What is People CMM ?

A conceptual model based on state-of-the-art workforce practices to help organizations:

develop workforce required to execute business strategy characterize maturity of workforce practices set priorities for improving workforce capability integrate improvements in process and workforce become an employer of choice

Meaning of terms used

Workforce Practices - Processes, procedures, or guidelines for implementing the organizations workforce policies. A workforce practice specifies documented procedures, guidelines, and content for performing workforce activities in any people-related area (e.g., compensation, performance management, etc.). Workforce practices are typically documented and maintained by the human resources function or another appropriate group.

Meaning of terms used..

Workforce capability:
The readiness or preparedness of an organizations workforce to perform its business activities. Specifically, the level of knowledge, skills, and process abilities available to the organization in each critical workforce competency for performing committed work.

Simply put..
A conceptual model based on state-of-the-art processes/procedures or guidelines to help organizations:

develop workforce required to execute business strategy characterize maturity of workforce practices set priorities for improving the level of knowledge, skills, and process abilities available to the organization integrate improvements in process and workforce become an employer of choice

PCMM Threads & Key Process Areas Developing Building Motivating & Shaping the Levels (KPAs)
Competency workgroups & culture managing performance workforce

5 Optimizing 4 Predictable 3 Defined 2 Managed

Continuous Capability Improvement

Organisational Performance Alignment Quantitative Performance Management Competency based practices Career Development Compensation Performance Management Work environment

Continuous workforce Innovation Organisational Capability Management

Competency based assets Mentoring Competency Development Competency Analysis Training and Development

Competency Integration Empowered Workgroups Workgroup Development Participatory Culture Communication & Coordination

Workforce Planning

Staffing

Maturity Framework
Continuously improving practices Measured and aligned practices Tailored practices Managed practices

Level 5 Optimizing
Capability management

Level 4 Predictable
Team management

Level 3 Defined

Level 2 Managed
People management

Competence management

Level 1 Initial

Humphrey (1989), Paulk et al. (1995), Cutis et al. (1995)

People CMM Architecture

5 Optimizing 4 Predictable 3 Defined 2 Managed 1 Initial

Level

Focus
Capability and Performance continually improved. Capability is managed quantitatively and the Organization exploits its opportunities in its competency framework Organization develops a framework of workforce competencies required to accomplish its business objectives

Key Process Areas

Continuous Workforce Innovation Organizational Performance Alignment Continuous Capability Improvement Mentoring Organizational Capability Management Quantitative Performance Management Empowered workgroup Competency-Based Assets Competency Integration Participatory Culture Workgroup Development Competency-Based Practices Career Development Competency Development Workforce Planning Competency Analysis Compensation Training & Development Performance Management Staffing Communication & Co-ordination Work Environment

Managers take responsibility for managing and developing their people

Level 2 Key Process Areas

Level 2 Managed
Instill basic discipline into people related activities Compensation Training & Development Performance Management Staffing Communication & Coordination Work Environment

Level 1 Initial

Level 3 Key Process Areas

Level 3 Defined
Develop workforce competencies and workgroups, align with strategy. Participatory Culture Workgroup Development Competency-Based Practices Career Development Competency Development Workforce Planning Competency Analysis

Level 2 Managed

Level 4 Key Process Areas

Level 4 Predictable
Organizational Capability Management Quantitative Performance Management Competency-Based Assets Mentoring Empowered Workgroup Competency Integration

Level 3 Defined

Level 5 Key Process Areas

Level 5 Optimizing
Continuous Workforce Innovation Organizational Performance Alignment Continuous Capability Improvement

Level 4 Predictable

What is an Assessment?

Appraisal of an organization's current workforce practices:

Through trained team of 4 - 8 experienced professionals Questionnaire responses used on current practices Review of documents done Interviews with:

Process Owners of Workforce Practices Project Managers

Discussion sessions with non-managers Presentation of findings to sponsor

Assessment Principles
1) 2) 4) 5) 6) 7) Start with a reference model Involve senior management as sponsor Focus on sponsors business goals Observe strict confidentiality Approach assessment collaboratively Focus on actionable findings

Confidentiality of Data - 1

Accuracy of assessment results depends on: ability to speak freely no fear of retribution key factor for open communication is confidentiality All assessment information is confidential: questionnaire responses document reviews interviews with assessment participants discussions among assessment team members

