Modeling Mastery Performance and Systematically Deriving the Enablers

Modeling Mastery Performance and Systematically Deriving the Enablers
Workshop New Mexico ISPI 2004 Winter Workshop Albuquerque New Mexico - March 5, 2004 Guy W. Wallace, CPT

Session Administrative Open
Terminal Performance Objectives Able to facilitate a Team of Master Performers to Identify “Areas of Performance” for a job or process Model “Mastery Performance” and perform a preliminary gap analysis Select the “Enablers Categories” to be analyzed Systematically derive the “Enablers Requirements” of Mastery Performance Session Agenda 9:00 – Intro & Overviews & Orientations 9:45 – Areas of Performance and an application exercise ...and a 10 minute break 11:15 – Performance Modeling and an application exercise ...and a 30 minute break for lunch 1:30 – Enabler Categories and an application exercise 2:30 – Enabler Analysis and an application exercise 4:00 – Session Summary, Q&A and Evaluations 4:30 – Session End

Workshop Map Workshop Open and Kick-off
Analysis Process – Introduction & Orientation Performance Modeling Systematically Deriving the Enablers Workshop Summary and Close = Application Exercises

Guy W. Wallace, CPT Guy W. Wallace has been in the T&D field since 1979 and a training and performance improvement consultant since His clients over the years have included many of the Fortune 500, plus NASA, BP, Novacor, Opel, and Siemens. He has analyzed and designed/ developed training and development for almost every type of business function and process. He is the author of three books, more than 50 articles, and has presented more than 50 times at international conferences and local chapters of ISPI, ASTD, and at IEEE, Lakewood Conferences, the Conference on Nuclear Training and Education, and at the Midwest Nuclear Training Association. He has served on the ISPI Board of Directors as the Treasurer on the Executive Committee (1999–2001) and later as the President-Elect for , and as President for Guy’s biography was listed in Marquis’ Who’s Who in America in He was designated a Certified Performance Technologist in 2002.

PACT Processes & K/S Analysis
An overview and details on the PACT Processes for T&D/learning/Knowledge Management… …Performance Modeling & K/S Analysis Recipient of ISPI’s 2002 Awards of Excellence in Instructional Communications

Session Participant Poll
What is your function’s role? HPT and/or ISD What, in your ISD/HPT function, is your role? Leadership or Management/Supervisory or Individual Contributor What is the number of ISD/HPT staff in your ISD/HPT function? Less than 5 Between 5 and 10 Between 10 and 50 Between 50 and 100 More than 100 How many distinct customer segments does your ISD/HPT function serve? Only 1 Between 2 and 5 Between 10 and 20 More than 20

The Big Picture of EPPI Enterprise Process Performance Improvement
L Performance Model < = Process Map Leadership Systems & Processes Core Systems & Processes Support Systems & Processes Attributes/Values Knowledge/Skills Human Asset Requirements Environmental Asset Requirements Facilities/Grounds Tools/Equipment Materials/Supplies Data/Information Budget/Headcount Culture/Consequences 1- The Process The process must be designed for efficient delivery to meet stakeholder metrics What is required depends on both the performance requirements and the human capabilities available 2- The Human Asset Enablers Humans bring several types of attributes/ capabilities to the enterprise processes that they work in and to the environmental assets that they work with; these are Awareness, knowledge, skills Physical attributes Psychological attributes Intellectual attributes Values 3- The Environmental Asset Enablers The environment provides several types of enabling assets for the humans to use while performing the job; these include Data/Information Materials/Supplies Tools/Equipment Facilities/Grounds Budget/Headcount Culture/Consequences What is required depends on both the performance requirements and the environmental supports available What is required depends on both the performance requirements and the human capabilities available

Another View of the Enterprise Organizations as Systems
Systems are Bundles of Processes Enterprise L LEVEL 1 Tier 1 C S © 2002 EPPIC, Inc.

Systems are Bundles of Processes L C S Enterprise L LEVEL 1 Tier 1 C S Communications Function L Human Resources Function LEVEL 2 Tier 1 C S Compensation & Benefits Dept. L LEVEL 3 Tier 1 C S EPPI - Tier 1 View © 2002 EPPIC, Inc.

There are 3 Types of Processes within a Systems-bundle
A System is composed of a bundle of processes, owned by a function Upstream Processes 1 - Leadership Processes lead the system/process-set 2 - Core Processes are the reason for being 3 - Support Processes exist to enable Leadership L Core C S Support Outputs Inputs measures Downstream Processes © 2002 EPPIC, Inc.

Every Enterprise System and Process has Stakeholder Requirements to Meet
One view of a…Stakeholder Hierarchy Government Shareholders/Owners Board of Directors L C S Executives measures In-Process Measures Management Outputs Inputs Customers measures Employees Output Measures Suppliers Downstream Processes Community ©2002 EPPIC, Inc.

Map and/or Model the Critical Processes
Outputs Inputs Upstream Processes Process Map View Performance Model View Area of Performance: Key Outputs Tasks Roles/Responsibilities 1 2 3 4 5 Typical Perf . Gaps Prob. Gap Cause dE dK dI Role: < = Role Area of Performance: Key Outputs Tasks Roles/Responsibilities 1 2 3 4 5 Typical Perf . Gaps Prob. Gap Cause dE dK dI Role: < = Role Role 1 Role 2 Role 3 Role 4 Role 5 Downstream Processes EPPI - Tier 2 View

2 Types of Process Enablers Human and Environmental
EPPI - Tier 3 View (Psychological, Physical, Intellectual) Knowledge/Skills Attributes/Values L Human Asset Enablers C Environmental Asset Enablers S Facilities Consequences $$$ L C S Data & Information Materials & Supplies Machinery, Equipment, & Tools © 2002 EPPIC , Inc.

