The SEI Series in Software Engineering

The SEI Series in Software Engineering ■ Human Capital Management

Many of the designations used by manufacturers and sellers to distinguish their products are claimed as trade-marks. Where those designations appear in this book, and the publisher was aware of a trademark claim, the des-ignations have been printed with initial capital letters or in all capitals.

CMM, CMMI, Capability Maturity Model, Capability Maturity Modeling, Carnegie Mellon, CERT, and CERTCoordination Center are registered in the U.S. Patent and Trademark Office by Carnegie Mellon University.

ATAM; Architecture Tradeoff Analysis Method; CMM Integration; COTS Usage-Risk Evaluation; CURE;EPIC; Evolutionary Process for Integrating COTS Based Systems; Framework for Software Product LinePractice; IDEAL; Interim Profile; OAR; OCTAVE; Operationally Critical Threat, Asset, and VulnerabilityEvaluation; Options Analysis for Reengineering; Personal Software Process; PLTP; Product Line TechnicalProbe; PSP; SCAMPI; SCAMPI Lead Appraiser; SCAMPI Lead Assessor; SCE; SEI; SEPG; Team SoftwareProcess; and TSP are service marks of Carnegie Mellon University.

Special permission to reproduce the People Capability Maturity Model, Version 2.0 (CMU/SEI-2001-MM-001),© 2001 by Carnegie Mellon University, has been granted by the Software Engineering Institute.

The authors and publisher have taken care in the preparation of this book, but make no expressed or implied war-ranty of any kind and assume no responsibility for errors or omissions. No liability is assumed for incidental or con-sequential damages in connection with or arising out of the use of the information or programs contained herein.

The publisher offers excellent discounts on this book when ordered in quantity for bulk purchases or specialsales, which may include electronic versions and/or custom covers and content particular to your business, train-ing goals, marketing focus, and branding interests. For more information, please contact: U.S. Corporate andGovernment Sales, (800) 382-3419, [email protected].

For sales outside the United States please contact: International Sales, [email protected].

Visit us on the Web: informit.com/aw

Cataloging-in-Publication Data is on file with the Library of Congress.

Copyright © 2010 Pearson Education, Inc.

All rights reserved. Printed in the United States of America. This publication is protected by copyright, and per-mission must be obtained from the publisher prior to any prohibited reproduction, storage in a retrieval system,or transmission in any form or by any means, electronic, mechanical, photocopying, recording, or likewise. Forinformation regarding permissions, write to:

Pearson Education, IncRights and Contracts Department501 Boylston Street, Suite 900Boston, MA 02116Fax (617) 671-3447

ISBN-13: 978-0-321-55390-4ISBN-10: 0-321-55390-XText printed in the United States on recycled paper at Hamilton Printing Co. in Castleton, New York.First printing, July 2009

xi

Preface

The Need for an Agile Workforce

Organizations are now competing in two markets, one for their products and services and onefor the talent required to produce or perform them. An organization’s success in its businessmarkets is determined by its success in the talent market. At the very time that business mar-kets are fluctuating, talent markets seem to be shrinking. As the knowledge required to buildproducts and to deliver services increases, the retention of experienced employees becomescritical to improving productivity and time to market. In areas such as software developmentand nursing, the shortage of talent is so great that companies are beginning to offer incentivesthat were once available only to executives or professional athletes. In every domain of busi-ness, executives know that their ability to compete is directly related to their ability to attract,develop, motivate, organize, and retain talented people.

Yet the people-related challenges of the business stretch far beyond recruiting and re-tention. Competing for talent and recruiting the best is not enough, and focusing just on win-ning the “talent wars” can be damaging to the organization [Pfeffer 01]. As agility inresponding to continual change in technological and business conditions has become criticalto success, organizations must strive to create learning environments capable of rapidly ad-justing to the changes engulfing them. A critical component of agility is a workforce with theknowledge and skills to make rapid adjustments and the willingness to acquire new compe-tencies. In fact, an agile workforce may reduce some of the stress currently being experi-enced as a talent shortage.

Organizations have attempted to apply many different techniques in their efforts tomove toward strategic human capital management. They combine downsizing with restruc-turing, apply reengineering or process improvement, clearly communicate the organization’smission, improve information sharing, institute employee involvement programs, establishformal complaint-resolution procedures, institute gain-sharing or other incentive plans, em-phasize the importance of training the workforce, formalize performance management andfeedback processes, perform job or work analysis and design, support job rotation, begin toestablish team-based work designs, retrain employees to meet changing demands, provideflexible work arrangements, address diversity issues, conduct formal mentoring programs,and align business and human resource strategies [Becker 96, Becker 98, Mirvis 97]. Whatmany organizations lack is a framework for implementing these advanced practices.

People Capability Maturity Model Framework

The People Capability Maturity Model (People CMM) is a tool to help you successfully ad-dress the critical people issues in your organization. The People CMM employs the processmaturity framework of the highly successful Capability Maturity Model for Software (SW-CMM) [Carnegie Mellon University 95] as a foundation for a model of best practices for man-aging and developing an organization’s workforce. Version 2 of the People CMM wasdesigned to be consistent with CMMI [CMMI 00, Chrissis 06]. The Software CMM and, morerecently, CMMI-DEV have been used by software organizations around the world to guidedramatic improvements in their ability to enhance productivity and quality, reduce costs andtime to market, and increase customer satisfaction. Based on the best current practices infields such as human resources, knowledge management, and organizational development,the People CMM guides organizations in improving their processes for managing and devel-oping their workforce. The People CMM helps organizations characterize the maturity of theirworkforce practices, establish a program of continuous workforce development, set prioritiesfor improvement actions, integrate workforce development with process improvement,and establish a culture of excellence. Since its release in 1995, thousands of copies of thePeople CMM have been distributed, and it is used by small and large organizations in manyindustries and market sectors worldwide—Pfizer, Intel, IBM, Boeing, BAE SYSTEMS, Ac-centure, Tata Consultancy Services, Ericsson, Samsung, Lockheed Martin, Club Mahindra,HCL, Novo Nordisk, and Pershing, to name a few.

The People CMM consists of five maturity levels that establish successive foundationsfor continuously improving individual competencies, developing effective teams, motivatingimproved performance, and shaping the workforce an organization needs to accomplish itsbusiness plans. Each maturity level is a well-defined evolutionary plateau that institutional-izes new capabilities for developing the organization’s workforce. By following the maturityframework, an organization can avoid introducing workforce practices that its employees areunprepared to implement effectively.

Structure of This Book

This book describes the People CMM, the practices that constitute each of its maturity lev-els, and information on how to apply it in guiding organizational improvements. It describesan organization’s capability for developing its workforce at each maturity level. It describeshow the People CMM can be applied as a standard for assessing workforce practices and asa guide in planning and implementing improvement activities. This book provides guidanceon how to interpret its practices. It also presents case studies of organizations that have usedthe People CMM.

The first part of the book describes the rationale and evolution of the People CMM, theconcepts of process maturity, the structure of the model, and how to interpret and apply themodel’s practices; case studies of results are also here. The second part of the book containsthe practices of the People CMM—the individual, managerial, and organizational practicesthat contribute to maturing workforce capability. These practices describe an evolutionaryimprovement path from ad hoc, inconsistently performed practices, to a mature, disciplined,continual development of a workforce having the workforce competencies needed to excel

xii Preface

at performing the organization’s mission. The third and final part of this book contains theappendices. Each part is described in the following section.

The Content of the People CMM

Part One, The People Capability Maturity Model Overview: Background, Concepts, Struc-tures, and Usage, consists of ten chapters.

■ Chapter 1, The Process Maturity Framework, offers a broad view of the model; de-scribes how the People CMM establishes an integrated system of workforce practicesthat matures through increasing alignment with the organization’s business objectives,performance, and changing needs; and provides background on the process maturityframework adopted by the People CMM.

■ Chapter 2, Increasing Organizational Capability through the People CMM, describesthe maturity levels, or evolutionary plateaus, at which the organization’s practices havebeen transformed to achieve a new level of organizational capability, and presents a de-scription of the characteristic behaviors of organizations at each maturity level.

■ Chapter 3, People CMM Process Areas, introduces the process areas in the model.

■ Chapter 4, The Architecture of the People CMM, describes the components of themodel, including maturity levels, goals, and practices, which ensure that the imple-mentation of process areas is effective, repeatable, and lasting. It introduces the typo-graphical conventions used throughout the model.

■ Chapter 5, Relationships among Process Areas, addresses common areas of concern thatthe People CMM was designed to address and how these areas transform as the organi-zation transitions to higher levels of organizational capability.

■ Chapter 6, Interpreting the People CMM, provides insight into the meaning of themodel for your organization.

■ Chapter 7, Using the People CMM, explains the ways in which your organization canuse the model.

■ Chapter 8, Using SCAMPI with People CMM, explains the ways in which your orga-nization can perform People CMM-based appraisals of your organization’s practicesusing the SCAMPI appraisal method.

■ Chapter 9, Experience with the People CMM, presents data regarding experiences withthe People CMM.

■ Chapter 10, Case Studies in Applying the People CMM, examines several case studies.

Part Two, Process Areas of the People Capability Maturity Model, describes the prac-tices that correspond to each maturity level in the People CMM. It is an elaboration of whatis meant by maturity at each level of the People CMM and a guide that can be used for or-ganizational improvement and appraisal. For those who want to get a quick sense of thepractices, without the rigor to apply them, an abridged version of the practices is providedin Appendix D.

Preface xiii

Each maturity level provides a layer in the foundation for continuous improvement ofthe organization’s workforce capability. Achieving each level of the maturity model institu-tionalizes different components, resulting in an overall increase in the workforce capabilityof the organization. Each process area comprises a set of goals that, when satisfied, stabilizean important component of workforce capability. Each process area is described in terms ofthe practices that contribute to satisfying its goals. The practices describe the infrastructureand activities that contribute most to the effective implementation and institutionalization ofthe process area.

Each section in Part Two presents the process areas within each of these maturity levels:

■ The Managed Level: Maturity Level 2

■ The Defined Level: Maturity Level 3

■ The Predictable Level: Maturity Level 4

■ The Optimizing Level: Maturity Level 5

The four appendices of the People CMM are as follows.

■ Appendix A, References, provides full citations to any information cited in thePeople CMM.

■ Appendix B, Acronyms, spells out the acronyms used in the People CMM.

■ Appendix C, Glossary of Terms, defines the terms that are not adequately defined inthe context of this model by the Webster’s American English dictionary.

■ Appendix D, Practice-to-Goal Mappings for People CMM Process Areas, describesthe maturity levels and the process areas that correspond to each maturity level of thePeople CMM, and the purpose, goals, and practices of each process area. This viewof the model is convenient when you want to quickly understand the content and flow oflarge portions of the model or if you are intimately familiar with it.

Changes in the Second Edition

Based on continuing feedback and experience from use around the globe in many industriesand settings, this second edition of the People CMM has been prepared. The second editionis an update to the People CMM, Version 2. This second edition updates informative mate-rial within the People CMM and its subpractices and provides new information regarding thecontinuing global use of the People CMM.

Informative materials updated in this edition include the content of many practices in thePeople CMM. These changes are emphasized at the higher levels of organizational and work-force capability, as experience with the use of the People CMM has provided additional insightsinto the successful implementation of these high-maturity practices. Process areas whose in-formative materials have been significantly enhanced were updated based on many experiencesin implementing the People CMM, especially in high-maturity organizations. These processareas are Competency Integration, Quantitative Performance Management, and OrganizationalCapability Management at the Predictable Level, and Continuous Capability Improvement atthe Optimizing Level. Additionally, the informative material for Verifying ImplementationPractices has been enhanced in many process areas.

xiv Preface

Since the release of the first edition, use of the People CMM around the world has in-creased substantially. A new Chapter 10 has been added to this edition to present eight casestudies of People CMM adoption across a number of industries, ranging from hospitality andservices to high technology and pharmaceuticals. Chapter 8 has also been added to de-scribe the Standard CMMI Appraisal Method for Process Improvement (SCAMPI) withPeople CMM. SCAMPI with People CMM is the only appraisal method supported by theSEI for use with the People CMM.

Audience

This book is addressed to anyone involved in the workplace, but especially those responsi-ble for developing and implementing human capital management strategies and plans intheir organizations, managing or developing the workforce, implementing advanced work-force practices, nurturing teams, and transforming organizational culture. It is especiallyuseful for businesses undergoing critical organizational changes, such as downsizing, amerger, rapid growth, and change of ownership, or just surviving and thriving in today’s tu-multuous business conditions. It contains useful information for managers and supervisorswho want guidance for managing their people, providing opportunities for individual devel-opment and growth, and effectively managing their knowledge assets. This book will help in-dividuals trying to improve the workforce practices of their organizations, as well as thoseattempting to appraise the maturity of these practices in organizations. This book will provideguidance for chief resource officers (CROs), human resources professionals and their orga-nizations, and others looking to make or strengthen the connections between human re-sources functions and those in the workforce—individuals seeking growth and futureopportunities, front-line managers seeking to effectively motivate and retain their workforce,and executive management seeking to address workforce issues in the face of changing de-mographics, labor markets, and business changes.

This book complements Watts Humphrey’s Managing Technical People [Humphrey97a] by formalizing and expanding the maturity framework described in that book. It alsocomplements CMMI®, Second Edition [Chrissis 06], by addressing the workforce improve-ment practices necessary to ensure long-term continual improvement in software and systemsorganizations. While the People CMM complements CMMI, its applicability has beenproven to not be limited to systems or software-intensive organizations, as it has been appliedin many industry sectors including hospitality, construction, banking, financial and insur-ance, energy and utilities, pharmaceuticals, business process outsourcing, high tech, infor-mation technology (IT), consulting services, government agencies, and not-for-profits. ThePeople CMM practices have been applied in many organizations and can be applied in anyorganization, regardless of its business focus, size, or location.

