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Paper Title: Successful people and organizational development in a service
company: the processes, results and the underpinning guidance framework.
Authors: Kesiena Mercy Clement-Okooboh and Professor Bill Olivier
Affiliation: University of Bolton
Institute for Educational Cybernetics
Corresponding author: [email protected]
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Abstract
Purpose
This paper presents a work-based action research case study undertaken in a national branch of a large multinational company to help move towards its strategic objective of becoming a learning organization.
Design/methodology/approach
It describes how training programs in the organisation were enhanced through a series of organisational processes and practices to become integrated with workplace learning. This paper draws on the evaluation and learning organization literature to present the linkages made in practice between the training process, procedures and the business goals.
Findings
Findings in the literature identified the varying impact of training on different stakeholders and these were used to integrate higher levels of evaluation into a work embedded feedback loop not only to improve training programs, but to transition towards a learning organization that is adaptive to its changing operating environment.
Social/Practical implications
This case study’s value lies in its proposal of a guidance framework generalised from the concrete instance of implementing post-training performance support, that can be used to enable the creation of a learning organization, a task that has been found difficult to do in practice.
Originality/value
This case study’s value presents a widespread perspective in providing a concrete instance of adopting training to enhance performance in the organization thus enabling the creation of a learning organization, a task found difficult to do in practice.
Keywords:
Learning organization; higher-level evaluation; training evaluation; feedback loop;
training; informal learning; work-based learning
Article Classification: Working Paper
(239 words, including keywords and Classification)
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Introduction
This work-based action research study presents an overview of the organizational
context, the aims and objectives, the research questions and action research cycles that
constituted my work-focused PhD. It explores how this study identified four
approaches to successful people and organizational development in a service industry.
The first needs based approach centers on meeting individual, unit and organisational
needs, whilst delivering immediate and future benefits to our clients.
The second performance enhancement approach focuses on the need to enhance
organisational performance of individuals and teams through transfer of knowledge,
skills and attitudes gained from training programs to the workplace. The measure of
success of a training program lies in determining the changes in work place behavior,
unit performance enhancement, and customer satisfaction.
The third informal learning approach introduces informal workplace learning, using
the 70:20:10 framework and performance support into the work-based.
Finally, the fourth evaluation and feedback approach involves summarizing and
communicating the findings and results of the evaluation to both internal and external
stakeholders, to establish the benefits of what has been learned and what further
learning is then needed.
In summary, the needs based approach drives the formal and informal learning;
performance enhancement seeks to ensure this is carried through into practice;
evaluation establishes the extent to which this has happened; the evaluation results
feed into further learning and improved performance.
Organizational Context
The context of this case study is in an energy & utilities company, based in Dublin
operating across the Republic of Ireland and Northern Ireland, with over 350
employees. Its parent company is a large French multinational with operations in 42
countries. The company provides solutions to support the sustainable growth of cities
and businesses. Two-thirds of its’ workforces are technicians and engineers.
Aims and Objectives
At the outset of this study then, there were two major, open and interrelated questions
facing the company:
1. How to achieve its strategic aim of becoming a “Learning Organization”
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2. How to achieve the “Engineers Ireland CPD Accreditation”
The goal of this work-focused action research project was then to facilitate the
strategic transition of this company from a training-based one towards a full learning
organization.
Background of the study
The study stemmed from the evaluation of three training courses, namely supervisory
management, certified energy management and boiler operative accreditation scheme
in the organisation. The reason for selecting only three training courses to be
evaluated at these higher levels was because it is not practical to evaluate every course
at these levels. These three courses were deemed ideal for evaluating at the results
level of the Kirkpatrick model because they were expensive, strategic and
operationally focused (Phillips, 2007). According to Phillips (2007) he asserts, “Only
a few select programs should be the subject of evaluation at the ROI level”. The
purpose of the study was to address the evaluation of its training programs to achieve
a sustained performance improvement of its process that adds value to the
organisation. Evaluation at the different levels is an important influence in training.
For performance improvement to be achieved, learning and development practitioners
must first identify the reason for evaluating training that ultimately leads to a high
performance culture. This led to the focus of the four approaches that included other
factors like mentoring, informal learning and performance support aimed at achieving
sustained performance improvement.
