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Workforce Maturity Model 12/12/14 © 2014 Amit Mitra and Larissa Zhurakovskaya.

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Presentation on theme: "Workforce Maturity Model 12/12/14 © 2014 Amit Mitra and Larissa Zhurakovskaya."— Presentation transcript:

1 Workforce Maturity Model 12/12/14 © 2014 Amit Mitra and Larissa Zhurakovskaya

2 Evolution of Workforce Maturity Level 2 (repeatable) Focus on Managers’ responsibility for managing and developing their people Level 1 (Initial) Unpredictable, poorly managed work force Level 3 (Defined) Develop workforce competencies and workgroups to align with business strategy and objectives Level 4 (Managed) Empower the workforce by driving responsibility and accountability for decisions to the point of action at lowest organizational level, and integrating workforce competencies to manage performance quantitatively Level 5 (Optimizing) Focus on Continual improvement and alignment of personal, workgroup, and organizational capability MATURITY OF HUMAN RESOURCE MANAGEMENT

3 LEVEL 2 ANALYSIS HIERARCHY CAPABILITY LEVEL 2 Managers Manage and Develop Their People STAFFING Goals: Involve unit-level individuals/workgroups in making commitment to balance unit workload/staffing Recruit candidates for open positions Staffing/work assignments based on qualifications Orderly inter-position transitioning Institutionalization of staffing processes GOALS OF KEY PROCESS AREAS (KPAs) Process Capability COMMUNICATION AND COORDINATION Goals: Information sharing across the organization Individuals/groups’ ability to raise concerns and have them addressed by management Coordination amongst individuals/workgroups Institutionalization of communication and coordination practices WORKFORCE ENVIRONMENT Goals: Available physical environment and resources as dedicated by assignments Minimal distractions Institutionalization of work environment practices PERFORMANCE MANAGEMENT Goals: Documented unit and individual performance objectives for committed work Regular discussion of committed work with goal of improvement Management of performance problems Recognition/rewarding of outstanding performance Institutionalization of Performance Management TRAINING AND DEVELOPMENT Goals: Availability of timely training to individuals who need it to perform assignments, in accordance with unit’s training plan Professional development opportunities for already capable individuals Institutionalization of Training and Development COMPENSATION Goals: Planned, executed and communicated compensation strategies and activities Equitable compensation relative to skill, qualifications and performance Defined criteria for compensation adjustments Institutionalization of Compensation practices Effective staffing Appropriate training and development Appropriate work environment and tools Effective communication and coordination Appropriate Compensation Effective performance Unless otherwise noted, Level 2 goals are targeted toward the unit level.

4 STAFFING Goals: Involvement of unit-level individuals/workgroups in making commitment to achieve balancing of unit workload/staffing Recruitment of candidates for open positions Staffing/work assignments based on qualifications Orderly inter-position transitioning Institutionalization and management of staffing processes Ability Measure & Analyze Monitor Implementation KPA Execution (activities) Ensure that Staffing meets documented policies, procedures, plans. Address non-compliance. Verify that: Have executive management periodically review Staffing activities, status, results, issues/resolution. Address: INSTITUTIONALIZING STAFFING Collect real time unit data Make & maintain performance measurements Assign an individual in each unit to ensure Staffing is performed Train/acquire team members Provide adequate resources /funds Orient team members in Staffing group’s business value, charter, values, role-responsibilities & authority It complies with org. policies & stated values It complies with relevant laws & regulations Non-compliance issues are handled appropriately It follows documented policies & procedures Collect and maintain unit measures of Staffing activities CAPABILITY LEVEL 2 Managers Manage and Develop Their People Commitment Institutionalization & management of staffing processes Filling open positions Attracting selected candidates Workforce reduction/outplacement Balancing workloads Progress in Staffing Results from reviews Trends Status of issue resolution Effectiveness Document policy for conducting staffing. Maintain it. Address: Assign organizational role to assist & advise Staffing Making work commitments Declaring positions to open Recruiting candidates Documenting open position needs & selection criteria Announcing position availability Developing a list of qualified candidates Evaluating & selecting candidates Background & reference checks Communicating outcome to candidates Transitioning candidates into their new positions Handling confidential selection information Orienting candidates to the org. Handling retirements Internal candidate transfers Voluntary resignations Notifying the workforce of outplacements & resignations Discharges for unsatisfactory performance/cause Handling job abandonment Processing workforce reductions & outplacements Appropriate use of Staffing data Use of procedures Compliance with business objective & stated values Compliance with laws & regulations Workload balancing Staff member involvement in making work commitments Assigned responsibilities for initiating, conducting, & approving staffing decisions Use of procedures Established procedures for: Protection of individuals’ rights & dignity Staffing activities comply with relevant laws, regulations, policies Reasons for voluntary separation

5 KPA Execution (activities) Have individuals & workgroups participate in making their work commitments Plan/Coordinate Staffing according to policy/procedure Analyze assigned work to determine required effort & skills Analyze assigned work to determine required types of tasks & effort Identify types of skills needed for assigned work STAFFING Goals: Involvement of unit-level individuals/workgroups in making commitment to achieve balancing of unit workload/staffing Recruitment of candidates for open positions Staffing/work assignments based on qualifications Orderly inter-position transitioning Institutionalization and management of staffing processes CAPABILITY LEVEL 2 Managers Manage and Develop Their People Recruit- ment of candidates for open positions Involvement of unit-level individuals/workg roups in making commitment to achieve balancing of unit workload/ staffing Base Staffing on needs of the units Track Staffing Adhere to policy & procedure Define unit activities with assistance from HR & org. Staffing group Obtain managerial approval for activities Document unit’s work commitments that balance its work load with staff & resources Ensure that unit’s committed work is consistent with individual commitments Only make commitments for which there are resources & staff Negotiate commitments Identify potential position openings, if additional staffing is needed If no positions are available, adjust commitments Document commitments Manage individual work assignments to balance committed work among individuals & units Evaluate workloads & adjust commitments to avoid overload Seek opportunities to plan staff redeployment when work is nearing completion Coordinate, when staff is assigned to several units: To prevent overloads Expectations for timing of results To resolve commitment conflicts To allocate responsibilities for individuals’ efforts Analyze, document & approve unit’s open positions Propose open position when assigned work exceeds capacity Document open position tasks Document required skills Determine primary candidate source Obtain approval for opening based on: Increased workload Budget Departed staff Other criteria Widely communicate position openings Select communication mechanisms Communicate position throughout the organization Communicate position within the unit, so members can help recruit Recruit qualified individuals Attract qualified individuals Coordinate with org. level recruiting Use external & internal resources Encourage unit members to help with recruiting Coordinate org. level external recruiting with unit level needs Plan & coordinate responsibilities for recruiting at two levels Identify candidate sources Communicate open positions externally Follow up with external sources Coordinate interest STAFFING ACTIVITIES Orderly inter- position transitions Define scope of work, work products & services. Communicate to those who will perform them Have individuals review assigned work & approve its inputs/triggers Involve individuals in: Estimating resources, effort & schedule Negotiating schedule/scope/resource balance Establishing commitments Approving unit’s work commitments Reviewing progress & rebaselining commitments Replanning committed work Analyze assigned work to determine types of tasks and effort required to perform them Identify types of skills needed to perform assigned work Analyzing how work should be allocated Workgroups as Projects A project team is synonymous with a workgroup in IT and other project-focused settings.

6 KPA Execution (activities) STAFFING Goals: Involvement of unit-level individuals/workgroups in making commitment to achieve balancing of unit workload/staffing Recruitment of candidates for open positions Staffing/work assignments based on qualifications Orderly inter-position transitioning Institutionalization and management of staffing processes CAPABILITY LEVEL 2 Managers Manage and Develop Their People Staffing/ work assignments based on qualifications Orderly inter- position transitions STAFFING ACTIVITIES Ensure org. is timely in attracting the selected candidate Design staffing processes with timely response Attempt to coordinate position arrangements with candidate’s expectations Negotiate terms of the position with the candidate Transition new hire into the new position Ensure unit member participating in staffing Ensure unit member participation in staffing Periodically review staffing status of staffing with all unit members Review & document lessons learned Conduct workforce reduction & outplacement Review reduction/outplacement it protects individual dignity, complies policies, external regulations Define retention/release criteria & plan outplacement Consistently apply criteria to all affected Communicate reduction/outplacement to those affected Make discharged staff aware of openings Discharge staff Communicate outplacements to those impacted Communicate retention of essential staff to reinforce their retention Define selection process & criteria for each open position Define selection criteria from: Define evaluation activities (interviews, tests, etc.) Define selection processes from criteria & activities Ensure HR, legal compliance, appropriateness Communicate processes to workforce & candidates Tasks, job characteristics, work conditions Candidate characteristics Other needed skills Staffing objectives Conduct selection process for each position Compile, maintain & retain candidate list Identify candidate short list Implement selection process Provide candidates with position information, so they evaluate themselves Check selected candidates references & background Have unit members participate in selection Maintain documentation from the selection Offer positions to best fit candidates, based on skills & qualifications Consistently apply selection criteria to all candidates Compare all qualified candidates & select the most fit Provide timely feedback to all candidates Discharge staff for unsatisfactory performance Review decision with appropriate managers & HR before discharge Inform staff of behaviors that could result in discharge Document actual unacceptable behaviors/performance & discuss with perpetrator Discharge individual Communicate discharge to those impacted Identify & address causes for voluntary resignation Take actions to increase retention Identify causes for voluntary resignation through: Offer departing staff an opportunity to talk to someone other than their manager about resignation causes Make corrections if trends voluntary resignation causes emerge For internal transfers, complete or reassign former work activities Assign responsibilities for transition Plan & perform transition Provide orientation to: Unit Org. Personal discussions Exit interviews Other means

7 COMMUNICATION AND COORDINATION Goals: Information sharing across the organization Individuals/groups’ ability to raise concerns and have them addressed by management Coordination amongst individuals/workgroups Institutionalization of communication and coordination practices Ability Measure & Analyze Monitor Implementation KPA Execution (activities) Have a responsible individual verify that Communication & Coordination is conducted correctly. Verify that: Have executive management periodically review Communication & Coordination activities, status, results; resolve issues. Verify: INSTITUTIONALIZING COMMUNICATION AND COORDINATION CAPABILITY LEVEL 2 Managers Manage and Develop Their People Commitment Institutionalization of communication and coordination practices Have executive management establish & communicate org.-wide workforce development & management values: Document a Communication & Coordination policy. Maintain it. Address: Assign org. role to assist & advise units on Communication & Coordination Train/acquire/prepare Communication & Coordination team. Ensure they: Assign an individual to ensure Communication & Coordination in each unit Provide adequate resources Understand units’ roles & responsibilities, their interfaces & protocols Develop Communication & Coordination key performance indicators (KPI’s) Make measurements of the KPIs and use them to determine activities’ status & performance Collect & maintain unit measures of activities Analyze collected Have units collect data Aggregate data as needed to determine trends It complies with policies & stated values It complies with all relevant laws & regulations It uses documented practices & procedures Noncompliance issues are handled appropriately Effectiveness Progress Results from reviews Trends, including: Resolutions of concerns comply with policies & procedures Status of issue resolution Communication issues trends Rates of serious communication problem occurrence & reduction Number of concerns raised & resolution rate Document values for people-related behavior Publicly endorse values Ensure values are communicated to all workforce members Derive policies & procedures Establishes mechanisms to ensure that all workforce activities comply with values Enforce corrections to non-compliance Ensure that executive decisions comply with values Relationship to business objectives, plans, org. values Importance of maintaining an open environment that support multidirectional information flow Communication requirements for org. wide information Requirements for developing staff communication skills Opportunities for raising & resolving concerns Establishing & meeting work dependency commitments Staff communication or interactions’ potential to create a hostile work environment Compliance with laws, regulations, policies Support resources Experienced individuals Adequate funding Adequate Resources Unless otherwise defined, “Adequate Resources” include funding, experienced staff, support resources, activity participation time and organizational asset inputs throughout this tool.

8 COMMUNICATION AND COORDINATION Goals: Information sharing across the organization Individuals/groups’ ability to raise concerns and have them addressed by management Coordination amongst individuals/workgroups Institutionalization of communication and coordination practices Coordination amongst individuals/ workgroups COMMUNICATION AND COORDINATION ACTIVITIES Individuals/ groups’ ability to raise concerns and have them addressed by management Information sharing across the organization CAPABILITY LEVEL 2 Managers Manage and Develop Their People KPA Execution (activities) Seek staff’s opinion on working conditions Analyze inputs & prepare results Collect input Acknowledge the receipt of opinions When appropriate, communicate results, decision & needed actions Ensure opinion confidentiality or obtain permission to share Allow staff to raise concerns Develop procedure that specifies how to: Allow staff to raise concerns to any level of mgmt Allow staff to appeal concern resolution to higher mgmt. Track concern resolution to closure Make corrections when there is no progress on resolution Assign responsibilities for tracking concern status Review status of open concerns with mgmt Communicate work-related policies o the workforce Inform staff of policies & practices Communicate changes Periodically evaluate workforce awareness of people-related policies/practices Make corrections when misunderstandings arise Communicate org. values, events, conditions to the workforce Share work-related information across units in a timely manner Designate unit staff to: Assist in work- related comm. from the org level Develop interpersonal communication skills needed for effective working relationships Sensitize staff to cultural issues that influence communication styles Identify the need Identify & carry skills development Monitor & coordinate work dependencies Identify work dependencies with other units Agree on information sharing approach Ensure work information is shared in a timely manner Ensure that unit staff receive external information in a timely manner Ensure that unit staff communicate externally in a timely manner Correct communication breakdowns Raise a concern Track concern & resolution Provide responses Conduct & record a resolution discussion Follow up after problem-solving meetings Escalate a concern if it cannot be resolved Handle interpersonal problems or conflicts that damage relationships appropriately Coordinate activities to accomplish committed work Making collaborative decisions about how to organize & perform work Organize & perform work Establish mutually agreeable mechanisms for coordinating dependent work Analyze committed work to identify dependencies Agree on dependencies Document agreements Communicate in advance when dependencies cannot be met Revise dependencies through mutual agreement Conduct meetings to make the most effective use of time Plan meeting purpose, objectives, procedures & distribute agenda Develop guidelines for maximizing meeting efficiency Call meetings only if they offer sufficient return on time investment During meeting, maintain focus & accomplish purpose During meeting, encourage participation Assign actions & track to completion Workshops Training Mentoring

9 WORKFORCE ENVIRONMENT Goals: Available physical environment and resources as dedicated by assignments Minimal distractions Institutionalization of work environment practices Ability Measure & Analyze KPA Execution (activities) Assign an individual to ensure that unit Work Environment activities are performed Train/acquire team members to maintain effective work environment. Ensure they: INSTITUTIONALIZING WORKFORCE ENVIRONMENT Provide adequate resources/ funds CAPABILITY LEVEL 2 Managers Manage and Develop Their People Commitment Institutionalization of work environment practices Document a Work Environment policy. Maintain it. Include: Assign org. role to Work Environment & work resources & to assist units with issues Prepare team members to use appropriate methods Know objectives & procedures Are skilled in interpersonal communication & collaboration Analyze collected data/make measurements to determine the status and performance of activities Have units collect data as Work Environment activities occur Aggregate data as needed to determine organizational trends Develop Workforce Environment key performance indicators (KPI’s) Make measurements of the KPIs and use them to determine the status and performance of Work Environment activities Collect and maintain unit measures of Work Environment activities Monitor Implementation Have responsible individual verify that Work Environment is conducted correctly, that: Periodically review Work Environment activities, status, results with executive management; resolve issues. Verify: It complies with org. policies & stated values It complies with all relevant laws & regulations It is performed according to documented practices & procedures Noncompliance issues are handled appropriately Track and manage action items Status of resolution of noncompliance issues Progress in the performance of any planned activities, including installing improvements The amount and effectiveness of improvements made in the work environment Results from reviews Status of resolution of noncompliance issues, laws/regulations violations Trends related to work environment-related issues Effectiveness of Work Environment activities in achieving work environment results Relationship to business objectives, plans, org. values Provision of adequate workspace Identification, prioritization, provision of needed work resources Elimination of conditions that degrade the work environment Minimization of distractions Communication, administration and enforcement of compliance with laws, regulations, policies Documents that indicate work assigned to each unit, like budgets Adequate funding for implementing the physical work environment Funding for workforce activities Support resources Experienced individuals

10 WORKFORCE ENVIRONMENT Goals: Available physical environment and resources as dedicated by assignments Minimal distractions Institutionalization of work environment practices WORKFORCE ENVIRONMENT ACTIVITIES CAPABILITY LEVEL 2 Managers Manage and Develop Their People Available physical environment & resources as dedicated by assignments Minimal distractions KPA Execution (activities) Obtain physical environment required to perform assigned work Obtain adequate space for assigned work, that: When adequate environment cannot be obtained, implement contingency action Identify physical environment & resources required for committed work in each unit Analyze work to determine the physical environment/resources it requires Compare required environment/resources to those currently available Assign individual to acquire needed workspace/resources If needed environment/resources cannot be obtained, develop a contingency plan, including performance risks Obtain resources to accomplish work in a timely manner Is designed & organized to support work efficiency Is organized with consideration of cultural issues Addresses Identify & minimize sources of frequent interruption that degrade the work environment effectiveness Secure support staff Secure adequate physical & technical resources, such as: Secure standard & specialized resources Plan & obtain resource & support staff needs When resources cannot be secured, implement contingency plan Identify & correct factors that degrade or endanger health & safety of the workforce identify & implement reasonable accommodations to protect health/safety during issue correction Assign individual to be aware of work environment conditions that may endanger health/safety Report unhealthy/unsafe work conditions to those who can address them Monitor progress of timely health/safety issue conditions correction Noise Security Visibility Voice communication Air purity Obtain individual workspaces that provide adequate personal work environment, such as: Adequate illumination Protected private space with secure storage Adequate desktop space for using tools, etc. Sufficient isolation/noise protection for concentration Sufficient space to work alone or with colleagues Software Office furniture Computers, etc Telecommunications Training materials Make work environment improvements that improve work performance Make available resources for high priority improvements Periodically analyze work environment & identify changes/resources that could improve work performance Prioritize potential improvement Plan & deploy large, pervasive improvement across the workplace Secure support and/or training for newly deployed resources Identify & address factors that degrade work environment effectiveness Identify & implement mitigations to performance-impacting physical factors Assign individual to be aware of physical factors that could degrade work performance, such as: If it is not possible to eliminate the impact of the physical factor, pursue alternative mitigations Monitor performance of those impacted to see if additional mitigations are needed Vibration Poor lighting Noise, etc Crowding Unpleasant odors Poorly organized work process Telephone calls Excessive meetings Unnecessary administrative tasks Excessive socializing

11 PERFORMANCE MANAGEMENT Goals: Documented unit and individual performance objectives for committed work Regular discussion of committed work with goal of improvement Management of performance problems Recognition/rewarding of outstanding performance Institutionalization of Performance Management KPA Execution (activities) INSTITUTIONALIZING PERFROMANCE MANAGMENT CAPABILITY LEVEL 2 Managers Manage and Develop Their People Commitment Institutionalization of Performance Management Document an organizational Performance Management policy. Maintain it. Address: Assign an org. role to assist units with Performance Management Ability Assign an individual to ensure that Performance is Managed at unit level Train/acquire team members. Ensure they: Provide adequate resources/funds: Orient team members in group business value & charter, values, role-responsibilities & authority Know Performance Management objectives & procedures Are skilled in interpersonal communication & fostering collaboration Measure & Analyze Analyze collected data/make measurements to determine status & performance Have units collect data as Performance Management occurs Aggregate data as needed to determine trends Develop Performance Management key performance indicators (KPI’s) Make measurements of the KPIs and use them to determine the status and performance of activities Collect and maintain unit measures of Performance Management Monitor Implementation Have a responsible individual verify that Performance is Managed correctly. Verify that: Periodically review Performance Management activities, status, & results with executive management; resolve issues. Verify: It complies with the org. policies & stated values It complies with relevant laws & regulations It is performed according to documented practices & procedures Noncompliance issues are handled appropriately Track and manage action items Identify and manage risks Trends Status of resolution of noncompliance issues Status of performance problems & improvement plans Results from reviews Appropriateness of performance objectives defined at unit level Progress Effectiveness Relationship to business objectives, plans, org. values Respect for the rights & dignity of the individual Performance management data confidentiality & distribution Defined procedures for: Recognition& reward guidelines for outstanding performance Measuring performance against defined objectives related to committed work Compliance with relevant laws, regulations, org. policies Identifying those responsible for performance feedback Discussing performance Documenting accomplishments Resolving disagreements Documenting development needs Developing objectives Handing problems Business objectives Experienced individuals for: Support resources Funding Adequate time Performance management Reward programs

