beyond training and development

TLFeBOOK BEYOND TRAINING AND DEVELOPMENT SECOND EDITION PAGE i 10972$ $$FM 10-21-04 07:48:37 PS This page intentionally left blank BEYOND TRAINING AND DEVELOPMENT SECOND EDITION The Groundbreaking Classic on Human Performance Enhancement William J. Rothwell American Management Association New York • Atlanta • Brussels • Boston • Chicago • Mexico City • San Francisco Shanghai • Tokyo • Toronto • Washington, D.C. PAGE iii 10972$ $$FM 10-21-04 07:48:37 PS 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 658.3Ј14—dc22 2004014341 ᭧ 2005 William J. Rothwell. All rights reserved. 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 10987654321 PAGE iv 10972$ $$FM 10-21-04 07:48:38 PS T               , M V. R , (-) , C  S. R. T    . PAGE v 10972$ $$FM 10-21-04 07:48:38 PS This page intentionally left blank C ONTENTS 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 PAGE vii vii 10972$ CNTS 10-21-04 07:48:42 PS viii C ONTENTS 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 PAGE viii 10972$ CNTS 10-21-04 07:48:42 PS ixContents 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 PAGE ix 10972$ CNTS 10-21-04 07:48:43 PS [...]... of what training and development professionals should be doing Confusion over the name of the training field underscores training s lack of focus The training field has been called by many different names Among them: ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ Training Education Development Training and development Employee education Staff development Personnel development In-service education Human resources development. .. requirements? ❑ How does Training and Development conduct training needs assessment? ❑ How does Training and Development prove the return on training investments? ❑ How are problems that should be solved by training distinguished from problems that should be solved by management action? ❑ How do operating managers hold employees accountable on their jobs for what they learn in training? Why Training Is Not... locales (and on-line or in blended formats), and prepared in ways intended to harness the advantage of new instructional technologies The time has come to move beyond training as a quick fix (or fix-all) and to focus instead on applying a wide range of human performance enhancement (HPE) strategies It is also time to emphasize the strategic and long-term role of HPE efforts and to transform training and development. .. learns that the Training and Development Department has made no effort to link what it does to the organization’s strategic objectives or show how it contributes to meeting or exceeding customer requirements Further, Training and Development does not assess training needs systematically, does not try to demonstrate a financial return on training investments, and does not distinguish training from management... performance enhancement, training, and organization development My aim in using these sources has been to ensure that this book provides a comprehensive, up-to-date treatment of typical and best-in-class HPE (and related) practices The Scheme of This Book Beyond Training and Development, Second Edition, is written for those wishing to revolutionize, reengineer, reinvent, or revitalize the training function... these associations match up to the role that the training function should be playing in the organization Word or Phrase Training Education Development Training and development Employee education Staff development Personnel development In-service education Human resources development Human performance technology Human performance improvement Organization development Human performance enhancement Associations... managers, and supervisors Aware of how difficult it may be to get voluntary attendance at this training, Mary proposes making attendance at the training sessions mandatory George agrees and assures her that he will obtain the chief executive officer’s support to make sure everyone attends 4 Morton Adams earned a graduate degree in training and development He also has extensive work experience in training. .. experience in training He was recently hired as a training and development professional in a medium-size organization A believer in taking charge of his own new employee orientation, he decides to ask his supervisor, Harriet Harper, a few questions about the company’s training and development practices Here are his questions: ❑ How does the Training and Development Department contribute to achieving the... lack of supervision As a second step, training and development professionals should analyze who will receive training, what working conditions will exist when learners try to apply on their jobs what they learned, and how work expectations will be measured to provide the basis for judging work performance Third, training and development professionals should assess training needs to clarify gaps between... the training director agrees that training is warranted in the situation She also agrees to develop a proposal to bring in an ‘‘image consultant’’ to design and deliver training on appropriate ways to dress 3 Mary Landers is the training director for a large company that recently downsized She was just asked by George Rawlings, vice president of human resources and Mary’s supervisor, to conduct training . TLFeBOOK BEYOND TRAINING AND DEVELOPMENT SECOND EDITION PAGE i 10972$ $$FM 10-21-04 07:48:37 PS This page intentionally left blank BEYOND TRAINING AND DEVELOPMENT SECOND EDITION The. 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. subject with live and highly critical—audiences of training and development professionals and operating managers. 4. Experience. As a former training director in the public and the private sectors,