Handbook of human performance technology principles practices and potential

Handbook of Human Performance Technology

Third Edition Principles, Practices, and Potential

James A. Pershing Editor

Foreword by Harold D. Stolovitch and Erica J. Keeps

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Praise for the Handbook of Human Performance Technology, Third Edition

“This third edition of the seminal Handbook weaves in two decades of applied HPT experience to provide even more relevant guidelines to today’s performance improvement practitioners as they continue the important work of leveraging an organization’s most precious capital—its people—toward verifiable, mea- surable, and valuable outcomes.”

—Clare Marsch, senior principal, global learning consulting, Convergys Learning Solutions

“The Handbook of Human Performance Technology is a valued resource for pro- fessionals who lead learning and performance improvement efforts in organi- zations. In this edition, top thinkers in our field take on the tough issues, summarize current thinking, and offer valuable new insights.”

—Catherine M. Sleezer, CPT, Ph.D., professor, human resource/adult education, Oklahoma State University

“This Handbook not only bridges the gap between European and American per- formance improvement strategies, it also includes key multicultural approaches for change agents that focus on business results.”

—Steven J. Kelly, CPT, managing partner, KNO Worldwide

“Taking the helm with the third edition, James Pershing ensures that the Hand- book of Human Performance Technology retains its leading role in the field. Two aspects particularly resonate: a new classification of interventions at the worker and team levels and workplace and organizational levels, and a superb section on measurement and assessment, which concisely applies a variety of research and evaluation techniques specifically for use in our field.”

—Saul Carliner, assistant professor, graduate program in educational technology, Concordia University, Montreal, Canada

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“The Handbook’s clear and supportive structure and the high scientific and/or practical expertise of its authors makes this excellent documentation of HPT’s mission, values, processes, and tools very beneficial and credible for both man- agers and HPT practitioners in work or social settings as well as academic read- ers with interest in state-of-the-art HPT related knowledge and experience.”

—Verena Dziobaka-Spitzhorn, house of training/ head of learning and communication, METRO Cash &

Carry International GmbH, Germany

“The Handbook reflects the vast and diverse experience of the very best think- ing and applications of HPT in the world today. It is an invaluable and com- prehensive reference for anyone interested in improving human performance in the workplace.”

—Christine Marsh, CPT, principal, Prime Objectives, United Kingdom

“As the knowledge revolution takes hold, victory will go to the smartest orga- nizations and societies. This must-have reference handbook provides consul- tants and business leaders with visual models, practices, and case histories to achieve measurable improvements in human performance and business results.”

—Geoffrey A. Amyot, CPT, CEO, Achievement Awards Group, South Africa

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Handbook of Human Performance Technology

Third Edition Principles, Practices, and Potential

James A. Pershing Editor

Foreword by Harold D. Stolovitch and Erica J. Keeps

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Copyright © 2006 by John Wiley & Sons, Inc.

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CONTENTS

Foreword to the Third Edition xiii Harold D. Stolovitch, Erica J. Keeps

Preface xxi

Acknowledgments xxvii

The Editor and Editorial Advisory Board xxix

Foreword to the First Edition xxxi Thomas F. Gilbert

Foreword to the Second Edition xxxvii Robert F. Mager

PART ONE: FOUNDATIONS OF HUMAN PERFORMANCE TECHNOLOGY 1 Monique Mueller, editor

1 Human Performance Technology Fundamentals 5 James A. Pershing

2 The Performance Architect’s Essential Guide to the Performance Technology Landscape 35 Roger M. Addison, Carol Haig

3 Business Perspectives for Performance Technologists 55 Kenneth H. Silber, Lynn Kearny

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4 Performance Improvement: Enabling Commitment to Changing Performance Requirements 93 William R. Daniels, Timm J. Esque

5 Systemic Issues 111 Dale M. Brethower

6 Mega Planning and Thinking: Defining and Achieving Measurable Success 138 Roger Kaufman

7 The Origins and Evolution of Human Performance Technology 155 Camille Ferond

PART TWO: THE PERFORMANCE TECHNOLOGY PROCESS 189 Jim Hill, editor

8 Aligning Human Performance Technology Decisions with an Organization’s Strategic Direction 191 Ryan Watkins

9 Analysis and More 208 Allison Rossett

10 Requirements: The Bridge Between Analysis and Design 223 Ray Svenson

11 Modeling Mastery Performance and Systematically Deriving the Enablers for Performance Improvement 238 Guy W. Wallace

12 Dimensions of Organizational Change 262 Larissa V. Malopinsky, Gihan Osman

13 Using Evaluation to Measure and Improve the Effectiveness of Human Performance Technology Initiatives 287 Robert O. Brinkerhoff

14 The Full Scoop on Full-Scope Evaluation 312 Joan C. Dessinger, James L. Moseley

PART THREE: INTERVENTIONS AT THE WORKER AND WORK TEAM LEVELS 331 Karen L. Medsker, editor

15 Instruction as an Intervention 335 Michael Molenda, James D. Russell

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CONTENTS ix

16 Designing Instructional Strategies: A Cognitive Perspective 370 Kenneth H. Silber, Wellesley R. Foshay

17 Games and Simulations for Training: From Group Activities to Virtual Reality 414 Robert L. Appelman, John H. Wilson

18 Distance Training 437 José Manuel Ochoa-Alcántar, Christy M. Borders, Barbara A. Bichelmeyer

19 Innovations in Performance Improvement with Mentoring 455 Margo Murray

20 Motivating Individuals, Teams, and Organizations 478 Richard E. Clark

21 Shifting Organizational Alignment from Behavior to Values 498 Anthony W. Marker

22 Principles and Practices of Work-Group Performance 516 Michael F. Cassidy, Megan M. Cassidy

23 Performance Support Systems 539 Steven W. Villachica, Deborah L. Stone, John Endicott

PART FOUR: INTERVENTIONS AT THE WORKPLACE AND ORGANIZATIONAL LEVELS 567

Mark J. Lauer, editor

24 The Impact of Organizational Development 571 Brian Desautels

25 The Fifth Discipline: A Systems Learning Model for Building High-Performing Learning Organizations 592 M. Jeanne Girard, Joseph Lapides, Charles M. Roe