12 PERFORMANCE MANAGEMENT Goals: Documented unit and individual performance objectives for committed work Regular discussion of committed work with goal of improvement Management of performance problems Recognition/rewarding of outstanding performance Institutionalization of Performance Management PERFROMANCE MANAGEMENT ACTIVITIES CAPABILITY LEVEL 2 Managers Manage and Develop Their People Documented unit and individual performance objectives for committed work KPA Execution (activities) Track & manage unit performance Establish measurable performance objectives based on committed work Periodically review revise individual performance objectives Unit members Interdependent units Management Have those responsible for performance management maintain awareness of accomplishments vs. performance objectives by those whose performance they manage When appropriate, revise objectives using standard procedures Periodically review to determine ongoing appropriateness Review every time any work commitments are revised Document revisions Periodically review & revise unit’s performance objectives as work commitments change Periodically review objectives with management to ensure ongoing appropriateness Revise objectives, when appropriate, using appropriate procedures Document revisions Periodically document individual performance objectives Maintain ongoing communication about performance of committed work between performance managers & staff Periodically discuss ways to improve performance & take improvement actions Periodically discuss & analyze various components of work performance Establish & maintain unit’s performance objectives on a schedule aligned with the work commitment schedule Ensure that work commitments are consistent with business objectives & plans Involve all unit members Have objectives approved by unit managers Document objectives Communicate objectives to all unit members & stakeholders Review & discuss progress vs. performance objectives with: Discuss opportunities to enhance performance & identify improvements Maintain awareness of accomplishments vs. committed work Manage unsatisfactory performance vs. performance objectives Identify impediments to achieving objectives Make corrections Document &communicate changes to plans & objectives Track corrections Allocate objectives to individuals based on their responsibilities Review allocated objectives vs. committed work Have individuals raise issues with management When unit’s objectives are revised, revise individual’s objectives Draw individual objectives from unit objectives & individual work commitments Ensure that individual objectives do not conflict with unit objectives Have individuals participate Have individuals agree to & approve their performance objectives Document objectives Identify & take action to provide improvements that could enhance individual performance Regular discussion of committed work with goal of improvement

13 PERFORMANCE MANAGEMENT Goals: Documented unit and individual performance objectives for committed work Regular discussion of committed work with goal of improvement Management of performance problems Recognition/rewarding of outstanding performance Institutionalization of Performance Management PERFROMANCE MANAGEMENT ACTIVITIES CAPABILITY LEVEL 2 Managers Manage and Develop Their People Management of performance problems KPA Execution (activities) If performance problems occur, discuss them with appropriate individual Periodically document & discuss individuals’ accomplishments vs. their performance objectives Agree on a time to document & discuss accomplishments with individual Follow documented procedure, which specifies: Communicate procedure Gather & evaluate accomplishment information When individuals work in several units, coordinate to ensure that: How often to review accomplishments How to obtain accomplishments/ performance information What information is documented How information is reviewed before discussion How performance results are discussed Inappropriate topics Whether training needs/career options are discussed How to address unsatisfactory performance How to resolve disagreements How performance is managed during transitions To whom documentation is distributed Performance information is gathered & evaluated Overall performance evaluation incorporates all relevant work Discuss: Disagreements about performance feedback, escalate as needed Skills needing development & actions Unsatisfactory performance. Prepare for follow-up actions Performance enhancement opportunities & actions Document accomplishments & other results of the performance discussion. Maintain them according to guidelines Use performance documentation in performing other workforce activities Distribute Use as input in individual workforce practices Reach agreement on: Identify performance problems Hold a formal discussion with the individual Document discussions results Performance problem statement Resolution actions or conditions Monitor actions or results Develop performance improvement plans for resolving persistent performance problems Have individuals agree to their plan Develop performance plans that address: Document plans Obtain resources to assist individuals in improving performance Performance problem(s) that must be corrected Corrective actions Expected correction results Frequency for reviewing results vs. the performance improvement plan Objectives/criteria for evaluating progress Minimal acceptable performance Consequences for failure to improve Criteria for evaluating whether a different position should be considered Maximum duration of the performance improvement plan Regular discussion of committed work with goal of improvement Accomplishments Periodically evaluate, discuss & document progress vs. performance improvement plan If performance deviates from objectives, discuss corrective action Periodically review progress throughout period covered by the plan Document progress & discussions Terminate improvement program & make & document decisions based on performance vs. improvement objectives Recognition/ rewarding of outstanding performance Develop & communicate guidelines for recognizing & rewarding outstanding performance Communicate guidelines Develop org. guidelines for providing recognition or rewards to achieve reasonable consistency across units, specifying: Make guidelines consistent with compensation Purposes What is provided Recognition/reward criteria Alignment of recognition/reward decisions throughout the org. Responsibilities Documentation requirements Make recognitions/rewards Present them in a way that conveys appreciation Determine recognitions/rewards Provide them in a timely manner When appropriate, make them known to others in a way that highlights valued behaviors or results

14 TRAINING AND DEVELOPMENT Goals: Availability of timely training to individuals who need it to perform assignments, in accordance with unit’s training plan Professional development opportunities for already capable individuals Institutionalization of Training and Development INSTITUTIONALIZING TRAINING AND DEVELOPMENT CAPABILITY LEVEL 2 Managers Manage and Develop Their People Institutionalization of Training and Development Commitment Document and maintain an organizational Training and Development policy, addressing issues such as: Assign an organizational role the responsibility to assist units with Training & Development Ability Assign an individual responsible for ensuring that Training and Development activities are performed in each unit Make available training time to each individual according to the training policy to: Provide adequate resources: Prepare individuals performing Training & Development for: Understand the organization’s methods & procedures Understand roles and responsibilities of all involved groups and their interfaces & protocols Know Training & Development objectives & procedures How training requirements for critical skills required to perform assigned work The business objectives & stated values of the organization served by Training & Development That training to support the performance of assigned responsibilities is timely That training and development opportunities are provided to support individual development needs How training time is allocated for each individual That training and Development practices and activities comply with relevant laws, regulations, and organizational policies When feasible, experienced individuals who have expertise in training & development methods Implementation support Funding When required, adequate facilities for on-site training Support resources for each unit’s training plan Identifying training & development needs Developing & providing training Measure & Analyze Analyze collected data/make measurements to determine the status and performance of activities Have units collect data as Training and Development activities occur Aggregate data as needed to determine organizational trends Develop Training and Development key performance indicators (KPI’s) Make measurements of the KPIs and use them to determine the status and performance of Training and Development activities Collect and maintain unit measures of Training and Development activities Monitor Implementation Have a responsible individual verify that Training and Development is conducted correctly. Verify that: Periodically review Training & Development activities, status, &results; and resolves issues with executive management, to verify: Trends Status of resolution of noncompliance issues Progress Results from reviews The amount & effectiveness of training provided Effectiveness of the performance management activities in accomplishing planned training It complies with the organization’s policies & stated values It complies with all relevant laws and regulations It is performed according to documented practices & procedures Noncompliance issues are handled appropriately Actions are tracked It is performed according to the unit’s plans & selected methods All actions related to the development &implementation of training plans are periodically reviewed to ensure they conform to documented policies KPA Execution (activities)

15 TRAINING AND DEVELOPMENT Goals: Availability of timely training to individuals who need it to perform assignments, in accordance with unit’s training plan Professional development opportunities for already capable individuals Institutionalization of Training and Development TRAINING AND DEVELOPMENT ACTIVITIES CAPABILITY LEVEL 2 Managers Manage and Develop Their People Availability of timely training to individuals who need it to perform assignments, in accordance with unit’s training plan Professional development opportunities for already capable individuals KPA Execution (activities) In each unit, identify critical skills for performing individual assigned tasks Include communication skills Identify tasks Identify critical skills Update individual’s critical skills each time there is a change in assigned tasks Identify training needed in critical skills for each individual Identify critical skill needs of each individual as the gap between possessed skills & skills required by assigned tasks Evaluate individuals’ knowledge/skills vs. critical skills to determine if training is needed For new assignments, assess individual’s knowledge/skills vs. required critical skills to determine if training is needed Identify types of training needed If the critical skills required by assigned tasks change, reevaluate training needs Develop unit training plan. Maintain it. Specify: Schedule Individual/workgroup training needs Training to be provided How training will be provided Coordination approach Provide individuals with needed training in a timely manner Schedule training Evaluate training alternatives to find most fitting Ensure that training content covers needed knowledge & skills Obtain feedback Track training against training plan Document completion Routinely review unit’s training vs. its training plan Correct deviations Periodically hold a development discussion with each individual Identify development activities Identify & discuss knowledge & skills needed to enhance performance Discuss potential future assignments, career options, other development interests Establish objectives for individual’s development Make available relevant opportunities for individuals to accomplish their development objectives Seek opportunities to expose individuals to relevant experiences Help identify relevant development opportunities Allow to individuals pursue development that supports their objectives Track to ensure timeliness Coordinate development time with committed work/schedules Accomplish development according to objectives Discuss impact & results to determine need for adjustments to development objectives Document development results & use them as input to performance management, staffing, promotion, compensation, etc.

16 COMPENSATION Goals: Planned, executed and communicated compensation strategies and activities Equitable compensation relative to skill, qualifications and performance Defined criteria for compensation adjustments Institutionalization of Compensation practices INSTITUTIONALIZING COMPENSATION CAPABILITY LEVEL 2 Managers Manage and Develop Their People Institutionalization of Compensation practices Commitment Establish & maintain a Compensation policy, addressing issues such as: Assign an organizational role the responsibility to assist units with Performance Management Developers & administrators of the compensation strategy & plan Compensation decisions makers The compensation strategy & practices, compliant with laws, regulations, policies. Periodically review The business objectives & stated values activities serve Defined & assigned responsibilities for the compensation strategy & plan Equity in the compensation system The periodical development of a compensation plan for administering the compensation strategy The basis for determining & adjusting compensation, including skills, qualifications, performance Frequency of compensation activities Responsibilities for: Compensation confidentiality Communication rules for Compensation Appropriate compensation procedures for: Making adjustments to compensation Appropriate distribution, use, retention of compensation docs. Ability Assign an individual responsibility for ensuring that Compensation activities are performed in each unit Train/Prepare individuals performing Compensation activities. Ensure they: Provide resources: Experienced individuals who have expertise in compensation methods Funding – defined & available Support resources Understand roles & responsibilities of all involved groups & their interfaces & protocols Are prepared to impalement components of the compensation strategy Are prepared to communicate Compensation information appropriately Measure & Analyze Analyze collected data/make measurements to determine status & performance Have units collect data as Compensation occurs Measure & review aggregate trends in Compensation on a recurring basis Develop Compensation key performance indicators (KPI’s) Make measurements of the KPIs and use them to determine the status and performance of Compensation activities Collect and maintain unit measures of Compensation activities Maintain a historical database of compensation data Collect unit measures of compensation & aggregate them Periodically analyze compensation data to determine trends & evaluate effectiveness Monitor Implementation Have a responsible individual verify that Compensation is conducted correctly. Verify that: Periodically review Performance Management activities, status, results; resolves issues with executive management, to verify: It complies with policies & stated values It complies laws & regulations It is performed according to documented practices & procedures Noncompliance issues are handled appropriately Track and manage action items Trends Status of resolution of noncompliance issues Progress The structure & growth of compensation Results from reviews Effectiveness KPA Execution (activities)

17 COMPENSATION Goals: Planned, executed and communicated compensation strategies and activities Equitable compensation relative to skill, qualifications and performance Defined criteria for compensation adjustments Institutionalization of Compensation practices COMPENSATION ACTIVITIES CAPABILITY LEVEL 2 Managers Manage and Develop Their People KPA Execution (activities) Develop org. compensation strategy, including: Basis for recurring compensation adjustments Rationale behind strategic decisions Compensation vehicles and their use Criteria for determining & adjusting compensation Guidelines for using different vehicles & criteria for determining compensation for different positions Individual compensation decision method(s) Methods for maintaining equity Strategy review frequency Criteria for evaluating strategy appropriateness Periodically review compensation strategy to determine if it needs revision Periodically document a Compensation Plan, based on compensation strategy, including: Obtain input from workforce for developing or revising compensation strategy Impact on motivation & performance Fairness How to initiate & administer the changes Consider revision when: It is not having the intended motivational effect It does not reflect current business or market conditions It creates inequalities It is having unintended or harmful effects Current practices are not competitive Better compensation concepts have been identified Review the strategy vs. its objectives & effects Organize review Review revision decision with exec. mgmt. Obtain inputs such as: Have individuals review proposed revisions for: Benefits & drawbacks of current compensation vehicles Criteria for determining or adjusting compensation Fairness Administration methods Financial data needed to guide compensation decisions Schedule & responsibilities Application of compensation decision methods How & when compensation decisions are reviewed Communicate compensation strategy to the workforce Communicate: Communicate changes when they are made Strategy basis & structure Events that result in changes to compensation Planned, executed & communicated compensation strategies & activities

18 COMPENSATION Goals: Planned, executed and communicated compensation strategies and activities Equitable compensation relative to skill, qualifications and performance Defined criteria for compensation adjustments Institutionalization of Compensation practices COMPENSATION ACTIVITIES CAPABILITY LEVEL 2 Managers Manage and Develop Their People KPA Execution (activities) Determine each individual’s compensation package using a strategy-aligned documented procedure, specifying: Periodically review compensation packages for equity & consistency with policy, strategy, plan How criteria are applied in making compensation decisions How finances for individual compensation are allocated to units Who makes allocation decisions How decisions are reviewed & approved How decisions are communicated How individuals may address issues Make compensation adjustments based on individual’s documented accomplishments vs. their performance objectives Adjust compensation on an exception basis, per business needs, with appropriate approval, such as when an individual outperforms requirements in a beneficial manner. Adjust compensation in accordance with procedure Use documented accomplishments vs. performance objectives as criteria Determine compensation adjustments based on criteria from compensation policy, strategy, plan Communicate compensation package to the individual Explain adjustment basis & appropriate information from the compensation plan Guide individuals to sources of more information Communicate adjustments prior to their effective date Compensation strategy or plan Tax implications of compensation decisions Applicable laws & regulations Implications about choices of compensation alternatives How to raise an issue Take action to correct inequities in compensation or other deviations from policy, strategy, plan Take & communicate corrective actions Develop an approach for addressing inequity, accounting for: Communicate inequities to appropriate unit managers & org. Compensation coordinators Impact on strategy & procedures Fairness to individuals Compliance with laws & regulations Consistency with the strategy & plan Effect on morale & retention Phasing of corrective actions Precedence established Equitable compensation relative to skill, qualifications &performance Defined criteria for compensation adjustments Design compensation plan to maintain equity in compensation Make adjustments to establish internal equity across individuals with similar responsibilities, skills, performance Maintain awareness of internal, market, business conditions affecting compensation equity Based on that, make adjustments to compensation to ensure it supports the intended level of market equity Provide guidance for making compensation decisions that maintain the equity Involving those with similar responsibilities, skills, performance Compare unit compensation to determine, if it is equitably related to responsibilities, skills, performance for all members Compare compensation across units to identify inequities: In compensation administration

19 LEVEL 3 ANALYSIS HIERARCHY CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment COMPETENCY ANALYSIS Goals: Definition of the workforce competencies required to perform the organization's business activities Establishment/maintenance of work processes used within each workforce competency Tracking capabilities within each workforce competency Institutionalization of Competency Analysis GOALS OF KEY PROCESS AREAS (KPAs) Process Capability COMPETENCY-BASED PRACTCIES Goals: Workforce practices focused on increasing the organization's capability in its workforce competencies Workforce activities within units that encourage/support individuals in developing/applying the organization’s workforce competencies Compensation strategies and recognition/reward practices designed to encourage development/application of the organization's workforce competencies Institutionalization of Competency Based Practices PARTICIPATORY CULTURE Goals: Communication of business activities information and results throughout the organization Delegation of decisions to an appropriate level of the organization Participation of individuals and workgroups in structured decision-making processes Institutionalization of Participatory Culture COMPETENCY DEVELOPMENT Goals: Provision of opportunities for individuals to develop capabilities in organization’s workforce competencies Development of individuals’ knowledge, skills, process abilities in the organization's workforce competencies Organizational use of its workforce capabilities to developing the workforce competencies of others Institutionalization of Competency Development practices Identify knowledge, skills, process abilities needed for business activities Use these as the basis for developing workforce practices Constantly enhance the capability of the workforce to perform their & responsibilities Focus all workforce practices on developing needed workforce competencies Facilitate information flow Incorporate individuals’ knowledge into decision-making Gain individuals’ support for commitments Foster innovation, agility and coordinated speed Unless otherwise noted, Level 3 goals are targeted toward the organizational level.

20 LEVEL 3 ANALYSIS HIERARCHY CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment GOALS OF KEY PROCESS AREAS (KPAs) Process Capability CAREER DEVELOPMENT Goals: Availability of career opportunities that provide growth in its workforce competencies Individuals’ pursuit of career opportunities that increase the value of their knowledge, skills, and process abilities to the organization Institutionalization of Career Development practices WORKGROUP DEVELOPMENT Goals: Establishment of workgroups to optimize the performance of interdependent work Tailoring of defined processes and roles for workgroup use in planning and performing their work Focus of workgroup staffing activities on the assignment, development, and future deployment of the organization's workforce competencies Workgroup performance management against documented objectives for committed work Institutionalization of Workgroup Development WORKFORCE PLANNING Goals: Definition of measurable objectives for capability in each of the organization's workforce competencies Planning for workforce competencies needed to perform organization’s current and future business activities Workforce activities performed at the unit level to satisfy current and strategic competency needs Institutionalization of Workforce Planning Provide opportunities for individuals to develop competencies to achieve career objectives Organize work around competency-based process abilities Coordinate workforce activities with business needs

21 COMPETENCY ANALYSIS Goals: Definition of the workforce competencies required to perform the organization's business activities Establishment/maintenance of work processes used within each workforce competency Tracking capabilities within each workforce competency Institutionalization of Competency Analysis INSTITUTIONALIZING COMPETENCY ANALYSIS CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment Commitment Establish & maintain a Competency Analysis policy, addressing: Assign a role to assist units with Competency Analysis Ability Assign a responsible individual to coordinate defining, developing, & maintaining each workforce competency Develop knowledge, skills, & process abilities needed by individuals performing Competency Analysis. Ensure they: Provide adequate resources: Document practices & procedures Documenting & maintaining workforce competency descriptions Determining & controlling description changes/updates Collecting & storing of competency information Maintaining & using competency information repository, including access Identification of workforce competencies required to meet business objectives Business objectives & stated values of it serves Workforce competencies, on which workforce activities are based, maintained and revised, as necessary Periodic workforce competency analyses & descriptions maintenance Description repository maintenance Appropriate procedures for: Compliance with relevant laws, regulations, policies Documentation of business activities & processes Experienced individuals who have expertise in workforce competency analysis Strategic &operational business objectives Support resources Funding Time, resources, and access to staff Understand roles and responsibilities of all involved groups and their interfaces & protocols Know Competency Analysis objectives & procedures Know relevant analysis methods & techniques Are provided orientation to Competency Analysis purpose & methods Document practices & procedures at all levels, including tailoring guidelines Ensure that practices are: Capture experiences, lessons learned, measurement results, improvement information to support the future use & improvement Maintained/updated under version control Disseminated through appropriate media Interpreted appropriately for different situations Institutionalization of Competency Analysis Monitor Implementation Verify that Competency Analysis is conducted according to policies, practices, procedures, plans; address noncompliance. Verify that: Have executive management periodically review Competency Analysis activities, status, results, issues to verify : Trends Status of resolution of noncompliance issues Progress Appropriateness Results from reviews Effectiveness of Competency Analysis in supporting workforce activities It complies with policies & stated values It complies with policies It complies with relevant laws & regulations It is performed according to documented practices & procedures Noncompliance is handled appropriately Workforce competency descriptions & competency information are consistent with org. conditions & needs Periodically audit the definition & use of competency descriptions & competency information for compliance with org. policies Measure & Analyze Make measurements & use them to determine the status and performance of Competency Analysis within units & across the org. Make measurements &use them to determine the quality of workforce competency descriptions & competency information KPA Execution (activities) Workforce Competencies Throughout this tool, “Workforce Competencies” refers to ORGANIZATIONAL Workforce Competencies

