Modeling HPT:
Diagnostic and Prescriptive Power
April 28, 2015, 2:00 to 3:15 pm
John B. Lazar, MA, MCC, NCOCTM
CEO | Leadership/Executive Coach and
Management Consultant
John B. Lazar & Associates, Inc.
Daniela Robu, MSc, CPT, CRP
Director| Knowledge Management
Infrastructure
Alberta Health Services
April 26-29, 2015
www.ispi.org/AC2015
San Antonio, Texas
Modeling HPT: Diagnostic and Prescriptive Power
4/28/2015
Modeling HPT: Diagnostic and
Prescriptive Power
Lead presenter: John B. Lazar, MA, MCC, NCOC™
Co-Presenter: Daniela Robu, MSc, CPT, CRP
Case Study Overview
Understand performance environment through case study example.
Discussion 1: Diagnose performance gaps (problems) for root causes.
Discussion 2: Understand the selection of interventions for analyzed performance.
Discussion 3: Evaluate intervention outcomes.
HPT Models
Learn about how to apply a systemic, systematic approach through different lenses:
Models 1: HPT framework, Binder
Models 2: Mortenson, Gillum
Model 3: Phillips
Practice Activities
Practice on scenario and how to apply the models and tools
Activity 1: Practice diagnosing gaps to probable behaviours and root causes.
Activity 2: Practice selecting intervention(s), given identified root causes.
HPT Models
Learn about how to apply a systemic, systematic approach through the lenses of simplified
Model 1: HPT framework
Van Tiem, Moseley, & Dessinger (2012)
[email protected]
[email protected]
© 2015 John Lazar and Daniela Robu. All rights reserved.
1
Modeling HPT: Diagnostic and Prescriptive Power
4/28/2015
Case Study Overview
Understand performance environment through case study example.
Discussion 1: Diagnose performance gaps (problems) for root causes.
Discussion 2: Understand the selection of interventions for analyzed performance.
Discussion 3: Evaluate intervention outcomes.
Case Study Overview
Understand performance environment through case study example.
Business:
 4th generation, family-owned optical care company in Chicago, now has 16 stores in area.
Organizational Structure:
 Each store has store manager (SM); two regions, each with 8 stores; regional store manager (RSM) for
each region; RSMs are members on leadership team, reporting to CEO.
Background and Performance Issue:
 Rick, SM for three years, promoted to RSM, replacing someone who left company.
 CEO had been coaching Rick for one year to perform as effective RSM but not getting desired business
results. He requested/hired executive coach for Rick.
CEO
16 Stores
Regional Store
Manager
8 Stores
Regional Store
Manager
8 Stores
Store
Manager
Store
Manager
1 Store
Store
Manager
1 Store
1 Store
Store
Manager
Store
Manager
1 Store
Store
Manager
1 Store
Store
Manager
1 Store
Store
Manager
1 Store
1 Store
Lazar (2005)
Case Study Overview
Understand performance environment through case study example.
Discussion 1: Diagnose performance gap (problem) for root causes.
Behaviours
Work Outputs


Delegate
Doesn’t Delegate well

Accountable
Reports
Incomplete, Inaccurate, Late

Missed
opportunities
Doesn’t set expectations; doesn’t
hold others Accountable
Exams only, Multiple Pairs


Performance Feedback
Excessive remakes in some
stores


Doesn’t hold Effective store
meetings to orient/organize SMs

Speak up

Product Sales
Sales Below Budget

Profits
Profits Below Target
Remakes
Doesn’t give Effective
performance feedback
Store Meetings
Business Results
Engagement, ideas
Lack of engagement and idea
generation in Leadership
Team (LT) meetings
Doesn’t contribute at LT meetings
Lazar (2005)
[email protected]
[email protected]
© 2015 John Lazar and Daniela Robu. All rights reserved.
2
Modeling HPT: Diagnostic and Prescriptive Power
4/28/2015
HPT Model
Understand performance environment through case study example.
Models 1: Binder’s Performance Chain & Six Box Model
Behaviour
Influences
Behaviours
Work Outputs
Business Results
1.






















2.
3.
4.
5.
6.
Expectations &
Feedback
Tools & Resources
Consequences &
Incentives
Skills & Knowledge
Selection &
Assignment
Motives & Preferences
Plan
Analyze
Present
Negotiate
Design
Ask
Evaluate
Demonstrate
Write
Etc.

