individuals,

t each unit, and

t the organization.

6. Hu man resources professionals are consulted to ensure thatcompetency d evelopm ent activities comp ly with all relevant laws,regulations, and organizational policies.


coordinatin g the organization’s comp etency developmen t

activities.




Level 3: Defin ed Competency Developmen t



coordin ating the competen cy develop men t activities is staffed.

Ab ility 2 An in divid ual(s) is assign ed resp on sib ility for en su rin g th at

comp etency-developm ent activities are performed in each u nit.

Ability 3 Ad eq uate resou rces, fu nd in g, an d tim e are provid ed for th e

plann ed organization-wid e an d un it-specific competency

developm ent activities.

1. Experienced individuals who have expertise in d eveloping specificcomp etencies (i.e., specific know ledge an d skills) are m ad e availablefor assisting in the development of core comp etencies.

2. Tools and other resources for supporting competency developmentactivities are m ad e available.

Examp les of tools to sup port comp etency developmen t includ e:

– t ra in ing and tu tor ia l mater ia ls ,

– self-study gu ides,– t ra in in g fa cilit ie s,

– on-the-job t raining aids, and

– descr ipt ions of available t raining opportuni ties .

3. The organization’s near-term w orkforce plan allocates arecommend ed am ount of staff time to competency developmentactivities.

4. Each u nit’s near-term w orkforce plan allocates a portion of eachindividual’s time for competency development activities.






Examp les of method s for tracking know ledge and skills in th e core

competencies include:

– training and mentoring records,

– performance management records,

– career p lanning information,

– awar ds and ach ievemen ts ,

– professional accomplishments,

– assessment centers, and

– information from the performance of business processes.

Examp les of competency information that might be tracked includ e:

– distribution of knowledge and skill levels within each core

competency;

– proficiency against core competencies;

– special skills, such as experience with specific programm ing

languages, d esign method ologies, or sp ecific app lications or

legacy systems;

– distribution of core competencies across the organization;

– rate of change in the distribution of knowledge and skills within

each core competency; and

– proportion of the workforce with improvement plans in each core

competency area.

This procedure typically specifies:

1. What information is to be collected and maintained.

2. How this knowledge and skills information will be used.

3. The legitimate purp oses for which this information may be used.

4. How this information is to be represented and p resented.

5. How confidentiality is to be established and m aintained for this

information.6. Who may have access to this information and und er what

circumstances.

7. How this information is to be updated.





Activity 2 8. How the completeness and accuracy of this information will be(continued) audited.

9. Restrictions on the use of the information.

10. Procedu res by wh ich ind ividu als can review and correct their data.

Activity 3 Th e organ ization estab lish es a p rogram of train in g an d

developm ent in its core comp etencies.

1. Methods for developing the core competencies are identified.

2. Graduated training and d evelopment activities are defined for eachcore competency using app roved m ethods.

Examples of comp etency develop men t activities for increasing the level

of core competen cies in the organization includ e:

– formal classroom t ra in ing ,

– courses of study at educational institutions,

– d egree p rogram s,

– licensing or certification programs,

– gu id ed s elf-stu d y,

– apprent iceship or mentoring ,

– jus t-in-t ime t ra in ing ,

– o the r t ra in ing act iv it ie s,

– recruit ing object ives, and

– career development p lanning.

3. The organization establishes standards for the learning activitiesincluded in the training an d developmen t of its core competencies.

4. All courses, learning materials, or other developm ent activities arequalified against th e organization’s stand ard s before being offered tothe w orkforce.

5. Learning activities are periodically reviewed to:

t ensure their compliance with established stand ard s,t identify revisions that are need ed in the standar ds, and

t ensure effectiveness in d eveloping comp etencies.





Activity 3 6. Resources for delivering the training and d evelopment activities are(continued) identified and made available.

7. The training and d evelopment program is updated as changes aremad e to profiles of the organiza tion’s core comp etencies.

8. The graduated training and d evelopment activities in each corecompetency are comm un icated to those responsible for careercounseling.

9. Training and development records are maintained at theorgan izational level.

Activity 4 In divid uals in each u nit receive train in g an d develop men t as

needed in approp riate core competencies.

1. The responsible person ensures that each individu al’s personaldevelopmen t plan includes activities for increasing their know ledgeand skills in ap prop riate core competen cies.

Refer to Activity 1 of the Career D evelopmen t key p rocess area for

practices regarding developing and maintaining each individual’s

personal development plan.

2. The responsible person counsels individu als, as needed, about

available training and developmen t in r elevant core comp etencies andhow developm ent in different comp etencies affects career d irections.

Development in core competencies may be oriented towards improved

capability in an individ ual’s current assignm ent, as well as toward s

developing capability in related competencies.

3. A waiver procedure is established and u sed to determine whenindividuals already p ossess the knowledge an d skills comp osing oneor more of the organization’s core comp etencies.

4. Wherever possible, individu als will receive assignments that supp ortthe new competencies acquired through training.





Activity 5 Th e organ ization mak es availab le to in d ivid u als in form ation on

the organization’s core comp etencies and learning op portun ities

related to their developm ent.

Activity 6 In d ivid u als are actively in volved in id en tifyin g an d p u rsu in g

learning opp ortunities to enhance their capabilities in the

organization ’s core competen cies.

Refer to the Car eer Developmen t key p rocess area for p ractices

regard ing each ind ividual’s role in his or her own p ersonal

development.



comp etency development activities within each u nit and across

the organization.

Examples of measu rements to determine the status of comp etency

developm ent activities include:

– amount of t ime spent in developing knowledge and skills related to

the organization’s core competencies,

– number of people involved in developing competency development

activities, and

– rate of progress in competency development activities.


various competency developm ent activities.






Examples of measurements of the quality of competency development

pra ctices includ e:

– individu al ratings of the effectiveness of each competency

development m ethod,

– level of knowledge and skill developed in each competency area

through different development method s,

– performance-based evidence of increases in knowledge and skills in

each core comp etency,

– results of certification programs where appropriate, and

– rate at which individu als requests access to different training

programs or methods.


Verif ica tion 1 A responsible individual(s) ver if ies that competency

developmen t activities are cond ucted according to the

comp etency developm ent plan and the organization’s



1. Competency d evelopment activities comp ly with the organization’spolicies and stated values.


3. All actions related to competency developm ent activities areperiodically reviewed to ensure they conform to d ocumented policies.

4. Comp etency developm ent method s and ma terials are consistent withthe existing and anticipated conditions and n eeds of the organization.





Verif ica tion 2 The organization’s competency development act iv it ies are



1. App ropriateness of comp etency development activities at theorganizational and un it levels.

2. Progress in performance of planned competency developmentactivities.

3. Results from reviews of competency development plans against theorganization’s stated values an d policies.


Ver if ica tion 3 The def in i tion and use of data on competency development are

periodically audited.




Career Developm ent


The purpose of Career Developm ent is to ensure that all ind ividuals aremotivated and are provided opp ortunities to develop new skills thatenhance their ability to achieve career objectives.

Career Development includes discussing career options with eachindividu al, developing a personal d evelopm ent p lan, tracking p rogressagainst it, identifying training opp ortun ities, and making assignm ents that

enh ance career objectives.

A personal developm ent plan is created and p eriodically up dated for eachindividu al. Progress against this plan is tracked and developm entopp ortun ities are identified . Opp ortun ities for training and othercareer-enhancing activities are mad e available. Individu als areencouraged to take an active role in defining an d developing their skillsand career developm ent. A gradu ated set of career opportu nities aredefined along with criteria for prom otion among them. Promotion

activities are performed on a period ic and event-dr iven basis. Individualsare per iodically coun seled abou t career options, and opp ortunities foradvan cement are comm unicated to them. An effort is mad e to match work assignm ents with career objectives. The organization evaluates how wellprogress in meeting personal development plans is providing the skills thatthe organ ization anticipates it will need in the futu re.




Career Development Level 3: Defined

Goals

Goal 1 Career development activities are conducted with each

individual.

G oal 2 Th e organ ization offers career op portu nities th at p rovid e grow th

in its core comp etencies.

Goal 3 In divid uals are motivated to p ursu e career goals that op tim ize

the value of their know ledge and sk ills to the organization.


Commitment 1 The organization follows a documented policy for i ts career

developm ent activities.


1. Career development activities serve the business objectives and statedvalues of the organization.

2. Docum ented procedures are developed to guide career developmentactivities. These procedures typically specify:

t method s for identifying career options within th e organization,

t procedu res for discussing career options with each individu al, and

t frequency of discussing career options with individuals.


coordinatin g career develop men t activities across the

organization.




Level 3: Defin ed Career Development


Ab ility 1 Th e organ ization al role(s) assign ed resp on sib ility for career

develop men t activities is staffed.

Ab ility 2 An in divid ual(s) is assign ed resp on sib ility to en su re career

developm ent activities are performed w ithin each un it.

Examp les of individu als who m ight be assigned resp onsibility for

various career development activities within a un it include:– the uni t manager or staff assistant,


– an empow ered team,

– a member of the t raining staff, or


Ability 3 Ad eq uate resou rces an d fu nd in g are provid ed for im plem en tin g

the plan ned career developmen t activities.

1. When feasible, experienced individu als who have special expertise aremad e available for career d evelopm ent-related activities.


skills include:

– designing graduated career opportunit ies,

– developing career choice guidelines,

– assessing development and career interests,

– providing knowledge about career opportunities and growth

within the organ ization, and

– updating the descriptions of graduated career opportunities to

reflect advan ces in work p rocesses, prod ucts, or techno logies.





Ability 3 2. Tools and instruments to supp ort career developm ent activities are

(continued) mad e available.


– guidelines on career choices in the organization,

– graduated career opportunity descr ipt ions,

– career interest inventories and scales, and

– other testing techniques and mater ials .

3. Supp ort for implementing career development activities is madeavailable.

Examp les of implementation sup port include:

– maintaining career development records,

– maintain ing graduated career pa ths, and

– maintaining listings of open positions.

Ab ility 4 In d ivid uals resp on sib le for career cou n selin g activities receive

the trainin g necessary to perform their responsib ilities.

1. Those responsible for designing graduated career opportunities andcriteria or p roviding p rofessional interest or career assessments h avereceived the professional training necessary to perform theirresponsibilities.

2. Those responsible for career d evelopment activities within a u nit haveapp ropriate training in

t the organization’s gradu ated career opp ortun ities, and

t method s for providing career advice.

Examples of relevant method s in which individu als respon sible for

career development activities may be trained include:

– methods for assessing and advising on career interests,

– interpreting career guidance provided from other sources,

– in te rv iewing sk ills, and

– career counseling methods.





Activity 2 In d ivid u als actively id en tify an d pu rsu e learn in g op p ortu n ities

that enh ance their career options an d capabilities in the


1. Individuals are encouraged to accept responsibility for developingtheir capabilities and careers. They should take an active role in:

t performing against their p ersonal development plan,

t identifying internal opportunities for development experiences,an d

t pu rsuing external activities or training that enh ance theirknowledge and skills.

2. Individu als upd ate the organizational records maintained on theirknowledge and skills whenever they have completed significantdevelopment events or experiences.

Refer to Activities 2 and 3 of the Competency Development key process

area for practices regarding the development of the organization's

know ledge and skills information base.

Activity 3 Th e d evelop m en t activities of each in d ivid u al are track ed

against his or h er personal development plan.

1. Those responsible for career discussions periodically reviewindividual performan ce against personal developm ent plans.

2. Progress against the personal development plan is discussed du ringperiodic performan ce man agement and / or career discussion sessions.

3. When performance deviates significantly from the personaldevelopm ent plan, p otential corrective actions are evaluated.

Examples of corrective actions includ e:

– revising the schedule of development act ivit ies,

– changing the development act iv it ies,

– revising the career objectives, and

– ensuring that development time is built into the individual’s

schedule.





Activity 4 Tren d s across in d ivid u al d evelop m en t p lan s an d activities are

periodically reviewed to determine wh ether organizationalcomp etency need s will be met.

1. Individual development objectives and performance against them areaggregated to the unit and organizational levels.

2. Trends in the aggregated data are assessed to determine whethercompetency objectives recorded in strategic and near-term workforceplans are being met.

3. The organization takes corrective action to alter imbalances in itsfuture competency needs.

Examples of actions that m ight be taken to alter imbalan ces in the

organization’s future competency needs include:

– altering workforce practices such as recruiting, selection,

compensation, recognition, or rewards to motivate development in

certain competen cies or career directions;

– offering additional training or experiences in certain competencies

or career options; or

– recording imbalances as needs in future workforce planning

activities.

Activity 5 Assign men ts ou tsid e of norm al work resp on sib ilities th at

supp ort an ind ividu al’s development n eeds are provided as

appropriate.

Examp les of assignments ou tside of normal w ork respon sibilities that

may sup port the individual’s development needs includ e:

– special tasks and temporary responsibil it ies,

– tasks forces or commit tees,

– problem resolu tion teams,

– time to pursue special interests or skills,

– process or quality improvement activities, or– p r ofe ss ional a ct iv it ie s.





Activity 6 Th e organ ization d efin es grad uated career op portu nities based

on th e core competencies requ ired to p erform its b usiness.

Gradu ated career opportun ities include n ot only prom otion

opportunities upwards within the organization, but also career

broadening or lateral assignm ents to gain experience or increase the

ind ividu al’s capabilities in the or ganization ’s core competen cies.

Such op portun ities may be in other units or in assignments to other

organizations in the compan y. An organization may have any nu mber

or combination of grad uated career opp ortunities.

An examp le of a set of grad uated career opportu nities that involve both

technical and man agement grow th in software engineering might

includ e a progression such as the following:

– so ft w ar e lib ra ria n

– support p rogram mer

– softwar e engineer

– senior software engineer

– software team leader or project manager

– software system architect or program manager

– senior consulting software engineer or division manager

– fellow or genera l manager

– chief scient is t or vice president





Activity 6 1. The organization specifies the objectives it intend s to achieve through

(continued) establishing a p rogram of graduated career opp ortunities.

Examp les of the intend ed objectives of gradu ated career opp ortun ities

include:

– motivate individuals to develop the knowledge and skills

required to execute the organization’s business strategy,

– ensure growth in the organization’s core competencies,

– reward individuals for growth in the core competencies of the

organization,

– enable individuals to expand their abil ity to serve the

organization when their performance and capability justify

greater respon sibilities,

– deploy talent in a manner most effective for the organization

and its business strategy, and

– steadily improve the organization’s performance.

2. Graduated career opportunities are defined based on thecharacteristics and needs of the organization and grad uated levels of capability in the organization’s core competencies.

Examples of chara cteristics and need s of the organ ization that ma y

influence the d efinition of career op portu nities include:

– current and future products and services,– standard business processes and methods,

– organizational st ructure and architecture,

– corporate culture and climate,

– availabi li ty of individu als with knowledge and skil ls in the

organ ization’s core comp etencies,

– nature of the customer and business environment,

– core competencies of the competition, and

– professional practices within a knowledge and skills area.





Activity 6 3. Several choices of graduated career opportunities are made available

(continued) for career plann ing.

Examples of choices among career opportu nities include:

– tech nical,

– ad m in istr ativ e,

– m anagerial,

– sa les and m ar ket ing, and

– a mixture of assignments across or within several career areas.

4. Criteria for advancing through graduated career opportunities aredocum ented and comm unicated to the workforce.

Examp les of criteria for advan cement throu gh grad uated career

opp ortunities includ e:

– knowledge and skil ls required at each graduated level;

– demonstrated performance or accomplishments required for

each gradu ated level;

– potential to perform responsibilit ies successfully at each

gradu ated level;

– characteristic working styles required at each graduated level;

– demonstrated impact on the group, unit , or organization

required for each gradu ated level;

– potent ial for developing addi tional knowledge and ski lls that

are required for adv ancement to each gradu ated level; and

– potential to affect others through p erformance of responsibilit ies

at each grad uated level.

5. Graduated career opp ortunities and related criteria are reviewed on aperiod ic basis to ensure they ar e defined in a way that serves thebusiness strategy of the organ ization.

6. Graduated career opportunities and/ or their related criteria areredefined as necessary to achieve their intended objectives.





Activity 7 Career develop m en t ob jectives are based on th e grad u ated career

opp ortunities defined in the organization.

1. Each individual is made aw are of the organization’s graduated careerdevelopm ent opp ortun ities and is counseled on how to prepare forthe opp ortunities that they wish to pursu e.

2. Each individual’s personal development plan add resses growth in thecore comp etencies and other knowledge an d skills needed to p reparefor selected career opp ortunities.

3. Career planning sessions with individu als result in adjustments inpersonal development plans to acquire the know ledge and skills

needed to m eet their career objectives.4. Those responsible for career development activities continually

identify op portu nities to increase the core competencies and otherknow ledge an d skills relevan t to the career objectives of theindividu als they ad vise.

5. Career objectives and personal development p lans are periodicallyreviewed wh en changes are mad e to gradu ated career opportu nitiesand/ or related criteria.

6. Career objectives and personal development plans are altered asnecessary wh en the gradu ated career opportun ities and/ or relatedcriteria change.

Activity 8 Career p rom otion s are m ad e in each area of grad u ated career

opportun ities based on a documented p rocedu re.

Each area in w hich a set of gradu ated career opp ortun ities has beendefined has a docum ented p rocedu re for considering the prom otion of qualified ind ividu als. These procedu res and p romotional criteria maydiffer across career areas. The procedu res typically specify:

1. The bases (i.e., frequency or other criteria) for initiating promotionactivities within the area.

2. How individuals may apply or be nominated for promotionconsideration.

3. How criteria for promotion are developed and approved.

4. How and by whom nominated candidates are to be evaluated.





Activity 8 5. How and by whom promotional decisions are made and approved.(continued)

6. Which other w orkforce activities or practices are activated by thedecision to prom ote an individual.

7. How app eals to promotional decisions can be made and how they areto be handled.

8. How often promotional criteria and procedu res will be evaluated forimprovements.



career developmen t activities with in each un it.


– timeliness of career discussions,

– amount of training identified in development plans,

– number of career development plans documented,

– number of career planning sessions conducted, and

– rate of providing career development t raining.

Measurement 2 Unit measures of career development status are collected and

aggregated at the organization al level.

1. A historical database of career d evelopment d ata is maintained.

2. Career development data are periodically analyzed to determinetrends.






Verif ica tion 1 A responsible individual(s) ver if ies that career development

activities are cond ucted accordin g to th e organization ’s



1. Career developm ent activities comply with all relevant laws andregulations and with th e organization’s policies and stated values.

2. Career d evelopment activities are performed according to the unit’splans and selected m ethods.

3. All actions related to the developm ent and implementation of careerdevelopment plans are periodically reviewed to ensure that theyconform to docum ented policies.



career developmen t activities to determine if th ey comp ly with

its documented policies.


1. Progress in career development across the workforce against thebusiness needs of the organ ization.

2. Progress in the p erformance of planned career d evelopment activitiesagainst plans.

3. Results from reviews of career development p ractices against theorganization’s stated values and appropriate policies.


5. Trends related to career options and growth.




Competency-Based Practices Level 3: Defined

Goals

Goal 1 Work force p ractices are tailored to m otivate in divid uals an d

groups to improve their know ledge and sk ills in the core

competen cies of th e organization.

Goal 2 Work force activities are ad ju sted to su pp ort d evelop men t in th e

core comp etencies of the organ ization.

Goal 3 Comp en sation an d rew ard strategies are tailored to motivate

growth in th e core comp etencies of the organization.


Commitmen t 1 Organizational policies are updated to motivate capabili ty

developm ent in the organ ization’s core comp etencies.

These up da ted p olicies typically specify that:

1. Recruiting activities will focus on the best sources of cand idates withstrong capabilities or potential in the organ ization’s corecompetencies.

2. The organization’s workforce activities will be tailored to theknowledge and skills required by the organization’s businessprocesses.

3. Selection activities will be based in p art on identifying candidateswith the strongest capabilities and potential in the org anization’s corecompetencies.

4. Performance management w ill include activities and criteria designedto aid developm ent in the organ ization’s core competencies.




Level 3: Defin ed Competency-Based Practices

Commitment 1 5. Recognition and reward activities will focus in p art on m otivating(continued) grow th in the organization’s core comp etencies.

6. Compensation strategies will focus in part on m otivating developm entin the organization’s core comp etencies.

7. All comp etency-based adjustments to workforce activities arereviewed by a h um an resources professional to ensure theircompliance with all applicable laws and regulations governing theseactivities, and the organ ization’s up da ted p olicies and stated values.


coordin ating th e alignmen t of workforce practices with the core

competen cies of th e organization.



coordin ating the align men t of work force practices with core

comp etencies of the organization is staffed.


ensu ring th at work force practices and activities are adjusted to

motivate developmen t in core comp etencies by all ind ividu als

and groups.


alignm ent of w orkforce practices with the core comp etencies of

the organization.

1. Experienced ind ividu als who have expertise in workforce practices

are ava ilable for aligning th em w ith the core competencies of theorganization.

2. Tools to sup port aligning workforce practices with the organization’score comp etencies are m ade available.






Example tools for aligning w orkforce practices with th e organ ization’s

core competencies include:

– information bases on sources for recruiting,

– se lect ion guides and a ides,

– performance management forms and guides,

– tr ain in g m a ter ia ls,

– compensation and reward guides,

– career planning guides and tools , and

– other relevant workforce assets.

3. The near-term workforce plans of the organization and each unitinclude competency-based workforce activities that increase the corecompetencies of the organization.

4. Resources required to execute competency-based practices are mad eavailable.

Ab ility 4 Th e core com peten cies of th e organ ization h ave been id en tified ,

and the availability of kn owledge and skills in these

competen cies is kn own .

Refer to the Know ledge and Skills Analysis and Com petency

Developmen t key process areas for pr actices regard ing identifying theorganization's core comp etencies and developing the organ ization’s

capabilities in th ose competen cies.

Ab ility 5 All in divid uals resp on sib le for perform in g com peten cy-b ased

workforce activities are trained in the sk ills needed to perform

them.

1. Individuals assigned responsibility for performing comp etency-basedworkforce activities have received training or orientat ion in theapp lication of these practices to the developm ent of the

organization’s core competencies.

2. Individuals assigned responsibility for designing comp etency-basedworkforce practices have received adequate professional training inthe know ledge and skills required for performing their responsibilities.






Activity 1 Recru itin g activities are plan n ed an d execu ted to satisfy th e

organization ’s requ iremen ts for core comp etencies.

1. Recruiting activities are tailored to satisfy both the organizational andun it objectives for growth in core competen cies, in ad dition to thespecific requirements of open positions.

See Activity 1 of Workforce Planning for identifying the wo rkforce

needs of the organ ization. See Activity 2 of the Comp etency

Developm ent key pr ocess area for the practices dealing w ith

organ izational tracking of the know ledge an d skills of its existing

work force. Ongoing organizational tracking of the know ledge and skills

of the existing w orkforce can assist in tailoring recruiting a ctivities.

2. The organization commu nicates its current and anticipatedrequ irements for core competencies to likely sources of qualifiedcandidates.

3. The organization establishes relationships w ith external sourceswilling to d evelop qualified candida tes with kn owledge an d skillsthat match the organization’s curr ent and anticipated requiremen tsfor core competencies.

Examples of relationships w ith sources of qu alified cand idates includ e:

– periodic recru it ing tr ips ;

– financial supp ort for teaching, research, or collaborative projects;

– providing facilities or equipment in supp ort of teaching or research;

– summer or part-time employment for faculty and/ or students,

– internsh ip s;

– sabbatical opportuni ties for facul ty;

– providing lecturers on a temporary or sabbatical basis;

– frequent interaction with educational institutions to track thedevelopment of the m ost qualified candidates;

– career guidance to students; and

– awards and other forms of recognition for outstanding students.





Activity 2 Staffin g d ecision s are b ased in p art on d evelop in g careers

through an ap propriate set of gradu ated career opportunities.

1. The individu al developm ent plans and career objectives of individuals are used as an inpu t wh en selecting among cand idates foropen positions.

The selection p rocess, especially for p ositions beyond entry level,

should involve review of the development plans of qualified internal

candidates to further d evelop and / or broaden their capabilities in the

organization’s core comp etencies. Thus, the staffing p rocess becomes one

mechan ism for increasing the organ ization’s capability in its core

competencies.

2. Staffing decisions are made in part to achieve the competency-developm ent goals and career objectives of qualified cand idates.

3. The level of knowledge and skill evident in the performance of individu als is used as one of the bases for ad vancement through th eircareer options.

Act ivity 3 Th e organ ization selects th e m ost q u alified can d id ates b ased in

part on th eir long-term poten tial for growth an d p erformance in

the organ ization’s core comp etencies.

1. Selection method s are tailored to consider selection criteria relatedboth to organ izational and un it objectives for grow th in corecompetencies and to the specific requirements of an op en p osition.

2. Selection criteria are developed that evaluate candidates against boththe respon sibilities of the curren t open position an d their potential todev elop careers that satisfy the organization’s anticipated futurerequ irements for core comp etencies.

3. The individu al developm ent plans and career objectives of individu als are used as inpu t in selecting am ong candid ates for openpositions.

4. Selected candid ates’ orientation is designed to familiarize them bothwith the kn owledge and skills required to p erform their new p ositionand with the core comp etencies of the organization.






Examp le bases for selecting amon g core competencies to include in a

individual’s performance criteria include:

– relevance to current assigned responsibilit ies;

– relevance to future business activities within the unit;

– relevance to the career development plans of the individu al;

– contribution to growth in the core competencies of the group, unit, or

organization; and

– importance to the organization’s future requirements for core

competencies.

2. Some performance criteria for each individu al are draw n from theindividual’s career development plan.

Examp les of performan ce criteria related to career developm ent

include:

– increasing capability in one or more of the organization’s core

competencies,

– increasing capability in knowledge and skills that supp lement the

organ ization’s core comp etencies, and

– assisting other members of the unit or organization in increasing

their capability in the organ ization’s core comp etencies.

Act ivity 7 Th e resu lts of each in d ivid u al’s job p erform an ce are assessed in

part against evidence of developing capability in the


1. Formal performance feedback includes structured information abouteviden ce of capability in the organ ization’s core competen cies.

2. The results of each individual’s job performance are evaluated toassess the level of the ind ividu al’s capability in the core competen ciesinvolved in h is or her assigned responsibilities.

Each ind ividu al’s perform ance is assessed aga inst his or her

capabilities in the or ganization’s core comp etencies in ad dition to other

criteria specific to the ind ividu al’s assignmen ts.





Activity 7 3. The results of each individual’s job performance are evaluated to(continued) iden tify eviden ce of capability in core comp etencies not involved in

his or her assigned respon sibilities or perform ance criteria.

Reasons for evaluating these other core competencies include

information for counseling abou t ad ditional career options and

development opportunities.

4. Those responsible for ongoing comm unication about job performanceprov ide feedback related to th e individu al’s capability in theorganization’s core competencies.

5. Information about capability in the organization’s core comp etencies

is documented for u se in planning d evelopm ent activities and careeroptions for each ind ividu al.

Activity 8 Th e com pen sation system is d esign ed in part to im prove th e

relationship b etween w orkforce capab ility in the organization’s

core competencies and organizational performance.

1. The impact of the comp ensation system on the relationship betweenthe workforce’s capability in the core competencies and theorganization’s performance is periodically reviewed.






Examp les of relationships between th e compensation system and the


– ability to motivate growth in core competencies;

– ability to motivate the workforce to develop capability in scarce

competencies;

– relationship of compensation levels to competency levels at the

individual, group , un it, and organizational levels;

– relationship of compensation levels to the market value of similar

competency levels in oth er organ izations;

– abil ity to at t ract talent with knowledge and skil ls in the

organ ization’s core comp etencies;

– abil ity to retain talent with knowledge and skil ls in theorgan ization’s core comp etencies;

– abil ity to motivate the t ranslation of capabi li ty in the

organization’s core comp etencies into p erformance; and

– ability of growth in the organization’s core competencies to

translate into increased performance at the organizational, unit,

group, or individu al levels.

2. The comp ensation system is designed in part to imp rove therelationship between the workforce’s capability in the corecompetencies and th e organization’s performance.

Examp les of improv ing the relationship betw een the w orkforce’s

capability in core comp etencies and the organ ization’s p erformance

include:

– motivating growth in core competencies,

– motivating growth in scarce competencies,

– attracting talent with knowledge and skills in the organization’s

core competencies,

– retaining talent with knowledge and skills in the organization’s

core competencies,

– motivating the applicat ion of knowledge and skills to

improve p erformance, and

– motivating the spread of knowledge and skills to other

individuals.





Activity 8 3. The comp ensation system is adm inistered in a way that optimizes its

(continued) intended impact on the relationship between the workforce’s level of capability in the organization’s core competencies and organizationalperformance.

4. The compensation system is periodically reviewed to ensure that itachieves its intend ed impact on the r elationship betw een theworkforce’s level of capab ility in th e organ ization’s core comp etenciesand organizational performan ce.

5. The comp ensation system is revised wh en necessary to imp rove itsimpact on the relationship between the workforce’s level of capabilityin the organization’s core competencies and organizationalperformance.

Activity 9 Ad ju stm en ts to each in divid ual’s com pen sation are partly

designed to motivate developm ent in the organization’s core

comp etencies and u se these skills to imp rove performance at the

individu al, group , un it, and/or organizational levels.

1. Each individual’s growth in the organization’s core comp etencies andits imp act on his or h er p erformance is factored into the ind ividu al’scompensation decision.