22 COMPETENCY ANALYSIS Goals: Definition of the workforce competencies required to perform the organization's business activities Establishment/maintenance of work processes used within each workforce competency Tracking capabilities within each workforce competency Institutionalization of Competency Analysis practices Definition of the workforce competencies required to perform the organization's business activities COMPETENCY ANALYSIS ACTIVITIES CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment KPA Execution (activities) Identify workforce competencies required for business activities Periodically update workforce competency descriptions Reference Business Process for business activities Identify workforce competencies needed to perform business activities Analyze each workforce competency to identify the knowledge, skills, process abilities that compose it Document workforce competency descriptions according to procedure. Maintain them Develop an analysis plan including: Scope of work Schedule Those responsible Required resources Plan review & approval process Select analysis method Define knowledge, skills, process abilities comprising each competency Define decomposition level Involve subject matter experts Describe the knowledge, skills, process abilities in an appropriate format Use competency descriptions for guiding workforce practices Make descriptions available to the workforce, for use in: Designing or tailoring workforce practices Performing workforce activities Planning individual development opportunities Follow org. standards Maintain descriptions using version control & use them in workforce activities Document & maintain competency descriptions including underlying knowledge, skills, process abilities Adjust description standards, if needed Periodically reanalyze competencies to determine if they still reflect knowledge, skills, process abilities needed by the business Update, add, or phase out affected descriptions Provide changes as input for strategic workforce plans & unit workforce plans Analyze changes in products, services, processes, technology to determine if: Affected competency descriptions need to be updated New competencies need to be defined Obsolete competencies need to be phased out Incorporate description changes Establishment/ma intenance of work processes used within each workforce competency Establish competency-based processes for capable individuals in each workforce competency. Maintain them Update documented competency-based processes as needed to reflect: Changes in business operations, products, services Changes in other processes or development technologies Document competency-based processes & make them available Lessons learned Other process improvements Capture & make available information about the use of competency-based processes Identify lessons learned that improve the processes Make available information about use & performance of processes Maintain collected information on process performance in a repository Tracking capabilities within each workforce competency Collect information on capabilities of individuals in their workforce competencies according to a documented procedure. Maintain it Determine current resource profile for each of workforce competency Use it to develop a resource profile for each competency Make resource profiles available for use in workforce planning, workforce practices analysis, etc. Aggregate competency information at the org. level Document a procedure, specifying: Responsibilities for collecting & maintaining competency information What information is collected & maintained How information is used How information is represented & presented Confidentiality requirements What information is made available Involve individuals in collecting & organizing their competency information Who may access the information, why, when Verify validity of individual's competency information Periodically review, update, verify competency information How information is controlled & updated How completeness/accuracy is audited Restrictions on use How individuals can review & correct their competency information Periodically update competency information Update individual information when competency descriptions are modified, added, phased out Periodically audit the state of all competency information to ensure that it is current Update individual information as accomplishments, experience, events justify

23 COMPETENCY DEVELOPMENT Goals: Provision of opportunities for individuals to develop capabilities in organization’s workforce competencies Development of individuals’ knowledge, skills, process abilities in the organization's workforce competencies Organizational use of its workforce capabilities to developing the workforce competencies of others Institutionalization of Competency Development practices INSTITUTIONALIZING COMPETENCY DEVELOPMENT CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment Institutionalization of Competency Development practices Commitment Ability To graduated training/development activities & learning opportunities To the purpose, membership, mechanisms for exchange within the competency community Document &maintain a policy for Competency Development, including: How workforce competencies building helps increase needed knowledge, skills, process abilities The business objectives and stated values it serves Continuous development of knowledge, skills, process competencies Using existing base of knowledge, skills, process abilities for competency development Tracking competency development progress for: Development & use of methods for developing & maintaining competencies All individuals Each unit The organization Compliance with relevant laws, regulations, policies Assign responsibility for coordinating Competency Development Within each unit, assign an individual to ensure that Competency Development is performed Document practices & procedures for Competency Development Provide adequate resources: Provide participants orientation in Competency Development practices: Coordinate development activities for each workforce competency Defined workforce competencies Experienced individuals who have expertise in developing specific competencies Workforce competency descriptions & competency-based processes Support resources Funding Time for individuals to participate, as outlined in the strategic workforce plan Individual's time allocated in unit workforce plans Maintained under version control Disseminated through appropriate media Interpreted appropriately for different situations Updated through orderly methods Document at org. or unit level Document and make available procedure tailoring guidelines Ensure that practices & procedures are: Capture experiences, lessons learned, measurement results, improvement information to support the future use & practice improvement Measure & Analyze Make measurements & use them to determine the status & performance of Competency Development in each unit & across the org. Make measurements & use them to determine the quality of Competency Development Monitor Implementation Verify that Competency Development is conducted according to policies, practices, procedures, plans; address noncompliance. Verify that: Have executive management periodically review Competency Development activities, status, results, issues to verify: Trends Status of resolution of noncompliance issues Progress Appropriateness Results from reviews Effectiveness of in achieving planned objectives It complies with policies & stated values It complies with relevant laws & regulations It is performed according to practices & procedures Noncompliance is handled appropriately Methods & materials are consistent with org. conditions & needs Periodically audit the definition & use of data on competency development for compliance with org. policies KPA Execution (activities)

24 COMPETENCY DEVELOPMENT ACTIVITIES CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment KPA Execution (activities) Use capable individuals within a competency community to mentor those with less capability Identify competency-based training/ development activities for each individual, supporting their development objectives Prepare mentors: Invite experienced & capable mentors to volunteer Ensure mentors have the needed personal skills & competency capability Provide mentoring training/orientation Within each competency, make mentoring available Have mentors & mentees establish arrangements for conducting their relationship Have mentors provide timely feedback & guidance Base competency development activities on the competency development plans in each workforce competency Establish graduated training & development activities for developing workforce competencies capability. Maintain them COMPETENCY DEVELOPMENT Goals: Provision of opportunities for individuals to develop capabilities in organization’s workforce competencies Development of individuals’ knowledge, skills, process abilities in the organization's workforce competencies Organizational use of its workforce capabilities to developing the workforce competencies of others Institutionalization of Competency Development practices Provision of opportunities for individuals to develop capabilities in organization’s workforce competencies Organizational use of its workforce capabilities to developing the workforce competencies of others Development of individuals’ knowledge, skills, process abilities in the organization's workforce competencies Prioritize activities to align with Select development activities based on their support for: Measurable workforce competency capability development objectives Competency development plans Document & communicate relationship between each development activity & the development plan/objective Cost, schedule, business considerations Competency development plans Workforce competency capability development objectives Establish standards for included learning activities Qualify all courses, learning materials, etc. vs. standards before offering them to the workforce Identify graduated training/development activities Periodically review learning activities to: Ensure standards compliance Identify needed standard revisions Ensure effectiveness in developing workforce competencies Identify & make available resources for delivering training/ dev. Update training/development program as changes are made to workforce competencies Communicate training/development activities in to those responsible for career counseling Maintain training/development records Make available workforce competencies descriptions & information about related development opportunities Counsel individuals on available training/development in relevant competencies & how it affects career directions Establish a waiver procedure & use it to determine when individuals already have needed knowledge, skills, process abilities Help individuals identify competency-based training needs & ensure that appropriate development activities occur Identify assignments to provide individuals with experience in the competencies they are developing Have individuals actively pursue learning opportunities to enhance their workforce competencies capabilities Perform development on a timely basis, supporting personal development objectives Have individuals ensure their competency information is updated when competency development is completed Encourage individuals to take initiative Support communication among those comprising a competency community Capture competency-based experience & information. Make it available within a competency community Have them capture this data, etc. Store competency-based data in repositories Have competency community members identify the data, experience, etc. that are effective sources of learning Periodically update & maintain information repositories in each competency community

25 COMPETENCY-BASED PRACTCIES Goals: Workforce practices focused on increasing the organization's capability in its workforce competencies Workforce activities within units that encourage/support individuals in developing/applying the organization’s workforce competencies Compensation strategies and recognition/reward practices designed to encourage development/application of the organization's workforce competencies Institutionalization of Competency Based Practices INSTITUTIONALIZING COMPETENCY-BASED PRACTCIES CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment Institutionalization of Competency Based Practices Commitment Promote increased capability in workforce competencies in relevant policies, addressing: Assign responsibility for coordinating adjustments in workforce practices designed to increase workforce competencies capability Ability Assign responsible individual to ensure that workforce practices are designed to motivate development & use of workforce competencies Ensure those responsible for competency-based workforce activities develop needed knowledge, skills, process abilities Provide adequate resources: Document practices & procedures : Workforce activities to motivate & develop workforce competencies Recruiting activities focusing on sources of candidates with capability in the workforce competencies Selection activities aimed at candidates with strongest capabilities & potential in workforce competencies Activities, criteria, feedback in performance management aiding development of workforce competencies Recognition & rewards focused, in part, on motivating development & use of workforce competencies. Compensation strategies to increase capability of workforce competencies Compliance with relevant laws, regulations, org. policies Analyzed workforce competencies and known capability in these competencies Experienced individuals who have expertise in workforce practices Focus on workforce competency capability building in strategic workforce plans & planned workforce activities Support resources Funding Time Train those who will perform competency-based workforce practices in how to use them Train those who will design & adjust competency-based workforce practices in how to do so Document practices & procedures at all levels Ensure that practices are: Capture experiences, lessons learned, measurement results, improvement information to support future use & improvement Document procedure tailoring guidelines Maintained under version control Disseminated through appropriate media Interpreted appropriately for different situations Updated through orderly methods Measure & Analyze Make measurements & use them to determine the status & performance of workforce practices to increase capacity in workforce competencies Make measurements & use them to determine how effectively these workforce practices are increasing capability in workforce competencies Monitor Implementation Verify that competency-based workforce practices are conducted according to policies, practices, procedures, plans; address noncompliance. Verify that: Have executive management periodically review activities, status/results, resolve issues. Verify : Progress Appropriateness Results from reviews Status of resolution of noncompliance issues Trends Effectiveness of competency-based workforce practices in achieving planned objectives in workforce competencies They comply with policies & stated values Actions are periodically reviewed to ensure that they conform to policies They are performed according to practices & procedures They comply with relevant laws & regulations Noncompliance issues are handled appropriately KPA Execution (activities)

26 COMPETENCY-BASED PRACTCIES Goals: Workforce practices focused on increasing the organization's capability in its workforce competencies Workforce activities within units that encourage/support individuals in developing/applying the organization’s workforce competencies Compensation strategies and recognition/reward practices designed to encourage development/application of the organization's workforce competencies Institutionalization of Competency Based Practices Workforce practices focused on increasing the organization's capability in its workforce competencies COMPETENCY-BASED PRACTCIES ACTIVITIES Workforce activities within units that encourage /support individuals in developing /applying the organization’s workforce competencies CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment KPA Execution (activities) Enhance selection processes to evaluate candidates’ potential contribution to workforce competency capability objectives Write selection criteria to include specific position requirements and: Current capability in relevant competencies Potential future competency capability Interest in developing relevant competencies Write open positions descriptions to: Design selection processes to include relevant competency capabilities, in addition to other parameters Describe how the open position relates to career development in relevant competencies Describe required level of competency capabilities Incorporate information from relevant competencies Make staffing decisions, in part, to achieve competency development objectives & candidates’ career objectives Plan & execute recruiting activities to meet workforce competency needs Establish relationships with external sources who can develop qualified candidates meeting competency requirements Taylor recruiting to competency objectives & specific requirements of currently open positions Communicate current/anticipated competency requirements to sources of qualified candidates Use personal development plans &career objectives as input when selecting among candidates Consider career development objectives when an open position is a graduated career opportunity in a competency Use competency information to identify internal candidates for open positions or special assignments Evaluate candidates for their potential to contribute to competency capability requirements Incorporate demonstrated competency capability into selection decisions Provide orientation to workforce competencies via transition activities Design orientation to inform individuals about workforce competencies & career development options, including: Knowledge, skills, process abilities in relevant competencies Development activities Design orientation to familiarize individuals with required competencies Career opportunities Competence-related workforce practices Design work assignments, in part, to enhance personal & career development objectives Define assignments in an agreement with work required by the position Design assignments to enhance: Immediate objectives in the individual's development plan Individual's growth in workforce competencies Define assignments, consult those who will perform them Career objectives Discuss how much assignments contribute to personal & career objectives Documents unit performance objectives for developing workforce competencies Include portions of these objectives in individual performance objectives of those who manage the unit’s workforce activities Document unit performance objectives for: Allocate unit competency development objectives to member personal development plans Performing workforce activities that support these objectives Contributing to strategic competency development objectives Developing competencies needed for its business activities Have individuals document performance objectives for developing additional workforce competency capability Draw performance objectives from development plans Include competency development objectives in individual's performance objectives As the definition or requirements of workforce competencies change, re-evaluate & adjust workforce policies & practices

27 COMPETENCY-BASED PRACTCIES Goals: Workforce practices focused on increasing the organization's capability in its workforce competencies Workforce activities within units that encourage/support individuals in developing/applying the organization’s workforce competencies Compensation strategies and recognition/reward practices designed to encourage development/application of the organization's workforce competencies Institutionalization of Competency Based Practices COMPETENCY-BASED PRACTCIES ACTIVITIES Workforce activities within units that encourage /support individuals in developing /applying the organization’s workforce competencies CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment Compensation strategies and recognition/reward practices designed to encourage development/ application of the organization's workforce competencies KPA Execution (activities) Include feedback on individual's development & application of workforce competencies in ongoing work performance discussions Provide feedback on: Encourage individuals to seek guidance on competency development & application Applying competencies for improving work performance Level of competency capability Evidence of growing competency Make adjustments to compensation, partly determined by each individual's development & application of relevant workforce competencies Define compensation practices to support capability objectives within each workforce competency Assess individual's performance in part, vs. objectives in their personal development plan Evaluate work performance to assess capability in relevant competencies Document individual's competency capability for use in: Planning their development activities & career options Reviewing progress vs. development objectives Evaluate meeting personal development plan objectives when providing formal performance feedback Updating or revising development objectives Evaluate work performance to identify capability in competencies not in individual’s responsibilities or performance criteria Establish a compensation strategy in part, to increase workforce competency capability. Maintain it Manage effectiveness of the strategy in improving competency capability: Adjust compensation practices to achieve strategy objectives Revise when intended results are not achieved Adjust to support capability & performance objectives Periodically review Adjust compensation strategy to meet objectives in developing & applying competencies Ensure that all adjustments to compensation: Align with strategic workforce plan objectives Are consistent with compensation policy & strategy Evaluate compensation practices in each competency for their impact on: Maintain equity among competencies relative to their value & availability in the marketplace Strategic capability & staffing goals Ability to attract & retain capable people Graduated career development & promotional opportunities Increasing the impact of capability on performance Adjust compensation to support capability objectives Discuss compensation impact of developing/applying competency capability Factor individual’s’ development/application of competencies into their compensation Make corrections when compensation is inequitable/ inconsistent with policies, practices, objectives, or capability Review individual's compensation to ensure it is: Consistent with compensation policy & practices Consistent with strategic & unit workforce plans/objectives & individual development plan Consistent with the individual's competency capability Equitable with compensation of others with similar capabilities Provide individual, workgroup, unit recognition & rewards for developing/ applying workforce competencies Ensure that recognition/reward is equitable to the level of capability developed/applied Revise policies to include recognition/reward for competency development/application

28 PARTICIPATORY CULTURE Goals: Communication of business activities information and results throughout the organization Delegation of decisions to an appropriate level of the organization Participation of individuals and workgroups in structured decision-making processes Institutionalization of Participatory Culture INSTITUTIONALIZING PARTICIPATORY CULTURE CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment Institutionalization of Participatory Culture Commitment Ability Establish policy for a participatory culture. Maintain it. Address: Assign an organizational role for coordinating participatory culture development Individual & workgroup participating in decision-making processes affecting their work Business objectives & stated values it serves Sharing of org. & business performance information across the org. Ensure that stated org. values encourage open communication & participation in decision making The environment of open communication Consideration for cultural values & diversity Support for individuals/workgroups assuming responsibility & authority by participating in decision-making Compliance with relevant laws, regulations, organizational policies Within each unit, assign an individual to ensure that performance of unit business & workforce activities contributes to participatory culture Provide adequate resources: Have managers develop knowledge, skills, process abilities needed for communication & participatory management Experienced individuals who have expertise in decision analysis & communication Defined strategic & operational business objectives Resources contributing to participatory culture, such as information Funding Adequate support for participatory activities Unit & org. performance results Provide preparation in problem-solving & decision-making, methods, etc. to participating individuals/groups Document practices &procedures: Document/make available tailoring guidelines Define practices & procedures at org. or unit level Ensure that procedures are: Capture experiences, lessons learned, measurement results, & improvement information to support the future use & improvement Maintained under version control Disseminated through appropriate media Interpreted appropriately for different situations Updated through orderly methods Measure & Analyze Make measurements & use them to determine the status & performance of participatory activities & unit & org. trends Make measurements & use them to determine the effectiveness of participatory practices Monitor Implementation Verify that communication & decision-making is conducted in an open & participative manner,according to values & policies; addresses noncompliance. Verify that: Have executive management periodically review the level of participatory behavior & resolve issues: It complies with policies & stated values It complies y with relevant laws and regulations Individuals/groups are involved in communication &decision-making processes Noncompliance is handled appropriately Progress The involvement of all appropriate stakeholders in decision & commitment processes Appropriate use of business objectives & performance information The level of open communication, delegation of decision-making, & participatory behavior Results from reviews Status of resolution of noncompliance issues Trends Effectiveness in achieving development of a participatory culture KPA Execution (activities)

29 PARTICIPATORY CULTURE Goals: Communication of business activities information and results throughout the organization Delegation of decisions to an appropriate level of the organization Participation of individuals and workgroups in structured decision-making processes Institutionalization of Participatory Culture Communication of business activities information & results throughout the organization PARTICIPATORY CULTURE ACTIVITIES Delegation of decisions to an appropriate level of the organization CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment KPA Execution (activities) Provide access to individuals & workgroups to information they need to perform their committed work Make org. & unit performance information available to individuals/workgroups Make individuals/workgroups aware of how their work performance contributes to unit & org. performance Ensure designated information is: Identify performance infomration that would help align their decisions & business activities with business objectives Summarized at an appropriate level of detail Communicated using readily accessible & useful methods for decision making Make the workforce aware of confidentiality requirements Revised with appropriate frequency Explain links among individual, workgroup, unit, & org. performance Present performance feedback in the context of workgroup, unit, org. performance Communicate & reinforce links between performance & achievement of business objectives Have individuals/workgroups identify information They need for performing their work Others need from them Have them identify the most effective information transferring mechanisms Have them coordinate with sources to ensure timely information access Have managers & supervisors ensure that information requirements of their staff are satisfied Make competency-based experience/information captured within a competency community available to others Ensure information & communication systems support information needs of individuals/ workgroups Ensure information & communication technologies are: Implemented to meet user needs Maintained Provide information/communication technologies to individuals/workgroups to support their needs Have them participate in selection & design of technologies Have individuals participate in technology improvement Enhanced over time Analyze the structure of decision- making processes Analyze decisions to determine which roles or workgroups: Identify decisions to be analyzed Have the most relevant information Can make the most timely & accurate decision Involve individuals, workgroups, units in analyzing decisions made at their level Are in the best position to involve all relevant stakeholders Share dependencies affected by the decision Need to be involved in the decision Need to be informed Define decision-making processes & roles Embed methods in defined processes Define decision-making processes within the context of the business activities & processes they affect Develop/adopt standard decision- making methods Delegate responsibilities for decisions to appropriate levels & locations Delegate authority and responsibility for decision-making to lower levels when feasible Have executives delegate decisions at their level Identify the most appropriate roles or workgroups for various decisions Support decisions made by those empowered to make them Have those responsible for staff empowered to make decisions: Be aware of decision-making processes to ensure that conditions support accuracy & timeliness Take corrective action when conditions affecting need improvement Escalate issues/ decisions that cannot be resolved to higher level decision-makers When business or other conditions require change of decision, involve those who made it Ensure necessary coordination with relevant stakeholders

30 PARTICIPATORY CULTURE Goals: Communication of business activities information and results throughout the organization Delegation of decisions to an appropriate level of the organization Participation of individuals and workgroups in structured decision-making processes Institutionalization of Participatory Culture PARTICIPATORY CULTURE ACTIVITIES CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment Participation of individuals and workgroups in structured decision- making processes KPA Execution (activities) Ensure individuals/ workgroups use defined decision-making processes Involve individuals/ workgroups in making decisions that affect their work Have individuals/groups participate in decisions concerning their work environment Have individuals/groups provide input for: Have them arrange their work environment to best support their work processes The arrangement of work facilities Have them participate in decisions on work resources /env. Changes to their work environment Needed resources Use defined mechanisms for resolving conflicts and disputes Assign decision-making process roles to appropriate individuals/workgroups in planning their work processes Tailor standard methods, roles, processes based on the characteristics of the situation Prepare those responsible for the staff involved in decision-making processes Have staff perform their defined roles when participating in making decisions Provide data & other inputs to those making decisions Communicate & coordinate decisions Use appropriate processes when decisions are reconsidered Evaluate decisions to identify factors that could improve their speed or accuracy at all levels Have staff participate in organizing & performing their work by: Identifying problems or issues Generating alternatives Seek input from the workforce on important organizational decisions Have staff participate in developing & reviewing policies, plans, procedures that affect them Communicate the rationale behind a decision to those affected by the decision Selecting a solution Planning the implementation of the selected solution Evaluating results Make available appropriate problem-solving opportunities for individuals/workgroups to resolve problems, issues, conflicts, disputes that affect their work Address conflicts and disputes through appropriate conflict and dispute resolution processes Define decision-making processes for resolution of different types of conflicts or disputes at the organizational level Involve appropriate stakeholders in conflict and dispute resolution Communicate and implement results of conflict and dispute resolution processes