Deliverables
Transactions
Decisions
Milestones
Relationships
Changes
Solutions
People who do or
produce
Teams that…
Product Sales
Revenues
Profits
Employee
Engagement
Shareholder Value
Market Share
Quality
Etc…




Lazar (2005)
Case Study Overview
Understand performance environment through case study example.
Discussion 1: Diagnose performance gap (problem) for root causes.
Binder’s Performance Chain & Six Box Model
Behaviour
Influences
Behaviours
Work Outputs
Business Results
1.






















2.
3.
4.
5.
6.
Expectations &
Feedback
Tools & Resources
Consequences &
Incentives
Skills & Knowledge
Selection &
Assignment
Motives & Preferences

Plan
Analyze
Present
Negotiate
Design
Ask
Evaluate
Demonstrate
Write
Etc.
Delegate
Doesn’t Delegate well

Accountable
Doesn’t set expectations; doesn’t
hold others Accountable

Store Meetings
Doesn’t hold Effective store
meetings to orient/organize SMs

Lazar (2005)

Reports

Speak up
Product Sales
Revenues
Profits
Employee
Engagement
Shareholder Value
Market Share
Quality
Etc…





Incomplete, Inaccurate, Late
Product Sales
Sales Below Budget
Missed
opportunities

Profits
Profits Below Target
Exams only, Multiple Pairs
Performance Feedback 
Doesn’t give Effective
performance feedback


Deliverables
Transactions
Decisions
Milestones
Relationships
Changes
Solutions
People who do or
produce
Teams that…
Remakes
Excessive remakes in some
stores

Engagement, ideas
Lack of engagement and idea
generation in Leadership
Team (LT) meetings
Doesn’t Speak up at LT meetings
Case Study Overview
Understand performance environment through case study example.
Discussion 1: Identify desired state through Executive Coaching (and other solutions) with CEO
Binder’s Performance Chain & Six Box Model
Behaviour
Influences
Behaviours
Work Outputs
Business Results
1.










Plan
Analyze
Present
Negotiate
Design
Ask
Evaluate
Demonstrate
Write
Etc.













Deliverables
Transactions
Decisions
Milestones
Relationships
Changes
Solutions
People who do or
produce
Teams that…

Delegate

Reports
2.
3.
4.
5.
6.
Expectations &
Feedback
Tools & Resources
Consequences &
Incentives
Skills & Knowledge
Selection &
Assignment
Motives & Preferences
Delegate well

Accountable
Set expectations; Hold others
Accountable
Complete, Accurate, Timely

Missed
opportunities
Product Sales
Revenues
Profits
Employee
Engagement
Shareholder Value
Market Share
Quality
Etc…





Product Sales
Sales At or Above Budget

Profits
Profits At or Above Target
At or Below acceptable Level
Performance Feedback at all stores
 Remakes
Give Effective performance

feedback

Store Meetings
Hold Effective store meetings to
orient/organize SMs

Lazar (2005)
Speak up
Contribute to LT meeting
di
i
At or Below acceptable Level
at all stores

Engagement, ideas
Engaged in leadership team
meeting discussions; offering
ideas and perspectives
[email protected]
[email protected]
© 2015 John Lazar and Daniela Robu. All rights reserved.
3
Modeling HPT: Diagnostic and Prescriptive Power
4/28/2015
Case Study Overview
Understand performance environment through case study example.
Discussion 1: Complete gap analysis and identify root causes
Binder’s Six Box Model



Expectations &
Feedback
Tools & Resources
Consequences &
Incentives
Skills & Knowledge
Selection &
Assignment
Motives &
Preferences
Feels comfortable doing some SM tasks
himself (even though inappropriate for him to
do)
Doesn’t know how to delegate well to SMs
(setting expectations and standards, giving
rationale, providing tools, monitoring
performance)
Doesn’t know how to or feel comfortable
giving SMs performance feedback,
renegotiating promises, and holding them
accountable for improved performance