Examples of competency-based factors influencing compensation

decisions includ e:– current capability in the organization’s core comp etencies;

– development of capabilit ies in scarce competencies;

– successful completion of development plans;

– ability to translate capability in core competencies into

performance at the individual, group, unit, or organizational

levels; and

– contribution in helping or mentoring others to improve their

knowledge and skills in the organization’s core competencies.

2. The impact of developmen t in the organization’s core comp etencies on

compensation is discussed w ith each ind ividu al.





Activity 9 3. Each individu al’s comp ensation is periodically reviewed to ensure

(continued) that compensation decisions an d levels are consistent with objectivesdocum ented in the organization’s strategic and near-term w orkforceplans.

Activit y 10 Recogn ition an d reward s for growth in th e organ ization ’s core

comp etencies are provided wh en app ropriate at the ind ividual,

group, un it, and organizational levels.

Activit y 11 As core com p eten cies ch an ge, th e organ ization r eevalu ates its

work force policies and practices and ad justs them as need ed.



tailoring w orkforce practices to develop the core comp etencies of

the organization.

Examp les of measuremen ts include:– amount of time spent in tailoring workforce activities to the


– number of people involved in tailoring w orkforce activities to the

organ ization’s core comp etencies, and

– rate of progress in tailoring the workforce activities to focus on the

organ ization’s core comp etencies.


comp etency-based work force practices.





Verification 2 These reviews verify the:

(continued)1. App ropriateness of comp etency-based workforce activities at the

organizational and un it levels.

2. Progress in performing comp etency-based workforce activities.

3. Results from reviews of competency-based workforce activitiesagainst the organization’s stated values and app ropr iate policies.





Participatory Culture


The pu rp ose of a Participatory Cu lture is to ensu re a flow of informationwithin the organization, to incorporate the know ledge of ind ividu als intodecision-making processes, and to gain their sup port for comm itments.Establishing a p articipatory culture lays the foun dation for building high-performance teams.

Participatory Cu lture involves establishing effective commu nications

among all levels of the organization, seeking inp ut from ind ividuals,involving individu als in m aking decisions and comm itments, andcomm un icating decisions to them .

Participatory Cultu re begins w ith establishing effective comm unicationwithin workgroups and across the organization. Improvingcomm un ication involves identifying needed information and d evelopingways to share it. Participation in decision making is established as animportant w orkforce value of the organization. Decision-making

processes are shifted d own to lower levels of the organization w hereapp ropriate. Decision-making processes are defined or adop ted that areappropr iate for d ifferent types of decisions. Individuals are asked forinpu t on decisions where appropr iate. They are involved in making andsigning off on commitments and in making d ecisions about th eir w ork.Managem ent commu nicates about events and decisions that affect theworkforce.




Participatory Cu lture Level 3: Defined

Goals

Goal 1 Communication activities are enhanced to imp rove the flow of

information within the organization.

Goal 2 Decisions are made at the lowest appropriate level of the

organization.

G oal 3 In divid uals an d grou ps p articip ate in d ecision -m ak in g p rocesses

that involve their work or comm itments.


Commitment 1 The organization’s stated values encourage open

commu nication and p articipation in decision mak ing by

individuals and groups.

Commitmen t 2 The organization follows a documented policy for i ts activit ies

that sup port developm ent of a participatory culture.


1. Activities that supp ort developm ent of a participatory culture servethe bu siness objectives and stated va lues of the organ ization.

2. Individual and/ or group involvement is sought in decision-makingprocesses affecting their work.

3. Individuals are involved in making comm itments that they are

accountable for fulfilling.

4. There is an environment of open comm unication between all levelsand group s within the organization




Level 3: Defin ed Participatory Cu lture


coordinating its activities in supp ort of developing a

participatory cultu re across the organization .



coordinating activities that supp ort developmen t of a

participatory culture is staffed.

Examples of ind ividuals w ho m ight be assigned resp onsibilities for

activities that sup port d evelopm ent of a p articipatory culture includ e:

– executive management,

– st aff assist an ts,

– com mittees, an d

– members of human resources group.


activities that su pp ort developmen t of a p articipatory culture.

Ability 3 M an agers are train ed in com mu nication an d p articip atory

management sk ills.

Examples of relevant skills in wh ich m anagers m ay be trained includ e:

– commitment processes,

– consensus-building skills ,

– participatory management techniques,

– group problem-solving and decision-making techniques,

– information analysis and commun ication techniques, and

– work coordination techniques.





Ab ility 4 In divid uals assign ed resp on sib ility for d ecision m ak in g are

trained in decision-makin g p rocesses, methods, and skills.


Activity 1 In d ivid u als id en tify th e in form ation th at th ey n eed to p erform

their assigned responsib ilities.

Examples of sources for iden tifying need ed informa tion includ e:

– assigned tasks and responsibi li ties ,

– standar d pr ocesses,

– workgroup coordinat ion ,

– assigned or assumed roles, and

– dependencies with in a workflow.

Activity 2 In d ivid u als w ork w ith each oth er to d evelop effective m ean s of

communicating information.

1. Individuals meet within their groups and u nits to coordinate the flowof needed information.

2. Individu als and groups develop common und erstandings of the termsand representations that they u se in commun icating.

3. Individuals or groups m eet with those in other groups or units, asneeded , to coordinate informa tion flows across the organ ization.

4. Individuals or groups d etermine information they need to provide toothers and the form in w hich the information should be d elivered.

5. Individu als or group s create comm unication vehicles to imp rove the

flow of information.

6. Individuals recommend improvements in information flows thatrequire larger coordination or automation w ithin the organization.





Activity 3 Th ose assign ed m an agem en t or su p ervisory resp on sib ility for a

body of work maintain an on going involvement with those

performing the w ork.

Those assigned man agement or supervisory responsibility for a body of work:

1. Maintain an aw areness of individual and group performance and thestatus of the work.

Examples of mechan isms for maintaining ongoing commu nication with

the individu als and group s include:

– management by walking around (MBWA),

– sta ff meetin gs,– frequent informal meet ings, and

– ongoing interactions with individuals and groups.

2. Maintain an awareness of the technical aspects of the work.

3. Identify information needed by those who perform the work andinsure th at they receive it.

Activity 4 Execu tive m an agem en t in itiates an effort to sh ift d ecision

mak ing dow n to app ropriate levels of the organization.

1. Input, authority, and responsibility for d ecision-making are extendedto the lowest level of the organization ap prop riate for the specificdecision.

2. Executives initiate the program w ith those who report to them, anddem onstrate their comm itment by d elegating app ropriate decisions.

3. Individu als at each level of the organization identify decisions forwhich:

t input or review should be sought from lower or lateral levels,

t concurrence, consensus, or unanimity should be reached on the

decision before it is announ ced, and / ort the d ecision shou ld be m ade a t lower levels.





Act ivity 5 Decision -m ak in g p rocesses an d roles are id en tified for d ifferen t

types of decisions.

Different typ es of decisions requ ire different p rocesses and r oles

[Plunkett91]. Examples of different typ es of decisions includ e:

– independent decisions - the individual or group m aking the

decision has full auth ority to make it withou t seeking advice or

consent from anyone else,

– coordinated decisions - the individual or group making the

decision has the authority to make the decision, but only with

input or approval from other parties, and

– consensus decisions - the decision reached mu st be one that can be

supp orted by a defined set of ind ividu als or groups before it is

announced.

1. Decisions are analyzed to determine the decision type and to provideguidan ce for defining or ad opting an ap prop riate decision-makingprocess.

Examples of issues to be considered in analyzing d ecisions includ e:

– who is accountable for the results of the decision,

– who has information relevant to the decision,

– who must suppor t the decision,

– whose work activities are affected by the decision,

– whose activities the decision must be coordinated with,

– who must approve the actions resulting from the decision,

– how quickly the decision must be implemented, and

– will anyone be disenfranchised by the decision.

2. The organization develops or adopts standard decision-makingmeth ods and processes with d efined roles for use with different typesof decisions.






Examples of decision-making methods and processes include:

– consensus development ,

– p roblem solv in g,

– p olicy d ep loy men t,

– conflict reso lu t ion ,

– nominal group technique,

– fo rce fie ld analysis ,

– voting techniques,

– br ainstor ming, and

– Delp h i.

3. Roles in the decision-making process are assigned to app ropriateindividu als or group s.

4. Those with management or supervisory responsibility for individu alsor group s assigned authority for a decision ensure that the individu alor group is prepared for their decision-making responsibilities.

Examp les of know ledge and skills that are p rerequisites to exercising

decision-making respon sibility includ e:

– knowing information needed to make the decision,

– being able to execute an appropriate decision-making process,

– understanding the basis for the authority they exercise in making

the decision,

– understanding the limits of their empowerment for making

decisions, and

– understanding how to implement the decision.

Activity 6 D ecision s m ad e b y th ose em pow ered to m ak e th em are

supp orted b y others in the organization.





Activity 7 In divid uals an d grou ps are in volved in m ak in g d ecision s th at

affect their work.

1. Where appropriate inpu t is sought from the workforce on imp ortantdecisions affecting the whole organization.

2. Individuals or groups participate in app ropriate ways in thedevelopm ent an d review of organizational policies, plans, andprocedures that affect them.

3. Individu als or groups participate in making decisions about how toorganize and perform their work.

4. Individu als or groups p articipate in decisions affecting their w ork environment.

5. The rationale behind a decision is comm unicated to those affected bythe decision.

Activity 8 In divid uals an d grou ps particip ate in m ak in g com mitm en ts th at

they are respon sible for meeting.

1. Individuals are involved in reviewing assigned w ork and, whenapp ropriate, approving the inp uts (such as requirem ents) that initiatethe work.

2. Individu als are involved in estimating the resources and schedulerequired to accomp lish the assigned w ork.

3. Individuals agree to comm itments that they are responsible formeeting.

4. Individu als are involved in reviewing progress against commitmentsand in changing commitments regard ing assigned work, whennecessary.

Activity 9 In divid uals an d grou ps p articip ate in sh ap in g th eir w ork

environments .







participatory activities and trends w ithin the organization.


– number of information coordination meetings conducted,

– new communication mechanisms established,

– rate at which decisions are moved down the organization,

– rate at which decision making processes are defined and trained,

– number of people involved in decision and commitment procedures,

– effectiveness of commun ication mechanisms,

– number of inputs or suggestions received and adopted on

organizational commu nication improvements, and

– results from opinion feedback mechanisms.


the participatory practices adopted in th e organization.

Examples of measurem ents of the quality of participator y pr acticesinclude:

– result s of decisions ,

– improvements in motivation and morale,

– number or people actively seeking involvement in decision making,

– the quality of the information available for decisions,

– the speed of making decisions,

– the speed of implementing decisions,

– the quality of inputs to commit ted work,

– the accuracy of estimating commitments, and

– the record of meeting commitments.






Verif ica tion 1 A responsible individual(s) ver if ies that communication and

decision-makin g activities w ithin the organization are

cond ucted in an op en and participative mann er accordin g to the

organization ’s values and p olicies.


1. Participatory culture activities comply with the organization’s policiesand stated values.

2. Individu als and/ or groups are involved in commu nication anddecision-making p rocesses where ap prop riate.


Verif ica tion 2 Execut ive management periodically reviews the level of

participatory behavior.


1. The level of open comm unication and p articipatory behavior in theorganization.

2. The involvement of individuals and group s in decision andcommitmen t processes.

3. Results from reviews of activities performed to d evelop aparticipatory culture against the stated values and app ropriatepolicies.





People


Level 4: M an aged

The key process areas at the Managed level focus on buildingcompetency-based team s and establishing a qua ntitativeun derstand ing of trends in both the developm ent of know ledgeand skills and th e alignm ent of performa nce across d ifferent levelsof the organization. Mentoring is used to app ly the experience of individu als to provide personal supp ort and guidan ce to otherindividu als or group s. The organization un dertakes formal teambuilding to integrate the know ledge and skills required toaccomp lish its bu siness fun ctions. Organ izational grow th in eachof the organization's core comp etencies is qua ntitatively m anag ed.

Key process areasMentoring L4-1

Team Build ing L4-15

Team-Based Practices L4-31

O rgan izational Comp eten cy M anagem en t L4-45

Organ izational Performance Alignment L4-57



Mentoring Level 4: M anaged

Goals

Goal 1 Men toring activities are matched to defined ob jectives.

G oal 2 M en tors are selected an d p rep ared for th eir resp on sib ilities.

Goal 3 Mentors are made available for gu idance and support to other

individuals or groups.


Commitment 1 The organization fol lows a documented pol icy for mentoring

activities.


1. Mentoring activities serve the business objectives and stated values of the organization.

2. Mentoring activities are encouraged but not imposed on individuals.

3. Mentoring activities are to be included in the strategic and n ear-termworkforce plans of the organ ization.

4. Mentoring activities are instituted where approp riate to providesupp ort to individu als or group s.

5. Documented procedures are developed and used to guide mentoringactivities. These procedures typically specify:

t requ irements for the selection, training, and assignmen t of mentors;






Examp les of mentoring skills in w hich mentors ar e trained includ e:

– how to accomplish mentoring program objectives,

– how to conduct a mentoring relationship,

– in terv iewing and act ive lis tening ,

– provid ing guidance and advice,

– p rovid ing a ro le model,

– p roblem solv in g,

– performance improvement methods,

– principles of knowledge and skill development,

– career opportunit ies and development methods,

– ad visin g gr ou p s,– team bu ild ing,

– methods for integration w ith the organizational cul ture,

– roles to be fu lfilled , and

– how to evaluate mentoring success.

Ab ility 4 In divid uals or grou ps to b e m en tored receive orien tation to th e

mentoring program.

Examples of issues for men toring program or ientation includ e:

– objectives of the mentoring program,

– attributes of an effective mentoring relationship,

– problem-solv ing skills ,

– expectations for mentoring relationships,

– roles to be fulfilled in mentoring, and

– how to handle problems or inefficiencies in the mentoring

relationship.




Level 4: M anaged Mentoring


Activity 1 Th e ob jectives an d stru ctu re of th e m en torin g p rogram are

defined.

1. The organization identifies which positions, individuals, or groupswithin the organization can be involved in a mentoring program .

2. The organization establishes one or more sets of objectives for thementoring p rogram to accomplish.

Examp les of objectives for mentoring progr ams include:– orientation and adjustment to the organization,

– development of specific knowledge and skills,

– development of core competencies,

– preparation of specific management or executive skills,

– learning the ropes within the organization,

– one-on-one personal attent ion,

– improved group effect iveness,

– team d evelop men t,

– career advice and development ,

– counseling and advice concerning problems, and

– sponsorship of the individual or group.

3. Procedures for mentoring functions are tailored to each set of objectives.

Different types of mentoring r elationship s may be d efined for different

sets of objectives. For instance, mentor ing activities may differ by

position or tenu re in the organization such as those designed for new

emp loyees versus those designed for new executives.






Examples of elements to be d efined for each typ e of mentoring

relationship includ e:

– the roles and responsibilit ies of the mentor and the individual or

group,

– how mentors will be selected and t rained,

– how individuals or groups w ill receive orientation on mentoring,

– how mentoring relat ionships will be established,

– how objectives of the relationship will be accomplished,

– how the program will be monitored for effectiveness,

– how the program wi ll be eva lua ted , and

– the expected duration of the mentoring relationship.

4. Roles are defined for mentors to fulfill.

Examples of roles that men tors migh t fulfill includ e:

– role mod el,

– personal or group advisor,

– career counselor or sponsor,

– knowledge and sk ill deve loper ,

– per fo rm ance adviso r,

– p rob lem so lver , and

– expert.

5. Alternative structures for providing the types of benefits achievedthrough m entoring are considered wh en app ropriate.

Examp les of alternate app roaches to mentoring includ e:

– mentoring circles,

– a software engineering process group, and

– other support groups or networks, such as a local software process

improvement n etwork (SPIN) group.





Activity 2 Th e m en torin g p rogram is com mu nicated to all affected

individuals or groups.

Information about the mentoring p rogram to be communicated m ayinclude:

1. Program goals and structure.

2. The positions, individuals, or groups covered in the program.

3. Procedures for volunteering to act as a mentor.

4. Procedures for being includ ed as an individu al or group receivingmentoring.

5. Orientation and training requirements.

Activity 3 In divid uals an d/or grou ps are in vited to particip ate in th e

mentoring program.

1. The organization selects methods to invite participation in thementoring program based on the objectives established for itsmentoring program.

Examples of method s that could be used to invite participation in the

mentoring p rogram range from a ctive personal solicitation to p assiveann oun cements of the prog ram ’s availability.

2. A responsible individu al is available to answer questions about thementoring program.





Activity 4 M en tors are selected an d p rep ared for th eir assign men ts.

1. Criteria are defined for selecting mentors.

Examples of criteria for selecting m entor s includ e:

– experience required to mentor various positions, individu als, or

groups;

– knowledge required to mentor various positions, individuals, or

groups;

– interpersonal and communication skills;

– business and organizational judgment;

– ability to provide a successful role model;

– availabilit y r equ ir em en ts ;

– commitment to developing individual knowledge and skills;

– ability to assess development or career needs;

– ability to provide guidance on performance or career enhancement;

– ability to provide personal suppor t;

– ability to work with groups or teams; and

– commitment to developing and guiding others.

2. Candidates who have applied for mentoring assignments areevaluated against the criteria, and those wh o are qu alified areselected to act as men tors.

3. Selected mentors are trained in mentoring responsibilities and skills.

Activity 5 M en tors are assign ed to in divid uals or grou ps.

Mentors are assigned based on:

1. Requirements for organizational or managerial distance between thementor and the ind ividu al or group to be mentored.

2. Criteria for matching mentors with individu als or groups.






Examp les of criteria for matching m entors with ind ividuals or grou ps

include:

– task, position, or career experiences;

– knowledge and skill needs of the individual or group to be

mentored;

– personal development needs of the individual to be mentored;

– group or team development needs;

– common backgrounds;

– career aspirations of the individual or group to be mentored;

– abili ty to match schedules for meet ings;

– personalit ies or in teres ts ;

– level of mentoring involvement;

– exposure to the breadth of the organization; and

– geographica l considera tions.

3. Criteria for handling requests for specific assignments.

Activity 6 M en tors an d in divid uals or grou ps to b e m en tored estab lish a

mentoring relationship .

1. Both mentors and the individu al or group to be mentored receiveappropriate training or orientation before establishing their mentoring

relationship.2. During their initial meetings, mentors and the individu al or group

establish the basic agreements on which their relationship willdevelop.

Examples of issues that they shou ld ultimately reach agreemen t on

include:

– what they both expect to achieve from the mentoring relationship,

– whether they will meet on a periodic or event-driven basis,

– init ial goals to accomplish through mentoring,

– whether they will bui ld and t rack a plan for their development

objectives,

– how they wil l evalua te their progress,

– how they will conduct their meet ings, and

– how they will communicate between meetings.





Activity 6 3. If skill development is to be part of the mentoring relationship, they(continued) evaluate and agree on what skills the individu al or group n eeds to

develop and how th ey will jointly und ertake this development.

4. The mentor provides feedback and guidance to the individual orgroup in a timely man ner.

5. They continually discuss the job performance or behavior of theindividual or group and plan for futu re development needs.

Examp les of issues that m ight be hand led d uring m entoring sessions

include:

– evaluation of current performance and behaviors,

– u se of tim e,

– set tin g p rio rit ies,

– self m an ag em en t,

– in terpersonal style and sk ills ,

– replaying the handling of situations or the making of decisions,

– identifying strengths and areas needing development,

– analyzing barriers to job performance or career growth,

– ident ifying needed changes in at t itude or s tyle,

– analyzing the resources and operations of the organization, and

– analyzing career opt ions and needed skills .

Activity 7 G uid an ce is m ad e availab le to m en tors an d in divid uals or

groups on h ow to improve their mentoring relationship.

Examp les of guidance provided on m entoring relationships include:

– how t o in it ia te the re la tionsh ip ,

– when and how frequent ly to have meet ings,

– potential topics to be discussed,

– how to determine the mentoring needs of the individual or group,

– methods for pursuing mentoring objectives,

– how to track progress in the mentoring relationship,

– how to handle job or career problems, and– how to overcome problems in the mentoring relationship.





Activity 7 1. An advisor should be available to mentors or to individuals and(continued) group s to discuss how to make the m entoring relationship more

effective.

2. Meetings might be conducted from time to time to allow m entors,individuals, or groups to express concerns or improvem ents thatshould be considered in the mentoring p rogram.

Activity 8 Th e m en torin g relation sh ip is p eriod ically review ed to en su re

that the relationship is satisfying its intend ed ob jectives.

1. The mentor and individu al or group to be mentored periodicallyreview the progress they are making toward their agreed-uponobjectives.

Activity 9 Corrective action is tak en to resolve p rob lem s w ith men torin g

relationships.

Examples of corrective actions includ e:

– reestablishing the basis for the specific mentoring relationship,

– planning more effective meetings or actions,

– getting add itional advice or training on condu cting an effective

mentoring relationship, and

– assigning a new mentor to the individual or group.

Activit y 10 Men tors are recogn ized f or su ccessfu l men torin g activities.

Examples of recognition for successful mentors include:

– aw ard s,

– public recognition in meetings or newsletters,

– p rivileges,

– financial considerat ions, and

– acknowledgment for success in mentoring-related performance or

career objectives.







men toring activities.

Examples of measu rements to determine the status of mentoring

activities includ e:

– the number of mentoring relationships established,

– the rate at which candidates apply to become mentors ,

– the efficiency with which new mentoring relationships are

established,– the frequency with which mentors and individuals or groups

interact,

– the evaluation of mentoring activities by individuals or groups, and

– the number of problems identified and improvements made in

mentoring relationships.

Measurement 2 Measurements a re made and used to determine the va lue of

men toring activities.

Examp les of measurements to d etermine the value of mentoring


– the growth of core competencies in individuals or groups being

mentored,

– the abili ty of individuals or groups to use the resources of the

organization,

– the performance of individuals or groups on their tasks,

– the career development of individuals, and

– the alignment of individual, group, or team motivations with the

objectives of the organization.






Verif ica tion 1 A responsible individual(s) ver if ies that mentor ing act iv it ies are

cond ucted according to plan and the organization’s documen ted

policies.


1. Mentoring activities comp ly with the organization’s policies andstated values.


3. All actions related to mentoring activities are periodically reviewed toensure that they conform to the organ ization’s docum ented policies.

Verif ica tion 2 The organization’s effect iveness in implement ing a mentoring

program is periodically reviewed b y executive m anagement.


1. Approp riateness of mentoring activities.

2. Progress in performing mentoring activities.

3. Results from reviews of mentoring activities against the organization’s

values and app ropriate policies.4. Status of resolution for noncompliance issues.




Team Build ing

A k ey p rocess area for Lev e l 4 : Man aged

The pu rp ose of Team Building is to capitalize on op por tunities to createteams that maximize the integration of diverse know ledge and skills toperform business functions.

Team Build ing involves matching potential team members to theknow ledge and skill requirements of the team, training all new m embers inteam skills, defining objectives for team performance, tailoring stand ard

processes for use by the team, and p eriodically reviewing teamperformance.

Opp ortun ities to form teams are iden tified within th e organization’s orun it’s work process. The organization or un it identifies the know ledge andskills required for the team . Team m embers are selected to p rovide a mixof comp lementary knowledge and skills that satisfy the requ irements of thevarious tasks and roles involved in the team’s work. Where app ropriate,this will involve a m ix of the core competencies of the organization. Team

mem bers are trained in team skills, some of which are identified as corecompetencies of the organ ization. Objectives are established for teamperforman ce. The team adopts and tailors for its use any stand ard teamor relevant work p rocesses defined for use by the organization. The teamdefines processes as necessary to perform its assigned respon sibilities anda set of performance criteria that are app roved by managem ent. The teamassesses its own performan ce and periodically rep orts results.




Team Building Level 4: M anaged

Goals

Goal 1 Teams are formed to improve the performance of

interdependen t tasks.

Goal 2 Team assignments are made to in tegrate complementary

kn owledge and skills.

Goal 3 Team members develop their team sk ills.

Goal 4 Team members participate in decisions regardin g their w ork .

G oal 5 Th e organ ization p rovid es stan dard p rocesses for tailorin g an d

use by teams in performing their work.


Commitment 1 The organization fol lows a documented pol icy for i ts team-

bu ildin g activities.

This policy typ ically sp ecifies:

1. Team-building activities serve the business objectives and statedvalues of the organization.

2. Team-building activities are to be included in the strategic and n ear-term w orkforce plans of the organization.




Level 4: M anaged Team Building

Commitment 1 3. Teams are instituted where appropriate to perform interdependent

(continued) tasks that accomp lish the business functions of the organization.

Team is intended to imply a group of people wh o:

– work closely together to achieve shared objectives,

– work together on tasks that are highly interdependent, and

– may exercise a level of autonomy in managing their activities in

pu rsuit of those objectives.

Accord ing to Katzenbach and Smith [Katzenbach93, pg. 45], “A team is

a small num ber of people [less than 10] with comp lementary skills wh o

are committed to a common purpose, performance goals, and approach

for w hich they hold themselves mutu ally accoun table.” The concept of

teams u sually implies that a team is responsible for a “whole w ork

process” [Wellins91]. Teams can be formal units or subu nits that app ear

on the organization chart, they can hav e matrixed reporting

relationships, or they can overlay across the organization chart and be

composed of members from num erous un its [Mohrman95]. Several types

of teams that could be d eveloped includ e:

– w ork teams,

– programming or design teams,

– coor d inat ion teams,

– customer focus teams,

– m anagem en t team s, and

– process improvement or re-engineering teams.

4. Procedures are developed for guiding the organization’s team-buildingactivities. These procedu res typ ically specify:

t how teams are to be initiated an d constituted,

t how information about the kn owledge an d skills of potential teammem bers is to be used in selecting and assigning team mem bers,

t how team s are to be prep ared for performing their tasks,

t how team accoun tability will be established,

t how team performan ce is to be reviewed , and

t how teams are to be dissolved, w hen app ropriate.

Commitment 2 Team skil ls relevant to the organization’s method for

imp lementin g teams are treated as core comp etencies.






coordin ating team-bu ildin g activities across the organization.


Ab ility 1 Th e organ ization al role(s) assign ed resp on sib ility for team -

building activities is staffed.

Ability 2 Ap prop riate op portu nities for form in g team s w ith in a u nit’sbu siness fun ctions are available.

1. The organization’s near-term workforce plan includes activitiesdirected at identifying team-building opp ortunities.

2. Where appropriate, a unit’s business processes may be redesigned tosupp ort the developm ent of teams.


team-building activities.

1. Experienced individu als who have expertise in team building aremad e available.

Examples of individ uals with expertise in team building include:

– team mentors,

– individuals from successful teams,

– train ers, an d


2. Time and resources are made available for training needed in team-

building skills.





Ability 4 All team members are trained in team sk ills.

Examples of relevant team skills to be trained m ay include:

– team formation and member select ion,

– stages of t eam development,

– tailoring organizationally-defined team processes,

– r ole and t ask de fin it ion,

– t eam i nt er per sonal sk ills ,

– team leadership and decis ion making ,

– team goal setting and performance feedback,

– team communication and coordination,

– resolving team problems, and– team discipl ine and self-management.

Ab ility 5 Resp on sib le in divid ual(s) to w hom team s are accou ntab le are

trained in th e skills for managin g teams.

Examp les of relevant team managem ent skills in w hich individuals are

trained includ e:

– matching team organization and structure to business function,

– coaching and facilit at ing t eams,

– coordinating team goals with unit and organizational goals,

– supervising different types of teams,

– applying workforce practices to teams, and

– tracking and providing feedback on team performance.


Activity 1 Team -b u ild in g activities are plan n ed in th e organ ization ’s an d

un it’s strategic and near-term work force plan s.





Activity 1 1. The organization’s and each unit’s strategic workforce plans contain(continued) activities for designing and organizing work to establish favorable

conditions for the developm ent of teams w here app ropriate.

2. Where appropriate, each un it’s near-term workforce plan includesteam-building activities.

3. The organization’s near-term w orkforce plan includes objectives forproviding training in team building to serve the team-building plans of its units.

Activity 2 Th e organ ization design s an d m ain tain s an ap p roved set of team

structures and p rocesses for application in app ropriate situations.

The type of team structure and process to implement m ust be decided on

the basis of situational conditions. The specific team structures an d

processes adop ted in different situations vary, and an organ ization m ay

sup port several different types of teams. Different types of team

structures are implied by titles that include:

– self-managed or self-directed work teams,

– em pow ered team s,

– cross-funct ional teams,

– concurrent engineering teams,

– m atrixed t eam s,

– integrated product development teams,

– h igh-involvem en t t eam s, and

– h igh-per fo rm ance team s.

Accord ing to [Mohrman 95] teams are referred to as empowered if “they

do n ot have to go thr ough hierarchical approv al for man y of their

decisions about how to do their work,” and they are referred to as self-

managed if “they p erform for themselves man y of the tasks that

management u sed to perform, such as scheduling, monitoring

performance, and so forth.”

1. The organization analyzes the types of opp ortunities it has for teambuilding to determine the most app ropriate team structures and

processes.






Issues to be considered in id entifying app ropriate team structures

include:

– ass igned responsib ilit ies,

– business processes to be performed,

– level of self-containment of processes within the team,

– diversity of knowledge and skills required,

– dura tion of the assigned task,

– accountability for resu lt s,

– relat ionship to the organizational st ructure, and

– motivat ing condi tions and availabil ity of rewards.

