The Big Why for Deviations

As part of my #intentionsfor2019, I conducted a review of the past 10 years of HPIS Consulting.  Yes, HPISC turned 10 in August of 2018, and I was knee deep in PAI activities.  So there was no time for celebrations or any kind of reflections until January 2019, when I could realistically evaluate HPISC: vision, mission, and the big strategic stuff.  My best reflection exercise had me remembering the moment I created HPIS Consulting in my mind.

Human Performance Improvement (HPI) and Quality Systems

One of the phases for HPI work is a cause analysis for performance discrepancies.  The more I learned how the HPI methodology manages this phase the more I remarked on how similar it is to the Deviation /CAPA Quality System requirements.  And I found the first touch point between the two methodologies.  My formal education background and my current quality systems work finally united.  And HPIS Consulting (HPISC) became an INC.  

In my role of Performance Consultant (PC), I leverage the best techniques and tools from both methodologies.  Not just for deviations but for implementing the corrective actions sometimes known as HPI solutions.  In this new HPISC blog series about deviations, CAPAs, and HPI, I will be sharing more thoughts about HPISC touch points within the Quality Systems. For now, lets get back to Big Why for deviations.

Why are so many deviations still occurring? Have our revisions to SOPs and processes brought us farther from a “State of Control”? I don’t believe that is the intention. As a Performance Consultant, I consider deviations and the ensuing investigations rich learning opportunities to find out what’s really going on with our Quality Systems.

The 4 cross functional quality systems

At the core of the “HPISC Quality Systems Integration Triangle” is the Change Control system.  It is the heartbeat of the Quality Management System providing direction, guidance and establishing the boundaries for our processes.  The Internal Auditing System is the health check similar to our annual physicals; the read outs indicate the health of the systems.  Deviations/CAPAs are analogous to a pulse check where we check in at the current moment and determine whether we are within acceptable ranges or reaching action levels requiring corrections to bring us back into “a state of control”.  And then there is the Training Quality System, which in my opinion is the most cross-functional system of all.  It interfaces with all employees; not just the Quality Management System.  And so, it functions like food nourishing our systems and fueling sustainability for corrections and new programs.

Whether you are following 21CFR211.192 (Production Record Review) or ICHQ7 Section 2 or  820.100 (Corrective and Preventive Action), thou shall investigate any unexplained discrepancy and a written record of the investigation shall be made that includes the conclusion and the follow up. Really good investigations tell the story of what happen and include a solid root cause analysis revealing the true root cause(s) for which the corrective actions map back to nicely.  Thus, making the effectiveness checks credible. In theory, all these components flow together smoothly.  However, with the continual rise of deviations and CAPAs, the application of the Deviation /CAPA Management system is a bit more challenging for all of us.  

Remember the PA in C-A-P-A?

Are we so focused on the corrective part and the looming due dates we’ve committed to, that we are losing sight of the preventive actions? Are we rushing through the process to meet imposed time intervals and due dates that we kind of “cross our fingers and hope” that the corrective actions fix the problem without really tracing the impact of the proposed corrective solutions on the other integrated systems? Allison Rossett, author of First Things Fast: a handbook for performance analysis, explains that performance occurs within organizational systems and the ability to achieve, improve and maintain excellent performance, depends on integrated components of other systems that involve people. 

Are we likewise convincing ourselves that those fixes should also prevent re-occurrence? Well, that is until a repeat deviation occurs and we’re sitting in another root cause analysis meeting searching for the real root cause.  Thomas Gilbert, in his groundbreaking book, Human Competence: engineering worthy performance tells us, that it’s about creating valuable results without using excessive cost.  In other words, “worthy performance” happens when the value of business outcomes exceeds the cost of doing the tasks.  The ROI of a 3-tiered approach to solving the problem the first time, happens when employees achieve their assigned outcomes that produce results greater than the cost of “the fix”. 

Performance occurs within three tiers

So, donning my Performance Consulting “glasses”, I cross back over to the HPI methodology and open up the HPI solutions toolbox.  One of those tools is called a Performance Analysis (PA). This tool points us in the direction of what’s not working for the employee, the job tasks a/or the workplace. The outcome of a performance analysis produces a 3 tiered picture of what’s encouraging or blocking performance for the worker, work tasks, and/or the work environment and what must be done about it at these same three levels.  

Root cause analysis (RCA) helps us understand why the issues are occurring and provides the specific gaps that need fixing.  Hence, if PA recognizes that performance occurs within a system, then performance solutions need to be developed within those same “systems” in order to ensure sustainable performance improvement.  Otherwise, you have a fragment of the solution with high expectations for solving “the problem”.  You might achieve short-term value initially, but suffer a long-term loss when performance does not change or worsens. Confused between PA, Cause Analysis and RCA? Read the blog – analysis du jour.