Human Assets Performance-based Human Asset Requirements > =
Knowledge/Skills Process Map Performance Model > = Attributes/Values Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements

Improvements to HAM Systems
HAMS – Human Asset Management Systems Performance-based Human Asset Requirements Human Asset Requirements Environmental Asset Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Knowledge/Skills Process Map Performance Model > = Environmental Asset Requirements Environmental Asset Requirements Attributes/Values Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset HAM Systems & Processes Organization & Job Redesign Systems Staffing & Succession Planning Systems Recruiting & Selection Systems Training & Development Systems Performance Appraisal & Management Systems Compensation & Benefits Systems Reward & Recognition Systems Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements The HAMS are typically HR or Human Capital Systems, and their specific configuration varies across an enterprise

Culture/ Consequences Tools/Equipment/ Machinery
Environmental Assets Performance-based Environmental Asset Enablers Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Data/Information Materials/Supplies Process Map Performance Model > = Facilities/Grounds Culture/ Consequences Tools/Equipment/ Machinery Budget/Headcount Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements

Improvements to EAM Systems
EAMS – Environmental Asset Management Systems Performance-based Environmental Asset Enablers Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Human Asset Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Data/Information Materials/Supplies Process Map Performance Model > = Facilities/Grounds Culture/ Consequences Tools/Equipment/ Machinery Budget/Headcount Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Environmental Asset Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements Requirements EAM Systems & Processes Information & Data Systems Materials & Supplies Systems Tools & Equipment Systems Financial Systems Facilities & Grounds Systems Culture & Consequence Systems The EAMS are non-HR systems and their specific configuration varies across an enterprise

Areas of Performance - AoPs
Segment process/performance into “chunks” for analysis efforts Take a process/performance orientation versus topical/ content orientation To segment, look first for linear process flows or “cycles” within the performance scope and then all other job/performance “components” Cycles within cycles Separate cycles Example AoPs Payroll, Banking, and Financial Management G. Staff Recruiting, Selection, and Training Work Scheduling A. B. Progressive Discipline Store Operations Customer Service Inventory TMC Stores Store Manager PERFORMANCE MODEL Areas of Performance C. D. E. F. ©1999 CADDI, Inc. Example Example Example Example AoPs AoPs Payroll, Banking, and Financial Management G. Staff Recruiting, Selection, and Training Work Scheduling A. B. Progressive Discipline Store Operations Customer Service Inventory TMC Stores Store Manager PERFORMANCE MODEL Areas of Performance C. D. E. F. TMC Stores TMC Stores Store Manager Store Manager PERFORMANCE MODEL PERFORMANCE MODEL Areas of Performance Areas of Performance A. A. B. B. C. C. Staff Staff D. D. E. E. Recruiting, Recruiting, Staff Staff Recruiting, Recruiting, Work Work Work Work Progressive Progressive Progressive Progressive Store Store Customer Customer Selection, Selection, Selection, Selection, Scheduling Scheduling Scheduling Scheduling Discipline Discipline Discipline Discipline Operations Operations Operations Operations Store Store Customer Customer Service Service Service Service and Training and Training and Training and Training F. F. G. G. Payroll, Payroll, Inventory Inventory Inventory Inventory Banking, and Banking, and Banking, and Banking, and Payroll, Payroll, Management Management Management Management Management Management Financial Financial Financial Financial Management Management ©2002 EPPIC, Inc. AKA: Key result areas, accomplishments, duties, etc.

Performance Segments Goal: Minimize overlaps and gaps of AoP “content segments” Example Segmentation Bad Good AoP AoP AoP AoP AoP AoP AoP AoP AoP AoP No gaps or overlaps Gaps Overlaps

Processing a Group When identifying AoPs
Start by wasting a flip chart page First thing said gets written, and then ask the group to react after a “stake has been planted.” Then try to “plant” another one…upstream or downstream Ask for/listen for Outputs/deliverables/outcomes/results Key performance cycles Natural breaks in work flow Clean-up Minimize gaps/overlaps Sequence AoPs last

Example TMC Stores Store Manager PERFORMANCE MODEL
Areas of Performance Staff Recruiting, Selection, and Training A. B. Work Scheduling C. Progressive Discipline Store Operations D. E. Customer Service F. Inventory Management Payroll, Banking, and Financial Management G. ©2002 EPPIC, Inc.

Demo… Always Airborne Airlines
Cabin Attendant PERFORMANCE MODEL Areas of Performance A. B. C. D. E. F. G. H. I. ©2002 EPPIC, Inc.

Exercise… Segmenting the AoPs
Work in teams of two as assigned to construct a create an AoP framework for a Summer Job for each person. Work in parallel except on step 2. # Step Minutes Start Stop 1 Brainstorm past Summer Jobs 5 — Select other person’s Summer Job and identify the AoPs 2 10 each — — 3 Post each on Flip Chart page 5 — 4 Readouts (x 2 minutes as called upon ) 10 5 General debrief (10 minutes) Start time: Stop time:

Exercise… Segmenting the AoPs
Example: Self-test Question: Does everything about this performance fit within one of these AoP “buckets”?

Exercise Debriefing… Segmenting the AoPs

Performance Modeling Enabler Matrices Performance Models
Facilitates the systematic derivation of the Human & Environmental Asset Enablers Human Asset Enablers Knowledge/skills Physical Attributes Psychological Attributes Intellectual Attributes Personal Values Environmental Asset Enablers Data/information Materials/supplies Tools/equipment Facilities/grounds Budget/headcount Culture/consequences

PM- Performance Model Areas of Performance (AoPs)
AoPs segment the performance into chunks Linear performance chunks Nonlinear performance chunks Example: Convenient Store Manager TMC Stores Simple Example Store Manager PERFORMANCE MODEL Areas of Performance A. B. C. D. E. Staff Staff Recruiting, Recruiting, Work Work Progressive Progressive Store Store Customer Customer Selection, Selection, Scheduling Scheduling Discipline Discipline Operations Operations Service Service and Training and Training F. G. Payroll, Payroll, Inventory Inventory Banking, and Banking, and Management Management Financial Financial Management Management ©2002 EPPIC, Inc.