Confidentiality of Data - 2

Confidential information will not be discussed with anyone outside the assessment team All assessment results will be presented without attribution to individuals or workgroups Assessment participants agree not to discuss information they learn from assessment confidential meetings with anyone other than the assessment team

Actionable Findings

Findings crafted for improvement actions Findings for which actions cannot be taken should be dropped Assessment should be followed immediately by: strategic decisions on issues to be addressed action plans

Assessment Phases
Preparing Surveying Assessing Reporting
Month 1 Month 2 Month 3 Month 4 Month 5

Hefley & Curtis (1998)

Preparing Phase Tasks

Secure sponsor Determine scope Obtain commitment Establish infrastructure Plan assessment Train team Arrange logistics Month 1 Month 2 Month 3

Surveying Phase Tasks

Select sample Prepare logistics Administer survey Analyze results Month 2 Month 3

On-Site Assessment Tasks

Monday
Organize team Brief participants Analyze surveys Review documents Script interviews Interview process owners

Tuesday
Interview process owners Consolidate process owner data Follow-up interviews Interview managers Consolidate manager data

Wednesday Thursday
Workforce discussions Consolidate workforce data Develop preliminary findings Prepare findings briefing Review with Legal Review with process owners Review with managers Review with workforce Revise findings Complete briefing

Friday
Present findings Debrief sponsor Wrap-up assessment

Reporting Tasks
Complete final report Report results
Month 5

Assessment Participants

Sponsor: executive or senior manager publicly supports process improvement activities receive Final Findings Briefing and Final Report Process owners: participate in interviews review draft findings Managers: participate in interviews review draft findings Non-managers/Individual contributors: participate in workforce discussions review draft findings

Assessment Team

Composition: SEI-authorized Lead Assessor at least 1 member from assessed organization 3-7 additional members Desirable members: person responsible for workforce improvements Member involved in quality aspects in organization Ineligible members: middle and senior managers managers of assessment participants

Assessment Team Leader

Usually, but not always, the Lead Assessor: Lead Assessor always responsible for overall assessment must act as coach if not team leader Assessment responsibilities: verify assessment team meets qualifications and requirements conduct assessment team training use SEI-authorized materials ensure process fidelity and quality during assessment submit reports to the People CMM Assessment Repository

Assessment Team Members

Combined experience: 25 yrs. - business competencies of assessed organization 10 yrs. - management Individual experience: 5 yrs. - business competencies of assessed organization 6 yrs. - management (at least 1 member) 5 yrs. - Human Resource or equivalent (at least 1 member) completed 3-day Mastering the People CMM completed 2-day People CMM Assessment Team Training Responsibilities: must attend ALL assessment team activities must be on-time must participate actively

Team Roles1

Site Coordinator: arrange site logistics organize site activities and people assist Lead Assessor Survey facilitators: arrange survey logistics monitor survey administration Librarian: collect and organize documents for review manage document checkin-checkout during assessment dispose of documents

Team Roles2

Key Process Area Mini-team: focus on selected Key Process Areas throughout assessment organize data and develop observations develop findings evaluate practices and goals Session facilitator: manage conduct of session manage progress through script Recorder: capture notes from session for interviewer make list of requested documents

Team Consensus

Assessment results emerge from the teams knowledge of the: assessed organization People CMM assessment method Each assessment team member must agree to the teams findings: consensus objectivity

Consensus

Consensusfinding an acceptable outcome that: all team members can support no team member opposes: can live with the decision do not feel coerced do not feel the decision is wrong can support the decision publicly after they leave the room maintains team integrity and mission focus Consensus is not: unanimous votemay not reflect everyones first priorities majority voteminority must be content with outcome making all team members totally satisfied

People CMM Questionnaires

2 different questionnaires: manager - what practices do you perform individual contributor - what practices do you experience 3 types of questions: general information and demographic questions organizational and workgroup effectiveness practices grouped by Key Process Area Within each Key Process Area: introductory paragraph setting context definitions of terms used in the questions space for comments

Stratifying the Sample

Balance the sample by proportionally representing: major organizational components (division, department, etc.) work groups grade or level job type or category type of work or project years of professional or organizational experience gender, or other important individual characteristics Invite survey participants early: block calendars time to replace those who decline

Survey Administration

Administer in large groups (e.g., cafeteria): ample writing space free of distractions survey facilitators must be able to move among participants Open with assessment participants briefing: explain the People CMM explain assessment process explain confidentiality Individual administration: only as last resort survey facilitator available by phone