This book does not describe all of the work being done by the authors or the Software En-gineering Process Management Program of the Software Engineering Institute (SEI) atCarnegie Mellon University. For instance, the SEI supports a People CMM Lead AppraiserTrack within the SEI Appraisal Program to ensure an adequate supply of experts for conduct-ing SCAMPI with People CMM Appraisals. The SEI Appraisal Program oversees the qualityand consistency of the SEI’s process appraisal technology and encourages its effective use. TheStandard CMMI Appraisal Method for Process Improvement (SCAMPI) is designed to provide

Preface xv

benchmark-quality ratings relative to CMMI models. SCAMPI with People CMM appraisalsare designed to provide benchmark organizational ratings relative to the People CMM.

For further information regarding the SEI, its work, or any of its associated productscontact:

SEI Customer RelationsSoftware Engineering InstituteCarnegie Mellon University4500 Fifth Ave.Pittsburgh, PA 15213-2612 USATel: +1-412-268-5800Fax: +1-412-268-6257E-mail: [email protected]: www.sei.cmu.edu, and http://seir.sei.cmu.edu/seir

The SEI maintains a listing of authorized People CMM Lead Appraisers on its Web site—www.sei.cmu.edu/cmm-p/directory.html. For more information about the People CMM LeadAppraiser Track within the SEI Appraisal Program or training on the People CMM contact:

SEI Customer RelationsSoftware Engineering InstituteCarnegie Mellon University4500 Fifth Ave.Pittsburgh, PA 15213-2612 USATel: +1-412-268-5800Fax: +1-412-268-6257E-mail: [email protected]: www.sei.cmu.edu, and http://seir.sei.cmu.edu/seir

Dr. Bill Curtis, P.O. Box 126079, Fort Worth, Texas 76126-0079 USA (+1-817-228-2994); e-mail: [email protected].

Dr. Bill Hefley, Pinnacle Global Management, LLC (+1-724-935-8177);e-mail: [email protected].

Feedback Information

The People CMM is a living document, shaped by the needs of organizations’ rapidly evolv-ing workplaces. More than 400 change requests helped shape this version of the People Ca-pability Maturity Model.

The SEI continues to solicit feedback from its customers. We are very interested in yourideas for improving these products. You can help. For information on how to provide feed-back, see the SEI Web site, www.sei.cmu.edu/cmm-p/version2/index.html.

xvi Preface

www.sei.cmu.edu

http://seir.sei.cmu.edu/seir

www.sei.cmu.edu/cmm-p/directory.html

www.sei.cmu.edu

http://seir.sei.cmu.edu/seir

www.sei.cmu.edu/cmm-p/version2/index.html

19

2Increasing OrganizationalCapability through the People CMM

2.1 Maturity Levels in the People CMM

A Capability Maturity Model (CMM) is constructed from the essential practices of one or moredomains of organizational process. The People CMM concerns the domain of workforce man-agement and development. A CMM describes an evolutionary improvement path from an adhoc, immature process to a disciplined, mature process with improved quality and effectiveness.

All CMMs are constructed with five levels of maturity. A maturity level is an evolution-ary plateau at which one or more domains of the organization’s processes have been trans-formed to achieve a new level of organizational capability. A maturity level consists of relatedpractices for a predefined set of process areas that improve the organization’s overall perfor-mance. Thus, an organization achieves a new level of maturity when a system of practices hasbeen established or transformed to provide capabilities and results the organization did nothave at the previous level. The method of transformation is different at each level, and requirescapabilities established at earlier levels. Consequently, each maturity level provides a foun-dation of practices on which practices at subsequent maturity levels can be built. In order tobe a true CMM, the maturity framework underlying a model must use the principles estab-lished in the process maturity framework for transforming the organization at each level.

Maturity Level A maturity level represents a new level of organizational capability created bythe transformation of one or more domains of an organization’s processes.

Capability A Capability Maturity Model is an evolutionary roadmap for imple-Maturity Model menting the vital practices from one or more domains of organizational(CMM) process (see Appendix C for definitions of terms).

The People CMM applies the principles of the process maturity framework to the do-main of workforce practices. Each of the People CMM’s five maturity levels represents a dif-ferent level of organizational capability for managing and developing the workforce. Eachmaturity level provides a layer in the foundation for continuous improvement and equips theorganization with increasingly powerful tools for developing the capability of its workforce.The nature of the transformation imposed on the organization’s workforce practices toachieve each level of maturity is depicted in Figure 2.1.

2.2 Behavioral Characteristics of Maturity Levels

The People CMM stages the implementation of increasingly sophisticated workforce practicesthrough these maturity levels. With the exception of the Initial Level, each maturity level ischaracterized by a set of interrelated practices in critical areas of workforce management.When institutionalized and performed with appropriate regularity, these workforce practicescreate new capabilities within the organization for managing and developing its workforce.

2.2.1 The Initial Level: Maturity Level 1

Organizations at the Initial Level of maturity usually have difficulty retaining talented in-dividuals. Even though many low-maturity organizations complain about a talent shortage,

20 The People Capability Maturity Model Overview: Background, Concepts, Structure, and Usage

FIGURE 2.1The five maturity levels of the People CMMSource: Adapted from Humphrey [1989] and Carnegie Mellon University [1995] with permission.

Level 1Initial

InconsistentManagement

Level 2Managed

PeopleManagement

Level 3Defined

CompetencyManagement

Level 4Predictable

CapabilityManagement

Level 5Optimizing

ChangeManagement

ContinuouslyImprovingPractices

Measured andEmpoweredPractices

Competency-BasedPractices

RepeatablePractices

the inconsistency of their actions belies whether they actually believe it [Rothman 01].Low-maturity organizations are poorly equipped to respond to talent shortages with anythingother than slogans and exhortations. Despite the importance of talent, workforce practices inlow-maturity organizations are often ad hoc and inconsistent. In some areas, the organizationhas not defined workforce practices, and in other areas, it has not trained responsible indi-viduals to perform the practices that exist. Organizations at the Initial Level typically exhibitfour characteristics:

1. Inconsistency in performing practices

2. Displacement of responsibility

3. Ritualistic practices

4. An emotionally detached workforce

Generally managers and supervisors in low-maturity organizations are ill prepared toperform their workforce responsibilities. Their management training is sparse and, when pro-vided, tends to cover only those workforce practices with the greatest legal sensitivity. Theorganization may typically provide forms for guiding workforce activities such as perfor-mance appraisals or position requisitions. However, too often little guidance or training is of-fered for conducting the activities supported by these forms. Consequently, managers are leftto their own devices in most areas of workforce management.

Low-maturity organizations implicitly assume that management skill either is innate oris acquired by observing other managers. However, if managers are inconsistent in manag-ing their people, nascent managers will be learning from inconsistent role models. Manage-ment capability should ultimately be defined as a competency, just like other critical skill setsthat are required by the organization. However, in launching People CMM-based improve-ments, managers must be held accountable for performing basic workforce practices eventhough their personal methods for performing them may differ.

Since low-maturity organizations rarely clarify the responsibilities of managers, incon-sistencies are to be expected. Consequently, the way people are treated depends largely onpersonal orientation, experience, and the individual “people skills” of their managers, super-visors, or team leaders. Although some managers perform their workforce responsibilitiesdiligently, others perform some workforce activities with little forethought and ignore otherresponsibilities altogether. Studies have consistently shown that one of the major causes forvoluntary turnover is related to individuals’ relationships with their managers or supervisors[Buckingham 99].

Managers in low-maturity organizations rarely share a common vision about the fun-damental responsibilities of management. They perceive management to be about producingresults, not about producing people who produce results. Although managers in low-maturityorganizations accept responsibility for the performance of their unit, many do so without un-derstanding how to manage the collective performance of those in the unit. In particular, theyoften lack skill and place little emphasis on evaluating and improving the capability and per-formance of people who report to them.

Many managers in low-maturity organizations consider workforce activities to be“administrivia”—something less than the real work of managers. As a consequence of thisattitude, workforce activities such as performance appraisals and job candidate interviews are

Chapter 2 Increasing Organizational Capability through the People CMM 21

often performed hastily without adequate preparation. Responsibility for other workforcepractices such as recruiting for open positions and identifying training needs are displaced toHuman Resources or other staff groups. This displacement reflects a refusal to accept per-sonal responsibility for the capability of the unit or the people in it. These actions are char-acteristic of managers who have not been properly prepared for their responsibilities inmanaging people.

If an organization does not establish clear policies for managing its workforce, it shouldnot be surprised when some managers hold attitudes more characteristic of an era when un-skilled workers were considered interchangeable. Although these attitudes are counterpro-ductive in knowledge-intense organizations, many managers have come from educationalenvironments where they focused intently on developing their own skills and were not re-warded for developing the skills of others. From the perspective of the People CMM, indi-viduals own responsibility for developing their knowledge and skills. However, managersown responsibility for ensuring that the people in their unit have the skills required to per-form their work and for providing opportunities to develop these skills.

In immature organizations, many workforce practices are performed with little or noanalysis of their impact. Recruiting campaigns, classroom training, and bonuses are amongthe many practices that are performed more as a ritual of organizational life than as processesthat have been designed to achieve specific and measurable results. In the worst case, the fail-ure to evaluate workforce practices ensures the failure to detect occasions when their impactis counterproductive to their intended effect. Consequently, ritualism can be as damaging toorganizational effectiveness as inconsistency.

When an organization fails to proactively develop its workforce, career-oriented peoplepursue their own agendas. Mediocre performance and high turnover are typical when orga-nizations provide few financial or career incentives for individuals to align themselves withthe organization’s business objectives. Loyalty declines when individuals do not perceive theorganization to be a vehicle by which they will achieve their career aspirations. In these cir-cumstances individuals perceive the organization as an opportunity for developing specificskills that, once developed, will be used to pursue career opportunities elsewhere.

Constant churn in the workforce diminishes its capability. Although some turnover, orvoluntary attrition, may be necessary or even beneficial, high turnover limits the level of skillavailable in the workforce, thereby limiting an organization’s ability to improve its perfor-mance. Improvement programs guided by the People CMM are often initiated when an or-ganization faces a talent shortage exacerbated by an inability to attract or retain talentedindividuals. The first step in changing this state of affairs is to get managers to take respon-sibility for the capability and development of those who report to them.

2.2.2 The Managed Level: Maturity Level 2

The workforce practices implemented at the Managed Level focus on activities at the unitlevel. The first step toward improving the capability of the workforce is to get managers totake workforce activities as high-priority responsibilities of their job. They must accept per-sonal responsibility for the performance and development of those who perform the unit’swork. The practices implemented at Maturity Level 2 focus a manager’s attention on unit-level issues such as staffing, coordinating commitments, providing resources, managing


performance, developing skills, and making compensation decisions. Building a solid foun-dation of workforce practices in each unit provides the bedrock on which more sophisticatedworkforce practices can be implemented at higher levels of maturity.

An important reason to concentrate initially on practices at the unit level is founded onthe frequent failure of organization-wide improvement programs. These programs often failbecause they were thrust on an unprepared management team. That is, managers were strug-gling with problems that were not addressed by organizational changes. They often lackedthe experience and skill needed to implement sophisticated practices. Consequently, Matu-rity Level 2 focuses on establishing basic practices in units that address immediate problemsand prepare managers to implement more sophisticated practices at higher levels. It is diffi-cult to implement organization-wide practices if managers are not performing the basicworkforce practices required to manage their units.

Focusing at the unit level first also establishes a foundation in managing performancethat can be enhanced with more sophisticated practices at higher levels. If people are unableto perform their assigned work, sophisticated workforce practices will be of little benefit toindividuals or the organization. In a Maturity Level 2 organization, managers are vigilant forproblems that hinder performance in their units. Frequent problems that keep people fromperforming effectively in low-maturity organizations include

■ Work overload

■ Environmental distractions

■ Unclear performance objectives or feedback

■ Lack of relevant knowledge or skill

■ Poor communication

■ Low morale

The effort to ensure that workforce practices are performed in each unit begins when ex-ecutive management commits the organization to continuously improve the knowledge,skills, motivation, and performance of its workforce. Executive management manifests thesecommitments in policies and provides the resources needed to support unit-level implemen-tation of basic workforce practices. Executive management reinforces this commitment byperforming basic workforce practices with their immediate reports and by subsequently hold-ing all managers accountable for the performance of workforce practices in their respectiveunits.

Through policies and accountability, executive management communicates that man-agers are to accept personal responsibility for ensuring that workforce practices are imple-mented effectively in their units. Individuals responsible for performing workforce practicesare expected to develop repeatable methods for activities such as interviewing job candidatesor providing performance feedback. Although managers may perform workforce activitiesdifferently, people in a unit are able to develop consistent expectations about how they willbe treated. In addition, the regularity with which practices are performed in each unit, re-gardless of the method or style, is the first step in creating greater consistency across the or-ganization.

In applying the People CMM, it is important to distinguish between management andmanagers. There are responsibilities that need to be managed and there are people called


managers, but there is no required one-to-one mapping between them. Although we oftenrefer to “managers” in describing responsibilities for workforce practices at Maturity Level2, these practices could be performed by team leaders, human resources specialists, trainers,peers, or others depending on how responsibilities are allocated within the organization. Atany level of maturity, some, perhaps many, workforce practices may be performed by indi-viduals or groups who are not “managers.” As the organization matures beyond MaturityLevel 2, an increasing number of workforce practices will be performed by someone otherthan a manager.

As an organization achieves Maturity Level 2, units become stable environments forperforming work. Units are able to balance their commitments with available resources.They can manage their skill needs, both through acquiring people with needed skills andthrough developing the skills of those already in the unit. Managers are focused on manag-ing individual performance and coordinating individual contributions into effective unit per-formance. At Maturity Level 2, an organization’s capability for performing work is bestcharacterized by the capability of units to meet commitments. This capability is achieved byensuring that people have the skills needed to perform their assigned work and that perfor-mance is regularly discussed to identify actions that can improve it. Measurements of statusand performance of these workforce activities provide management with a means of moni-toring and ensuring appropriate performance of workforce practices.

One of the first benefits organizations experience when they implement improvementsguided by the People CMM is a reduction in voluntary turnover. At Maturity Level 2, thePeople CMM addresses one of the most frequent causes of turnover—poor relations with theimmediate supervisor. When people begin to see a more rational work environment emergein their unit, their motivation to stay with the organization is enhanced. As their developmentneeds are addressed, they begin to see the organization as a vehicle through which they canachieve their career objectives.