2. The organization designs an app roved set of team structures andprocesses for use in situations favorable to their su ccess.

The organization’s set of standard team structures an d processes are

docum ented an d u sed as the basis for training and facilitating the

formation of new team s. These structures and p rocesses are intended to

guid e new teams in adop ting effective team p ractices without h aving to

spend time reinventing them. Examp les of structural and pr ocess

elements to be designed for each type of team includ e:

– level of em power men t,

– scope of decision authority,

– accountabil ity and management/ reporting relat ionships,

– team lead er sh ip ,

– team roles,

– problem-solving and decision processes,

– level of independence in planning and goal setting,

– leve l of self-management,

– team size and member composition, and

– suppor t m echan ism s.

3. The organization’s set of app roved team structures and p rocesses is:

t up dated and expanded as situations require;t used for initiating, training, guiding, and managing teams; and

t used as the basis for ad justing w orkforce practices to sup por tteams.






Refer to the Team -Based Pr actices key pr ocess area for adap ting

work force p ractices to teams.

Activity 3 Ap p rop riate op p ortu n ities for form in g team s w ith in a u n it’s or

the organization’s busin ess fun ctions are iden tified.

Those responsible for the p erforman ce of a un it must d ecide w here there

are op portu nities w ithin their operations to build effective teams.

Team building shou ld occur only w here the cond itions are favorable to

successful implementation. Examp le conditions that should usu ally

exist for building an effective team includ e:– part icipatory culture has been established,

– interdependent action is necessary for success,

– work is structured in a way that a team can exercise effective

control over its operations and results,

– the assigned work supports the development of shared goals,

– a measurable basis for team performance can be established,

– conditions exist that support commitment to the team by each

individu al assigned to it,

– complementary skills required for successful performance by the

team are available,

– individual(s) to whom the teams are accountable are capable of successfully manag ing and / or facilitating teams, and

– team goals can be aligned with unit and organizational objectives.

1. The work processes and conditions of each unit considering theimplementation of one or more teams are analyzed to d etermine if conditions are favorable for team building.

2. The work processes and conditions across several units that areconsidering the implementation of one or more cross-unit teams areanalyzed to d etermine if they are favorable for team bu ilding.

3. Teams are formed only when conditions are favorable for teambuilding.





Activity 4 Work processes an d con d ition s are organ ized to su p port team

building.

1. When appropriate, work processes and conditions within u nits andthe organ ization ar e altered to maximize the su ccess of team-buildingactivities.

2. When work processes and conditions cannot be mad e favorable, teambuilding is delayed.

Act ivity 5 An ap p rop riate team stru ctu re is selected for ap p lication in each

situation wh ere a team will be initiated.

1. Situational conditions are analyzed to determine the most effectivetype of team for the work to be performed .

2. The structural and process elements of the team type chosen are usedas the basis for initiating team formation.

Activity 6 Th e k n ow led ge an d sk ills req u ired to p erform th e team ’s w ork

processes are id entified.

1. Before a team is formed, the knowledge and skills needed to performits tasks and functions are identified.

See the Know ledge an d Skills Analysis key pr ocess area at the Defined

level for a d escription of these p ractices.

2. The knowledge and skills required to perform the tasks within theteam’s work p rocess are documented an d m ade available for use instaffing, performance management, training, and other workforceactivities related to the team .

3. The team’s knowledge and skills profile is reevaluated whenever theprocess, technologies, or tasks used by the team are significantlyredefined.





Activity 7 Team mem bers are selected an d assign ed to th e team based in

part on the d egree to which their kn owledge and skills fill teamneeds and complement th ose of other team memb ers.

1. Team makeup is designed to incorporate a mix of comp lementaryknow ledge and skills related to the team ’s process and assignedresponsibilities.

2. During the early stages of team formation, anticipated know ledge andskill requ irements are u sed for initial staffing decisions.

Examples of relevant criteria for evaluatin g poten tial team m embers

include:– knowledge and skills related to tasks and responsibilit ies to be

assigned to the team;

– ability to work in a team environment;

– ability to complement the mix of knowledge and skills in the team;

– potential to fulfill a significant responsibili ty on the team, such as

team leader or liaison to another group or unit;

– abil ity to acquire addi t ional knowledge and skil l related to the

team’s process or tasks;

– existing w ork load and time available to fulfill responsibilit ies to

the team;

– ant icipated fi t wi th other team members; and

– p er so na l mo tiv ation .

3. Established teams define and execute selection m ethods forevaluating the know ledge and skills of candidates for teammem bership against those needed by the team.

4. Team members are involved in making selection decisions based onthe identified criteria and the information produ ced du ring theselection p rocess.

5. The team orients new team members to the team and to their newresponsibilities.





Activity 8 Team m em bers receive th e train in g n eed ed to overcom e

shortfalls in team kn owledge and skills.

1. Teams assess their capability in each of the areas of knowledge andskill needed to perform their business processes.

2. Relevant and timely training to overcome shortfalls is identified andprovided.

3. Cross-training over disciplines is provided to a mu ltidisciplinary teamwh en it is beneficial to team performan ce.

Activity 9 Th e in divid ual(s) or en tity to w h om th e team is accou ntab le

provides assigned respon sibilities and b usin ess objectives to the

team.

1. The individual(s) or entity to which the team is accountable assigns:

t goals and responsibilities to be accomplished by the team ;

t the strategy for how the team’s activities and work produ cts fit inwith the activities and work p rodu cts of other team s, group s, orun its; and

t objective criteria by w hich team performan ce is to be evaluated.

2. The team reviews and agrees to the tasks, responsibilities, andperforman ce criteria assigned to it.

3. The team negotiates any disagreements with the tasks,responsibilities, and performan ce criteria w ith the individua l(s) orentity that assigned them .

Activit y 10 Team s receive facilit ation as need ed d u ri ng th eir in itiation or

operation.

1. A facilitator(s) (who could be the person to wh om the team reports)is available to aid th e team in d eveloping effective team skills andbehaviors.

2. A facilitator(s) can be requested as necessary to aid teams indeveloping skills or overcoming p roblems in any aspect of theiroperation.

3. A mentor is assigned if requested by the team.





Activit y 11 Team s tailor stan d ard team p rocesses for u se in p erform in g th eir

work processes.

1. Teams adapt the standard structural and process elements of theirselected team typ e by tailoring them to th eir specific assignedresponsibilities, necessary w ork processes, and working conditions.

Examp les of issues to be tailored or d efined in establishing th e

team’s work p rocess include:

– the tasks to be performed and the methods to be used in

performing them,

– the roles to be performed in accomplishing the tasks,

– the interdependencies among the roles,

– how team management functions will be accomplished,

– how team decisions will be reached,

– how commitments will be made to external groups,

– how team conflicts will be resolved, and

– how progress wil l be reviewed and evaluated within the team.

2. Teams analyze the tasks they will need to perform to accomp lish theirassigned goals and r esponsibilities and define add itional team w ork processes as necessary. The team’s defined w ork pr ocess typicallyaddresses:

tplanning and executing the w ork of the team, includ ing work design and monitoring p erformance management w ithin the team;

t integration w ith other teams;

t managing team performance; and

t improving team performance.

3. The team’s tailored p rocesses are reviewed to ensure that they complywith all relevant organ izational policies and stand ard s.

Activity 12 Team s p lan th eir w ork an d com mitm en ts.

1. Teams are responsible for planning the activities required toaccomplish their assigned responsibilities.





Activity 12 2. All team members are involved in planning their work and m aking

(continued) commitmen ts external to the team.

3. A team’s commitments undergo the standard external approvalprocess as tailored for u se by the team.

Activit y 13 Team s d efin e ap p rop riate m easu res of th eir work p rod u cts an d

processes.

1. Teams define and agree on measures of their work products andprocesses.

2. Teams define a m ethod for collecting and using their performance

measures.3. The definition and use of measures that the team will report

externally are negotiated with those receiving the measures.

Activit y 14 Team s estab lish work in g relation sh ip s with oth er team s, grou p s,

or un its that are necessary to execute th eir work resp onsib ilities.

Examp les of other teams, group s, or units with wh ich the team m ay

need to establish a working relationships include:

– other teams, groups, or units with which the team shares work or

product dependencies;

– management;

– external groups such as customers or business partners;

– staff funct ions ; and

– individuals or groups with relevant knowledge, experience, or

responsibilities.

1. Dependencies with work performed in other teams, groups, or unitsare identified.

2. Commu nication and coordination mechanisms are established withother teams, groups, or units with wh ich the team shares

dependencies.





Verification 1 These reviews verify that:(continued)

1. Team-building activities comp ly with the organization’s policies andstated values.


3. All actions related to team-building activities are periodicallyreviewed to ensu re that they conform to docum ented p olicies.

Verif ica tion 2 The organization’s ef fect iveness in implement ing team bui ld ing

is periodically reviewed by executive m anagement.


1. Appr opriateness of team-building activities.

2. Effectiveness of team-building activities at the organizational and u nitlevels.

3. Progress in p erformance of planned team-building activities.

4. Results from reviews of team-building p lans and activities against theorganization’s stated values and appropriate policies.

5. Status of resolution for non-comp liance issues.

Verif ica tion 3 The defin it ion and use of team performance data are per iodicallyaudited.




Team -Based Practices


The pu rp ose of Team-Based Practices is to tailor the organization’sworkforce practices to sup port the d evelopm ent, motivation, andfunctioning of teams.

Team-Based Practices involves ensuring that the work env ironmentsup ports team functions, setting performan ce criteria and reviewing teamperforman ce, involving team m embers in performing w orkforce activities,

and reflecting team criteria in ind ividual comp ensation decisions.

Team-Based Practices begin with shap ing the work environ ment to fosterteam -based activities. Objective perform ance criteria are established forthe team. The individu als or groups to which the team is accoun tablemaintain ongoing comm un ication abou t performance with the team.Team mem bers are involved in the p erformance of team-based p racticessuch as team recruiting, selection, performan ce managem ent, reward ,training, developm ent, and comp ensation activities as app ropr iate based

on the structure and function of the team. Team d ata are used to identifyneeds for team developm ent. Team-based criteria are factored intocomp ensation decisions. Reward s are provided based in part on teamcriteria.

Goals

G oal 1 Th e organ ization ad ju sts its w ork force p ractices an d activities to

motivate and supp ort the d evelopment of team-based

comp etencies with in the organization.




Team-Based Practices Level 4: M anaged

G oal 2 Work force activities are tailored to su pp ort th e n eed s of d ifferen t

types of teams w ithin th e organization.

Goal 3 Team performance criteria are defined and measured .

Goal 4 Compensation and rew ard systems are tailored to motivate

imp roved team performance.


Commitmen t 1 Organizational policies provide for application in si tuations

wh ere team b uilding has been implemented.

Upd ating existing p olicies for ap plication in situations w here teambuilding has been imp lemented typically involves:

1. Ensuring that the workforce practices which are updated to supportteam building serve the bu siness objectives and stated values of theorganization.

2. Determining how the standard workforce practices of theorgan ization are to be app lied to teams.

3. Obtaining approp riate executive oversight and app roval.

4. Reviewing all team-based adjustments to workforce practices with ahu man resources professional to ensure their compliance w ith allapp licable laws and regulations.

5. Identifying how these workforce practices should be applied insituations where team building h as been implemented.

Commitmen t 2 An organizational role(s) is assigned responsibili ty for tai loring

work force practices for team-bu ildin g situations.




Level 4: M anaged Team -Based Practices



coordinating th e adju stment of w orkforce practices to sup port

the organ ization’s team-bu ildin g activities is staffed.

Ab ility 2 Ad eq uate resou rces an d fu nd in g are p rovid ed to tailor w ork force

practices for use in team-bu ildin g situations.

1. Experienced ind ividu als who have expertise in workforce practicesare available to tailor workforce practices for use where team buildinghas been imp lemented.

2. Adequate fund ing is available to tailor and deploy team-basedpractices that sup port the imp lementation of team bu ilding.

Ab ility 3 Com peten cy-b ased p ractices exist th at can b e tailored to su pp ort

comp etencies in team-based activities.

Refer to the Com peten cy-Based P ractices key pr ocess area at the

Defined level for a d escription of these pra ctices.

Ab ility 4 All in divid uals resp on sib le for ad min isterin g team -b ased

work force practices and activities are trained in sk ills need ed to

perform them .

1. Individuals assigned responsibility for performing team-basedworkforce activities have received training or orientat ion in theapp lication of these activities to the d evelopment and functioning of teams.

2. Individuals assigned responsibility for designing team-based practiceshave received adequ ate professional training in the kn owledge and

skills required to perform their respon sibilities.3. Individu als responsible for tailoring team-based practices for use with

a specific team receive adequate training for performing theirresponsibilities.






Activity 1 Th e organ ization ’s w ork en viron m en t is tailored to en h an ce its

team activities.

1. Facilities and resources that could enhance team p erformance areidentified.

Examp les of work environment resources that may enh ance the

performance of teams include:

– public spaces, such as team rooms and conference rooms;– team offices and spaces located close to each other, wh en possible;

– grou pw are; and

– enhanced communicat ions capabilit ies.

2. Where possible, these identified facilities and resources are madeavailable to enhan ce team performance.

Act ivity 2 Th e organ ization ’s stan d ard work force p ractices are ad ju sted for

use with teams.

1. Individuals responsible for coordinating various workforce practicesand activities across the organ ization ar e involved in ad justing themfor use by teams.

2. Individu als to be involved in teams are represented in the process of defining and reviewing team-based p ractices.

3. Hu man resources professionals are involved in ensuring that allwor kforce practices and activities that ar e ad justed for use withteams comp ly with all app licable laws and regulations.

4. Workforce practices and activities that are adjusted for use by teamsinclude:

t how teams w ill recruit for open p ositions;

t how teams w ill develop the m ethods they w ill use for selectingnew m embers;

t how n ew m embers will be oriented to the team;





Activity 2 t how teams w ill condu ct their internal performance management(continued) activities;

Examp le performan ce management activities that may be condu cted by

teams includ e:

– assessing team performance,

– assessing the individual performance of team members,

– assessing individu al contributions to team performance,

– identifying and managing performance problems, and

– recommending or making recognition and rewards.

t how teams will determine their training needs an d ensu re that this

training, in addition to any required training in the organization’score competen cies, is accomplished ;

t how compensation d ecisions will be reached;

The level of involvem ent of teams in compensation d ecisions can range

from no involvement, to m ixed resp onsibility w here teams ha ve some

inpu t, to total responsibility for comp ensation d ecisions. The level of

team involvement mu st be determined by the level of privacy that the

organization wishes to maintain on compensation information, standa rd

organizational practice, organizational culture, and laws and

regulations regard ing compensation.

Examp les of team involvement in compensation a ctivities includ e:

– using the inpu ts of team performance management activities incompensation decisions,

– recommending adjustments to compensation,

– reviewing compensation decisions,

– providing feedback on compensation methods and decisions, and

– recommending changes to the compensation strategy or the

activities defined for the team .

t how teams w ill be involved an d contribute to strategic and near-term workforce planning activities; and

t other w orkforce practices and activities, as app rop riate.

Activity 3 Wh en ap p rop riate, team mem bers are in volved in tailorin g an d

performing work force activities for their team.






Teams will determine how they cond uct their work force activities

within the bou nd aries set by the standar d w orkforce practices that the

organization has d efined for different types of teams. The organization

mu st determine the extent to w hich ind ividu als or entities outside the

team a re involved in perform ing the team ’s wor kforce activities (e.g.,

performance management, career development, and compensation).

Decisions about how a specific team should cond uct its workforce

activities should be reviewed by a h um an resou rces professional for

compliance with organ izational policies and all relevant law s and

regulations.

Activity 4 In d ivid u al(s) or en tities to w h ich th e team is accou n tab lemaintain ongoing comm un ication with the team about its

performance.

Examples of maintaining communication about team performance

include:

– periodic meetings to review progress,

– periodic meet ings without a fixed agenda,

– periodic meetings to discuss formal performance feedback,

– coaching,

– mentoring sessions, or

– team pr oblem-solving sessions.

1. Those to whom the team is accountable maintain an awareness of theperforman ce of each team they su pervise against the team’sdocumented performance criteria.

2. The team and those it reports to discuss and resolve problems.

Examples of problem s to be resolved includ e:

– resource allocation issues;

– in ternal t eam conflict s;

– breakdowns in coordination with other teams, groups, or units;

– overloaded assignments; and

– conflict ing priorit ies.





Act ivity 5 Ob jective p erform an ce criteria are estab lish ed an d revised for

each team .

1. The team p articipates in d efining its performance criteria.

The team’s performan ce criteria are typically based on factors such as:

– the organization or unit’s operational business plan,

– the organization or unit’s objective performance criteria,

– the team’s mission (general direction and role),

– the needs of i ts stakeholders and the deliverables or services that

can meet these needs,

– the t asks tha t mus t be accomplished ,

– the mutually-defined roles and expected contributions of eachteam member,

– the team’s effectiveness in interacting w ith other groups, and

– schedule, cost, and quality performance criteria.

2. Stakeholders in the team’s performance contribute to setting itsperforman ce criteria where app ropriate.

Stakeholders may include ind ividual team mem bers, mem bers of other

group s with w hich the team coordinates, management, or customers.

3. The team's performance criteria are consistent with its unit andorganizational performance objectives.

Team goa l setting typ ically involves vertical goal setting in concert

with their un it, and horizontal goal setting w ith other interdepend ent

teams, groups, or un its.

4. Individu al team m embers define their performance criteria to beconsistent with the team, u nit, and organizational performanceobjectives.

Individu al team members should define their performan ce in

collaboration with coworkers.





Activity 5 5. Team performance criteria are periodically reviewed to determine(continued) their app ropriateness under changing business or organizational

conditions an d, if necessary, revised according to a d ocumentedprocedure.

Activity 6 Team p erform an ce is evalu ated on a period ic an d even t-d riven

basis.

1. Teams periodically or on an event-driven basis review theirperformance against internally and externally d efined performancemeasures.

2. Teams openly discuss performance issues and seek solutions toperformance problems.

3. Team performance is periodically evaluated against objectiveperformance criteria that were p reviously agreed to by theindividu al(s) or entities to w hich the team is accountable.

4. Team p erformance is used as an evaluative factor in adm inisteringperformance-related workforce activities.

Activity 7 Rew ard s an d recogn ition based on team perform an ce an d

ind ividu al contribu tions to team activities are provided, wh en

app ropriate, at the individ ual and team levels.

Activity 8 Team develop m en t activities are p lan n ed in th e organ ization ’s

and each u nit’s near-term w orkforce plan s.

1. The organization’s strategic and near-term w orkforce plans includetraining, advan ced team bu ilding techniques, and other w orkforceactivities for increasing th e capabilities of team s.

2. The organization’s strategic and near-term w orkforce plans includeactivities for increasing the level of team-based core competen cies inthe organization.

3. The organization’s strategic and near-term w orkforce plans include

activities for ensu ring the continuity of effective team building andteam-based practices.





Activity 9 Con tin uou s team develop men t is b ased on an alyses of th e

team’s performance.

Factors to evaluate in analyzing team p erformance may include:

– team performance against objective performance criteria,

– how the work is organized and carr ied out by the team,

– peer reviews by people external to the team,

– t ea m s elf-ev alu a tio n,

– appropriate quality and product ivity metrics ,

– skill development needs for existing team members (both

individua l competency developm ent and d evelopment of team-

based skills),

– performance improvement against baselines, and– the contribution of the team to the performance of the unit and

the organization.

1. Development needs are identified at the team level.

2. Team-based d evelopment objectives are includ ed in team planningand individua l developmen t objectives.

3. Progress against team-based d evelopment objectives is tracked by theteam.

Activit y 10 Th e com p en sation system is d esign ed , in part, to reward th e

team mem bers for the team's performance and its contribu tionto enh ancing the organization’s performan ce.

1. The impact of the compensation system on motivating thedevelopm ent and improved p erformance of teams is periodicallyreviewed.

Examp les of the imp act of the comp ensation system on team

development and performance includ e:

– abil ity to s timulate the development of teams,

– abil ity to motivate individuals to develop capabi li ty in

team-based competencies,– ability to motivate team cohesion and coordination, and

– abil ity to at t ract and retain talent in team-based ski lls.





Activity 10 2. The comp ensation system is designed in part to improve team(continued) performan ce and its contribution to performan ce at the u nit and

organizational levels.

3. The comp ensation system is adm inistered in a way that optimizes therelationship of team performan ce with u nit and organ izationalperformance.

4. The compensation system is periodically reviewed to ensure that ithas achieved its intend ed imp act on stimulating team formation andperformance.

5. The compensation system is revised when necessary to improve theimpact of team p erformance on unit and organizational performance.

Activit y 11 Each i n divi du al’s con trib u tion t o team p erform an ce is factoredinto his or her comp ensation d ecision.

Examples of team-based factors influencing compensation d ecisions

include:

– cur rent capability in t eam tasks ,

– development of addi t ional capabil it ies in team tasks,

– successful comp letion of activities in individu al development plans

that are related to team bu ilding and team performance,

– ability to translate capability in core competencies into enhanced

team p erformance,

– abil ity to help the team enhance unit and organizationalperformance, and

– contribution in helping or mentoring others to improve their

know ledge and skills related to team responsibilities.

1. Practices are devised to factor team p erformance into individualcompensation decisions.






Examples of mechanisms for factoring team-based incentives into

individual compensation include:

– equal payments to all team members,

– payments based on team performance and/ or team contribution to

organizational performance,

– payments based on improvement in team performance,

– differential payments based on each individu al’s capabilities and

contributions to the team, and

– different ial payments based on the relat ionship of each

individu al’s base pay to the grou p base bay.

2. The way in which team performance and individu al contributions toteam activities are factored into th e ind ividu al’s comp ensationdecision is d iscussed with each ind ividu al.



tailoring work force practices for team-based activities within the

organization.

Examp les of status measu rements for team -based practices includ e:

– amount of time spent in tailoring workforce activities to the

organ ization’s team-based pra ctices,

– rate or progress in tailoring the organization’s workforce activities

for team-building ap plication, and

– indicators of the organization’s increased efficiency in performing

team-based work force activities.





Measurement 2 Measurements are made and used to determine the effect iveness

of team-based w orkforce practices.

Examples of measurements of the effectiveness of team-based workforce

pra ctices includ e:

– individual ratings of the effectiveness of team-based workforce

practices;

– increased level of motivation and retention resulting from team-

based staffing, career plann ing, comp ensation, and r eward

practices;

– improvements in team performance; and

– increased impact of team performance on unit and organizational

performance.


Verif ica tion 1 A responsible individual(s) ver if ies that tai loring the

organization’s w orkforce practices for team -bu ildin g ap plication

is cond ucted accordin g to the organization’s documen tedpolicies.


1. Team-based workforce practices comp ly with all app licable laws andregulations and with th e organization’s policies and stated values.


3. All actions related to team -based w orkforce practices are periodicallyreviewed to ensu re that they conform to docum ented p olicies.





Verif ica tion 2 The organization’s ef fect iveness in implementing team-based

workforce practices is periodically reviewed by executivemanagement.


1. Appropriateness of team-based w orkforce practices at theorganizational and un it levels.

2. Progress in performing team-based w orkforce practices.

3. Results from reviews of team-based w orkforce practices against theorganization’s stated values and appropriate policies.


Verif ica tion 3 The defin it ion and use of team performance data are per iodically

audited.




Organizational Comp etencyManagement


The pu rp ose of Organ izational Comp etency Management is to increasethe capability of the organization in its core competencies and to determinethe effectiveness of its competency development activities in achievingspecific comp etency grow th goals.

Organ izational Competency Managem ent involves setting measurablegoals for grow th in the organ ization’s core competencies, defining andcollecting data relevant to th em, analyzing the impact of competencydevelopment activities on achieving these goals, and using the results toguide the app lication and imp rovement of comp etency developmentactivities.

Plans and improvement goals are periodically established for theorganization’s capability in each of its core competencies. The

organ ization establishes its capability and trend s relative to its goals ineach of its core competencies quan titatively. Data are defined andcollected, and trends are analyzed. When needed, the organization takescorrective actions to bring competency trends und er managed control. Theorgan ization quantitatively determines the impact that its competencydevelopment activities have on its capability in its core competencies.Feedback on th e organ ization’s capability relative to its core comp etenciesis reported on a regu lar basis. Corrective action is taken whenevernecessary to ensure app ropriate progress against the organization’scapability goals or to imp rove the perform ance of its competency

development activities.




Organizational Comp etency Managemen t Level 4: M anaged

Goals

G oal 1 M easu rab le goals for cap ab ility in each of th e organ ization ’s core

comp etencies are defined .

G oal 2 Progress tow ard ach ievin g cap ab ility goals in th e organ ization ’s

core competencies is q uantified an d managed.

Goal 3 The knowledge and skills-building capability of the

organization’s competency developm ent activities is k now n

qu antitatively for each of its core comp etencies.


Commitment 1 The organization fol lows a documented pol icy for developing

capab ility in its core comp etencies.


1. The organizational competency management activities supp ort anorganizational comm itment to improve the organ ization’s capabilityin each of its core competen cies.

2. Organizational competency m anagement activities serve the businessobjectives and stated v alues of the organ ization.

3. Competency-based measures are defined and collected for each of theorganization’s core competencies.

4. Measurable goals are defined for capability in each of the


5. Progress toward capability goals is quantitatively analyzed, reported,and mon itored for each of the organization’s core competencies.






organizational comp etency managemen t activities.

1. Experienced individuals who have expertise in analyzing competency-based d ata are ava ilable to assist in quan titative analyses of theorganization’s competencies.

2. Experienced individuals with expertise in competency developmentactivities are available to help responsible ind ividu als use the resu ltsof quan titative ana lyses to imp rove the organization’s competencydevelopm ent activities.

3. Tools for supp orting organizational competency managementactivities are m ad e available.

Examp les of tools to sup port organizational competency managem ent


– s ta tis tica l analysis packages,

– sp read sheets,

– knowledge and ski lls analysis tools ,

– databases and other reposi tor ies, and

– textual and graphical report ing tools .

4. The organization’s near-term workforce plan allocates resources forits organizational competency management activities.

Ab ility 3 All in divid uals an alyzin g an d rep ortin g com peten cy-b ased d ata

have been trained in q uan titative data analysis and other

relevant topics.

Ability 4 All in divid uals w ho p rovid e d ata in to or u se th e ou tp uts of

qu antitative an alyses of the organization’s comp etencies receive

appropriate orientation or training in the pu rposes and methods

for using these data.

1. Those who provide d ata to the organizational competencymanagem ent activities receive orientation in the definition andanalytic use of the d ata.




Level 4: M anaged Organizational Comp etency Man agement

Ability 4 2. Those who receive quantitative analyses of the organization’s(continued) competencies receive orientation in how the results were generated

and how to interpret them.

3. All individu als who are responsible for ad justing w orkforce practicesto improve the d evelopment of core competencies receive training inhow to make such adjustments.


Activity 1 O rgan ization al com p eten cy m an agem en t activities are p lan n ed .

1. Plans for the organizational competency m anagement activities areprepared on a p eriodic basis, typically as part of workforce planningactivities.

2. These plans are reviewed w ith all affected parties.

Examples of parties affected by the plans for organizational

competency ma nagemen t activities include:

– those responsible for coordinating organizational competency

management activities across the organization,

– those responsible for performing and reporting competency-based

activities,

– the group responsible for analyzing and reporting quantitative

analyses of the organization’s competencies,

– those with management responsibilit ies for units, and

– executive management.

3. Plans for the organizational competency m anagement activities aredocum ented in the organization’s and unit’s near-term w orkforceplans and used as the basis for managing p erformance-relatedworkforce activities.

4. The status of organizational competency m anagement activities isperiodically reviewed , and p lans are revised as necessary whenevents or conditions necessitate changes.





Activity 2 M easu rab le ob jectives are estab lish ed for d evelop in g th e

organ ization ’s capab ility in each of its core comp etencies.

Examples of m easurab le objectives for capab ility in each of the


– the level of knowledge and ski lls available in each of the


– the rate at which knowledge and skills are acquired in each of the


– the deployment of core competencies across the organization,

– trends in the relationship between competency development and

business performance,

– the rate at which individuals develop knowledge and skil ls inmu ltiple comp etencies, and

– the rate at which new competencies can be developed and deployed

to relevant comp onents in the organization.

Measurable goals for developing capability in each of the organ ization’score competencies are:

1. Developed by responsible individu als or groups as part of workforceplanning activities.

2. Developed w ith input from all individu als affected by the goals.

3. Reviewed and agreed to by all individuals affected by the goals.

4. Aggregated at the organizational level into organizational goals.

5. Reviewed and approved by the level of management appropriate forthe level of the goal.

6. Included in the strategic and near-term workforce plans of theorganization.

7. Reviewed periodically and revised as necessary based on events orthe resu lts of the organizational comp etency m anagement activities.





Activity 3 Th e organ ization d evelop s a data collection , an alysis, an d

repor ting strategy for each of its core comp etencies.

1. The factors to be considered in developing a data collection, analysis,and reporting strategy for the d evelopm ent of core comp etenciesinclude:

t the measurable goals established for the d evelopm ent of theorganization ’s capability in each of its core competencies;

t trend s to be analyzed in the developm ent of the organization’scapability in each of its core competencies;

t how data on th e organization’s core comp etencies are aggregatedat the organizationa l level; and

t the frequency of collecting, analyzing, and reporting data on the


2. The data collection, analysis, and rep orting strategy for each corecompetency is:

t reviewed an d agreed to by all ind ividu als or groups affected by it,

t reviewed and ap proved by executive management,

t periodically reviewed aga inst results and revised as necessary toimprove the value of the analyses performed ,

t incorpora ted into comp etency developm ent plans, and

t reviewed on a p eriodic basis and u pd ated as necessary.

