This Guide Covers The SPHR® Exam Content From The Learning And Development Functional Area And Consists Of The Following Responsibilities And Required Knowledge.
RESPONSIBILITIES: 01 Develop and evaluate training strategies (for example: modes of delivery, timing, content) to increase individual and organizational effectiveness 02 Analyze business needs to develop a succession plan for key roles (for example: identify talent, outline career progression, coaching and development) to promote business continuity 03 Develop and evaluate employee retention strategies and practices (for example: assessing talent, developing career paths, managing job movement within the organization) In Addition To The Preceding Responsibilities, An Individual Taking The SPHR® Exam Should Have Working Knowledge Of The Following Areas, Usually Derived Through Practical Experience: - Training program design and development - Adult learning processes - Training and facilitation techniques - Instructional design principles and processes (for example: needs analysis, content chunking, process flow mapping) - Techniques to assess training program effectiveness, including use of applicable metrics - Career and leadership development theories and applications - Organizational development (OD) methods, motivation methods, and problem-solving techniques - Coaching and mentoring techniques - Effective communication skills and strategies (for example: presentation, collaboration, sensitivity) - Employee retention strategies - Techniques to encourage creativity and innovation
This guide covers the area of learning and development. This important topic composes 12 percent of the SPHR® exam. The topic is covered in the exam because senior HR professionals will be responsible for the growth and development of the talent in their organization. Additionally, HR must analyze the business needs for companies and must understand how this translates to training strategies. Employees learn and retain new concepts and ideas by creating training that is impactful.
The key skills to master here are developing and evaluating training strategies, developing a succession plan for key positions, and developing employee retention strategies. At the senior level, HR professionals must know techniques, theories, and practices related to organizational and professional development and how the successful implementation of training impacts overall retention. Required Knowledge The desire of every senior HR professional is to help their company’s leaders be champions of continuous learning and development. Effective organizational leaders help employees to reach their maximum potential to grow and support the organization as they continue to improve the business. To do this, senior HR professionals must be proficient in assessing training and development needs, developing and implementing training, and determining the effectiveness of the training delivered. They must be fluent in modern instructional design principles and have knowledge of learning theory. They must master techniques of facilitation and delivery of instruction, as well as methods of coaching and mentoring to encourage learners in the learning process. Training Program Design and Development Senior HR professionals must know how to design and develop training programs that build the talent in the organization and enable employees with the proper knowledge, skills, and abilities to meet the organizational goals and mission while supporting the underlying values of the company. These training programs might be technical or behavioral and could be internally developed or externally procured to meet the needs and budget of the company. A training program is more complex than just one course or class. It is a comprehensive system with delivery mechanisms, measures of performance, tracking of progress, and the means to adjust training as needs change in the company. The first step in design is to determine needs through a skills gap assessment—that is, what are the skills, points of knowledge, or abilities that are missing currently in the organization that are required to perform jobs? From there, senior HR professionals can determine the best method to deliver the training that will be most effective in closing the gaps. Training programs must be systematic, progressive, and comprehensive in their design and function. Each level of learning should build on previous knowledge and follow a flow that enhances the retention of the material learned. Often senior HR professionals must coordinate between the instructional designer who creates the training, the subject-matter expert who has the knowledge that the course is founded upon, and the facilitator who will present the material. Generally, these are different individuals, and the synchronization can be challenging. Adult Learning Processes The classic adult learning theory was popularized by Malcolm Shepard Knowles (1913–1997), who developed these four concepts related to adult learning: - Adult learners want to have a voice in deciding the content and method of delivery. - Adult learners are most interested in learning about something that has immediate impact and relevance in their world. - Adult learning is experiential, meaning that adults draw upon their own experience to learn new concepts. - Adult learners use problem solving as the primary method of learning and retention of ideas and concepts.
In addition to Knowles’s learning theory, Benjamin Bloom (1913–1990) defined what has become a standard taxonomy of learning. It has three levels of learning, based on senses, emotions, or knowledge. The cognitive level, based on knowledge, has six levels: Remember, Understand, Apply, Analyze, Evaluate, and Create (or Synthesize). This is important to understand for adult learning because it shows the levels of retention and ability to integrate new concepts from the lowest level (just understanding) to the highest (creation of new thoughts based on what has been learned).