2.2.3 The Defined Level: Maturity Level 3

Organizations at the Managed Level find that, although they are performing basic workforcepractices, there is inconsistency in how these practices are performed across units and littlesynergy across the organization. The organization misses opportunities to standardize work-force practices because the common knowledge and skills necessary to conduct its businessactivities have not been identified. At Maturity Level 2, units are identifying critical skills todetermine qualifications for open positions, evaluate training needs, and provide perfor-mance feedback. However, there is no requirement at Maturity Level 2 for identifying com-mon attributes among these skills across units or for determining the practices that are mosteffective in developing them.

Once a foundation of basic workforce practices has been established in the units, thenext step is for the organization to develop an organization-wide infrastructure building onthese practices that ties the capability of the workforce to strategic business objectives. Theprimary objective of the Defined Level is to help an organization gain a competitive advan-tage by developing the various competencies that must be combined in its workforce to ac-complish its business activities. These workforce competencies represent the critical pillarsthat support the strategic business plan; their absence poses a severe risk to strategic business


objectives. In tying workforce competencies to current and future business objectives, theimproved workforce practices implemented at Maturity Level 3 become critical enablers ofbusiness strategy.

The concept of workforce competencies implemented in the People CMM differs fromthe concept of “core competency” popularized by Prahalad and Hamel [Prahalad 90]. Corecompetency refers to an organization’s combination of technology and production skills thatcreate its products and services and provide its competitive advantage in the marketplace. Inthe People CMM, workforce competencies reside one level of abstraction below an organi-zation’s core competency, as shown in Figure 2.2. Each workforce competency represents adistinct integration of the knowledge, skills, and process abilities required to perform someof the business activities that contribute to an organization’s core competency. The range ofworkforce competencies an organization must integrate depends on the breadth and type ofbusiness activities that comprise its core competencies. Therefore, these workforce compe-tencies are a strategic underpinning of the organization’s core competencies.

By defining process abilities as a component of a workforce competency, the People CMMbecomes linked with the process frameworks established in other CMMs and with otherprocess-based methods, such as business process reengineering. A process ability isdemonstrated by performing the competency-based processes appropriate for someone atan individual’s level of development in the workforce competency. To define the processabilities incorporated in each workforce competency, the organization defines the compe-tency-based processes that an individual in each workforce competency would be expectedto perform in accomplishing his or her committed work. Within a workforce competency, acompetency-based process defines how individuals apply their knowledge, perform their


FIGURE 2.2Hierarchy of competency abstractions

Core Competencies

Workforce Competencies

Knowledge, Skills,and Process Abilities

skills, and apply their process abilities in the context of the organization’s defined workprocesses. Individual competency denotes the combination of knowledge, skills, and processabilities an individual possesses, which may be related to performing tasks or roles for the or-ganization, as shown in Figure 2.3.

At Maturity Level 3, the organization builds an organization-wide framework of work-force competencies that establishes the architecture of the organization’s workforce. Eachworkforce competency is an element of the workforce architecture, and dependencies amongcompetency-based processes describe how these architectural elements interact. Thus, the ar-chitecture of the workforce must become an element of the strategic business plan. Work-force practices become mechanisms through which this architecture is continually realignedwith changes in business objectives. The architecture of the organization’s workforce mustevolve as business conditions and technologies change.

Because workforce competencies are strategic, the organization must develop strategicworkforce plans for ensuring the required capability in each of its current or anticipatedworkforce competencies. These plans identify the actions to be taken in acquiring and de-veloping the level of talent needed in each workforce competency. The People CMM makesno assumption about whether the organization sustains these workforce competencies in-ternally or acquires them through partnerships, alliances, independent contracting, or out-sourcing.


FIGURE 2.3Individual competency comprises the knowledge, skills, and process abilities an individualpossesses

Individual Competency

The members of the organization’s workforce who share the knowledge, skills, andprocess abilities of a particular workforce competency constitute a competency community.The aggregated level of knowledge, skills, and process abilities available in a competencycommunity determines an organization’s capability in that workforce competency. The capa-bility of an organization’s business processes is, in part, determined by the extent to whichcompetency communities can translate their collective knowledge, skills, and process abilitiesinto work performance. Maturity Level 3 establishes the infrastructure for defining measuresof capability, in preparation for capability being quantitatively managed at Maturity Level 4.

At the Defined Level, the organization adapts its workforce practices to its business needsby focusing them on motivating and enabling development in its workforce competencies.Once workforce competencies are defined, training and development practices can be moresystematically focused on developing the knowledge, skills, and process abilities that composethem. Further, the existing experience in the workforce can be organized to accelerate the de-velopment of workforce competencies of people of lesser skill and experience. Graduated ca-reer opportunities are defined around increasing levels of capability in workforce competencies.The graduated career opportunities motivate and guide development of individuals. The orga-nization’s staffing, performance management, compensation, and other workforce practices areadapted to motivate and support development in workforce competencies.

When the processes to be performed by each workforce competency are defined, the or-ganization has a new foundation for developing workgroups. Competency-based processesform a basis for defining workgroup roles and operating processes. Rather than relying onlyon the interpersonal coordination skills developed at Maturity Level 2, workgroups can noworganize themselves by tailoring and applying standard competency-based processes. Theability to use defined processes simplifies coordination in the workgroup, since it no longerrests solely on the interpersonal skills of group members to determine how to manage theirmutual dependencies.

Competent professionals demand a level of autonomy in performing their work. To bestuse the abilities of competent professionals, the organization must create an environment thatinvolves people in decisions about their business activities. Decision-making processes areadjusted to maximize the level of competency applied to decisions, while shortening the timerequired to make them. Individuals and workgroups are given the business and performanceinformation they need to make competent decisions. A participatory culture enables an or-ganization to gain maximum benefit from the capability of its workforce competencies whileestablishing the environment necessary for empowering workgroups.

A common organizational culture typically develops as the organization achieves theDefined Level. This culture is best described as one of professionalism, since it is built fromcommon understanding of the knowledge and skills that need to be developed to achieve su-perior levels of performance and a definition of the competency-based processes that such in-dividuals perform. Since these workforce competencies are strategic to the business, theorganization reinforces their importance by developing and rewarding them. As a result, theentire workforce begins to share responsibility for developing increasing levels of capabilityin the organization’s workforce competencies. The workforce practices that were imple-mented at Maturity Level 2 are now standardized and adapted to encourage and rewardgrowth in the organization’s workforce competencies.


2.2.4 The Predictable Level: Maturity Level 4

An organization at the Defined Level has established an organizational framework for de-veloping its workforce. At the Predictable Level, the organization manages and exploits thecapability created by its framework of workforce competencies. This framework is sustainedthrough formal mentoring activities. The organization is now able to manage its capabilityand performance quantitatively. The organization is able to predict its capability for per-forming work because it can quantify the capability of its workforce and of the competency-based processes they use in performing their assignments.

There are at least three ways in which the framework of workforce competencies en-ables the organization to more fully use the capabilities of its workforce. First, when com-petent people perform their assignments using proven competency-based processes,management trusts the results they produce. This trust enables the organization to preservethe results of performing competency-based processes and develop them as organizationalassets to be reused by others. In essence, people trust the asset because they trust the meth-ods through which it was produced. When these assets are created and used effectively,learning spreads rapidly through the organization and productivity rises when reuse replacesredevelopment.

Second, this trust also gives managers the confidence they need to empower work-groups. Managers will transfer responsibility and authority for committed work into work-groups only if they believe the members of the workgroup are competent to perform the workand use processes that have been proven effective. When the organization achieves MaturityLevel 3, the conditions required for empowerment—competent people, effective processes,and a participatory environment—are established. In achieving Maturity Level 4, manage-ment senses less risk in empowering workgroups and is willing to delegate increasinglygreater levels of authority for managing day-to-day operations and for performing some oftheir own workforce practices. Increasingly free of managing operational details, managersat Maturity Level 4 are able to turn their attention to more strategic issues.

Third, when members of each workforce competency community have mastered theircompetency-based processes, the organization is able to integrate different competency-basedprocesses into a single multidisciplinary process. At Maturity Level 3, individuals performingdifferent competency-based processes manage their mutual dependencies by defining pointsof coordination. However, their competency-based work is performed largely in isolation, in-dependent of each other’s competency-based processes. However, when competency-basedprocesses have been institutionalized, the organization can begin to integrate different com-petency-based processes into a multidisciplinary process that better integrates the work of sev-eral workforce competencies. An example would be the integration of software and hardwaredesign processes into a single product design process in which the different competency-basedprocesses are interwoven at every point where they share a potential dependency. Such mul-tidisciplinary processes have proven to accelerate business results.

In addition to exploiting the possibilities enabled by the competency framework, the or-ganization begins to manage its capability quantitatively. Within each unit or workgroup, theperformance of competency-based processes most critical for accomplishing business ob-jectives is measured. These measures are used to establish process performance baselinesthat can be used to manage competency-based processes and assess the need for corrective


action. The creation and use of these baselines and associated measures is similar to themethods that underlie Six Sigma programs [Harry 00, Pande 00]. Although Six Sigma tech-niques can be used at any level of maturity, the full sophistication of a Six Sigma approachis best enabled at Maturity Level 4. Members of a competency community have immediatedata for evaluating their performance and deciding on the need for corrective actions. Theimmediate availability of process performance data also contributes to the rationale for em-powering workgroups to manage their business activities.

The organization uses the data generated by competency-based processes to establishprocess capability baselines for its critical competency-based processes. These baselinescan be used for planning, for targeting improvements, and for predicting the organization’scapacity for work. The organization evaluates the impact of workforce practices and activ-ities on the capability of competency-based processes and takes corrective action whennecessary. Process capability baselines and associated analyses are used as inputs for work-force planning.

The combined availability of workforce capability baselines and process capabilitybaselines for competency-based processes enables both unit and organizational performanceto become more predictable. These data allow management to make more accurate predic-tions about performance and better decisions about tradeoffs involving workforce capabilityor process performance issues. The quantitative management capabilities implemented atMaturity Level 4 provide management with better input for strategic decisions, while en-couraging delegation of operational details to people close to the processes.

2.2.5 The Optimizing Level: Maturity Level 5

At the Optimizing Level, the entire organization is focused on continual improvement. Theseimprovements are made to the capability of individuals and workgroups, to the performanceof competency-based processes, and to workforce practices and activities. The organizationuses the results of the quantitative management activities established at Maturity Level 4 toguide improvements at Maturity Level 5. Maturity Level 5 organizations treat change man-agement as an ordinary business process to be performed in an orderly way on a regular basis.

Although several individuals may be performing identical competency-based processes,they frequently exhibit individual differences in the methods and work styles they use to per-form their assignments. At Maturity Level 5, individuals are encouraged to make continuousimprovements to their personal work processes by analyzing their work and making neces-sary process enhancements. Similarly, workgroups are composed of individuals who havepersonalized work processes. To improve the capability of the workgroup, each person’swork processes must be integrated into an effective operating procedure for the workgroup.Improvements at the individual level should be integrated into improvements in the work-group’s operating process. Mentors and coaches can be provided to guide improvements atboth the individual and workgroup levels. Simultaneously, the organization continually seeksmethods for improving the capability of its competency-based processes.

Although individuals and workgroups continually improve their performance, the organi-zation must be vigilant to ensure that performance at all levels remains aligned with organiza-tional objectives. Thus, individual performance must be aligned with the performanceobjectives of the workgroup and unit. Units must ensure their performance is aligned with the


objectives of the organization. At Maturity Level 5, the process performance data collectedacross the organization is evaluated to detect instances of misalignment. Further, the impactof workforce practices and activities is evaluated to ensure that they encourage rather thandiscourage alignment. Corrective action is taken to realign performance objectives and re-sults when necessary.

Inputs for potential improvements to workforce practices come from many sources.They can come from lessons learned in making improvements to the workforce activities ina unit, from suggestions by the workforce, or from the results of quantitative management ac-tivities. The organization continually evaluates the latest developments in workforce prac-tices and technologies to identify those developments with the potential to contribute to theorganization’s improvement objectives. Data on the effectiveness of workforce practicesthat emerged from quantitative management activities are used to analyze potential perfor-mance improvements from innovative workforce practices or proposed changes to existingpractices. Innovative practices that demonstrate the greatest potential for improvement areidentified and evaluated in trial applications. If they prove effective, they are deployedthroughout the organization.

The workforce capability of Maturity Level 5 organizations is continually improving.This improvement occurs through both incremental advances in existing workforce practicesand adoption of innovative practices and technologies that might be expected to have a dra-matic impact. The culture created in an organization routinely working at the OptimizingLevel is one in which everyone strives to improve his or her own capability, and contributesto improvements in the performance of the workgroup, the unit, and the organization. Work-force practices are honed to support a culture of performance excellence.


