Rothwell W.J. - Beyond Training and Development[c] The Groundbreaking Classic on Human Performance Enhancement (2004)(2-e)(en)
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C H A P T E R |
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S E L E C T I N G H U M A N P E R F O R M A N C E
E N H A N C E M E N T ( H P E ) S T R A T E G I E S
What is a human performance enhancement (HPE) strategy? What is the range of possible HPE strategies? What assumptions guide their use? How often are they used, and how often should they be used? How should HPE strategies be selected? What competencies are necessary to function in such roles as HPE methods specialist, forecaster of consequences, and action plan facilitator? This chapter answers these questions. In doing so it paints HPE on a large canvas and provides the foundation for the remaining chapters in Part Four.
What Is a Human Performance Enhancement
Strategy?
An HPE strategy, synonymous with a human performance improvement strategy, is any effort intended to close a human performance gap by addressing its underlying cause. It is a strategy because it implies a long-term direction for change, just as a strategic plan does. Indeed, the term strategy is used precisely because it is not a quick fix.
Types of Strategies and Types of Gaps
HPE strategies vary by the types of gaps they are designed to close. Present negative performance gaps have received the most attention in writings on
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176 SELECTING AND IMPLEMENTING HPE STRATEGIES: INTERVENING FOR CHANGE
human performance improvement,1 partly because people are greatly motivated to solve problems that are pressing and urgent, as gaps of this kind often are. Closing a negative performance gap amounts to identifying the cause of a present problem and addressing it.
HPE strategies may also be applied to present positive, future negative, and future positive performance gaps. (Neutral performance gaps usually warrant no action.) Closing a present positive gap means taking advantage of an existing strength by intensifying it. Closing a future negative performance gap means averting a problem expected in the future. Closing a future positive performance gap means capitalizing on trends that will allow the organization to strengthen its competitive position.
Regardless of the kind of gap, appropriate HPE strategies may include the redesign of jobs, organizational structure, training, rewards or incentives, job or performance aids, employee selection methods, and employee feedback. The key point is that the appropriate use of HPE strategies differs, depending on the kind of gap.
Types of Strategies and Causes of Gaps
The appropriate HPE strategies depend on the causes. That point cannot be overemphasized. If strategies treat only the symptoms of performance problems, they will not be effective. It is critically important to identify, as closely as possible, the underlying root causes of the performance gaps.
Types of Strategies and Moving Targets
Just as human performance problems do not remain static, so must HPE strategies avoid being static. HPE specialists and the stakeholders they involve in selecting and implementing HPE strategies should consider the conditions that are likely to change as the HPE strategy is implemented. The aim is to lead the target, anticipating (rather than merely reacting to) changing conditions that affect HPE strategies and the performance gaps they are designed to close.
What Assumptions Guide the Selection of HPE
Strategies?
Several key assumptions guide the selection of HPE strategies. Here are the two most important ones:
Selecting Human Performance Enhancement (HPE) Strategies |
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1.Employee training should be viewed as an HPE strategy of last resort.2
One reason is that training is expensive. A second reason is that as little as 20 percent of off-the-job training transfers back to work settings. A third reason is that the critical mass of people needed to introduce largescale change can rarely be mustered when using training as a solitary HPE strategy. A fourth reason is that most human performance problems stem from the work environment, not from individual performers. Since training is an individually oriented change strategy, it is rarely appropriate for addressing problems that are organizational in their scope. (It can serve that purpose if combined with other efforts.)
2.HPE specialists should usually begin their HPE strategies in the outer circle of the four performance quadrants and move inward. As systems theory suggests, most performance problems are attributable to flawed interactions between the organization and its external environment. Most HPE strategies should therefore focus on the needs of customers, suppliers, distributors, stock owners, and other key external stakeholders. This assumption is bolstered by recent research suggesting that seasoned HPE specialists examine the work environment for causes of performance problems before they examine individuals.3
What Is the Range of Possible HPE Strategies?
