Oh but if it did, life for a supervisor would be easier, right? Let’s face it, “people” problems are a big deal for management. Working with humans does present its challenges, such as miscommunications between staff, data entry errors, or rushing verification checks. Sometimes, the task at hand is so repetitive that the result is assumed to be okay and gets “a pass”. Add constant interruptions to the list and it becomes even harder not to get distracted and lose focus or attention to the detail.
Actual behavior vs. performing as expected
In their book, Performance Consulting: Moving Beyond Training, Dana Gaines Robinson and James C. Robinson describe performance as what the performer should be able to do. A performance problem occurs when the actual behavior does not meet expectation (as in should have been able to do). Why don’t employees perform as expected? Root cause analysis helps problem solvers and investigators uncover a myriad of possible reasons. For Life Sciences companies, correcting mistakes and preventing them from occurring again is at the heart of CAPA systems (Corrective Actions Preventive Actions).
A closer look at performance gaps
Dana and James Robinson conducted research regarding performer actions and sorted their results into three categories of obstacles:
- Conditions of performers
- Conditions of the immediate managers
- Conditions of the organization
But, weren’t they trained and qualified?
Hopefully, employees are trained using an approved OJT (On the Job Training) Methodology in which they are shown how to execute the task and then given opportunities to practice multiple times to become proficient. During these sessions, they are coached by Qualified Trainers and given feedback on what’s right (as expected) and given specific instructions to correct what’s not right with suggestions for tweaking their performance so that their final performance demonstration is on par with their peer group. At the conclusion of the qualification event, employees must accept that they now own their deviations (mistakes) from this point forward. So what gets in the way of performing “as they should” or in compliance speak – according to the procedure?
Is it a lack of knowledge, skill or is it something else?
The Robinson’s explain that performance is more than the training event. It’s combination of the overall learning experience and the workplace environment that yields performance results. Breaking that down into a formula per se, they suggest the following: learning experience x workplace environment = performance results.
The root cause investigation will include a review of training and the qualification event as well as a discussion with the performer.
- Is it a lack of frequency; not a task often performed?
- Is it a lack of feedback or delayed feedback in which the deviation occurred without their awareness?
- Is it task interference?
The work environment includes organizational systems and business unit processes that together enable the performer to produce the outcomes as “expected”. These workplace factors don’t always work in perfect harmony resulting in obstacles that get in the way of “expected” performance:
- Lack of authority – unclear roles, confusing responsibilities?
- Lack of time – schedule conflicts; multi-tasking faux pas?
- Lack of tools – reduced budgets?
- Lack of poorly stored equipment/tools – lost time searching?
Isn’t it just human nature?
Once the root cause investigation takes on a human element attention, it’s easy to focus on the performer and stop there. If it’s the first time for the performer or first instance related to the task, it’s tempting to label the event as an isolated incident. But when it comes back around again, it becomes apparent there was a “failure to conduct an in-depth investigation” to correct and prevent. Not surprisingly, a push back of “Operator Error as Root Cause” has forced organizations to look deeper into the root causes involving Humans.
Who’s human nature?
Recall that one of the categories of the researched obstacles was “conditions of the immediate managers”. This makes managers uncomfortable. With so much on their plates, managing a people performance problem is not what they want to see. A silver bullet like a re-training event is a nice activity that gets a big red check mark on their to-do list. However, Robert Mager and Peter Pipe, in their book, Analyzing Performance Problems, provide insights to managing direct reports that may lead to unintended consequences. A brief list can be found here – scroll to Tool: Performance Causes. (It’s not always the performer’s fault.)
It takes all three to correct a performance problem
The third category of researched obstacles clustered around “conditions of the organization”. I’ve already discussed task interference above. To suggest that organizations are setting up their employees to fail is pushing it just a bit too far. So I won’t go there, but it is painful for some leaders to come to terms with the implication. In order to prevent issues from reoccurring, an examination of the incidents and quite possibly a restructuring of systems have to occur, because automatic re-training is not the only solution to a “people performance problem”. –VB
Robinson DG, Robinson JC. Performance Consulting: Moving beyond training. San Francisco: Berrett-Koehler; 1995.
Mager R, Pipe P. Analyzing performance problems. Belmont: Lake Publishing; 1984.