647

Index

AAbility to Perform

defined, 575as institutionalization practice, 50practices related to, 62–63

Accenture, 137–141achieving high performance, 137commitment to high performance, 141factors influencing People CMM achievements,

138–139reasons for adopting People CMM, 137–138

Accomplishmentscompensation based on, 253–254monitoring/documenting, 221–224

Acronyms, defined, 571–573Acting phase, IDEAL life cycle model, 86, 100Activities

business. See Business activitiescommunication and coordination activities,

185–186competency development, 426–427defined, 575development activities, 300–301, 320evaluating impact on competency-based

processes, 468–470evaluating impact on critical workforce

competencies, 459–461learning, 505–506managing impact on critical workforce

competencies, 461–462mentoring or coaching, 427outplacement, 176–178recruiting, 327–328staffing, 163–164transition, 173, 329–330workforce. See Workforce activitiesworkgroups planning, 352–353

Adequatedefined, 575use in interpretation of practices, 61

Adoption of People CMMbenefits of, 114–117

benefits varying by maturity level achieved,117–120

overview of, 113–114rates of, 84–85, 87

Advanced Information Services, Inc. (AIS), 84, 87,89–91

Advisors. See MentoringAffected individuals

defined, 575use in interpretation of practices, 61

Aggregate trends in compensation, measurement of, 256Aggregation, of unit measures, 65AIS (Advanced Information Services, Inc.), 84, 87,

89–91Alignment, of personal development plan, 319Alignment objectives, 523, 527, 529, 532. See also

Organizational Performance AlignmentAlternative practices

for achieving goals, 48, 110defined, 575

Analysis. See also Appraisals; Competency Analysis;Measurement and Analysis

baseline, 94–95gap analyses, 111, 133organizational, 92–93questionnaire-based, 95–97

Appraisalsdefined, 103discovery-based, 108, 579in low-maturity organizations, 21multimodel, 112SCAMPI Class A, 106–110SCAMPI Class B, 110–111SCAMPI Class C, 111–112SCAMPI with People CMM method, 92–93,

103–106uses of People CMM, 84–85verification-based, 109, 589

Apprenticeship. See MentoringArchitecture, People CMM

model components. See Model componentsstructural components. See Structural components

of People CMM

Artifactscapturing for competency-based processes,

418–419defined, 576organizing into competency-based assets, 423

Assessments. See also Analysis; Appraisalsdefined, 576Intel IT process, 133–134multimodel, 121

Assets, organizational. See also Competency-BasedAssets

IT people as, 134process assets, 585recapturing assets of disbanded workgroups,

360–361Assignable causes

defined, 576managing effects of, 445of performance variation, 443of process variation, 444

Assignments. See Work assignmentsAssistance. See MentoringAT&T, 89Audits

of competency descriptions and information, 273,275, 277

of competency development data, 308of competency-based assets measures and

information, 430of data quality and data use, 65of performance measures, 412, 448, 473, 536–537of processes, 104role in verifying implementation, 51

BBAE SYSTEMS, 84

Web sites describing organizationalachievements, 115

Balanced Scorecard, AIS, 89–91Balanced Scorecard framework, 89–91, 116, 144Baselines

capability. See Capability baselinesorganizational analyses, 93–95performance. See Performance baselinesreasons for using People CMM, 85

Benchmarks. See BaselinesBenefits. See CompensationBoeing, 16, 87, 118, 121–124

Business Resources Support (BRS), 122–123early uses of People CMM, 84results from applying People CMM, 124workforce improvement programs at, 121

Bottom-up communication, 183

BPO (Business process outsourcing), 143–144BRS (Business Resources Support), 122–123Budgets, vs. funding, 62Business activities

applying evaluations to other business andworkforce activities, 470

applying performance alignment evaluations to, 534for competency analysis, 261–262, 264defining, 344–345identified for competency integration, 386identifying competencies needed, 346identifying competencies required to perform, 266identifying dependencies, 386information regarding, communicated, 363, 367staffing workgroups to match, 347–348tailoring competency-based processes to, 347–348tailoring competency-based processes to perform

business activities, 348–349updating competencies required for, 269for workforce planning, 278–279, 282

Business capability, People CMM supportingimprovements in, 87

Business objectives, 5–6, 22communicated, 367critical positions and, 291critical workforce competencies and, 454performance alignment and, 41, 522–523provided to empowered workgroups, 401for quantitative performance management,

432–433, 435relationship to Communication and Coordination

activities, 185setting performance objectives based on, 214tying workforce capability to, 24used in aligning performance, 530, 532work commitments consistent with, 217work environment supporting, 198for workforce planning, 279–280

Business performance, 6,Business process outsourcing (BPO), 143–144Business Resources Support (BRS), 122–123Business strategy

identifying competencies critical to, 449–450linking talent management to business delivery, 145planning process tying workforce activities to, 36,

278workforce practices enabling, 25

Business values. See Values

CCapabilities

developing individual, 56–57evaluation of, 503, 577

648 Index

growth in, 458–459of a process, 449, 586of workforce. See Workforce capability

Capability baselines. See also Performance baselinesadjusting, 511capability improvement and, 460defined, 576–577establishing for integrated competency-based

processes, 392of impact of practices and activities on, 461, 469in planning, 452, 524predictability and, 29trends in, 531

Capability management. See OrganizationalCapability Management

Capability management strategy, for criticalworkforce competencies, 455–457

Capability Maturity Model (CMM)defined, 577maturity levels in, 19–20organizational maturity and, 4

Capability Maturity Model for Software (SW-CMM),12, 14–16, 76

Capability Maturity Model Integration (CMMI). SeeCMM Integration (CMMI)

Capability models, for critical workforcecompetencies, 456

Capability of the workforce. See Workforcecapability

Career Development, 36, 309–322, 614–615. Seealso Personal development plans

Ability to Perform, 311–313Commitment to Perform, 310communication of options and opportunities

regarding, 318–319Description, 309Goals, 309graduated career opportunities, 314–316, 318individuals reviewing capabilities relevant to, 317Intel IT case study, 135Measurement and Analysis, 321motivating and managing performance and, 59objectives, 318, 329–330opportunities, 149orientation to opportunities for, 313personal development planning, 317–318policy, 309–310Practices Performed, 314–320promotion criteria and procedures, 316Purpose, 36, 309tracking development activities against personal

plans, 320training for, 319

Verifying Implementation, 322Career discussions, 319–321Career guidance, 312, 318, 328, 462Career objectives

career development and, 36, 309evaluating capabilities relevant to, 317People CMM enabling employee progress toward,

149setting, 313staffing decisions and, 329work assignments and, 330

Career optionscounseling regarding, 36, 309discussing on periodic or event-driven basis, 318guiding career-related activities, 310personal development plan guiding, 317training and development for enhancing,

231, 319Career paths, 135Career planning

graduated career opportunities, 315practices and activities, 391resources, 326

Case studiesAccenture, 137–141Boeing, 121–124Ericsson, 136HCLT BPO, 143–149Intel IT, 132–136Mahindra Resorts, 141–143overview of, 121Pfizer Worldwide Technology, 124–132Tata Consultancy Services (TCS), 149–153

CEF (Colleague Engagement Framework). SeeColleague Engagement Framework (CEF)

Change managementdeploying improved workforce practices, 89executive management responsibilities, 72in Continuous Workforce Innovation, 550–554

Changing business conditionsempowered workgroups responding to, 401performance objectives and, 221work commitments and, 218

Chief Human Capital Officers Act of 2002, 9Churn in workforce, 22. See also TurnoverClass A appraisals, SCAMPI, 106–110

characteristics of, 104–105conducting appraisal, 109–110overview of, 106–108planning and preparing for, 108–109reporting appraisal results, 110Tata Consultancy Services (TCS) case study,

149

Index 649

Class B appraisals, SCAMPIcharacteristics of, 104–105overview of, 110–111

Class C appraisals, SCAMPIcharacteristics of, 104–105overview of, 111–112

CMM (Capability Maturity Model). See CapabilityMaturity Model (CMM)

CMM for Software (SW-CMM). See CapabilityMaturity Model for Software (SW-CMM)

CMM Integration (CMMI)implementing People CMM practices with CMMI

continuous representation, 79integrating People CMM with process

improvements, 87multimodel appraisals with, 112People CMM and, 101People CMM facilitating, 17release of, 12

Coaching. See also Mentoringfor continuous capability improvement, 498–500in competency-based assets, 427defined, 577transformed across maturity levels, 474

Colleague Engagement Framework (CEF)deploying, 128–129development at Pfizer Worldwide Technology,

127–128Flash Simulation, 129Game, 131Portal, 130–131

Commitment, 166, 577. See also Work commitmentsof executive management, 23

Commitment to Performdefined, 577as institutionalization practice, 50practices related to, 62

Committed work. See also Work commitmentsbalancing among individuals and units, 167–168communication of information for performing,

188–189communication regarding performance of, 220coordination in accomplishing, 191–192defined, 577documenting performance objectives based on,

219empowered workgroups determining methods for

accomplishing, 402identifying improvements in process, tools, or

resources for, 221identifying physical environment and resources

required, 201

identifying/optimizing process dependenciesrelated to, 344

individual and workgroup access to informationneeded to perform, 368

individual and workgroups using performancebaselines in planning, 440

integrated competency-based processes used inplanning, 391–392

making available resources required, 204matching, to available resources, 32, 159performance objectives for, 71, 210

Communicationof availability of mentoring programs, 482–483bottom-up, 183of business objectives, 367of career options and development opportunities,

318–319of compensation decisions, 254of compensation strategy, 252of competency development opportunities, 302creating supportive information and

communication systems, 368–369developing interpersonal communication skills,

58, 190–191documenting procedure for communicating

concerns, 189–190encouraging openness in, 364establishing vehicles for sharing competency-

based assets, 420executive management role, in, 184–185of information needed for performing committed

work, 188–189of information regarding competency-based

processes, 272of information related to business activities,

363, 367of information required in timely manner,

188–189of performance of committed work, 220of policies and practices, 187of position openings, 169skills, 236top-down, 183of workforce reductions or outplacement,

176–178Communication and Coordination, 33, 183–196,

598–599Ability to Perform, 186–187Commitment to Perform, 184–186coordinating efforts of individuals and

workgroups, 191–192Description, 183

650 Index

development of interpersonal communicationskills, 190–191

documentation of procedure for communicatingconcerns, 189–190

Goals, 184handling interpersonal problems, 191individual input collected regularly, 189information required is communicated in timely

manner, 188–189Measurement and Analysis, 194meetings conducted effectively, 193monitoring/coordinating dependent work, 192–193policies and practices communicated, 187Practices Performed, 187–193Purpose, 33, 183tracking concern resolution process, 190values, events, condition communicated

periodically and on event-driven basis, 188Verifying Implementation, 195–196

Compensation, 34–35, 244–257, 606–607Ability to Perform, 246–247adjusting based on accomplishments, 253–254adjustments, 335, 409–410Commitment to Perform, 245–246communicating compensation decisions, 254communicating compensation strategy, 252correcting inequities, 254–255defined, 577Description, 244developing compensation strategy, 248–249documenting compensation procedures, 253documenting compensation strategy, 251equity, 34, 59, 65, 244, 428Goals, 244–245Measurement and Analysis, 255–256performance management and, 59planning for compensation equity, 252practices supporting development of workforce

competency, 334practices supporting use of competency-based

assets, 428Purpose, 34–35, 244reviewing/revising compensation packages, 254reviewing/revising compensation strategy, 249Verifying Implementation, 256–257workforce input into compensation strategy,

249–250Compensation plans

communication of, 252documentation of, 251maintaining equity with, 252overview of, 244–245

Compensation policy, 253–254, 335Compensation strategy

adjusted to support competency needs, 333communicating to workforce, 252–253defined, 577development of, 248development of workforce competencies,

323–324, 333–335documented plan for, 251equity in, 252organization philosophy and methods in, 244performance in, 59purpose of, 34reviewing, 250workforce input into, 250–251

Competency. See also Workforce competenciescreating competency development plans, 284–286defined, 266, 577establishing measurable competency objectives,

284hierarchy of, 25identifying competencies needed by workgroups,

346individual, 26organization workforce as competency

community, 27reviewing/revising competency development

plans, 286tracking objectives of competency development

plan, 293Competency Analysis, 35–36, 261–277, 608–609

Ability to Perform, 263–265collecting competency information of individuals,

272–273Commitment to Perform, 262–263communication regarding competency-based

processes, 272creating resource profiles for competencies, 274Description, 261documenting competency descriptions, 268–269establishing competency-based processes, 270–272Goals, 262identifying components of workforce

competencies, 267–268identifying workforce competencies, 266at Maturity Level 3, 56Measurement and Analysis, 275Practices Performed, 266–275Purpose, 35–36, 261updating competency descriptions, 269–270updating competency information, 275Verifying Implementation, 276–277

Index 651

Competency communitiesdefined, 296, 578mentoring provided by capable members of,

303–304support for, 305

Competency Development, 36, 296–308, 612–613Ability to Perform, 298–300audit of data, 308basing development activities on plans for each

area of workforce competency, 300–301Commitment to Perform, 297communicating and informing regarding

development opportunities, 302Description, 296encouraging individual learning, 303Goals, 296graduated training and development activities,

301identifying training and development for

individuals, 302incorporating competency-based assets into,

426–427Intel IT case study, 134Measurement and Analysis, 306mentoring and, 303–304, 427Practices Performed, 300–305process area at Maturity Level 3, 56Purpose, 36, 296supporting competency communities, 305Tata Consultancy Services (TCS) case study,

149–153tracking objectives of competency development

plan, 293Verifying Implementation, 307–308

Competency development objectivesdocumenting at unit-level, 330–331establishing measurable, 284tracking, 293

Competency development planscompetency development activities based on,

300–301creating, 149creating for workforce competencies, 278,

284–286defined, 578enhanced for integrated competency-based

processes, 391reviewing/revising, 286tracking objectives of, 293tracking progress in meeting, 153

Competency information, 36audit of, 277, 473

defined, 272, 578individual capability documented, 272of individuals, 261updating, 275, 303

Competency Integration, 38, 381–394, 622–623Ability to Perform, 383–386adjusting competency practices to support, 391adjusting organizational structures to support, 389analyzing dependencies for integration

opportunities, 386–387building workgroups and culture, 58Commitment to Perform, 382–383defining/making available integrated competency-

based processes, 387–388Description, 381–382developing needed skills, 389–390evaluating/adjusting integrated competency-based

processes, 392Goals, 382identifying business activities involving

dependencies, 386incorporating integrated competency-based

processes, 388Measurement and Analysis, 393Practices Performed, 386–392Purpose, 38, 381–382revising competency descriptions to support, 391Verifying Implementation, 394work environment supporting, 390workgroup use of integrated competency-based

processes, 391–392Competency management

defined, 578organizational. See Organizational Capability

ManagementCompetency modeling, 11Competency ownership teams, 62Competency-Based Assets, 39, 413–430, 626–629

Ability to Perform, 415–418availability of information resulting from use of,

426capturing information and artifacts, 418–419Commitment to Perform, 414–415compensation practices supporting, 428competency development activities using,