31 CAREER DEVELOPMENT Goals: Availability of career opportunities that provide growth in its workforce competencies Individuals’ pursuit of career opportunities that increase the value of their knowledge, skills, and process abilities to the organization Institutionalization of Career Development practices INSTITUTIONALIZING CAREER DEVELOPMENT CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment Commitment Ability Within each unit, assign an individual to ensure that members of participate in Career Development Provide adequate resources: Have individuals participating in Career Development receive appropriate orientation in career development opportunities & activities Experienced individuals Adequate time for participation Support resources Funding Implementation support Have individuals responsible for Career Development develop needed knowledge, skills, process abilities: Professionally train those designing graduated career opportunities, developing promotion criteria, or doing career assessments Have those providing career advice receive preparation in: Provide training in competency-based graduated career opportunities to those responsible for unit level Career Development Assessing career interests & capabilities Providing career guidance Interpreting career guidance provided by other sources Interviewing, listening, & advising skills Document & maintain a policy for Career Development, including: Assign a org. role for coordinating Career Development That graduated career opportunities must grow the workforce competencies The business objectives & stated values it serves Defined job types, positions, competencies affected by Career Development Documented procedures to guide activities, specifying: Methods for identifying career options Procedures for discussing career options with individuals Compliance with relevant laws, regulations, policies Frequency of career discussions Have the responsible individual coordinate Career Development for each workforce competency Document practices & procedures: Document/make available procedure tailoring guidelines Define practices & procedures at appropriate level Ensure that procedures: Capture experiences, lessons learned, measurement results, & improvement information to support the future use Maintained under version control Disseminated through appropriate media Interpreted appropriately for different situations Updated through orderly methods Measure & Analyze Make measurements & use them to determine the status & performance of unit Career Development Collect unit measures of Career Development & aggregate them Monitor Implementation Verify that Career Development is conducted according to policies, practices, procedures; addresses noncompliance. Verify that: Have executive management periodically review activities, status, results and resolve issues. Verify: Progress of activities Progress in workforce career development vs. org. business needs Results from reviews Status of resolution of noncompliance Trends Effectiveness Maintain a historical database Periodically analyze data for trends Make measurements & use them to determine Career Development effectiveness It complies with org. policies & stated values It complies with relevant laws & regulations It is performed according to the unit's plans & methods Noncompliance is handled appropriately It is performed according to practices & procedures KPA Execution (activities) Institutionalization of Career Development Practices

32 CAREER DEVELOPMENT Goals: Availability of career opportunities that provide growth in its workforce competencies Individuals’ pursuit of career opportunities that increase the value of their knowledge, skills, and process abilities to the organization Institutionalization of Career Development practices Individuals’ pursuit of career opportunities that increase the value of their knowledge, skills, and process abilities to the organization CAREER DEVELOPMENT ACTIVITIES CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment KPA Execution (activities) Track development vs. personal development plans Have individuals pursue training /development opportunities that enhance their career options & org. workforce competencies capabilities Periodically discuss career options & workforce competencies development with affected individuals Perform development in personal plans Encourage individuals to accept responsibility for developing their capabilities & careers & take active role in: Accomplishing personal development plans objectives Identifying development opportunities Pursuing external activities/training that enhances their knowledge Provide assignments outside of normal work that support development needs, as appropriate Discuss the impact/results of development completed to see if individual development objectives need adjustments Periodically review performance vs. personal development plans with each individual Discuss progress vs. personal development plan during performance management, development, or career discussions When progress deviates significantly from plan, evaluate potential corrections Discuss progress vs. personal development plans & impact/results of development with individuals Make individuals aware of graduated career development opportunities, the strategic workforce plan & competency development plans Have career advisors continually identify new development opportunities relevant to their advisees Counsel individuals on how to prepare for pursuing opportunities Encourage individuals to discuss career opportunities with career advisors Discuss alignment of personal development plans with strategic workforce plans & competency development plans Have affected individuals periodically evaluate their capabilities in workforce competencies relevant to their career objectives Have individuals create & maintain a personal development plan to guide their training & career options Individual's career objectives Business strategy or activities Workforce competencies definitions Knowledge, skills, process abilities needed for potential future assignments Available career options Use evaluations as input for personal development plans & identifying relevant career options Make opportunities for assessing capabilities available to individuals Evaluate individual's competencies for promotion or reassignment Make individuals aware of any competency information that will be entered into these decisions Base the plan, in part, on succession planning objectives, as applicable Update the personal development plan, as changes occur in: Create a personal development plan jointly with individual & career guidance staff Base career development objectives on available graduated career opportunities Identify training/development to accomplish the objectives Identify & encourage personal development opportunities Define graduated career opportunities to support growth in the workforce competencies needed for business activities Document & communicate criteria for advancing through the levels Make available several choices of graduated career opportunities for career planning Design opportunities to support business strategies Specify the purposes of graduated career opportunities Periodically review & update graduated career opportunities & promotion criteria Base promotions in each area of graduated career opportunities on documented criteria & procedures, which specify: How promotion criteria are developed, approved, communicated The bases (i.e., frequency or other criteria) for initiating promotions How individuals come into consideration for promotion Who evaluated the candidate & how Who makes & approves promotion decisions & how Which other workforce activities are activated by promotions How appeals to decisions are made & handled How often promotional criteria/procedures are evaluated for improvements Update, add, or phase out opportunities or promotion criteria based on reanalysis Analyze changes in workforce competencies as necessary to determine whether: Periodically review opportunities & promotion criteria to ensure they align with workforce competencies, business strategy, etc. Affected opportunities & promotion criteria should be updated New opportunities & promotion criteria should be defined Obsolete opportunities should be eliminated Implement & maintain changes to opportunities, under version control Communicate the changes Availability of career opportunities that provide growth in its workforce competencies

33 WORKGROUP DEVELOPMENT Goals: Establishment of workgroups to optimize the performance of interdependent work Tailoring of defined processes and roles for workgroup use in planning and performing their work Focus of workgroup staffing activities on the assignment, development, and future deployment of the organization's workforce competencies Workgroup performance management against documented objectives for committed work Institutionalization of Workgroup Development INSTITUTIONALIZING WORKGROUP DEVELOPMENT CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment Commitment Ability Document/make available tailoring guidelines Define practices & procedures at appropriate level Ensure that procedures: Capture experiences, lessons learned, measurement results, & improvement information to support the future use & improvement of practices Maintained under version control Disseminated through appropriate media Interpreted appropriately for different situations Updated via orderly methods Selected for their support of the workgroup's processes Integrated into workgroup processes & activities Consistent across interdependent workgroups Support resources Funding Adequate time for training & facilitation in workgroup skills Within each unit, assign an individual to ensure that members participate in Workgroup Development Provide adequate resources: Have the individual to whom workgroup members are accountable develop the knowledge, skills, process abilities needed to manage workgroups Defined workforce competencies Workforce competency descriptions & competency-based processes Experienced individuals with relevant expertise Define practices & procedures Ensure workgroup members receive appropriate guidance/training in workgroup skills Document & maintain a Workgroup Development policy, including: Assign an org. role to coordinate org. Workgroup Development Inclusion of Workgroups Development in the strategic workforce plan Business objectives & stated values it serves That workgroups are organized to perform interdependent tasks of org. business activities Procedures, specifying: How work is analyzed & designed to expedite its performance in workgroups Are staffed Compliance with laws, regulations, policies Establish performance objectives & work commitments Develop & maintain skills Manage performance Are dissolved Incorporate Workgroup Development into the strategic workforce plan & unit planned workforce activities How workgroups: Measure & Analyze Monitor Implementation Verify that Workgroup Development adheres to policies, practices, procedures; addresses noncompliance. Verify that: Have executive management periodically review Workgroup Development activities, sates, results & resolve issues. Verify: Progress Appropriateness Results from reviews Status of resolution of noncompliance issues Trends in activities vs. strategic workforce plan Effectiveness of Workgroup Development in achieving strategic workforce plan objectives Make measurements & use them to determine the status & performance of Workgroup Development Collect unit workgroup development measures & aggregate them Maintain a historical database Periodically analyze data to determine trends Make measurements & use them to determine Workgroup Development effectiveness It complies with org. policies & stated values It complies with relevant laws & regulations Activities are current & reflect existing & anticipated conditions & needs Noncompliance is handled appropriately It is performed according to documented practices & procedures KPA Execution (activities) Institutionalization of Workgroup Development

34 WORKGROUP DEVELOPMENT Goals: Establishment of workgroups to optimize the performance of interdependent work Tailoring of defined processes and roles for workgroup use in planning and performing their work Focus of workgroup staffing activities on the assignment, development, and future deployment of the organization's workforce competencies Workgroup performance management against documented objectives for committed work Institutionalization of Workgroup Development Focus of workgroup staffing activities on the assignment, development, and future deployment of the organization's workforce competencies WORKGROUP DEVELOPMENT ACTIVITIES CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment Establishment of workgroups to optimize the performance of interdependent work KPA Execution (activities) Structure committed work to optimize coordination & performance of interdependent work within workgroups Ensure that workgroups are staffed with individuals whose competencies match workgroup’s competencies needs Ensure that workgroups incorporate workforce competency information into workgroup staffing processes Involve members in selecting candidates Involve workgroup members in recruiting Involve members in evaluating candidates Involve the workgroup in orienting new members to its processes, commitments, other members Organize workgroups to perform a defined collection of interdependent tasks Organize work & allocate to workgroups to: Ensure each workgroup performs a defined collection of interdependent tasks Ensure no workgroup is assigned more work than it can accomplish Optimize gathering of task dependencies Periodically reevaluate to see if unit work is still allocated in a way that optimizes interdependent work & its coordination Reference committed work definitions & processes dependencies Minimize task dependencies Ensure coordination of task dependencies Form workgroups to perform a defined set of business activities & to accomplish defined objectives Charter each workgroup to perform a documented set of business activities & defined objectives Periodically reevaluate assigned business activities & objectives to ensure: They remained aligned with charter They aligned with the organization's objectives Correction address misalignments Have a responsible individual organize each workgroup Identify competencies needed to perform workgroup's business activities Reevaluate workgroup workforce competencies whenever its processes, technologies, products, services are redefined Before a workgroup is formed, identify workforce competencies needed for its business activities Document/make available them for use in staffing, performance management, training, etc. Disband workgroups through orderly workforce activities Personal development plans Determine future assignments before workgroup is disbanded Incorporate the following into future assignment decisions: Competency development needs & activities Career development issues Plan assignment transitions to minimize disruption to individual's competency & career development Make workgroups aware of when their business activities are deemed complete Discuss future assignments with each workgroup member Complete performance management before workgroup members leave Plan & conduct orientation to prepare members of disbanding workgroups for new assignments Competency needs of other workgroups & entities Transfer of knowledge, skills, process abilities to others The strategic workforce plan Workgroup Formation Workgroup formation is driven by the Investment Portfolio. It is not ad hoc.

35 WORKGROUP DEVELOPMENT Goals: Establishment of workgroups to optimize the performance of interdependent work Tailoring of defined processes and roles for workgroup use in planning and performing their work Focus of workgroup staffing activities on the assignment, development, and future deployment of the organization's workforce competencies Workgroup performance management against documented objectives for committed work Institutionalization of Workgroup Development WORKGROUP DEVELOPMENT ACTIVITIES CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment Tailoring of defined processes and roles for workgroup use in planning and performing their work KPA Execution (activities) Define & allocate to individuals roles in workgroup's operating processes Have workgroup members establish mechanisms for communicating information & coordinating dependencies among roles Define roles for tailored workgroup processes or methods & procedures needed for business activities Document each workgroup member’s assignment as the combination of allocated roles Tailor defined roles for workgroup's business context Allocate roles among members of the workgroup Periodically analyze workgroup performance to ensure that no individual is overloaded Periodically analyze workgroup performance to ensure defined roles are not overloaded with tasks Periodically review performance to identify & correct problems such as: Have them agree on how to coordinate work processes /products to satisfy dependencies, document agreements during: Creation of workgroup’s operating processes Workgroup planning Define methods for information flow coordination The definition & allocation of roles When subsets of workgroup members use different processes, ensure they define interfaces Determine meeting frequency for sharing information, coordination, status tracking Ensure workgroup members have a common understanding of terms used in communication Breakdowns in communication & coordination of dependencies Breakdowns, gaps, or inefficiencies in defined processes Overloaded roles Have workgroup members identify dependencies among their responsibilities Have them coordinate to handle operating process gaps/problems Workload imbalances across individuals Define & maintain methods & procedures for common workgroup functions Periodically review & revise methods & procedures to ensure continuous propagation of best practices Establish & maintain methods, procedures, tailoring guidelines common workgroup functions Communicate methods &procedures Have workgroups tailor competency-based processes for their business activities Review & agree on processes used by members from each competency Mutually define interfaces between their processes for coordinating dependencies Processes tailored from members’ workforce competencies Mutually defined interfaces between processes Choices among organizationally defined common workgroup methods & procedures Document processes used & any tailoring required Periodically review the tailored processes to ensure they continue to support performance. Make corrections Have the workgroup document its operating processes, which include: Have workgroup members with a common workforce competency jointly: Analyze assigned responsibilities to determine its activities & results Compare processes from their workforce competency to activities & results Tailor processes to best support performance When a workgroup has members from different workforce competencies, ensure they: Develop skills to perform as a workgroup, using workgroup's operating processes For workgroups that share dependencies, define interfaces through which to coordinate activities & commitments Members’’ capability to perform the operating processes Document a plan for workgroup development activities, including: Development objectives Specific development actions to achieve these objectives A development schedule As the workgroup is initiated, identify any training/development needs, based on: The specific tailoring of workgroup methods & procedures for its operating processes Individuals’ assigned roles Analyze workgroup's performance to determine its development needs Perform workgroup development Review accomplishment of development activities & their impact on workgroup behavior & performance Support for the strategic workforce plan Have responsible individual: Document completed development Recommend corrections when development does not achieve intended objectives Have dependent workgroups interact to: Plan activities that satisfy their dependencies Review & agree to mutual commitments Jointly monitor progress toward satisfying dependencies Raise & resolve issues Coordinate activities Take corrective action when dependencies are in jeopardy Improve conditions & processes that affect mutual work Handle problems or issues that cannot be resolved among dependent workgroups according to a documented procedure

36 WORKGROUP DEVELOPMENT Goals: Establishment of workgroups to optimize the performance of interdependent work Tailoring of defined processes and roles for workgroup use in planning and performing their work Focus of workgroup staffing activities on the assignment, development, and future deployment of the organization's workforce competencies Workgroup performance management against documented objectives for committed work Institutionalization of Workgroup Development WORKGROUP DEVELOPMENT ACTIVITIES Workgroup performance management against documented objectives for committed work CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment KPA Execution (activities) When workgroups disband, capture & redeploy their assets Plan the workgroup disbanding process Dispose of residual assets appropriately, through having them: Delivered to internal or external customers Deployed to other workgroups Returned to original owners Prior to the completion of business activities, work with the workgroup to: Capture & archive lessons learned about products, processes, or workforce practices Prepare & archive work products Archived for future use or reference Securely destroyed Plan workgroup activities & commitments Performance commitments Have workgroup members agree to: Their individual commitments to the workgroup Workgroup's commitments to other workgroups, its unit, etc. Changes to individual or workgroup commitments Plan how to accomplish assigned workgroup business activities, addressing: Tailored processes & common workgroup methods & procedures Roles Work dependencies within the workgroup, with other workgroups/entities Tailored processes & common workgroup methods & procedures Descriptions of work products or services Schedules & budgets Risk management plans Process performance measures Necessary management & support activities Review the workgroup’s plan to ensure: It satisfies the assigned responsibilities The commitments are achievable Dependencies with other entities are coordinated Workloads are balanced No individual's workgroup performance commitments are in jeopardy because of other commitments Document workgroup plans Track & manage workgroup performance Each individual's performance objectives are aligned with workgroup performance objectives Facilitate the workgroup in evaluating individual & collective member performance Ensure that: Personal development plans do not conflict with the performance objectives Performance objectives align with other workgroups' or entities’, when dependencies are shared Establish performance objectives with the manager/supervisor to whom the workgroup reports Ensure that workgroup manager is aware of its performance Ensure that workgroups have the information they need to perform their work When workgroups share work dependencies, track & manage their mutual performance Ensure the workgroup manager periodically provides formal performance feedback Have the workgroup manager work with it to discuss & resolve problems When performance problems occur, work with workgroup to: Accurately describe the problem Identify causes Track implementation of corrective action Decide on corrective action Manage individual performance problems that contribute to workgroup performance problems Provide continuous feedback on progress in correcting the performance problem Take further actions if workgroup performance does not improve Recognize/reward outstanding performance Base adjustments to individual's compensation, on their contribution to workgroup performance

37 WORKFORCE PLANNING Goals: Definition of measurable objectives for capability in each of the organization's workforce competencies Planning for workforce competencies needed to perform organization’s current and future business activities Workforce activities performed at the unit level to satisfy current and strategic competency needs Institutionalization of Workforce Planning INSTITUTIONALIZING WORKFORE PLANNING CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment Commitment Ability Document policy for Workforce Planning, including: Assign an org. role for coordinating Workforce Planning Units contributing to meeting strategic competency needs The business objectives & stated values it serves Tracing competency needs to products, services, business activities Procedures for: Developing/updating strategic workforce plan Creating/updating competency development plans Compliance with relevant laws, regulations, policies Planning unit workforce activities Reviewing/approving workforce plans Implementing workforce plans Correcting/amending workforce plans Defined & assigned responsibilities Reviewing compliance of activities to plans Documenting workforce planning processes & results Communicating workforce plans Within each unit, assign an individual to ensure Workforce Planning is performed Provide adequate resources: Strategic/operational business objectives/plans Identified organizational workforce competencies Experienced individuals with relevant expertise Define & document practices & procedures for Workforce Planning Document tailoring guidelines Define practices/procedures at appropriate level Ensure that procedures: Capture experiences, lessons learned, measurement results & improvement information from to support the future use & improvement of practices Maintained under version control Disseminated through appropriate media Interpreted appropriately for different situations Updated through orderly methods Support resources Unit level workforce plans Adequate time for Workforce Planning Ensure individuals performing Workforce Planning develop needed knowledge, skills, processes abilities Have responsible individual coordinate Workforce Planning in each workforce competency Funding Measure & Analyze Make measurements & use them to determine status &performance of Workforce Planning Collect unit measures of Workforce Planning & aggregate them Maintain a historical database Periodically analyze data to determine trends Monitor Implementation Verify that Workforce Planning is conducted according to policies, practices, procedures; address noncompliance. Verify that: Have executive management periodically review Workforce Planning activities, status, results and issues. Verify: It complies with policies & stated values It complies with relevant laws & regulations Plans are kept current, reflect existing & anticipated conditions & needs Noncompliance is handled appropriately It is performed according to documented practices & procedures Appropriateness of unit planning activities Appropriateness of org. activities Results from reviews of workforce plans against organizational values and policies Progress Results from review of Workforce Planning Effectiveness Status of resolution of noncompliance issues Trends in the results of workforce activities vs. strategic workforce objectives Institutionalization of Workforce Planning

38 WORKFORCE PLANNING Goals: Definition of measurable objectives for capability in each of the organization's workforce competencies Planning for workforce competencies needed to perform organization’s current and future business activities Workforce activities performed at the unit level to satisfy current and strategic competency needs Institutionalization of Workforce Planning WORKFORE PLANNING ACTIVITIES CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment Definition of measurable objectives for capability in each of the organization's workforce competencies KPA Execution (activities) Document current & strategic workforce needs Number of people needed to accomplish committed work vs. number available Document strategic workforce needs from inputs that anticipate future business activities Document current workforce needs from inputs from units, identifying: Unit’s staffing plan/objectives Workforce competencies needed to meet commitment vs. current capability Document selected workforce competencies needing development activities in the strategic workforce plan Compare current capability to current & strategic workforce needs to determine staffing/development requirements Unit’s future commitments that have current staffing implications Select workforce competencies that require action to meet identified staffing & development requirements Establish measurable objectives for developing capability in selected workforce competencies: Derived from strategic/operational business objectives/plans Aggregated into organizational objectives Reviewed periodically & revised, as necessary Reviewed & approved by management Included in the appropriate competency development plans Produce a competency development plan for each selected workforce competency Schedule Base each competency development plan on: Development requirements Strategic needs for the competency Established competency development activities Develop competency development plans for each competency, per documented procedure, that specifies: Responsibilities Plan development & approval processes Plan content Include in each competency development plan: Measurable objectives for capability development Affected number of people How the needed people will be developed or staffed Needed internal workforce activities Time typically required to achieve required capability level Have affected parties review the plan Needed resources How competency will be maintained/enhanced over time The rate of change in the competency skills needed for future business activities Incorporate competency development plans into strategic workforce plan Planning for workforce competencies needed to perform organization’s current and future business activities