Much has been written about possible HPE strategies.4 For purposes of simplicity, we will examine them as shown in Exhibit 9-1. By using this organizing scheme, HPE specialists should be able to structure their thinking about strategies for influencing the four performance quadrants affecting organizational performance. Descriptions of these strategies are provided in Exhibit 9-2.
How Often Are HPE Strategies Used?
Various studies have been conducted to assess how often HPE specialists use different HPE strategies. One such study is summarized in this section. Its results are worth considering because they provide a snapshot of what HPE specialists are currently doing to enhance human performance. While neither study necessarily points out what should be happening, both provide useful information about what is happening in HPE.
178 SELECTING AND IMPLEMENTING HPE STRATEGIES: INTERVENING FOR CHANGE
Exhibit 9-1. A scheme for organizing human performance enhancement strategies.
Individually Oriented HPE Strategies
Individual Competencies, Knowledge & Skills
Individual Attitudes & Qualifications
Feedback & Consequences
Tools, Resources & Work Environment
Priorities, Standards & Procedures
Management
Organizational Structure & Goals
Organizationally Oriented HPE Strategies
Source: P. Harmon, ‘‘A Hierarchy of Performance Variables,’’ Performance and Instruction 23, no. 10 (1984): 27–28. Used by permission of Performance and Instruction.
The Rothwell Study
I noted in Chapter 2 that I conducted a survey in 2004 of members of the International Society for Performance Improvement.5 Respondents were presented with a list of possible human performance enhancement strategies. They were asked to rate how frequently those HPE strategies/solutions were encountered and how significant they were. Exhibit 9-3 summarizes the perceptions of respondents about how frequently they encounter certain HPE strategies; Exhibit 9-4 summarizes the perceptions of respondents about how significant they believe certain HPE strategies to be. (Note: The two lists differ somewhat because the top HPE strategies encountered do not necessarily match the HPE strategies that respondents consider most significant.) Respondents were also asked to describe what HPE strategies they are using more often than in the past and why they are using those strategies. Some of their actual responses are listed in Exhibit 9-5.
The strategies are described briefly in this chapter and treated in greater
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Exhibit 9-2. Possible human performance enhancement strategies.
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Brief Descriptions of |
Strategy |
Key Issues to Examine |
Specific HPE Strategies |
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Organizational |
How well has organizational |
Structure and |
strategy been translated into |
Goals |
effective structuring of work |
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efforts (reporting relationships) |
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within the organization? |
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How well has organizational |
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strategy been translated into |
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clear and effectively communi- |
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cated goals within the organi- |
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zation? |
Management |
How effectively has manage- |
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ment established a climate |
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(high-performance workplace) |
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in which individuals are capa- |
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ble of performing competently? |
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How well do the values of the |
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existing management match up |
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to the competencies required |
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by the organization to achieve |
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its strategic goals and function |
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effectively with external stake- |
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holders? |
Improve strategic planning efforts.
Review interactions with external stakeholders for improvement opportunities.
Reorganize reporting relationships to improve accountability.
Improve goal setting and goalrelated communication.
Change the management when mismatches exist between required and existing competencies.
Change the management when existing strategy, having been tried for a reasonable time, is not working.
Improve management competencies/skills through targeted management development and organization development efforts.
Priorities, |
How clearly has management |
Standards, and |
established and communicated |
Procedures |
organizational priorities? |
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How clearly has management |
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established a means to formu- |
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late and communicate work |
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standards or work expectations |
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by division, department, work |
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group/team, and job? |
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How clearly has management |
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established a means to clarify |
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and communicate work proce- |
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dures? |
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How well has management in- |
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volved employees in setting pri- |
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orities, establishing work |
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standards or expectations, and |
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clarifying procedures? |
Establish methods of formulating and communicating priorities, work standards/ expectations, and procedures while involving employees in those methods.
Tools, Resources, |
How well are performers |
and Work |
equipped with appropriate |
Environment |
tools to do the work? |
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How well is the equipment/ |
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machinery supporting the work |
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and the workers? |
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How well does available time |
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link to important work? |
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How well are materials |
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matched to work requirements? |
Analyze and improve the tools employees have been given to do the work.
Analyze and improve the equipment employees have been given to do the work.