Doesn’t know how to hold effective store visit
meetings with SMs

Doesn’t have any tools to support his
management tasks

Feels embarrassed, uncomfortable and
resigned with his RSM performance; feels
embarrassed and pressured to contribute in
LT meetings
Lazar (2005)
Practice Activities
Practice on scenario and how to apply the models and tools
Activity 1: Practice diagnosing gaps to probable behaviours and root causes.
Case Study Overview
Understand performance environment through case study example.
Discussion 2: Understand the selection of interventions for analyzed performance.
[email protected]
[email protected]
© 2015 John Lazar and Daniela Robu. All rights reserved.
4
Modeling HPT: Diagnostic and Prescriptive Power
4/28/2015
Case Study Overview
Understand performance environment through case study example.
Discussion 2: Understand the selection of interventions for analyzed performance.
My change agent questions for myself:
Given identified multiple performance gaps and their related root
causes, what intervention(s) might be appropriate and which ones,
taken together, could
1) Provide great(est) impact and benefit with least investment and
unintended disruption of current practices?
2) Be accepted by decision maker?
HPT Models
Learn about how to apply a systemic, systematic approach through the lenses of simplified
Models: Mortenson, Gillum
Case Study Overview
Understand performance environment through case study example.
Discussion 2: Understand the selection of interventions for analyzed performance.
Mortenson’s & Gillum’s Targeted Solution Matrix
Performance Gaps
Solution(s)
Effort/
Benefit
S/K for self-awareness &
self-management
Assessment for Regional Manager
(with debriefing discussion)
A
L/H
S/K for self-management
and delegation
Executive/leadership coaching
Sessions for 90 min twice per month for: Effective Delegation to SMs
B
M/H
S/K for self-management
and performance
management
Executive/leadership coaching
Sessions for 90 min twice per month for: Effective Performance Management
Conversations with SMs
C
M/H
S/K for self-management
and reviewing KPIs
Executive/leadership coaching
Sessions for 90 min twice per month for: Review KPIs and translate to timely/specific
coaching/training conversations with SMs
D
M/H
S/K for delegation
S/K for performance
management
Training/education with relevant Articles for: Effective delegation to SMs
E
L / M-H
Training/education with relevant Articles for: Holding effective performance
management conversations with SMs
F
L / M-H
S/K for self-management
and reviewing KPIs
Training/education with relevant Articles for: Review KPIs and translate to timely,
specific coaching/training conversations with SMs
G
Performance feedback,
data, consequences
Training/education with relevant Articles for: Tools/job aids to support RSM delegation
conversations, store set up conversations, feedback conversations with SMs
H
Performance feedback,
data, consequences
Training/education with relevant Articles for: Tools/job aids to display daily store
associate sales performance
Data
Informal Meetings with CEO (30 to 45 min) for: What he is Observing
Expectations, feedback,
consequences
Informal Meetings with CEO (30 to 45 min) for: His assumptions, expectations and
assessments
I
J
K
L / M-H
L-M / H
L/H
L/M
L/H
Lazar (2005)
[email protected]
[email protected]
© 2015 John Lazar and Daniela Robu. All rights reserved.
5
Modeling HPT: Diagnostic and Prescriptive Power
4/28/2015
Case Study Overview
Understand performance environment through case study example.
Discussion 2: Understand the selection of interventions for analyzed performance.
Mortenson’s Effort Benefit Matrix
Assessment for Regional Manager
(with debriefing discussion)
A
A
K
I
H
D
C
B
E
F
G
Executive/leadership coaching
Sessions for 90 min twice per month
for:
 Effective Delegation to SMs
B
C
 Effective Performance
Management Conversations with SMs
 Review KPIs and translate to
timely/specific coaching/training
conversations with SMs
Tools/job aids
• To support RSM delegation
conversations, store set up
conversations, feedback
conversations with SMs
J
• To display daily store associate
sales performance
D
H
I
Informal Meetings with CEO (30 to
45 min) for:
 His assumptions, expectations and
assessments
K
Lazar (2005)
Practice Activities
Practice on scenario and how to apply the models and tools
Activity 2: Practice selecting intervention(s), given identified root causes.
Case Study Overview
Understand performance environment through case study example.
Discussion 3: Evaluate intervention outcomes.
[email protected]
[email protected]
© 2015 John Lazar and Daniela Robu. All rights reserved.
6
Modeling HPT: Diagnostic and Prescriptive Power
4/28/2015
Case Study Overview
Understand performance environment through case study example.
Discussion 3: Evaluate intervention outcomes.
My change agent questions to myself (at beginning of project): Given what my customer (CEO of the organization) wants me to accomplish with his Regional Sales Manager (my client) for his organization, 1) What evaluation framework makes sense to use? 2) What conversations do I need to have during contracting?
3) What commitments about accountability, responsibility, outputs, logistics and communications do I need to discuss and develop?
4) How do I estimate and include these resource allocation issues in the cost of what I propose?
HPT Models
Learn about how to apply a systemic, systematic approach through the lenses of simplified models.
Model: Phillips
Case Study Overview
Understand performance environment through case study example.
Discussion 3: Evaluate intervention outcomes.
Level 2
Level 5: ROI
Level 4: Business Impact
After six months of coaching, Rick had
learned some (L2):
Level 3: Application