39 WORKFORCE PLANNING Goals: Definition of measurable objectives for capability in each of the organization's workforce competencies Planning for workforce competencies needed to perform organization’s current and future business activities Workforce activities performed at the unit level to satisfy current and strategic competency needs Institutionalization of Workforce Planning WORKFORE PLANNING ACTIVITIES CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment KPA Execution (activities) Periodically review & revise competency development plans Establish/maintain strategic workforce plan Workforce activities schedule Integrate competency development plans Develop strategic workforce plan per documented procedure, that specifies: Responsibilities Review & approval processes Required resources Document mechanisms for workforce competencies development/provision Plan review/revision schedule Provide long-term requirements for changes in workforce competencies & for guiding competency-based practices development Provide guidance for planning unit workforce activities Include anticipated changes required to attract, develop, motivate, retain the workforce needed for future business Include risk assessment of the ability to obtain workforce needed for future business Review/revise plan periodically to reflect changes in business Use plan as input to business plan & strategy for needed workforce availability Knowledge, skills processes abilities change Review & revise plans with as often as: Appropriate opportunities to assess & correct competency development arise The need to review/revise the strategic workforce plan Review/revise plans as: Use documented procedures to revise plans Rapid changes in business, technology, etc. require changes in knowledge, skills, process abilities Changes in committed work, etc. substantially change competency staffing requirements Competency development is not achieving intended results Develop a succession plan for critical positions Identify critical positions For identified individuals, base staffing, performance management, training, career development in part on succession objectives Develop critical position profiles with description, required competencies, & critical success factors Develop candidate pool for each position Track candidates’ progress in developing workforce competencies required for critical positions Track org. performance in meeting strategic workforce plan objectives Assign individual in each competency to track performance vs. competency development plan Take corrective action if the results deviate from plan Periodically review progress vs. plans with executive management Track progress in meeting the objectives of the competency development plan for each workforce competency Assign individual in each workforce competency to track performance against its competency development plan Take corrective action if the results significantly deviate from plan Periodically review progress against competency plans with executive management Planning for workforce competencies needed to perform organization’s current and future business activities

40 WORKFORCE PLANNING Goals: Definition of measurable objectives for capability in each of the organization's workforce competencies Planning for workforce competencies needed to perform organization’s current and future business activities Workforce activities performed at the unit level to satisfy current and strategic competency needs Institutionalization of Workforce Planning WORKFORE PLANNING ACTIVITIES Workforce activities performed at the unit level to satisfy current & strategic competency needs CAPABILITY LEVEL 3 Workforce Competencies Development and Strategic Alignment KPA Execution (activities) Periodically review & revise unit workforce plans The schedule for establishing work commitments & performance objectives requires Review & revise plans with as often as: Appropriate opportunities to assess & correct unit workforce activities arise The need to review/revise the strategic workforce plan Review/revise competency development plans periodically as: Use documented procedures to revise plans where appropriate Rapid changes in committed work, technology, etc. require changes in competencies, workforce activities Changes in committed work, etc. substantially change competency staffing requirements Planned workforce activities are not achieving intended results Have units plan workforce activities to satisfy current & strategic competency needs Developing workforce competencies needed for business activities Plan unit workforce activities to satisfy: Current competency needs their performance objectives relative to the strategic workforce plan For each unit, document objectives for: Contributing to the strategic competency development objectives Performing planned workforce activities for competency development Plan unit activities with organizational guidance indicating: Relevant schedules & events Available support resources Inputs from the strategic workforce plan Information about the unit’s workforce needs & org. needs How to represent/communicate needed information identify & document activities required to support workforce needs Ensure those accountable for workforce activities collaborate with those who coordinate & escalate unit plans Identify & document unit workforce requirements for the next planning period Identify, assess, document workforce activity risks Document/maintain unit workforce plans, etc. Track each unit’s workforce activities performance Take corrective action if the results deviate from plan Periodically review status planned workforce activities status Periodically review unit workforce activities performance at the org. level Periodically review progress vs. unit’s development plan objectives with higher level unit managers & workforce activities managers

41 LEVEL 4 ANALYSIS HIERARCHY CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Process Capability COMPETENCY INTEGRATION Goals: Integration of competency-based processes from different workforce competencies Use of integrated processes for performing work with interdependent competencies Workforce practices designed to support multi-disciplinary work Institutionalization of Competency Integration GOALS OF KEY PROCESS AREAS (KPAs) COMPETENCY-BASED ASSETS Goals: Development of competency based assets from knowledge, experience, artifacts f competency-based processes Deployment and use of competency-based assets Workforce practices encouraging/supporting development and use of competency- based assets Institutionalization of Competency Based Assets QUANTATATIVE PERFORMANCE MANAGEMENT Goals: Establishment of measurable performance objectives for competency-based processes Quantitative management of processes performance Institutionalization of Quantitative Performance Management as a defined organizational process ORGANIZATIONAL CAPABILITY MANAGMENT Goals: Quantitative management of workforce capability development Quantitative management of the impact of workforce practices/activities on workforce capabilities development Establishment and quantitative management of processes capabilities in critical workforce competencies Quantitative management of the impact of workforce practices/activities on process capabilities Institutionalization of Organizational Capability Management MENTORING Goals: Establishment and maintenance of mentoring programs Mentors providing guidance Institutionalization of Mentoring as a defined organizational process EMPOWERED WORKGROUPS Goals: Empowered workgroups with delegated responsibility over their own work processes Organizational workforce practices encouraging/supporting empowered workgroups Internal implementation of selected workforce practices by empowered workgroups Institutionalization of Empowered Workgroups Improve interdependent work by integrating the processes of different workforce competencies Empower workgroups to define their own operating processes Enhance workforce capability & performance with captured knowledge, experience, & artifacts from business process execution Predict & manage the capability to achieve measurable performance objectives Quantify & manage workforce capability in performing critical processes Transfer experience to improve the capability of others

42 COMPETENCY INTEGRATION Goals: Integration of competency-based processes from different workforce competencies Use of integrated processes for performing work with interdependent competencies Workforce practices designed to support multi-disciplinary work Institutionalization of Competency Integration INSTITUTIONALIZING COMPETENCY INTEGRATION CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Institutionalization of Competency Integration Commitment Ability Document policy for Competency Integration, including: Assign an organizational role to coordinate Competency Integration Adding Competency Integration to strategic workforce plan & units’ planned workforce activities The business objectives & stated values it serves The goal of improving efficiency when there are dependencies among individuals with different workforce competencies Procedures specifying: Compliance with relevant laws, regulations, organizational policies How to analyze work & design it to integrate process abilities of different competencies How to define & maintain integrated processes How to prepare individuals for use of integrated processes How to adjust workforce practices &activities in support of competency integration Institutionalization Within each unit, assign an individual to ensure Competency Integration is performed Provide adequate resources : Defined processes in each workforce competency Experienced individuals with relevant expertise Define & document practices & procedures for Competency Integration Document tailoring guidelines Define practices/procedures at the appropriate level Ensure that procedures are: Capture experiences, lessons learned, measurement results & improvement information for future use & improvement of practices Maintained under version control Disseminated through appropriate media Interpreted appropriately for different situations Updated through orderly methods Resources for supporting Competency Integration Adequate time Ensure those performing Competency Integration develop needed knowledge, skills, processes abilities Have responsible individual coordinate definition, development, maintenance of each integrated process Funding Ensure those affected by Competency Integration develop needed knowledge, skills, processes abilities to perform integrated processes Make available organizational business activities & process documentation Provide preparation managers for multi-disciplinary management Provide preparation to affected individuals Cross-train participants in other competencies’ processes, so they can: Better understand integrated processes context Develop better expectation for how others may react to change Expand their ability to fill roles in a workgroup Provide additional facilitation to workgroups deploying integrated processes Provide additional preparation when integrated processes are changed Competency-Based Processes At Level 4, all references to processes are short hand for “Competency-Based Processes”. At Level 4, work processes are aligned to organizational workforce competencies.

43 COMPETENCY INTEGRATION Goals: Integration of competency-based processes from different workforce competencies Use of integrated processes for performing work with interdependent competencies Workforce practices designed to support multi-disciplinary work Institutionalization of Competency Integration INSTITUTIONALIZING COMPETENCY INTEGRATION CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Measure & Analyze Make measurements and use them to determine the status and performance of Competency Integration Make measurements and use them to determine the effectiveness of Competency Integration Monitor Implementation Have a responsible individual verify that Competency Integration is conducted according to documented policies, practices, and procedures; and addresses noncompliance. Verify that: Have executive management periodically review Competency Integration activities, status, results and issues. Verify: It complies with the organization's policies & stated values It complies with relevant laws and regulations Noncompliance is handled appropriately It is performed according to the organization's documented practices and procedures Effectiveness at organizational, competency and unit levels Appropriate Results from reviews Competency Integration activities Progress Effectiveness of Competency Integration in accomplishing multi-disciplinary work Status of resolution of noncompliance issues Trends KPA Execution (activities) Institutionalization of Competency Integration

44 COMPETENCY INTEGRATION Goals: Integration of competency-based processes from different workforce competencies Use of integrated processes for performing work with interdependent competencies Workforce practices designed to support multi-disciplinary work Institutionalization of Competency Integration COMPETENCY INTEGRATION ACTIVIES Workforce practices designed to support multi- disciplinary work CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Integration of competency- based processes from different workforce competencies KPA Execution (activities) Identify business activities with multiple workforce competencies How often they occur Identify business activities where staff from more than one workforce competency have shared dependencies or defined processes interfaces & evaluate: The opportunity to improve efficiency or quality by better integrating their processes How often coordination problems occur, resulting in efficiency or quality reduction Select business activities with multiple workforce competencies & having the most impact on business performance as business processes integration candidates The impact greater efficiency or accuracy would have on improving business value Define and make available integrated processes Ensure that the work environment supports integrated processes Define integrated processes for use in multi-disciplinary organizational structures Document integrated processes and make available to business activities involving multiple workforce competencies Provide communication & coordination tools Collocate staff using integrated processes Provide common workspaces Provide joint access to information Analyze dependencies & interfaces among multiple workforce competencies to identify opportunities for process integration Iterative processes that could be reduced through tighter integration Analyze processes used by different workforce competencies to identify efficiency improvement opportunities, such as: Sequential processes that could be performed in parallel Idle time that could be eliminated by tighter integration Perform analysis to identify the most efficient methods for process integration Sources of defects that could be reduced or eliminated Include individuals involved in multi-competency business activities in process integration Joint activities that reduce effort, lower costs, shorten schedule, reduce errors, or improve the quality Select the most efficient methods for process integration Ensure that organizational structures support multi-disciplinary work with Integrate processes Revise workforce competency descriptions to incorporate integrated processes Evaluate performance of integrated processes to identify needed adjustments & updates Periodically evaluate integrated processes to see if adjustments are needed Make & record adjustments Recommend adjustments that may be generic across situations for incorporation into the documented integrated process Define and adjust workforce practices & activities to support integrated competency- based activities Include preparation for integrated processes in competency development plans & activities Adjust recruiting/selection to identify candidates skilled in & willing to work in interdisciplinary environments, with integrated processes Plan unit business activities to expand the use of integrated processes where beneficial Enhance communication & coordination to improve integration & cooperation among workforce competencies Include feedback on performance of integrated processes in performance discussions with individuals Capability in integrated processes among the criteria for advancement Ability to move between workforce competencies as a component of graduated career opportunities Incorporate in career planning practices: Reflect capability & performance of integrated processes in adjustments to compensation & rewards

45 COMPETENCY INTEGRATION Goals: Integration of competency-based processes from different workforce competencies Use of integrated processes for performing work with interdependent competencies Workforce practices designed to support multi-disciplinary work Institutionalization of Competency Integration COMPETENCY INTEGRATION ACTIVIES CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Use of integrated processes for performing work with interdependent competencies KPA Execution (activities) Have workgroups use integrated processes for multi-competency work Periodically review work using integrated processes for status, make adjustments If there are significant deviations of progress from plan take corrective action, including making adjustments integrated processes Have workgroups tailor integrated processes & use them for planning committed work Each workforce competency's processes Have workgroups define their processes from tailored combinations of: Integrated processes for business activities in which they share dependencies Standard workgroup processes tailored for interdisciplinary use Have workgroups use integrated processes for: Planning business activities & establishing commitments Defining member roles Guiding committed work Orienting new members Coordinating work dependencies Collecting data & developing lessons learned Capture and maintain data on performance of multi-disciplinary work Deign work to incorporate integrated processes: Redesign existing business processes to facilitate competency integration Redesign existing workforce competency processes to incorporate integration Enhance workgroup processes with integration Design new business processes to exploit the benefits of process integration Develop skills for integrated processes Development objectives for multi-disciplinary entities Document plans for developing skills as: Specific training/development actions to achieve objectives Input to competency development or workgroup development plans & activities Perform planned development activities Development schedule Analyze where processes are performed to determine development needs Review plan for completion & impact on multi-disciplinary performance Take corrective action when development activities do not achieve their objectives

46 EMPOWERED WORKGROUPS Goals: Empowered workgroups with delegated responsibility over their own work processes Organizational workforce practices encouraging/supporting empowered workgroups Internal implementation of selected workforce practices by empowered workgroups Institutionalization of Empowered Workgroups INSTITUTIONALIZING EMPOWERED WORKGROUPS Internal implement- ation of selected workforce practices by empowered workgroups CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Institutionalization of Empowered Workgroups Commitment Ability Document policy for Empowered Workgroups, including: Assign an organizational role to coordinating Empowered Workgroup & tailoring workgroup practices to support them Adding Empowerment to strategic workforce plan & implementing it at unit level The business objectives & stated values it serves Adjustment to the work environment & other organizational attributes Compliance with relevant laws, regulations, policies Adjusted workforce practices Empowered Workgroups assuming increasing responsibility for workforce practices within the workgroup Ensure affected individuals develop needed knowledge, skills, processes abilities to develop effective relationships with empowered workgroups Provide preparation for those, to whom empowered workgroups report Provide preparation to others interacting with empowered workgroups needed to coordinate activities Provide facilitation to: Support managers, etc., who work with empowered workgroups Assist empowered workgroups in taking responsibility Addressing problems it is unable to resolve internally. Providing/making available organizational resources Providing guidance Reviewing progress and performance Facilitating the empowered workgroup, when needed Provide each empowered workgroup with a sponsor to whom it is accountable To assist the workgroup by: Clarifying its mission & responsibilities To act as liaison to other entities To represent org. interests to the workgroup Provide adequate resources: Workgroups established optimize performance of interdependent work Tailorable competency-based processes Tailorable workforce practices Experienced individuals with expertise in facilitating empowerment Experienced individuals with expertise in tailoring workforce practices for: Use within empowered groups Supporting empowered groups Support resources Adequate funding Have those responsible for workgroup workforce practices of develop needed knowledge, skills, process abilities Prepare those performing workforce practices receive for applying practices consistently with empowered workgroups Prepare those designing workforce practices for performing their responsibilities Prepare those applying workforce practices for applying these practices Institutionalization Define & document the practices & procedures for Empowered Workgroups: Document tailoring guidelines Define practices/procedures at appropriate level Ensure that procedures: Capture experiences, lessons learned, measurement results & improvement information for future use & improvement of practices Maintained under version control Disseminated through appropriate media Interpreted appropriately for different situations Updated through orderly methods

47 EMPOWERED WORKGROUPS Goals: Empowered workgroups with delegated responsibility over their own work processes Organizational workforce practices encouraging/supporting empowered workgroups Internal implementation of selected workforce practices by empowered workgroups Institutionalization of Empowered Workgroups INSTITUTIONALIZING EMPOWERED WORKGROUPS Internal implement- ation of selected workforce practices by empowered workgroups CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Measure & Analyze Make measurements & use them to determine the status & performance of empowering workgroups Make measurements & use them to determine the effectiveness of empowering workgroups Monitor Implementation Verify that empowering workgroups is conducted according to policies, practices, procedures; addresses noncompliance. Verify that: Have executive management periodically review workgroup empowerment activities, status, results and issues. Verify: It complies with the organization's policies & stated values It complies with relevant laws and regulations Noncompliance is handled appropriately It is performed according to the organization's documented practices and procedures Periodically audit the definition & use of empowered workgroup performance data for compliance with organizational policies Appropriateness at organizational and unit levels Results from reviews of workforce practices and activities for empowering workgroups Progress Effectiveness at the organizational level Status of resolution of noncompliance issues Trends Institutionalization of Empowered Workgroups

48 EMPOWERED WORKGROUPS Goals: Empowered workgroups with delegated responsibility over their own work processes Organizational workforce practices encouraging/supporting empowered workgroups Internal implementation of selected workforce practices by empowered workgroups Institutionalization of Empowered Workgroups EMPOWERED WORKGROUP ACTIVITIES CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Empowered workgroups with delegated responsibility over their own work processes KPA Execution (activities) Design work to provide an empowered workgroup with optimal control over an integrated set of business activities Optimize the collection of dependencies within a workgroup Analyze business activities within & across units to determine how to most efficiently: Minimize sharing of dependencies across workgroups Periodically review business activities to determine if they can be more effectively organized to support workgroups Ensure that empowered workgroups participate in the design of business activities Delegate to empowered workgroups responsibility & authority to determine methods to accomplish committed work Have them define & coordinate interfaces with other entities Have empowered workgroups tailor & integrate processes & standard methods/procedures for common workgroup functions Have them assign roles & allocate work Have them plan business activities & commitments, negotiate inconsistencies with their management, etc. Form empowered workgroups with a statement of their mission & authority for accomplishing it Purpose and intended contribution to business objectives Charter with a mission statement that describes: Strategic & operational context of the work Responsibilities & expected outputs Have reporting responsibility for empowered workgroup staff Dependencies & interfaces Establish empowered workgroups by those who: Extent of autonomy & authority Review & update the mission statement whenever business conditions, work processes, or org. structure changes Have responsibility for empowered workgroup’s business activities Are capable of delegating responsibility & authority to the empowered workgroup Accountability & reporting relationships Initial level of self-management, if appropriate Have empowered workgroup management provide business objectives & negotiate responsibilities & commitments with the workgroup Review & agree on assigned objectives & responsibilities Have empowered workgroup: Plan its business activities & commitments Review & agree on its performance evaluation criteria Objective performance evaluation criteria Negotiate agreements on performance objectives, responsibilities, commitments with management Have workgroup management provide: Renegotiate with management as necessitated by its performance against plan or changing business conditions Goals responsibilities Strategy for how activities &work products fit in with other entities’ activities & work products Have empowered workgroups use appropriate methods for making decisions on their commitments & methods of operation Allocate authority to roles based on dependencies in committed work Early in the workgroup’s formation, determine how they will: Empower individuals, etc. to take independent action Periodically review activities & performance to see if decision-making process changes are needed Achieve consensus on plans & commitments Make decisions Negotiate & represent interests to management

49 EMPOWERED WORKGROUPS Goals: Empowered workgroups with delegated responsibility over their own work processes Organizational workforce practices encouraging/supporting empowered workgroups Internal implementation of selected workforce practices by empowered workgroups Institutionalization of Empowered Workgroups EMPOWERED WORKGROUP ACTIVITIES CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Organizational workforce practices encouraging/ supporting empowered workgroups KPA Execution (activities) Support empowered workgroups with work environment Give workgroups the authority to organize & arrange their work environments to best support them Identify facilities & resources that could enhance empowered workgroup performance Make them available Include input & review of empowered workgroups in work environment improvement Tailor workforce practices for use with empowered workgroups Involve HR, etc. in ensuring that adjusted workforce practices adjusted comply with laws, regulations, policies Involve those workforce practices coordinators in adjusting the practices Involve workgroup members in developing guidelines for adjusting & applying workforce practices Base compensation adjustments of empowered workgroup members, in part, on workgroup performance Individual performance vs. objectives Base members’ compensation adjustments in part, on: Overall contribution to development, functioning, performance of the workgroup Provide guidance/assistance for factoring individual contribution to workgroup performance to those adjusting compensation Review/adjust compensation system to: Optimize the relationship of unit & org. & individual performance to empowered workgroup performance Ensure that workgroup-related compensation adjustments are having intended effects Workgroup performance vs. performance objectives Workgroup's contribution to unit & org. performance objectives Discuss the basis for factoring empowered workgroup performance into compensation with individual Maintain equity