Analyze the time necessary to do the work and, when necessary, reallocate priorities to match realistic time expecta-
(continues)
180 SELECTING AND IMPLEMENTING HPE STRATEGIES: INTERVENING FOR CHANGE
Exhibit 9-2. (continued).
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Brief Descriptions of |
Strategy |
Key Issues to Examine |
Specific HPE Strategies |
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How well do tools and equipment lend themselves to effective, ergonomic use by performers?
Feedback and |
How often and how well do in- |
Consequences |
dividuals receive develop- |
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mental feedback? |
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How often and how well do in- |
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dividuals receive feedback de- |
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signed to recognize competent |
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and/or exemplary perfor- |
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mance? |
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How often and how well do in- |
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dividuals receive corrective |
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feedback? |
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How often and how well are |
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performance expectations |
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made clear? |
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How often and how well are |
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performance criteria estab- |
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lished and communicated? |
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How often are procedures clari- |
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fied and communicated? |
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How supportive is the work |
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group or team culture to per- |
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formance enhancement? |
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How much are performers re- |
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warded for poor performance? |
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How much are performers re- |
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warded for good performance? |
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How much are performers pun- |
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ished for poor performance? |
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How much are performers pun- |
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ished for good performance? |
Individual |
What physical capacity is re- |
Qualifications |
quired for workers to perform? |
and Attitudes |
What emotional capacity is re- |
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quired for workers to perform? |
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What intellectual capacity is re- |
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quired for workers to perform? |
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What technical ability is re- |
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quired for workers to perform? |
Individual |
What competencies lead to ex- |
Competencies, |
ceptional performance? |
Knowledge, and |
What knowledge and skills are |
Skills |
required for performance? |
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What experience is required for |
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competent performance? |
tions to achieve quality and customer standards.
Analyze how well tools and equipment match up to ergonomic needs of users and, when necessary, redesign tools and equipment to allow for human factors.
Establish improved methods of obtaining feedback from external stakeholders, internal customers, and other groups.
Establish improved methods of developmental feedback and recognition feedback.
Improve methods of communicating performance criteria.
Examine and, when necessary, begin efforts to improve the supportiveness of work climate through organization development interventions.
Examine and, when necessary, begin efforts to improve the match between feedback, rewards, and performance.
Establish work qualifications based on detailed work analysis.
Examine policies on selection, transfer, promotion, and use of temporary workers.
Assess individual competencies.
Clarify the work outputs associated with exceptional performance.
Identify the political knowledge
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What political knowledge or skill is required for competent performance?
What level of job and task training is required for competent performance?
and skill necessary to interact effectively with customers, suppliers, distributors, and coworkers in the organization.
Link training to work requirements.
Use training to solve only knowledge needs.
Exhibit 9-3. Summary of how often HPE strategies are encountered.
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Providing Information to Perform |
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5.85 |
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the Work |
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5.78 |
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Providing Clear Feedback |
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5.11 |
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4.85 |
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Improving Timely Feedback About |
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4.81 |
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Worker Performance |
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4.74 |
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Clarifying Responsibility About Who |
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4.59 |
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Should Be Doing What |
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4.3 |
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Providing Tools to Perform |
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4.26 |
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4.15 |
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Clarifying Organizational Plans |
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4.04 |
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3.85 |
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Providing Adequate Equipment |
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3.78 |
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3.59 |
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Providing Equipment Other Than |
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3.41 |
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Tools to Perform |
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3.3 |
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Providing Rewards for Performing |
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3.19 |
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3.11 |
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Clarifying Who Reports to Whom |
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3.07 |
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2.96 |
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Changing the Reward System to Provide |
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2.89 |
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Rewards for Performing |
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2.7 |
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Mean
Source: William J. Rothwell, Identifying and Solving Human Performance Problems: A Survey (unpublished survey results, The Pennsylvania State University, 2004).
detail in the remaining chapters in Part Four. Here are the HPE strategies most often encountered:
Providing information to perform the work means giving performers the information they need to function competently. If performers lack such information, they are unable to function effectively. Significant performance gains can be achieved by improving the flow of information about the work. Methods to do that may include staff meetings, electronic mail
182 SELECTING AND IMPLEMENTING HPE STRATEGIES: INTERVENING FOR CHANGE
Exhibit 9-4. Summary of how significant HPE strategies are perceived.
