Human Performance
Improvement
Building Practitioner Competence
Second Edition
William J. Rothwell
Carolyn K. Hohne
Stephen B. King
AMSTERDAM • BOSTON • HEIDELBERG • LONDON NEW YORK • OXFORD • PARIS • SAN DIEGO SAN FRANCISCO • SINGAPORE • SYDNEY • TOKYO ELoEVIElx Butterworth-Heinemann is an imprint of Elsevier
MDATION 1
ance Improvement (HPI) 1 1
ng Performance 4
i Performance Improvement 8
[uman Performance Improvement Process Model 14 HPI Practitioner 15
iture of Human Performance Improvement 17 es and Outputs 18
ncies 18
portance of Human Performance Improvement 34
\LYST 4 1 I
1
Dpportunity 42
ice Technology Solution 42
is 43
:e of Analysis 44 Analysis 45
viii Contents
Performance Analysis 46 Cause Analysis 48 Levels of Analysis 48 The Analyst's Role 49
Competencies Associated with the Role of Analyst 49 Outputs Linked to the Role 50
What It All Means 50 Models and Tools 53
Sources of Data 54
Models and Tools for the Analyst's Role 55 The Rummler and Brache Model 56 Gilbert's Three Stages of Analysis 57 Gilbert's Performance Matrix 60
Gilbert's Behavior Engineering Model 62 Mager and Pipe's Model 65
Cause Analysis: Determining Root Causes 67 Brainstorming 69
Cause-and-Effect Analysis 71 The Five Why's Technique 71 Other Analytical Tools 73
System Modeling 74 High-Level Flowcharting 76 Detailed Flowcharting 77
Data Presentation Methods and Tools 79 Pie and Bar Charts 80
Pareto Charts 81 Line or Run Charts 81 Summary 82
References 83
3 THE ROLE OF INTERVENTION SPECIALIST 87
Competencies Associated with the Role of Intervention Specialist Outputs Linked to the Role 89
What It All Means 89 Selecting Interventions 93
Step 1: Establish Selection Criteria 95 Step 2: Consider Alternative Interventions 98
Contents ix Step 3: Evaluate the Alternative Interventions Against the
Criteria 106
Step 4: Select the Appropriate Intervention (s) and Determine Its Viability 110
Principles of Intervention Design 114 Dangers, Pitfalls, and Cautions 115 Summary 117
References 118
4 THE ROLE OF CHANGE MANAGER 121
Competencies Associated with the Role of Change Manager 121 Outputs Linked to the Role 122
What It All Means 122
Approaches for Managing Change 126 The Coercive Approach 126
The Persuasive Approach 128
The Normative Reeducative Approach 131 Enacting the Role of Change Manager 134
Step 15: Securing Approval for the Proposal and Launching the Performance Improvement Intervention or Performance Improvement Strategy 134
Step 16: Implementing the Performance Improvement Strategy and Monitoring Results of the Performance Improvement Effort Over Time 136
Step 17: Providing Continuing Feedback to Participants and Stakeholders in the Performance Improvement Effort 143
Summary 145 References 146
5 THE ROLE OF EVALUATOR 147
Competencies Associated with the Role of Evaluator 147 Outputs Linked to the Role 148
What It All Means 148
Approaches for Evaluating Performance Improvement Interventions 151
Evaluating Performance Improvement Interventions at the Reaction Level 152
< Contents
Evaluating Performance Improvement Interventions at the Learning Level 158
Evaluating Performance Improvement Interventions at the Behavior Level 163
Evaluating Performance Improvement Interventions at the Results Level 166
How Is the Role of Evaluator Enacted? 170
Step 18: Completing the Performance Improvement Strategy When Results Match Objectives 170
Step 19: Evaluating Results Against Performance Objectives and Reporting Results to All Key Stakeholders and All Participants in the Performance Improvement Strategy 171
Summary 172 References 172
6 TRENDS AND THEIR IMPLICATIONS FOR HPI 175
Business and Public Sector Trends 175
Key Trend 1: Organizations Are Placing Innovation at the Top of Their Priority Lists 175
Key Trend 2: Organizations Are Faced with Increased Security Concerns 177
Key Trend 3: Organizations Are Growing via Mergers and Acquisitions 179
Key Trend 4: Businesses and Agencies Are Paying Closer Attention to Business Ethics 180
Key Trend 5: Public Sector Organizations Are Recognizing the Need to Become High-Performing Organizations 181
Key Trend 6: Businesses and the Public Sector Are Experiencing the Effects of Global Interdependence 183
