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People Capability Maturity Model (P-CMM) Version 2.0, Second Edition People Capability Maturity Model (P-CMM) Version 2.0, Second Edition Bill Curtis Bill Hefley Sally Miller July 2009 TECHNICAL REPORT CMU/SEI-2009-TR-003 ESC-TR-2009-003 Software Engineering Process Management Unlimited distribution subject to the copyright. http://www.sei.cmu.edu This report was prepared for the SEI Administrative Agent ESC/XPK 5 Eglin Street Hanscom AFB, MA 01731-2100 The ideas and findings in this report should not be construed as an official DoD position. It is published in the interest of scientific and technical information exchange. This work is sponsored by the U.S. Department of Defense. The Software Engineering Institute is a federally funded research and development center sponsored by the U.S. Department of Defense. Copyright 2009 Carnegie Mellon University. NO WARRANTY THIS CARNEGIE MELLON UNIVERSITY AND SOFTWARE ENGINEERING INSTITUTE MATERIAL IS FURNISHED ON AN "AS-IS" BASIS. CARNEGIE MELLON UNIVERSITY MAKES NO WARRANTIES OF ANY KIND, EITHER EXPRESSED OR IMPLIED, AS TO ANY MATTER INCLUDING, BUT NOT LIMITED TO, WARRANTY OF FITNESS FOR PURPOSE OR MERCHANTABILITY, EXCLUSIVITY, OR RESULTS OBTAINED FROM USE OF THE MATERIAL. CARNEGIE MELLON UNIVERSITY DOES NOT MAKE ANY WARRANTY OF ANY KIND WITH RESPECT TO FREEDOM FROM PATENT, TRADEMARK, OR COPYRIGHT INFRINGEMENT. Use of any trademarks in this report is not intended in any way to infringe on the rights of the trademark holder. Internal use. Permission to reproduce this document and to prepare derivative works from this document for internal use is granted, provided the copyright and "No Warranty" statements are included with all reproductions and derivative works. External use. This document may be reproduced in its entirety, without modification, and freely distributed in written or electronic form without requesting formal permission. Permission is required for any other external and/or commercial use. Requests for permission should be directed to the Software Engineering Institute at [email protected]. This work was created in the performance of Federal Government Contract Number FA8721-05-C-0003 with Carnegie Mellon University for the operation of the Software Engineering Institute, a federally funded research and development center. The Government of the United States has a royalty-free government-purpose license to use, duplicate, or disclose the work, in whole or in part and in any manner, and to have or permit others to do so, for government purposes pursuant to the copyright license under the clause at 252.227-7013.). Table of Contents List of Figures iii Abstract xiii 1 The People Capability Maturity Model Overview: Background, Concepts, Structure, and Usage 1 1.1 The Process Maturity Framework 3 1.2 Organizational Maturity 4 1.3 What Is the People CMM? 5 1.4 Factors Driving the Demand for the People CMM 7 1.5 What Is the Process Maturity Framework? 11 1.6 Why Did the People CMM Emerge in the Software Industry? 14 1.7 How Is the People CMM Being Applied? 16 2 Increasing Organizational Capability Through the People CMM 17 2.1 Maturity Levels in the People CMM 17 2.2 Behavioral Characteristics of Maturity Levels 18 2.2.1 The Initial Level: Maturity Level 1 18 2.2.2 The Managed Level: Maturity Level 2 20 2.2.3 The Defined Level: Maturity Level 3 23 2.2.4 The Predictable Level: Maturity Level 4 26 2.2.5 The Optimizing Level: Maturity Level 5 28 3 People CMM Process Areas 29 3.1 Process Area 29 3.2 The Process Areas of the People CMM 29 3.2.1 The Initial Level: Maturity Level 1 30 3.2.2 The Managed Level: Maturity Level 2 30 3.2.3 The Defined Level: Maturity Level 3 33 3.2.4 The Predictable Level: Maturity Level 4 37 3.2.5 The Optimizing Level: Maturity Level 5 39 4 The Architecture of the People CMM 43 4.1 Structural Components of the People CMM 43 4.2 Maturity Levels 44 4.3 Process Areas 44 4.4 Goals 45 4.5 Practices 49 4.5.1 Implementation Practices 50 4.5.2 Institutionalization Practices 51 4.5.3 Practice Statements 51 4.6 Required, Expected, and Informative Components 54 5 Relationships Among Process Areas 57 5.1 A System of Related Practices 57 5.2 Process Area Threads in the People CMM 57 5.2.1 Developing Individual Capability 59 5.2.2 Building Workgroups and Culture 60 5.2.3 Motivating and Managing Performance 61 5.2.4 Shaping the Workforce 62 i | CMU/SEI-2009-TR-003 6 Interpreting the People CMM 64 6.1 Interpreting the Practices 64 6.1.1 Commitment to Perform 65 6.1.2 Ability to Perform 65 6.1.3 Practices Performed 66 6.1.4 Measurement and Analysis 67 6.1.5 Verifying Implementation 68 6.2 Organizational Roles and Structure 69 6.2.1 Organizational Roles 69 6.2.2 Organizational Structure 71 6.3 Implementation Issues 72 6.3.1 Time Horizons 72 6.3.2 Levels of Organizational Structure 72 6.3.3 Evolving Practice Implementations across Maturity Levels 72 6.3.4 Implementing a System of Practices 73 6.4 Institutionalization Issues 73 6.4.1 Executive Management Responsibilities 74 6.4.2 Maturity Level 2 Procedures versus Maturity Level 3 Defined Practices 77 6.4.3 Defined, but Not Quantified or Optimized 77 6.5 Maturity Level Concerns 78 6.5.1 Maturity Level 3 Is Enough! 