50 EMPOWERED WORKGROUPS Goals: Empowered workgroups with delegated responsibility over their own work processes Organizational workforce practices encouraging/supporting empowered workgroups Internal implementation of selected workforce practices by empowered workgroups Institutionalization of Empowered Workgroups EMPOWERED WORKGROUP ACTIVITIES Internal implementation of selected workforce practices by empowered workgroups CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration KPA Execution (activities) Have empowered workgroups participate in managing their performance Integrated into the performance objectives of each member Ensure performance measures are: Periodically reviewed to determine appropriateness under changing conditions and revised, if needed Periodically evaluate workgroup performance vs. individual & workgroup objectives Ensure members are aware of performance Have members jointly establish their individual performance objectives by: Manage member performance to achieve objectives Establishing & agreeing to the performance objectives of each member Defining personal performance objectives, consistent with their workgroup, unit, & org. Align workgroup performance objectives with org. performance objectives Involve workgroup stakeholders in establishing performance objectives/criteria Establish performance objectives Define & use performance measures to evaluate effectiveness & improve performance Have members openly discuss performance issues & seek solutions To the extent of delegation, have empowered workgroups: Provide formal performance feedback to members Provide input to compensation Manage unsatisfactory performance Delegate responsibility & authority to empowered workgroups Recruiting Include in delegated activities: Developing methods & criteria for selecting new members New staff orientation Through a combination of internal and external activities Internal performance management Decide how to delegate activities to different workgroups with management & HR: Determining learning needs, ensuring they are satisfied Evaluate effectiveness of self- management to determine: Internally by workgroup members Externally by project managers, competency managers, HR, etc. Participating in compensation decisions Contributing to strategic workforce planning & planning unit workforce activities Recognizing/rewarding outstanding performance Other workforce activities Corrective actions for performance How ready the workgroup is to perform its own workforce practices How self-management is working at org. level & if corrections are needed Maintain ongoing discussion with workgroups on workforce activities performance Increase responsibility & authority for delegated workforce activities as they become more effective Involve members in decisions on their responsibility for performing workforce practices Have empowered workgroups tailor delegated workforce activities & plan for their adoption Plan their integration into planned business activities Prepare members to perform delegated workforce activities Define & agree on how to perform delegated workforce activities Make facilitation available Have HR, etc. review empowered work groups' workforce activities to ensure they comply with laws, regulations, policies When necessary, take corrective action to improve the performance of delegated workforce activities Maintain records of workgroup’s workforce activities Have empowered workgroups perform delegated workforce activities Seek advice from HR, etc. to ensure compliance with policies, procedures, relevant laws & regulations Assign roles Perform delegated workforce activities according to plan Review/audit workforce activities to ensure compliance with policies, procedures, relevant laws & regulations

51 COMPETENCY-BASED ASSETS Goals: Development of competency based assets from knowledge, experience, artifacts f competency-based processes Deployment and use of competency-based assets Workforce practices encouraging/supporting development and use of competency- based assets Institutionalization of Competency Based Assets INSTITUTIONALIZING COMPETENCY-BASED ASSETS CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Institutionalization of Competency Based Assets Commitment Ability Ensure those responsible for developing competency-based assets develop needed knowledge, skills, processes abilities Provide learning opportunities in techniques for capturing & reusing assets, including: Disseminating assets Assisting individuals in sharing assets Capturing assets Representing & packaging assets for reuse Provide adequate resources: Defined workforce competencies Competency development plans for the organization's workforce competencies Experienced individuals with appropriate expertise Adequate resources for capturing & exploiting competency-based assets: Information, communication, other technology for collecting, storing and communicating assets Search and presentation technology for using assets Adequate time: Of knowledge, experience, artifacts owners Institutionalization Document policy for competency-based assets, including: Assign an organizational role to coordinate capturing & reusing competency- based assets Captured & retained knowledge, experience, & artifacts from competency-based processes The business objectives & stated org. values these activities serve How competency-based knowledge, experience, & artifacts are incorporated into competency development & business Adjusting workforce practices to motivate capturing & exploiting competency-based knowledge, experience, artifacts Compliance with relevant laws, regulations, organizational policies Involving appropriate professionals to ensure that activities comply with contracts with other organizations Encourage knowledge sharing between individuals and workgroups in the stated values of the organization In each unit, assign an individual to ensure that members participate in capturing & using competency-based assets Have the responsible individual coordinate capturing & using competency-based assets within each workforce competency Tools and methods for incorporating assets into business Training Of facilitators Storing and retrieving assets Building asset repositories Integrating competency-based assets into competency-based processes Developing and exploiting intellectual capital Ensure those involved in capturing or using competency-based assets develop needed knowledge, skills, processes abilities to develop effective relationships with empowered workgroups Prepare them in methods for using competency-based assets in performing their business activities Prepare them in methods for capturing knowledge, experience, artifacts from competency-based or interdisciplinary processes Prepare them in methods for sharing process knowledge, experience, artifacts Define and document the practices & procedures: Document tailoring guidelines Define practices/procedures at appropriate level Ensure that procedures are: Capture experiences, lessons learned, measurement results & improvement information for future use & improvement Maintained under version control Disseminated through appropriate media Interpreted appropriately for different situations Updated through orderly methods

52 COMPETENCY-BASED ASSETS Goals: Development of competency based assets from knowledge, experience, artifacts f competency-based processes Deployment and use of competency-based assets Workforce practices encouraging/supporting development and use of competency- based assets Institutionalization of Competency Based Assets INSTITUTIONALIZING COMPETENCY-BASED ASSETS CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Measure & Analyze Make measurements and use them to determine the status and performance of activities contributing to and using competency-based assets Make measurements and use them to determine the effectiveness of competency-based assets on improving competencies & performance Monitor Implementation Have a responsible individual verify that developing and using competency-based assets is conducted according to documented policies, practices, and procedures; and addresses noncompliance. Verify that: Have executive management periodically review Competency- Based Assets activities, status, results and issues. Verify: It complies with the organization's policies & stated values It complies with relevant laws and regulations Noncompliance is handled appropriately It is performed according to the organization's documented practices and procedures Periodically audit the definition & use of competency-based assets measures and information for compliance with organizational policies Appropriate at organizational and unit levels Results from reviews of practices and activities Progress Effectiveness at the organizational level Status of resolution of noncompliance issues Trends KPA Execution (activities) Institutionalization of Competency Based Assets

53 COMPETENCY-BASED ASSETS Goals: Development of competency based assets from knowledge, experience, artifacts f competency-based processes Deployment and use of competency-based assets Workforce practices encouraging/supporting development and use of competency-based assets Institutionalization of Competency Based Assets COMPETENCY-BASED ASSETS ACTIVITIES CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Deployment & use of competency -based assets Development of competency based assets from knowledge, experience, artifacts f competency- based processes KPA Execution (activities) Create a strategy for developing & deploying competency-based assets each workforce competency Define methods & processes for: Capturing assets Sharing them Establish standards for representing competency-based assets Using them Identify workforce competencies where capture, development, use of assets will have business benefit Communicate asset strategy & standards for to each competency community Establish & maintain an asset strategy within each affected competency Within each competency, establish criteria for selecting artifacts to be developed into assets Assign responsibilities for acquiring, developing, deploying, maintaining assets Have individuals/workgroups capture & retain information & artifacts from competency-based processes Seek advice from HR, etc. to ensure their actions comply with policies, procedures, relevant laws & regulations Augment processes with tasks for capturing business artifacts Capture & retain information that can contribute to the knowledge, skills, process abilities of workforce competencies Retain process artifacts Update competency-based assets to reflect periodic revisions in knowledge, skills, process abilities constituting workforce competencies Incorporate assets into revisions of workforce competencies as appropriate Involve competency communities in maintaining & validating for use co assets relevant to their workforce competencies Ensure competency-based assets are consistent with definitions of the knowledge, skills, process abilities of workforce competencies Periodically review for consistency with workforce competency descriptions When descriptions are revised, revise related assets Periodically review assets for currency & modify/remove Review processes artifacts to see if they necessitate revisions to workforce competency descriptions Stablish communication vehicles to support sharing of competency-based information & artifacts Organize selected components of competency-based artifacts into competency-based assets & make available for use Make assets available for use Select artifacts within a competency community according to standards & criteria for incorporation into competency-based assets Transform artifacts into assets using appropriate methods & complying with relevant standards Establish version control Ensure assets are consistent with workforce competency descriptions Integrate competency-based assets into competency-based processes & related technologies Adjust technologies to deploy competency-based assets, including: Evaluate the definition of competency-based processes to identify adjustments needed to incorporate them into standard work practices & business activities Revise workforce competency descriptions to incorporate assets, including: Revisions of competency-based processes based on knowledge embodied in or required for using the asset Communicate the incorporation of assets into processes to the affected competency communities Descriptions of the knowledge & skills embodied in or required for using the assets Relevant search tools Presentation media for displaying assets Electronically accessible asset repositories Communication technology for deploying assets remotely Security mechanisms to ensure the protection and appropriate use of assets Use competency-based assets in individuals’ /work groups' business activities Provide preparation to incorporate assets into individuals’ processes Have individuals/workgroups plan committed work to incorporate assets Offer assistance/mentoring to individuals/workgroups Capture & make available information from the use of competency-based assets Capture information on asset use Organize and make available information on experiences using assets Use this information in revising and expanding the use of assets

54 COMPETENCY-BASED ASSETS Goals: Development of competency based assets from knowledge, experience, artifacts f competency-based processes Deployment and use of competency-based assets Workforce practices encouraging/supporting development and use of competency-based assets Institutionalization of Competency Based Assets COMPETENCY-BASED ASSETS ACTIVITIES Workforce practices encouraging/s upporting development and use of competency- based assets CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration KPA Execution (activities) Encourage & support the development & use of competency-based assets with workforce practices Define and perform compensation to motivate the development and use of competency- based assets Organize mentoring or coaching activities to deploy competency-based assets Define a mentoring process within each workforce competency Prepare mentors for imparting documented knowledge, skills, process abilities using the defined mentoring process Periodically review mentoring activities for needed improvements or opportunities for better exploiting assets Incorporate competency-based assets into competency development activities Incorporate assets in the learning opportunities offered by training/development programs Explicitly design some learning activities to impart the information contained in them assets Tailor assets to become effective components of competency development plans/activities Adjust staffing & work assignment decisions to identify those with greatest potential for contributing to & using assets Adjust the work environment to encourage contribution to, or use of assets Adjust performance management to consider the contribution to, & use of assets: Include contribution to & use of assets in individual or unit performance objectives Include feedback on ’ contribution to, or use of assets performance discussions Assess performance, in part, against contribution to, or use of assets Recognize/reward outstanding contribution to, or use of assets Adjust the compensation system to motivate the development & use of assets Provide guidance/assistance for factoring the development and use of assets into compensation decisions to those making compensation decisions Discuss the basis for factoring the development and use of assets into compensation with each individual Review individual compensation decisions affected by the development and use of assets to ensure they maintain equity in the compensation system Periodically review the compensation system & adjust to improve its influence on the development & use of assets

55 QUANTATATIVE PERFORMANCE MANAGEMENT Goals: Establishment of measurable performance objectives for competency-based processes Quantitative management of processes performance Institutionalization of Quantitative Performance Management as a defined organizational process INSTITUTIONALIZING QUANTITATIVE PERFORMANCE MANAGMENET CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Institutionalization of Quantitative Performance Management as a defined organizational process Commitment Ability Ensure that Quantitative Performance Management participants develop needed knowledge, skills, and process abilities: Adequate time Provide orientation in performance data definition & use in analyses to those who provide it Support resources Funding Provide adequate resources: Business objectives that can be decomposed into measurable performance objectives at the unit level Measurements of performance for analysis Process performance baselines for competency-based processes Experienced individuals with expertise to help those responsible for unit performance analyze quantitative performance results to: Understand and predict performance Improve performance Institutionalization In each unit, assign an individual to ensure that Quantitative Performance Management is performed Adjust performance-based practices and activities Provide orientation to those receiving quantitative performance management analyses on how the results were generated and how to interpret them Prepare those responsible for adjusting performance-related workforce practices to make such adjustments Provide orientation in the proper interpretation & use of data to those using performance data to understand/improve their performance Document practices & procedures for Quantitative Performance Management: Document tailoring guidelines Define practices/procedures at appropriate level Ensure that procedures are: Capture experiences, lessons learned, measurement results & improvement information future use & improvement of practices Maintained under version control Disseminated through appropriate media Interpreted appropriately for different situations Updated through orderly methods Document policy for Quantitative Performance Management, including: Assign an organizational role to coordinate Quantitative Performance Management Measurable goals for aspects of performance that are most closely related to the business objectives The business objectives & stated org. values Quantitative Performance Management serves How performance vs. measurable objectives is analyzed & reported Defined & appropriately assigned responsibilities Compliance with relevant laws, regulations, organizational policies How Quantitative Performance Management results are used in managing performance & adjusting workforce activities Organizational commitment to continuous improvement by measuring & managing performance results at the individual, workgroup, and unit levels

56 QUANTATATIVE PERFORMANCE MANAGEMENT Goals: Establishment of measurable performance objectives for competency-based processes Quantitative management of processes performance Institutionalization of Quantitative Performance Management as a defined organizational process INSTITUTIONALIZING QUANTITATIVE PERFORMANCE MANAGMENET CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Measure & Analyze Make measurements and use them to determine the status and performance of Quantitative Performance Management Make measurements and use them to determine the effectiveness of Quantitative Performance Management Monitor Implementation Have a responsible individual verify that Quantitative Performance Management is conducted according to documented policies, practices, and procedures; and addresses noncompliance. Verify that: Have executive management periodically review Quantitative Performance Management activities, status, results and issues. Verify: It complies with the organization's policies & stated values It complies with relevant laws and regulations Noncompliance is handled appropriately It is performed according to the organization's documented practices and procedures Periodically audit the definition & use of performance measures at individual, workgroup, unit levels for compliance with org. policies Appropriateness at all levels Results from reviews of practices and activities Progress Effectiveness at the organizational level Status of resolution of noncompliance issues Trends KPA Execution (activities) Institutionalization of Quantitative Performance Management as a defined organizational process

57 QUANTATATIVE PERFORMANCE MANAGEMENT Goals: Establishment of measurable performance objectives for competency-based processes Quantitative management of processes performance Institutionalization of Quantitative Performance Management as a defined organizational process QUANTITATIVE PERFORMANCE MANAGMENET ACTIVITIES CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Establishment of measurable performance objectives for competency- based processes KPA Execution (activities) Define quantitative performance objectives required to achieve organizational business objectives Have individuals & workgroups establish measurable performance objectives for competency-based processes that most contribute to achieving unit performance objectives: Have each unit establish measurable performance objectives whose achievement most contributes to organizational business objectives Identify business activities critical to objectives & establish methods for measuring their performance & effectiveness Define their measurable performance objectives based on organizational business objectives Agree on methods for measuring the performance & effectiveness of critical business activities Decomposed to allocate to units, workgroups, workforce competencies, etc. Have organizational quantitative performance objectives: Revised, when necessitated by business strategy or conditions Obtain feedback from units on their ability to translate organizational performance objectives into measurable unit performance objectives Improve methods for establishing effective quantitative performance objectives using units’ feedback Analyze business objectives to identify quantitative performance objectives required to achieve them Communicated to units Identifying required improvements to the processes’ capability Identify competency-based processes for these business activities Establish measurable objectives for selected processes Adjusting process performance objectives Evaluate performance objectives vs. plans/analyses/baselines to determine if they are achievable Determine business activities for achieving unit's objectives Take action when processes cannot achieve their performance objectives by: Select processes that are best for achieving the unit's performance objectives Incorporate process performance objectives into individual/workgroup performance objectives Re-evaluate performance objectives with changes in business conditions or process capability results, revise individual/workgroup performance objectives Communicating needed capability improvements to management

58 QUANTATATIVE PERFORMANCE MANAGEMENT Goals: Establishment of measurable performance objectives for competency-based processes Quantitative management of processes performance Institutionalization of Quantitative Performance Management as a defined organizational process QUANTITATIVE PERFORMANCE MANAGMENET ACTIVITIES CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Quantitative management of processes performance KPA Execution (activities) Have individuals & workgroups quantitatively manage performance of competency-based processes that most contribute to achieving their performance objectives Have individuals & workgroups take corrective action when their processes’ performance differs from the quantitative results required to achieve their performance objectives Compared to organizational process performance baselines Computed using parameters from organizational process performance baselines Recomputed for use when capability levels differ significantly from organizational baselines Tracking process Measure & analyze processes performance by individuals workgroups for: Predicting outcomes Have process capabilities that most contribute to achieving performance objectives : Bring process capabilities that most contribute to achieving performance objectives under quantitative control Conduct quantitative performance management according to the defined strategies Assessing risks Making decisions Identifying needed actions Have individuals, workgroups, management base decisions on performance data Review results of data collection & analyses to determine if quantitative performance management strategy needs correction Monitor performance results according to quantitative performance management strategy When process performance is aligned with measurable performance objectives: Manage process performance to ensure it is stable and predictable Analyze process performance to identify the cause of deviation from performance objectives Manage effects of causes assigned as detrimental to process performance Evaluate results of quantitative management for their impact on achieving measurable performance objectives Take corrective actions to align process performance processes with measurable performance objectives Take corrective actions as needed to maintain the alignment of process performance results with measurable performance objectives Retain quantitative records of individual & workgroup performance Establish privacy & security for quantitative performance management data at all levels Submit performance data that characterize the capability of a process for use for organizational competency analysis Have individuals & workgroups retain data on their performance of processes for future use in estimating, planning, managing it Communicate needed process capability improvements to those responsible for improvement in each competency community Where appropriate, use quantitative performance results in workforce practices & activities Plan individual/workgroup committed work using process performance baselines for competency-based processes Identify relevant performance baselines for these processes Evaluate planned process performance processes to determine if they can achieve the measurable performance objectives Make recommendations for adjustments to measurable performance objectives when processes cannot achieve them Identify processes required for business activities Establish and negotiate work commitments based on capability-based estimates & plans Develop work estimates & plans based on analyses using the process performance baselines Define individual/ workgroup quantitative methods for managing competency-based processes that most contribute to achieving performance objectives Reviewed & agreed to by all affected by it Ensure the quantitative performance strategy is: Reviewed & approved by unit management Define and agree on process measurements Periodically reviewed for consistency with performance objectives & revised, as necessary, to improve the value of analyses Develop a quantitative performance management strategy for each process selected for quantitative management Define procedures for analyzing process data

59 ORGANIZATIONAL CAPABILITY MANAGMENT Goals: Quantitative management of workforce capability development Quantitative management of the impact of workforce practices/activities on workforce capabilities development Establishment and quantitative management of processes capabilities in critical workforce competencies Quantitative management of the impact of workforce practices/activities on process capabilities Institutionalization of Organizational Capability Management INSTITUTIONALIZING ORGANIZATIONAL CAPABILITY MANAGEMENT CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Institutionalization of Org. Capability Management Commitment Institutionalization Document policy for Org. Capability Management, including: Assign an organizational role the responsibility for coordinating Organizational Capability Management Workforce competencies critical to business strategy & objectives The business objectives and stated organizational values these activities serve Processes in each critical workforce competency critical to achieving defined performance objectives & business results Defined & collected measures for characterizing: That process capability is analyzed & used in managing these processes to achieve performance objectives That progress toward measurable capability objectives for each critical workforce competency is managed quantitatively Capability of each critical workforce competency Critical process performance Workforce practices and activities evaluated for their impact on: Organization's capability in critical workforce competencies The capability of processes That results of quantitative impact analyses of impact are used in managing & improving workforce practices Defined & assigned responsibilities for the organization’s capability management How Organizational Capability Management practices comply with relevant laws, regulations, organizational policies

60 ORGANIZATIONAL CAPABILITY MANAGMENT Goals: Quantitative management of workforce capability development Quantitative management of the impact of workforce practices/activities on workforce capabilities development Establishment and quantitative management of processes capabilities in critical workforce competencies Quantitative management of the impact of workforce practices/activities on process capabilities Institutionalization of Organizational Capability Management INSTITUTIONALIZING ORGANIZATIONAL CAPABILITY MANAGEMENT CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Ability Ensure those responsible Organizational Capability Management develop needed knowledge, skills, processes abilities: Provide orientation on definitions & use of capability & process performance data to those who will collect it Prepare those who analyze & report capability data & process performance baselines, in statistics, data analysis, presentation methods, etc. Provide adequate resources: Measurements of process performance Support resources Experienced individuals with expertise in data analysis Experienced individuals with appropriate expertise, available to help unit performance managers to: Understand & predict process performance Improve their performance Adequate time for capability management Built in time & methods for data collection Institutionalization In each unit, assign an individual the responsibility & authority for ensuring the units involvement in Organizational Capability Management Have the responsible individual coordinate Organizational Capability Management within each workforce competency Adjust practices to enhance process performance Funding Ensure those participating in Organizational Capability Management receive orientation in its purposes & methods Using them in evaluating/managing competency development Provide orientation required to interpret & use capability data & process performance baselines to those responsible for: Using them in their work Define and document the practices and procedures for Organizational Capability Management: Document guidelines for tailoring the practices/procedures Define practices/procedures at the organizational or unit level Have the organizational level responsible individual ensure that procedures are: Capture experiences, lessons learned, measurement results & improvement information from Organizational Capability Management for future use and improvement of practices Maintained under version control Disseminated through appropriate media Interpreted appropriately for different situations Updated through orderly methods Using them for planning process performance Using them to adjust workforce practices Using them to understand/improve process performance Institutionalization of Org. Capability Management