EPPI Analysis Method #2 Performance Model Chart
The Performance Model establishes “mastery performance” as the benchmark criterion The Most Convenient Stores The Most Convenient Stores Store Management Store Management Performance Model Performance Model Area of Performance: • Key Outputs - Measures Key Tasks Probable Gap Cause(s) dE dK dI Roles/Responsibilities = deficiency - Environment deficiency - Knowledge/skill deficiency - Individual attribute/ value Role: 1 = 2 = 3 = 4 = Typical Performance Gaps Form Design ©2002 EPPIC, Inc. 4/99 Page 1 Area of Performance: • Key Outputs - Measures Key Tasks Probable Gap Cause(s) dE dK dI Roles/Responsibilities = deficiency - Environment deficiency - Knowledge/skill deficiency - Individual attribute/ value Role: 1 = 2 = 3 = 4 = Typical Performance Gaps Form 4/99 Page 1 A. Staff Recruiting, Selection, and Training A. Staff Recruiting, Selection, and Training Deficiency Deficiency dE=Environment dE=Environment • • New staff hired New staff hired • • Identify need for Identify need for ü ü ü ü • • Too few candidates Too few candidates • • Poor recruiting Poor recruiting dK dK dK=Knowledge/skill dK=Knowledge/skill - - Timely Timely additional staff and additional staff and • • dI=Individual dI=Individual - - Qualified Qualified complete internal complete internal Local economy Local economy dE dE paperwork paperwork • • Poor choice Poor choice • • Neglect to check Neglect to check dK dK attribute/value attribute/value • • Create and place Create and place ü ü references references local ads local ads • • References do not References do not dE dE Key Outputs and Key Outputs and • • Select candidates for Select candidates for ü ü provide key provide key Probable Gap Cause(s) Probable Gap Cause(s) Metrics or Measures Metrics or Measures interviewing interviewing information information Identifies most likely causes Identifies most likely causes Describes what is Describes what is • • Example Interview and select Interview and select ü ü for each typical for each typical candidates for offer candidates for offer produced from produced from • • Make hiring offer(s) Make hiring offer(s) ü ü performance issue/ performance issue/ doing the job tasks doing the job tasks • • Complete paperwork Complete paperwork ü ü deficiency deficiency and identifies key and identifies key to fill the position to fill the position performance performance Typical Performance Gaps Typical Performance Gaps measures of each measures of each Identifies any typical ways Identifies any typical ways output output the output or task does not the output or task does not meet performance meet performance Key Tasks Key Tasks standards standards Describes the key Describes the key activities needed to activities needed to 1 = District Manager 1 = District Manager Roles/Responsibilities Roles/Responsibilities produce the outputs produce the outputs 2 = Store Manager 2 = Store Manager Clarifies who is typically Clarifies who is typically 3 = Assistant Manager 3 = Assistant Manager 4 = Clerk 4 = Clerk responsible for performing responsible for performing the tasks the tasks ©2002 EPPIC, Inc. ©2002 EPPIC, Inc. 14

The Most Convenient Store
Area of Performance: A. Staff Recruiting, Selection, and Training • Key Outputs - Measures Key Tasks Probable Gap Cause(s) dE dK dI Roles/Responsibilities = deficiency - Environment deficiency - Knowledge/skill deficiency - Individual attribute/ value Role: 1 = District Manager 2 = Store Manager 3 = Assistant Manager 4 = Clerk Typical Performance Gaps The Most Convenient Store Store Manager Performance Model Form Design ©2002 EPPIC, Inc. Page 1 Identify need for additional staff and complete internal paperwork Create and place local ads Select candidates for interviewing Interview and select candidates for offer Make hiring offer(s) Complete paperwork to fill the position New staff hired - Timely - Qualified continued ü Too few candidates Poor choice Poor recruiting Local economy Neglect to check references References do not provide key information

Analysis Questions AoPs and the Performance Model
Performance Data Question(s) to Ask Areas of Performance What are the major phases or elements of the performance or process? What are the chunks of the job? How can we break this performance up into some logical segments (somewhere between five to nine is ideal)? Outputs Produced What are the key deliverables/outputs produced within this Area of Performance? What is left over when you are finished performing the tasks? Measures What are the measures/metrics that can be applied to the output? How can you tell a good output from a bad one? Standards What are the standards of acceptable performance given those measures? Tasks Performed What are the tasks performed to produce those outputs? Roles and Responsibilities Who is involved in this performance? For example, whose task responsibility is it to E = Execute S = Support I = Input to R = Review/give feedback A = Approve/reject Typical Performance Gaps Given those measures and standards, where do the performer’s outputs typically fall short in meeting the expectations?

Analysis Questions AoPs and the Performance Model -continued
Performance Data Question(s) to Ask Probable Gap Cause(s) dE (Environment) Is the cause of the performance gap due to a lack of environmental supports? Information/data Organizational structure Procedures/policies Tools/equipment Materials Task interference Feedback Consequences dK (Knowledge/ Skill) Is the performance gap caused by a lack of the performer’s knowledge and/or skill? dI (Individual Attribute/ Value) Is the performance gap caused by a poorly selected individual who has neither the physical, psychological, and/or intellectual attributes and/or values to perform or learn/acquire the skill?