78 6.5.2 Level Fever 78 6.5.3 Skipping Maturity Levels 79 6.5.4 Ignoring Process Areas 80 6.5.5 Implementing Practices out of Maturity Level Sequence 80 6.5.6 Implementing People CMM Practices with CMMI Continuous Representation 82 6.6 Applying Professional Judgment 82 6.6.1 Organizational Factors 83 6.6.2 Goodness of Workforce Practices 83 7 Using SCAMPI with People CMM 86 7.1 SCAMPI with People CMM Appraisal Method 86 7.2 SCAMPI with People CMM—Class A Appraisals 90 7.3 SCAMPI with People CMM—Class B Appraisals 95 7.4 SCAMPI with People CMM—Class C Appraisals 96 7.5 Multi-Model Appraisals 96 8 Process Areas of the People Capability Maturity Model 98 8.1 The Managed Level: Maturity Level 2 98 8.2 The Defined Level: Maturity Level 3 195 8.3 The Predictable Level: Maturity Level 4 312 8.4 The Optimizing Level: Maturity Level 5 422 Appendix A: References 481 Appendix B: Acronyms 500 Appendix C: Glossary of Terms 504 Appendix D: Practice-to-Goal Mappings for People CMM Process Areas 531 ii | CMU/SEI-2009-TR-003 List of Figures Figure 1.1: The principles underlying the People CMM 6 Figure 1.2: Critical success factors for managing human capital strategically. Source: [GAO 02] 9 Figure 1.3: Types of organizations around the world using the People CMM 16 Figure 2.1: The five maturity levels of the People CMM. Adapted from Humphrey [1989] and Carnegie Mellon University [1995] with permission. 18 Figure 2.2: Hierarchy of competency abstractions 24 Figure 2.3: Individual competency is comprised of the knowledge, skills, and process abilities an individual possesses 24 Figure 3.1: Process areas of the People CMM 30 Figure 3.2: Relationships among Maturity Level 2 process areas 31 Figure 3.3: Relationships among Maturity Level 3 process areas 33 Figure 3.4: Relationships among Maturity Level 4 process areas 37 Figure 3.5: Relationships among Maturity Level 5 process areas 40 Figure 4.1: Structure of the People CMM 44 Figure 4.2: Process areas of the People CMM 47 Figure 4.3: Implementation and institutionalization practices mapped to process area goals 50 Figure 4.4: Examples of practice statements 52 Figure 4.5: Relationships of model components in the People CMM 55 Figure 6.1: Process threads in the People CMM 58 Figure 6.1: Developing competency and capability across maturity levels 73 Figure 7.1: Characteristics of People CMM appraisal types 89 Figure 7.2: Essential characteristics of a SCAMPI Class A with People CMM appraisal 91 Figure 7.3: Key differences in requirements for SCAMPI appraisal classes. Source: [SCAMPI 06a] 95 Figure A.1: People CMM process areas 533 iii | CMU/SEI-2009-TR-003 iv | CMU/SEI-2009-TR-003 Preface The Need for an Agile Workforce Organizations are now competing in two markets, one for their products and services and one for the talent required to produce or perform them. An organization’s success in its business markets is determined by its success in the talent market. At the very time that business markets are ex- panding, talent markets seem to be shrinking. As the knowledge required to build products and deliver services increases, the retention of experienced employees becomes critical to improving productivity and time to market. In areas such as software development and nursing, the shortage of talent is so great that companies are beginning to offer incentives that were once available only to executives or professional athletes. In every domain of business, 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 retention. Competing for talent and recruiting the best is not enough, and focusing just on winning the “tal- ent wars” can be damaging to the organization [Pfeffer 01]. As agility in responding to continual change in technological and business conditions has become critical to success, organizations must strive to create learning environments capable of rapidly adjusting to the changes engulfing them.
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