26 Knowledge Management, Organizational Performance, and Human Performance Technology 619 Debra Haney

27 Coming to Terms with Communities of Practice: A Definition and Operational Criteria 640 Sasha Barab, Scott J. Warren, Rodrigo del Valle, Fang Fang

28 Workplace Design 665 Karen L. Medsker

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29 Six Sigma: Increasing Human Performance Technology Value and Results 692 Darlene M. Van Tiem, Joan C. Dessinger, James L. Moseley

30 Normal Excellence: Lean Human Performance Technology and the Toyota Production System 717 Joachim Knuf, Mark J. Lauer

PART FIVE: PERFORMANCE MEASUREMENT AND ASSESSMENT 743 Jana L. Pershing, editor

31 A Commentary on Quantitative and Qualitative Methods: Myths and Realities 745 Jana L. Pershing

32 Constructing Effective Questionnaires 760 Sung Heum Lee

33 Interviewing to Analyze and Evaluate Human Performance Technology 780 Jana L. Pershing

34 Observation Methods for Human Performance Technology 795 James A. Pershing, Scott J. Warren, Daniel T. Rowe

35 Using Content Analysis in Human Performance Technology 819 Erika R. Gilmore

36 Quantitative Data Analyses 837 Mary Norris Thomas

37 Evidence-Based Practice and Professionalization of Human Performance Technology 873 Ruth Colvin Clark

PART SIX: PERFORMANCE TECHNOLOGY IN ACTION 899 Debra Haney, editor

38 Making the Transition from a Learning to a Performance Function 903 Dana Gaines Robinson, James C. Robinson

39 Using an HPT Model to Become Management’s Partner 924 Danny Langdon

40 Managing Human Performance Technology Projects 943 Nicholas Andreadis

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41 Leadership in Performance Consulting 964 Roger Chevalier

42 The Anatomy of Performance: A Framework for Consultants 986 Geary A. Rummler

43 Certification: An Alignment Intervention 1008 Judith A. Hale

44 Standards and Ethics in Human Performance Technology 1024 Ingrid J. Guerra

45 Professional Ethics: A Matter of Duty 1047 Jim Hill

46 Improving Human Performance by Employing a Top-Down Function Analysis Methodology in Navy Aircraft Design 1067 Dennis Duke, Robert Guptill, Mark Hemenway, Wilbur Doddridge

PART SEVEN: LOOKING FORWARD IN HUMAN PERFORMANCE TECHNOLOGY 1085 Darlene M. Van Tiem, editor

47 SWOT Analysis 1089 Doug Leigh

48 Sustainable Development and Human Performance Technology 1109 Scott P. Schaffer, Therese M. Schmidt

49 Rapid Reflection Throughout the Performance-Improvement Process 1122 Sharon J. Korth, Brenda S. Levya-Gardner

50 Appreciative Inquiry: Unraveling the Mystery of Accentuating the Positive 1147 Darlene M. Van Tiem, Julie Lewis

51 Comprehensive Performance Evaluation: Using Logic Models to Develop a Theory-Based Approach for Evaluation of Human Performance Technology Interventions 1165 Barbara A. Bichelmeyer, Brian S. Horvitz

52 Aligning the Human Performance System 1190 John Amarant, Donald T. Tosti

53 Systems, Measures, and Workers: Producing and Obscuring the System and Making Systemic Performance Improvement Difficult 1224 Donald J. Winiecki

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54 Hidden Order of Human Performance Technology: Chaos and Complexity 1251 Darlene M. Van Tiem, Swati Karve, Jennifer Rosenzweig

55 Quantulumcunque Concerning the Future Development of Performance Technology 1274 Klaus D. Wittkuhn

About the Editor 1286

About the Contributors 1288

The International Society for Performance Improvement 1311

Name Index 1312

Subject Index 1326

Addendum to the Copyright Page 1364

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FOREWORD TO THE THIRD EDITION

Human performance technology (HPT) is a professional field of study andapplication, the main purpose of which is to engineer systems that allowpeople and organizations to perform in ways that they and all stakehold- ers value. HPT is a derivative field that for over a half of a century has evolved from a number of disciplines, such as psychology, communications, neuro- science, management science, information science, economics, ergonomics, and measurement and evaluation. It is also the progeny of a number of applied fields, such as instructional technology, human resource development, organi- zational development, and industrial engineering.

Eclectic as this all sounds, HPT has grown to become a distinct specialty with its own international, national, and local professional societies as well as numerous publications, university programs, and certification structures that lend it credence. It has emerged as a domain of practice that is increasingly rel- evant, if not essential, for today’s organizational success. The term human per- formance technology sounds somewhat dry and mechanistic. Hence, human performance improvement (HPI) has begun to appear in professional publica- tions as a more acceptable euphemism. We view HPT as the rigorous means for achieving valued performance, that is, what we as performance-improvement specialists do, and HPI as the end result, that is, what we accomplish. Regard- less of the terminology, HPT-HPI has come to represent a unique area of study, research, and professional practice, one that is worthy of recognition in the world of work and, more recently, in nonwork and social settings.

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THE HANDBOOK OF HUMAN PERFORMANCE TECHNOLOGY: A FOUNDATION DOCUMENT

Such an energetic field must, at points in its development, stop for a moment to consolidate its thinking, values, position, mission, direction, and practices and make a statement about what it is and why anyone should care. This state- ment serves three purposes: (1) to help its diverse scholars and practitioners disengage themselves from their daily, disparate, and pressing activities and reflect on who they really are as a family; (2) to inform the outside world of what the field is all about and why its existence is so excitingly important; and (3) to guide those entering the field and those responsible for informing new members on what and where to focus.