Targeting the Gap Analysis
Performance Model Area of Performance: Quarterly and End of Phase Project Reporting • Key Outputs dE dK dI Probable Gap Cause(s) Key Tasks - Measures Typical Performance Gaps • Late • Input is late • ABC Report - Done quarterly Complete 1. Draft report 2. Conduct review 3. Finalize report dE • Incomplete • Required data is unavailable dE • Too busy dE • Incomplete • Don’t know which components are required • XYZ Report - Timely Complete Accurate 1. Generate XYZ data 2. Review and forward dK • Inaccurate data were wrong • Numbers supplied dE dE = deficiency - Environment dK Knowledge/skill dI Individual attribute/value Codes: 2002 EPPIC, Inc. REPRODUCTION WITHOUT WRITTEN AUTHORIZATION IS STRICTLY PROHIBITED

Demo… Performance Modeling
AAA Cabin Attendant - Areas of Performance Pre-flight Boarding Passengers In-flight Services Customer Services Emergency Responses “De-Boarding” Passengers Postflight Training and Development

Exercise… Performance Modeling
Work in same teams of two to construct a Performance Model chart for the other person’s Summer Job AoP framework created earlier. Work in parallel except on step 2. # Step Minutes Start Stop 1 Select an AoP of partner’s 10 — Ask questions and complete PM chart on 8.5x11 paper 2 15 each — 3 Post data on Flip Chart page 5 — 4 Readouts (x 2 minutes as called upon ) 10 5 General debrief (10 minutes) Start time: Stop time:

Roles/Responsibilities Typical Performance Gaps
Performance Model Areas of Performance: Key Outputs -Measures Key Tasks Roles/Responsibilities Typical Performance Gaps Probable Gap Cause(s) dE dK dI 1 2 3 4 Codes: 1= 2= 3= 4= dE = deficiency – Environment dK = deficiency – Knowledge/skill dI = deficiency – Individual attribute/value Page 21

Exercise Debriefing… Performance Modeling

Culture/ Consequences
Enabler Categories Knowledge/Skills Attributes/Values Process Map Performance Model < = Data/ Information Facilities/ Grounds Materials/ Supplies Culture/ Consequences Tools/ Equipment Budget/ Headcount

Deriving the Human Asset Enablers
There are two kinds of human asset enablers Knowledge/skills Attributes/values The human asset enablers are systematically derived from the Performance Model Human Asset Requirements Knowledge/Skills Attributes/Values Process Map < = Performance Model © 2002 EPPIC, Inc.

Human Asset Requirements Knowledge/Skill Categories*
1. Company Policies/Procedures/ Practices/Guidelines 2. Laws, Regulations, Codes, Agreements, and Contracts 3. Industry Standards 4. Internal Organizations and Resources 5. External Organizations and Resources 6. Marketplace Knowledge 7. Product/Service Knowledge 8. Process Knowledge 9. Records, Reports, Documents, and Forms 10. Materials and Supplies 11. Tools/Equipment/Machinery 12. Computer Systems/Software/Hardware 13. Personal/Interpersonal 14. Management/Supervisory 15. Business Knowledge and Skills 16. Professional/Technical 17. Functional Specific Category: ABC Category: XYZ Category: Tools/Equipment Knowledge/Skill Matrices Category: Records/Reports * Plus the knowledge/skill of performance outputs and tasks and roles/responsibilities from the Performance Model ©2002 EPPIC, Inc.

Human Asset Enablers - Knowledge/Skill Matrix
F E D C B A Depth A/K/S Volatility H/M/L Difficulty Criticality Select/ Train S/T Link to Area of Performance K/S Item Knowledge/Skill Category: <Company/Client Name> <Audience> Knowledge/Skill Matrix A = B = = Criticality/Difficulty/Volatility H High M Medium L Low Depth of Coverage A = Awareness K = Knowledge S = Skill Codes: Form Design ©2002 EPPIC, Inc. <Company/Client Name> <Audience> Knowledge/Skill Matrix Knowledge/Skill Category: Knowledge/Skill Category: Knowledge/Skill Category: AoP AoP AoP AoP Link Link Link Link B A Depth A/K/S G F G F E D C B A Depth A/K/S G F E D C B A Depth A/K/S Link to Area of Performance Link to Area of Performance Link to Area of Performance Select/ Select/ Select/ Depth Depth Depth Depth Identifies the Identifies the segment of segment of G F E D C Train Train Train Criticality Criticality Criticality Difficulty Difficulty Difficulty Volatility Volatility Volatility Depth The level to The level to A B C D E which any which any the job the job K/S Item K/S Item K/S Item S/T S/T S/T H/M/L H/M/L H/M/L H/M/L H/M/L H/M/L H/M/L H/M/L H/M/L A/K/S training & training & where the where the development development knowledge knowledge needs to go needs to go or skill or skill enables enables performance performance Volatility Volatility Volatility Volatility Ranks how often Ranks how often and significantly and significantly the knowledge the knowledge or skill will or skill will change change Difficulty Difficulty Difficulty Difficulty Ranks how difficult Ranks how difficult the item is to learn the item is to learn K/S Item K/S Item K/S Item K/S Item Identifies the Identifies the discrete discrete knowledge knowledge Criticality Criticality Criticality Criticality or skill item or skill item Ranks the Ranks the relationship relationship between having between having the knowledge the knowledge or skill and or skill and performance performance mastery mastery Codes: Link to Area of Performance Criticality/Difficulty/Volatility Depth of Coverage Select/Train Select/Train Select/Train Select/Train Denotes whether Denotes whether A = E = H = High A = Awareness the item is a the item is a B = F = M = Medium K = Knowledge selection criteria/ selection criteria/ C = G = L = Low S = Skill condition or condition or needs to be needs to be D = covered in covered in training & training & development development 15

Human Asset Requirements Attribute/Value Categories
18. Psychological Attributes 19. Physical Attributes 20. Intellectual Attributes 21. Values Category: ABC Category: XYZ Category: Physical Attribute/Value Matrices Category: Psychological ©2002 EPPIC, Inc.