A full dive into the adult learning process is beyond the scope of this guide, but a general understanding will help with concepts outlined in this guide for the PHR® exam and is equally applicable to senior HR professionals. For more information on this subject, I recommend the Department of Education information paper at https://lincs.ed.gov/sites/default/files/11_%20TEAL_Adult_Learning_Theory.pdf. Instructional Methods and Delivery Senior HR professionals will know how to train and prepare facilitators for training events. They must understand the adult learning model, taking on the role of group advisor or senior trainer/instructional designer to help the collective team discover and learn using their own experience and understanding. The material is available for the group to draw upon, discuss, and collaborate, and the facilitator keeps the team motivated and sets milestones and general guidelines to ensure that learning objectives are met. Training can now be delivered in a traditional classroom presentation or through online content or blended using both methods. Senior HR professionals must know how to find the best methods to deliver materials and subjects to ensure maximum retention. Some complex tasks require hands-on experience to learn. Training on equipment, on complex machines, or in specific locations cannot be easily replicated in a classroom. In a classroom, there can be interaction with the instructor. With e-learning, an instructor must anticipate questions that will flow naturally and prepare the response within the script. It is beyond the scope of the exam to know instruction design software for building online learning; however, it is the responsibility of HR to be able to review, evaluate, and select the platforms available to deliver the training. Career Development and Leadership Great organizations have intentional paths for how an entry-level employee grows and progresses throughout their tenure with the company. For example, in the United States Army, how does a new private who enlists today grow up to be a senior noncommissioned officer, an officer, or potentially a four-star general? Every career field has a career development model that is designed to plan the steps needed to advance and that includes experience, education (both formal and informal), and professional development. Not only the what but the when in the timeline of a career is essential. This is equally true in civilian companies. It is important when an employee joins the company that they understand what they need to do to continue to grow and advance. Sometimes they may not seek increased responsibility or supervisory roles, so there should be consideration paid to how to enrich their current role to maintain engagement and keep the employee motivated to achieve the goals and objectives that support their role and the company’s mission, vision, and values. A career development map can show which positions have similar skills or duties that facilitate an employee switching jobs or career paths. From this, an individual can create a personal career development plan that takes into account their goals and desires and the needs of the company. It is not always possible for the employee’s ideal work and the reality of the job requirement demands for the company to align perfectly. In these cases, it is necessary for the leadership of the organization to motivate, coach, and develop the employee to maximize their contributions. Leaders select leaders and must be involved in succession planning to identify future leaders. They intentionally plan for their development to assume roles of greater significance, determining how to close or minimize any skills gaps in these prospects. Real World Situation: Leadership Development Program A company recognized that 40 percent of its organization was retirement eligible in the next five years. In addition, 60 percent of the individuals in leadership positions were retirement eligible. This risk of loss of institutional knowledge and expertise was significant to the company, and the executive director in conjunction with HR developed a program to identify high-performance potential employees and group them in cohorts to train in four core competencies that were deemed critical needs for leaders in the organization. This provided multiple individuals who had training and potential to perform at higher levels and were exposed to senior executives in the company to draw upon their knowledge and expertise in the field. This step allowed the company to prepare for the “Silver Tsunami” of baby boomers soon to retire without significant interruption to functions in the organization. Instructional Design Principles and Processes When designing instructional material, it is important to understand the basic design principles and processes. The general intent is to know how the adult human brain learns and design a presentation in such a way as to maximize the retention and comprehension of the information. Through the use of developed instructional design techniques, content material can be learned faster and more efficiently with greater simplicity. The first step is a needs analysis. A needs analysis clearly shows what the organization requires to meet its goals and objectives. A proper needs analysis in instructional design will reveal what needs to be learned and the best methods to achieve learning. HR professionals should be familiar with such design models as Analysis-Design-Development-Implementation-Evaluation (ADDIE). This five-step process begins with analysis of the problem or objective, followed by intentional design and development of the training and its implementation. It then concludes with an evaluation of the results. This dynamic and flexible process provides necessary structure for learning development. Another example is Robert Gagne’s nine events of instruction, a model that attempts to capture the process of learning in concrete events as they occur in the instructional process. Figure 8.1 shows the events that were first developed by the American educational psychologist. The process begins with capturing