The statement HPT has made is this Handbook of Human Performance Tech- nology. In 1988, the then National Society for Performance and Instruction (NSPI), now the International Society for Performance Improvement (ISPI), realized that while it was preaching HPT vigorously and vociferously, the message was not coming through very clearly. A stronger affirmation had to be made. A source doc- ument was necessary to inform the world of what HPT was all about. The result was the launching of a publication initiative. We were selected to be the parents of this publication, and our job was to give birth to a powerful HPT manifesto.

Here was our mission as it appeared in 1992 in the preface to the first edition of the handbook:

What has been needed as a solid cornerstone for the field . . . is a major publication that clearly articulates, to the world and to HPT professionals, that we have arrived. That is the purpose of the Handbook of Human Performance Technology: to announce the existence of an emerging, highly relevant field, and to express what this field is about, where it comes from, what it does, and how its principles and practices can very significantly benefit organizations that seek outstanding results [Stolovitch and Keeps, 1992, p. xx].

Little did we realize what an undertaking this was to be, involving almost three years of intense work. Also, little did we anticipate its impact. Not only were the handbook’s sales outstanding, it soon became the major textbook for uni- versity programs that were adding ever-increasing numbers of professionals to the field. The first edition also generated widespread, international enthusiasm for HPT. This resulted in a second edition, this time with a global thrust. What came out of this two-and-a-half-year effort was a markedly increased worldwide profile for HPT and many new adherents to the field from a host of nations.

However, as optimistic as we were about the staying power of the handbook, we certainly could not have predicted an entirely new, amazingly updated third edition some fourteen years after the first one. We view the contents of this

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FOREWORD TO THE THIRD EDITION xv

outstanding, highly evolved volume with awe and admiration for what Profes- sor Pershing and his authors have accomplished and strong emotion at seeing how far the field has evolved in so short a time.

HPT: HOW FAR WE HAVE COME

Speaking about our advances as a professional group, it is tremendously impres- sive to note the indicators of our dramatic growth. Witness the numerous books, chapters, periodicals, and articles dealing with HPT themes. Since 1992, publica- tions have multiplied tenfold. The number of university programs and courses focused on human performance at work has burgeoned, and not only in the United States and Canada where the movement began, but also in Europe, the Middle East, Africa, South America, Australia, New Zealand, and throughout the world where there are people searching for ways to achieve organizational results val- ued by all. As an example, over the past year, we ourselves received requests for HPT guidance, suggested readings, and learning opportunities from countries including China, Mongolia, Uzbekistan, Malaysia, Singapore, Bangladesh, Romania, South Africa, Colombia, Israel, and Niger. In this listing, we do not even name the Western European countries, as they have now become normal fare, something we would not have said even ten years ago.

Along with the impact on publications and programs are the noticeable changes to professional societies and organizations that once were centered exclusively on training. The American Society for Training and Development, now ASTD, and VNU, publishers of Training, have begun to include the term performance in their taglines, including those for their various certificate programs. Recently a new magazine, Workforce Performance Solutions, sprang into existence, an offshoot of the Chief Learning Officer magazine. Also, let us not forget the emergence of the HPT certification program from the flagship organization for HPT, ISPI. The ISPI Certified Performance Technologist (CPT) program now has produced over one thousand CPTs worldwide. In contributing to growing the field, ISPI has also designed and developed a comprehensive set of professional development insti- tutes for individuals and organizations interested in integrating HPT. Several large companies and organizations now have performance-improvement units. Promi- nent among these is the United States Navy Human Performance Center.

THE RELEVANCE OF HPT

While HPT has dramatically evolved since the first edition of the handbook, it is not one of those flash-in-the-pan fads that explodes on the organizational scene with blinding éclat, only to dissolve into forgotten history like a celebrity diet. Here is why HPT has stood and will continue to stand the test of time.

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• A concern with bottom-line results and return-on-investment (ROI) issues. Yes, HPT possesses strong processes. Nevertheless, its central focus, as one of HPT’s major founders, Thomas F. Gilbert, often stated, is valued accomplish- ment, meaning verifiable results that far exceed their costs. The ferociously com- petitive global marketplace drives organizations. In a world of limited resources, for-profit, nonprofit, and social welfare organizations all find themselves com- peting for these as well as scarce funds. Anything that can deliver high ROI and positive cost-benefit ratios as well as demonstrate impact supported by data immediately draws attention. This is HPT’s raison d’être. HPT is bottom line and measurement conscious, imbuing it with ongoing relevance.

• The high stakes of high investment. As technology and communications inno- vations generally cause major changes to organizations, virtually any significant initiative demands the investment of large sums to ensure successful adoption. A new way of tracking customer buying behaviors can quickly mount into the mil- lions of whatever currency one is using. Will the employees adapt well to it? Will the full potential of its promise be realized? These are the concerns of the enter- prise. These are also the key issues with which HPT professionals deal.

• The increased emphasis on measurement: Six Sigma and its relatives. Long before Six Sigma, reengineering, and even total quality management appeared on the scene, there was HPT using a language very similar to all of these movements. HPT has always emphasized systemic analysis, systematic processes, holistic inter- vention design, and measurement. From time to time, individual practitioners may have been swayed by enthusiasms and fads, but not so for the field itself. HPT is about demonstrated hardcore results. If HPT could have a motto, it might very well be, “let data talk.” Its caution would be, “beware enthusiasms!”

• Systems thinking. HPT is an applied offspring of general systems theory. Unlike science, which focuses on ever more minute phenomena viewed through the lens of a microscope, HPT employs a macroscope (de Rosnay, 1975) to examine all of the relevant elements that interact to affect the activities and out- comes of a system. Human performance is, as Gilbert (1996) suggested, valued accomplishment derived from costly behavior. To achieve valued accomplish- ment means analyzing all of the costly behavior elements and designing an inte- grated set of interventions that most efficiently generates desired and measured results. In our complex current and most likely future world, HPT possesses the appropriate viewpoint, processes, and validated tools to achieve constantly accelerating organizational goals.