3. Data collection, analysis, and reporting activities are cond ucted

according to the strategy, and the schedule is documented in thecompetency developmen t plan for each core comp etency.

Act ivity 4 Tren d s in th e organ ization ’s cap ab ility in each core com p eten cy

are comp ared qu antitatively to its comp etency developm ent

goals.

1. Data on the organization’s capability in each core comp etency aredefined an d collected.

The initial measu rements requ ired to sup port this key practice were

defined in the Know ledge and Skills Analysis, Comp etencyDevelopmen t, Comp etency-Based Pr actices, and Team Building key

process areas. As quan titative analyses of organizational competency

matu re, additional or revised measu res can be defined.





Activity 4 2. Procedures that w ere developed for collecting, processing, and(continued) maintaining information in sup port of competency development

activities will be observed in collecting and u sing data n eeded fororganizational competency management activities.

Refer to Activity 2 of the Comp etency Development k ey pr ocess areas

for practices regarding procedu res for tracking the know ledge and skills

of the work force in the organ ization’s core comp etencies.

3. Procedures for analysis of organizational competency managementare defined.

Examples of analysis activities to be d efined include:

– how data a re to be prepared for analysis ,

– which analyses and data manipulat ion methods are to be used,

– which tools will be used to perform these analyses,

– how baselines will be established for each core competency,

– how trends will be determined from baselines,

– what information will be reported from the analyses,

– how results of analyses are to be represented,

– how the results of analyses will be stored, and

– how often results of competency management analyses will be

reviewed to ensure that they are sup plying information needed toimprov e comp etency developmen t activities.

4. Approved uses and restrictions for these data are defined.

Act ivity 5 Th e organ ization qu an titatively d eterm in es th e cap ab ility of its

comp etency developmen t activities to achieve the goals for

develop ing each core comp etency.






Examples of workforce activities that may be an alyzed includ e:

– the impact of recruiting activities on the mix and level of

core competencies entering the organization,

– the success of selection methods in identifying individuals

with capabilities in the or ganization ’s core competen cies,

– the impact of performance management activities on identifying

needs for training and competency developm ent activities in the


– the impact of training and competency development activities on

increasing th e level of core comp etencies in th e organ ization,

– the impact of career development and other competency-based

practices on m otivating and increasing th e level and optima l mix of core comp etencies in the organ ization, and

– the impact of team-building activities on supporting the

development of the organization’s core competencies.

1. Baseline measures of the organization’s core comp etencies areestablished from an alyses of da ta characterizing the level of corecompetencies in the organization.

2. The imp act of competency-related w orkforce activities on theorganization’s core competencies is observed empirically, analyzed,and compared w ith comp etency baselines to iden tify trends.

3. Reports of these analyses are made available for use in m anaging andimproving competency-related workforce activities.

Examples of ind ividua ls or entities that w ould receive repor ts of these

analyses include:


organization,

– those responsible for performing and reporting workforce

activities,







Activity 6 Wh en th e organ ization ’s cap ab ility in on e of its core

comp etencies differs significantly from goals, action is tak en toimprove th e capability.

1. Results that differ significantly from measurable goals for each of theorganization’s core competencies are ana lyzed for th eir causes, andactions are pr oposed if app ropriate.

Examp les of cond itions u nder wh ich p roposed actions may be taken

include:

– trends in a core competency differ significantly from the measurable

goals established for the competency,

– the impact of competency development activities on one of theorgan ization’s core competencies is below expectations,

– variation in results of competency development activities is

too large, or

– occasional deviations occur from the levels of core competencies

that the organ ization believes it must m aintain.

2. Proposed actions are reviewed, approved, taken, and theircompletion is tracked.

Examples of proposed actions resulting from organizational competency

management activities include:

– correcting problems in the performance of competency development

activities,

– adjusting the measurable goals for the organization’s capability in

one of its core competencies, or

– collecting add itional data or designing other analyses to correct

misleading results.






Measurement 1 Measurements are made and used to determine the s ta tus of the

organization’s comp etency man agement activities.

Examp les of measur ements to d etermine the status of organizational


– completeness and timeliness of the data collected,

– accuracy of the data co llected ,

– adherence to the planned resources and schedule for the

organizational competency management activities,– length of t ime between data collection and the presentation of

analysis results, and

– number of quantitative objectives that must be revised.


organizational comp etency managemen t activities.

Examp les of measuremen ts to determine the value of organizational


– improvements in the profile of the organization’s capabilityacross its core competencies,

– relationship between business performance trends and

impr ovemen ts in the organ ization’s capabilities across its

core competencies,

– increases in the organization’s ability to identify areas of

competency d evelopment activities need ing corrective action,

– increases in the effectiveness with which competency development

activities increase th e organ ization’s cap ability in each of its core

competencies,

– increases in the speed w ith which the organization or its units can

increase the level of core comp etencies,

– increases in the speed w ith which the organization or its units candep loy a new core competency, and

– increases in the organization’s ability to achieve quantitative

objectives in the grow th of its core comp etencies over time.






Verif ica tion 1 A responsible individual(s) ver if ies that quanti ta tive analyses of

the organ ization’s capability in its core competen cies are


policies.


1. Organizational competency management activities comp ly with theorganization’s policies and stated v alues.


3. All actions related to organizational competency managementactivities are p eriodically reviewed to ensure that they conform todocum ented p olicies.

Verif ica tion 2 The organization’s effect iveness in implement ing i ts

organizational competency management activities is periodically

reviewed b y executive man agement.


1. Appr opriateness of the planned organizational comp etencyman agement activities at the organizational and un it levels.

2. Progress in performing the planned organizational competencymanagement activities.

3. Results from reviews of the organizational competency m anagementactivities against the stated va lues and app rop riate policies.


Verif ica tion 3 The defin it ion and use of measures of the organization’s core

comp etencies are periodically audited .




Organizational PerformanceAlignment


The purp ose of Organizational Perform ance Alignment is to enhan cealignm ent of performan ce results at the ind ividual, team, unit, andorganizational levels with th e app ropriate goals and to quantitativelyassess the effectiveness of w orkforce practices on achieving alignment.

Organizational Performance Alignm ent involves setting measu rable goalsfor aligning p erform ance at the individu al, team, un it, and organizationallevels; defining the data and analyses; collecting the d ata; analyzing trend sagainst objectives; acting on exceptional find ings; analyzing th e imp act of workforce practices on p erformance alignment; and reporting r esults.

Objectives are p eriodically established for aligning performance resultsacross the individu al, team, unit, and organ izational levels. Both theperformance data to be collected an d the analyses to be performed are

defined . Data are collected, and trend s are analyzed and comp ared toalignm ent goals. Where performance is misaligned , corrective actions aretaken and goals are adjusted, if necessary. Trends in workforce practicesand improved capability in the organ ization’s core competencies areanalyzed to d etermine their imp act on th e alignm ent of performanceresults. Feedback on performance alignm ent is reported to theorganization. Managem ent takes action when necessary to ensureprogress against performan ce alignm ent goals.




Organizational Performance Alignmen t Level 4: M anaged

Goals

Goal 1 Measurable goals for aligning individual, team, un it, and

organizational performance are defined .

Goal 2 Progress tow ard achieving perform an ce align ment goals is

qu antified and managed.

G oal 3 Th e cap ab ility of w ork force activities to align in divid ual, team ,

un it, and organizational performance is know n qu antitatively.


Commitmen t 1 The organization follows a documented policy for collecting and

analyzin g data relating its work force activities to performance.


1. The organization is comm itted to continuously imp roving its overallperformance by aligning performance results at the individual, team,un it, and organizational levels.

2. The organization’s performan ce alignment activities serve the businessobjectives and stated v alues of the organ ization.

3. Measurable goals are defined for aligning performance at theindividu al, team, u nit, and organizational levels.

4. Performance measures are defined and collected at the individual,team, u nit, and organizational levels.

5. Progress toward performance alignment goals is quantitativelyanalyzed, reported, and monitored.




Level 4: M anaged Organizational Performan ce Alignmen t

Commitment 1 6. Responsibilities for performance alignment activities are defined and(continued) assigned to app ropr iate organizational roles.

7. Results of performance alignment analyses are used in managingperforman ce and adjusting w orkforce activities.

8. Hu man resources professionals are consulted to ensure that collection,use, and access to the data an d an alyses from perform ance alignm entactivities comply with all relevant laws, regulations, andorganizational policies.


coordinating performan ce alignm ent activities across th e

organization.



perform ance alignmen t activities is staffed.


performan ce alignm ent activities.

1. Experienced individuals who have expertise in analyzing performanceda ta are available to assist with analyses of perform ance alignm ent.

2. Experienced individuals with app ropriate expertise are available tohelp responsible individuals use the results of performance alignmentanalyses to ad just p erforman ce-based p ractices to achieve betteralignment.

3. Tools for supp orting performance alignment activities are mad eavailable.






Examp les of tools to su pp ort p erformance alignm ent activities include:


– sp read sheets,

– performance assessment instruments,

– databases and other reposi tor ies, and

– textual and graphical report ing tools .

4. The organization’s near-term workforce plan allocates resources forits organizational performance alignment activities.

Ab ility 3 M easu rem en ts of p erform an ce are collected an d mad e availab lefor analysis.


defined in the Performance Managem ent, Comp etency-Based Practices,

and Team-Based Pr actices key process areas at the Repeatable and

Defined levels. As performan ce alignmen t activities mature,

add itional or refined m easures can be defined.

Ab ility 4 All in divid uals an alyzin g an d rep ortin g p erform an ce d ata h ave

been trained in q uan titative data analysis and other relevanttopics.

Ability 5 All in divid uals in volved in p erform an ce align men t activities

receive approp riate orientation or trainin g.

1. Those who provide performance data receive orientation on thedefinition and an alytic use of the data.

2. Those who receive performance alignment analyses receive orientationin how the results were generated and h ow to interpret them.

3. All individu als who are responsible for ad justing w orkforce practicesto improve p erformance alignm ent receive training in how to makesuch adjustments.






Activity 1 Perform an ce align men t activities are p lan ned .

1. Plans for performance alignment activities are prepared on a periodicbasis, typically as p art of w orkforce plann ing activities.

2. These plans are reviewed w ith all affected parties.

Examples of parties affected by the perform ance alignm ent p lans

include:

– those responsible for coordinating performance alignmentactivities across th e organ ization,

– those responsible for performing and reporting performance

alignment activities,

– the group responsible for analyzing and reporting performance

alignm ent analyses,

– those with management responsibilit ies for the units, and


3. The performance alignment plans are docum ented in theorganization’s and un it’s near-term w orkforce plans, and used as the

basis for managing performance-related workforce activities.

4. The status of performan ce alignm ent activities is periodicallyreviewed , and p erforman ce alignment plans are revised w hen eventsor conditions necessitate changes.

Act ivity 2 Measu rab le goals are estab lish ed for align in g p erform an ce at th e

ind ividu al, team, un it, and organ izational levels.






Examp les of quan titative objectives for performan ce alignm ent includ e:

– individual performance against team, unit , and organizational

performance goals;

– team performance against unit and organizational performance

goals;

– unit performance against organizational performance goals;

– contributions by individuals, teams, or units to the achievement of

performan ce goals of other individu als, teams, or un its;

– contributions by individuals, teams, or units to improvements

in the overall work environ men t or culture of teams, units, or

the organization;

– individual and team development against team, unit , andorganizational goals for capability development; and

– individual, team, unit, and organizational performance against

continuou s improvement goals.

Measurable goals for aligning p erformance are:

1. Developed by responsible individu als as part of their workforceplanning activities.

2. Developed with input from all individu als or groups affected bythem.

3. Reviewed and agreed to by all individuals or groups affected by them.

4. Aggregated at the unit and organizational levels into unit andorganizational goals.

5. Reviewed and approved by the level of management appropriate tothe level of the goal.

6. Included in the strategic and near-term workforce plans of theorganization.

7. Reviewed periodically and revised as necessary based on events orthe results of performance alignment activities.





Activity 3 Th e organ ization d evelop s a data collection , an alysis, an d

reportin g strategy for its performan ce alignm ent activities.

1. The factors to be considered in developing a d ata collection, analysis,and reporting strategy for performance alignment activities include:

t individu al, team, un it, and organizational performance goals;

t trends in individual, team, un it, or organizational performance;

t how data on individu al, team, and u nit performance areaggregated to represent performance at the next higherorgan izational level; and

t the frequency of collecting, repor ting, and reviewing ind ividual,

team, unit, and organizational data.2. The data collection, analysis, and reporting strategy for performance

at the ind ividu al, team, u nit, and organizational level is:

t reviewed an d agreed to by all ind ividu als or groups affected by it;

t reviewed and ap proved by executive management;

t periodically reviewed against results and revised, as necessary, toimprove the value of the analyses performed ;

t incorporated into the performance alignment plan; and

t reviewed on a p eriodic basis and u pd ated as necessary.

3. Data collection, analysis, and reporting activities are cond uctedaccording to the strategy and schedule docum ented in theperformance alignment plan for each u nit.

Activity 4 O b jective d ata on p erform an ce at th e in d ivid u al, team , u n it, an d

organizational levels are defined , collected, and analyzed for

trends in performance alignment.


defined in the Performance Managem ent, Comp etency-Based Practices,

and Team-Based Practices key process areas. As quan titative analyses

of performance alignment m ature, add itional or revised m easures can bedefined.





Activity 4 1. Procedures developed for data that supp ort performance(continued) managem ent activities will be observed in collecting, using, and

retaining data that su pp ort performan ce alignment activities.

Refer to Activity 9 of the Performance Management key process area for

practices regarding performance managemen t data.

2. Procedures for analyzing performance alignment are defined.

Examples of analysis activities to be d efined include:

– how data a re to be prepared for analysis ;

– which analyses and data manipulat ion methods are to be used;

– what tools are to be used in performing these analyses;

– how performance baselines will be established at the individual,

team, un it, and organizational levels;

– how trends will be determined from baselines;

– what information will be reported from the analyses;

– how the results of analyses are to be represented;

– how the results of analyses will be stored; and

– how the security and confidentiality of these data will be ensured.

3. Approved uses and restrictions for these data and analyses aredefined.

Act ivity 5 Th e cap ab ility of th e organ ization ’s p erform an ce-related

work force activities to align p erformance is established

quantitatively.

1. Performance baselines at the team, unit, and organizational levels areestablished from an alyses of perform ance data.

2. Trends in the impact of performance-related w orkforce activities onaligning p erforman ce at the individu al, team, u nit, and organizationallevels are established emp irically.






Examples of performance-related workforce activities that may be

analyzed includ e:

– the effect of performance management activities on aligning

performance;

– the impact of coaching and mentoring on understanding how to align

performance;

– the impact of salary adjustment criteria and bonus determinations

on aligning p erformance;

– the impact of individu al, team, unit , and organizational rewards

for aligning performance;

– the effect of strategies for career developm ent on aligning

performance;– the effectiveness of including performance alignment material in

training and competency d evelopm ent;

– the effectiveness of participatory commitment procedures on

redu cing over-comm itment;

– the value of designing the work environment to better support

performance alignment; and

– the impact of team building on performance alignment.

3. Reports of these analyses are made available for use in m anaging andimproving performance-related workforce activities.

Examp les of individu als or entities that w ould receive reports on

organizational performance alignm ent includ e:


organization,

– those responsible for performing and reporting workforce activities,



Activity 6 Wh en p erform an ce align men t at th e team , u nit, or

organizational levels d iffers significantly from goals, actions are

taken to improve the alignmen t.





Activity 6 1. Performan ce alignmen t results that differ significantly from(continued) established goals are analyzed for their causes, and actions are

prop osed, if app ropriate.

Examples of conditions under which actions may be proposed include:

– trends in performance alignment differ significantly from

established goals,

– the impact of performance-related w orkforce activities in aligning

performance is below expectations,

– variation in results of performance alignment activities is too large,

or

– deviations occur from the performance alignments that the

organization believes it must maintain.

2. Proposed actions are submitted for consideration to the appropriateindividual(s) or group s, which may include:

t individu al(s) responsible for the performan ce of relevantworkforce activities at the team, un it, or organizational level, or

t individual(s) responsible for coordinating relevant workforceactivities at the organizational level.

Examples of prop osed actions resulting from perform ance alignm ent


– analyzing the causes for misaligned performance and makingchanges to w ork p rocesses, business objectives, or individu al or group

criteria to fix the misalignment;

– making adjustments to workforce practices or activities that lead to

misalignments of performance;

– improving workforce practices to improve the alignment of

performance results;

– correcting problems in performance alignment practices or

activities;

– adjusting the goals for performance alignment; or

– evaluating the measures and analyses to determine if they are

produ cing m isleading results and need to be revised.






Measurement 1 Measurements are made and used to determine the s ta tus of the

organization’s performan ce alignmen t activities.

Examp les of status measu rements of p erformance alignm ent activities

include:

– the completeness and timeliness of the data collected,

– the accuracy of the data collected,

– adherence to the planned resources and schedule for performance

alignment activities,– length of t ime between data collection and the presentation of

analysis results, and

– number of quantitative objectives that must be revised.


performan ce alignm ent activities.

Examp les of measurements to d etermine the value of performance

alignm ent activities includ e:

– increases in the organization’s ability to correct misaligned

perform ance or other results need ing corrective action,

– increases in the speed w ith which the organization or its units can

deploy and align new performance objectives, and

– increases in the organization’s ability to align its performance

objectives and resu lts over time.






Verif ica tion 1 A responsible individual(s) ver if ies that quanti ta tive analyses of

the organization’s p erformance alignment are cond ucted

according to p lan an d the organization’s d ocum ented policies.


1. Performance-related workforce activities comply with theorganization’s policies and stated v alues.

2. Noncompliance items are handled appropriately.3. All actions related to performance alignment activities are

periodically reviewed to ensure that they conform to docum entedpolicies.

Verif ica tion 2 The organization’s effect iveness in implement ing i ts

organizational performance alignment activities is periodically

reviewed b y executive man agement.


1. Approp riateness of performance alignment activities at theindividu al, team, u nit, and organizational levels.

2. Progress in performing performan ce-related workforce activities.

3. Results from reviews of performance alignment activities against theorganization’s policies and stated v alues.


Ver if ica tion 3 The defin it ion and use o f measures of ind ividual , t eam, un i t,

and organizational performance are periodically aud ited.




People


Level 5: O p tim izing

The key p rocess areas at th e Op timizing level cover the issues thatboth the organ ization and the staff must ad dress in continu ouslyimprov ing their capa bility. Continuou s impr ovement of bothpersonal and organ izational comp etence is achieved. Continuou simpr ovemen t of the organization's method s for developing itscomp etencies and performance is enabled throu gh bothqu antitative feedback and the ad option of inn ovative practices andtechnologies.

Key process areasPersonal Competency Development L5-1

Coaching L5-13

Con tin u ou s Work force In n ovation L5-25



Personal CompetencyDevelopment

A ke y p r o ces s a rea f o r Lev e l 5 : Op t im iz i n g

The p urp ose of Personal Competency Developm ent is to provide afoun dation for professional self developm ent.

Personal Competency Developm ent consists of a volun tary p rogram forcontinuously improving individu al work p rocesses. This program involves

developing goals and p lans for personal work activities, establishing andusing d efined p ersonal processes, measuring and analyzing theeffectiveness of these personal processes, and implementingimprovem ents to them.

The organization establishes a volun tary program to supp ort individualinitiative in continuously imp roving personal work p rocesses. Individu alsdefine their w ork processes and u se these defined processes to plan theirwork. Individu als measure their work processes and set measurable goals

for improving their performance. Individu als analyze their work processes to identify opp ortunities for improvement and they identify theknowledge and skills needed to make these improvements. Individualsimprove their w ork p rocesses and eliminate the causes of defects in theirwork.

The organization ad justs th e ap plication of workforce p ractices to su pp ortpersonal comp etency developm ent. Improvements in ind ividual work processes are recognized.




Personal Competency Developmen t Level 5: O ptim izin g

Goals

Goal 1 In dividu als know their capability in each of the competencies

involved in their work.

Goal 2 In divid uals con tin uou sly im prove th eir k now led ge an d sk ills in

the competencies involved in their work.

Goal 3 Participation in improving personal competencies is

organization-wide.


Commitment 1 The organization fol lows a documented policy for continuously

imp roving ind ividu als’ personal competencies.


1. Personal competency d evelopment activities serve the businessobjectives and stated v alues of the organ ization.

2. Individuals are encouraged to continuously imp rove the personalwork processes involved in their work.

3. Individuals participating in personal competency developmentactivities set measurable goals for continuous improvement of theirindividu al work p rocesses.

4. Supp ort is provided for assisting individu als to continuously imp rovetheir competencies.

5. All individu als are able to participate on a voluntary basis incontinuously improving their individual work processes.




Level 5: Optim izin g Personal Competency Developmen t


coordinating activities for p ersonal competency developm ent



Ab ility 1 Ad eq uate resou rces an d fu nd in g are p rovid ed for con tin uou sly

improving ind ividual w ork p rocesses.

1. Experienced individuals who have expertise in individu al work process imp rovem ent are available for assisting in activities forcontinuous comp etency d evelopment.

2. Tools for sup porting activities for continuous improvem ents inindividu al work p rocesses are mad e available.

Examples of tools to supp ort activities for continuou s improvements in

individual w ork p rocesses includ e:

– da ta co llect ion tools ,


– sp read sheets,– databases and other reposi tor ies, and

– reporting and communication tools.

3. The organization’s near-term workforce plan allocates resources forcontinuou s p ersonal competency d evelopm ent activities.

Ab ility 2 Th ose en gagin g in p erson al com peten cy d evelop men t activities

receive training in techniq ues for contin uou sly improving

individu al work processes.






Examples of training to su pp ort continuou s improvement of individual

work processes includ e:

– the Personal Software Process (PSP) [Hump hrey95a, 95b];

– advanced measurement and analysis of personal performance;

– methods for planning, defining, analyzing, and m easuring

individu al work processes;

– knowledge and skills related to personal work processes;

– s ta tis tica l a n aly sis ;

– techniques for continuously improving work processes; and

– ch an ge m an agem en t.


Activity 1 A p rogram for p erson al com peten cy d evelop m en t is estab lish ed

that empow ers individuals to continu ously improve their


1. The program for personal competency developm ent is established forvoluntary p articipation.

2. The availability of supp ort for personal comp etency development iscomm unicated throughout the organization.

3. Activities for personal comp etency development are included in theorganization’s strategic and near-term w orkforce plans.

4. Changes are made to individual performance or developm ent plansbased on the activities performed to imp rove individua l work processes and the resu lts of these activities.

Activity 2 In d ivid u als d efin e th e p rocesses th ey u se to p erform th eir w ork .

1. Processes defined at the team, unit, or organizational level provide aframework for defining individu al work processes.





Activity 2 2. Individu als tailor the team, unit, or organizational processes to(continued) establish d efined interfaces for th eir individu al w ork p rocesses.

3. Individu als analyze their work activities to define the produ ct(s) thatthey must personally prod uce for use at the team , unit, ororganizational levels.

4. Individu als describe the processes that they use to perform their work activities.

Examples of process descriptions includ e:

– textual l is t ings of work act ivit ies,

– flowchar ts of work act iv it ies,

– procedural descriptions of work activities, and

– other textual or graphical descr ipt ions of work.

5. Individuals continuously measure, analyze, and imp rove their work processes and their d efinitions.

Activity 3 Wh ere ap prop riate, in divid uals plan th eir activities usin g

defined in dividu al work p rocesses and h istorical individu al

performance data.

Planning work activities is most appropriate in situations where

performan ce of an ind ividual’s wor k process involves a number of steps

and ta kes place over an extended p eriod. It is less relevant wh ere:

– an individual performs many different short-du ration activities,

– an individual’s work processes cannot be defined, or

– an individu al is constantly reacting to external inputs.

1. Individu als plan their work activities based on their defined w ork processes.

2. Individu als estimate the effort and du ration needed to accomp lishtheir work.

3. Individu als use their d efined personal process and available historical

person al data as the basis for making their estima tes.

4. Individu als continuously improve their planning activities byanalyzing the accuracy of their plan an d adjusting their p lanningprocess.





Activity 4 In divid uals measu re th e p erform an ce of th eir in d ivid ual work

processes.

1. Applicable measurements defined at the team, unit, or organizationallevel provide a framework for measuring the performance of individu al work p rocesses.

2. Individu als tailor app licable team, unit, or organizationalmeasu remen ts so that they can utilize data gathered on theperforman ce of their individua l work p rocesses.

3. Individu als define additional measurements as needed to characterizethe p erformance of their w ork p rocesses more completely.

4. Individu als develop a historical database of measurementscharacterizing the p erformance of their w ork p rocesses.

5. Individuals continuously upd ate and improve the measurements of their work processes.

Activity 5 In d ivid u als estab lish m easu rab le person al goals for con tin u ou s

improvements in their work processes.

1. Measurable goals are set for improving the overall performance of assigned work responsibilities and the p erformance of ind ividu alwork processes.

2. Individuals review their performance improvement goals with otherswh o have expertise in the w ork processes for w hich the goals havebeen set.

Activity 6 In divid uals an alyze th e m easu red p erform an ce of th eir work

processes to iden tify opportun ities for imp rovement.

1. Individu als determine the capability of each of their w ork processesto accomp lish its intended result.

The capability of an individua l work p rocess is the range of outcomes

that occur w hen it is performed repeatedly. These outcomes can includ ethe prod uctivity of the performan ce or the qua lity of the pr odu ct or

service produ ced.





Activity 6 2. The capabilities of ind ividu al work processes are analyzed to(continued) determine their p otential for imp rovement.

3. Individu al work processes are prioritized according to the potentialthey present for improving w ork performance.

Activity 7 In divid uals id en tify th e k now led ge an d sk ills th ey n eed to

imp rove their work p rocesses.

Examples of sour ces of information on know ledge and skills include:

– descr ipt ions of personal work act ivit ies,

– descriptions of knowledge and skills maintained by the

organization,

– t ra iners and tra in ing mater ia ls ,

– coaches,

– mentors,

– profess ional lit era ture, and

– advice from role models and experts.

Activity 8 In divid uals con tin uou sly im prove th eir w ork p rocesses.

1. Highest priority work processes are selected for improvementactivities.

2. Individu als seek training or other development opportunities in theknowledge and skills required to imp rove the performance of theirwork processes.

3. Individuals define new p rocesses for imp roving their work, and theyexperiment with using these processes.

4. Individuals measure new w ork processes to determine their ability toimprove the individual’s w ork p erforman ce.

5. Work processes that imp rove individu al work performance areincorpora ted into the ind ividu al’s defined w ork process.

6. Appropriate measures of improved work processes are defined andcollected.





Act ivity 9 In d ivid u als tak e corrective action as n eed ed to correct d efects

and eliminate the causes of defects in their w ork.

1. Individu als collect data on defects in their work.

2. Individu als correct defects in their w ork as quickly as possible afterthe d efects are detected.

3. Individu als analyze data on the defects in their work to determinebetter ways to find and prevent d efects.

4. Individu als implement methods in their work that identify defects asquickly as possible after they are m ad e.

5. Individu als analyze the root causes of defects in their w ork, prioritizethese causes, and take steps to eliminate th e most serious or frequentcauses.

Act iv ity 10 The app lica tion of the organ izat ion’s workforce p ractices is

adjusted as n eeded to accommodate imp rovements in


Examp les of areas w here w orkforce p ractices may n eed to be ad justed

based on improvements in individual w ork processes include:

– per formance management,

– rew ards,– com pen sation ,

– train ing,

– ca reer developm en t,

– wor k environmen t,

– t eam -based p r act ice s,

– competency information bases,

– r ole defin it ions, and

– organizat ional competency management.

1. Goals and data on individu al work processes are confidential to each

individual and should not be pu blished or otherwise distributed byanyone w ithout the agreement of the individu al.





Activity 10 2. Goals and data for improving individual work processes are not used(continued) in performing any workforce activities without the agreement of the

individual.

3. Workforce practices related to the ind ividu al are adjusted asnecessary to reflect:

t changed personal goals,

t improved work processes,

t improved measures of performance, and

t improved w ork performance.

Activit y 11 Re cord s of acti vit ies f or con tin u ou sl y im p rovin g in d ivi du al

work processes are maintained .

1. Individu als agree to the use of data related to personal competencydevelopm ent before the data are aggregated at the team, unit, ororganizational levels.

2. Information about the initiation, status, and imp lementation of prop osals for continuous imp rovement of individua l work p rocessesis maintained.

3. Information about the effectiveness of techniques for continuouslyimproving individu al work processes is collected, an alyzed, reported ,and m aintained.

4. Procedures are followed to ensure the confidentiality of data onimprovem ents to ind ividu al work p rocesses.

Activity 12 Th e accom plish men ts of in divid u als in con tin uou sly

imp roving their w ork p rocesses are recognized.

Examples of recognition for successful improvem ents in individu al work

processes includ e:

– aw ard s,


– p rivileges,


– oth er per qu isites.







activities for p ersonal competency developm ent.