Thank goodness Training is not the only tool in the HPI toolbox!   With corrective actions /HPI solutions designed with input from the 3 tiered PA approach, the focus shifts away from the need to automatically re-train the individual(s), to implementing a solution targeted for workers, the work processes and the workplace environment that will ultimately allow a successful user adoption for the changes/improvements.   What a richer learning opportunity than just re-reading the SOP! -VB

  • Allison Rossett, First Things Fast: a handbook for Performance Analysis; 2nd edition 
  • Thomas F. Gilbert, Human Competence: Engineering Worthy Performance
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Using Neuroscience to Maximize Learning: Why we should start paying attention to the Research

In October 2015, I had the privilege to have a discussion with Anne-Maree Hawkesworth, Technical Training Manager of AstraZeneca, Australia before the 2015 GMPTEA Biennial Conference kicked off. Anne-Maree was in Orlando, Florida to present her concurrent session entitled Insights from ‘Inside Out’ – Employing lessons in neuroscience to facilitate successful learning” during the conference. As an avid fan and follower of the neuroscience literature being published, I was hungry to learn more and she generously gave up a few hours of her time to meet me with over a latte and a nibble of delicious chocolate from Australia.   What follows is a snippet of the exchanged dialogue.

Q: Why has neuroscience become so popular all of a sudden?

Actually it’s been around for a while. It’s not new, even though it sometimes seems that way. For example, look at Ebbinghaus Forgetting Curve that is so frequently referenced. It was first introduced 1885. And there are other classic research studies available if you conduct a good search.

Q: Why do trainers need to pay attention to neuroscience and the recent literature?

Quite frankly, they need to start learning how to design their training using these principles. They have to stop lecturing from the slides and speaker notes.

Q: Okay, then what do they need to know?

Concepts like chunking, memory techniques, and the effects of multitasking. Multitasking is very bad for learning. You end up learning nothing. It becomes a waste and yet we are multi tasking now more than ever. For example, management is expecting us to do more. For example, take an e learning course and answer their emails while taking the course!

V- this means the design has to change.  AMH- exactly!

Q: We need help. What should trainers tell Management about neuroscience?

That less is actually more. Stop requiring us to dump more content in slides. We end up remembering less. If you won’t believe us, there’s scientific evidence to back up what we are saying! And don’t dictate how we use the classroom. For example, I have my learners standing for most of the sessions involving activities that I facilitate. In one of my sessions, I had removed the chairs from the room and used ZERO slides.   Imagine that! Oh and I love flip charts!

Bonus Tip: AMH shared a little secret with me. She revealed that Production folks like to do flip chart work. They just don’t want to be the spokesperson. So if you can get them past that, they’ll love being busy writing on the chart.

Q: I noticed that you didn’t include motivation in your slide deck. Was that intentional? How are they related?

I only had 60 minutes, but yes motivation is so very important. We have to keep them motivated to learn. We have to continually grab their attention.   It should be one of the 12 principles.

Q: Earlier you mentioned Chunking. What trends are you seeing in micro learning? Are you implementing any of it?

I am looking at small chunks of learning at the time you require the learning as opposed to “Just in Case” learning that tends to occur months in advance.  Micro-learning is great for follow-up to formal class room or eLearning to boost memory. I like micro-learning in the form of case studies and in particular branching scenarios. Cathy Moore has some great material on her blog and webinars on branching scenarios.

I also like to chunk information within my training and use lots of white space to help separate pieces of information, this helps in facilitating learning.

Q: I work with a lot of Qualified SME Trainers from Production.   How do you get past the brain lingo when you explain neuroscience?

You explain that there are parts of the brain that do different things at different times. There is no need to turn the session into brain science 101. I show them a slide or two and them move on.

Q: Earlier you mentioned “principles”. Can you elaborate on that?

I’d love to but we are near the end of our time together. I can recommend trainers look up John Medina’s 12 Brain Rules.  Briefly they are,

  1. Survival
  2. Stress
  3. Attention
  4. Sensory Integration
  5. Vision
  6. Exploration
  7. Exercise
  8. Sleep
  9. Wiring
  10. Memory
  11. Music
  12. Gender

Alas, I could have dialogued with her for the entire conference albeit, she was jet jagged and the latte was wearing off.   Thank you Anne-Maree for sharing your thoughts and effective classroom delivery techniques with us.   Together, we will shift the classroom design mindset.   -VB