426–427creating deployment strategy, 420–422defined, 577–578Description, 413developing individual capabilities, 57establishing communication vehicles for

sharing, 420

652 Index

Goals, 413–414individual and workgroup use of, 425integrated into competency-based processes,

424–425Measurement and Analysis, 428–429mentoring or coaching activities deploying, 427mentors supporting, 488organizing information and artifacts, 423Practices Performed, 418–428Purpose, 39, 413strategy, 420–422updating, 424use of, 423Verifying Implementation, 429–430workforce practices supporting use of, 427–428

Competency-Based Practices, 37, 323–328, 616–617Ability to Perform, 325–327Commitment to Perform, 324–325compensation and, 333–335Description, 323documenting objectives for competency

development, 330–331Goals, 324individual objectives for competency

development, 331individual performance evaluation, 332individual performance feedback, 331–332Measurement and Analysis, 336–337motivating and managing performance and, 59policies and practices adjusted as needed, 336Practices Performed, 327–336Purpose, 37, 323recognition and rewards and, 335recruiting activities, 327–328selection processes, 328staffing decisions, 329transition activities, 329–330Verifying Implementation, 337–338work assignments, 330

Competency-based processescapturing information and artifacts for, 418–419critical. See Critical competency-based processesdefined, 270, 578defining and updating, 261establishing and maintaining, 270–272evaluating/adjusting integrated competency-based

processes, 392identifying, 501information about use of, 272integrated. See Integrated competency-based

processesintegrating into competency-based assets, 424–425

at maturity levels, 25–29process performance baselines, 440quantitative management of, 442–444quantitative methods, 441revising competency descriptions to support,

391skills needed for performing, 389–390tailored by workgroups, 347–348, 350, 391work environment supporting, 390

Competency-based training and development, 302Competency-based workforce activities, 326Competency-based workforce practices, 336–337Compliance, verifying, 65Composition of workforce, 80Concerns

defined, 189, 578documenting procedure for communicating,

189–190tracking concern resolution process, 190

Conditions, communicated periodically and onevent-driven basis, 188

Conflict resolution, defining mechanisms for, 375Continual improvement, 150, 495

of personal work processes, 501–506of workgroup operating processes, 507–511of competency-based processes, 512–518of competency-based processes, 512–518of workforce practices and technologies. See

Continuous Workforce InnovationContinuous Capability Improvement, 40–41,

495–521, 636–639Ability to Perform, 497–500adjusting workforce practices to accommodate,

518–519building workgroups and culture, 58Commitment to Perform, 496–497comparing competency-based processes to

performance baselines, 514defining critical competency-based processes,

512–514Description, 495–496developing individual capabilities, 57empowered or enabled, 501empowering individuals and workgroups for, 501Goals, 495–496identifying opportunities for improving

performance, 514–517incorporating recommendations into

competency-based processes, 517–518for individuals, 501–506individuals characterizing personal work

processes, 501–503

Index 653

Continuous Capability Improvement (Continued)individuals continuously improving personal work

processes, 505–506individuals establishing measurable objectives

for, 504individuals identifying opportunities for

improvement, 503–504Measurement and Analysis, 519–520Practices Performed, 501–519Purpose, 40–41, 495–496recommending improvements, 512Verifying Implementation, 520–521for workgroups, 507–511workgroups continuously improving capability

and performance, 510–511workgroups establishing measurable objectives

for, 509–510workgroups identifying opportunities for

improvement, 507–508Continuous improvement program

Accenture case study, 139–140establishing, 544for individuals and workgroups, 501for workforce practices. See Continuous

Workforce InnovationContinuous innovation

coordinating, 539evaluating and selecting practices and

technologies, 549identifying practices and technologies, 548shaping the workforce, 60

Continuous Workforce Innovation, 42, 538–556,642–644

Ability to Perform, 540–543Commitment to Perform, 539–540creating trials for innovative and improved

practices or technologies, 550–551deployment plans for innovative and improved

practices or technologies, 551–552Description, 538empowering individuals and workgroups for

continuous improvement, 544encouraging proposals for continuous

improvements, 544–545establishing quantitative objectives for,

547–548evaluating effectiveness of innovative and

improved practices and technologies, 553evaluating workforce opinions for improving

working conditions, 545evaluating/selecting innovative and improved

practices and technologies, 549

Goals, 538identifying areas that would benefit from

innovative or improved practices, 545–547implementing innovative and improved practices

and technologies, 553investigation of innovative practices and

technologies, 548–549Measurement and Analysis, 555organizational framework for continuous

improvement, 543orientation for, 542Practices Performed, 543–554Purpose, 42, 538reviewing results of innovative and improved

practices and technologies, 554Verifying Implementation, 556

Coordination. See also Communication andCoordination

among workgroups, 344as foundation of participatory culture, 363of group training, 238of individuals and workgroups, 191–192interpersonal skills as basis of, 58, 183monitoring/coordinating dependent work,

192–193organizational, 62structuring work to optimizing workgroup

coordination, 344supporting integrated-competency-based

processes, 390–391training facilitating, 187within workgroups, 343, 348

Core competencydefined, 578workforce competency vs., 25

Corrective actions, 29–30for competency development plan, 293for competency-based processes, 466for critical workforce competencies, 457,

461–462defined, 578executive management and, 185for mentoring relationships, 488organizational performance and, 292–293for performance alignment, 534for personal development plan, 320for personal work processes, 506quantitative performance measurement and, 39,

431, 444–445for strategic workforce plan, 292tracking, 219for workforce practices, 470

654 Index

Critical competency-based processesapplying evaluations to other activities, 470capability objectives for, 512–514comparing to performance baselines, 514defined, 463, 578evaluating impact of practices and activities on,

468–470improving performance of, 514–517incorporating recommendations into, 517–518managing, 466performance baselines for, 463–465

Critical positionsdefined, 579succession planning for, 291–292

Critical skillscommunication skills as, 236defined, 168, 579identifying, 235–236training in, 236–237

Critical tasks, 579Critical workforce competencies

capability objectives for, 512–514defined, 454, 579evaluating impact of practices and activities on,

459–461identifying, 454improving performance of, 514–517managing, 457managing impact of practices and activities on,

461–462quantifying, 455–457setting objectives for, 458

Culture. See also Participatory Culturebuilding, 58CMM in process of cultural change, 4–5of professionalism, 35

DData definition audits, 65Decision-making

analyzing decision-making process, 369–370defined processes for, 372–373defining processes and roles, 370–371delegation of responsibility and, 372by empowered workgroups, 402involving workgroups and individuals in,

374–375participatory culture and, 27supporting the decisions made, 373–374

Defined Level: Maturity Level 3, 24–27benefits of adopting People CMM, 117–118building workgroups and culture, 58

Career Development process area. See CareerDevelopment

Competency Analysis process area. SeeCompetency Analysis

Competency Development process area. SeeCompetency Development

Competency-Based Practices process area. SeeCompetency-Based Practices

developing individual capability, 56establishing best practices, 13integrating maturity-based improvement

programs at, 101motivating and managing performance at, 59not sufficient for ending maturity growth, 75organizational roles, 67overview of, 35Participatory Culture process area. See

Participatory Cultureprocess areas, 259shaping the workforce, 60workforce competencies in, 25–26Workforce Planning process area. See Workforce

Planningworkforce practices in, 24–25Workgroup Development process area. See

Workgroup DevelopmentDefined processes, 579Degradation, of work environment, 206–207Delegation of responsibility

decision-making and, 372for performing selected workforce activities,

404–405for tailoring workforce activities, 406

Dependenciesanalyzing for integration opportunities,

386–387analyzing work for process dependencies, 344communicating and coordinating among roles,

353–354creating interfaces between, 356identifying in business activities, 386monitoring/coordinating, 192–193

Deployment, of competency-based assets, 420–422Deployment plans, for innovative/improved practices

and technologies, 551–552Description section, of process areas, 45Development

career development. See Career Developmentcompetency development. See Competency

Developmenttraining and. See Training and Development

Development discussions, 231, 239–240

Index 655

Development objectivesdefined, 579establishing measurable, 284individual, 240–241, 581tracking, 293work assignments designed to enhance, 330

Development opportunities, 302Diagnosing phase, of IDEAL life cycle model, 86,

92, 99Diagnostics. See Analysis; AppraisalsDisabilities, work environment and, 205Disbanding workgroups

overview of, 359–360recapturing assets of disbanded workgroups,

360–361Discharge, for unsatisfactory performance, 178–179Discovery-based appraisal, 108, 579Dispute resolution, 375Distractions in work environment,

identifying/minimizing, 207Documenting

accomplishments, 221–224compensation procedures, 253compensation strategy, 251competency descriptions, 268–269concerns, 189–190defined, 579performance objectives, 219, 330–331practices, 63procedures, 64promotion criteria and procedures, 316staffing policies, 160–162workforce needs, 282–283

EEducated workers, demand for, 7Effective work environment, 197Effectiveness, of practices, 64–65, 553EFQM (European Foundation for Quality

Management), 11, 114Employees. See WorkforceEmpowered Workgroups, 39, 396–412, 624–625

Ability to Perform, 396–399business objectives and commitments of, 401Commitment to Perform, 396compensation of, 409–410decision-making by, 402defined, 68, 579delegation of responsibilities to, 404–405Description, 395designing work responsibilities for, 400determination of methods by, 402

Goals, 396Measurement and Analysis, 410–411mission statements for, 400–401performance management in, 407–408performing workforce activities, 406Practices Performed, 400–410Purpose, 39, 395tailoring and adopting workforce activities by,

406Verifying Implementation, 411–412work environment supporting, 402–403workforce practices tailored to, 403

Empowerment, 28of workgroups. See Empowered Workgroups

Enterprise Process Group (EPG), 98Environment. See Work environmentEPG (Enterprise Process Group), 98Equity

of compensation, 34, 59, 65, 244, 252, 428defined, 579

Ericsson, 16, 84, 87, 121, 136Establish and maintain

defined, 579as practices performed, 64

Establishing phase, IDEAL life cycle model, 86, 99European Foundation for Quality Management

(EFQM), 11, 114Evaluations. See AppraisalsEvidence, objective, 583Examples, supplementary information in practice

statements, 51Excellence Model, EFQM, 11, 114Executive management

commitment of, 23communication of values by, 185defined, 66, 580responsibilities, 71–73reviews, 65role, 66

Executive management reviewsfor Career Development, 322for Communication and Coordination, 195for Compensation, 257for Competency Analysis, 276for Competency Development, 307for Competency Integration, 394for Competency-Based Assets, 429for Competency-Based Practices, 337–338for Continuous Capability Improvement, 520for Continuous Workforce Innovation, 556for Empowered Workgroups, 411for Mentoring, 491

656 Index

for Organizational Capability Management, 472for Organizational Performance Alignment, 536for Participatory Culture, 377for Performance Management, 230for Quantitative Performance Management, 447for Staffing, 181for Training and Development, 243verifying implementation of, 65for Work Environment, 209for Workforce Planning, 295for Workgroup Development, 362

Executive managers, 66Exit interviews, 162, 179, 252, 545Expected model components

defined, 54, 580practices as, 48

External recruiting, planning, 170

FFeedback

on competency-based assets, 426on competency development, 331–332formal. See Formal feedbackinformal. See Informal performance feedbackon performance, 210regarding mentoring, 482, 485, 487

Formal feedback, 237, 317, 332, 358, 408Funding. See also resources

Ability to Perform and, 62

GGap analyses, 111, 133Goals

defined, 47, 580practices mapped to, 49, 591–644setting realistic, 71

Goodness, of workforce practices, 80–81Graduated career opportunities

defined, 580description of, 309development of workforce competencies and,

314–315reviewing/revising, 316

Graduated training and development, forCompetency Development, 301

Groups, 238, 580. See also Workgroups

HHCL Technologies Ltd.-BPO (HCLT BPO),

143–149adopting People CMM, 144–146need for People CMM in BPO industry, 143–144

overview of, 143return on investment from implementation of

People CMM, 147–149HCM (Human capital management). See Human

capital management (HCM)Health and safety issues, in work environment,

205–206Hiring process, 173. See also Position openingsHuman capital management (HCM)

defined, 580, xiii, xviiPeople CMM driving, 86reasons for adopting People CMM, 113success factors, 10workforce management and, 8–9

Human resourcesdefined, 580executive management responsibility for

empowering, 72role of, 67workforce issues and, 8

Humphrey, Watts, 11–12

IIBM, 11–12IBM Global Services (India), 84, 114IDEAL (Initiating, Diagnosing, Establishing, Acting,

and Learning) life cycle modelActing phase, 86, 100defined, 581Diagnosing phase, 86, 92, 99Establishing phase, 86, 99Initiating phase, 86, 92, 98Learning phase, 86, 93, 100overview of, 87–88

Immature organizations. See Low-maturityorganizations

Implementation goals, 47, 49, 74, 581Implementation practices. See also Practices

Performeddefined, 581issues with, 69–70mapped to goals, 49structural components of People CMM, 50

Implementation status, 64Improvement. See also Continual improvement;

Continuous Capability Improvement;Continuous Workforce Innovation;Performance improvement plans

continual improvement as focus of MaturityLevel 5, 29

data based improvements at Maturity Level 5,14

Index 657

Improvement (Continued)IDEAL life cycle model for. See IDEAL

(Initiating, Diagnosing, Establishing, Acting,and Learning) life cycle model

identifying improvements in processes, tools, orresources, 221

People CMM supporting, 87performance improvement plans, 225–226in software development process, 12in workforce capability, 114

Improvement programsAccenture program, 139–140Boeing program, 121implementing People CMM-based, 97integration of maturity-based, 101–102planning and executing, 98–100

Incentives, 72Individual compensation

compensation packages, 253defined, 581empowered workgroups and, 395

Individual competencycollecting competency information, 272–273defined, 581development of, 331–332documenting development objectives, 331overview of, 26

Individual development objectivesdefined, 581documenting, 331overview of, 240support for, 241

Individual Development Plans. See Personaldevelopment plans

Individual performance objectivesdefined, 581for empowered workgroups, 407–408establishing measurable objectives for continuous

improvement, 504establishing measurable objectives for

performance, 437–439performance management and, 219–220reviewing/revising, 219–220