Key Trend 7: Corporations Are Outsourcing Tasks and Large-Scale Functions 184
Workforce Trends 188
Key Trend 1: The Emergence of a Knowledge-Based Economy Is Driving Skill Requirements Up 188
Key Trend 2: We Have an Aging Workforce That Is Soon to Be on Its Way Out of the Labor Pool 190
Key Trend 3: Offshoring Is Changing the Ethnicity and Culture of the Workforce 192
Contents xi Key Trend 4: Workers Are Increasingly Considering Job Changes 193 Human Resource Trends 195
Key Trend 1: The Training and Development Industry Is Spending a Greater Percent of Their Budget on External Services (Including Tuition) 196
Key Trend 2: Human Resources Is Being Innovative with the Methods for Developing Services Throughout Their Organizations 198 Key Trend 3: Organizations Are Making More Demands to
Demonstrate Measureable Results and ROI for Human Resource Initiatives 200
Key Trend 4: An Increasing Percent of Learning Function Resources Are Being Used for Human Performance Improvement 201 Key Trend 5: There Is an Increasing Demand for Employee
Development 202
Key Trend 6: Leadership Development Is Seen as Critical to Organizational Success 203
Key Trend 7: HPI Projects Will Be More Focused on Business Results 204
Key Trend 8: HPI Certification Is Available 204 Summary 205
References 208
7 TRANSFORMING THE TRAINING DEPARTMENT INTO AN HPI FUNCTION 21 I
One Approach to Transforming a Traditional Training Department into an HPI Department 212
Step 1: Gain and Maintain Internal Support for the Transformation 212
Step 2: Transition to a Valued, Results-Based Training Organization 213
Step 3: Educate Management on the Factors That Influence Human Performance 216
Step 4: Obtain an Internal Champion 217 Step 5: Select an HPI Model 218
Step 6: Determine What Services the New Organization Is Going to Offer 219
Step 7: Develop HPI Practitioners 220 Step 8: Select the Initial HPI Project 222
xii Contents
Step 9: Demonstrate Success and Publicize It 223
Step 10: Gain Organizational Support for the Transformation 224 Alternative Paths for Transforming a Traditional Training Department
into an HPI Department 226 Common Mistakes to Avoid 227 Success Stories 228
Mallinckrodt, Inc. 228
Prudential Health Care Systems 229 Steelcase 229
Compaq 230
Assessing Your Progress 231 Summary 231
References 232
8 BUILDING YOUR COMPETENCE AS AN HPI PRACTITIONER 235
Making the Shift in Role 235
The Transformation to HPI Practitioner—True Stories 237 Steps for Transforming to an HPI Practitioner 243
Step 1: Assess Your Competencies 243 Step 2: Plan for Your Development 243 Step 3: Take Action 245
Summary 246 References 246
9 FROM THEORY TO PRACTICE: REAL-WORLD HPI PROJECTS 249
Safe Forklift Operation 249 Call Center Makeover 250
Department of Transportation Construction Safety Improvements 252
Meter Reader Retention 254
Medicare Reimbursement Coding Errors 256 Words of Wisdom 258
Summary 259
Appendix I Reengineering the Training Department Assessment Instrument 261
Appendix II Determining Your Optimum Pathway to Development 277 Appendix III Human Performance Improvement Resource Guide 291
C o n t e n t s xiii Section One: Graduate Degree Programs 291
Section Two: Comprehensive HPI Resources 300 Recommended Readings 301
Workshops 304 Self-Study Options 307
Other Development Opportunities 307
Section Three: Competency Development Resources 308 Industry Awareness 309
Leadership Skills 309
Interpersonal Relationship Skills 312
Technological Awareness and Understanding 314 Problem-Solving Skills 317
Systems Thinking and Understanding 320 Performance Understanding 323 Knowledge of Interventions 324 Business Understanding 327 Organization Understanding 331 Negotiating/Contracting Skills 332 Buy-in/Advocacy Skills 335 Coping Skills 337
The Ability to See the Big Picture 339 Consulting Skills 341
Project Management Skills 344
Change Manager—Change Implementation Skills 349 Change Manager—Change Impetus Skills 353
Change Manager—Communication Channel, Informal Network and Alliance Understanding 356
Change Manager—Group Dynamics Process Understanding 358 Change Manager—Process Consultation Skills 361
Change Manager—Facilitation Skills 363 Evaluator 366
Index 385