Level 2: Learning

Level1 : Reaction







Principles and distinctions of effective delegation
Principles and distinctions of effective performance
management
Relationships between KPI measures and kinds of
conversations to have with SMs
Skills to delegate effectively
Skills to provide performance feedback and hold others
accountable
Skills to have coaching/training conversations with
others
Different attitude/assessment about his capacity to be
successful RSM
Different attitude/assessment about appropriateness of
delegating and conducting performance management
Different attitude about doing SM tasks as RSM
Different attitude about how to contribute in LT meetings
[email protected]
[email protected]
© 2015 John Lazar and Daniela Robu. All rights reserved.
7
Modeling HPT: Diagnostic and Prescriptive Power
4/28/2015
Case Study Overview
Understand performance environment through case study example.
Discussion 3: Evaluate intervention outcomes.
Level 5: ROI
Level 3
Level 4: Business Impact
As a result of what he learned, Rick made the
following behaviour changes (L3):
Level 3: Application


Level 2: Learning


Level1 : Reaction

Delegated (more) effectively to SMs
Held (more) effective performance management
conversations with SMs
Gave feedback (more) effectively to SMs
Held (more) effective store visit conversations with
SMs
Contributed ideas during or after LT meetings
Case Study Overview
Understand performance environment through case study example.
Discussion 3: Evaluate intervention outcomes.
Level 4
Level 5: ROI
Level 4: Business Impact
As a result of these behaviour changes, Rick
produced these results through new behaviours
by SMs, opticians, doctors and sales associates
(L4):
Level 3: Application
Desired state through Executive Coaching and Other Solutions with Rick
Level 2: Learning
Level1 : Reaction
Case Study Overview
Understand performance environment through case study example.
Discussion 3: Evaluate intervention outcomes.
Level 5
Level 5: ROI
Level 4: Business Impact
Evaluation of effectiveness of blended
(executive coaching, consulting)
intervention (L5):
Level 3: Application

Level 2: Learning

Calculated estimated ROI at end of coaching
engagement: 1067%
Calculated ROI after one year: 799%
Level1 : Reaction
[email protected]
[email protected]
© 2015 John Lazar and Daniela Robu. All rights reserved.
8
Modeling HPT: Diagnostic and Prescriptive Power
4/28/2015
Lessons Learned
• Follow the ISPI principles and remain solutionneutral.
• Contract well to frame the work, design for
evaluation, and set mutual expectations.
• Anticipate that performance problems may have
multiple root causes and solutions.
• Manage project and process for successful
implementation.
• Evaluate and report results; make credible claims.
Adapted from Lazar & Robu (2014)
References

Binder C. (1998). The six boxes: A descendent of Gilbert’s behavior engineering model. Performance Improvement, 37(6), 48–52.

Dunham, R. (2009). The generative foundations of action in organizations: Speaking and listening. IJCO The International Journal
of Coaching in Organizations, 7(2), 43-63.

Gilmore, E.R. (2008). Assessing the efficacy of a framework of human performance in organizations (Doctoral dissertation).
Department of Instructional Technology, Indiana University.

Lazar, J. (2005, September). Developing management practices through executive coaching plus – A case study. Presentation at
ISPI Management and Organizational Practices conference, Las Vegas, NV.

Lazar, J., & Bernardez, M. (2003). The supervisor’s job is performance support. Performance Improvement Global Network, ISPI.
URL: www.pignc-ispi.org/articles/management/SupervisorEILazarBernardez.htm.

Lazar, J.B., & Robu, D. (2014, September). Modeling a systematic approach to solving performance problems that deliver value: A
case study application. Presentation at ISPI EMEA conference, Warsaw, Poland.

Mortenson, K. (2012, June). Using HPT models for rapid performance analysis and solutions. Presentation at CISPI Crackerbarrel,
Chicago, IL.

Mortenson, K., & Gillum, T. (2013, October). Ledge-walking technology: Quick and painless HPT. Presentation at CISPI Fall Skillbuilding workshops, Lombard, IL.

Phillips, P.P., Phillips, J.J., Stone, R.D., & Burkett, H. (2007). The ROI field book. Burlington, MA: Butterworth-Heinemann.

Van Tiem, D.M., Moseley, J.L, & Dessinger, J.C. (2012). Fundamentals of performance improvement through people, processes,
and organizations. San Francisco, CA: ISPI Wiley.
About the Presenters
John B. Lazar, MA, MCC, NCOC™
CEO | Leadership/Executive Coach and
Management Consultant
John B. Lazar & Associates, Inc.
[email protected]
1 (708) 771-9176
Daniela Robu, MSc, CPT, CRP
Director| Knowledge Management
Infrastructure
Alberta Health Services
[email protected]
1 (403) 944-7700
[email protected]
[email protected]
© 2015 John Lazar and Daniela Robu. All rights reserved.
9