The Four Approaches
An important issue informed the four approaches. For the evaluation of training to be
part of a dynamic process in which “sustained performance results” can be achieved it
has to be accepted as an organisational challenge (Brinkerhoff, 2005).
As well as ensuring that appropriate training is provided, the critical evaluation
measures employed in all four approaches also enabled the impact of the training on
performance of employees and the work unit to be enhanced through additional
workplace measures. Evaluation was also extended to include informal work-based
learning in the evaluation and feedback loop, thus moving from the evaluation of
training, to the evaluation of learning as a whole.
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First Approach: Needs based
The first approach required getting line management involvement in the learning
process. The mechanisms put in place included line managers and employees
attending pre-training meetings where a unit’s operational goals and the employees
corresponding learning needs are established. The first step was to identify the needs
base, as this drives both the required training and the evaluation process, as the needs
of the different stakeholders involved provide the evaluation criteria.
Training measurement and evaluation can be a painstaking task for HRD
professionals. The aim of measurement and evaluation is to continuously improve the
training interventions. The need to determine the impact of training programs led to a
review of the training evaluation literature. It became clear that the Kirkpatrick
Training Evaluation method (Kirkpatrick, 1959) was the most widespread in use, and
that a number of others were variations on this approach (Hamblin, 1974; Phillips,
1996; Holton, 2005; Brinkerhoff, 2003). To evaluate both individual and unit
performance, it was necessary to establish both the unit’s unmet or insufficiently met
goals, the tasks it would need to perform to achieve them, and the corresponding
needs of the training delegates would be in order to perform the required tasks. In
establishing a process for making effective use of the evaluation data being gathered,
it became clear that their primary function was to provide a feedback loop both to
help assess whether the goals, as set out in the pre-course discussion meetings, have
been met, and to enhance the training and learning processes themselves. In
attempting to examine the impact of our learning and organisational development
practices, a critical early finding from the evaluation of a selection of our training
programmes was that while 80 per cent of training delegates could successfully repeat
what they had learned, relatively few, approximately 20 per cent, were able to
translate this into changed performance in the workplace. This confirms a
corresponding gap, identified in the literature, between the learning gained from the
training, and its transfer to the workplace (Baldwin and Ford, 1988, p.63; Detterman
and Sternberg, 1993; Saks and Belcourt, 2006). An important point of debate in the
literature indicates a general lack of higher-level evaluation. Kirkpatrick and
Kirkpatrick (2006) highlights that “Evaluating results, Level four, provides the
greatest challenge to training professional” (p. 69). Kirkpatrick further (2007)
reiterated, “the four levels are well known and poorly implemented” (p, 4). There is a
consensus in the literature on the evaluation challenges. According to Sugrue and
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Rivera (2005) their ASTD review of trends in workplace learning and performance,
training evaluations occur in organizations at the following percentages: level one
(reaction of learners) 91%; level two (learner knowledge) 54%; level three (transfer of
learning on the job) 23%; level four (impact of learning on the business) 8%; and
level five (return on investment) 3%. The reason for the low evaluation rate at the
higher levels can be linked to the findings of Devins and Smith (2013). They argue
that line managers perception of evaluating at higher levels may seem too time-
consuming and of minimal interest. According to Brinkerhoff (2006), “When
managers support training and learners, it works. When they do not, it does not.”
Given these findings, in order to address the issue of taking this less travelled full
evaluation route, it is essential to begin with a description of the purpose of evaluating
learning programs and their benefits to organizations. Many studies in training
evaluation have shown the need for measurement and evaluation both to account for
training investment and to drive organizational results. In order to convince
organizational leaders that learning programs are effective, the need for accountability
has led learning professionals to embark on measurement and evaluation of
organizations training. This feedback process comprises both qualitative and
quantitative as well as financial and non-financial data (Philips, 2010).
Second Approach: Performance Enhancement
The second approach identifies the aspects of the evaluation process that feeds into
improved performance. Learning and development programs incorporate a huge
investment from a company’s perspective (Calhoun et al, 2006). To thrive in their
competitive ventures, organisation leaders must be able to change and adapt to the
marketplace (Calhoun et al, 2006). To show how their strategies contribute to
improving business results, learning and development professionals need to
demonstrate that they own the process before, during and after the learning initiatives
employed (Calhoun et al, 2006). Achieving this purpose is to define their programs’
objectives in business terms.