Individual workspaces, 581Individuals

accommodating continuous improvement of,518–519

adopting People CMM to meet goals of, 116balancing work assignments among, 167–168capturing information and artifacts for

competency-based processes, 418–419characterizing personal work processes, 501–503

collecting competency information of, 272–273commitment to work, 166competency development of, 331–332competency of, 26competency-based assets used by, 425continuous improvement of personal work

processes, 505–506contribution to overall performance, 367coordinating efforts of, 191–192in decision-making processes, 374–375defined, 581defined decision-making processes used by,

372–373development objectives of, 240documenting competency development

objectives, 331empowering continuous improvement by, 501, 544encouraging individual learning by, 303establishing measurable objectives for continuous

improvement, 504establishing measurable objectives for

performance, 437–439establishing process performance baselines, 440evaluating performance based on personal

development plans, 332identifying opportunities for continuous

improvement, 503–504identifying training and development needs of, 302information accessible to, 368information and communication systems

supporting, 368–369input collected from, 189management strategies for, 442–444methods for measuring performance of, 441–442personal development planning, 317–318reviewing capabilities relevant to career

objectives, 317reviewing/revising performance objectives,

219–220role of, 66–67selecting mentors for, 483–484supporting development objectives of, 241taking corrective actions based on quantitative

performance measurement, 444–445tracking development activities against personal

plans, 320training needs of, 238–240

Informal performance feedback, 220, 237, 317Information

about values, events, and conditions atorganizations, 188

accessibility of, 368

658 Index

audit of, 277, 473capturing for competency-based processes,

418–419collecting from individuals, 272–273communicating required information in timely

manner, 188–189competency-related. See Competency informationcreating supportive information systems, 368–369making performance-related information

available, 367organizing into competency-based assets, 423regarding competency-based processes, 272related to business activities, 363resulting from use of competency-based assets, 426supplementary, 51–52

Informative model componentsdefined, 54, 581supplementary information in practice statements,

51–52Initial Level: Maturity Level 1

behavioral characteristics of, 20–22lack of process areas in, 31–32repetition of proven practices sporadic in, 12–13

Initiating, Diagnosing, Establishing, Acting, andLearning life cycle model. See IDEAL(Initiating, Diagnosing, Establishing, Acting,and Learning) life cycle model

Initiating phase, IDEAL life cycle model, 86, 92, 98Innovative practices and technologies. See also

Continuous Workforce Innovationcreating trials for, 550–551deployment plans for, 551–552establishing quantitative objectives, 547–548evaluating effectiveness of, 553evaluating/selecting, 549identifying areas that would benefit from,

545–547implementing, 553investigation of, 548–549reviewing results of, 554

Inputcollecting individual input regularly, 189workforce input into compensation strategy,

249–250Institutionalization goals, 581Institutionalization practices

defined, 581–582issues in, 70–74mapped to goals of, 49structural components of People CMM, 50–51

Integrated competency-based processes, 115, 386.See also Competency Integration

defined, 389, 582evaluating/adjusting, 392revising competency descriptions to support, 391skills needed for, 389–390work environment supporting, 390

Integrated product and process development, 582Intel IT, 132–136

adoption of People CMM, 132–136assessment process, 133–134career development, 135competency management, 134developing IT people as assets, 134evolution of capability measures at, 135–136overview of, 132–133workforce development, 135

Interdisciplinary processes, 415, 526–527Interfaces, creating between dependencies, 356Internal process improvement (IPI), 582Interpersonal communication skills, 190–191Interpersonal problems, appropriate handling of, 191Interruptions, minimizing, 207Interviews

defined, 582exit, 162, 179, 252, 545job candidate, 21, 23

Investigation, of innovative/improved practices andtechnologies, 548–549

IPI (Internal process improvement), 582

JJobs. See also Position openings

interviews, in low-maturity organizations, 21orientation, 174

KKnowledge

competencies and, 267as component of workforce competency, 25defined, 582values encouraging sharing, 414

Knowledge economy, need for educated workers in,7

Knowledge management, 9, 413, 422Knowledge-intense environments, continual

interruptions as problem in, 197Knowledge-intense work, 6

LLateral communication, 183Laws and regulations

for compensation systems, 245for outplacement activities, 177

Index 659

Laws and regulations (Continued)staffing policy and, 160for work environments, 198

Lead Appraiser, 95Leadership. See Executive managementLearning

encouraging individual learning, 303individuals continuously improving personal work

processes, 505–506shared learning, 151Web-enabled, 11

Learning phase, IDEAL (Initiating, Diagnosing,Establishing, Acting,and Learning) life cycle model, 86, 93, 100

Level fever, 75–76Level of capability. See maturity levelsLockheed Martin, 16, 84Low-maturity organizations

common problems hindering performance, 23managers in, 21–22retention of talent in, 20–21workforce practices in, 22

MMahindra Holidays & Resorts India Ltd. (MHRIL),

141–143Malcolm Baldrige National Quality Award

(MBNQA)criteria in quality models, 11as model for measuring organizational

excellence, 114Managed Level: Maturity Level 2

behavioral characteristics of, 22–24benefits of adopting People CMM, 117building workgroups and culture at, 58Communication and Coordination process area.

See Communication and CoordinationCompensation process area. See Compensationdeveloping individual capability, 56enabling repeatability, 13integration of maturity-based improvement

programs, 101motivating and managing performance and, 59organizational roles, 67overview of, 32Performance Management process area. See

Performance Managementprocess areas, 157shaping the workforce, 60Staffing process area. See StaffingTraining and Development process area. See

Training and Development

Work Environment process area. See WorkEnvironment

Managed processes, 582Management

aligning performance with organizationalobjectives at Maturity Level 5, 29–30

Boeing BRS team and, 122–123change, 72, 89competency, 578executive. See Executive managementknowledge, 9, 413, 422vs. managers, 23–24of organizational capacity. See Organizational

Capability Managementparticipatory, 377of performance. See Performance Managementquantitative management of capabilities in

Maturity Level 4, 29of quantitative performance. See Quantitative

Performance Managementview of senior management on workforce

effectiveness, 8Management by walking around (MBWA), 357Management Steering Committee, 98–99Managers

Boeing program increasing effectiveness of, 122executive, 66in low-maturity organizations, 21vs. management, 23–24Maturity Level 2 and, 22–23role of, 66

Manpower Allocation Task Committee, 150Mature organizations

adoption rate of People CMM, 87People CMM supporting, 73workforce capability in, 6

Maturity levelsbehavioral characteristics of, 20benefits of adopting People CMM varying by

level achieved, 117–120concerns over, 74–76defined, 19, 582implementation issues, 69implementing practices out of sequence, 77–78integration of maturity-based improvement

programs, 101–102Level 2 procedures vs. Level 3 Defined Practices,

73–74Maturity Level 1. See Initial Level: Maturity

Level 1Maturity Level 2. See Managed Level: Maturity

Level 2

660 Index

Maturity Level 3. See Defined Level: MaturityLevel 3

Maturity Level 4. See Predictable Level: MaturityLevel 4

Maturity Level 5. See Optimizing Level: MaturityLevel 5

process areas in, 44–45skipping, 76

Maturity-Based Improvement Programs, integrating,101–102

MBNQA (Malcolm Baldrige National QualityAward). See Malcolm Baldrige NationalQuality Award (MBNQA)

MBWA (Management by walking around), 357MDD (Method Definition Document), SCAMPI,

103Measurable objectives. See Quantitative objectivesMeasurement

aggregation of unit measures, 65establishing measurable competency objectives,

284performance management and, 34quantitative management of capabilities in

Maturity Level 4, 29Measurement and Analysis

defined, 583effectiveness measures, 64–65as institutionalization practice, 50–51status measures, 64

Meetings, management of, 193Mentoring, 40, 474–491, 634–635

Ability to Perform, 476–478capable members of competency community

providing, 303–304Commitment to Perform, 475communicating availability of program, 482–483competency-based assets used by, 427defined, 583Description, 474developing individual capabilities, 57developing workforce competencies, 486–487establishing mentoring relationships, 485–486Goals, 474identifying opportunities for, 479Measurement and Analysis, 490mentors participating in performance

management, 488–489mentors supporting competency-based assets, 488objectives and structures of mentoring programs,

479–482orientation for, 474Practices Performed, 479–490

Purpose, 40, 474reviewing mentoring relationships, 487–488selecting mentors and matching to individuals or

workgroups, 483–484transformed across maturity levels, 474Verifying Implementation, 491workforce practices supporting, 489–490

Mentoring objectives, 479–482Mentoring programs

communicating availability of, 482–483objectives and structures of, 479–482organizational support for, 489policy for, 475

Mentoring relationshipestablishing, 485–486reviewing, 487–488

Mentorsassist in capability development, 486–487participation in performance management,

488–489selected and matched, 483–484support development of competency-based assets,

488support for continuous capability improvement,

499–500Method Definition Document (MDD), SCAMPI,

103Methods

common workgroup methods and procedures,345–346, 577

defined, 583empowered workgroups and, 402for measuring performance, 441–442for staffing activities, 164

MHRIL (Mahindra Holidays & Resorts India Ltd.),141–143

Misaligned performanceanalysis of, 526management, 528, 530root causes, 527, 531

Mission statements, 400–401Model components

expected, 54informative, 54required, 53

Models, quantitative, 456Multidisciplinary processes, 28, 583. See also

Competency-based processesMultidisciplinary work, 38, 394Multimodel appraisals. See also Appraisals

characteristics of, 104–105overview of, 112

Index 661

NNotes, supplementary information in practice

statements, 51Novo Nordisk IT A/S, 16, 84, 118

OObjective evidence, 583Objectives. See also Goals

alignment objectives, 527, 529, 532business objectives. See Business objectivescareer objectives. See Career objectivesfor critical workforce competencies, 458defined, 583development objectives. See Development

objectivesestablishing measurable, 284, 504, 509–510for innovative and improved technologies,

547–548mentoring objectives, 479–482performance objectives. See Performance

objectivestracking, 292, 293for workgroups, 344–345

OCAs (Organizational Capability Assessments),Intel, 135

Open communication, importance of, 364Open positions. See Position openingsOperational management, 6. See also Executive

managementOpportunities for improvement

individual and organizational responsibility for, 6individuals identifying, 503–504workgroups identifying, 507–508

Optimization, institutionalization practices and, 74Optimizing Level: Maturity Level 5

benefits of adopting People CMM, 120building workgroups and culture, 58continual improvement as focus of, 29Continuous Capability Improvement process area.

See Continuous Capability ImprovementContinuous Workforce Innovation process area.

See Continuous Workforce Innovationdata based improvements, 14developing individual capabilities, 57integration of maturity-based improvement

programs, 102management role in aligning performance with

organizational objectives, 29–30motivating and managing performance and, 59Organizational Performance Alignment process

area. See Organizational PerformanceAlignment

organizational roles, 67overview of, 40process areas, 493shaping the workforce, 60sources of improvement, 30

Optimizing process, 583Organizational analyses

baseline analyses, 94–95People CMM for, 92–93questionnaire-based analyses, 94–97

Organizational assets. See also Competency-BasedAssets

IT people as, 134process assets, 585recapturing assets of disbanded workgroups,

360–361Organizational capability, 19–20Organizational Capability Assessments (OCAs),

Intel, 135Organizational Capability Management, 40, 449–473,

632–633Ability to Perform, 452–454applying evaluations to business and workforce

activities, 470Commitment to Perform, 450–451Description, 449developing process performance baselines,

463–465evaluating practices and activities, 459–461,

468–470Goals, 450identifying critical workforce competencies, 454Intel IT case study, 135–136managing competency-based processes, 466managing critical workforce competencies, 457managing practices and activities, 461–462Measurement and Analysis, 471modeling performance with performance

baselines, 467–468orientation for, 453Practices Performed, 455–470Purpose, 40, 449–450quantifying critical competencies, 455–457setting objectives for critical competencies, 458shaping the workforce, 60Verifying Implementation, 472–473

Organizational coordination, 62Organizational diagnostics. See Analysis; AppraisalsOrganizational maturity, 4–5, 584Organizational Performance Alignment, 41, 522–537,

640–641Ability to Perform, 524–526

662 Index

applying evaluations to business and workforceactivities, 534

Commitment to Perform, 523Description, 522Goals, 522impact of workforce practices on aligning

performance, 532–533Measurement and Analysis, 535motivating and managing performance and, 59organization role in aligning performance,

530–532Practices Performed, 526–534Purpose, 41, 522quantitative management of, 533–534unit role in aligning performance, 527–529Verifying Implementation, 535–537workgroup role in aligning performance, 526–527

Organizational policy. See also PoliciesCommitment to Perform and, 62defined, 584

Organizational rolesassigned responsibility for processes, 67assigning staffing activities and procedures, 162communicating and coordinating dependencies

among, 350–351for communication and coordination activities,

186decision-making roles, defining, 370–371defined, 584executive manager, 66human resources function, 67individuals, 66–67managers, 66overview of, 66for work environments, 199workforce, 66–67

Organizational structureadjusting to support integrated competency-based

processes, 389levels as implementation issue, 69overview of, 68

Organizational unit. See UnitsOrganizations

business objectives of, 583common workgroup methods and procedures,

345–346, 577communication of information about values,

events, and conditions, 188competency-based assets. See Competency-Based

Assetsdefined, 68, 583factors in applying People CMM, 80

framework for continuous improvement atorganization level, 543

list of types using CMM, 17performance objectives, 214role in improving alignment of performance,

530–532set of standard processes, 583stated values. See Valuesstructure of, 68–69, 389types of organizations using People CMM, 84values. See Valuesworkforce practices and, 10–11

Orientation. See also Training; Transition activitiesAbility to Perform and, 63for Career Development, 313for Continuous Workforce Innovation, 542job orientation, 174for Mentoring, 474for Organizational Capability Management, 453for Organizational Performance Alignment, 434for Performance Management, 216for Staffing, 164to workforce competencies, 329–330

