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Rothwell W.J. - Beyond Training and Development[c] The Groundbreaking Classic on Human Performance Enhancement (2004)(2-e)(en)

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TLFeBOOK

BEYOND TRAINING

AND DEVELOPMENT

S E C O N D E D I T I O N

This page intentionally left blank

BEYOND TRAINING

AND DEVELOPMENT

S E C O N D E D I T I O N

The Groundbreaking Classic on

Human Performance Enhancement

William J. Rothwell

American Management Association

New York • Atlanta • Brussels • Boston • Chicago • Mexico City • San Francisco

Shanghai • Tokyo • Toronto • Washington, D.C.

Special discounts on bulk quantities of AMACOM books are available to corporations, professional associations, and other organizations. For details, contact Special Sales Department, AMACOM, a division of American Management Association, 1601 Broadway, New York, NY 10019.

Tel.: 212-903-8316. Fax: 212-903-8083. Web Site: www.amacombooks.org

This publication is designed to provide accurate and authoritative information in regard to the subject matter covered. It is sold with the understanding that the publisher is not engaged in rendering legal, accounting, or other professional service. If legal advice or other expert assistance is required, the services of a competent professional person should be sought.

Library of Congress Cataloging-in-Publication Data

Rothwell, William J.

Beyond training and development : the groundbreaking classic on human performance enhancement / William J. Rothwell.— 2nd ed.

p.cm.

Includes bibliographical references and index. ISBN 0-8144-0796-X

1. Performance technology. 2. Performance standards. I. Title.

HF5549.5.P37R68 2005 658.3 14—dc22

2004014341

Printed in the United States of America.

This publication may not be reproduced, stored in a retrieval system,

or transmitted in whole or in part,

in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of AMACOM, a division of American Management Association, 1601 Broadway, New York, NY 10019.

Printing number

, M V. R ,

( - ) , C S. R .

T .

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C O N T E N T S

List of Exhibits	xi
Preface to the Second Edition	xvii
Sources of Information	xvii
The Scheme of This Book	xviii
What’s New in the Second Edition?	xxiii
Acknowledgments	xxv
Part One The Need to Move Beyond Training	1
1. Why Training Is Not Enough	3
Introductory Vignettes	3
Problems with Traditional Approaches to Training	5
Trends Affecting Organizations	12
What Have Training and Development Professionals Historically Done?	19
2. What Is Human Performance Enhancement?	24
Performance Breakthroughs Are the Results of Human Choices, Not
Technological Wizardry: A Case Study	25
Deﬁning Key Terms	34
Important Propositions of HPE	37
Key Models Governing HPE	41
Introducing an HPE Model	48
What Do HPE Professionals Do?	50
What Are the Essential Competencies of HPE Professionals and Clients of
HPE?	51
Research on HPE	55
Cross-Cultural Issues in HPE	56
Ethical Issues in HPE	60
3. Transforming a Training Department into a Human Performance
Enhancement Department	61

vii

viii	CONTENTS
How Organizations Should Support HPE: Key Success Factors	64
Making the Case for Change	65
Building Awareness of the Need for Change	67
Building Awareness of Possible Directions for Change	69
Assessing and Building Support for Change	72
Creating a Flexible Road Map for Change	75
Building Competencies Is Key to the Change Effort	77
Communicating the Need for Change	81
Training People to Think Like HPE Professionals	82
Part Two Troubleshooting Human Performance
Problems and Analyzing Human Performance
Improvement Opportunities	83
4. Analyzing What Is Happening	85
What Does It Mean to Analyze What Is Happening?	85
What Are the Roles of the HPE Consultant and Their Clients in Analyzing
What Is Happening?	89
What Prompted the Investigation?	92
Gathering and Documenting Facts and Perceptions	94
Analyzing Present Conditions	98
The Competencies of the Auditor’s Role	103
5. Envisioning What Should Be Happening	105
What Does It Mean to Envision What Should Be Happening?	106
What Are the Roles of the HPE Consultant and Their Clients in
Envisioning What Should Be Happening?	106
What Sources Provide Clues About What Should Be Happening?	107
What Methods May Be Used to Collect Information About What Should
Be Happening?	116
The Competencies of the Visionary Role	121
Part Three Finding Opportunities for Improving
Human Performance	123
6. Clarifying Present and Future Performance Gaps	125
Deﬁning a Performance Gap	125
Identifying Performance Gaps	128
Assessing Present and Future Performance Gaps	135
The Competencies of the Gap Assessor Role	135
7. Determining the Importance of Performance Gaps	137
Deﬁning Importance	137
Assessing Consequences	139
Who Determines Importance?	141
Forecasting Importance	143

Contents		ix
	The Competencies of the HPE Facilitator	144
	The HPE Consultant’s Role in Determining the Importance of Performance
	Gaps	148
8.	Identifying the Underlying Causes of Performance Gaps	149
	Deﬁning Cause	149
	Distinguishing a Cause from a Symptom	151
	Who Determines the Causes of Human Performance Gaps?	154
	When Should Causes Be Identiﬁed?	154
	What Is Known About the Causes of Human Performance Problems?	155
	Identifying the Causes of Human Performance Gaps	162
	How and Why Do Causes Change over Time?	166
	The Competencies of the Strategic Troubleshooter Role	169
	The Roles of the HPE Consultant and Their Clients in Identifying the
	Underlying Causes of Performance Gaps	171
Part Four Selecting and Implementing HPE
Strategies: Intervening for Change		173
9.	Selecting Human Performance Enhancement (HPE) Strategies	175
	What Is a Human Performance Enhancement Strategy?	175
	What Assumptions Guide the Selection of HPE Strategies?	176
	What Is the Range of Possible HPE Strategies?	177
	How Often Are HPE Strategies Used?	177
	How Should HPE Strategies Be Selected?	186
	The Competencies of the HPE Methods Specialist Role, the Forecaster of
	Consequences Role, and the Action Plan Facilitator Role	189
	What Are the Roles of the HPE Consultant and Their Clients in Selecting
	and Implementing HPE Strategies?	192
10.	Implementing Human Performance Enhancement Strategies to
	Address Organizational Environment Problems or Opportunities	194
	Who Are the Most Important External Stakeholders?	195
	How Well Is the Organization Interacting with the Most Important External
	Stakeholders?	197
	What HPE Strategies Can Improve the Organization’s Interactions with
	External Stakeholders?	197
	How Should HPE Strategies Be Implemented?	206
	The Competencies of the HPE Implementer	207
11.	Implementing Human Performance Enhancement Strategies to
	Address Work Environment Problems or Opportunities	209
	Formulating, Clarifying, and Communicating Organizational Policies and
	Procedures	209
	Enhancing Organizational Design	214

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