the attention of the learner and flows through to practical use of the information gained, where the knowledge is transferred to long-term memory and can be recalled and used over and over. FIGURE: Gagne’s nine events of instruction Needs Assessment and Analysis Several functional areas require HR professionals to know how to conduct a needs assessment and then analyze the results. A needs assessment uses a simple technique of establishing a goal or objective state for a project or program within an organization, evaluating the current state, and then comparing the results. If there is a delta that shows a gap, the organization must create a pathway to achieve the desired results. The gap will often show what is needed to change the current situation, but in some cases, there may be different options or choices available. Courses of action can be developed, evaluated, and implemented. Time, resources, equipment, and people are all factors that may present needs or shortfalls, and from this the organization can plan how to overcome the need. In the analysis, the company compares the results with the planned actions to determine whether the gap has been successfully addressed, and if not, why not. Structurally, this is a cyclical event that continually reviews progress toward an end state until it is achieved.
Needs assessments are conducted for workforce planning, recruiting, human resources development and training, compensation and benefits, and risk management to determine whether the company has the right workforce, whether sources of recruitment are providing the right talent mix, whether training is preparing employees to do the work, what benefits employees need to maintain a good quality of life balance, and whether safety measures can be improved for the company. Using the techniques to assess and analyze the needs of the company allows the organization to plan, manage resources, and prioritize efforts to accomplish the goals of the company.
Process Flow Mapping When a process is created in the organization, process flow mapping allows the steps in the process to be visually displayed so that the learner can review the process and have greater understanding and comprehension. It allows the learner to identify steps that don’t add value, facilitates teamwork and communications, and keeps everyone on the same page. There are standard graphics used in modern process flow mapping.
This figure provides an example of a basic process shown in a flow map. Creating the map is often part of the instructional design process so that the employee can learn visually how the process is to be followed. FIGURE: Process flow map Content Chunking Content chunking is the process of breaking down material in a learning environment into smaller components that are easier to process mentally and allow for greater understanding and retention of the information. As an example, this guide uses specific formats, fonts, and visual cues to show the content in a manner that the learner can process quickly and absorb. You’ve probably noticed that the text does not flow sequentially based on the exam content outline at the beginning of the guide. Instead, the information is covered in groups of like ideas, concepts, or function. The knowledge section is presented first because HR professionals must know first before they actually do. All of these elements are done intentionally in the design as a means of content chunking. Training and Facilitation Techniques Senior HR professionals must be proficient in the various techniques related to training and facilitation. The Association of Talent Development (ATD) is a professional organization that supports training and instructional design professionals and is a great resource for the HR community to have greater depth in this area. For more information, visit www.td.org. Training Techniques Senior HR professionals are often responsible for training other trainers, senior managers, and executives in a variety of subjects. It is required that they understand different training techniques and how to instruct others in the use of such techniques. With the availability of modern technology, there are now more options available including simulations and virtual environments, along with more traditional classroom methods or on-the-job (OJT) training. OJT offers a unique opportunity for hands-on learning in the actual environment where the work is performed under real conditions, but it doesn’t allow for many mistakes or errors. The classroom works when learning theory or basic concepts related to the job but does not lend itself to realistic training because the environment doesn’t account for real working conditions. A virtual environment is helpful when communicating and learning across distances or with multiple learners, but again it may not be the optimal learning environment for real conditions. In those situations, it also limits the amount of direct interaction between the learners and the instructor. All HR professionals must contemplate the training that will be conducted and determine the best technique to use to achieve learning. These techniques are used in combination with other core elements discussed, including the adult learning process and motivational concepts. Facilitation Techniques Senior HR professionals will know how to facilitate training events as well as develop master trainers who can improve courses and the platform skills of others. As part of the adult learning model, the lead trainer is not an instructor providing all the knowledge and information but instead takes on the role of group advisor to help the collective team discover and learn using their own experience and understanding. At the senior level, these groups often consist of executives or individuals with a great deal of experience and knowledge, so the focus is on keeping the group working toward a collective goal and remaining on task. The material is available for the group to draw upon, discuss, and collaborate, and the facilitator keeps the team motivated and sets milestones and general guidelines to ensure that learning objectives are met.