Examples of status measurements for personal competency development

include:

– trends in participation in personal competency development

activities;

– number of individuals trained in techniques for continuously

improving individu al work processes;

– number of individuals actively engaged in personal competencydevelopment activities;

– number or percentage of individuals using defined individual

wo rk pr ocesses for their principal wor k activities;

– number or percentage of individuals gathering data on their

individu al work processes;

– number of individuals who have successfully used techniques for

continuously improving individu al w ork p rocesses;

– reduction in defects in software or other products,

– number and types of adjustments made to workforce practices;

– rate at which goals for individual work process improvement are

being accomplished; an d

– overall activity in changing individual work p rocesses, includingnum ber, type, and size of changes.


personal comp etency developmen t activities.

Examp les of measurements for determining the value of personal

competency d evelopment activities includ e:

– improvements in personal performance results;

– improvements in team or unit performance results;

– improvement in the quality of the software, products, and/ orservices to which the ind ividu al contribu tes; and

– enhanced accomplishment of the performance objectives for the

individual, team, un it, or organization.






Verification 1 A responsible individual(s) verif ies that coaching activit ies are


policies.


1. Personal competency developm ent activities comply with theorganization’s policies and stated v alues.

2. Noncompliance items are handled appropriately.3. All actions related to personal competency developm ent are

periodically reviewed to ensure that they conform to docum entedpolicies.

Verif ica tion 2 The organizat ion’s effect iveness in implement ing act iv it ies for

personal comp etency d evelopm ent is periodically reviewed by

executive man agement.


1. App ropriateness of the activities for personal comp etencydevelopment.

2. Progress in performing the activities for personal comp etencydevelopment.

3. Results from reviews of the activities for p ersonal comp etencydevelopm ent against the organization’s values and ap prop riatepolicies.





Coaching


The pu rp ose of Coaching is to provide expert assistance to enhance theper forman ce of ind ividuals or teams. Coaches engage in closerelationships w ith ind ividuals or teams to gu ide developm ent of skills thatimprove performance.

Coaching involves selecting ap propriate coaches, analyzing d ata onpersonal or team p erforman ce, providing guidan ce on methods forimproving performance, and evaluating progress toward goals forimproving performance.

Coaching opp ortun ities are pursued wh ere coaching can p rovide a justifiable improvement to ind ividua l or team performance. Criteria aredeveloped for selecting coaches. Coaches are trained in coaching skillsand are assigned to an ind ividual or team accord ing to their expertise.Individu als or teams are provided orientation on how to best use a coachto imp rove performance. Coaches use data on individua l or team

performance to analyze skills, and they help ind ividuals or teams setmeasurable goals for imp roving skills and per forman ce. Coaches alsotrack performance continuously and provide specific guidance onimproving skills and performance. Individu als or teams practice the skillsthey are working on with the coach. Coaches provide or make inpu ts toappropr iate rew ard s for improvem ent. Coaching activities are evaluatedand imp rovements are made.




Coaching Level 5: O ptim izin g

Goals

G oal 1 Coach es are selected for th eir exp ertise an d p rep ared for th eir

responsibilities.

Goal 2 Coaches work with ind ividuals to improve their personal

comp etency and performance.

Goal 3 Coaches work with teams to improve their team-based

comp etencies and performan ce.


Commitment 1 The organization follows a documented policy for coaching

activities.


1. Coaching activities serve the bu siness objectives and stated values of the organization.

2. Coaching will be instituted in those situations wh ere its imp act onenhan cing p erformance app ears to justify the investment.

3. Managers are encouraged, but not required, to perform coachingactivities.

4. Coaching activities are encouraged, but not imposed, for individu alsor teams.

5. Coaching activities are included in the organization’s strategic andnear-term w orkforce plans.




Level 5: O ptim izin g Coaching

Commitment 1 6. Docum ented procedu res are developed and used to guide coaching

(continued) activities. These procedures typically specify:t requ irements for the selection, training, and assignmen t of coaches;

t conditions u nd er w hich coaching relationships are to beestablished , changed, or term inated; and

t requ irements for period ic evaluation of coaching to ensu re itseffectiveness and to identify improvem ents.


coordin ating coachin g activities across the organ ization.

A sup plementa ry or alternate app roach to central coordina tion of coaching activities across the organ ization is to coordin ate coaching

activities with in each of the or ganization ’s core competen cies.



coordinating coaching activities is staffed.

Ab ility 2 Ad eq uate resou rces an d fu nd in g are p rovid ed for coach in g

activities.

1. Experienced individu als are made available to coach.

2. Time is mad e available for coaching and practice activities.

3. Resources to sup port coaching activities are made available.






Examp les of resources needed to su pp ort coaching include:

– data collection and storage capabil it ies,

– s ta t is ti ca l ana lys is c apabi li ti es ,

– tools for training task performance,

– t ime for pract ice sessions,

– support for performance evaluation, and

– rewards for improvement.

Ability 3 D ata on in divid ual or team perform an ce are availab le to th e

coach for use in an alyzing and im proving p erformance.

Ab ility 4 In divid uals selected to be coach es have been train ed in relevan t

coachin g objectives, techn iqu es, and sk ills.

Examples of coaching skills in wh ich ind ividu als selected to be coaches

are trained includ e:

– how to conduct a coaching relationship,

– coaching methods and techniques,

– performance observation and analysis ,

– team performance and coordination,

– goal sett ing and motivating performance,– providing performance feedback,

– using quant itat ive data in analyzing performance,

– performance improvement methods,

– pract ice sessions and methods,

– methods for knowledge and skill development ,

– methods for improving team coordination,

– handling performance problems or plateaus, and

– rewarding performance improvement .

Ab ility 5 In divid uals or team s to b e coach ed receive orien tation in th ecoachin g relationship .





Ability 5

(continued) Examples of issues to be covered in orientation includ e:

– object ives of coaching,

– at tr ibutes of effect ive coaching,

– motiva ting h igh performance ,

– establishing goals and expectations,

– using practice sessions, and

– sharing and using personal performance data.


Activity 1 Coach in g is estab lish ed in situ ation s th at are ju dged to offer

sufficient p erformance benefits.

1. Opportun ities for coaching are identified.

Opportunities for coaching include:

t individuals engaged in activities for personal competencydevelopment;

t teams d eveloping team-based cap abilities and competencies; and

t other app ropriate situations, including r equests from an

individu al or team for a coach.2. Identified coaching opportunities are evaluated to d etermine whether

coaching support could significantly enhance individual or teamperformance.

Examp les of performance enhan cements that coaching could affect

include:

– increased knowledge and skills in core competencies;

– improved efficiency or productivity;

– im pr oved qua lit y or sa fe ty ;

– improved coordinat ion;

– reduced costs, defects, or waste;– improved delivery or service; and

– improved reputation or customer loyalty.





Activity 1 3. Coaching is established in those situations where the enhancement in(continued) performance will justify the investment in coaching support.

Activity 2 Coach es are selected an d prep ared for th eir assign men ts.

1. Individu als with expertise in approp riate areas are invited to applyto become coaches.

Coaches can be managers or other ind ividu als with app ropriate

expertise in an area wh ere individu als are engaged in p ersonal

competency developm ent or wh ere teams could improve their team-

based competencies and performance.

2. Criteria are defined for selecting coaches.

Examples of criteria for selecting coaches include:

– extensive experience in relevant subject matter and p rocesses,

– expert knowledge in relevant subject matter and processes,

– interpersonal and communication skills,

– successful mentoring ability,

– business and organizational judgment,

– ability to provide a successful role model,

– a bilit y t o m ot iv at e,

– management exper ience,– av ailab ili t y ,

– commitment to improving performance, and

– ability to analyze components of process performance.

3. Candidates who have applied for coaching assignments are evaluatedagainst the criteria, and those qu alified are selected to becomecoaches.

4. Selected coaches are trained in coaching skills and responsibilities.

Activity 3 Coach es are assign ed to in d ivid u als or team s accord in g todefin ed criteria.






Examples of criteria for ma tching coaches with ind ividu als or teams

include:

– task, position, or career experiences;

– specific knowledge and skills to be improved;

– common backgrounds;

– ability to match schedules; and

– personalit ies or in teres ts .

Activity 4 Coach es an d th e in d ivid u als or team s b ein g coach ed estab lish a

coachin g relationship .

1. Coaches and the individu als or teams being coached receiveappropriate training or orientation before entering into coachingrelationships.

2. Coaches and the individuals or teams being coached establishagreements on which their relationship will develop.

Examp les of issues they sh ould reach agreement on include:

– what they both expect out of the coaching relat ionship,

– whether they will meet on a periodic or event-driven basis,

– performance standards against which progress will be evaluated,– how they will conduct their meet ings, and

– how they will communicate between meetings.

3. They evaluate and agree on the specific skills that the individu al orteam intends to d evelop throu gh coaching.

Activity 5 Coach es an d th e in divid uals or team s b ein g coach ed set

measurab le goals for improving p erformance.

1. The individu al’s or team’s current performance is measured.

2. Skills that the individu al or team needs to develop to imp roveperforman ce are identified.





Activity 5 3. Measurable goals are set for improving performance on the targeted(continued) skills.

Examples of issues to be resolved in setting m easurable goals include:

– which sk ills are to be improved,

– how these skil ls relate to performance,

– the order in which different ski lls will be addressed,

– how skill improvement will be measured,

– how much skill needs to be developed and at what rate , and

– how performance related to skill improvements will be measured.

Activity 6 Coach es m on itor in divid ual or team perform an ce.

1. Individuals or teams share their personal and/ or team p erformancewith th eir coach.

2. Coaches maintain an awareness of the performance of theirindividu als or teams.

3. Coaches hold regular discussions about performance trends with theindividuals or team s being coached.

4. New m easures are defined and collected if they will bettercharacterize performan ce.

Activity 7 Coach es gu id e im provem en ts in th e sk ills of in divid uals an d/or

teams.

1. Coaches work directly with individu als to develop or enhance skills.

2. Coaches use the individual’s or team’s quantitative performance datato guide their coaching.

3. Coaching is provided in a positive rather than pun itive atmosphere.

4. The effectiveness of skill performance is measured and analyzedcontinuously.

Activity 8 In d ivid u als an d /or team s p ractice th e sk ills th at th ey are

workin g to improve.1. To the extent possible, work is organized to provide individu als or

teams w ith the opp ortun ity to practice the skills that they are w orkingto improve.





Activity 8 2. Coaching and p ractice activities are coordinated with those to whom(continued) the individual or team is accountable to ensure su pp ort for moving the

skills being coached into actual pr actice.

3. Performance is measured to p rovide feedback on the effectiveness of the skills that the individu al or team are w orking to improve.

4. Coaches are made aware of work performance.

Activity 9 Coach es rew ard im p roved perform an ce b y in d ivid u als or team s.

Examp les of reward s provid ed by coaches includ e:

– compliments and other verbal reinforcements,

– public recognit ion,

– fin an cia l r ew a rd s,

– ach iev em en t aw ar ds,

– input to performance management activities,

– input to compensat ion act ivit ies,

– input to recognition and reward activities, and

– input to promotion and career development.

Activity 10 Coach es an d in d ivid u als are p rovid ed gu id an ce on how to

imp rove their coachin g relationsh ip.

1. An advisor should be available to coaches or individuals fordiscussions on how to make coaching more effective.

Examples of guid ance provided on coaching include:

– how t o in it ia te coach ing ,

– when and how frequently to have training sessions,

– potential topics to be discussed,

– how to determine the coaching needs of individuals,

– m ethods of coach ing,

– how to track progress toward goals ,

– how to handle problems, and

– how to overcome problems in the coaching relationship.





Activity 10 2. Periodic meetings of coaches are condu cted to improve coaching

(continued) skills.

Examp les of benefits from meetings am ong coaches includ e:

– sharing lessons learned ,

– discussing coaching problems and issues, and

– gaining access to successful coaches.

Activity 11 Action s are tak en to im p rove coach in g relation sh ip s.

1. Coaches and the individuals or teams being coached periodically

review th e progress that they are making toward their agreed-up onobjectives.

Meetings m ay be cond ucted p eriodically to allow coaches and those

being coached to express concerns or identify poten tial improvem ents in

the coaching effort.

2. Actions by coaches or by those being coached that could imp rove thecoaching relationship are identified.

Examples of actions to imp rove the coaching r elationship includ e:

– reestablishing the basis for the specific coaching relationship,

– planning more effective training sessions or practices,

– getting additional advice or training on coaching,

– assigning a new coach to the individual, and

– working with management to address priority or motivation issues.

3. Actions with the greatest potential for improving the coachingrelationship are adop ted.





Activit y 12 Coach es are recogn ized for su ccessfu l coach in g.

Examples of recognition for successful coaches include:

– aw ard s,


– p rivileges,


– acknowledgment for success of coaching related to performance or

career objectives.



coaching activities.

Examp les of status measu rements for coaching activities includ e:

– the num ber of coaching relationships established,

– the rate at which candidates apply to become coaches,– the rate at which new coaches are trained and assigned,

– the rate at which coaches have helped those they coach achieve

performance goals,

– the evaluation of coaches’ activities by those they coach, and

– the number of problems and improvements made in coaching

relationships.


coaching.






Examples of measu remen ts for determ ining the value of coaching


– growth in core competencies of those being coached,

– growth in the productivity and efficiency of those being coached,

– growth in the quality of the work performed by those being

coached,

– improvement in the coordination w ithin teams being coached, and

– improvements reported by customers.


Verification 1 A responsible individual(s) verif ies that coaching activit ies are

cond ucted accordin g to the organization’s work force plan s and



1. Coaching activities comply with the organization’s policies and

values.


Verif ica tion 2 The organization’s ef fect iveness in implementing coaching is



1. App ropriateness of coaching activities.

2. Progress in performing coaching activities.

3. Results from reviews of coaching activities against the organization’sstated values and app ropriate policies.





Continuous WorkforceInnovation


The purpose of Continuou s Workforce Innovation is to identify andevaluate improved workforce p ractices and technologies, and implementthe most promising ones throughou t the organization.

Continu ous Workforce Innovation involves establishing a mechanism forproposing imp rovements in workforce activities, identifying needs for newpractices, surveying and evaluating innovative practices and technologies,condu cting exploratory trials of new practices and technologies, andimp lementing the most beneficial ones across the organization.

Innovative w orkforce practices and technologies include new channels forrecruiting, new selection techn iques, innovative ways to manageperformance, innovative techn ologies for communication, creativecompensation schemes, introducing new media and methods for

developing know ledge and skills, alternative career choices, and new waysof organizing and emp owering the w orkforce.

Effort toward implementing innovative workforce practices is included inthe strategic and near-term workforce plans. The group assignedrespon sibility for coord inating continu ous w orkforce innovation staysaw are of the current effectiveness of the organization’s w orkforceactivities. A procedu re for prop osing improvements to workforceactivities is developed and commu nicated to the workforce. Thecoordinating grou p continually reviews internal proposals and externaldevelopm ents in workforce practices and technology to determine whichinnovations offer the greatest opp ortunity to imp rove the competency andperforman ce of the organization. The most promising innovations are




Continuous Workforce Innovation Level 5: O ptim izin g

tried and , if successful, they are implemented across the organization. The

effectiveness of these imp roved practices is evaluated quantitatively andthe results are comm un icated to th e workforce.

Goals

G oal 1 In novative w ork force p ractices an d tech nologies are evalu ated

to determin e their effect on im proving core comp etencies and

performance.

G oal 2 Th e organ ization ’s w ork force p ractices an d activities are

improved continu ously.

Goal 3 Particip ation in imp rovin g th e organ ization ’s w orkforce

practices and activities is organization-wid e.


Commitment 1 The organization fol lows a documented policy for continuously

imp roving workforce practices and activities.


1. Continuous workforce innovation serves the business objectives andstated valu es of the organization.

2. The organization sets and tracks measurable goals for improvement to

be achieved throu gh ad option of innovative workforce practices.

3. Improvements in workforce activities are directed toward:




Level 5: O ptim izin g Continuous Workforce Innovation

Commitment 1 t imp roving th e organ ization’s capability in its core comp etencies;(continued)

t aligning performan ce at the individual, team, un it, andorgan izational levels; or

t imp roving the efficiency of workforce activities.

4. The organization maintains an awareness of new developm ents inworkforce practices and technologies.

5. The organization evaluates promising new workforce practices andtechnologies and transitions the most effective ones into ordinary use.

6. All members of the workforce are able to participate in continuou slyimp roving w orkforce activities.


coordin ating the activities for contin uou s work force inn ovation


Examp les of how continuou s workforce innovations might be

coordinated across the organization includ e:

– a committee reviewing recommendations submitted by individu als

or groups for improvements in w orkforce practices,

– specialists in each area working to improve practices in their area,

– a team of experts in d ifferent areas working together to develop or

dep loy innovative pr actices, or

– workforce experts working independently or as a team with

technologists to d evelop innov ative w orkforce technologies in

such areas as training or group work.



coordinatin g activities for contin uou s work force inn ovation is

staffed.





Ability 1 The role(s) coord inates and helps to:(continued)

1. Review suggested improvements in workforce practices submitted byindividu als or group s.

2. Identify needed improvements in workforce practices and explorepoten tial applications of innovative w orkforce practices andtechnology.

3. Select and plan for the imp lementation of improved workforcepractices and technologies.

4. Acquire, install, and customize new workforce practices andtechnologies.

5. Commun icate and coordinate with researchers on new developmentsin workforce practices and technologies that m ay hav e potentialbenefit within the organization.

6. Communicate with suppliers of workforce technology on problemsand enhancements.


activities for contin uou s work force inn ovation.

1. Experienced individuals with expertise in specialized areas areavailable to help in evaluating, planning, and sup porting initiatives

for innovating in workforce practices and technology.

Examples of specialized areas for continuou s work force innova tion

include:

– traditional workforce functions like selection or training,

– computers and software,

– advanced communication technology,

– computer-aided t raining technology,

– groupware and team coordination technologies,

– knowledge assessment methods,

– performance enhancement methods,

– computer-supported cooperative work, and

– organizational design s trategies.





Ability 2 2. Tools to sup port continuous workforce innovation are mad e(continued) available.

Examp les of tools to sup port continuou s workforce innovation include:

– workstat ions and software,

– workgroup software and other groupware technologies,

– instruct ional design technology,

– communication technology, and

– subscr ipt ions to on-line databases.

3. Time and sup port are made available for evaluating suggestions andconducting trial efforts.

4. Funding and resources are available for acquiring advanced w orkforcetechnologies for evaluation and for run ning trial projects using themost promising practices and technologies.

5. Funding and resources are available to support the facilities andinfrastructure needed to install and maintain ad vanced w orkforcepractices an d technology.

Ab ility 3 D ata are availab le for evalu atin g n eed s for con tin u ou s w ork force

innovations.

See the Organ izational Comp etency Managem ent and Organizational

Performance Alignm ent key p rocess areas at the Manag ed Level.

Ab ility 4 Th ose resp on sib le for p erform in g th e activities for con tin uou s

workforce innovation receive training in relevant evaluation

methods and continuous improvement techniques.






Examp les of relevant method s and techniqu es include:

– advanced workforce pract ices,

– continuous improvement techniques,

– ch an ge m an agem en t,

– fie ld expe rim ent at ion,

– t echnology evalua tion,

– usab ilit y analysis , and

– workforce performance analysis .

Ab ility 5 In divid uals receive train in g or orien tation in th e w ork force

practices and technologies adopted by th e organization.

1. Individuals who are responsible for performing new w orkforceactivities are given requ ired training in how to perform these newresponsibilities.

2. Individu als who will be subject to new w orkforce activities areprov ided orientation to those new activities.

3. Individu als who w ill use new workforce technologies receive requiredtraining in th e use of these technologies.

4. Consulting supp ort is available on a continuing basis in the use of new

workforce technologies.


Activity 1 Activities for con tin uou s w ork force in novation are plan n ed .

1. Continuou s workforce innovation activities are planned as part of developing the organization’s near-term and strategic workforceplans.

2. Planning for continuous workforce innovation activities is based onun its’ and the organ ization’s m easurable goals for:





Activity 1 t imp roving capability in core comp etencies,(continued)

t aligning p erformance, and

t anticipated current and future w orkforce needs.

3. Measurable goals for continuou s workforce innovation will beestablished and actions to achieve them will be prioritized.

4. Plans for continuous w orkforce innovation at the unit andorganizational levels typically cover:

t activities to be performed ,

t assigned responsibilities,

t resources to be a llocated,

t any continuou s workforce innovation teams to be created an dtheir assignments for ad dressing innovations in specific areas,

t near-term priorities for innovations, and

t long-term strategy.

5. The plan is reviewed with all affected parties.

Examples of parties affected by the plan for continuous workforce

innovation includ e:


organization,– those responsible for performing and reporting workforce

activities,

– the group responsible for analyzing and reporting quantitative

wor kforce analyses,

– those with management responsibilit ies for units,

– executive management,

– those responsible for computing facili ties, and

– those responsible for training and educational technology.

6. The plan for continuous w orkforce innovation is documented and

used as the basis for man aging the activities for continuou s w orkforceinnovation.





Activity 1 7. The plan for continuous workforce innovation is reviewed periodically

(continued) and revised as necessary.

8. Methods for p articipating in the activities for continuous workforceinnovation are commu nicated to the workforce.

Activity 2 In d ivid u als an d team s are em pow ered to con tin uou sly im prove

their p erforman ce of work force activities.

1. The workforce is informed of their ability to continuously imp rove theperforman ce of workforce activities that they have been trained toexecute.

2. When individu als or teams believe they have developed an innovativeworkforce practice or activity, they should discuss it with those w hohave expertise in th e area of the practice.

Examp les of those w ith wh om workforce innovations can be

discussed include:

– those responsible for coordinating specific workforce activities

across the organization,


– t ra iners in the relevant a rea , and

– experts in performing the act ivity.

3. Individu als or teams should d iscuss any imp roved or innovativepractices that are governed by laws or regulations with a hum anresources professional.

Activity 3 A con tin uou s im provem en t p rogram is estab lish ed th at

encourages individuals and teams to propose imp rovements to

workforce practices and activities.

1. Individuals and teams are encouraged to submit workforceimprovement proposals concerning their imp rovements and

innovations for possible adop tion across the organization.





Activity 3 2. Workforce imp rovement proposals can be submitted by any

(continued) individu al or team an d can add ress any area of workforce practices.

Examp les of sources for w orkforce improvement p roposals includ e:

– findings and recommendations from assessments of workforce

activities,

– the organization’s goals for continuous w orkforce improvement,

– analysis of data on workforce issues,

– analysis of data on project performance,

– benchmarking of workforce activities in other organizations,

– the adoption of new technologies,

– analysis of defect data indicating shortfalls in knowledge and

skills, and– the measured effectiveness of workforce activities.

3. Each workforce imp rovement proposal is evaluated for expectedbenefits, a decision is mad e on w hether to imp lement it, and thedecision rationale is docum ented.

Examples of benefits from wor kforce impr ovemen ts includ e:

– increased capability in core competencies,

– improved work processes,

– improved performance alignment ,– improved efficiency of workforce activities, and

– improved business measures such as productivity, quality, or cost

reduction.

4. Workforce improvement proposals selected for implementation inareas that are regu lated by the governm ent or organizational policyare submitted to the hu man resources group an d executivemanagement for app roval.

5. Workforce imp rovements are prioritized and are commu nicated to allaffected individuals before being implemented.

6. Implementation of the workforce improvement actions resulting fromthe prop osals is planned and tracked.





Activity 3 7. The receipt of workforce improvement proposals is acknowledged,(continued) and a notification of disposition is provided to each subm itter.

Activity 4 Th e organ ization estab lish es a program for evalu atin g

inn ovative w orkforce p ractices an d techn ologies.

Examp les of mechanisms for evaluating innovations includ e:

– a corporate group assigned responsibili ty for evaluating potential

workforce innovations,

– coordinators or experts in each area of workforce practices

evaluating innovations in their area of expertise,

– an ownership team for an area of workforce practices periodically

reviewing innov ations in their area for possible adoption,– a specially formed team to review one or more innovations in a

specific area of workforce practices, and

– external consultants with expertise in a w orkforce innovation.

Individuals or teams assigned responsibility for evaluating continuousworkforce innovations:

1. Communicate with others who are responsible for implementing oroverseeing w orkforce activities in order to identify needs forinnovation.

2. Review the organization’s standard workforce activities in all areas toidentify those most likely to benefit from innovative practices ortechnology.

3. Evaluate the quantitative analyses of workforce efficiency, growth inthe organization’s capability in its core competencies, andperformance alignment for indications of:

t areas that could benefit from innovative w orkforce practices ortechnologies, and

t workforce activities whose efficiency, impact on comp etencygrowth, or p erformance alignment needs to be improved.

4. Prioritize the organization’s needs for innovation in workforceactivities.

5. Identify new w orkforce practices or technologies that may beapp ropr iate to the organization’s needs:





Activity 4 t A periodic search is made to identify commercially available(continued) workforce technologies that meet id entified an d anticipated

needs.

t Benchmark stud ies are periodically cond ucted to identify bestworkforce practices and techn ologies being used in otherorganizations.

t Systematic efforts are mad e to maintain awareness of leading-edge technical work and trend s in workforce practices andtechnologies.

t Areas wh ere new technologies have been used successfully areidentified, and d ata and docum entation of experience with usingthem are collected an d reviewed .

6. Collect information on new workforce practices and technologies todeterm ine their ap plicability to the organization’s future needs.

Act ivity 5 In n ovative work force p ractices an d tech n ologies are id en tified

and selected for evaluation.

1. Those who perform w orkforce activities are kept informed of innovative workforce practices and technologies.

t Information on innovative workforce practices and technologiesbeing used in other organ izations is collected an d made available.

t Information on innovative workforce practices and technologiesbeing adop ted or used in p arts of the organization isdisseminated.

2. Individu als or teams responsible for improvements in an area of workforce activities review information on innovative practices ortechnologies in their area and select the most p romising for furtherevaluation.

3. Preliminary cost/ benefit analyses are performed for the anticipatedimp act of selected workforce practices or technologies, and those w iththe high est poten tial benefits are selected for trial use.

4. Requirements and plans for testing and trial use of selected workforcepractices or technologies are d efined an d d ocumented .

Act ivity 6 Trial efforts for evalu atin g in n ovat ive work force p ractices or

techn ologies are cond ucted, where app ropriate, before these

inn ovations are introduced into normal use.





Activity 6 1. Trial efforts are condu cted to d etermine the feasibility and economic(continued) impact of untried workforce practices or technologies.

2. The objectives, evaluation criteria, and activities for the trial effort areplanned and tracked.

3. The plan for condu cting a trial effort is reviewed and app roved by allaffected parties.

Examp les of affected p arties for trial tests includ e:

– those responsible for adm inistering innovative workforce

practices,

– those affected by innovative workforce practices or

technologies,

– those who must use innovative workforce technologies, and

– those who must provide support for innovative workforce

practices or technologies.

4. Those responsible for innovative workforce practices or technologiesprovide consultation an d a ssistance to the trial effort.

5. The trial effort is designed to show the strengths and weaknesses thatan inn ovative practice or technology wou ld exhibit in broad use in theorganization.

6. The results of the trial effort are collected, analyzed, anddocumented:

t Lessons learned an d p roblems encountered d uring the trial aredocumented.

t The benefits and imp acts of broader u se in the organization areestimated , and risks are assessed.

7. Adjustments to a proposed workforce practice or technology aremad e and d ocumented du ring the trial effort to optimize itsimplementation.

8. A decision is mad e whether to terminate the effort, proceed withbroad-scale imp lementation of the p ractice or technology, or r eplan

and continu e the trial effort.





Activity 7 In n ovative w ork force p ractices or tech n ologies th at d em on strate

their effectiveness in trial efforts are disseminated through out

the organization.

1. A plan is developed for the implementation of effective innovativeworkforce practices or technologies.

2. The strategy for collecting data to measure and track the imp act of aninnovative workforce practice or technology is documented, reviewedby all affected p arties, and agr eed to.

3. Training courses are upd ated to reflect the installation of innovativeworkforce practices or technologies, and training is provided beforeinstalling them.

4. Consulting supp ort is established before installing innovativeworkforce practices or technologies.

5. Innovative workforce practices and technologies are imp lementedacross the organization, and progr ess is tracked against the plan.

6. Problems in ad opting innovative workforce practices and technologiesare noted and corrective actions are taken.

Activity 8 D ata on th e activities for con tin u ou s w ork force in n ovation are

collected and maintained .

1. Information about the initiation, status, and imp lementation of innovative workforce practices and techn ologies is collected an dmaintained.

2. Information about the effectiveness of continu ous workforceinnovations is collected, ana lyzed, and repor ted.

3. Results of these analyses are used to improve the selection andimplementation of innovative workforce practices and technologies.

M e a s u r e m e n t a n d A n a l ys i s








Examp les of status m easurements for continuous workforce innovation

include:

– the number of workforce improvement proposals submitted,

– the number of improvement proposals implemented for each

workforce area,

– the response time for handling workforce improvement

proposals,

– the percentage of workforce improvement proposals

accepted,

– the number of innovative workforce practices and technologies

evaluated,

– the number of workforce innovations evaluated in each area of workforce activities,

– the number of workforce innovations evaluated in trial

implementations, and

– the number of workforce innovations implemented broadly across

the organization.



Examp les of measurem ents to determine the v alue of innovativeworkforce practices and technologies include:

– the impact of improvements in an individual’s or team’s workforce

activities on their person al, team, or u nit’s perform ance;

– the impact of each workforce innovation on improving the

efficiency of w orkforce a ctivities;

– the impact of each w orkforce innovation on increasing the

organ ization’s capability in one or mor e of its core comp etencies;

– the impact of each workforce innovation on aligning performance;

– the effect of implementing each w orkforce improvement

compared to its defined goals; and

– the effect of workforce innovations on team, unit, or organizational

performance.