• Changes to departmental titles. In the same way that personnel morphed into human resources and accounting into finance, training is in a period of transition to a new and more strategic state. The first transformational baby steps have been to learning, learning services, or learning and development. The bolder organizations have changed to workforce development, workplace learning and

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performance, learning and performance support, and even performance enhance- ment. What is in a name? Opinions abound. Nevertheless, changes in labels when accompanied by modifications and additions in activities, services, and deliverables certainly alter expectations and outcomes. The newer departmental or service titles appear to match more closely the needs of organizations. As such these augur well for evolved, more strategic, systemic roles than tactical training ever provided.

• The interrelationship of HPT with human resource development (HRD), organizational effectiveness (OE), and organizational development (OD). What we have asserted to date about HPT is in many ways true of other related fields. Gilley, Maycunich, and Quatro (2002) forcefully pointed out that the role of HRD professionals has been mainly a transactional one just as in the case of train- ing. They encourage greater focus on becoming more transformational and per- formance focused. As they assert, “the challenges facing organizations require HRD professionals to adopt a role that improves firm performance, enhances competitive readiness, and drives renewal capacity and capability” (p. 25).

From the field of OE, we witness a growing emphasis on helping the organi- zation fulfill its mission through a blend of sound management, strong gover- nance, and a persistent redirection to achieving results. The concerns of OE sound markedly familiar to HPT professionals.

What is true for HRD and OE can also be repeated for OD. While OD gener- ally operates at macro levels of organizations, its mission is that of increasing organizational effectiveness and health through planned interventions in the orga- nization’s processes or operations. OD may not adopt the engineering style of HPT; it is more characterized by its emphasis on communication and facilitation. However, its purpose, as with HPT, is to deliver valued organizational results, largely through people. This is not a far cry from HPT’s concern with improving human performance.

These convergences, although seemingly threatening to the exclusivity of HPT’s terrain, in fact only enhance its relevance. All desire valued performance. Each has its approach. HPT’s is that of engineer. In this respect, it is well positioned for cre- ating solid business cases for its activities and presenting data-based evidence of desirable outcomes. Increasingly, organizational decision makers demand this.

THE EMERGENCE OF HUMAN CAPITAL

Perhaps we should speak more of human capital’s reemergence. Theodore Schultz, in 1979, and Gary Becker, in 1992, both won Nobel prizes in econom- ics for their work in human capital. There was a brief period of excitement for

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this then-new concept in the early 1980s that quickly faded. However, in the last seven or eight years, the human capital theme has once again emerged as a seri- ous and strategic business issue. A number of authors such as Davenport (1999), Edvinsson and Malone (1997), Fitz-enz (2000), Kravetz (2004), Pfeffer (1998), and Stewart (1997) have fanned the flames of human capital accounting and potential and have demonstrated the high returns to be derived from human cap- ital management. By human capital, we mean the sum total of all knowledge, experience, and performance capability an organization possesses that can be applied to create wealth. The key words are performance capability. This is HPT’s purview, and in this respect, the HPT professional, as portrayed throughout the chapters of this handbook, is above all a leverager of human capital. In fact, one might sum up the essential elements of this third edition of the Handbook of Human Performance Technology in the following ways:

• The key mission of HPT: the leveraging of human capital in the most efficient manner to achieve targeted, valued results.

• The key process of HPT: the engineering of valued and effective individ- ual and organizational performance based on systemic, systematic, and scientific principles and demonstrated through credible measures.

• The key roles of the HPT professional: analyst, consultant, designer, evaluator, facilitator, project manager, management mentor, and, as required, organizational therapist.

• The key contexts of HPT application: the workplace or work setting. However, increasingly, HPT is being applied in social settings, for example, reproductive health in developing nations, community substance abuse programs, public education, and improved quality of life for the chronically ill and aged.

AND SO THIS THIRD EDITION OF THE HANDBOOK OF HUMAN PERFORMANCE TECHNOLOGY . . .

As you enter the pages of this remarkably impressive volume, you will be struck with how firmly the handbook still remains a foundation document. Now that it is in its third iteration, it has also assumed two new and extremely important roles: that of chronicler of HPT’s progress as an evolving field and that of cred- ible witness to HPT’s ongoing relevance to organizations, workers at every level and of all stripes, and society at large. As was meant to be, it fulfills the role of authoritative guide and standard bearer for HPT’s mission, processes, values, and practices.

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Having twice stood in the shoes of editor James Pershing, we can appreciate the many months of tireless effort that he, the editors, and all of the contribu- tors have invested to bring forth this important milestone that is the new hand- book. It marks a significant moment in the history of HPT. It also represents a challenge for even greater HPT achievements in the years ahead.

February 2006 Harold D. Stolovitch Erica J. Keeps

Los Angeles, California

References

Davenport, T. B. (1999). Human capital: What it is and why people invest in it. San Francisco: Jossey-Bass.

de Rosnay, J. (1975). Le macroscope, vers une vision globale. Paris: Le Seuil.

Edvinsson, L., and Malone, M. S. (1997). Intellectual capital: Realizing your company’s true value by finding its hidden brainpower. New York: HarperCollins.

Fitz-enz, J. (2000). The ROI of human capital: Measuring the economic value of employee performance. New York: American Management Association.

Gilbert, T. F. (1996). Human competence: Engineering worthy performance. Washington, DC: International Society for Performance Improvement.

Gilley, J. W., Maycunich, A., and Quatro, S. A. (2002). Comparing the roles responsi- bilities, and activities of transactional and transformational HRD professionals. Performance Improvement Quarterly, 15(4), 23–44.

Kravetz, D. J. (2004). Measuring human capital: Converting workplace behavior into dollars. Mesa, AZ: Kravetz Associates.

Pfeffer, J. (1998). The human equation: Building profits by putting people first. Boston: Harvard Business School Press.