61 ORGANIZATIONAL CAPABILITY MANAGMENT Goals: Quantitative management of workforce capability development Quantitative management of the impact of workforce practices/activities on workforce capabilities development Establishment and quantitative management of processes capabilities in critical workforce competencies Quantitative management of the impact of workforce practices/activities on process capabilities Institutionalization of Organizational Capability Management INSTITUTIONALIZING ORGANIZATIONAL CAPABILITY MANAGEMENT CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Measure & Analyze Make measurements and use them to determine the status and performance of Organizational Capability Management Make measurements and use them to determine the effectiveness of Organizational Capability Management Monitor Implementation Have a responsible individual verify that Organizational Capability Management is conducted according to documented policies, practices, and procedures; and addresses noncompliance. Verify that: Have executive management periodically review Organizational Capability Management activities, status, results and issues. Verify: Periodically audit the definition & use of measures at individual, workgroup, unit levels for compliance with org. policies Appropriateness Progress in achieving workforce competency capability objectives Progress in improving performance-related workforce practices Status of resolution of noncompliance issues It complies with the organization's policies & stated values It complies with relevant laws and regulations Noncompliance is handled appropriately It is performed according to the organization's documented practices and procedures Results from reviews of activities Trends in Organizational Capability Management Trends in capability baselines Effectiveness in achieving quantitative management of: Workforce competencies’ capabilities Workforce practices in developing workforce competencies’ capability Workforce competencies’ process capabilities KPA Execution (activities) Institutionalization of Org. Capability Management

62 ORGANIZATIONAL CAPABILITY MANAGMENT Goals: Quantitative management of workforce capability development Quantitative management of the impact of workforce practices/activities on workforce capabilities development Establishment and quantitative management of processes capabilities in critical workforce competencies Quantitative management of the impact of workforce practices/activities on process capabilities Institutionalization of Organizational Capability Management INSTITUTIONALIZING ORGANIZATIONAL CAPABILITY MANAGEMENT CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Quantitative management of the impact of workforce practices/activities on workforce capabilities development Quantitative management of workforce capability development KPA Execution (activities) Manage capability quantitatively Quantify organizational capability in each critical workforce competency identify workforce competencies that are critical to organizational business strategies & objectives Periodically re-evaluate business & workforce plans to identify changes to the list of critical workforce competencies Evaluate organizational strategic business & workforce plans to identify critical workforce competencies Evaluate progress vs. capability goals Use quantitative capability analyses in each workforce competency to: Predict future capability Make corrections when results deviate from goals Evaluate how workforce practices impact capability Identify need for corrections Identify factors affecting capability Reported to responsible individuals Ensure capability results for each competency are: Incorporated into workforce planning/practices Establish & maintain a quantitative capability management strategy for each competency Periodically updated, consistently with capability management strategy In each critical workforce competency, base trends on be analyzed on capability objectives in the strategic workforce plan Conduct quantitative capability analysis in each competency, per strategy Develop quantitative capability models and use in workforce planning & management Establish measurable objectives for capability growth in established workforce practices Capability development objectives f in the strategic workforce plan Base objectives on such factors as: How specific workforce practices affect capability Involve appropriate parties in objective development, review and proliferation How capability is measured Capability of individuals participating in workforce activities Quantitatively evaluate impacts of workforce practices on capability Capability baselines Quantitatively evaluate impacts of workforce practices on capability baselines Workforce practices evaluation Define measures of capability improvement for: Report results to those responsible Establish an evaluation strategy Define analysis methods Collect and prepare data Quantitatively manage impacts of workforce practices on capability Evaluate the impact of workforce practices on capability baselines Use quantitative analyses to: Identify when impacts vary Analyze results that differ significantly from expectations for their causes, propose remedies Identify need for corrections Predict future capability Review, approve, enact, track remedies When appropriate, bring workforce practices performance under quantitative control Use results of evaluations in performing other workforce activities

63 ORGANIZATIONAL CAPABILITY MANAGMENT Goals: Quantitative management of workforce capability development Quantitative management of the impact of workforce practices/activities on workforce capabilities development Establishment and quantitative management of processes capabilities in critical workforce competencies Quantitative management of the impact of workforce practices/activities on process capabilities Institutionalization of Organizational Capability Management INSTITUTIONALIZING ORGANIZATIONAL CAPABILITY MANAGEMENT Establishment & quantitative management of processes capabilities in critical workforce competencies CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Quantitative management of the impact of workforce practices/activ ities on process capabilities KPA Execution (activities) Develop process performance baselines Manage process capability quantitatively Use capability data and process performance baselines to develop quantitative performance models Current process capability Conduct quantitative analysis for processes to determine: How process performance relates to unit and organizational performance Establish an analysis strategy for computing & analyzing process performance baselines Factors that affect process capability Define measures for processes Report process performance baselines to appropriate individuals & incorporate them into: Process capability levels under different conditions Planning and tracking Predicting performance Understanding factors that affect process performance Identifying opportunities for process performance improvement Evaluating process capability vs. capability required for achieving performance objectives Incorporate process performance baselines into Quantitative Performance Management Continually update, adjust, recompute process performance baselines based on new performance data Monitor & predict business activity performance Use process performance baselines to: identify conditions under which process capability varies Compare process results to process performance baselines Identify process improvement needs Identify how workforce capability affects process capability identify factors that affect business performance Evaluate effects of workforce practices on process capability Identify need for corrections Make corrections when process results deviate significantly from baselines The effect of learning on process capability The effects of aggregating capability results across individuals with different skills on in different units Differences in process capability across individuals with different skill levels or units, under varying conditions Use quantitative process capability models in: Predicting performance & results Analyze data to develop quantitative capability and performance data models such as: Planning & tracking work The effect of workforce practices on process capability How process capabilities interact to affect business activity performance Overall performance impact of different organizations of business activities or processes Strategic business & workforce planning Evaluate & quantitatively manage the impact of workforce practices on process performance & capability Their impact on performance & capability of various processes Needs for corrections Conditions, under which impact varies Make following corrections when impact of workforce practices deviates from expectations Use quantitative analysis of workforce practices impact to evaluate: Redesign workforce practices Correct problems with workforce activities performance Adjust expectations of workforce practices impact on process performance Alter performance of workforce practices under different conditions Collect impact data and prepare it for analysis Define methods and measures of workforce practices’ impact Use evaluations of workforce practices impact on process capability & performance in other business & workforce activities Process capability improvement rate Use evaluation results in strategic planning to predict such factors as: The probability of achieving strategic process capability levels & performance objectives The effectiveness of process capability improvements in improving business performance Use evaluation results to guide such actions as: ROI of process capability improvements Designing more effective workforce practices for motivating performance Redesigning or eliminating workforce practices Setting realistic quantitative performance objectives

64 MENTORING Goals: Establishment and maintenance of mentoring programs Mentors providing guidance Institutionalization of Mentoring as a defined organizational process INSTITUTIONALIZING MENTORING CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Institutionalization of Mentoring as a defined organizational process Commitment Ability Ensure that mentors develop needed knowledge, skills, & process abilities needed for their objectives: Provide preparation in techniques and skills for their objectives Provide adequate resources: Experience individuals to act as mentors Support resources Time Institutionalization In each unit, assign an individual the responsibility & authority for ensuring that members participate in Mentoring For mentoring focused on competency development, provide preparation for sharing knowledge, skills, etc. using defined processes Provide guidance on how to improve mentoring relationships Provide and advisor to mentors to help improve their mentoring relationships Define and document the practices and procedures for Mentoring: Document guidelines for tailoring the practices/procedures Define practices/procedures at the organizational or unit level Ensure that procedures are: Capture experiences, lessons learned, measurement results & improvement information from Mentoring for future use and improvement of practices Maintained under version control Disseminated through appropriate media Interpreted appropriately for different situations Updated through orderly methods Conditions for mentoring relationships Requirements for selecting, training, assigning mentors Evaluation requirements for continuous improvement Document and maintain Mentoring policy, including: Assign organizational role the responsibility for coordinating Mentoring & help to: That mentoring is encouraged, but not imposed The business objectives & stated organizational values Mentoring serves Inclusion of mentoring in strategic workforce plans That mentoring is instituted to provide support Compliance with relevant laws, regulations, organizational policies Mentoring procedures specifying: Conduct training & orientation for mentors, etc. Communicate general mentoring information Advise on how to organize/conduct mentoring Counsel mentors during mentoring relationships Provide feedback to executive management Provide orientation in Mentoring to those affected: Provide orientation in mentoring relationships to those who will be mentored When appropriate, provide orientation to others affected

65 MENTORING Goals: Establishment and maintenance of mentoring programs Mentors providing guidance Institutionalization of Mentoring as a defined organizational process INSTITUTIONALIZING MENTORING CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Measure & Analyze Make measurements and use them to determine the status and performance of Mentoring Make measurements and use them to determine the effectiveness of Mentoring Monitor Implementation Have a responsible individual verify that Mentoring is conducted according to documented policies, practices, and procedures; and addresses noncompliance. Verify that: Have executive management periodically review Mentoring activities, status, results and issues. Verify: Appropriateness Progress It complies with the organization's policies & stated values It complies with relevant laws & regulations Noncompliance is handled appropriately It is performed according to the organization's documented practices & procedures Status of resolution of noncompliance issues Results from reviews of activities Trends KPA Execution (activities) Institutionalization of Mentoring as a defined organizational process

66 MENTORING Goals: Establishment and maintenance of mentoring programs Mentors providing guidance Institutionalization of Mentoring as a defined organizational process MENTORING ACTIVITIES CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Establishment & maintenance of mentoring programs KPA Execution (activities) Identify opportunities for using experience of the workforce to improve performance Initiate mentoring programs based on budget, availability of qualified mentors, etc. Evaluate & prioritize opportunities to benefit from mentoring Identify potential mentoring opportunities Define objectives & structure of mentoring program Based on workforce competency descriptions Documented as assets Organized for use according to levels of capability in graduated career opportunities Tailor procedures to each set of objectives Define a mentoring process for each mentoring program Define mentors’ roles Have knowledge, skills & process abilities that will be shared via mentoring: Have each mentoring program address specific competencies, positions individuals Establish a set of objectives for each mentoring program Sufficiently thorough to ensure that any individual who worked with a mentor achieves minimum capability Described at a level of detail sufficient for a common understanding among mentors of the knowledge, etc. to be imparted at different points in the mentoring relationship, Complete enough that mentees achieve the intended competency results Consider alternative structures for providing benefits achieved via mentoring Collect feedback on each mentoring program Reviewed and updated Evaluate each mentoring program to ensure it is achieving its objectives. Revise or terminate as needed. Communicate each mentoring program to affected individuals Make a responsible individual available to answer questions about each mentoring program Invite individuals to participate in the mentoring program Select methods to invite participation based on program objectives Have mentors support the development & improvement of competency-based assets Contribute to development or improvement of assets Identify opportunities to capture lessons from mentoring that can be incorporated into assets Ensure that workforce practices support mentoring Do not use objectives & progress of mentoring relationships in any workforce activities without mentee agreement Do not disclose objectives of mentoring relationships without mentee agreement Adjust workforce practices to achieve the objectives of mentoring programs Recognize mentors for successful mentoring

67 MENTORING Goals: Establishment and maintenance of mentoring programs Mentors providing guidance Institutionalization of Mentoring as a defined organizational process MENTORING ACTIVITIES CAPABILITY LEVEL 4 Workforce Empowerment and Competency Integration Mentors providing guidance KPA Execution (activities) Have mentors participate in performance management Have mentors assist individuals in developing capability in workforce competencies: Workgroup development objectives Provide feedback to mentees on capability & development rate Mentoring objectives Help mentees improve their capability relative to: Individual development objectives Assist mentees in using processes Keep abreast developments in relevant workforce competencies Evaluate gaps between current mentee capability & established mentoring objectives Help mentees learn how to leverage assets in their work Use assets in mentoring Assist mentees in using & interpreting data during quantitative management activities Review mentoring relationships to ensure they meet their objectives Have mentor and mentees agree to cease the mentoring relationship at any time When problems are found, resolve the problem Have mentor and mentees periodically review progress toward objectives Formal performance feedback Provide input to mentees: Training & development needs, Performance improvement plans, Personal development plans Workgroup staffing & composition Hold continuing discussions mentees on performance of their work Compensation adjustment decisions Promotion & career advancement decisions Select mentors and match them with mentees Maintaining distance between mentors and mentees Assign mentors to individuals, based on defined criteria for: Matching mentors with mentees Prepare mentors to perform their responsibilities Handling requests for specific mentoring assignments Ensuring successful transfer of assets to individuals Having the necessary preparation in relevant mentoring objectives, techniques, skills Evaluate mentoring candidates against selection criteria & select qualified mentors Define criteria for selecting mentors Have mentors & mentees establish a mentoring relationship If competency development is the focus, agree on what knowledge, skills, process abilities need development Have mentor & mentee discuss job performance & plan for future development needs If competency development is the objective, have mentors arrange their responsibilities to ensure that the knowledge, skills, process abilities are: Mentors & mentees determine mentoring relationship objectives Taught on a timely schedule Learned sufficiently for mentees to perform at intended level of capability Have mentor provide feedback to mentee Demonstrated via business activities During initial meetings, establish basic agreements, on which the relationship will develop Provide appropriate training to mentors and mentees before their establish their relationship

68 LEVEL 4 ANALYSIS HIERARCHY CAPABILITY LEVEL 5 Continuous Improvement and Organizational Alignment CONTINUOUS CAPABILITY IMPROVEMENT Goals: Mechanisms for continuous competency-based process improvement Continuous personal work process capability improvement by individuals Continuous operating process capability improvement by workgroups Continuous improvement of competency-based process capabilities Institutionalization of Continuous Capability Improvement GOALS OF KEY PROCESS AREAS (KPAs) Process Capability PERFORMANCE ALIGNMENT Goals: Continuous improvement of performance alignment among individuals, workgroups, units, the organization Continuous improvement of impact of workforce practices on aligning performance Institutionalization of Performance Alignment CONTINUOUS WORKFORCE INNOVATION Goals: Mechanisms for continuous improvement of workforce practices & technologies Identification & evaluation of innovative or improved workforce practices & technologies Deployment of improved workforce practices & technologies Institutionalization of Continuous Workforce Innovation Provide the foundation for continuous capability improvement Align all performance metrics & results with overall business objectives & performance Identify, evaluate & deploy innovative workforce practices & technologies

69 CONTINUOUS CAPABILITY IMPROVEMENT Goals: Mechanisms for continuous competency-based process improvement Continuous personal work process capability improvement by individuals Continuous operating process capability improvement by workgroups Continuous improvement of competency-based process capabilities Institutionalization of Continuous Capability Improvement INSTITUTIONALIZING CONTINUOUS CAPABILITY IMPROVEMENT CAPABILITY LEVEL 5 Continuous Improvement and Organizational Alignment Institutionalization of Continuous Capability Improvement Commitment Ability Offer mentoring to improve capability & performance Evaluate improvement opportunities to determine whether they justify the investment in mentoring Provide adequate resources: Experienced individuals with capability improvement expertise to act as coaches Support resources Time, allocated in the strategic workforce plan Institutionalization Within selected workforce competencies, coordinate process improvement Prioritize opportunities for coaching on factors such as: Value to performance objectives Where coaching is worthwhile, establish mentoring relationships Define & document the practices & procedures for Continuous Competency Improvement: Document guidelines for tailoring the practices/procedures Define practices/procedures at the organizational or unit level Ensure that procedures are: Capture experiences, lessons learned, measurement results & improvement information from Continuous Competency Improvement for future use and improvement of practices Maintained under version control Disseminated through appropriate media Interpreted appropriately for different situations Updated through orderly methods Document and maintain a policy for Continuous Capability Improvement, including: Assign organizational role the responsibility for coordinating Continuous Capability Improvement Encouraging individuals to continuously improve their capability The business objectives & stated organizational values it serves Encouraging individuals to set measurable capability improvement objectives Capability improvement support to individuals Proactive investigation & deployment of process improvements Voluntary capability improvement participation for all individuals Compliance with relevant laws, regulations, & organizational policies Have individuals develop knowledge, skills, process abilities for continuously improving their capabilities In each unit, assign an individual the responsibility & authority for ensuring that members participate in Continuous Capability Improvement Time, allocated in unit workforce plan Number of qualified, available coaches Balance between work & coaching Value of improving capability in targeted areas

70 CONTINUOUS CAPABILITY IMPROVEMENT Goals: Mechanisms for continuous competency-based process improvement Continuous personal work process capability improvement by individuals Continuous operating process capability improvement by workgroups Continuous improvement of competency-based process capabilities Institutionalization of Continuous Capability Improvement INSTITUTIONALIZING CONTINUOUS CAPABILITY IMPROVEMENT CAPABILITY LEVEL 5 Continuous Improvement and Organizational Alignment Measure & Analyze Make measurements and use them to determine the status and performance of Continuous Capability Improvement Make measurements and use them to determine the effectiveness of Continuous Capability Improvement Monitor Implementation Have a responsible individual verify that Continuous Capability Improvement is conducted according to documented policies, practices, and procedures; and addresses noncompliance. Verify that: Have executive management periodically review Continuous Capability Improvement activities, status, results and issues. Verify: It complies with the organization's policies & stated values It complies with relevant laws & regulations Noncompliance is handled appropriately It is performed according to the organization's documented practices & procedures Appropriateness Progress Status of resolution of noncompliance issues Results from reviews of activities Trends Effectiveness in achieving improvements in capability of individual or workgroup processes KPA Execution (activities) Institutionalization of Continuous Capability Improvement

71 CONTINUOUS CAPABILITY IMPROVEMENT Goals: Mechanisms for continuous competency- based process improvement Continuous personal work process capability improvement by individuals Continuous operating process capability improvement by workgroups Continuous improvement of competency- based process capabilities Institutionalization of Continuous Capability Improvement CONTINUOUS CAPABILITY IMPROVEMENT ACTIVITIES CAPABILITY LEVEL 5 Continuous Improvement and Organizational Alignment KPA Execution (activities) Have individuals establish measurable improvement objectives & plans for improving their personal work process capability Plan improvements to capability & performance of personal work processes Identify knowledge, skills, process abilities that need to be improved to accomplish improvement objectives Review improvement objectives & plans with workgroup, mentor, career counselor, manager, etc. Set measurable improvement objectives for personal work processes that would improve overall work performance Prioritize personal work processes based on how they could improve work performance Have individuals evaluate capability of their personal work processes to identify improvement opportunities Determine capability of personal work processes Maintain records of capability & performance Identify root causes of inefficiency or defects in personal work processes Continuously refine measures of personal work processes to improve analyses & insight Analyze personal work processes capabilities for potential improvements Collect & retain measures of capability & performance of personal work processes Use strategies and methods from Quantitative Performance Management as a framework Have individuals describe the capability & performance of their personal work processes Use measures from Quantitative Performance Management to measure capability & performance of personal work processes Have individuals define measures for analyzing their personal work processes Use competency-based processes as a framework for personal work processes Have individuals analyze their work & describe how they uniquely perform competency-based processes involved Have individuals continuously improve capability & performance of their personal work processes Use personal work process capability as basis for estimating & planning work Contribute material for inclusion in assets Propose improvements to competency-based processes or integration across workforce competencies Capture lessons learned Evaluating personal work process capability Defining work processes and performance measures Identifying sources of inefficiency or defects When improvement progress deviates from goals & plans, make corrections Continuously evaluate personal work process performance to assess capability improvements & progress vs. goals & plans When improvement goals are achieved: Use mentors for guidance and assistance in: Apply improved personal work processes to work & measure results Engage in timely learning Making continuous improvements Evaluating the effectiveness of improvements Providing detailed guidance & advice for personal process improvement Eliminate sources of inefficiency or defects Use assets to improve personal process capability Making corrections when improvements do not have the intended effect Practice skills that will improve their work Establish new improvement goals & plans Continuously improve ability to estimate & plan personal work by evaluating their estimates vs. results Continuous personal work process capability improvement by individuals Empower individuals & workgroups to continuously improve their process performance capability Include it in unit level workforce planning Include it in the strategic workforce plan Communicate support for continuous capability improvement Make participation voluntary Include it in individual development plans, where appropriate Within each critical workforce competency, define capability objectives for critical competency- based processes Improvements in process performance Results of capability analyses Changes in business strategy, conditions, objectives Required quantitative business activity results Business activities to achieve them Process performance capability required to satisfy objectives Refine process capability objectives, based on: Analyze organizational performance objectives to determine: Communicated to those managing affected workforce competencies Defined sufficiently to be incorporated into Quantitative Performance Management Required capability of each critical process is: Established as a performance target & communicated to affected competency communities Used in setting performance objectives for those using the process Which processes are most critical for these results & how they interact Within each critical workforce competency, compare process capability objectives to process performance baselines to identify improvement objectives Use significant gaps to establish improvement objectives for processes Identify gaps between current capability & capability required to satisfy business objectives Prioritize improvement objectives and submit them to those improving the relevant processes Mechanisms for continuous competency- based process improvement Adjust workforce practices to accommodate continuous improvement by individuals & workgroups Incorporate improvements in workgroup capability into capability baselines Do not reveal individual improvement objectives & data on personal work processes without agreement Do not use performance improvement objectives & data in any workforce activities without the agreement of those affected