Veri fy ing Imp lemen ta t ion

Verif ica tion 1 A responsible individual(s) ver if ies that the act iv it ies for

contin uou s work force inn ovation are cond ucted accordin g to

plan and the organization’s documen ted p olicies.


1. The activities for continu ous workforce innovation comp ly with theorganization’s policies and stated v alues.

2. Noncompliance items are handled appropriately.3. All actions related to the activities for continuou s workforce

innovation are periodically reviewed to ensure th at they conform toall relevant laws an d regulations.

Verif ica tion 2 The organizat ion’s effect iveness in implement ing act iv it ies for

continu ous w orkforce inn ovation is periodically reviewed by

executive man agement.


1. Appr opriateness of the activities for continuou s workforceinnovation.

2. Progress in performing the activities for continuous workforceinnovation.

3. Results from reviews of the activities for continuous w orkforceinnovation against the organization’s stated values and ap prop riatepolicies.





People


A p p e n d i c e s

AppendicesAppendix A: References A-1

Appendix B: Glossary of Terms A-7

App end ix C: Abrid ged Version of the

P-CMM Key Practices A-27

Appendix D: Mapping of Key Practices to Goals A-69

Appendix E: Change History A-75



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Teams: Creating S elf-Directed W ork Groups t hat Improve

Qu ality , Productiv ity , and Participation. San Francisco:Jossey-Bass, 1991.

[Wohlwend93] Wohlwend, H. & Rosenbaum, S. “SoftwareImp rovem ents in an Internation al Comp any ,” 212-220.Proceedings of the 15th International Conference on

Softw are Engineering . Los Alam itos, CA: IEEE Com puterSociety Press, 1993.




References




Appendix B: Glossary of Terms

AD A – Americans with D isabilities Act

ability to perform – One of five comm on featu res. The precon d itions th atm ust exist in the u nit or organization to implem ent w orkforce p racticescomp etently. Ability to Perform typ ically involves resources, organizationstru ctures, and training. (See also common features .)

action item – (1) A unit in a list that ha s been assigned to a n ind ividu al orgroup for d isposition. (2) An action prop osal that ha s been accepted.

action p lan – A plan, derived from the recommend ations of an assessmen t,that identifies the sp ecific actions th at w ill be taken to imp rove th e p rocessand outlines the plans for implemen ting those actions. Sometimes referredto as an imp rovement p lan or software p rocess improvem ent plan.

activities perform ed – One of five comm on featu res. A description of theroles and procedu res necessary to imp lement a key p rocess area. ActivitiesPerformed typ ically involves establishing p lans and proced ures, performingthe w ork, tracking it, and taking corrective action as necessary. (See alsocommon features .)

activity – A key p ractice of the Activities Perform ed comm on featur e. Anystep taken or fun ction performed , both men tal and ph ysical, towa rdachieving som e objective. Activities includ e all the w ork tha t the m emb ersof the w orkforce do to p erform the tasks of the un it and organ ization. (Seetask for contrast.)

alternative p ractice – A p ractice that is different tha n th ose described in theP-CMM that m ay satisfactorily accomplish th e goals of a key pr ocess area.

appraisal – A diagnostic performed by a trained team to evaluate asp ects of an organ ization’s pr ocesses, e.g., CMM – Based Ap pr aisal for Intern al

Process Imp rovem ent (CBA IPI), P-CMM App raisal Method (PAM).assessment – An app raisal by a trained team of professionals to determ inethe state of an organ ization’s current p rocesses, to d etermine th e high-p riority process-related issues facing an organ ization, and to obtain




Glossary of Terms

imp lement, measu re, control, and imp rove their softw are pro cesses. Thismod el provides a gu ide for selecting p rocess imp rovemen t strategies byfacilitating the d etermination of current process cap abilities and theiden tification of the issues most critical to softw are qu ality and pr ocessimprovement [Paulk95].

capab ility of an individ ual work p rocess – The ran ge of outcomes that occurwh en an ind ividu al work process is performed repeatedly. These outcomescan includ e the prod uctivity of the p erformance or the qua lity of theprod uct or service prod uced.

career counsel ing – Advice or guidance from an experienced person w ithregard to a chosen profession or occup ation, or w ith regard to p ersonal

growth in the organization.

career development – Actions wh ich p rovid e opp ortu nities for staff mem bers to develop n ew skills that enh ance their ability to achieve careerobjectives. (See also maturity level: Defined .)

CBA – Acrony m for CMM-Based Appraisals.

CBA IPI – Acron ym for CM M -Based A ppraisal for In ternal Process

Improvement .

CM M SM – Acron ym for Capability Maturity ModelSM .

CMM App raisal Framew ork (CAF) – A framew ork for planning,condu cting, and completing CMM-based ap praisals.

CMM -based app raisal (CBA) – An ap praisal cond ucted u sing a CMM-basedapp raisal method .

CMM -Based Ap praisal for Intern al Process Imp rovement (CBA IPI) – Anassessment th at is based on th e CMM, comp liant w ith the CAF, released a ndtrained by the SEI, and used to determ ine the current state of anorgan ization’s software dev elopm ent process in ord er to furth er theorganization’s own internal software p rocess imp rovement p rogram.

coaching – The p rovision of expert assistance to enh ance the p erforman ce of ind ividu als or teams. (See also maturity level: Optimizing.)




Glossary of Terms

commitment – A pact that is freely assumed , visible, and expected to be kep tby all parties.

commitmen t to p erform – One of five comm on featu res. The actions tha tan orga nization mu st take to ensure that a p rocess is established and willend ure. Com mitment to Perform typ ically involves establishingorgan izational policies and executive m ana gemen t spon sorship. (See alsocommon features .)

comm on features – The subd ivision categories of key p rocess areas. Thecommon features are attributes that indicate wh ether the implemen tationand institutiona lization of a key p rocess area is effective, repea table, andlasting. The P-CMM comm on features are the follow ing:

u commitmen t to p erform – The actions that a n organ ization m usttake to ensure that a process is established an d will end ure.Commitment to Perform typically involves establishingorganizational p olicies and executive mana gement sponsorship.

u ability to perform – The p recond itions that mu st exist in a un it ororgan ization to imp lement w orkforce practices comp etently.Ability to Perform ty pically involves resou rces, organ izationalstructures, and training.

u activities performed – A description of the roles and procedu resnecessary to imp lemen t a key process area. Activities Performed

typically involve establishing plans an d p rocedu res, performing th ework, tracking it, and taking corrective actions as necessary.

u measurement and analysis – A description of the need to measu rethe process and an alyze the measurements. Measurement andAnalysis typ ically includ es exam ples of the m easurem ents thatcould be taken to determ ine the status and effectiveness of theActivities Perform ed.

u verifying implemen tation – The step s to ensu re tha t the activitiesare performed in compliance with the pr ocess that has beenestablished. Verification typ ically encom pa sses reviews and aud its

by man agement and software qu ality assuran ce.comm un ication – The processes that establish a social environm ent tha tsup ports effective interaction an d ensu res that th e w orkforce has th e skills




Glossary of Terms

to share information an d coord inate their activities efficient ly. (See alsomaturit y level: Repeatable.)

compensation – The p ay and guaran teed benefits given to an individual forservices per formed . (See also maturity level: Repeatable.)

comp ensation strategy – An organization's ph ilosophy an d m ethod forcomp ensating staff mem bers.

comp etency – An u nd erlying char acteristic of an ind ivid ua l that is cau sallyrelated to effective and/ or sup erior performan ce, as d etermined bymeasu rable, objective criteria, in a job or situa tion [adap ted from Spencer93,p. 9].

competency-based practices – (1) Workforce p ractices which ar e focused ond eveloping th e capability of the w orkforce in relation to the org anization’score comp etencies. (2) Actions that ensu re that an organization’s work forcepractices are based in p art on d eveloping th e know ledge and skills of itsw orkforce in the organization ’s core comp etencies. (See also maturity level:

Defined .)

competency development – Actions th at constantly enh ance the cap abilityof the staff to per form their assigned tasks and responsibilities. (See alsomaturity level: Defined .)

continu ous w orkforce inn ovation – The id entification an d evaluation of improved workforce p ractices and technologies and the imp lementation of the most prom ising ones throughou t the organization. (See also maturity

level: Optimizing.)

core comp etency - The know ledge and skills need ed w ithin the work force toperform an imp ortant business fun ction of the organization. A corecomp etency can be stated at a very abstract level, such as a need for a corecompetency in software en gineering. Core comp etencies can also bed ecomp osed to m ore granu lar capabilities, such as core competencies ind esigning avion ics software, testing sw itching system software, or writing

user ma nu als and training for reservations systems. A core comp etency canbe d ecomp osed into the sp ecific know ledge and skills required to performthe bu siness pr ocesses und erlying th e business fun ction for wh ich thecompetency is maintained.




Glossary of Terms

corrective action s – Acts or deed s used to rem edy a situation, remove anerror, or ad just a cond ition.

critical sk ills – Skills that, if not p erform ed effectively, cou ld jeopar d ize thesuccessful p erforman ce of a critical task.

critical task – A task tha t could jeopard ize the successful p erform ance of anassignm ent, if it is not performed well according to task -related criteria.

cross-fun ctional team– a team composed of members who rep resentd ifferent disciplines or fun ctional un its with in the organ ization.

defined level – (See maturity level.)

deviation – A noticeable or marked dep arture from th e app ropriate norm,plan, standard , proced ure, or variable being reviewed .

documented p rocedure – (See procedure.)

EEO – Equal Employmen t Opportu nity Act.

effective process – A process that can be characterized as practiced,d ocum ented , enforced, trained , measu red, and ab le to imp rove. (See alsowell-defined process.)

empowerment – Giving enab led emp loyees d ecision-ma king auth ority and

respon sibility over th e actions requ ired to accomp lish their assignmen ts.

enabled – Ha ving the kn owled ge, skills, and au thority need ed to effectivelyaccomp lish a job (usu ally refers to an ind ividu al or team).

event-driven review/activity – A review or activity that is p erformed basedon th e occur rence of an even t w ithin the p roject (e.g., a form al review orthe com pletion of a life-cycle stage). (See periodic review/activity forcontrast.)

executive man ager – A ma nagem ent role at a high en ough level in anorgan ization that th e prim ary focus is the long-term v itality of theorgan ization, rather th an short-term p roject and contractual concerns andpressur es. An executive man ager provid es and protects resources for long-term im pr ovemen t of the softwa re pr ocess (e.g., a softwa re engineeringprocess group) or the w orkforce.




Glossary of Terms

Executive man agement, as used in the P-CMM, can d enote any m anagerw ho satisfies the above d escription, up to an d includ ing the head of thew hole organization. As used in the key practices, the term “executivema nagem ent” shou ld be interpreted in th e context of the key process areaand the projects and organ ization u nd er consideration. The intent is toinclu de specifically th ose executive ma nagers w ho a re need ed to fulfill theleadership and oversight roles essential to achieving th e goals of the keyprocess area.

findings – The conclusions of an assessmen t, evaluation, au d it, or reviewthat id entify the most imp ortant issues, problems, or opp ortunities w ithinthe ar ea of inv estigation.

FLSA – Federal Labor Standard s Act.

function – A set of related actions, und ertaken by ind ividua ls or tools thatare specifically assigned or fitted for their roles, to accomplish a set p u rposeor end.

gain sharing – Ad d itional comp ensation paid to emp loyees based onimp rovem ents in the performa nce resu lts of an organ ization. (See also profit sharing.)

goal – A sum ma ry of the key practices of a key process area that can be usedto determ ine wh ether a key process area is effectively implem ented . The

goals signify the scope, bound aries, and intent of each key p rocess area.

graduated career opportun ities – Graduated career opp ortunities includ e notonly prom otion opp ortunities up ward s within the organization, but alsocareer broaden ing or lateral assignm ents to gain experience or increase theind ividu al’s capa bilities in the orga niza tion’s core comp etencies. Suchopp ortun ities may be in other u nits or in assignments to otherorganizations in the comp any. An organization may have any nu mber orcombination of grad ua ted career opp ortun ities.

grievance – Circum stance regarded as just cause for p rotest; a comp laint

based on such circumstan ce.

group – A collection of individu als wh o ha ve resp onsibility for a set of tasksor activities. Group s are most frequ ently form ed as a cluster of individu als




Glossary of Terms

organ ized into a structu re that is conven ient for m anaging [Plun kett91].Although g roup mem bers have fun ctional relationships with each other,these relationships d o not necessarily involve strong w ork interdepend encies. A group is comp osed of more than an individual, but if it is not cross-fun ctional, it constitutes n othing larger tha n th e lowest levelun it. Group composition could vary from several part-time individu alsassigned from different d epartm ents, to individu als in th e same u nitassigned full time. Teams are group s that have und ergone team-buildingprocesses.

guaranteed benefits – Promised or secured paym ents or entitlements mad eavailable in accord with a wage or emp loyment agreement.

hu man resources group – The collection of individ u als (both m ana gers andstaff) comp rising th e un it(s) within a n orga nization th at focuses on d evisingpra ctical, effective ways to mana ge emp loyer/ emp loyee relations. Theirresponsibility is d irected toward , bu t not limited to, the recruiting, selection,hiring and training of emp loyees and the formu lation of policies,pr ocedu res, and relations with emp loyees or their representatives.

Generally, the concerns of the hu man resources group encompassaffirma tive action/ EEO, benefits, classification and compensation ,emp loyment, labor relations, staff services, and training and d evelopm ent.The scope of the responsibilities of the hu ma n resour ces grou p d epen d s

largely on the size and type of business of the organ ization.

IDEALSM approach – A life-cycle ap pr oach for pr ocess imp rovem ent. IDEALstand s for the five p hases of the ap proa ch: initiating, diagnosing,establishing , acting, and leveraging.

individual – A p erson wh o performs one or m ore roles required to executethe bu siness of the or gan ization. (See also Section 5.4.1.)

ind ividual work p rocesses – the w ork processes used by an individu al toperform his or her portion of a business process. Throu gh Persona lComp etency Developm ent, these individu al work p rocesses mature to

become a “custom ized set of ord erly, consistently pr acticed, and h igh-qualitypersonal practices” [Hu mp hrey95a].

SM IDEAL is a service mar k of Carn egie Mellon University.




Glossary of Terms

infrastructure – the system of comm un ications and resources which formthe basis for effective organ izational action.

initial level – (See maturity level.)

institutionalization – The building of infrastructure an d corp orate culturethat sup port m ethod s, practices, and procedu res so that they are the ongoingw ay of doing bu siness, even after those wh o originally defined them aregone.

institutionalization common feature – One of the four common features(Comm itment to Perform, Ability to Perform, Measurem ent an d Analysis,and Verifying Imp lemen tation) that su pp ort the institutionalization of a

pr ocess in an or ganization.

job p erformance – In gen eral, activity perform ed for comp ensation w hichfulfills a requ iremen t or obligation to an em ployer. More specifically, theextent to wh ich an ind ivid u al or group meets specified criteria inp erforming th ose activities.

key p ractices – The infrastructu res and activities that contribu te most to theeffective imp lementation a nd institutionalization of a key p rocess area.

u Key practices (also top -level key p ractices) state the fun d amentalpo licies, procedu res, and activities for the key p rocess area.

u Subpr actices (also subord inate key p ractices) describe w hat onewou ld expect to find imp lemented for the top-level key practice

key p rocess area – A cluster of related a ctivities that, w hen performedcollectively, achieve a set of goals considered imp ortan t for establishingpr ocess cap ability. The key process areas have been d efined to reside at asingle matu rity level. They are the areas iden tified by the SEI to be theprincipal building blocks to help d etermine the w orkforce capability of anorganization and und erstand the improvements needed to advance tohigher m atur ity levels. The Level 2 key p rocess areas in the P-CMM areWork Environm ent, Commu nication, Staffing, Perform ance Managem ent,

Training, and Comp ensation. The Level 3 key pr ocess areas in the P-CMMare Know ledge an d Skills Analysis, Workforce Planning, Comp etencyDevelopmen t, Career Developm ent, Comp etency-Based Practices, andParticipatory Cu lture. The Level 4 key pr ocess areas are Mentor ing, Team




Glossary of Terms

Building, Team-Based Practices, Organ izational Com petency Manag emen tand Organ izational Performa nce Alignmen t. The Level 5 key process areasare Personal Competency Developm ent, Coaching, and Continu ousWorkforce Innovation.

kn owledge – The information and u nd erstand ing that someone mu st haveto perform a task su ccessfully.

kn owledge and skills analysis – The stu dy of the information,un d erstanding, and performan ce capabilities required for performing aparticu lar business process.

kn owledge and skills profile – A description of the kn owled ge and skills

required to p erform an activity, process, or p osition.

KPA – Acrony m for key process area.

managed level – (See maturity level.)

manager – A role that encomp asses prov iding technical and ad ministratived irection and control to ind ividu als performing tasks or activities w ithinthe m anag er's area of respon sibility. The traditional fun ctions of a man agerinclud e plann ing, resour cing, organizing, directing, and controlling w ork w ithin an area of respon sibility.

maturity level – A well-d efined evolutionary p lateau towa rd achieving ama ture software p rocess. The five matu rity levels in the People CapabilityMatu rity Model are the following:

u initial – The organ ization typ ically d oes not p rovide a consistentenvironm ent for manag ing its peop le. The ma nagem ent of theorgan ization's talent is very inconsistent, and there is no ba sis forimproving i t .

u repeatable – Basic work force practices are estab lished for staffing,performance man agement, training, and comp ensation. Asupp ortive work environment, ground ed in ap propriate values and

sup po rtive of effective interp ersonal comm un ication, is established .Basic discip line is in p lace in th e organiza tion's w orkforce activities.

u defined – The organ ization iden tifies its core comp etencies andplan s, and tailors and executes its defined workforce pr actices to




Glossary of Terms

enh ance its cap abilities in those core comp etencies requ ired by itsbusiness environment. The organization tailors its workforceactivities for d eveloping an d rewa rd ing these core comp etencies.Career developm ent activities are un d ertaken and a participa toryculture is nurtured .

u managed – The organization focuses on building competency-basedteams and establishing a qu antitative und erstand ing of trend s inthe d evelopm ent of knowledge and skills, and in the alignm ent of perform ance across different levels of the organ ization. Mentoringis used ap ply the experience of individu als to provid e personalsupp ort and guidance to other individu als or groups. Theorganization u nd ertakes formal team building to integrate the

know ledge and skills required to accomplish its business fun ctions.Organ izational growth in each of the organization's areas of prim ary comp etency is qu antitatively man aged .

u optimizing – The organization and individu als within theorganization are add ressing imp lementing continuou simp rovem ents in their capabilities. Continu ous imp rovem ent of both p ersonal and orga nizational comp etence is achieved.Continu ous imp rovement of the organization's method s ford eveloping its comp etencies and p erformance is enabled th rou ghboth qu antitative feedback and the ad option of inn ovative practicesand technologies.

measure – A unit of measu remen t (su ch as source lines of cod e ordocum ent pages of design).

measurement – The d imension, capacity, qu antity, or amou nt of som ething(e.g., 300 source lines of code or 7 d ocument p ages of design).

measurement and analysis – One of five comm on featur es. A description of the need to m easure the process and analyze the measurements.Measurem ent and Analysis typically includ es examp les of themeasurem ents that could be taken to d etermine the status and effectivenessof the Activities Perform ed . (See also common features .)

mentoring – The process of using exp erienced mem bers of the organizationto provide p ersonal sup port and gu idance to less experienced m embers of the staff. (See also maturity level: Managed .)




Glossary of Terms

method – A reasonably comp lete set of ru les and criteria that estab lish aprecise and repeatable way of performing a task and arriving at a d esiredresult.

NLRB – Na tional Labor Relations Board .

ombudsman – An ind ividu al assigned respon sibility for investigatingcomp laints and a ssisting in reaching settlemen t of the comp laints received.

optimizing level – (See maturity level.)

organization – A unit w ithin a comp any or oth er entity (e.g., governm entagency or bran ch of service).

organizational competency management – The p rocess of d etermin ing theeffectiveness of the organ ization’s comp etency d evelopm ent pra ctices inachieving specific competency grow th goals and using the r esults to guidethe ap plication and improvem ent of comp etency developmen t activities.(See also maturity level: Managed .)

organizational performance alignment – The process of enh ancing thealignm ent of performance results at the individu al, team, un it, andorganizational levels with the ap prop riate goals and qu antitatively assessingthe effectiveness of w orkforce practices on achieving alignm ent. (See alsomaturity level: Managed .)

organizational roles – (See role.)

organizational structure – The form al relationship s between th e entitieswithin an organization. Entities within an organization may includ e thefollowing:

u organ ization (See organization .)

u u nit (See uni t .)

u grou p (See group.)

u team (See team .)

u

software en gineering p rocess group (SEPG) (See softwareengineering process group.)

u hu man resources group (See hum an resources group .)

u training grou p. (See training group.)




Glossary of Terms

orientation - An overview or introdu ction to a top ic for those ind ividu alsperform ing in the top ic area or for those responsible for perform ance orinteraction w ith ind ividu als per forming in the topic area. For examp le,w hen tran sitioning an individu al into a new position, orientation to theorgan ization and to the job may be provid ed. Orientation typically involvesprovid ing information to bu ild know ledge, but d oes not necessarily involved evelop ing a per formable skill. (See train for contrast.)

OSHA – Occupational Safety and H ealth Act.

PAIS – Process Ap pr aisal Informa tion System.

participatory cultu re – A culture in w hich d ecisions are shifted d own to the

lowest p ractical level in the or gan ization. In genera l, those affected by ad ecision have a role in ma king it , althou gh there is no imp licit p romise thateveryon e affected will be involved in every d ecision. Some of theconditions that shou ld be established to sup port a p articipatory cultureinclud e improv ing the flow of informa tion within the organ ization,incorporating th e know ledge of staff mem bers into d ecision-ma kingprocesses, and involving them in m aking and app roving theircomm itmen ts. (See also maturity level: Defined .)

pay – Any gu aranteed fixed rate of salary or hou rly wages provided toindividuals, plus any v ariable amou nts that are provided based on an

existing agreem ent between the organization an d the individu al.performance alignmen t – The cong ru ence of performa nce objectives an dthe consistency of performan ce resu lts across the ind ividu al, team, u nit, andorgan izational levels.

performance feedback methods – The work force p ractices that allow thoseresponsible for p roviding performan ce feedback to (1) have ong oingd iscussions abou t performan ce issues with those they are assigned toreview, (2) prov ide p eriodic formal p erforma nce feedback to those they a reassigned to review, (3) sup port m utu al investigation of w ays to enhan ceperforma nce, and (4) hand le any performan ce issues that m ay arise.

Exam ples of performa nce feedback m ethod s includ e the following:

u performance appraisal interview

u peer group evaluation




Glossary of Terms

u 3600 review

u performance p anel reviewu other approp riate mechanisms

performance improvement plan – A docu men t describing the d etailedplans for correcting identified performan ce problem(s).

performan ce management – The p rocess of establishing ob jective criteriaagainst which u nit and ind ividu al performan ce can be measured, providingperform ance feedback, and enh ancing performan ce continuou sly. (See alsomaturit y level: Repeatable.)

period ic review/activity – A review or activity that occurs at sp ecified

regu lar time intervals. (See event -driven review/activ ity for contrast.)

personal competency development – The d evelopm ent of goals and plansfor personal activities, establishm ent an d use of d efined pr ocesses inind ividu al work a ctivities, measur emen t and ana lysis of the effectiveness of personal p rocesses, and implementation of effective imp rovemen ts in theind ividu al’s w ork processes. (See also maturity level: Optimizing.)

policy – A gu iding p rinciple, typically established by senior man agemen t,w hich is adop ted by an orga nization or project to influence and d eterminedecisions.

position – A post of emp loyment, an assignm ent of du ty, a job.

procedure – A w ritten description of a course of action to be tak en toperform a g iven task [IEEE91].

process – A sequence of steps p erformed for a given pu rpose; for examp le,the software development process [IEEE91].

process capability – The ran ge of expected resu lts that can be achieved byfollowing a p rocess; the ability of a p rocess to meet its goals andrequirements. (See process performance for contrast.) Note that process

capab ility may d iffer from actual perform ance du e to special cau ses.process maturity – The exten t to w hich a sp ecific process is explicitlyd efined, man aged , measu red, controlled, and effective. Maturity imp lies apoten tial for growth in capability and indicates both th e richn ess of an




Glossary of Terms

organization's process and the consistency with w hich the p rocess is appliedthroughou t the organization.

process performance – A measu re of the actual results achieved byfollow ing a p rocess. (See process capability for contrast.)

process tailoring – The activity of creating a p rocess description byelaborating, adap ting, and / or completing the d etails of process elements orother incomp lete specifications of a p rocess. Specific business need s for ap roject w ill u sually be add ressed d ur ing process tailoring.

profit sharing – Add itional comp ensation p aid to emp loyees based on theorga niza tion's p rofits. (See also gain sharing.)

quality – (1) The degree to wh ich a system, comp onent, or p rocess meetsspecified requ irements. (2) The degree to wh ich a system, comp onent, orprocess meets custom er or u ser need s or expectation s [IEEE-STD-610].

qu antitative control – Use of ap pr opr iate quantitative or statistically-basedtechniqu es to analyze a p rocess, iden tify special cau ses of variations in theperforma nce of the p rocess, and bring the p erforma nce of the p rocess withinw ell-defined limits.

reasonable work force p ractice – A pr actice tha t is effective in bu ild ingworkforce capability. The “reasonableness” of the p ractice is determined by

pr ofessional jud gm ent. (See also workforce practices.)

recognition – Variou s form s of special acknow ledgm ents mad e to anindividual or group for work p erformed .

recruitin g – Identifying sources of new job cand idates and attracting them toapp ly for emp loyment or for an open position.

repeatable level – (See maturity level.)

required training – Training designated by a n organ ization to be required toperform a specific role.

reward – Variable amoun ts of money or other considerations p rovided toindividuals or groups at rand om times without any p rior agreement as toconditions of receipt. Reward s are mad e to reinforce the skills and




Glossary of Terms

behav iors that the organization values. Reward s can be ma de on a periodic(e.g., ann ual perform ance aw ard s) or occasiona l (e.g., p roject completion)basis.

reward strategy – The organ ization’s basis for prov iding considera tions,such as m oney, outside th e comp ensation system for a special service oraccomp lishm ent of significant va lue to the organ ization.

role – A un it of d efined resp onsibilities that m ay be assum ed b y one ormore individu als.

selection – The act of choosing from am ong severa l cand idates theindividu al who will be offered an open position.

SEPG – Acrony m for software engineering process group .

skills – The p erformance abilities that mu st be developed to perform a task or activity successfu lly. Skills may invo lve behav iors to d irectly accomplishthe task or to sup port or coord inate with others to help accomplish tasks.

software engineerin g process group (SEPG) – A group of specialists whofacilitate the d efinition, maintenan ce, and improv ement of the softwareprocess used by th e organization. When integrating workforce processimp rovemen t activities with ongoing software p rocess imp rovemen tactivities of an orga nization, the SEPG may be aug men ted w ith mem bers

from the h um an resources group.

software p rocess assessment – An app raisal by a trained team of softwarepr ofessionals to determ ine the state of an orga nization's cur rent softwarep rocess, to determ ine the high -priority software p rocess-related issues facingan organ ization, and to obtain the organizational sup port for softwa reprocess improvement.

Software Process Improvemen t Netw ork (SPIN) – A num ber of regionalorgan izations throu ghou t the w orld. Each of the regional SPINorganization s is a collection of softwar e pro fessionals interested in softwa repr ocess imp rovem ent. These grou ps meet on a regu lar basis to shareexperiences, listen to p resentations of interest, and w ork tow ard solutions tocommon problems.

SPIN – Acronym for Software Process Improvement Network .




Glossary of Terms

staffing – The pr ocess of establishing a forma l process by wh ich talent isrecruited, selected , and tran sitioned into assignm ents in the organ ization.(See also maturity level: Repeatable.)

stated values – A set of d ocumen ted p rinciples that are intend ed to guid ed ecisions that the organization m akes about h ow it condu cts its business,how it treats its w orkforce, how it interacts with its environ men t, and otherimportan t issues.

subpractice – Practices listed beneath k ey p ractices in the P-CMM th atd escribe different activities that m ight be imp lemented in establishing th ekey p ractice. Performan ce of the subpractices can be u sed to d eterminew hether or not th e key p ractices are imp lemented satisfactorily.

succession plan s – Plans developed to ensure that qualified individualsw ith the required kn owled ge and skills are always available to perform therespon sibilities of key p ositions w ithin the org anization.

system – A collection of comp onen ts organ ized to accomplish a specificfun ction or set of fun ctions [IEEE91].

tailor – To m odify a process, standard , or procedu re to better match p rocessor prod uct requirements.

task – (1) A sequ ence of instructions or a ctivities treated a s a basic un it of

work [adapted from IEEE91]. (2) A well-defined un it of work in the softwarepr ocess that p rovides m anag emen t w ith a visible checkpoint of the pr oject’sstatus. Tasks hav e read iness criteria (precond itions) and comp letion criteria(postconditions). (See activity for contrast.)

team – A group of people wh o w ork closely together to achieve sharedobjectives, wor k together on tasks that are highly interd epen den t, and mayexercise a level of au tonom y in m ana ging th eir activities in pu rsuit of thoseobjectives. This sma ll nu mb er of peop le (often less than 10) withcomplementary skills are comm itted to a common pu rpose, performan cegoals, and wo rk processes for wh ich they hold them selves mu tua lly

accoun table [Katzenbach93, pg. 45].