Completing the Surveys

People CMM questionnaires are not: a test an introduction to the People CMM the basis for a maturity rating Encourage: questions about terminology writing comments responding dont know when appropriate Survey results are only one input to the assessment process

Analyzing Survey Responses

Team members individually: review aggregate responses note response patterns and comments Key Process Area mini-teams: consolidate results into observations take notes for use in scripting interviews identify additional information needed Entire assessment team: reviews trends across Key Process Areas agree to areas of special focus

Example - Survey Result

To what extent have you received the training you need to perform your work? 22 very great extent 146 great extent 279 some extent 83 little extent 41 very little extent 54 do not know

Comments: Training was provided too late to be useful on my job Training was too genericunrelated to our applications Mentoring by senior programmers helped more than classroom training By the time the training was provided I had transferred to another project and needed knowledge of a different application Why doesnt someone train my manager? Training helped greatly, could have used more Training came too late to help, I had to learn it all on my own I didnt have time to take training based on our tight project schedule

Evaluating Survey Responses

Items to review for each question: mean, mode, and standard deviation % responses to the 2 most favorable categories % responses to the 2 least favorable categories % responses of dont know volume and content of comments made by participants how responses compare to those on similar questions how responses compare between manager and non-manager questionnaires What to look for: clear strengths or weaknesses inconsistent response patterns that need clarification issues facing the organization

ST.AC.10

Examples of Survey Observations Would you please

W

58% of the respondents indicated they had little or very little involvement in staffing processes.
Non-Mgr. Ques. #26 CP.AC.1 B.J. W

describe how people in your unit are involved in staffing processes.

CP.AC.1

64% of managers indicate they do not understand the compensation strategy many comments questioned its existence.
Mgr. Ques. #52 D.T.

Need to see documented compensation strategy

B.J.

Reviewing Documents

When: week prior to first day of Assessing Phase as needed during Assessing Phase Issues: are practices documented? are the documented practices performed? is there adequate infrastructure to support the practices? Types: organizational level unit level individual level

Organizational Level Documents

Purpose: establish requirements for what should be done establish commitment for doing it identify constraints on how practices should be performed Examples: policies strategic and operational plans definition of roles and procedures training plans for those responsible for performing practices defined, organization-wide workforce management processes competency analyses and profiles analyses of organizational trends in practices salary surveys

Unit Level Documents

Purpose: define procedures to be used in a unit establish plans for performing practices capture results of performing practices within a unit Examples: selection procedures staff meeting notes showing communication of events unit performance goals or criteria training or competence development plans compensation plan for unit orientation procedures for new members of the unit definitions of decision-making procedures records of team-building activities

Individual Level Documents

Purpose: individualizes the performance of a practice documents results of applying a practice provides guidance Examples: evaluation forms from a selection process individual development plan completed performance appraisal form notification of salary adjustment announcement of a reward or recognition career plan team performance goals or criteria tracking of personal performance data

Interviewing
3 types of tasks: scripting interviews conducting interviews consolidating data 4 types of sessions: process owner interviews manager interviews workforce discussions follow-up interviews (optional)

Workforce Interview Logistics

Seating: interviewer needs good eye contact with all interviewees interviewees need to hear and see each other as well as the assessment team members assessment team members should be seated intermingled with interviewees Interview management: may start with open discussion, if desired interviewer asks questions draw out those interviewees who are silent keep individuals from dominating the discussion move discussion to new topics when little new information is emerging

Follow-up Interviews
When do you hold a follow-up interview? when there are holes in Key Process Area coverage to clarify previous information or resolve inconsistencies to understand specifics on a particular topic include an opinion leader that was inadvertently left out to include someone who missed a scheduled interview When: during openings in schedule before or after hours during lunch at beginning of findings generation

Interview Management

Keep the interview focused and progressing Tangents: can provide information not available any other way, but need to be controlled by interviewer Orient interviewee to the questions: indicate topic changes - I now want to ask some questions about when interviewee digresses, gently lead them back to the path keep interviews from appearing unstructured

Question Categories

Open ended questions: does not presuppose the answer provides opportunity to express ideas and concerns allows spontaneous, unstructured responses Direct questions: may presuppose the answer asks for specific information Meta questions: questions about questions used to guide the interview process

Open-Ended Questions

Would you please describe how you staffing is performed in your unit? Would you please describe how you handle unsatisfactory performance? Would you please describe how compensation decisions are handled in your unit?

Do you hire the most qualified candidate?