Providing Information to Do the Work
Providing Clear Feedback
Improving Timely Information
Providing Opportunity for Practice
Providing Adequate Tools
Addressing Problems of Lack of
Rewards for Performing
Providing Rewards for Performing
Terminating a Worker Who Does Not Have the Ability to Perform
Using Progressive Discipline
Changing Reward Systems to Address Providing Rewards for Nonperformance
Providing Ergonomic Tools/Equipment
6.33
6.26
6
5.81
5.52
5.44
5.19
4.81
4.74
4.67
4.67
4.56
4.48
4.44
4.3
4.22
4.19
4.04
4.04
3.89
3.48
3.48
0 1 2 3 4 5 6
Mean
Source: William J. Rothwell, Identifying and Solving Human Performance Problems: A Survey (unpublished survey results, The Pennsylvania State University, 2004).
messages, procedure manuals, memos, and one-on-one discussions. More sophisticated methods may also be used, such as expert systems or electronic performance support systems.
Providing clear feedback means establishing a work environment in which performers are given clear, unambiguous feedback about how well they are doing. Feedback may flow from customers, suppliers, distributors, coworkers, or other stakeholders. Methods for providing clear feedback include periodic employee performance appraisals and customer, supplier, and distributor satisfaction surveys. Simply asking if feedback has been understood can also be helpful in improving its clarity.
Improving timely feedback about worker performance means providing individuals with information about how well they are performing on a timely basis. The sooner that people know how well (or how poorly) they are doing, the faster they can improve. Timely feedback refers to HPE strategies designed to close the feedback loop faster and to give individuals as well as teams and organizations prompt feedback. Methods to improve
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Exhibit 9-5. Perceptions of training professionals on increasing use of HPE strategies.
What solutions to human performance problems are you using with increasing frequency in your organization? Why do you believe they are being used with increasing frequency? (List fastest-growing solutions first): Why do you believe they are being used with increasing frequency?
Solutions Used with Increasing |
Why Do You Believe They Are Being |
Frequency in Your Organization |
Used with Increasing Frequency? |
Clarify; Establish per Expectations
OJT Checklists
Training
Adding Staff
Web-Based Training
Use of Job Aids
Team-Based Process Improvement
Web-Based Training
Training
Development of High-Performance Work Teams or Customer-focused, Self-Directed Teams
Knowledge Center, e-Learning
Web-Based Training
Providing Job Aids When Needed
Online Collaborator Tools
Feedback to Performance
Training Programs
Observing Job Requirements
Leadership Continue Strategy
Improving Tools Equipment
Web-Based Testing
Knowledge Management
Knowledge Repository
Coaching for Accountability
Streamlining Processes
Job Aids
Industry Incentives for Study/Health
Instructor Games
Recognition Rewards for Short-Term Performance
Video
Coaching Feedback
Underinvestment Due to Budget Cuts in Prior 2 Years
Division Was Understaffed
Cost, Availability
When in Phase, They Get Used for Performance Improvement
Support from Senior Executives Faster, Cheaper Institutionalized Budget
Less Staff Due to Layoffs; an Early Retirement Merit Program
Options for Clients to Have More Flexibility Lower Travel Costs, Away from Job
Easy to Do, Cheap, Fairly Effective Global Workforce
*
Best Solution, Reaction Required
*
To Increase Understanding of Changes
Technology Work Requirements; Tools Equipment
Performance-Based/Nonjudgment
*
Link to Strategic Initiative for Innovation
Training Options, Employee Survey Results/They Feel Management Doesn’t Hold People Accountable
Simplify Work
More Are Made Available
*
Fun
*
Modeling
*Respondents did not accurately provide additional information.
Source: William J. Rothwell, Identifying and Solving Human Performance Problems: A Survey (unpublished survey results, The Pennsylvania State University, 2004).