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

Exhibit 8-6. A sample cause-and-effect diagram applied to human performance problems.

Directions: When a human performance problem is encountered, conduct troubleshooting. Give this diagram to a group (or team) of individuals who are familiar with the problem. Ask them to describe the problem first in the box at the far right. Then ask them to describe how each possible cause in the other boxes may be contributing to the problem. When the activity is finished, use the results as a starting point for determining appropriate HPE strategies to address the root cause(s) of the human performance problem.

PROBLEM

Other Approaches

Root cause analysis, cause-and-effect diagrams, and portfolio analysis are not the only ways that HPE specialists may troubleshoot the underlying causes of human performance problems or discover improvement opportunities. Many other approaches may also be used. Such common data-gathering methods as interviews, surveys, observation, document reviews, and focus groups may also be applied to detecting underlying cause(s). Other analytical approaches, commonly associated with Total Quality Management or process improvement practices, may also lend themselves to use in identifying the underlying cause(s). Exhibits 8-8 and 8-9 list and describe some of them.

How and Why Do Causes Change over Time?

Nothing remains static; the world is a dynamic place. The underlying cause or causes of human performance problems may change over time.

Examining problems or opportunities can be compared to shooting at a moving target. Just as the HPE specialist approaches the cause, the target moves. Major reasons for this moving target effect include changes in the four performance quadrants (the organizational environment, the work environment, the work, and the workers).6 Most important of these is the organizational environ-

Exhibit 8-8. Techniques for detecting underlying causes of performance problems.

‘‘The Five Whys’’ Ask someone, ‘‘Why does that problem exist?’’ When the response is given, ask, ‘‘Why is that?’’ Continue this process until the question ‘‘why’’ has been posed a total of five times. The idea to get at the root of problems by continually probing to get beyond superficial responses or the mere consequences of a problem.

Magnification Ask a team to investigate a problem. Start by asking the team members to exaggerate its importance. Then ask the team to exaggerate what is causing the problem. When the team members have had some fun with the problem, ask them to ponder their comments to troubleshoot the problem’s cause.

Brainstorming Ask a team to think of as many possible causes of a problem as possible. Conduct brainstorming face-to-face or by electronic mail. Caution members that they should not evaluate or criticize any ideas during the first round, no matter how unusual they may seem. When the group members run out of ideas, go back over all the ideas generated and present them to the group members. Ask them to review each idea and vote on the likelihood that it is a primary cause of a problem. When finished, tally the scores. Identify the top three to five possible causes of a problem. Then ask group members to generate ideas about possible HPE strategies to address those causes.

tions, and problems are fluid and changing during daily operations. People come and go; solutions and problems are randomly and chaotically matched up due to work pressures and other reasons. The result is a mess—a garbage can.

To thrive amid such chaos, HPE specialists should become accustomed to leading the target.8 They must anticipate the consequences of action or inaction. Although many factors play a part in what change occurs, some of which cannot be foreseen, it is important to make an effort to do just that. As present causes are identified, HPE specialists should attempt to anticipate possible changes in the people, solutions, and causes that affect their efforts.

To that end, try out the activity in Exhibit 8-10. Use it to help you assess whether (or how much) future changes may affect identified causes. Then step back into the present and plan for those changes as much as possible. In other words, make an effort to lead the target.

The Competencies of the Strategic

Troubleshooter Role

To detect the underlying causes of human performance problems, HPE specialists should be able to carry out the role of strategic troubleshooter. The competen-

Exhibit 8-10. Scenario preparation: a tool for assessing changes in cause(s) over time.

Directions: Ask participants to plan for changes in people, methods, or problems/solutions as they affect their efforts to solve performance problems or seize performance enhancement opportunities. For a given problem or opportunity, form a team of five to eight people who are knowledgeable about it. Then ask them to meet or to ponder the following questions by electronic mail or by other means.

1.What is the problem you are trying to solve or the opportunity you are trying to take advantage of? (Describe it.)

2.Over what period do you plan to take action? (Provide a specific time. Will it be one day? one month? one year?)

3.What changes do you expect to be likely over the time frame indicated in response to question 2? (Describe as many changes relevant to the problem or opportunity as you can think of. Describe the future as you expect it to exist at the end of the time frame indicated in response to question 2.)

4.How do you believe your solution or strategy should be modified now to anticipate the likely changes that you expect to happen? List suggestions and justify them.

cies associated with that role are listed in Appendix I. They are also summarized briefly here.

Ability to isolate strategic mismatches in the organization’s interactions with the external environment. A frequent cause of organizational problems is a mismatch between customer, supplier, or distributor needs and organizational responses. Strategic planning focuses on averting such problems or seizing future opportunities. HPE specialists must be sufficiently aware of organizational strategy to isolate these mismatches when they occur and to mobilize appropriate responses to them.

Ability to benchmark other organizations in the industry or ‘‘best-in- class’’ organizations. A frequent cause of performance problems is the organization’s inability to compete effectively with other organizations in the same industry. When that is suspected as a possible cause of performance problems, HPE specialists should conduct benchmarking to identify ‘‘best practices’’ or even ‘‘typical practices’’ and compare those to the organization’s current practice. Such an effort can provide the basis for improvement.

Ability to isolate large-scale and small-scale causes of gaps within the organization. Setting priorities is an essential competency. Not all human performance gaps are of equal magnitude, nor are their consequences identical over time. HPE specialists should be able to isolate large-scale and small-scale causes of performance gaps whenever possible.

Ability to troubleshoot the causes of gaps in the work or work flow. What causes contribute to slower than desired work flow? What approaches can be used to streamline work flow? The ability to spearhead organizational efforts to answer these questions is essential to success in HPE. HPE specialists should be able to identify the causes of gaps in work or work flow, using such methods as root cause analysis, cause-and-effect analysis, and portfolio analysis.

Ability to troubleshoot the causes of performance gaps between worker and other performance environments. To what causes are mismatches between workers and the work environment attributable? Are the best people in the best positions now? Will the same people be the most appropriate for those positions in the future? The ability to lead others in answering these questions is essential to success in HPE.

The Roles of the HPE Consultant and Their Clients in Identifying the Underlying Causes of Performance Gaps

As in carrying out other steps in the HPE model, the roles of the HPE consultant and their clients depend on how HPE consultants approach their roles. If HPE consultants enact the role of management consultants, they will tend to shoulder responsibility for troubleshooting root causes. They will then justify their findings by pointing to evidence that they gather. Clients will enact the roles of judges, determining whether the evidence is sufficient—and persuasive.

Alternatively, if HPE consultants enact the role of process consultants, they will tend to work with representatives of the client group to troubleshoot root causes. They may do that by forming project teams to gather evidence, benchmark other organizations, or apply a range of problem-solving tools to a problem. They will not attempt to justify their findings but will, instead, focus on working with members of the client organization to find evidence that will be persuasive to those in the organization. Clients working with HPE consultants who adopt this approach will be their own information gatherers, and they will act with confidence on the evidence that they themselves gather.

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