A collection of peop le, often d raw n from d iverse bu t related grou ps,assigned to perform a w ell-defined function for an organization or a project.




Glossary of Terms

Team m embers may p articipate on the team part time and have otherpr imary responsibilities.

team-based practices – The p rocess of tailoring th e organ ization's workforcepractices to supp ort the d evelopm ent, motivation, and fun ctioning of teams. (See also maturity level: Managed .)

team building – The p rocess of capitalizing on opp ortun ities, w hereap pr opriate, to create teams that m aximize the integration of diverseknow ledge and skills to perform bu siness functions. (See also maturity

level: Managed .)

technology – The ap plication of science and / or engineering in

accomp lishing some p articular result.

train – To make pr oficient w ith specialized instr uction and p ractice. (Seeorientation for contrast.)

training – Activities un dertaken to ensure that all staff mem bers have theskills required to p erform their assignm ents. (See also maturity level:

Repeatable.)

training group – The collection of ind ividu als (both ma nagers a nd staff)w ho are respon sible for coordinating and arran ging the training activitiesfor an organization. This grou p may p repar e and cond uct training cour ses

or m ay coord inate u se of other, possibly external, training vehicles.

training program – The set of training activities that focus on ad dr essing anorgan ization's training need s. It includ es an analysis of training need s,d evelopm ent of the organ ization’s training plan, d evelopm ent of trainingand training m aterials, cond uct of training, evaluation of training, andmaintenance of training records.

training waiver – A written ap prov al exemp ting an individu al fromtraining that is requ ired for a specific role. The exempt ion is gran tedbecause it has been objectively d etermined that the ind ivid ua l alread ypossesses the need ed kn owled ge and skills to perform the role.

uni t – A single defined organizational comp onent (e.g., a dep artm ent,section, or p roject) w ithin an organ ization. The term “un it” is u sed in the




Glossary of Terms

P-CMM to refer to any organ izational compon ent that is larger than a team,but sm aller than the organ ization.

values – Ideas held b y individu als about ethical behavior or app ropriatebehavior, what is right or w rong, desirable or u nd esirable.

verifying im plementation – (See common features .)

waiver – A docu men t that indicates intentional, volun tary relinqu ishm entof a right or claim or calls out an exception to compliance with ad ocumen ted p olicy, proced ure, or competency requ irement. (See alsotraining w aiver .)

well-defined process – A p rocess that includ es read iness criteria, inpu ts,stand ard s, and procedu res for performing th e work, verificationmechan isms (such as peer reviews), outp uts, and com pletion criteria. (Seealso effective process.)

work environment – The p rocess of establishing an d ma intaining p hysicalw orking cond itions tha t allow ind ividu als to perform th eir tasks efficientlyand to concentrate on their tasks without un necessary or inap prop riatedistractions. (See also maturity level: Repeatable.)

workforce activities – Activities wh ose pu rpose is to imp lement a hu ma nresou rce or other peop le-related p ractice. Workforce activities shou ld

comp ly with gu idelines contained in th e wor kforce pra ctice theyimp lement. Therefore, w orkforce activities are w hat r espon sibleindividu als actually do wh en p erforming a work force practice.

work force capability – The level of know ledge, skills, motivation, an dprep ared ness of an org anization's workforce, and th e ability of thew orkforce to perform the organ ization’s business functions.

work force improvem ent activities – Activities that imp rove th e level of know ledge, skills, motivation, and coordination of an org anization’sworkforce.

workforce imp rovement proposal – A d ocumen ted su ggestion for change toa pr ocess or process-related item th at will imp rove w orkforce capab ility andperformance.




Glossary of Terms

workforce plann ing – The pr ocess of coord inating workforce activities withcurrent and futu re business needs at both the organizational and un itlevels. Workforce plan ning involves develop ing a strategic w orkforce planthat sets organization-wid e objectives for comp etency developm ent an dw orkforce activities, and d eveloping near-term p lans to guid e the wor kforceactivities of each u nit. Specific w orkforce activities are plan ned to fulfillimmed iate workforce need s and long-term d evelopm ent requirementsestablished by the bu siness. (See also maturity level: Defined .)

workforce practices – Specific p rocedu res and gu idan ce for accomp lishing aw orkforce or other p eople-related organ izational policy within theorganization. A w orkforce practice specifies docum ented procedu res,gu idelines, and content for performing w orkforce activities in any p eople-

related area (e.g., comp ensation, performan ce man agem ent, team-building,coaching). Workforce p ractices are typ ically d ocumented and maintained bythe hum an resources fun ction or another app ropriate group.




Appendix C: Abridged Versionof the P-CMM Key Practices

This ap pen dix contains an abr idged version of the P-CMM key practices,wh ich prov ides a h igh-level overview of the prima ry activities w ithin eachkey process area. It can be u sed to get a “qu ick look” at each key p rocess area.It does no t, however, pr ovid e the specific activities for these key p racticesnor d oes it cover all the key practices. It is intend ed for inform ationalpu rp oses, not for determining comp liance to the key practices or plann ing

process improv ements.

This abridgm ent contains a sho rt description o f each key p rocess area, itsgoals, and the key pra ctice statemen ts from th e Activities Performedcomm on feature of the key process area. These items are extracted v erbatimfrom the d etailed d escriptions of each key p rocess area.

There are a nu mber of other key pr actices specified u nd er the othercomm on featu res (i.e., Com mitm ent to Perform , Ability to Perform,Measuremen t and Analysis, and Verifying Imp lemen tation) that are notcontained in this app end ix. These other key pra ctices mu st be in p lace toensure th at the key p ractices are implemen ted ap prop riately and effectively,

are solidly established , will be maintained a nd not erod e over time, and canbe effectively app lied to new work. To appr opr iately establish a key processarea, the full set of key practices shou ld be u sed.

Commitment to Perform typically involves establishing organizationalpolicies and senior manag emen t sponsorship. Ability to Perform typ icallyinvolves resour ces, organ izational structu res, and trainin g. Measu remen tand Analysis typically includes examp les of the m easurem ents that could betaken to d etermine th e status an d effectiveness of the Activities Performed .Verifying Imp lementation typically encompa sses reviews and aud its byresponsible ind ividu al(s) and executive m anagem ent.

Figu re A.1 depicts the key p rocess areas w ithin each ma turity level.




Abridged Practices

Level 2—RepeatableCompensation

TrainingPerformance Management

StaffingCommunication

Work Environment

Level 1—Initial

Level 3—Defined

Participatory CultureCompetency-Based Practices

Career DevelopmentCompetency Development

Workforce PlanningKnowledge and Skills Analysis

Level 4—Managed

Organizational Performance AlignmentOrganizational Competency Management

Team-Based PracticesTeam Building

Mentoring

Level 5—Optimizing

Continuous Workforce InnovationCoaching


Instill basic

disciplineintoworkforceactivities

Identify primarycompetenciesand alignworkforceactivitieswith them

Quantitatively manageorganizational growthin workforcecapabilities andestablishcompetency-

based teams

Continuously improve

methods for developingpersonal andorganizationalcompetence

Fi g u r e A. 1 P -C MM Ke y Pr o c e s s Ar e a s




Abridged Practices

Level 2: Work Environm entThe pu rpose of Work Environm ent is to establish an d maintain p hysicalw orking cond itions tha t allow ind ividu als to perform th eir tasks efficientlyand to concentrate on their tasks without un necessary or inap prop riatedistractions.

Work Environm ent involves ensuring the w ork environm ent comp lieswith all app licable laws and regulations, that improvements are m ade thatwill enhan ce performan ce, that imp edimen ts to performan ce are removed ,and that d istractions are m inimized.

Establishing an effective work environmen t begins with ensuring that thework environm ent complies with all laws an d regulations. Sufficientfacilities and personal w orkspace are m ad e available for ind ividu als top erform their assigned resp onsibilities. Imp rovem ents to the effectivenessof the work env ironment are identified and prioritized. Within reasonablebound aries, improvements are mad e to the work environm ent.Environmen tal and p hysical imp ediments in the work environm ent areeliminated . Distractions in th e w ork env ironment are identified andminimized.

The goals of Work Environm ent are:

1. An environment that suppor ts the performance of bus iness processesis established and maintained.

2. The resources needed by the workforce to perform their assignmentsare mad e available.

3. Dis tr act ions in the work environment a re minimized .




Abridged Practices

Level 2: CommunicationThe pu rpose of Comm un ication is to establish a social environm ent thatsup ports effective interaction an d to en sure th at the w orkforce has the skillsto sha re informa tion an d coordinate their activities efficiently.

Comm un ication involves establishing effective top-dow n and bottom-upcomm un ication chan nels within the organization, ensur ing that allindividu als have the necessary comm un ications skills to p erform theirtasks and coord inate effectively, cond ucting m eetings efficiently, andresolving problems.

Establishing effective communication begins with communicating thevalues, policies, and procedu res of the organization to the wor kforce. Oraland written commu nication capabilities are imp roved th rough training.The interp ersona l com mu nication skills necessary to main tain effectiveworking relationships are developed . Meetings are managed to ensure thattime is u sed most effectively. Comm un ication problems are han d ledthrou gh app ropriate mean s. Individu al opinions on working cond itionsare sough t. Formal procedu res are established for raising and resolvinggrievances.

The goals of Comm un ication are:

1. A social environment that suppor ts task performance andcoordination among individu als and grou ps is established andmaintained.

2. Information is shared across levels of the organization.

3. Individu als develop skills to share information and coordinate theiractivities.

4. Individu als are able to raise grievances and have them addressed bymanagement .




Abridged Practices

The top -level activities performed for Comm un ication are:

1. The people-related policies and p ractices of the organization arecommu nicated to the w orkforce.

2. Management commu nicates informat ion about organizat ional eventsand conditions to the wor kforce on a periodic and event-driven basis.

3. The communicat ion skills needed to perform task assignments aredeveloped.

4. The interpersonal commu nication skills necessary to establish andmaintain effective working relationships are developed.

5. Interpersonal problems or conflicts that degrade the quality or

effectiveness of working relationships are ha nd led ap prop riately.

6. Individu al' s opinions on their working condi tions are sought on aperiod ic and event-driven basis.

7. Individu als or groups can raise grievances according to a docum entedprocedure.

8. Management tracks to closure activit ies related to the resolution of agrievance.

9. Meetings are condu cted to make the most effective use of the time of those participating.




Abridged Practices

Level 2: Staffin gThe pu rp ose of Staffing is to establish a form al process by w hich talent isrecruited, selected , and tran sitioned into assignm ents in the organ ization.

Recru iting involves iden tifying the kn ow ledge an d skill requ iremen ts foropen positions, motivating all ind ividu als to seek out qu alified cand idates,ann oun cing the av ailability of positions to likely sources of cand idates, andreview ing th e effectiveness of recruiting efforts. Selection invo lvesd eveloping a list of qualified cand idates, defining a selection strategy,identifying qu alified candida tes, thorou ghly evaluating qua lified cand idates,and selecting th e most qu alified can did ate. Transitioning involves attracting

selected candid ates, orienting them to the organ ization, and ensu ring theirsuccessful transition into th eir new p ositions.

Recru iting activities begin wh en op en p ositions are identified. Tasks to beperformed by ind ivid ua ls filling th ese open p ositions and the characteristicsof cand idates who wou ld be capable of performing th e tasks are listed.These open positions are comm un icated to the u nit 's workforce so that theycan aid in recruiting and screening qua lified candid ates. The openings arealso posted interna lly and commu nicated to external sources that are likelysources of qu alified cand idates. A responsible ind ividu al(s) work s withexternal sources to maximize the likelihood of identifying cand idates. The

status of recru iting a ctivities are reviewed within each u nit, and period icallyby executive man agemen t. Lessons learned abou t recruiting app roaches andsources are period ically a ssessed.

A list of qu alified cand idates is drawn from th e results of recruiting efforts.A selection strategy is developed based on th e characteristics of the positionto be filled . A short list of the most qu alified cand ida tes is chosen forfurther consideration. The skills and experience of the cand idates on theshort list are thorou ghly evaluated against position criteria throu ghreference checks and other meth ods d ecid ed in adva nce. The rights andd ignity of the cand idates are respected th rough out the selection process. All

ap pr opr iate ind ividu als in the un it participate in the selection p rocess.Ultimately, the most qu alified cand idat e is selected.




Abridged Practices

The organ ization coord inates its activities to attract selected cand idates.Actions are taken to ensure th at new ly hired ind ividu als transitionsuccessfully into their new p ositions. The results of the selection pr ocess arereviewed an d success is measured on a p eriodic basis.

The goals of Staffing are:

1. The organization actively recruits for qualified talent .

2. The most qualified candidate is selected for each posit ion.

3. Selected candidates are transitioned into their new posit ions.

4. Members of a unit are involved in its s taffing activi ties.

The top -level activities performed for Staffing are:

1. Responsible individu als plan and coordinate the staffing activit ies of their units in accord ance with docum ented p olicies and pr ocedur es.

2. Posit ion openings within a uni t are ident ified and analyzed.

3. Posit ion openings within the organization are widely communicated.

4. External recruiting activi ties are planned and coordinated with unitrequirements.

5. A selection process and ap propriate selection criteria are defined foreach open position.

6. Each uni t , in conjunction wi th their human resources group, conductsa selection p rocess for each p osition it inten ds to fill.

7. The posit ion is offered to the most qualified candidate.

8. The organization coordinates to at tract the selected candidate.

9. The selected candidate is transit ioned into the new posit ion.

10. All app ropriate mem bers of a un it are actively involved in its staffingprocess.

11. Workforce redu ction an d other outplacement activi ties are condu ctedin accord ance with th e organization's policies and pr ocedur es.




Abridged Practices

Level 2: Performance Man agementThe p ur pose of Performan ce Managem ent is to establish ob jective criteriaagainst which u nit and individual performance can be m easured, toprovide performance feedback, and to enhan ce performance continu ously.

Performa nce Managem ent involves establishing objective u nit an dind ivid ua l performance criteria, discussing p erformance regularly andidentifying w ays to enh ance it, prov iding p eriod ic performance feedba ck,identifying developm ent need s, and systematically add ressing p erforman ceproblems or reward ing extraord inary performance.

The p rocess of man aging p erforma nce is initiated by collaborativelyd efining un it performance criteria th at are consistent w ith the u nit 'sbu siness plan . These un it criteria establish the framew ork in wh ichind ividu al perform ance can be measu red objectively. A performan ce planis periodically created for each ind ividu al. Those responsible forperforman ce feedback hav e ongoing d iscussions abou t performan ce issuesw ith those they are assigned to review.

Performance feedback involves mutual investigation of ways to enhanceperforma nce. Performance results are period ically d ocum ented . Thed evelopm ent needs of each ind ividu al are documen ted for furth er action

and career options are d iscussed. When necessary, performan ce pr oblemsare documented and an improvement plan is developed an d tracked.

Reward includ es special recognition ou tsid e of the compen sation systemthat recognize accomp lishm ents of significant valu e to the organ ization. Areward strategy is developed that iden tifies the events or results that qu alifyfor special recognition. The rew ard s program is comm un icated to thework force. As reward s are made, pu blic recognition is provided in order toreinforce those skills or behav iors the organ ization valu es.




Abridged Practices

The goals of Performance Man agement are:

1. Job performance is measured against objective criteria anddocumented.

2. Job performance is regularly discussed to identify actions that canimprove i t .

3. Development oppor tunit ies are discussed wi th each individual .

4. Per fo rmance p r ob lems ar e managed .

5. Outstanding performance is r ecognized .

The top -level activities performed for Performance Managemen t are:

1. Objective performance criter ia are established for each u nit.

2. The unit’s performance criter ia are periodically reviewed to determinetheir app ropriateness und er changing business or organizationalcond itions an d , if necessary, revised.

3. The unit 's performance criteria are allocated appropriately to subun its,group s, or ind ividu als within the un it.

4. Objective performance cri ter ia are periodically docum ented for eachindividual .

5. Performance criteria for each individu al are periodically reviewed and ,

if necessary, revised .6. Those responsible for performance management act ivit ies maintain

ongoing comm un ication about job performance with those wh oseperformance they evaluate.

7. Those responsible for performance management act ivit ies maintain anaw areness of job performa nce of the ind ividu als wh ose performan cethey evaluate against each ind ividu al’s d ocum ented performancecriteria.

8. Potential imp rovements in process, tools , or resources wh ich couldenha nce an individu al’s performance in his or her current assignment

are identified and actions taken to p rovide them.




Abridged Practices

9. A consis tent method is defined and documented for providing formalfeedback on ind ividu al or group performance on a p eriodic or event-d riven basis.

10. Formal feedback on individu al and/ or group p erformance is providedon a period ic and event-driven basis.

11. If performance problems occur, they are discussed w ith the app ropriateindividual(s) or group .

12. A documented performance improvement plan is developed forresolving p erforman ce problems.

13. Progress against a documented performance imp rovement plan isperiodically evaluated , discussed, and docum ented.

14. A development d iscussion is held w ith each individu al on a periodicbasis.

15. Recognit ion and rewards are made on an app ropriate basis as eventsoccur tha t ju stify special attention.




Abridged Practices

Level 2: Train ingThe pu rpose of Training is to ensure that all ind ividu als have the skillsrequired to perform th eir assignm ents.

Training involves iden tifying th e skills required to p erform critical tasks,identifying training n eeds w ithin each u nit, and ensuring that n eededtraining is received .

Each u nit iden tifies the skills required to p erform critical tasks involved inthe assignm ents given to ind ividu als. Training needs are id entified foreach u nit, and a plan is developed to ensu re that needed training is

received.

The goals of Training are:

1. Training in the critical skills requ ired in each un it is pr ovided .

2. Individu als receive t imely t raining that is needed to perform theirassignments.

3. Training oppor tunit ies are made available to all individuals.

The top-level activities p erformed for Training are:

1. Critical skills required for performing critical tasks are identified in

each unit.

2. The training needs for each uni t are ident ified.

3. Each unit develops and maintains a plan for sat isfying its t rainingneeds.

4. Individuals and/ or groups receive the training they need to performtheir assigned tasks.

5. Relevant t raining oppor tunit ies are ident ified and made available tosupp ort each individu al 's d evelopm ent.

6. Training is tracked agains t the unit 's training plan.




Abridged Practices

Level 2: CompensationThe pu rpose of Comp ensation is to provide each ind ividu al withremu neration and benefits based on their contribution and value to theorganization.

Comp ensation includ es developing a docum ented comp ensation strategy,developing a p lan for adm inistering comp ensation, and making p eriodicad justmen ts to comp ensation based on performance.

A compen sation strategy is d eveloped th at states the organ ization'sph ilosophy and method s for comp ensating individu als. This comp ensation

strategy is periodically reviewed against business conditions and revisedw hen n ecessary. The strategy covers all forms of compen sation toindividuals and the criteria by wh ich comp ensation w ill be determined.A compen sation plan is pr epared period ically to guide the ad ministration of the comp ensation strategy.

Those respo nsible for ma king comp ensation d ecisions are pr ovidedgu idan ce in adm inistering and d iscussing the comp ensation strategy andd ecisions. Comp ensation decisions are based on comm on criteria stated inthe strategy. Adjustments are periodically mad e to compen sation based onindividu al performan ce and other d ocumented criteria such as skill

developm ent or prom otion.

The goals of Compen sation are:

1. Compensation strategies and activit ies are planned, executed, andcommunicated.

2. Compensation is equitable relat ive to skil l qualificat ions andperformance.

3. Adjus tments in compensat ion are made per iodically based on d efinedcriteria.




Abridged Practices

The top -level activities performed for Compen sation are:

1. A compensation st ra tegy is developed.

2. The compensation strategy is periodically reviewed to determinew hether it needs to be revised.

3. Where appropr iate, individu als are involved in developing orrevising comp onen ts of the compen sation strategy.

4. A compensation plan is prepared on a periodic basis for adm inisteringthe comp ensation strategy.

5. The compensation s trategy is communicated to the workforce.

6. Each individual 's compensat ion package is determined through adocum ented procedu re that is consistent with th e organization'scompensation p olicy, strategy, and plan.

7. Compensation activit ies are performed by responsible individu als inaccordance with a documented procedu re.

8. Decisions regarding an individu al's compensation package arecomm un icated to the ind ividu al .

9. Responsible individu als periodically review compensation packagesfor all those whose comp ensation they ad minister; and they take actionon d iscrepancies from th e organ ization's p olicy, strategy, or p lan.




Abridged Practices

Level 3: Knowledge and Skills AnalysisThe pu rpose of Know ledge and Skills Analysis is to identify the know ledgeand skills required to perform core business processes so that th ey ma y bedeveloped and used as a basis for wor kforce practices.

Knowled ge an d Skills Analysis involves identifying the bu siness processesin wh ich the organ ization m ust m aintain comp etence, developing profilesof the know ledge and skills need ed to p erform these business fun ctions,maintaining a kn owledge an d skills inventory, and id entifying futureknow ledge and skill need s.

Business functions are evaluated to determ ine the core comp etencies theorgan ization mu st maintain to sustain its bu siness capability. Businessprocesses constituting these functions are analyzed to identify theknow ledge and skill profiles un d erlying each core competency. Theseprofiles are periodically reassessed to ensure th at they are current w ith theactual know ledge and skills requ ired by th e organization’s businessp rocesses. The organization mainta ins an inform ation base of thesep rofiles. Anticipated changes in processes or techn ologies are analyzed tod etermine their imp lications for futu re know ledge and skill requirements.

The ana lysis of core comp etencies occurs a t the or ganizational level and is

of long-term concern to execu tive man agem ent an d th ose responsible forcoordinating w orkforce activities across the organization. Knowledge a ndskill profiles are u sed a t the u nit level in p erforming w orkforce activitiesd escribed in the Staffing, Training, Performa nce Manag emen t, Comp etencyDevelopm ent, Comp etency-Based Practices, and other key p rocess areas.




Abridged Practices

The goals of Knowledge an d Sk ills Analysis are:

1. The core competencies required to perform the organization's businessprocesses are known .

2. Knowledge and skills profiles exist for each business process.

3. Knowledge and skills profiles are updated for anticipated future needs.

The top-level activities performed for Know ledge and Sk ills Analysis are:

1. The core competencies that the organization must develop andma intain to perform its business fun ctions are iden tified.

2. Profiles of the knowledge and skills underlying each of the

organization’s core competencies are d eveloped.3. An inventory of knowledge and skill profiles is maintained.

4. Knowledge and skil ls profiles are reevaluated on a periodic or event-d riven basis.

5. Core competencies are reevaluated on a per iodic and event-dr ivenbasis.




Abridged Practices

Level 3: Workforce PlanningThe pu rp ose of Workforce Plann ing is to coordinate w orkforce activitieswith current and futu re business needs at both the organizational and un itlevels.

Workforce Planning inv olves developing a strategic workforce plan th atsets organization-wide objectives for comp etency develop men t andw orkforce activities, and d eveloping near-term p lans to guid e the wor kforceactivities of each unit.

The workforce planning p rocess begins by identifying future competency

and w orkforce needs of the organization. These need s are assessed fromanticipated future d evelopmen ts in the bu siness and its pr odu cts, services,markets, work technologies, and bu siness pr ocesses. A plan is created forthe long-term d evelopm ent of each comp etency need ed by the organization.A strategic workforce plan is created by integrating th ese comp etencyd evelopm ent plans and determining how the needed competencies will bepr ovided over time. This plan sets long-term objectives for wor kforceactivities to meet d ocum ented w orkforce needs.

Near-term w orkforce plans are developed periodically at both theorgan izational and un it levels. These plans set specific near-term objectives

for perform ing w orkforce activities that satisfy both long-term strateg icw orkforce objectives and th e curr ent need s of the bu siness and each un it.Succession plans are d eveloped for each key p osition in th e organization.Performan ce against these plans is periodically checked an d reported at theappropriate level.




Abridged Practices

The goals of Workforce Planning are:

1. The organization develops a s trategic plan for long-term developmentof the competencies and work force need ed for its business operations.

2. Near-term w orkforce and competency development act ivit ies areplann ed to satisfy both current and strategic workforce needs.

3. The organization develops talent for each of i ts key posit ions.

4. The organization tracks performance in achieving i ts strategic andnear-term workforce development objectives.

The top -level activities performed for Workforce Plann ing are:

1. The strategic competency and w orkforce needs of the organization aredocumented.

2. For each of the organization's core competencies, a competencydevelopment p lan is produ ced.

3. A strategic workforce plan is developed and periodically revised.

4. Near-term workforce plans are developed to guide workforce activit iesin each unit.

5. The organization develops succession plans for its key posit ions.

6. The organization's performance in meeting the objectives of i ts

strategic and near-term workforce p lans is tracked.7. Each unit 's performance in meeting the objectives of i ts near-term

workforce plans is tracked.




Abridged Practices

Level 3: Competency Developm entThe pu rpose of Competency Developm ent is to constantly enhan ce thecapab ility of the w orkforce to perform th eir assigned tasks andresponsibilities.

Comp etency Developm ent involves establishing training and otherd evelopm ent p rograms in each of the organization's core competencies.

The core competen cies identified in Know ledge an d Skills Analysis andWorkforce Planning p rovide the foun d ation for the organ ization'sdevelopm ent and training program . Developm ent activities are designed to

raise the level of kno wled ge and skill in the orga nization's curren t andanticipa ted core comp etencies. The organization maintains stand ard s forthe qu ality of the training an d d evelopm ent activities offered its wor kforce.Each individu al's developm ent p lan is upd ated w ith the individual 'scurren t level of know ledge an d skill. Each ind ividu al sets objectives ford evelopm ent in on e or m ore of the core comp etencies of the organization.

The goals of Competency Development are:

1. The organization knows its current capability in each of the corecompetencies requ ired to perform its business processes.

2. The organization d evelops capabilit ies in i ts core competencies.3. Individu als develop their knowledge and skills in the organization 's

core competencies.




Abridged Practices

The top -level activities performed for Competency Developm ent are:

1. The competency development plans for each of the organization's corecomp etencies form th e basis for its competen cy dev elopm ent activities.

2. The organization tracks the knowledge and skills of i ts workforce inthe organ ization's core comp etencies according to a d ocumen tedprocedure.

3. The organization establishes a program of t raining and d evelopmentin its core comp etencies.

4. Individu als in each uni t receive training and d evelopment as neededin ap prop riate core competencies.

5. The organizat ion makes available to individu als informat ion on theorgan ization's core comp etencies and learning op por tun ities related totheir developm ent.

6. Individu als are act ively involved in ident ifying and pursuing learningop por tu nities to enha nce their cap abilities in the organ ization's corecompetencies.




Abridged Practices

Level 3: Career Developm entThe pu rpose of Career Developm ent is to ensure that all ind ividu als aremotivated and are provided opp ortunities to develop n ew skills thatenhance their ability to achieve career objectives.

Career Developm ent includ es discussing career options with eachindividual, developing a personal development plan, tracking progressagainst it, identifying training op por tun ities, and ma king assignm ents thatenh ance career objectives.

A personal developm ent plan is created an d p eriodically up da ted for each

individu al. Progress against this plan is tracked and d evelopmen topp ortun ities are iden tified. Op portu nities for training and other career-enh ancing activities are mad e available. Individu als are encouraged to takean active role in defining and d eveloping th eir skills and careerd evelopmen t. A gradu ated set of career opp ortun ities are defined alongw ith criteria for prom otion am ong them . Promotion activities areperformed on a periodic and event-driven basis. Individu als areperiodically coun seled abou t career options, and opp ortun ities forad vancement are comm un icated to them. An effort is made to match work assignmen ts with career objectives. The organization evaluates how w ellprogress in m eeting personal developm ent p lans is providing the skills that

the organ ization anticipa tes it will need in the fu tur e.

The goals of Career Developm ent are:

1. Career development act ivit ies are conducted w ith each individual .

2. The organization offers career opportunities that provide growth in i tscore competencies.

3. Individuals are mot ivated to pursue career goals that opt imize thevalue of their knowled ge and skills to the organ ization.




Abridged Practices

The top -level activities performed for Career Developmen t are:

1. A personal development plan is created and m aintained for eachindividual .

2. Individuals act ively identify and pursue learning oppor tunit ies thatenh ance their career options an d capabilities in the organ ization's corecompetencies.

3. The development activit ies of each individu al are tracked against hisor her p ersonal development plan.

4. Trends across individual development plans and act ivit ies areperiodically reviewed to d etermine wh ether organizational

competency need s will be met.5. Ass ignments outside of normal work responsibilit ies that suppor t an

individual 's developmen t needs are provided as app ropriate.

6. The organization defines graduated career opportunities based on thecore comp etencies required to p erform its business.

7. Career development objectives are based on the graduated careeropp ortunities defined in the organization.

8. Career promotions are made in each area of graduated careeropp ortunities based on a docum ented p rocedu re.




Abridged Practices

The top-level activities perform ed for Comp etency-Based Practices are:

1. Recruiting activit ies are planned and executed to sat isfy theorgan ization's requiremen ts for core com peten cies.

2. Staffing decisions are based in part on developing careers through anapp ropriate set of gradu ated career opportun ities.

3. The organization selects the most qualified candidates based in part ontheir long-term potential for growth and performance in theorgan ization's core comp etencies.