It is well established that half of corporate expenditure on training is wasted, because
the training of employees is undertaken far too long before the first opportunity
trainees have to apply the skills and knowledge on the job (Cross, 2007). Kirwan
(2009; 2013) found that between1% and 4% of payroll cost is spent on formal
learning and development in Ireland, but only between 34% of this investment is
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applied on the job by employees after training (Saks and Belcourt, 2006). Taking into
consideration the complexity of evaluation in an organizational context, a systems
thinking approach was adopted to determine the other organizational factors that may
have both contributed to the results and may have also themselves been accelerated
through the learning transfer and change in behavior. To foster best practices for
learning effectiveness within organizations, which ultimately leads to performance
enhancement, organizations need to carry out training evaluation (Kraiger et al., 2004;
Collins, 2002). In other to determine the effectiveness of learning and development
practices, measurements of these practices must be conducted. Training outcomes are
determined by a combination of mechanisms that influence how people process
information, focus their attention and direct their effort during learning (Ackerman &
Kanfer, 2004; Ackerman et al, 1995; Kanfer et al, 1996; Kozlowski, Toney, et al.,
2001). According to Robinson (2007), “training is only one method of improving an
organizations performance”. However, Cross (2010), in his summary of learning in
the 21st century workplace, demonstrates convincingly that “work and learning are
converging into the new conceptual work” This tells us that work and learning cannot
be separated from each other. This interdependence has given rise to informal
learning and the 70:20:10 framework that will be discussed in the third approach.
Developing and measuring the delegates’ skills depends on other inherent
organisational factors and initiatives namely, performance support, mentoring,
informal learning, and other initiatives like development plans, and their associated
measurement practices, and these constituted a major part of the transition program.
Third Approach: Informal work based learning
The evaluation of learning, particularly at the higher levels of individual, unit and
organisational performance, is important as it informs the work based learning
approach. This in turn is a key aspect of our people development approach as it puts
the responsibility for learning primarily in the hands of the units and the learners. This
approach led to the adoption of the 70:20:10 concept Eichinger and Lombardo,
(1996), which is based on findings that, on average, 70 percent of all learning within
an organisation is informal, and happens on the job, 20 percent from semi-formal peer
review, feedback, mentoring and coaching and only 10 percent of learning is formal
(Australian Industry Group, 2006; Cross, 2006; Jennings and Wargnier, 2010; Meister
and Willyerd, 2010). Simply raising awareness of this concept within the organisation
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had a significant impact on attitudes towards learning. This approach led to the
introduction of performance support mechanisms that ensured line managers and
delegates planned the support that will be available after the training. The support
provided by in-house mentors alongside the level four evaluation of training
programme, facilitated the translation of performance results into organisational
benefits. The performance support mechanisms provided a good platform for the
development of informal workplace learning. The relationship between training and
performance enhancement systems in organisations’ is one of mutual
interdependence. This is taking an important role in the education and training of the
workforce (Johnston and Hawke, 2002).
Taking this philosophy of workplace learning in the workplace at the outset of this
study. First, employees were of the opinion that they only learn when they attend
formal classroom training. Second, employees were not taking responsibility for their
own learning. Third the organisation wanted to record all learning in a central hub in
order to carry out analytics and to facilitate referencing and sharing of key
information with the senior management team.
Our intention in this study was to create a sustainable learning process that
incorporates informal workplace learning that translates into change in behavior and
performance improvement of individuals and business units in the organisation.