72 CONTINUOUS CAPABILITY IMPROVEMENT Goals: Mechanisms for continuous competency- based process improvement Continuous personal work process capability improvement by individuals Continuous operating process capability improvement by workgroups Continuous improvement of competency- based process capabilities Institutionalization of Continuous Capability Improvement CONTINUOUS CAPABILITY IMPROVEMENT ACTIVITIES CAPABILITY LEVEL 5 Continuous Improvement and Organizational Alignment Continuous operating process capability improvement by workgroups KPA Execution (activities) Have workgroups establish measurable objectives & plans for improving their operating process capabilities Those responsible for their performance Mentors/coaches Other workgroups with whom they share dependencies Plan improvements that will be made to meet objectives & incorporate them into workgroup & personal development plans Review improvement objectives & plans with: Set measurable objectives for improving capability & performance of high priority processes Use assets to improve operating process capability Prioritize workgroup’s competency-based processes according to how much they could improve workgroup performance Identify member knowledge, skills, process abilities that need to be improved to accomplish improvement objectives Identify needed improvements for organizing & incorporating personal work processes into the workgroup process Analyze root causes of inefficiencies or defects Have workgroups continuously improve their capability & performance. Use personal work process capability as basis for estimating & planning work Contribute material for inclusion in assets Propose improvements to competency-based processes or integration across workforce competencies Capture lessons learned Analyzing coordination of work processes Defining work processes and performance measures Identifying sources of inefficiency or defects When improvement progress deviates from goals & plans, make corrections Continuously evaluate capability & performance to assess progress vs. goals & plans When improvement goals are achieved: Use mentors for guidance and assistance in: Apply improvements to work & measure results Engage in timely improvement Making continuous improvements Evaluating the effectiveness of improvements Providing detailed guidance & advice for operating process improvement Eliminate sources of inefficiency or defects Use assets to improve capability & performance Making corrections when improvements do not have the intended effect Practice processes that will improve their capability & performance Establish new improvement goals & plans Continuously improve ability to estimate & plan operating processes by evaluating estimates vs. results Evaluating operating process capability Adjust capability baselines Have workgroups evaluate capability & performance of their operating processes to identify opportunities for improvement Have workgroups define additional measures for analyzing how personal work processes integrate into their operating processes Identify root causes of inefficiency or defects Use measures from Quantitative Performance Management to measure capability & performance of operating processes Evaluate process performance capability to determine opportunities for improvement Analyze how members perform & integrate personal work processes Use personal work processes as a framework for improving workgroup process performance capability

73 CONTINUOUS CAPABILITY IMPROVEMENT Goals: Mechanisms for continuous competency- based process improvement Continuous personal work process capability improvement by individuals Continuous operating process capability improvement by workgroups Continuous improvement of competency- based process capabilities Institutionalization of Continuous Capability Improvement CONTINUOUS CAPABILITY IMPROVEMENT ACTIVITIES CAPABILITY LEVEL 5 Continuous Improvement and Organizational Alignment Continuous improvement of competency- based process capabilities KPA Execution (activities) Within selected workforce competencies, identify, evaluate, & select process improvements Within each critical workforce competency, identify opportunities for improving process capability & performance Adjusting process capability objectives Preparation of individuals & workgroups Support and automation technologies Structure & sequencing of tasks Process performance method Workforce practices impacting process performance Correcting problems in the performance of workforce activities Analyze causes to identify most beneficial improvements, including improvements to: Apply root cause, etc. to determine why process capabilities need improvement Analyze process capability & performance data to determine which co processes need improvement most Identify workforce competencies where proactive continuous process improvement will have sufficient business benefit Use analyses results to guide investigations of potential improvements When impact of workforce practices on process capability & performance deviates significantly from expectations, make corrections, including: Integration with other processes (business of competency-based) Adjusting expectations of impact of workforce practices on process capability & performance Redesigning workforce practices to improve their impact Altering performance of workforce practices under different conditions to improve their impact Conduct trials to determine the suitability of process improvements Investigate methods or technologies that could meet quantitative improvement objectives Evaluate improvements to determine benefits Select process improvements for deployment Incorporate selected improvement recommendations into processes and make available Inform individuals & workgroups Incorporate selected improvements into process descriptions Incorporate selected improvements into assets Deploy improved processes for use Gathered & evaluate information on use and benefits of improved processes Incorporate lessons learned in processes improvement into the criteria for evaluating & selecting improvement recommendations Review recommendations from personal work or workgroup operating process improvements to determine if they should be incorporated into competency-based processes Inform recommenders of the disposition of their recommendations Encourage individuals & workgroups to recommend improvements Evaluate recommendations

74 PERFORMANCE ALIGNMENT Goals: Continuous improvement of performance alignment among individuals, workgroups, units, the organization Continuous improvement of impact of workforce practices on aligning performance Institutionalization of Performance Alignment INSTITUTIONALIZING PERFORMANCE ALIGNMENT CAPABILITY LEVEL 5 Continuous Improvement and Organizational Alignment Institutionalization of Performance Alignment Commitment Ability Have individuals performing Performance Alignment develop the needed knowledge, skills, process abilities: Provide orientation on definitions & use of data in analysis to those who collect performance data Provide adequate resources: Strategic & operational business objectives Collected measures of performance Experienced individuals for assisting with Institutionalization Resources, allocated in strategic and unit level workforce plans Ensure that those who analyze & report the data know how to apply statistics, data analysis & reporting methods Planning & managing business activities Define & document the practices & procedures for Performance Alignment: Document guidelines for tailoring the practices/procedures Define practices/procedures at the organizational or unit level Ensure that procedures are: Capture experiences, lessons learned, measurement results & improvement information from Performance Alignment for future use and improvement of practices Maintained under version control Disseminated through appropriate media Interpreted appropriately for different situations Updated through orderly methods Provide orientation to participants needed to interpret & use performance alignment results for: In each unit, assign an individual the responsibility & authority for ensuring that members participate in Performance Alignment Support resources Adjusting workforce practices Understanding & improving performance at all levels Document and maintain a policy for Performance Alignment across all org. levels, including: Assign organizational role the responsibility for coordinating Performance Alignment Commitment to continuously align performance results at all org. levels The business objectives & stated organizational values it serves Measurable performance alignment objectives Definition & collection of performance measures Assigned roles & responsibilities Quantitative analysis and monitoring of progress toward objectives Compliance with relevant laws, regulations, & organizational policies Definition Revision rules Use of performance alignment analyses to manage effectiveness of workforce practices Data analysis for performance alignment Adjusting performance practices based on analyses

75 PERFORMANCE ALIGNMENT Goals: Continuous improvement of performance alignment among individuals, workgroups, units, the organization Continuous improvement of impact of workforce practices on aligning performance Institutionalization of Performance Alignment INSTITUTIONALIZING PERFORMANCE ALIGNMENT CAPABILITY LEVEL 5 Continuous Improvement and Organizational Alignment Measure & Analyze Make measurements and use them to determine the status and performance of Performance Alignment activities Make measurements and use them to determine the effectiveness of Performance Alignment activities Monitor Implementation Have a responsible individual verify that Performance Alignment is conducted according to documented policies, practices, procedures, plans; address noncompliance. Verify that: Have executive management periodically review Performance Alignment activities, status, results and issues. Verify: It complies with the organization's policies & stated values It complies with relevant laws & regulations Noncompliance is handled appropriately It is performed according to the organization's documented practices & procedures Appropriateness at all levels Progress Status of resolution of noncompliance issues Results from reviews of activities Trends Effectiveness performance alignment activities in achieving alignment of performance across all levels Periodically audit the definition & use of measures of individual, workgroup, unit, org. performance for compliance with org. policies KPA Execution (activities) Institutionalization of Performance Alignment

76 PERFORMANCE ALIGNMENT Goals: Continuous improvement of performance alignment among individuals, workgroups, units, the organization Continuous improvement of impact of workforce practices on aligning performance Institutionalization of Performance Alignment ERFORMANCE ALIGNMENT ACTIVITIES CAPABILITY LEVEL 5 Continuous Improvement and Organizational Alignment Continuous improvement of performance alignment among individuals, workgroups, units, the organization KPA Execution (activities) Have workgroups continuously improve alignment of performance among individuals & across the workgroup Requires additional improvements Meets alignment objectives Has become aligned Needed analyses Required adjustments to Quantitative Performance Management Methods for using results Identity and implement improvements for aligning performance Monitor & evaluate performance to see if performance: Define methods for evaluating performance alignment, including: Include measurable objectives for aligning performance in the performance objectives of those misaligned Additional performance data required to support analyses Analyze performance data to identify misaligned performance Identify root cause of misalignments Have units align performance among individuals, workgroups, other entities within the unit Tailoring existing processes or defining new processes Improving coordination Improving performance of one or more individuals, workgroups, units Needed analyses Required adjustments to Quantitative Performance Management Methods for using results Identify and implement performance alignment activities, such as: Define methods for evaluating performance alignment, including: Include measurable objectives for aligning performance in the performance objectives of those misaligned Additional performance data required to support analyses Analyze performance data to identify misaligned performance Identify root cause of misalignments Changing performance objectives Clarifying confusing or conflicting processes or objectives Requires additional improvements Meets alignment objectives Has become aligned Monitor & evaluate performance to see if performance: Align performance across units & with org. business objectives Tailoring existing processes or defining new processes Improving coordination Improving performance of one or more units Needed analyses Required adjustments to Quantitative Performance Management Methods for using results Identify and implement performance alignment activities, such as: Define methods for evaluating performance alignment, including: Include measurable objectives for aligning performance in the performance objectives of those misaligned Additional performance data required to support analyses Analyze performance data to identify misaligned performance Identify root cause of misalignments Changing performance objectives Clarifying confusing or conflicting processes or objectives Requires additional improvements Meets alignment objectives Has become aligned Monitor & evaluate performance to see if performance:

77 PERFORMANCE ALIGNMENT Goals: Continuous improvement of performance alignment among individuals, workgroups, units, the organization Continuous improvement of impact of workforce practices on aligning performance Institutionalization of Performance Alignment ERFORMANCE ALIGNMENT ACTIVITIES CAPABILITY LEVEL 5 Continuous Improvement and Organizational Alignment Continuous improvement of impact of workforce practices on aligning performance KPA Execution (activities) Manage the impact of workforce practices on performance alignment quantitatively Altering performance of workforce practices under different conditions Redesigning workforce practices Correcting problems in the performance of workforce activities The impacts of workforce practices on aligning performance across all levels Conditions under which the impacts vary Make corrections when impact of workforce practices on performance alignment does not meet expectations, such as: Use quantitative analyses of the impact of workforce practices to evaluate: Needs for corrections Altering performance or capability objectives of workforce practices Use evaluations of the impact of workforce practices on performance alignment in performing other business and workforce activities Setting more realistic or effective quantitative performance objectives Redesigning, replacing, eliminating workforce practices that cause misaligned performance Designing more effective workforce practices The potential of workforce practices to improve performance alignment The rate at which strategic business performance objectives can be reached Use evaluation results to guide such actions as: Use evaluation results in strategic business & workforce planning to evaluate or predict such factors as: ROI of performance alignment activities Quantitatively understand the impact of the workforce practices on aligning performance Make results available for performance management Quantify & record performance alignment results at all levels, based on performance data analyses Quantify trends in the impact of workforce activities on aligning performance

78 CONTINUOUS WORKFORCE INNOVATION Goals: Mechanisms for continuous improvement of workforce practices & technologies Identification & evaluation of innovative or improved workforce practices & technologies Deployment of improved workforce practices & technologies Institutionalization of Continuous Workforce Innovation INSTITUTIONALIZING CONTINUOUS WORKFROCE INNOVATION CAPABILITY LEVEL 5 Continuous Improvement and Organizational Alignment Institutionalization of Continuous Workforce Innovation Commitment Document and maintain a policy for Continuous Workforce Innovation, including: Assign organizational role responsibility for coordinating Continuous Workforce Innovation &, with regard to workforce practices, help to: Continuous improvement & innovation of workforce practices that Measurable improvement goals to be met via innovative workforce practices Improvements in workforce activities directed toward: Evaluation & adaptation of promising new workforce practices & technologies Awareness of: Serves org. business objectives & stated values Complies with all relevant laws, regulations, & org. policies Participating of all workforce members in improving workforce practices Improving workforce competency capabilities Aligning performance Improving efficiency of workforce activities New developments in workforce practices & technologies Trends in workforce attitudes & needs Review suggested improvements Identify needed improvements Explore potential applications of new technologies & innovations Select & plan implementation of new technologies & innovations Acquire, customize, install, evaluate technologies & innovations Communicate & coordinate with researchers on new developments & technologies that may have potential benefit Communicate with workforce technology suppliers on problems & enhancements Ability Ensure that those responsible for continuously innovating workforce practices develop the needed knowledge, skills, process abilities Provide adequate resources: Data for evaluating the need for continuous workforce improvements Collected measures of performance Experienced individuals to help with improvement initiatives Funding for: Provide ongoing consulting support in the use of new workforce practices & technologies Ensure that those performing new workforce activities develop needed knowledge, skills, process abilities Define & document the practices & procedures for Continuous Workforce Innovation: Document guidelines for tailoring the practices/procedures Define practices/procedures at the organizational or unit level Ensure that procedures are: Capture experiences, lessons learned, measurement results & improvement information from Continuous workforce Innovation for future use and improvement of practices Maintained under version control Disseminated through appropriate media Interpreted appropriately for different situations Updated through orderly methods Provide orientation in new, adopted workforce practices innovations: Within each unit, have a responsible individual coordinate proposals for improving workforce practices and manage deployment of improvements or innovations Support resources Provide orientation to those subject to the new processes Train those who will use new workforce technologies Procurement of technology pilots Facilities & infrastructure for workforce innovations & technology Training to use new practices Time & support for evaluating suggestions & conducting pilots Institutionalization

79 CONTINUOUS WORKFORCE INNOVATION Goals: Mechanisms for continuous improvement of workforce practices & technologies Identification & evaluation of innovative or improved workforce practices & technologies Deployment of improved workforce practices & technologies Institutionalization of Continuous Workforce Innovation INSTITUTIONALIZING CONTINUOUS WORKFROCE INNOVATION CAPABILITY LEVEL 5 Continuous Improvement and Organizational Alignment Measure & Analyze Make measurements and use them to determine the status and performance of Continuous Workforce Innovation activities Make measurements and use them to determine the effectiveness of Continuous Workforce Innovation Monitor Implementation Have a responsible individual verify that Continuous Workforce Innovation is conducted according to documented policies, practices, procedures, plans; address noncompliance. Verify that: Have executive management periodically review Continuous Workforce Innovation activities, status, results & issues. Verify: Results from reviews of activities Appropriateness Progress Status of resolution of noncompliance issues Trends Effectiveness in continuously innovating & improving workforce practices & technologies It complies with the organization's policies & stated values It complies with relevant laws & regulations Noncompliance is handled appropriately It is performed according to the organization's documented practices & procedures All innovative or improved workforce practices & their implementations are reviewed to ensure they comply with relevant laws ®ulations Keep the workforce informed of workforce practices improvement & innovation activities Institutionalization of Continuous Workforce Innovation KPA Execution (activities)

80 CONTINUOUS WORKFORCE INNOVATION Goals: Mechanisms for continuous improvement of workforce practices & technologies Identification & evaluation of innovative or improved workforce practices & technologies Deployment of improved workforce practices & technologies Institutionalization of Continuous Workforce Innovation CONTINUOUS WORKFROCE INNOVATION ACTIVITIES CAPABILITY LEVEL 5 Continuous Improvement and Organizational Alignment Mechanisms for continuous improvement of workforce practices & technologies KPA Execution (activities) Establish a framework for continuously improving workforce practices Approaches & guidance for identifying &implementing improvements Priorities for improvements High-level implementation plan How they will incorporate suggestions from the workforce & improvements resulting from quantitative analyses Have them establish for their area of workforce practices: Required funding & resources Form a group responsible for continuous improvement within each area of workforce practices Empower individuals to continuously improve their performance of workforce activities Their ability to continuously improve their workforce activities Their ability to continuously improve their processes When individuals begin using an improved practice, have them evaluate & record evidence of improvements Inform the workforce of: Encourage those who perform workforce practices to identify improvements in performing their responsibilities How they can participate in improvement activities Establish a continuous improvement program to encourage individuals to propose improvements to workforce practices If the proposed improvement is localized to unit policies & procedures, allow unit to implement it. Provide guidance. Address any area of workforce practices Be submitted by anyone Have proposals evaluated by the appropriate parties Have improvement proposals: Have those coordinating improvements in the relevant area of workforce practices review org. level proposals Encourage individuals to submit improvement proposals based on their experience of using workforce practices Have unit level coordinator review unit level proposals, with org. assistance, if needed Make decisions on proposals affecting org. practices in the context of other proposed improvements & innovations Inform individuals of decisions regarding their improvement proposals Establish quantitative objectives for improving the impact of workforce practices Opportunities for improvement identified in impact data analysis Current process capability vs. process capability required to achieve business objectives Opportunities for improvement identified in impact data analysis Strategic objectives for capability development vs. the impact of practices Base objectives for improving the impact of workforce practices on processes on: Base objectives for improving the impact of competency development practices on: Opportunities for improvement identified in impact data analysis Current performance alignment vs. what is required to achieve business objectives Base objectives for improving the impact of workforce practices on performance alignment on:

81 CONTINUOUS WORKFORCE INNOVATION Goals: Mechanisms for continuous improvement of workforce practices & technologies Identification & evaluation of innovative or improved workforce practices & technologies Deployment of improved workforce practices & technologies Institutionalization of Continuous Workforce Innovation CONTINUOUS WORKFROCE INNOVATION ACTIVITIES CAPABILITY LEVEL 5 Continuous Improvement and Organizational Alignment Identification & evaluation of innovative or improved workforce practices & technologies Deployment of improved workforce practices & technologies KPA Execution (activities) Continuously investigate innovative workforce practices & technologies Use of consultants & external sources of expertise Evaluating training & other implementation costs Estimating the cost of supporting technologies Gathering implementation & maintenance cost benchmarks from vendors & consultants Analyses of competency & capability management data, Quantitative objectives for improving the impact of: Results of assessments of workforce practices Benchmarking with other organizations known to innovate Attending seminars & conferences Determine the feasibility of promising workforce practices & technologies by: Maintain awareness of: Reading periodicals Workforce practices on processes Other relevant information about the business conditions Opinions & concerns of the workforce Workforce practices on performance alignment Competency development practices Search for innovations & developments in workforce practices & technologies by: Recommend which workforce practice & technology innovations are most potentially beneficial Evaluations of proposals for improvements to workforce practices Assessing the potential disruption & learning curve associated with introducing the innovation Evaluate innovative & improved workforce practices & technologies & select for implementation When there is significant risk, pilot the innovation Review improvement proposals & innovative practices or technologies & select the most promising for further evaluation Perform preliminary cost-benefit analyses for impact of proposed innovations. Select most beneficial for implementation Evaluate risks to effective implementation & to benefits Approve innovations with fewest risks for organization-wide implementation Integrate innovative & improved workforce practices & technologies into the Investment Portfolio. Deploy, where appropriate, using Project Management best practices Periodically evaluate workforce opinions about their working conditions to identify areas that would most benefit from improved/innovative practices Select improved workforce practices to pilot & deploy Identify workforce practices that need improvement Use employee needs & priorities to: Document employee needs & priorities based on data collected from them Analyze data on the impact of workforce practices to identify areas that would most benefit from innovative or improved practices Within each process area, which workforce practices are most & least effective Which process most need improvement Which development practices are most & least effective in each workforce competency Which competencies would benefit most from improved development practices Analyze data on the impact of workforce practices on process capability to determine: Analyze data on the capability of competency development activities to determine: Which workforce practices are most & least effective in each workforce competency Within each area of misaligned performance, which workforce practices are most & least effective Which areas of performance most alignment improvements Analyze data on the impact of workforce practices on performance alignment to determine:


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