Stewart, T. A. (1997). Intellectual capital: The new wealth of nations. New York: Doubleday/Currency.

Stolovitch, H. D., and Keeps, E. J. (Eds.). (1992). Handbook of human performance technology: A comprehensive guide for analyzing and solving performance problems in organization. San Francisco: Jossey-Bass.

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PREFACE

It is true; the one constant we can count on in this modern world is change.Since 1992, when Harold D. Stolovitch and Erica J. Keeps so ably coeditedthe first edition of the Handbook of Human Performance Technology, the world in which we live and work has undergone significant transformation. Several of these changes and their impact were captured in Stolovitch and Keeps’s sec- ond edition of the handbook, published in 1999. However, when one compares and contrasts the first two editions of the handbook, one will note that there are constants in the forms of truisms and principles in the field of human per- formance technology (HPT) that transcend time. Our goal in producing this third edition of the handbook, some six-plus years after the second edition, was twofold: to capture the truisms and principles of HPT and to address what we judge to be some important transformations.

We purposefully established seven objectives to achieve these two purposes. In 2004 we worked with trusted formal and informal leaders in HPT, seeking their advice and counsel in setting the direction and content for the handbook. At HPT conferences and meetings we spoke in person with a number of indi- viduals we judged to be established leaders in HPT. We sought their input and asked them to suggest others to contact. This led to our contacting a total of fifty individuals from whom we received valued advice in person, by e-mail, or over the telephone. Their input helped us to develop further objectives as well as to identify authors and to select members for the handbook editorial advisory board.

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Given the interlude between the first two editions of the handbook and this third edition, the second objective was to have all new chapters. This objective has been met with fifty-five new information-rich chapters for this third edition.

A third objective was to have well-recognized leaders and subject-matter experts in HPT author at least one-half of the chapters. The reason for this objective was to give the handbook credibility and marketability. As a leading contributor to the field of HPT, the handbook must contain the ideas and views of our thought-and-practice leaders. Each of you may count differently; how- ever, in our judgment, thirty of the fifty-five chapters have one or more authors that meet this criterion. The remaining chapter authors are emerging leaders in HPT or thought-and-practice leaders from fields closely aligned with HPT.

As a fourth objective, we sought diversity among the chapter authors, in terms of (1) demographics such as gender, years of experience in HPT, and nationality; (2) position, including academics, consultants, practicing profes- sionals in business and the public sectors, and expertise representing a broad range of HPT interventions; and (3) what some affectionately dub old, new, and no guards in terms of perceived roles in the field of HPT and our flagship orga- nization, the International Society for Performance Improvement. These judg- ments too will be in the eyes of the beholder. In our judgment we achieved our diversity objective.

Objective five had to do with a personal bias of mine, which stems from my years of experience in academia. I believe that knowledge is best advanced when it combines theory and practice and when we recognize that worthwhile ideas and views evolve from the in-depth study of and appreciation for the work of those who preceded us as well as from our contemporaries. In short, there are no giant leaps in knowledge development or practice in disciplines and fields of study associated with the social sciences. There are incremental steps, often forward, but sometimes backward, that come from synthesizing, integrating, and trying out the ideas or practices of others in different settings or ways. To this end, we were insistent that all chapter authors overtly acknowledge the impact of others on their work by citing and referencing the pertinent research, theoretical, and professional practice literature generously and accurately.

Our sixth objective also reflects a professional bias I have about the field of HPT. It is generally recognized that many of the principles and practices of HPT evolved from the field of instructional technology (IT). Over time, many per- formance technologists have expanded both the principles and practices of HPT, embracing ideas and views from a number of other academic and professional practice fields. However, the pervasiveness of education and training in HPT is substantial in my judgment. This dominance of IT in HPT exists in part for two important reasons. First, many practicing performance technologists and stu- dents of HPT have as their primary professional homes institutionalized

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PREFACE xxiii

programs that have education or training as a first line of business. There are not large numbers of organizations or academic programs with HPT as the sin- gle or even dominant focus. Second, education and training, especially when broadly viewed, are more often than not a part of the intervention set that per- formance technologists often settle upon to address performance issues. This is particularly true when one looks at primary or first-level interventions versus secondary or second-level interventions. Even if training is not a primary inter- vention, it often comes into play as other interventions are implemented. For example, retooling may be a logical choice to solve quality problems with a manufacturing process. However, the personnel responsible for implementing and using the new tooling may need formal or informal training or job aids to be effective. Whether this pervasiveness of education and training in HPT is real or perceived, I believe that it has existed for too long and has in part retarded the development and use of non-education interventions. Perhaps this is epito- mized best by the number of HPT models and publications about HPT practice, including the first two editions of this handbook, that categorize or classify interventions as being of an instructional versus noninstructional nature. For this third edition of the handbook, we have chosen to address this issue by hav- ing parts of the book dealing with interventions designated as “Interventions at the Worker and Work Team Levels” and “Interventions at the Workplace and Organizational Levels.” Four of the sixteen chapters in these two parts deal with some aspect of education and training. The others deal with a wide array of other interventions.

Finally, we had as our seventh objective the development of a brand new part for the handbook. For the first time, the handbook addresses issues related to a core practice of HPT, the gathering and analysis of data, and its transforma- tion to information for use by performance technologists and their clients. We have a number of chapters devoted to performance measurement and assess- ment. We hope this added dimension is valued by our readers and contributes to improving the practice of HPT.

INTENDED AUDIENCES

As with the first two editions of the handbook, we believe that this third edi- tion will appeal to a broad array of readers and users. We anticipate that human performance technology practitioners will use the handbook as their primary reference tool. We also believe that students and faculty in academic programs and those in professional development programs will use it as a textbook.

We anticipate that the ways we have treated and presented interventions will have greater appeal to a number of individuals and groups that are interested

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in performance improvement but come from disciplines and fields other than education and training. We are also hopeful that managers and executives in corporations, government, the military, and public agencies and organizations find that many parts of the handbook resonate with their goals to improve indi- vidual and organizational improvement.