Human Asset Enablers Matrices
AoP Link Identifies the segment of the job where the attribute or value enables performance A/V Item discrete value item Extent The level of organizational effort required to institute the attribute or value Volatility Ranks how often and significantly the attribute or value will change Difficulty Ranks how difficult it is to accommodate Criticality Ranks the relationship between having value and mastery Select/ Accommodate Denotes whether the item is a selection criteria/condition or will be accommodated by organization G F E D C B A H/M/L S/A Link to Area of Performance Attribute/Value Category: <Company/Client Name> <Audience> Attribute/Value A = B = = Criticality/Difficulty/Volatility/Extent H High M Medium L Low Codes: Form Design ©2002 EPPIC, Inc. 15

Environmental Asset Enablers
There are six kinds of environmental asset enablers Data/Information Materials/Supplies Tools/Equipment Facilities/Grounds Budget/Headcount Culture/Consequences The environmental asset enablers are systematically derived from the Performance Model Process < Performance Map = Model Data/Information Materials/Supplies Tools/Equipment Facilities/Grounds Budget/Headcount Culture/Consequences Environmental Asset Requirements © 2002 EPPIC, Inc.

Environment Asset Enabler Categories
22. Data/Information 23. Materials/Supplies 24. Tools/Equipment 25. Facilities/Grounds Budget/Headcount Culture/Consequences Category: ABC Category: XYZ Category: Materials Environmental Asset Matrices Category: Data/Information ©2002 EPPIC, Inc.

Example: Environmental Asset Enabler Matrices
AoP Link Identifies the segment of the job where the data or information enables performance D/I Item discrete data or information item Extent The level of organizational effort required to install/create information item Volatility Ranks how often and significantly information will change Criticality Ranks the relationship between having information and mastery Present/Address Denotes whether supports performance 100 percent as is or must be addressed G F E D C B A H/M/L Difficulty Present/ Address P/A Link to Area of Performance Data/Information Category: <Company/Client Name> <Audience> Data/Information Matrix A = B = = Criticality/Difficulty/Volatility/Extent H High M Medium L Low Codes: Form Design ©2002 EPPIC, Inc. G F E D C B A Extent H/M/L Volatility Difficulty Criticality Present/ Address P/A Link to Area of Performance D/I Item Data/Information Category: <Company/Client Name> <Audience> Data/Information Matrix A = B = = Criticality/Difficulty/Volatility/Extent H High M Medium L Low Codes: <Company/Client Name> <Audience> Data/Information Matrix Data/Information Category: Data/Information Category: Data/Information Category: Extent Extent Extent Extent AoP AoP AoP AoP Link Link Link Link G F E D C B A Extent H/M/L G F E D C B A Extent H/M/L B A Extent H/M/L G F Link to Area of Performance Link to Area of Performance Link to Area of Performance Present/ Present/ Present/ The level of The level of Identifies the Identifies the G F E D C Address Address Address Criticality Criticality Criticality Difficulty Difficulty Difficulty Volatility Volatility Volatility Extent organizational organizational segment of segment of the job where the job where D/I Item D/I Item D/I Item A B C D E P/A P/A P/A H/M/L H/M/L H/M/L H/M/L H/M/L H/M/L H/M/L H/M/L H/M/L H/M/L effort required to effort required to install/create install/create the data or the data or the data or the data or information information enables enables information item information item performance performance Volatility Volatility Volatility Volatility Ranks how often Ranks how often and significantly and significantly the data or the data or information will information will change change Difficulty Difficulty Difficulty Difficulty Ranks how Ranks how difficult the data difficult the data or information or information D/I Item D/I Item D/I Item D/I Item item is to use item is to use Identifies the Identifies the discrete data discrete data or information or information Criticality Criticality Criticality Criticality item item Ranks the Ranks the relationship relationship between having between having the data or the data or information and information and performance performance mastery mastery Codes: Link to Area of Performance Present/Address Present/Address Present/Address Present/Address Criticality/Difficulty/Volatility/Extent Denotes whether Denotes whether A = A = E E = = H = High the data or the data or B = B = F F = = M = Medium information item information item C C = = G G = = supports supports L = Low performance 100 performance 100 D D = = percent as is or percent as is or must be must be addressed addressed 15

Existing Provisioning Systems Assessment
Performance and Human & Environmental Asset Requirements of the Targeted Performance Assess the Existing Systems’ “Outputs as Inputs” to the Targets Performance Requirements Enabler Requirements Provides the Shopping Criteria for Assessment of the “Fit to Need” * From functions/systems such as Recruiting systems, processes, and instruments Job descriptions Etc.