4. Work ass ignments are designed, in par t , to enhance personal andcareer dev elopm ent objectives.

5. Each u nit's performance criter ia include objectives for developing thecore competencies required to perform its business activities.

6. The documented performance cr iter ia for each individu al includ eobjectives for d eveloping ad ditional capability in th e organ ization'score competencies.

7. The results of each individu al's job performance are assessed in partagainst eviden ce of dev eloping capability in th e organ ization's corecompetencies.

8. The compensat ion system is des igned in par t to improve therelationship between wor kforce capab ility in th e organ ization’s core

competencies and organizational performance.

9. Adjustments to each individu al’s compensation are part ly designed tomotivate d evelopmen t in the organ ization's core comp etencies anduse these skills to imp rove p erforman ce at the individu al, group , unit,and / or organizational levels.

10. Recognit ion and rewards for growth in the organization's corecomp etencies are provided w hen ap prop riate at the individu al, group ,un it, and organizational levels.

11. As core comp etencies change, the organization reevaluates itsworkforce policies and practices, and ad justs them as need ed.




Abridged Practices

Level 3: Participatory Cu ltu reThe pu rp ose of a Participator y Cu lture is to ensure a flow of inform ationwithin the organization, to incorporate the know ledge of ind ividu als intod ecision-ma king processes, and to gain their sup por t for commitm ents.Establishing a participatory culture lays the found ation for building high-performance teams.

Particip atory Cu lture involves establishing effective comm u nicationsamon g all levels of the organ ization, seeking inpu t from ind ividu als,involving individu als in making decisions and comm itments, andcommu nicating d ecisions to them.

Participatory Cultu re begins w ith establishing effective comm un icationwithin workgroup s and across the organization. Imp rovingcommunication involves identifying needed information and developingw ays to share it. Participation in d ecision mak ing is established as animp ortant w orkforce value of the organization. Decision making processesare shifted d ow n to low er levels of the organization w here app ropr iate.Decision making p rocesses are defined or ad opted that are ap prop riate ford ifferent typ es of decisions. Individu als are asked for inpu t on d ecisionswh ere approp riate. They are involved in ma king and signing off oncommitmen ts and in making decisions about their work . Managem ent

comm un icates about even ts and d ecisions that a ffect the w orkforce.

The goals of Participatory Cultu re are:

1. Communicat ion act ivit ies are enhanced to improve the flow of information within the organization.

2. Decisions are made at the lowest appropriate level of the organization.

3. Individu als and groups participate in decision-making processes thatinvolve their w ork or commitments.




Abridged Practices

The top -level activities performed for Participatory Cultu re are:

1. Individu als ident ify the information they need to perform theirassigned respon sibilities.

2. Individu als work wi th each other to develop effect ive means of commu nicating information.

3. Those assigned management or sup ervisory responsibil ity for a body of work maintain an ongoing involvement those performing the w ork.

4. Executive ma nag emen t initiates an effort to shift d ecision ma kingd ow n to app ropr iate levels of the organization.

5. Decision-making processes and roles are iden tified for d ifferent typ es of

decisions.

6. Decisions made by those empowered to make them are suppor ted byothers in the organ ization.

7. Individuals and groups are involved in m aking decis ions that affecttheir work.

8. Individu als and groups par ticipate in making commitments that theyare respon sible for meeting.

9. Individuals and groups par ticipate in shaping their work environments .




Abridged Practices

Level 4: MentoringThe pu rp ose of Mentoring is to u se the experience of the orga nization’sworkforce to provide p ersonal supp ort and guidan ce to other individu als orgrou ps. This gu idan ce can invo lve d eveloping know ledge and skills,improving performance, hand ling difficult situations, and making careerdecisions.

Mentor ing involves setting objectives for a men toring pr ogram , d esigningm entoring activities to achieve these objectives, selecting and trainingapp ropriate mentors, assigning m entors to ind ividu als or groups,establishing m entoring relationship s, and evalua ting the effectiveness of

the program.

The organ ization dev elops one or m ore sets of objectives for the m entorin gprog ram. App ropriate types of men toring relationships are designed ford ifferent men toring objectives within the program . Criteria are developedfor selecting men tors and those chosen are trained for their assignmen ts.Individuals or groups being m entored are provided orientation on howthey can best take adva ntage of a men toring relationship. Criteria aredeveloped for assigning m entors to ind ividu als or group s. The mentor andthe individu al or group being m entored establish agreements on h ow th eirrelationship w ill be cond ucted. Mentors meet period ically and occasionally

evalua te wh ether they are achieving their objectives. Ad vice is available toimp rove the effectiveness of the men toring relationship. The mentoringprog ram is evalua ted against its objectives to id entify n eededimprovements .

The goals of Men toring are:

1. Mentoring activi ties are matched to defined objectives.

2. Mentors are selected and prepared for their responsibilit ies.

3. Mentors are made available for guidance and supp ort to otherindividuals or groups.




Abridged Practices

The top -level activities performed for Men toring are:

1. The object ives and s t ructure of the mentor ing program are defined.

2. The mentor ing program is communicated to all affected individuals orgroups.

3. Individuals and/ or groups are invited to part icipate in the mentor ingprogram.

4. Mentors are selected and prepared for their ass ignments .

5. Mentors are ass igned to individuals or groups .

6. Mentors and individuals or groups to be mentored es tablish a

mentoring relationship.7. Guidance is made available to mentors and individu als or groups on

how to improve their m entoring relat ionship.

8. The mentor ing relat ionship is per iodically reviewed to ensure that therelationsh ip is satisfying its intend ed ob jectives.

9. Correct ive act ion is taken to resolve problems with mentor ingrelationships.

10. Mentors are recognized for successful mentoring activities.




Abridged Practices

Level 4: Team Build ingThe pu rpose of Team Building is to capitalize on op por tun ities to createteam s that maximize the integration of diverse know ledge and skills toperform business functions.

Team Building involves matching p otential team m embers to theknow ledg e and skill requirements of the team, training all new m embers inteam skills, d efining objectives for team performa nce, tailoring stan d ardprocesses for use by the team , defining p erforman ce criteria, and periodicallyreviewing team p erforman ce.

Op por tun ities to form teams are iden tified w ithin the organization’s oru nit’s work pr ocess. The organization or u nit id entifies the know ledge andskills requ ired for the team. Team m embers are selected to p rovide a m ix of comp lementary kn ow ledge and skills that satisfy the requ irements of thevarious tasks and roles involved in the team’s work. Where app ropriate,this will involve a mix of the core com p etencies of the orga nization. Teammem bers are trained in team skills, some of w hich are identified as corecomp etencies of the organ ization. Objectives are established for teamperforman ce. The team ad opts and tailors for its use any stand ard team orrelevant work p rocesses d efined for use by the organization. The teamdefines p rocesses as necessary to p erform its assigned respon sibilities and a

set of performan ce criteria that are app roved by m anag emen t. The teamassesses its own performance an d periodically reports results.

The goals of Team Build ing are:

1. Teams are formed to improve the performance of interdependenttasks.

2. Team ass ignments are made to integrate complementary knowledgeand skills.

3. Team members develop the ir team skills .

4. Team members part icipate in decisions regarding their work.5. The organization provides standard processes for tailoring and u se by

teams in performing their work.




Abridged Practices

The top-level activities p erformed for Team Buildin g are:

1. Team-building activi ties are planned in the organization’s and unit’sstrategic and near-term w orkforce p lans.

2. The organizat ion designs and maintains an approved set of teamstructures and processes for ap plication in ap prop riate situations.

3. Appropr iate oppor tuni ties for forming teams wi thin a un it ’s or theorgan ization’s bu siness fun ctions are id entified.

4. Work processes and condit ions are organized to support team building.

5. An appropriate team structure is selected for application in eachsituation w here a team w ill be initiated.

6. The knowledge and skil ls required to perform the team’s work processare identified.

7. Team members are selected and assigned to the team based in part onthe d egree to which their know ledge and skills fill team n eeds an dcomplemen t those of other team m embers.

8. Team members receive the t raining needed to overcome shor t falls inteam kn owledge an d skills.

9. The individual (s ) or ent ity to whom the team is accountable providesassigned responsibilities and business objectives to the team.

10. Teams receive facilitation as needed du ring their initiation oroperation.

11. Teams tailor standard team p rocesses for use in performing their work processes.

12. Teams p lan the ir work and commitments.

13. Teams define appropriate measures of their work produ cts andprocesses.

14. Teams establish working relationships with other teams, group s, orun its that are necessary to execute their w ork resp onsibilities.




Abridged Practices

Level 4: Team -Based PracticesThe pu rp ose of Team-Based Practices is to tailor the orga nization ’sw orkforce practices to sup por t the developm ent, motivation, andfunctioning of teams.

Team-Based Pra ctices involve ensuring th at the w ork env ironmen tsup por ts team fun ctions, setting and r eviewing team p erforman ce criteria,involving team mem bers in performin g wor kforce activities, and reflectingteam criteria in individu al compen sation decisions.

Team-Based Pra ctices begin w ith shap ing the w ork env ironm ent to foster

team -based activities. Objective performance criteria are established for theteam. The ind ividu als or group s to which the team is accountable maintainongoing comm un ication abou t performan ce with the team. Teammem bers are involved in the performa nce of team-based p ractices such asteam recruiting, selection, performance management, reward, training,development, and comp ensation activities as ap prop riate based on thestructure and function of the team. Team d ata is used to id entify needs forteam d evelopm ent. Team-based criteria are factored into comp ensationd ecisions. Reward s are prov ided based in pa rt on team criteria.

The goals of Team -Based Practices are:

1. The organization adjusts its workforce practices and activities tomotivate and sup port the d evelopm ent of team-based comp etenciesw ithin the organization.

2. Workforce activit ies are tailored to support the needs of different typesof teams w ithin th e organization.

3. Team performance cr iter ia are defined and measured.

4. Compensat ion and reward systems are tailored to motivate improvedteam performan ce.




Abridged Practices

The top-level activities p erformed for Team-Based Practices are:

1. The organizat ion’s work environment is tailored to enhance it s teamactivities.

2. The organization’s s tandard workforce practices are adjusted for usewith teams.

3. When appropr ia te , t eam members are involved in t a ilor ing andper forming w orkforce activities for their team .

4. Ind ividu al(s) or enti ties to which the team is accountable maintainongoing comm un ication with the team abou t its performance.

5. Objective performance criteria are established and revised for each

team.

6. Team p erformance is evaluated on a per iodic and event-dr iven basis .

7. Rewards and recognit ion based on team performance and individualcontributions to team activities are prov ided , w hen ap pr opriate, at theindividu al and team levels.

8. Team development act ivit ies are planned in the organization’s andeach u nit’s near-term w orkforce plan s.

9. Cont inuous team development is based on analyses of the team’sperformance.

10. The compensation system is designed, in p art , to reward the teammem bers for the team 's performan ce and its contribution to enh ancingthe organ ization’s performan ce.

11. Each individua l’s contribution to team performan ce is factored into hisor her compensation d ecision.




Abridged Practices

Level 4: Organizational CompetencyManagement

The pu rpose of Organ izational Comp etency Managem ent is to increase thecapability of the organization in its core comp etencies and to d etermine theeffectiveness of its competency development activities in achieving specificcompetency growth goals.

Organizational Competency Management involves setting measurable goalsfor growth in the org anization's core comp etencies, defining and collectingda ta relevant to th em, analyzing th e impact of comp etency d evelopm ent

activities on achieving these goals, and using th e results to guide th eapp lication an d improvem ent of comp etency developmen t activities.

Plans and imp rovem ent goals are periodically established for theorganization ’s cap ability in each of its core competencies. The organ izationestablishes its capability and trend s relative to its goals in each of its corecompetencies quan titatively. Data are defined and collected, and trend s areanalyzed . When n eeded , the organ ization takes corrective actions to bringcompetency trends un der m anaged control. The organizationquan titatively d etermines the impact that its comp etency d evelopm entactivities have on its cap ability in its core competencies. Feedback on the

organ ization’s capability relative to its core comp etencies is reported on aregular basis. Corrective action is taken w henev er necessary to ensureappr opr iate progress against the organization’s capability goals or toimprove the performance of its competency development activities.

The goals of Organizational Competency Managemen t are:

1. Measurable goals for capability in each of the organization's corecompetencies are defined .

2. Progress toward achieving capability goals in the organization's corecompetencies is qu antified and m anag ed.

3. The knowledge and skills-building capabil ity of the organization'scomp etency develop men t activities is know n qu antitatively for each of its core comp etencies.




Abridged Practices

The top-level activities performed for Organ izational Comp etency

Management are:

1. Organizational competency management act ivit ies are planned.

2. Measurable objectives are established for developing the organization'scapab ility in each of its core competen cies.

3. The organization develops a data collect ion, analysis , and report ingstrategy for each of its core competencies.

4. Trends in the organization's capabil ity in each of its core competenciesare compar ed qu antitatively to its comp etency developm ent goals.

5. The organization quanti tat ively determines the capabili ty of its

comp etency develop men t activities to achieve the goals for d evelopingeach core comp etency.

6. When the organization's capabili ty in one of i ts core competenciesd iffers significantly from goals, action is taken to imp rove th ecapability.




Abridged Practices

Level 4: Organizational PerformanceAlignment

The pu rpose of Organizational Performan ce Alignment is to enhan cealignm ent of performance results at the individu al, team, un it, andorganizational levels with the ap prop riate goals and to qua ntitatively assessthe effectiveness of workforce pra ctices on achieving a lignm ent.

Organizational Performance Alignment involves setting measurable goalsfor aligning performance at the individu al, team, un it, and organizationallevels, defining th e d ata an d analyses, collecting the da ta, analyzing trend s

again st objectives, acting on exceptiona l find ings, analyzing th e impact of w orkforce practices on performan ce alignmen t, and rep orting results.

Objectives are period ically established for aligning p erforman ce resultsacross the individ u al, team , u nit, and organ izational levels. Both theperformance da ta to be collected and the ana lyses to be performed aredefined. Data are collected, and trend s are analyzed and comp ared toalignmen t goals. Where p erforman ce is misaligned, corrective actions aretaken and / or goals are adjusted, if necessary. Trends in workforce pr acticesand impr oved capability in the organ ization’s core comp etencies areanalyzed to d etermine their imp act on the alignm ent of performan ce

results. Feed back on perform ance alignmen t is reported to the organization.Manag ement takes action w hen n ecessary to ensure progr ess againstperformance alignment goals.

The goals of O rganizational Performance Alignment are:

1. Measurable goals for aligning individual , team, unit , andorganizational performance are defined.

2. Progress toward achieving performance alignment goals is quantifiedand managed.

3. The capability of workforce activit ies to align individu al, team, unit ,

and organizational performance is know n qu antitatively.




Abridged Practices

The top-level activities performed for Organizational Performance

Alignment are:

1. Performance alignment act ivit ies are planned.

2. Measurable goals are established for aligning performance at theindividu al, team, u nit, and organizational levels.

3. The organization develops a data collect ion, analysis , and report ingstrategy for its performance alignment activities.

4. Object ive data on performance at the individual , team, unit , andorganizational levels are d efined, collected, an d analyzed for trend s inperformance alignment.

5. The capability of the organization’s performance-related workforceactivities for aligning p erformance is established qu antitatively.

6. When performance alignment at the team, uni t , or organizat ionallevels d iffers significantly from goals, actions are taken to imp rove th ealignment.




Abridged Practices

Level 5: Personal Competency DevelopmentThe pu rpose of Personal Comp etency Development is to provide afoun dation for p rofessional self development.

Personal Comp etency Developm ent consists of a volun tary pr ogram forcontinu ously improving ind ividu al work p rocesses. This program involvesd eveloping goals and plans for p ersonal work activities, establishing an dusing d efined p ersonal processes, measu ring and analyzing th e effectivenessof these personal processes, and implemen ting improvem ents to them.

The organization establishes a voluntary program to sup port ind ividu al

initiative in continuou sly improv ing personal work p rocesses. Individu alsd efine their work p rocesses and use these d efined p rocesses to plan th eirw ork. Individu als measu re their work processes and set measurab le goalsfor imp roving their perform ance. Individ ua ls ana lyze their wor k processesto identify op portu nities for improvem ent and they identify the kn owledgeand skills needed to mak e these imp rovemen ts. Individu als improv e theirw ork p rocesses and eliminate th e causes of defects in their w ork.

The organization ad justs the ap plication of workforce practices to sup portpersonal comp etency developm ent. Imp rovements in individual work pr ocesses are recognized.

The goals of Personal Comp etency Developm ent are:

1. Ind ividu als know their capabili ty in each of the competencies involvedin their wor k.

2. Individu als cont inuously improve their knowledge and skills in thecomp etencies involved in their work.

3. Part icipation in imp roving personal competencies is organization-wide.




Abridged Practices

The top -level activities p erformed for Personal Comp etency Developmen t

are:

1. A program for personal competency development is established thatemp owers individu als to continu ously imp rove their individual w ork processes.

2. Individu als define the processes they use to perform their work.

3. Where appropr iate, individu als plan their act ivit ies us ing d efinedindividual w ork p rocesses and historical individual p erformance d ata.

4. Individu als measure the performance of their individu al work processes.

5. Individu als establish measurable personal goals for continuou simpr ovements in their work p rocesses.

6. Individu als analyze the measured performance of their work processesto identify opp ortun ities for improv ement.

7. Individu als ident ify the knowledge and skills they need to improvetheir w ork p rocesses.

8. Individu als cont inuously improve their work processes .

9. Individu als take corrective action as needed to correct defects andeliminate th e causes of defects in their w ork.

10. The application of the organization’s workforce practices is adjusted asneeded to accomm odate imp rovements in ind ivid ual work p rocesses.

11. Records of act ivi ties for continuously improving individu al work pr ocesses are maintained .

12. The accomp lishments of individuals in continuously improving theirwork processes are recognized.




Abridged Practices

The top -level activities perform ed for Coaching are:

1. Coaching is established in situations that are jud ged to offer sufficientperforma nce ben efits.

2. Coaches are selected and p repared for their assignments.

3. Coaches are assigned to individu als or teams according to definedcriteria.

4. Coaches and the individu als or teams being coached establish acoaching relationship .

5. Coaches and the individu als or teams being coached set measurablegoals for imp roving p erforman ce.

6. Coaches monitor individual or t eam per formance .

7. Coaches guide improvements in the skills of individuals and/ orteams.

8. Individu als and/ or teams practice the skills that they are working toimprove.

9. Coaches reward improved performance by individuals or teams.

10. Coaches and individu als are provided guidance on how to improvetheir coaching relationship .

11. Actions are taken to imp rove coaching relat ionships.12. Coaches are recognized for successful coaching.




Abridged Practices

Level 5: Continuous Workforce InnovationThe pu rpose of Continuou s Workforce Innovation is to identify an devaluate improved workforce p ractices and technologies, and implementthe most promising ones throu ghou t the organization.

Continu ous Workforce Inn ovation involves establishing a m echanism forpr op osing impr ovem ents in wor kforce activities, identifying need s for newpr actices, su rveying an d ev aluating inn ovative pra ctices and technologies,cond ucting exp loratory trials of new pr actices and techn ologies, andimp lementing th e most beneficial ones across the organ ization.

Innova tive workforce pr actices and technologies inclu d e new chan nels forrecruiting, new selection techn iques, inn ovative wa ys to ma nag eperforma nce, inn ovative technologies for comm un ication, creativecompensation schemes, introd ucing new m edia and m ethods ford eveloping know ledge and skills, alternative career choices, and new w aysof organizing and empow ering the w orkforce.

Effort toward imp lementing inn ovative w orkforce pr actices is inclu d ed inthe strategic and near-term workforce plans. The group assignedrespon sibility for coord inating continu ous w orkforce innov ation staysaw are of the curren t effectiveness of the organ ization’s w orkforce activities.

A pr ocedu re for pr oposing imp rovem ents to workforce activities isdeveloped an d comm un icated to the workforce. The coordinating groupcontinu ally reviews internal prop osals and external d evelopm ents inw orkforce pr actices and technology to determ ine wh ich inn ovations offerthe greatest opp ortunity to improve the competency and performance of theorgan ization. The most prom ising innov ations are tried and , if successfu l,they are imp lemented across the organ ization. The effectiveness of theseimp roved pra ctices is evaluated qu antitatively and the results arecommu nicated to th e w orkforce.




Abridged Practices

The goals of Contin uou s Workforce Inn ovation are:

1. Innovative workforce practices and technologies are evaluated tod etermine th eir effect on imp roving core com peten cies andperformance.

2. The organization’s workforce practices and activi ties are improvedcontinuously.

3. Participation in imp roving the organization’s workforce practices andactivities is organization-wide.

The top -level activities performed for Contin uou s Workforce Inn ovation

are:

1. Act ivit ies for cont inuous workforce innovat ion are planned.

2. Individuals and teams are empowered to cont inuously improve theirperformance of workforce activities.

3. A cont inuous improvement program is es tablished that encouragesindividuals and teams to p ropose improvem ents to workforce practicesand activities.

4. The organization establishes a program for evaluat ing innovat iveworkforce practices and technologies.

5. Innovative workforce practices and technologies are identified and

selected for evalua tion.

6. Trial efforts for evaluating innovative workforce practices ortechnologies are cond ucted, w here ap prop riate, before theseinnovations are introdu ced into normal u se.

7. Innovative workforce practices or technologies that demonstrate theireffectiveness in trial efforts are disseminated throu ghou t theorganization.

8. Data on the act ivit ies for cont inuous workforce innovation arecollected and maintained.




App end ix D: Mapp ing of KeyPractices to Goals

The tables below show the key p ractices of each key process area map ped tothe goa ls of the key pr ocess area.

Level 2 KPAs Goals Activities

Performed

Commit-

m e n t

Ability Measure-

m e n t

Verifica-

tion

Work Environment 1

2

3

1, 2, 4, 5

3, 4, 5

4, 6, 7, 8

1, 2

1, 2

1, 2

1, 2, 3, 4

1, 2, 4

1, 2

1

1

1

1, 2

1, 2

1, 2

Communication 1

2

3

4

1, 2, 4, 5, 6, 9

1, 2

3, 4

5, 7, 8

1, 2, 3

1, 2, 3

2, 3

2, 3

1, 2, 3

1, 2, 3

1, 2, 3

1, 2, 3

1

1

1

1

1, 2

1, 2

1, 2

1, 2

Staffin g 1

2

3

4

1, 2, 3, 4, 5

1, 5, 6, 7, 8, 11

1, 9, 11

1, 10

1, 2

1, 2

1, 2

1, 2

1, 2, 3, 4

1, 2, 3, 4

1, 2, 3, 4

1, 2, 3, 4

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

Table A.1 Level 2 KPAs: Key Practices Mapped to Goals




Map ping of Key Practices to Goals


Performed

Commit-

m e n t

Ability Measure-

m e n t

Verifica-

tion

Performance

Management

1

2

3

4

5

1, 2, 3, 4, 5

4, 5, 6, 7, 8, 9,

10

6, 14

11, 12, 13

15

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2, 3, 4

1, 2, 3, 4

1, 2, 3, 4

1, 2, 3, 4

1, 2, 3, 4, 5,

6

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

Training 1

2

3

1, 2, 3, 4, 6

1, 4

4, 5

1, 2

1, 2

1, 2

1, 2, 3, 4, 5

1, 2, 3, 4, 5

1, 2, 3, 4, 5

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

Compensation 1

2

3

1, 2, 3, 4, 5, 6,

7, 8, 9

6, 9

6, 7, 9

1, 2

1, 2

1, 2

1, 2, 3

1, 2, 3

1, 2, 3

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

Table A.1 Level 2 KPAs: Key Practices Mapped to Goals (continued)




Mapp ing of Key Practices to Goals


Performed

Commit-

m e n t

Ability Measure-

m e n t

Verifica-

tion

Knowledge an d Skills

Analysis

1

2

3

1

2, 3, 4

4, 5

1, 2

1, 2

1, 2

1, 2, 3, 4

1, 2, 3, 4

1, 2, 3, 4

1, 2

1, 2

1, 2

1, 2, 3

1, 2, 3

1, 2, 3

Workforce Planning 1

23

4

1, 2, 3

2, 4, 5

4, 5

6, 7

1, 2

1, 2

1, 2

1, 2

1, 2, 3, 4, 5

1, 2, 3, 4, 5

1, 4, 5

1, 4, 5

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

Competency

Development

1

2

3

1, 2

1, 3, 4, 5, 6

4, 5, 6

1, 2

1, 2

1, 2

1, 2, 3, 4, 5

1, 2, 3, 4, 5

1, 2, 3, 5

1, 2

1, 2

1, 2

1, 2, 3

1, 2, 3

1, 2, 3

Career D ev elop men t 1

23

1, 2, 3, 5, 7

4, 5, 6, 81, 2, 4, 8

1, 2

1, 21, 2

1, 2, 3, 4

1, 2, 3, 41, 2, 3, 4

1, 2

1, 21, 2

1, 2

1, 21, 2

Competency-Based

Practices

1

2

3

2, 3, 6, 7

1, 2, 3, 4, 5, 6,

7, 11

8, 9, 10

1, 2

1, 2

1, 2

1, 2, 3, 4, 5

1, 2, 3, 4, 5

1, 2, 3, 4, 5

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

Par t icipa tory Culture 1

2

3

1, 2, 3

4, 5, 6

5, 7, 8, 9

1, 2, 3

1, 2, 3

1, 2, 3

1, 2, 3

1, 2, 3

1, 2, 3

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2







Performed

Commit-

m e n t

Ability Measure-

m e n t

Verifica-

tion

Mentoring 1

2

3

1, 8

2, 3, 4, 7, 10

2, 3, 5, 6, 8, 9,

10

1, 2

1, 2

1, 2

1, 2, 3, 4

1, 2, 3

1, 2, 4

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

Team Bu ild ing 1

2

3

4

5

1, 3, 4, 9

6, 7

8, 10

11, 12, 13, 14

2, 5, 11

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2, 3, 5

1, 2, 3, 5

1, 2, 3, 4, 5

1, 2, 3, 4, 5

1, 2, 3, 4, 5

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

Team-Based Pract ices 1

2

3

4

1, 2, 7, 8, 10,

11

2, 3, 9

3, 4, 5, 6, 9

7, 10, 11

1, 2

1, 2

1, 2

1, 2

1, 2, 3, 4

1, 2, 3, 4

1, 2, 3, 4

1, 2, 3, 4

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

Organizational

Competency

Management

1

2

3

1, 2

3, 4, 6

5

1, 2, 3

1, 2, 3

1, 2, 3

1, 2, 3, 4

1, 2, 3, 4

1, 2, 3, 4

1, 2

1, 2

1, 2

1, 2, 3

1, 2, 3

1, 2, 3

Organizational

Performance

Alignment

1

2

3

1, 2

3, 4, 6

5

1, 2

1, 2

1, 2

1, 2, 3, 4, 5

1, 2, 3, 4, 5

1, 2, 3, 4, 5

1, 2

1, 2

1, 2

1, 2, 3

1, 2, 3

1, 2, 3





Mapp ing of Key Practices to Goals


Performed

Commit-

m e n t

Ability Measure-

m e n t

Verifica-

tion

Personal Competency

Development

1

2

3

1, 2, 3, 4

1, 5, 6, 7, 8, 9

1, 10, 11, 12

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

Coaching 1

2

3

2, 3, 10, 11, 12

1, 4, 5, 6, 7, 8,

9, 11,12

1, 4, 5, 6, 7, 8,

9, 11, 12

1, 2

1, 2

1, 2

1, 2, 3, 4

1, 2, 3, 5

1, 2, 3, 5

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2

Continuous Workforce

Innovation

1

2

3

1, 2, 3, 4, 5, 6,

8

1, 2, 7, 8

1, 2, 3, 7, 8

1, 2

1, 2

1, 2

1, 2, 3, 4

1, 2, 3, 4, 5

1, 2, 3, 4, 5

1, 2

1, 2

1, 2

1, 2

1, 2

1, 2





App end ix E: Change History

Date Version Change Description

August1990

0.0 Conceptual model published [Cur tis90].

October1993

0.1 Version fo r r ev iew by Adv iso ry Boar d .

November1994

0.2 Draft for public review. Vers ion 0.2 dis tr ibuted to theP-CMM Correspon dence Group for review and comm ents.

Ap ril 1995 0.3 Dra ft for p ublic rev iew . Version 0.3 d istribu ted t o th eP-CMM Correspon dence Group for review and comm ents.

September1995

1.0 Baseline version for public r elease .

Table A.5 P-CMM Change History




Change H istory




Change Requ est – People Capability Maturity Model

SEI Assigned T rackin g Nu mb er: ____________Produ ct: P-CMM v1.0

N am e o f Su b m i t t i n g O rga n iz a t ion : __________________________________________

O rga n iza t io n Con tac t : _________________________ Tel ep h on e: _________________

Mailing Address:

D a t e : _ _ _ _ __ _ _ _ __ _ _ _ S h o r t T i t l e : _ _ _ _ __ _ _ _ __ _ _ _ __ _ _ __ _ _ _ __ _ _ _ __ _ _ _ __ _ _ _ _

C h an g e Lo ca t i o n T ag : _ _ _ _ __ _ _ _ __ _ _ _ __ _ _ _ __ _ _ __ _ _ _ __ _ _ _ __ _ _ __ _ _ _ __ _ _ _ __ _ _

(use section #, figure #, key process area ID , practice ID , etc.)

Proposed Change:

Rationale for Chan ge:

maturity model cmu/sei 95 mm 02

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