Finally, we are confident that the well-established community of HPT practi- tioners, regardless of their experience and expertise, will find many chapters that challenge their thinking and rekindle their enthusiasm for our field of HPT. There is evidence that in the past the handbook has significantly reinforced the vital- ity and devotion that practicing HPT professionals have for our field, and we hope that this third edition continues to achieve this lofty goal.

OVERVIEW OF THE CONTENTS

Although all of the chapters are new, parts of this third edition of the hand- book resemble the first two editions. Other parts are quite different. As before, we have leading HPT thinkers and doers sharing with the readers their expe- riences and views. We also have some authors who are familiar with HPT but are not mainstream performance technologists. They share with us a variety of perspectives about performance improvement that come from other fields and disciplines that are concerned with quality and effective performance in organizations.

The book itself is divided into seven parts. Some readers will read the book from beginning to end, obtaining a complete and comprehensive view of HPT. Others will be more interested in specific parts that align with their interests and practices. Still others will pick and choose among chapters in different parts of the book, being motivated by particular topics, authors they admire or want to learn from, and so on. The handbook will accommodate all of these approaches.

Part One, “Foundations of Human Performance Technology,” has information about the practice of HPT as well as its more esoteric or academic attributes. The first three chapters paint a clear picture of what HPT is all about. The mid- dle chapters deal with foundational ideas that support and justify practice. The last chapter is a comprehensive overview of the origins and history of the field that will provide readers with a sense of why and how HPT has evolved.

Part Two, “The Performance Technology Process,” covers the main elements of HPT practice. It begins with explanations about strategic alignment, moves on to analysis, design, and change, and ends with evaluation. The symbiotic relationships of analysis and evaluation are made clear, and the importance of evaluation and accountability are evident given the two information-rich chapters that address evaluation issues.

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Part Three, “Interventions at the Worker and Work Team Levels,” is one of two parts that address HPT and related interventions. In Part Three, we have the first four chapters addressing the importance and criticality of instructional interventions. We have five more chapters that address critical interventions in the areas of mentoring, motivation, behavior in organizations, group perfor- mance, and performance support systems. These interventions exemplify prob- lems and quality-improvement initiatives that focus on workers and work teams.

Part Four, “Interventions at the Workplace and Organizational Levels,” is the companion part to Part Three. In Part Four, the focus moves to the workplace and organization. We have chapters that address established as well as new and emerging disciplines and fields of practice that complement and enhance the effec- tiveness of HPT. They include organizational development, learning organizations, knowledge management, communities of practice, workplace design, Six Sigma, and lean manufacturing. The authors strive to explain in detail these associated practices and show their relationships and value in partnering with HPT.

Part Five, “Performance Measurement and Assessment,” presents information- packed chapters on collecting and analyzing data, a core process in HPT. The first chapter addresses issues related to quantitative and qualitative methods, showing the value of each. The next four chapters provide the readers with guid- ance on the mainstay means for collecting HPT data: questionnaires, interview- ing, observing, and content analyses. The next chapter is a comprehensive overview of quantitative data analyses. Part Five wraps up with a treatise on the importance of evidence-based practice in HPT.

Part Six, “Performance Technology in Action,” has much “how to” informa- tion. Several of the chapter authors make up a who’s who of HPT. They share their wisdom and insight on a variety of practices, including transforming from learning to a performance function, partnering with management, project man- agement, leadership in HPT, and consulting. There are two chapters that deal differently with the same topic, ethics. Given the state of affairs in our world today concerning corporate and government waste and malfeasance, these chap- ters seem most pertinent to HPT practice. Part Six ends with a chapter that pro- vides an insider’s view of HPT in practice. It is a military application and shows the power and value of HPT in a large organizational setting that deals with matters of life and death.

Part Seven, “Looking Forward in Human Performance Technology,” presents a set of thought-provoking chapters. The authors challenge conventional think- ing about HPT and help us to look forward, trying to envision the ways HPT may change and adapt to the future. We are provided with alternative ways to both think about and do HPT. Collectively, the authors present cutting-edge ideas and challenges that we must face as we move forward in developing our field of HPT, helping it to meet tomorrow’s needs.

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Given the expanding role of HPT in helping individuals, groups, and organi- zations meet the performance challenges of an ever-changing world, we have strived to reflect the stabilizing attributes of HPT as well as its potential trans- formations. Our new team of editors brings to you, our readers, fresh viewpoints that we hope advance the field and at the same time reflect its long-established strengths and foundations.

February 2006 James A. Pershing Bloomington, Indiana

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ACKNOWLEDGMENTS

Editing the handbook was a team effort. The core team members are thechapter authors who chose to expend the effort and the time to sharewith us in writing their knowledge and expertise about the field of human performance technology (HPT). Writing well is a laborious task, and this tal- ented group of individuals has provided us with thought-provoking as well as valuable “how to” information that will advance the field of HPT. Their involvement, which often required substantive reorganization and rewriting of their chapters in response to reviewer comments and editorial suggestions, was central in helping to produce an integrated volume. I offer to the chap- ter authors my sincere appreciation and hope that the final product meets their expectations.

I also want to thank the seven part editors: Monique Mueller, Jim Hill, Karen L. Medsker, Mark J. Lauer, Jana L. Pershing, Debra Haney, and Darlene M. Van Tiem. This group of distinguished scholars and practicing professionals also constitute the handbook editorial advisory board. All of these individuals pro- vided valued input in identifying and selecting authors, editing the content of chapters, and encouraging and challenging chapter authors to produce their best work. They also provided me with encouragement when I needed it and were very receptive to working with tight timelines and unexpected snafus. My appreciation goes to all seven editorial board members for their dedication and professionalism. I learned a lot from them.