Existing Provisioning Systems Assessment
Provisioning Targets for Assessment Assessment Output TMC Stores Number: Title: Provider: Course Description Primary Delivery Method: GP – Group - paced Classroom Lab 1 One on one S OJT (training) U OJT SP Self Readings/Exercises Web Site Pages CBT Videotape Other Special Requirements for Delivery Equipment Facility Instructor License Requirement Yes No Course Fit Assessment Related Process( es ), Area(s) of Performance, or Tasks Include as Is Use as Source: Materials Attached (e.g., course description) Do not use Continued on Side Two Notes: Enabling Knowledge/Skill Items: Class Size: > 20 10 20 < 10 Depth/Level: Awareness Knowledge Skill (EDP No.______) Current Target Audience: All engineers Course Owner/Contact: Copyright Owner: Licensing Agreement: Phone: Length: Hrs. Pgs Schedule/Frequency: Assessment Form ©2002 EPPIC, Inc. REPRODUCTION WITHOUT WRITTEN AUTHORIZATION IS STRICTLY PROHIBITE D v.1 4/99 Page 1 Existing Materials Interviewing Skills 10342 Existing Systems Assessment Existing Materials Existing Materials HAM Systems & Processes EAM Systems & Processes TMC Stores TMC Stores TMC Stores TMC Stores Interviewing Skills 10342 Assessment Assessment Course Description Course Description Course Description Course Description Number: Number: Number: Number: Title: Title: Title: Title: Provider: Provider: Provider: Provider: 10342 Interviewing Skills Provider Provider Provider Provider Organization & Job Redesign Systems Data & Information Systems Primary Delivery Method Primary Delivery Method Primary Delivery Method: Primary Delivery Method: Primary Delivery Method: Primary Delivery Method: Length: Length: Length: Length: Course Owner/Contact: Course Owner/Contact: Course Owner/Contact: Course Owner/Contact: Resource responsible for delivery Resource responsible for delivery Primary Delivery Method Primary Delivery Method (may be internal or external) (may be internal or external) Primary methods/media used Primary methods/media used GP GP GP GP – – – – Group Group Group Group - - - - paced paced paced paced SP SP SP SP – – – – Self Self Self Self - - - - paced paced paced paced Hrs. Hrs. Hrs. Hrs. Pgs Pgs Pgs Pgs in the training in the training Classroom Classroom Classroom Classroom Readings/Exercises Readings/Exercises Readings/Exercises Readings/Exercises Copyright Owner: Copyright Owner: Copyright Owner: Copyright Owner: Lab Lab Lab Lab Web Site Pages Web Site Pages Web Site Pages Web Site Pages Schedule/Frequency: Schedule/Frequency: Schedule/Frequency: Schedule/Frequency: CBT CBT CBT CBT Licensing Agreement: Licensing Agreement: Licensing Agreement: Licensing Agreement: Staffing & Succession Planning Systems Materials & Supplies Systems 1 1 1 1 - - - - 1 1 1 1 – – – – One One One One - - - - on on on on - - - - one one one one Videotape Videotape Videotape Videotape Depth/Level: Depth/Level: Depth/Level: Depth/Level: S S S S - - - - OJT (training) OJT (training) OJT (training) OJT (training) Other Other Other Other U U U U - - - - OJT OJT OJT OJT Awareness Awareness Awareness Awareness Phone: Phone: Phone: Phone: Special Requirements for Delivery Special Requirements for Delivery Special Requirements for Delivery Special Requirements for Delivery Knowledge Knowledge Knowledge Knowledge Class Size: Class Size: Class Size: Class Size: Skill (EDP No.______) Skill (EDP No.______) Skill (EDP No.______) Skill (EDP No.______) Current Target Audience: Current Target Audience: Current Target Audience: Current Target Audience: Course Owner/Contact Course Owner/Contact Course Owner/Contact Course Owner/Contact Special Requirements for Special Requirements for Special Requirements for Special Requirements for Equipment Equipment Equipment Equipment EXAMPLE Internal resource for registration Internal resource for registration Delivery Delivery Delivery Delivery Facility Facility Facility Facility All engineers All engineers All engineers All engineers > 20 > 20 > 20 > 20 and/or information and/or information Recruiting & Selection Systems Tools & Equipment Systems Identifies anything about the Identifies anything about the Instructor Instructor Instructor Instructor License Requirement License Requirement License Requirement License Requirement Yes Yes Yes Yes No No No No 10 10 10 10 – – – – 20 20 20 20 Other Other Other Other training that limits its capacity, training that limits its capacity, Other Other Other Other < 10 < 10 < 10 < 10 Other Other Other Other delivery, location, etc. delivery, location, etc. Other Other Other Other Course Fit Assessment Course Fit Assessment Course Fit Assessment Course Fit Assessment Related Process( Related Process( Related Process( Related Process( es es es es ), Area(s) of Performance, or ), Area(s) of Performance, or ), Area(s) of Performance, or ), Area(s) of Performance, or Enabling Knowledge/Skill Items: Enabling Knowledge/Skill Items: Enabling Knowledge/Skill Items: Enabling Knowledge/Skill Items: Tasks Tasks Tasks Tasks Training & Development Systems Facilities & Grounds Systems Current Target Audience Current Target Audience Primary audience groups to Related Process( Related Process( Related Process( Related Process( es es es es ), Areas of ), Areas of ), Areas of ), Areas of which the training is delivered Performance, or Tasks Performance, or Tasks Performance, or Tasks Performance, or Tasks Identify job performances Identify job performances Performance Appraisal & Management Systems Financial Systems addressed by the training (see addressed by the training (see the Performance Model) the Performance Model) Compensation & Benefits Systems Culture & Consequence Systems Use as Source Use as Source Use as Source Use as Source Notes: Notes: Notes: Notes: Enabling Knowledge/Skill Items Enabling Knowledge/Skill Items Enabling Knowledge/Skill Items Enabling Knowledge/Skill Items Indicates initial decision Indicates initial decision Identifies supporting Identifies supporting regarding use of this training in regarding use of this training in knowledge/skill items addressed knowledge/skill items addressed the Development/ the Development/ by the training (see the by the training (see the Acquisition Phase Acquisition Phase Knowledge/Skill Matrix) Knowledge/Skill Matrix) Reward & Recognition Systems Include as Is Include as Is Include as Is Include as Is Use as Source: Use as Source: Use as Source: Use as Source: Do not use Do not use Do not use Do not use Materials Attached (e.g., course description) Materials Attached (e.g., course description) Materials Attached (e.g., course description) Materials Attached (e.g., course description) Continued on Side Two Continued on Side Two Continued on Side Two Continued on Side Two REPRODUCTION WITHOUT WRITTEN AUTHORIZATION IS STRICTLY PROHIBITE REPRODUCTION WITHOUT WRITTEN AUTHORIZATION IS STRICTLY PROHIBITE REPRODUCTION WITHOUT WRITTEN AUTHORIZATION IS STRICTLY PROHIBITE REPRODUCTION WITHOUT WRITTEN AUTHORIZATION IS STRICTLY PROHIBITE D D D D v.1 4/99 v.1 4/99 v.1 4/02 v.1 4/99 Page 1 Page 1 Page 1 Page 1 ©2002 EPPIC, Inc.