Fourth Approach: Evaluation feedback
Once all three approaches were put in place, the focus of the fourth approach was to
communicate all of these findings and results of the evaluation to the wider
organization. Sloman (2003) advocates the communication of learning and
development practices across the organisation. This programme adopted and adapted
the Kirkpatrick four–phase framework for evaluating learning effectiveness and
builds on its evaluation taxonomy, namely 1. Reaction to the learning event, 2. The
learning as tested verbally or in writing after the event, 3. behavior change (or
individual performance) and Results (or unit/organisational performance). The
adoption of a cognitive approach by organizational theorists has identified a number
of principles that encourage and enhance learning, such as motivation. The objective
of learning is to change the experience by impacting behavior and cognition
(Williams, 1998), to improve performance and to successfully transfer the learning to
the workplace (Clifford and Thorpe, 2007). Senge (2006) argues that the most
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powerful learning comes from direct experience. Once the results from the training
programs and semi-structured interview were analysed and collated, the findings
were shared with the different stakeholders – individuals, line managers, clients’,
trainers and the senior management team via CPD meetings, the monthly Learning
Talk newsletter and workshops.
The Underpinning Guidance Framework
To help communicate the whole process to colleagues and to make it more usable by
others, both with in the organisation and externally, a guidance framework was
developed which is outlined in the following overview diagram and the
accompanying description.
Figure 1: Overview of the unit level learning framework
The new process starts (top left in the diagram) with managers and training delegates
attending a pre-training meeting, where the unit’s operational needs and the training
delegates’ corresponding learning needs are agreed. These then inform those who are
providing the training/mentoring/performance support. Critically, they are also used to
provide the criteria for the follow-on personal and unit performance evaluations. The
training or other learning event then takes place and is initially evaluated at level 1, the
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learners’ reactions to the event, and level 2, the test of what has been learned. After the
learning event, the delegates should begin to change how they perform their tasks, and
this in turn should bring about changes in the unit’s operations, helping it to better
achieve its goals. Later, perhaps some months later, level 3, the actual changes in the
delegates’ task performance, and level 4, the unit’s operational performance, are also
evaluated. The collected results of the evaluations are provided as feedback to the post-
training meeting of the managers and training delegates and compared with the original
aims. This review then provides further feedback to the trainers, mentors and those
providing workplace support. New or unmet goals and needs are then considered and
become inputs to future learning events and evaluations. Improvements are also
proposed for the unit’s internal mentoring, performance support and other informal
learning activities.
The framework, initially developed around training, was later extended to include
performance support, mentoring and informal learning, and, after the first few
iterations, the pre- and post-course meetings were merged into unit learning meetings.
These are held at regular intervals and review the unit’s goals, the learning that has
taken place, and what learning is still needed.
An important aspect of these unit learning meetings is that they put the responsibility
for learning primarily in the hands of the operational units and the learners. They set
the goals, which inform the evaluation, which then provides them with the feedback
needed to assess and improve their learning.
However, the limitations on generality inherent in a specific case study are
acknowledged and the framework is offered to others wishing to follow a similar path
towards establishing a learning organisation, in the hope that it will prove useful and
that it will become clear whether and how if so how much it needs to be adapted to fit
different circumstances.
Research Methodology
This programme adopted both qualitative and quantitative methods, use of
questionnaires, observation and semi-structured interviews. The analyses were
conducted on twenty-three delegates that attended three different training courses. We
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employed data from three different questionnaires that assigned a range of
instruments namely:
Pre-course questionnaire – Before commencing the training, this questionnaire
was sent to both the delegates and the line managers to set the goals and
objectives of the training, the needs of the individual, team and manager are
outlined.
Level one evaluation questionnaire – This questionnaire employed likert scale
and open-ended questions to gather findings on the delegates perception of the
training courses, the trainers facilitation skills and the overall programme. This
questionnaire is administered at the end of the training.
Level three-evaluation questionnaire – This post-course questionnaire is sent
to the delegates six to nine months after completing the training course to
determine if the delegates have changed their behavior and applied the new
knowledge and skills in the workplace to enhance their performance.
Semi-structured interviews (Yin, 1989) were conducted with line managers of
the training delegates to assess the impact of the training on the unit’s
performance. The interviews were carried out six to nine month’s period after
the training.
Line managers and also the trainer conducted observation of the delegates
during and after the course.
The data from each of the instruments employed was analysed and compared to each
other to determine the factors that may have achieved the performance results from
the training. The evidence from this case study includes comparing the goals and
objectives set during the pre-training meetings and the outcomes during the post-
training meetings. Once the results from these meetings were determined, a review of
the other factors that may have contributed to the performance improvement results of
the training courses was established through the semi-structured interviews with the
line managers. In the interviews questions were asked by the line managers of the
delegates how the delegates have applied the new skills/knowledge to their job. This
question was asked to gain insight in the application of learning and development
process. Next, questions were asked about the impact of training on the different
stakeholders.