Outplacement activities, 176–178Outstanding performance, 212, 226–228

PParticipatory Culture, 37, 363–377, 620–621

Ability to Perform, 365–366analyzing decision-making process, 369–370awareness of individual/workgroup contribution

to overall performance, 367building workgroups and culture, 58Commitment to Perform, 364conflict resolution mechanisms in, 375decision-making processes in, 27defined, 584defining decision-making processes and roles,

370–371delegation of responsibility in, 372Description, 363Goals, 363individuals/workgroups using defined decision-

making processes, 372–373information and communication systems in,

368–369involving individuals/workgroups in decision-

making, 374–375making needed information accessible, 367–368Measurement and Analysis, 376Practices Performed, 367–374Purpose, 37, 363

Index 663

Participatory Culture (Continued)roles in, 370–371supporting decisions made by empowered

decision makers, 373–374Verifying Implementation, 377

Participatory decision-making, 27, 374–375Participatory management, 366, 377

by an empowered workgroup, 402–408Pay. See CompensationPeople Capability Maturity Model (People CMM)

adoption of, 114–117approaches taken to application of, 86CMM and, 4–5defined, 5–7emergence in software industry, 14–16examples of how it is being applied, 16–17experience with using, 83–86factors driving demand for, 7–11improvement programs, 97–102organizational analyses using, 93–97organizational factors in applying, 80philosophy/principles of, 6reasons for using, 84–86use in appraisals. See Appraisaluses of, 83–84ways of applying in an organization, 113

People CMM Steward, 584Performance

Accenture focus on high performance, 137, 141analysis. See Analysisappraisal. See Appraisalsenvironment as means of improving, 205executive management focus on, 72feedback, 210, 220, 237, 317integrated competency-based processes and, 392in low-maturity organizations, 21modeling based on capability data and

performance baselines, 467–468People CMM supporting high performance, 87trends, 531

Performance alignment. See also OrganizationalPerformance Alignment

across the organization, 530–532among individuals, 526–529with business objectives, 41, 522–523defined, 584impact of workforce practices and activities on

alignment, 532–533within units, 527–529within workgroups, 526–527

Performance baselines. See also Capabilitybaselines

comparing critical competency-based processesagainst, 514

comparing critical competency-based processesagainst performance baselines, 514

defined, 463, 576–577developing for competency-based processes,

463–465in developing quantitative models of performance,

467–468individuals and workgroups establishing, 440for organizational capability management, 40, 449for quantitative performance management, 39, 431trends in, 531

Performance discussions, 210performance management and, 34, 59, 210regarding individual development, 331

Performance improvement plansbaselines used for, 440defined, 584development and use of, 225–226

Performance Management, 34, 210–230, 602–603.See also Quantitative PerformanceManagement

Ability to Perform, 213–216Commitment to Perform, 211–213communication regarding performance, 220–221defined, 584Description, 210discussing performance problems, 224documenting accomplishments, 221–224documenting objectives, 219empowered workgroups and, 407–408establishing measurable objectives, 216–217Goals, 211identifying improvements in processes, tools, or

resources for, 221improvement plans, 225–226Measurement and Analysis, 228–229mentors in, 488–489motivating and managing, 59orientation for, 216Practices Performed, 216–228Purpose, 34, 210recognition/rewards in, 226–228reviewing/revising individual objectives, 219–220reviewing/revising unit objectives, 217strategy for, 431, 441–442tracking unit performance, 218–219Verifying Implementation, 229–230

Performance management strategy, 431, 441–442Performance objectives

defined, 216, 584

664 Index

defining quantitative, 435–436documenting, 219, 331of empowered workgroups, 407–408establishing measurable, 216–217, 437–439feedback regarding performance relevant to

competency development, 331–332individual-level, 219–224, 436–439organization-level, 214reviewing/revising individual objectives, 219–220reviewing/revising unit objectives, 217tracking unit performance, 218–219tracking workgroup performance, 356–359unit-level, 216–218workgroup-level, 219, 436–439

Performance problems, identification andmanagement, 23, 224

Personal development plansalignment of, 319for career objectives, 317–318creating and maintaining, 317defined, 584evaluating individual performance based on, 332tracking development activities against, 320work assignments supporting, 330

Personal responsibility, executive managers taking,71

Personal work processescapability for, 501–503continuously improving, 505–506defined, 501, 585identifying opportunities for improvement,

503–504objectives and plans for, 504

Pfeffer’s principles, of Workforce management, 7Pfizer Worldwide Technology (WT), 124–132

CEF Flash Simulation, 129CEF Game, 131CEF Portal, 130–131deployment of Colleague Engagement Framework

(CEF), 128–129development of Colleague Engagement

Framework (CEF), 127–128next steps/future work, 132operating principles for implementing of People

CMM, 126overview of, 124reasons for adopting People CMM, 124–125

Physical environment. See Work environmentPlans

capability baselines in, 452, 524career, 315, 326, 391compensation. See Compensation plans

competency development. See Competencydevelopment plans

deployment plans for innovative practices andtechnologies, 551–552

for external recruitment, 170for improvement programs, 98–100overview of, 63–64performance improvement, 225–226, 440, 584personal development. See Personal development

plansfor personal work processes, 504for staffing, 164strategic workforce. See Strategic workforce

planssuccession planning for critical positions,

291–292training, 237–238, 239workforce. See Workforce plansworkgroup, 352–353

Policiesadjusting competency-related policies as needed,

336Career Development, 309–310Communication and Coordination, 185–186communication of, 187Compensation, 245, 253–254, 335Competency Analysis, 262Competency Development, 297Competency Integration, 382Competency-Based Assets, 414Competency-Based Practices, 324Continuous Capability Improvement, 496Continuous Workforce Innovation, 539defined, 585Empowered Workgroup, 396Mentoring, 475Organizational Capability Management, 450Organizational Performance Alignment, 523Participatory Culture, 364Performance Management, 211Quantitative Performance Management, 432Staffing, 160–162Training and Development, 232Work Environment, 198Workforce Planning, 279Workgroup Development, 340

Policy statements, 62Position openings

analysis, documentation, and approval of, 168communication of, 169managing, 168–169recruitment for, 169–170

Index 665

Position openings (Continued)recruitment process guided by workforce

competency objectives, 327–328selection process, 170–173selection process enhanced by considering

workforce competency objectives, 328transition into, 173–175

Positions, 585Practice statements, as structural component of

People CMM, 51–52Practices

alternative, 48, 110, 575communication of, 187competency-based. See Competency-Based

Practicesdefined, 48, 585defined and documented, 63effectiveness, 64–65, 553establishing best, 13goodness of, 80–81in immature organizations, 12–13implementation. See Implementation practicesimplementing People CMM practices with CMMI

continuous representation, 79implementing system of, 69–70innovative. See Innovative practices and

technologiesinstitutionalization. See Institutionalization practicesinterpreting, 61–62model for improving, 16overview of, 47–50People CMM as system of related, 55–56practice related to analysis of proposed work, 165practice-to-goal mappings, 49reasonable, 81statements, 51–52subpractices, 51, 588workforce. See Workforce practices

Practices Performeddefined, 585general categories of, 63–64implementation practices grouped as, 50

Practice-to-goal mappings, 49, 591–644Predictable Level: Maturity Level 4

benefits of adopting People CMM, 118–120building workgroups and culture, 58competency framework in, 28Competency Integration process area. See

Competency IntegrationCompetency-Based Assets process area. See

Competency-Based Assetsdeveloping individual capabilities, 57

Empowered Workgroups process area. SeeEmpowered Workgroups

integration of maturity-based improvementprograms, 101–102

Mentoring process area. See Mentoringmotivating and managing performance and, 59Organizational Capability Management process

area. See Organizational CapabilityManagement

organizational roles, 67overview of, 28–29performance-based management, 13–14process areas, 379Quantitative Performance Management process

area. See Quantitative PerformanceManagement

shaping the workforce, 60Preparation

Ability to Perform and, 62–63defined, 585

Prerequisite items, Ability to perform and, 63Press releases, reputation signals and, 114Principles, of People CMM, 6Procedures

assigning staffing procedures, 162common workgroup methods and procedures,

345–346, 577defined, 585vs. Defined Practices, 73–74documenting, 64documenting compensation procedures, 249–250,

253documenting concern-related procedures, 189–190promotion criteria and procedures, 316

Process abilitiescompetencies and, 267as component of workforce competency, 25defined, 585

Process areasbuilding workgroups and culture, 58defined, 31, 585description section, 45developing individual capabilities, 56–57goals, 47ignoring, 77implementation practices, 50institutionalization practices, 50–51motivating and managing performance, 59overview of, 45practices, 47–50profiles. See Process profilespurpose statement, 45

666 Index

shaping workforce, 60threads, 56

Process areas, Maturity Level 1, 31–32Process areas, Maturity Level 2

Communication and Coordination. SeeCommunication and Coordination

Compensation. See Compensationoverview of, 32–35Performance Management. See Performance

ManagementStaffing. See StaffingTraining and Development. See Training and

DevelopmentWork Environment. See Work Environment

Process areas, Maturity Level 3Career Development. See Career DevelopmentCompetency Analysis. See Competency AnalysisCompetency Development. See Competency

DevelopmentCompetency-Based Practices. See Competency-

Based Practicesoverview of, 35–37Participatory Culture. See Participatory CultureWorkforce Planning. See Workforce PlanningWorkgroup Development. See Workgroup

DevelopmentProcess areas, Maturity Level 4

Competency Integration. See CompetencyIntegration

Competency-Based Assets. See Competency-Based Assets

Empowered Workgroups. See EmpoweredWorkgroups

Mentoring. See MentoringOrganizational Capability Management. See

Organizational Capability Managementoverview of, 37–40Quantitative Performance Management. See

Quantitative Performance ManagementProcess areas, Maturity Level 5

Continuous Capability Improvement. SeeContinuous Capability Improvement

Continuous Workforce Innovation. SeeContinuous Workforce Innovation

Organizational Performance Alignment. SeeOrganizational Performance Alignment

overview of, 40–42Process assets, 585Process capability, 449, 586Process capability baseline. See Capability baselinesProcess dependencies. See DependenciesProcess descriptions, 586

Process element, 586Process groups, 586Process improvement

defined, 586identifying, 221identifying opportunities for, 507–508integrating People CMM with, 87internal process improvement (IPI), 582

Process maturity framework, 11–14defined, 586fifth level of maturity, 13–14first level of maturity, 12–13fourth level of maturity, 13–14Humphrey’s formulation of, 4overview of, 11–12second level of maturity, 13third level of maturity, 13

Process monitoring, 586Process owners, 116, 586Process performance

baselines, 440, 463–465defined, 586

Process profiles, 586Process tailoring

competency-based processes tailored byworkgroups, 350, 391

competency-based processes to businessactivities, 347–349

defined, 587Processes. See also Competency-Based Processes

appraisal methods for improving, 103–104audits of, 104for decision-making, 370–371defined, 585identifying improvements in, 221organizational role responsible for, 67People CMM supporting internal, 86–87work processes. See Personal work processes

Professional judgment, informed use of PeopleCMM, 79

Profound knowledge (Deming), 118Promotions

description of, 309documenting and maintaining promotion criteria

and procedures, 316opportunities, 316

Proposed work, analysis of, 165Purpose statement, 45

QQualified candidates, 170–172Quality Is Free (Crosby), 12

Index 667

Quality management maturity grid, 12Quality Management System, 102, 152Quantification, institutionalization practices and, 74Quantitative management

of capability, 452–453, 455–457of competency-based processes, 442–444of performance alignment, 533–534

Quantitative modelsfor capability management, 452–453, 455–457of performance, 467–468

Quantitative objectives. See also Performanceobjectives

for competency, 284for continuous improvement, 504, 509–510for continuous innovation, 547–548defined, 587for performance, 435–439

Quantitative Performance Management, 39, 431–448,630–631

Ability to Perform, 433–435applying quantitative results to practices and

activities, 446Commitment to Perform, 432corrective actions as needed, 444–445creating management strategies, 442–444defining quantitative performance objectives,

435–436Description, 431establishing measurable performance objectives,

436–439establishing process performance baselines, 440evaluating personal work processes, 503Goals, 431Measurement and Analysis, 446–447methods for, 441–442motivating and managing performance and, 59orientation for, 434Practices Performed, 435–446Purpose, 39, 431recording data, 445Verifying Implementation, 447–448

Quantitative records, 445Quantitatively managed processes, 587questionnaire-based analyses, 94–97

RReasonable workforce practices, 81Recognition

competency development and, 335–336defined, 587for outstanding performance, 212rewards compared with, 226–228

Recommendationsfor continuous improvement, 512incorporating into competency-based process,

517–518Recruitment

to meet workforce competency needs, 327–328planning external, 170position openings and, 169–170talent market and, 7–8

Reference models, 587References

defined, 587supplementary information in practice

statements, 52Relevant laws. See Laws and regulationsReputation signals, benefits of adopting People

CMM, 114–116Required model components, 53Resignation, voluntary, 179–180Resolution of concern, tracking of activities to

closure, 190Resolving conflicts, 375Resource profiles

creating for competencies, 274defined, 587

ResourcesAbility to Perform and, 62balancing workload with available, 166for Career Development, 311–312for Communication and Coordination, 186for Compensation, 246–247for Competency Analysis, 264for Competency Development, 298–299for Competency Integration, 383–384for Competency-Based Assets, 415for Competency-Based Practices, 325–326for Continuous Capability Improvement, 498for Continuous Workforce Innovation, 540–541for Empowered Workgroups, 397identifying improvements in, 221identifying required, 201–202for Mentoring, 476for Organizational Capability Management,

452–453for Organizational Performance Alignment,

524–525for Participatory Culture, 365for Performance Management, 214providing required, 204–205for Quantitative Performance Management,

433–434for Staffing, 163

668 Index

for Training and Development, 233for Work Environment, 199for Workforce Planning, 280–281for Workgroup Development, 341–342

Return on investment (ROI), 147–149Review. See Executive management reviewsRewards. See also recognition

competency development and, 335–336defined, 587for outstanding performance, 212recognition compared with, 226–228