Exercise… Selecting Enabler Categories
Work in same teams of two to identify the Enabler Categories that would have been appropriate for one of your last 3 projects: Work in parallel except on step 2. # Step Minutes Start Stop 1 List your last 3 projects 2 — Select one partner project and use Category List to Down-select Categories 2 10 each — 3 Document on Handout 3 — 4 Readouts (x seconds if called ) 5 5 General debrief (10 minutes) Start time: Stop time:

EPPI Enabler Categories
Human Asset Enabling K/Ss 1. Company Policies/ Procedures/ Practices/ Guidelines 2. Laws/ Regulations/ Codes/ Agreements/ Contracts 3. Industry Standards 4. Internal Organizations and Resources External Organizations and Resources Marketplace Knowledge 7. Product/Service Knowledge 8. Process Knowledge 9. Records, Reports, Documents, and Forms 10. Materials and Supplies 11. Tools/Equipment/Machinery 12. Computer Systems/Software/Hardware 13. Personal/Interpersonal 14. Management/Supervisory 15. General and Specific Business 16. Professional/Technical 17. Functional Specific Human Asset Enabling A/Vs 18. Psychological Attributes 19. Physical Attributes 20. Intellectual Attributes 21. Values Environmental Asset Enablers 22. Data/Information 23. Materials/Supplies 24. Tools/Equipment 25. Facilities/Grounds Budget/Headcount Culture/Consequences Additional sub and sub-sub-categories can be created for each of the above

Exercise Debriefing… Selecting Enabler Categories

Systematically Deriving Enablers
AoP G AoP F AoP E AoP D AoP C AoP B AoP A AoP A B C D E F G Performance Model 1.D 1.C 1.B K/S Category: 4 K/S Item Link to AoP Crit Diff Vol Dep 1.A K/S Category: 3 K/S Item Link to AoP Crit Diff Vol Dep K/S Category: 2 K/S Item Link to AoP Crit Diff Vol Dep Knowledge/Skill Matrices K/S Category: 1 K/S Item Link to AoP Crit Diff Vol Dep Step 1: Identify and link to AoP Step 2: Remaining columns (Criticality, Difficulty, Volatility, Depth)

AoP G AoP F AoP E AoP D AoP C AoP B AoP A AoP A B C D E F G 1.D Performance Model 1.C 1.B 1.A K/S Category: 4 K/S Item Link to AoP Crit Diff Vol Dep K/S Category: 3 K/S Item Link to AoP Crit Diff Vol Dep K/S Category: 2 K/S Item Link to AoP Crit Diff Vol Dep Knowledge/Skill Matrices Step 1: Identify and link to AoP Step 2: Remaining columns (Criticality, Difficulty, Volatility, Depth)

K/S - Enabler Matrices Example
K/S Item Identifies the knowledge or skill The ABC Company [Target Audience(s)] Knowledge/Skill Matrix Difficulty Ranks how difficult the item is to learn/teach K/S Category: Link to Area of Performance K/S Item Select/ Train Criticality H/M/L Difficulty H/M/L Volatility Depth A/K/S ALL A B C D E F G H H/M/L AoP Link Identifies the portion of the job/function where know-ledge or skill is needed Volatility Ranks how often and significantly knowledge or skill will change Select/Train Denotes whether the item is a selection criteria/ condition or should be addressed by training Depth The deepest level of knowledge or skill the training should provide Form Design 2002 EPPIC, Inc. Page 1 Criticality Rank high, medium, low (H, M, L) the relationship between having the knowledge or skill and successful performance

Performance Model—Posted in Meeting Room AoP A AoP B AoP C AoP D AoP A B C D E F G Knowledge/Skill Matrices Knowledge/Skill Categories K/S Category: 1 K/S Item Link to AoP Crit Diff Vol Dep Step 1: Select first K/S Category 1. Company Policy/Procedures/ Practices/Guidelines Laws, Regulations, Codes, Agreements, Contracts Industry Standards Etc. Step 2: Begin with first AoP and derive K/S items and link to AoP(s) Depending on time, complete the “right side” of the matrix after last K/S Category Step 3: Repeat Step 2 for remaining AoPs Step 4: After completing the category, move to next K/S Category

Performance Model Area of Performance: Key Outputs - Measures Roles/Responsibilities Typical Gaps Gap Causes dE dK dI Tasks If you keep the group focused on the AoPs, you should end up with an empty area in the bottom corner of the matrix Knowledge/Skill Matrix K/S Category: K/S Item Link to AoP S/T Crit Diff Vol Dep

Refers to the AoP within the Performance Model
The ABC Company Account Representative Knowledge/Skill Matrix K/S Category: 1. Company Policies/Procedures Link to Area of Performance Select/ Train S/T Criti-cality H/M/L Diffi- culty H/M/L Vola-tility H/M/L Depth A/K/S Account Representative K/S Item A B C D E F G Order Department Manual EEOC/AA Policy Sales Updates ABC Forms Policy Memos Travel/Entertainment ABC Resource Manual Price List T M H L H M L L/M M K A 2002 EPPIC, Inc. REPRODUCTION WITHOUT WRITTEN AUTHORIZATION IS STRICTLY PROHIBITED