S S

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I want to thank the International Society for Performance Improvement (ISPI) for its sponsorship and support in producing this volume. A special thanks goes to ISPI’s elected leaders, who supported the production of this third volume, represented by ISPI presidents Guy W. Wallace (2003–2004), Donald T. Tosti (2004–2005), and Sivasailam Thiagarajan (2005–2006). Also a special thanks goes to ISPI staff, represented by April Davis, senior director and head of the book-publishing program, and Richard D. Battaglia, executive director. These ISPI elected members and staff provided valued resources and logistical sup- port. Most of all, they granted the editorial board and me complete autonomy as we organized and produced the handbook to the best of our abilities.

Great appreciation goes to my wife, Patricia L. Pershing, and my Indiana Uni- versity graduate assistant Alena R. Treat. Together, these two talented and patient individuals helped me to coordinate and set up systems to deal with the logisti- cal aspects of this project. They also provided careful and thoughtful editing of the entire handbook manuscript. They made it feasible for me to invest the nec- essary time and effort to complete the project. Also, I want to recognize the mate- rial and moral support provided to me by my colleagues, graduate students, and the administration of my academic home, the Department of Instructional Systems Technology, School of Education, Indiana University.

My thanks to the very competent and professional staff at Pfeiffer: David B. Horne, the copy editor, for his careful and thoughtful editing of the handbook man- uscript; Nina Kreiden, who managed the production of the handbook; Leota Hig- gins, senior editorial assistant; Matthew C. Davis, senior acquisitions editor; and Kathleen Dolan Davies, director of development. Their guidance, support, and advice at every step of the production process was valued and appreciated. They are very knowledgeable in their craft and insistent that quality be front and foremost in developing valued publications.

Producing a handbook of this magnitude is a major undertaking in time and effort. Frankly speaking, it is tedious and difficult work. My burdens were signif- icantly lessened because of the input and support I received from the coeditors of the first two editions of the handbook, Harold D. Stolovitch and Erica J. Keeps. As I began working on this third edition, they graciously shared with me their working notes and production process templates as well as numerous insights as to what to expect and how to keep the process moving forward. Throughout the process they were available for consultation and moral support. The capstone of their support was their agreeing to write the foreword to this third edition. Harold and Erica, thank you very much.

J.P.

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S S THE EDITOR AND

EDITORIAL ADVISORY BOARD

THE EDITOR James A. Pershing

Professor Department of Instructional Systems Technology

Indiana University Bloomington, Indiana

EDITORIAL ADVISORY BOARD Part One:

Foundations of Human Performance Technology Monique Mueller

Chief Executive Officer La Volta Consulting

Zurich, Switzerland, and Sitges, Spain

Part Two: The Performance Technology Process

Jim Hill Chief Executive Officer

Proofpoint Systems Los Altos, California

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Part Three: Interventions at the Worker and Work Team Levels

Karen L. Medsker Professor Emerita Human Resources

School of Business Administration Marymount University

Arlington, Virginia

Part Four: Interventions at the Workplace and Organizational Levels

Mark J. Lauer Lead Consultant

Performance Knowledge Incorporated Bloomington, Indiana

Part Five: Performance Measurement and Assessment

Jana L. Pershing Associate Professor

Department of Sociology San Diego State University

San Diego, California

Part Six: Performance Technology in Action

Debra Haney President

Performance Knowledge Incorporated Bloomington, Indiana

Part Seven: Looking Forward in Human Performance Technology

Darlene M. Van Tiem Associate Professor and Coordinator

Performance Improvement and Instruction Design Graduate Program University of Michigan-Dearborn

Dearborn, Michigan

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S S FOREWORD TO

THE FIRST EDITION In Memoriam

Thomas F. Gilbert 1927–1995

Ioffer my foreword in the hope that it can help readers focus the lenses theyuse to look at the Handbook of Human Performance Technology, whichpromises to offer a technology—a science, really—of human performance. At least I have had a lot of time to look at this subject in many different ways.

It has been almost thirty years now since I advertised my first workshop in “performance technology.” At that time, I thought I had developed a sort of sci- entific way to improve human performance in the workplace. And what did I think I meant by that? A philosophy professor who is a friend of mine warned me, “You have a lot of jargon and excitement—but is it really a science, or just an urge?”

“Well, I can get results in the workplace,” I huffed. “Can you ever!” he said. “You get enough people to share your excitement,

and they will improve something!” He did not know how good a point he had made. Since then, I have dis-

covered that job performance and job management are still so primitive that almost anyone can go into the workplace and find ways to improve perfor- mance, to a noticeable extent. An urge and some common sense will do quite well as a start. And why should the “modern” workplace not be prim- itive? It has been around only a hundred years or so. At Ford Motors, they are still using Henry Ford’s original metal-stamping machines on the assem- bly lines, and there were no training development departments when I was born.

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According to my dictionary, a technology is a system that applies the best tech- niques and sciences to a subject matter. Theoretically, we could have a technol- ogy of just about anything—a “cosmohirsutology,” for example: how the heavens determine hair growth. Or perhaps we would prefer “hirsutocosmology”: the way hair growth affects the movements of the stars. No bandwagons of this nature have come along recently, simply because they do not offer much opportunity to make a difference.

Does Human Performance Technology (HPT) pose a greater opportunity? Some economists claim that the best we can do is improve human productivity by no more than 4 or 5 percent, so why waste our precious days with Human Performance Technology? But economists look at large variables that few of us have any control over, like the weather, the aging of capital plants, government regulations, and foreign competition. A technology of human performance, how- ever, focuses on those doing and managing the jobs, and here we find much greater potential for improving performance—the PIP, or the ratio of exemplary performance to the average. I have often discussed this elsewhere, but the rule- of-thumb PIP in the workplace runs about double: the top clerks perform 50 to 75 percent better than the average, and the spread in performance grows as jobs become more complicated. The top performers can usually be emulated because they typically do things more logically and systematically than others. That is why I call them exemplary performers—we can make examples of them. Obvi- ously, then, there is a great opportunity to make huge differences in human per- formance, and not just the 10 or 20 percent improvement that almost any enthusiastic person walking in from outside might bring.