ROI (Return on investment), 147–149Roles, 350, 587. See also Organizational rolesRoot cause

analysis of critical competency-based processes,515

analysis of defects, 14analysis of misaligned performance, 527, 531defined, 587

SSafety, in work environment, 205–206SAM (Self-Assessment Methodology), Intel IT,

133SCAMPI (Standard CMMI Appraisal Method for

Process Improvement)for appraisals, 92–93Class A appraisals, 104–105, 106–110, 149Class B appraisals, 104–105, 110–111Class C appraisals, 104–105, 111–112in joint appraisal, 93–97multimodel appraisals, 104–105, 112with People CMM, 103–106

SDMM (Service Delivery Maturity Model),Ericsson, 136

SEI (Software Engineering Institute). See SoftwareEngineering Institute (SEI)

Selection process, 170–175criteria, 170enhancing by focus on competency objectives,

328offering position to qualified candidate, 172for open positions, 171–172timeliness in attracting candidates, 173transition of candidates, 174–175

Self-Assessment Methodology (SAM), Intel IT, 133Service Delivery Maturity Model (SDMM),

Ericsson, 136Shared learning, 151Shewart-Deming improvement cycle (Plan-Do-

Check-Act), 11–12Siemens Information Systems Limited, 115

Six Sigma programsmentoring and, 487use of baselines and measures, 29

Skillscompetencies and, 267as components of workforce competency, 25critical, 168, 235defined, 587developing for integrated competency-based

processes, 389–390workgroups developing, 354–355

Skills Management System, 153Software Engineering Institute (SEI)

identification of improvement frameworks used inmultimodel settings, 87, 100–101

model for improving workforce practices, 16as People CMM Steward, 584role in development of SW-CMM, 12

Software organizationsemergence of People CMM in software industry,

14–16first level of maturity, 12–13improvements in software development process, 12

Staffing, 32–33, 159–182, 596–597Ability to Perform, 162–164balancing work assignments, 167–168balancing workload with available staff and

resources, 166–167based on competency objectives and career

objectives, 329Commitment to Perform, 160–162communicating position openings, 169defined, 587Description, 159–160discharge, 178–179Goals, 160handling position openings, 168–169individual/workgroup commitments and

accountability, 166Measurement and Analysis, 180–181planning/coordinating activities, 164Practices Performed, 164–180Purpose, 32–33, 159recruitment, 169–170resignation, 179–180selection process, 170–174shaping the workforce, 60unit representatives participating in, 175–176units analyzing proposed work, 165Verifying Implementation, 181–182workforce reduction and outplacement, 176–178workgroups to match business activities, 347–348

Index 669

Staged representation, 587Stakeholders, 588Standard CMMI Appraisal Method for Process

Improvement. See SCAMPI (Standard CMMIAppraisal Method for Process Improvement)

Standardsadopting People CMM to improve organizational

standards, 113People CMM supporting, 86–87

Stated values, 588. See also ValuesStatus, measurement and analysis and, 64Strategic competency needs, 288Strategic workforce objectives, 292Strategic workforce plans

defined, 588documentation, 287establishment of, 287–288tracking performance in meeting, 292–293workforce competencies in, 24–26

Structural components of People CMMgoals, 47implementation practices, 50institutionalization practices, 50–51maturity levels, 44–45overview of, 43practice statements, 51–52practices, 47–50process areas, 45

Structure (organization), adjusting to supportintegrated competency-based processes, 389

Subpractices, 51, 588Subprocesses, 588Succession plans

for critical positions, 291–292defined, 588

Supplementary information, in practice statements,51–52

Supplier selection, 588SW-CMM. See Capability Maturity Model for

Software (SW-CMM)

TTailoring

defined, 588by delegation, 406by empowered workgroups, 403, 406by workgroups, 347–350, 391

Talentcompetition in talent marketplace, 7–8shortage of software talent, 15–16shortages at Maturity Level 1, 20–21

Tata Consultancy Services (TCS), 149–153

Team Software Process (TSP), 487Teams. See also Empowered Workgroups;

WorkgroupsBoeing BRS team, 122–123building, 11competency ownership teams, 62defined, 588empowerment of, 78–79, 120Tata Consultancy Services (TCS) case study,

152–153Technology. See Innovative practices and

technologiesThreads, process areas, 56–60Time horizons, implementation issues, 69Tools, identifying improvements in, 221Top-down communication, 183Total quality management (TQM), 4, 11Tracking

competency development plans, 153, 293concern resolution process, 190personal plans, 320strategic workforce plan, 292training plans, 239unit performance, 218–219, 293workgroup performance, 356–359

TrainingAbility to Perform and, 63defined, 588

Training and Development, 34, 231–243, 604–605Ability to Perform, 233Commitment to Perform, 232in critical skills, 236–237Description, 231discussing individual needs, 239–240to enhance career options, 319Goals, 232graduated activities, 301identifying critical skills, 235identifying individual needs, 302identifying training needed, 56, 236–237Measurement and Analysis, 242performing as required, 238–239Practices Performed, 235–241Purpose, 34, 231records, 301supporting individual development objectives,

241tracking against training plan, 239unit planning for training needs, 237–238Verifying Implementation, 242–243

Training plans, 239Training records, 301

670 Index

Transition activities. See also Orientationhiring process and, 173providing orientation to workforce competencies,

329–330Trials, for innovative/improved practices and

technologies, 550–551TSP (Team Software Process), 487Turnover

churn in workforce, 22defined, 588–589reducing, 24, 114, 117

UUnit measures, aggregation of, 65Units

analyzing proposed work, 165balancing work assignments among, 167–168creating awareness of individual/workgroup

contributions, 367defined, 68, 584, 589documenting competency development

objectives, 330–331establishing measurable performance objectives,

436–437making performance-related information

available, 367planning for training needs, 237–238planning workforce activities, 288–290representatives participating in staffing,

175–176reviewing/revising performance objectives,

226–228reviewing/revising plan for workforce activities,

291role in improving alignment of performance,

527–529tracking unit performance, 218–219, 293training needs in, 589

Unsatisfactory performancedischarge due to, 178–179management of, 219

Updatingcompetency descriptions, 269–270competency information, 275competency-based assets, 424

VValues

communicating, 183, 188defined, 589for development and management of workforce,

184

encouraging open communication andparticipation in decision-making, 364

encouraging sharing knowledge, 414executive management documenting, 185inspirational, 144recognition and rewards reinforcing, 212

Verification-based appraisal, 109, 589Verifying Implementation

defined, 589as institutionalization practice, 51practices related to, 65–66

Voluntary resignation, identifying cause of, 179–180

WWaiver procedure, in competency development, 302Web sites, for reputation signaling, 114–116Web-enabled learning, 11Wipro, 87Work assignments

balancing among individuals and units, 167–168broadening, 116defined, 576developing individual capability for, 56in development discussions, 231enhancing personal and career development

objectives, 330outside normal work responsibilities, 319relationship to roles, 350–351special, 227, 241training and development and, 34, 231–232transitioning from staffing to, 33, 159–160when disbanding workgroups, 359within or across units, 174workgroup development and, 37

Work commitmentsbalancing with available resources, 157,

159–160changes in commitment impacting performance

objectives, 217defined, 216, 589empowered workgroups decision making methods

for, 402empowered workgroups negotiating, 401individuals/workgroups coordinating activities to

meet, 191–192individuals/workgroups making, 166interfaces for coordinating dependencies, 356monitoring/coordinating dependencies involved

in, 192overload and, 168units making, 167workgroups planning, 352–353

Index 671

Work Environment, 34, 197–209, 600–601Ability to Perform, 199–201Commitment to Perform, 198–199Description, 197Goals, 197health and safety issues, 205–206identifying physical environment and resources

required, 201–202impact on performance, 205individual/workgroup participation in decisions

regarding, 374–375Measurement and Analysis, 208minimizing distractions and interruptions, 207motivating and managing performance and, 59physical factors having a degrading impact on,

206–207Practices Performed, 201–207providing required physical environment and

workspaces, 203providing required resources, 204–205Purpose, 34, 197supporting continuous capability improvement,

518supporting empowered workgroups, 402–403supporting integrated competency-based

processes, 390Verifying Implementation, 208–209

Workforceadjusting workforce practices to accommodate

continuous improvement, 518–519applying evaluations of performance alignment to

other business and workforce activities, 534applying quantitative results to practices and

activities, 446Boeing Company improvement program, 121changing nature of, 7–8churn, 22composition, 80critical competencies, 455–458defined, 589delegating responsibility for workforce activities

to empowered workgroups, 404–405documenting needs of, 282–283empowered workgroup-related practices, 403empowered workgroups tailoring and adopting

workforce activities, 406evaluating opinions for improving working

conditions, 545executive management responsibilities for

improving, 72–73impact of workforce practices on aligning

performance, 532–533

increasing employee satisfaction, 114, 117input into compensation strategy, 249–250Intel IT development program, 135mentoring-related practices, 489–490reduction and outplacement, 176–178role of, 66–67shaping, 60support for use of competency-based assets,

427–428values for development and management of, 184

Workforce activitiesapplying evaluations to, 470defined, 589delegation of responsibility for, 404–405empowered workgroups tailoring and adopting,

406improvement of, 590tracking unit performance in conduct of, 293units planning for, 288–290units reviewing/revising plan for, 291

Workforce capabilitybaselines, 29defined, 5–6, 589improvement to, 114overview of, 449People CMM as basis for understanding, 92People CMM improving, 5–6responsibility of operational management, 72–73

Workforce competenciesanalyzing dependencies for integration

opportunities, 386–387anticipated, 26, 283, 296audit of, 277, 473career opportunities related to, 314–315communicating competency areas and

opportunities related to, 302compensation strategy and, 333–335competency development planning, 300–301critical. See Critical workforce competenciesdefined, 6, 25, 266, 589–590documenting, 268–269documenting performance objectives for,

330–331feedback regarding competency development,

331–332identifying, 266identifying components of, 267–268mentoring available for, 304, 486–487recognition/rewards for developing, 335–336recruitment and, 327–328selection process and, 328staffing decisions and, 329

672 Index

strategic nature of, 26strategic planning based on, 24–26transition activities providing orientation to,

329–330updating competency descriptions, 268–269workgroup use of integrated competency-based

processes, 392Workforce improvement proposal, 590Workforce innovation. See Continuous Workforce

InnovationWorkforce management

human capital management (HCM), 8–9Pfeffer’s principles of, 7shortages in software industry, 16

Workforce Planning, 36, 278–295, 610–611Ability to Perform, 280–282Commitment to Perform, 279–280creating competency development plans,

284–286defined, 590Description, 278documenting workforce needs, 282–283establishing measurable competency objectives,

284establishing/maintaining strategic workforce plan,

287–288Goals, 279Measurement and Analysis, 294Practices Performed, 282–293Purpose, 36, 278reviewing/revising competency development

plans, 286shaping the workforce, 60succession planning for critical positions,

291–292tracking objectives of competency development

plan, 293tracking objectives of strategic workforce plan,

292tracking unit performance, 293units planning for workforce activities, 288–290units reviewing/revising plan for workforce

activities, 291Verifying Implementation, 294–295

Workforce planscompetency development. See Competency

development plansexecutive management review of, 295strategic. See Strategic workforce planssuccession, 291–292, 588units planning for training needs, 237–238units planning for workforce activities, 288–290

units reviewing/revising plan for workforceactivities, 291

Workforce practicesbenefits of improving, 9–10Colleague Engagement Framework (CEF) and,

127–132defined, 590goodness of, 80–81institutionalizing at Pfizer Worldwide

Technology, 125in low-maturity organizations, 22Maturity Level 2 and, 22–23Maturity Level 3 and, 24organizational success and, 10–11People CMM as guide for improving, 89–91progressive introduction of, 5reasonable, 81reasons for implementing high-performance

workflow practices, 113–114Tata Consultancy Services (TCS) case study, 150

Workforce reduction, 176–178Workgroup Development, 37, 339–362, 618–619

Ability to Perform, 341–343analyzing work for process dependencies, 344assigning individual roles, 350–351building workgroups and culture, 58Commitment to Perform, 340–341communicating and coordinating dependencies

among roles, 353–354creating interfaces between dependencies, 356defining business activities and objectives,

344–345Description, 339developing needed skills, 354–355disbanding workgroups, 359–360Goals, 339–340identifying competencies needed, 346Measurement and Analysis, 361methods and procedures for common functions,

345–346planning activities and commitments, 352–353Practices Performed, 344–361Purpose, 37, 339recapturing assets of disbanded workgroups,

360–361staffing workgroups to match business activities,

347–348structuring work to optimizing coordination, 344tailoring competency-based processes to perform

business activities, 348–349tracking/monitoring performance, 356–359Verifying Implementation, 362

Index 673

Workgroups. See also Empowered Workgroupsadjusting practices to accommodate continuous

improvement, 518–519building, 58business activities and objectives defined by,

344–345business activities matched to, 347–348capturing information and artifacts for

competency-based processes, 418–419commitments and accountability of, 166competency-based assets used by, 425continuously improving capability and

performance, 510–511contribution to overall performance, 367coordinating efforts of, 191–192corrective actions based on quantitative

performance measurement, 444–445decision-making processes of, 372–373defined, 68, 590developing and empowering, 33empowering for continuous capability

improvement, 501empowering for continuous improvement, 544establishing measurable objectives for continuous

improvement, 509–510establishing measurable objectives for

performance, 437–439

establishing performance baselines, 440identifying opportunities for continuous

improvement, 507–508information and communication systems for,

368–369integrated competency-based processes used by,

391–392involving in decision-making processes,

374–375making needed information accessible to, 368management strategies for, 442–444mentoring for, 483–484methods for, 441–442, 577operating processes, 507, 590procedures, 577role in improving alignment of performance,

526–527tailoring competency-based processes to perform

business activities, 348–349training as required, 238–239

Workload, balancing, 166–167Workspace

individual, 581providing required, 203

Worldwide Technology (WT). See Pfizer WorldwideTechnology (WT)

674 Index

Documents

The SEI Series in Software Engineering