Territory Planning Account Planning
The ABC Company Account Representative Knowledge/Skill Matrix Account Planning K/S Category: 2. Laws/Regulations/Codes Link to Area of Performance Select/ Train S/T Criti-cality H/M/L Diffi- culty H/M/L Vola-tility H/M/L Depth A/K/S Account Representative K/S Item A B C D E F G International Trade Regulations International Tax Laws Interstate Commerce EEOC Fair Employment Laws License Fees ADA Wage/Hour Laws OSHA Robinson/Patman Act T L H H L A K 2002 EPPIC, Inc. REPRODUCTION WITHOUT WRITTEN AUTHORIZATION IS STRICTLY PROHIBITED

Analysis Questions Enabler Matrices -K/S Asset Version
Knowledge/Skill Data Question(s) to Ask Item and Link to Performance Model’s AoPs (For new items): To perform [insert AoP], which [insert K/S category] knowledge/skills do you need? (For items identified earlier): Would you need [insert item] to perform [insert name of next AoP]? S/T: Select/Train Can someone get this job/role without this K/S? (If “yes,” then “T”) Criticality H — M — L How critical is this knowledge/skill to the overall performance? – High – Medium – Low Learning Difficulty How difficult will it be for the learner to acquire this knowledge/skill? Content Volatility How often would training on this K/S need to be revised? Depth of Coverage Required A — K — S How far must the training content go in addressing this knowledge/skill item? A = Awareness level K = Knowledge level S = Skill level

Exercise… Systematically Deriving the Enablers
Work in same teams of two to complete 2 Enabler Matrices charts for 2 Categories for your partner’s Summer Job – but only for 2 AoPs of the Performance Model created earlier. Work in parallel except on step 2. # Step Minutes Start Stop 1 Select categories & 2 AoPs Ask questions and complete EM chart on 8.5x11 paper 2 15 each — 3 Post data on Flip Chart page 5 — 4 Readouts (x 2 minutes as called upon ) 10 5 General debrief (10 minutes) Start time: Stop time:

Enabler Matrix Enabler Category # - Link to Area of Performance
Select/ Select/ Train Train Criticality Criticality Difficulty Difficulty Volatility Volatility Depth Depth K/S Item K/S Item A A B B C C D D E E F F G G S/T S/T H/M/L H/M/L H/M/L H/M/L H/M/L H/M/L A/K/S A/K/S X X Codes: Codes: Link to Area of Performance Link to Area of Performance Criticality/Difficulty/Volatility Criticality/Difficulty/Volatility Depth of Coverage Depth of Coverage H = High H = High A = Awareness A = Awareness M = Medium M = Medium K = Knowledge K = Knowledge L = Low L = Low S = Skill S = Skill Form Design ©2002 EPPIC, Inc. Page 1 Page 1

Exercise Debriefing… Systematically Deriving the Enablers

The Big Picture of EPPI Enterprise Process Performance Improvement
L Performance Model < = Process Map Leadership Systems & Processes Core Systems & Processes Support Systems & Processes Attributes/Values Knowledge/Skills Human Asset Requirements Environmental Asset Requirements Facilities/Grounds Tools/Equipment Materials/Supplies Data/Information Budget/Headcount Culture/Consequences 1- The Process The process must be designed for efficient delivery to meet stakeholder metrics What is required depends on both the performance requirements and the human capabilities available 2- The Human Asset Enablers Humans bring several types of attributes/ capabilities to the enterprise processes that they work in and to the environmental assets that they work with; these are Awareness, knowledge, skills Physical attributes Psychological attributes Intellectual attributes Values 3- The Environmental Asset Enablers The environment provides several types of enabling assets for the humans to use while performing the job; these include Data/Information Materials/Supplies Tools/Equipment Facilities/Grounds Budget/Headcount Culture/Consequences What is required depends on both the performance requirements and the environmental supports available What is required depends on both the performance requirements and the human capabilities available

Performance and Human & Environmental
HAM Systems & Processes Organization & Job Redesign Systems Staffing & Succession Planning Systems Recruiting & Selection Systems Training & Development Systems Performance Appraisal & Management Systems Compensation & Benefits Systems Reward & Recognition Systems Performance and Human & Environmental Asset Requirements of the Targeted Performance Performance Requirements Enabler Requirements Provides the Shopping Criteria for Assessment of the “Fit to Need” EAM Systems & Processes Information & Data Systems Materials & Supplies Systems Tools & Equipment Systems Financial Systems Facilities & Grounds Systems Culture & Consequence Systems

Culture/ Consequences
Enabler Categories Knowledge/Skills Attributes/Values Process Map Performance Model < = Data/ Information Facilities/ Grounds Materials/ Supplies Culture/ Consequences Tools/ Equipment Budget/ Headcount

Enterprise Process Performance Improvement Consultancy
EPPI is… Enterprise Process Performance Improvement and EPPIC is the Enterprise Process Performance Improvement Consultancy

Additional References/Resources
EPPI White Paper and Presentation Performance Modeling & Human Asset Enabler Analysis Lean-ISD via the PACT Processes for Training & Development Lean-ISD White Paper PACT Facilitation How to Build a Training System That Won’t Burn Down The Training Factor of the Quality Equation Technology Transfer Using the PACT Processes for T&D Balancing Conflicting Stakeholder Requirements Continuous Improvement and Training Managing Human Assets Using a Group Process to Create Models and Matrices “Gopher” more at eppic.biz see Resources Tab at

Modeling Mastery Performance and Systematically Deriving the Enablers

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