The opportunity is there, but it cannot be seized by our just saying that we have a technology. We must really have one and practice it systematically. If we can all agree that science is at the base of a technology, what are the charac- teristics of science, and does our effort here share them? I will use the character- istics of science to help polish the lenses through which you will be viewing this book.

SCIENCE HAS A CLEAR SUBJECT MATTER

Every science must be clear about its subject matter, and the science of human performance has not always been. From the start, there was an easy assump- tion that the focal part of our subject is human behavior, and this has caused a lot of confusion.

A subject matter has two parts: a focus (the philosophers call this the depen- dent variable) and the controls (they call these the independent variables). A little thought must lead us to abandon human behavior as our focal, dependent

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variable, since we have no interest in changing human behavior for its own sake alone. In fact, the more we think about it, the more we see that our focus is on human accomplishment, the valuable output of behavior, and that be- havior itself is our independent variable. This may be very obvious when we talk about it, but it is not so obvious when we set out to practice our technol- ogy. I believe that the most difficult thing we as performance technologists have to do—or have our clients do—is focus on accomplishments rather than on human behavior.

Get a group of managers or HRD specialists together and ask them to iden- tify the accomplishments expected in some rather simple jobs. You will find that this is not an easy task. Even bus drivers are often expected to move their buses quickly from one point to another (behavior), rather than deposit cus- tomers on time at their destinations (accomplishment). Cities that measure the behavior of their bus drivers tend to have too many customers complain- ing that buses did not stop for them. The following memory aid is about the most useful device I have found to help us distinguish accomplishment from behavior:

Behavior, you take with you; accomplishments, you leave behind.

SCIENCE SIMPLIFIES

In getting us to focus clearly on improving human accomplishments, the con- tributors to this book are also making an effort to contribute to Human Perfor- mance Technology. The old philosophers of science insisted that scientific contributions be evaluated using a three-edged ruler: parsimony, elegance, and utility.

Parsimony, simply put, means stinginess. A good scientific concept should be relieved of any unnecessary baggage. It should never use three ideas to explain something if one idea will do as well. Elegance means that the pieces and parts of a scientific theory fit together coherently and that the science is not a messy jumble of eclectic ideas. Utility simply refers to the scientific contribu- tion’s usefulness—if not in the marketplace today, then at least in the develop- ment of the science.

If we look at the early development of Newtonian physics, we see how closely it adhered to these characteristics. The same is true of Skinner’s rules of reinforcement: they explain the development of behavior patterns with great parsimony, elegance, and utility.

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SCIENCE IS GROUNDED IN MEASUREMENT Acceptable evidence about performance must rely on measurement. If science does nothing else, it measures, and we must become very good at measuring human performance. As a general rule, our clients in the workplace are not good at it, and here is where we can be of especially great help. We can have our greatest effects on human performance just by measuring performance correctly and making the information available.

There are three kinds of measurement, and we need them all. Direct mea- sures are measures of quality, quantity, and costs (QQC). Quality measures con- cern such things as accuracy, class (quality beyond mere accuracy), and novelty. Quantity measures concern rate (speed of productivity), volume (where time is not critical), and timeliness. Cost measures concern labor costs, management time, and material costs. Comparative measures, once we know the critical QQC dimensions, can enlighten us by showing variance on performance. True exem- plary performers can begin to suggest the PIP to us—roughly, the ratio of exemplary to average performance. Where exemplary performers are not avail- able to give us estimates of the PIP, we must use our heads and our experience and begin to estimate what is possible. Economic measures are also necessary; direct and comparative measures of performance are not enough. We need to translate these measures into dollar values, or stakes. What is at stake for us in improving human performance? Performance engineers should acquire basic financial skills to become adequate at estimating financial worth. For example, they should know what a load factor is. (This is the number by which we mul- tiply a person’s wage in order to obtain a rough estimate of what it costs an organization to employ the person. If a maintenance specialist in a power com- pany earns $15 an hour, for example, it actually costs the company about three times that hourly amount to employ him—in insurance, benefits, work space, utilities, supervision, training, and so on.)

One device that performance technologists should not use in measuring per- formance is the instrument called the performance appraisal. Look closely at one, and you will see that it is largely concerned with people’s estimates of such vague behavioral traits as initiative, creativity, and attitude. Even if we could estimate those traits reliably, they would be poor correlatives of actual job per- formance. It is much easier to measure job performance directly than it is to rate such presumed correlatives.

SCIENCE IS CAREFUL OF ITS LANGUAGE Physicists are careful when they use words like velocity and speed, because those words mean something slightly different. In the Human Performance Tech- nology business, we need to be careful about some of our basic terms, and we

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can do this without creating jargon. For example, I use the term exemplary per- former, since top or peak performers may have come to be known as such for reasons other than their performance. (Perhaps they buttered up the boss, cheated, worked eighty hours a day, or possessed some sort of genius, but we need not try to make examples of them.) To take another example, I use the word accomplishment because it connotes value. (Outputs can be malodorous and results disastrous.) It would be nice if we could settle on some basic ter- minology that really says what we want it to say.

ENGINEERING SCIENCE FOCUSES ON ITS MOST PROMISING INDEPENDENT VARIABLES

How many kinds of things could influence our achieving exemplary standards of performance? The literature is full of suggestions, from leadership to motivation, from management sensitivity to self-esteem. I have concluded that if we make people’s pay contingent on their performance, tell them clearly what we expect of them and whether they have delivered it, and give them excellent instruction when they need it, then they will mostly rise to exemplary levels of performance, no matter what else we do. If we get the three I’s right—information, incentives, and instructional design—we will have done 95 percent of the job.

I am proud to have written the foreword to the Handbook of Human Perfor- mance Technology. As you read the book, I hope you will stay alert to how well these characteristics of a science have been considered.