Findings and Discussion
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In the first approach, it became apparent that there was a need to carry out a pre-
course discussion between delegates and their line managers to set the goals and
outcome before the training commenced. It was also determined during pre-course
discussions that there should be post-training discussions/ meetings of the delegates
and their line managers with the L&D Unit to determine if the pre-course goals had
been achieved. Aspects of the second approach on the rate of training transfer were
investigated, had been carried out prior to the commencement of this study as well as
during it. The results of the prior evaluation showed that most of the delegates
sampled did not have a clear understanding of the objectives of the specified training,
or even why they attended. Some also mentioned that they did not have the
opportunity to apply the new knowledge and skills back in the workplace. Line
managers also felt that allowing the delegates to attend the training programme would
increase their morale in the team, where it had been identified that the training
delegates were demotivated. The revealed lack of successful transfer from the training
to the workplace was a concern to all.
Subsequently, when delegates were surveyed after these new processes and
procedures were implemented in the organisation, the rate of transfer from learning
changed performance in the workplace. This was found to have increased
significantly from 20% to 95%. It also became apparent that the pre-course discussion
had encouraged both delegates and line managers to plan performance support
mechanisms to put in place after the training. The introduced changes thus had a huge
impact on the individual, team and organisational performance. In the third approach,
the development of an interrelated strategy encompassing performance support,
informal learning, and the introduction of the 70:20:10 concept and the in-house
mentoring programme helped to strengthen and integrate with the organisational
learning strategy. This informal learning part of the programme was deemed a critical
factor as the line managers now set out work related activities that gave the training
delegates the opportunity to apply and practice what they had learned, thus not just
preventing loss of the new knowledge and skills, but establishing them more firmly.
The goal of higher-level evaluation is to encourage better ways of ensuring the change
of behavior of the delegates that attended training programs. The output of the
training had a higher effectiveness rate and this was of importance to the organisation.
The final approach highlighted the summary and communication of the different
processes to the different stakeholders across the organisation. Using this approach
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ensured that these new processes are understood by all to drive a process of
continuous improvement. The main aim of adopting this strategy was to enhance the
adoption of the processes to ensure its effectiveness in achieving the business results.
During the semi-structured interview process, nine line managers were interviewed as
part of this study. Firstly, they were interviewed to determine if the delegates had
changed their behavior or performance subsequent to the training. Secondly, they
were interviewed to determine how the training had impacted on the unit, clients or
business. It was confirmed that evaluating performance at the levels of individual and
unit/organisational performance is more difficult than the levels of reaction and
learning evaluation. As a result, relatively few organizations evaluate the impact of
training (Brinkerhoff and Gill, 1994; Rothwell and Benkowski, 2002). Clearly, the
line managers play an integral and critical role in facilitating knowledge transfer as, in
addition to performance support, they need to provide the right conditions, within a
reasonable timeframe, for delegates to develop the use of their new skills on the job
(Gottfredson and Mosher, 2011). Furthermore, the learning and development unit
established a process for making effective use of the evaluation data being gathered.
The data enables improvement of the training courses and also to inform what needs
to happen in the workplace. As a result, promoting evaluation at these higher levels
enabled the organisation to move from viewing learning as something that happens in
the classroom to something that mainly happens in the workplace. This indicates that,
both learning in the classroom and the workplace are complimentary.
Conclusion
As with any HRD initiatives, the transfer of learning back to the workplace has been
the challenge for HRD professionals. The responsibility of assessing, measuring and
evaluating of any HRD activities relies solely on processes and procedures inherent in
the organization. The results from this study highlight strong links between our
approach to people development and the inter-woven goal of single feedback loop of
the new processes, procedures and frameworks introduced in the organisation. The
focus for us was to align our people development practices closely to enhance the
performance of training delegates. This has enabled employees to pull information
and learning from across the organisation into a positive, productive and supported
learning transfer in the workplace. Finally, this paper sets out how all of these
practices are now considered together with formal learning in the learning reviews.
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