Training can now be delivered in a traditional classroom presentation or through online content or blended using both methods. HR professionals must know how materials and subjects are best presented to ensure maximum retention. Some complex tasks require hands-on experience to learn. Training on equipment, on complex machines, or in specific locations cannot be easily replicated in a classroom. In a classroom, there can be interaction with the instructor. With e-learning, an instructor must anticipate questions that will flow naturally and prepare the response within the script. It is beyond the scope of the exam to know instruction design software for building online learning; however, it is the responsibility of HR to be able to review, evaluate, and select the platforms available to deliver the training. Evaluating Program Effectiveness Senior HR professionals are responsible for evaluating the effectiveness of employee training programs. There are several methods for establishing the metrics and collecting data to compare the program results with the desired results. Surveys are a comprehensive method for quickly collecting results and depending on the type of survey can measure various levels of responsiveness.
This Table shows examples of surveys, the information they solicit, and how that information is used by an organization. TABLE: Surveys
Using Metrics to Evaluate Training Effectiveness The cost for training and the retention of information in post-learning surveys or tests are two metrics that companies commonly use to measure training effectiveness. It is important that HR professionals know how to capture all the costs associated with learning and development. These costs include not just paid courses external to the company but also those of the internal resources committed to building in-house learning. Senior HR professionals can also develop tests that are administered after a short period of time following training to reinforce and measure retention of information of the class provided. Organizational Development Organizational development (OD) theory looks at both processes within an organization and the implementation strategy. A learning organization is one that continually assesses its situation, determines what it needs to improve, and develops a plan to make those improvements. It then evaluates the results at the end and starts the process again. As part of this theory, senior HR professionals should know change management and the variety of quality and control improvement methods that exist. Table 8.2 lists some common methods and their key points. TABLE: Quality improvement methods
In addition to quality improvement methods, senior HR professionals oversee the implementation of desired changes in an organization and reporting results to the executive leadership. There are three basic areas: people, technology, and structure.
This figure shows their relationship and how they may interact within an organization. It is important to know and understand how each type of change affects the other areas and how to adapt these changes over time. FIGURE: Organizational development change theories In all cases, senior HR professionals must know how to act as the change champion, embracing the continued growth and development of the company and reassuring its human capital that to be successful companies must continually change to meet the current demands that are informed by the current operational environment. They must communicate with leaders, employees, and other HR professionals about how people are accepting and adjusting to the reality of change within the company. Motivation Concepts and Applications A key point of knowledge for senior HR professionals is an understanding of motivation for employees and its relationship with organizational behavior. There are many different models and academic studies on this topic, each with a different variation on what compels people to behave in certain ways and how to use that knowledge to lead and inspire others to perform in a manner consistent with the desired values and behaviors of the company. It is not necessary to study every single motivational method in detail, but senior HR professionals should be familiar with the concepts and how to train and develop other HR professionals in this important functional area.
Maslow’s Hierarchy of Needs Probably the most popular motivational structure is Maslow’s hierarchy of needs, first developed by Abraham Maslow in his research published in 1943. This model lists six levels from the basic physiological to self-actualization and explains that individuals move along the hierarchy only after each lower level is satisfied. Figure 8.4 shows the hierarchy model. It is important for HR professionals to understand these basic needs to help the organization provide for their employees and allow them to develop. For example, according to the hierarchy, physiological needs (such as food, shelter, and clothing) are well below esteem (accolades, rewards, and recognition). Therefore, it is logical that an employee’s basic compensation so that they can buy those items to meet physiological needs is of greater importance than a certificate of appreciation for their quality of work.
However, for an employee to progress to self-actualization, those points of recognition are also needed. FIGURE: Maslow’s hierarchy of needs Theory X and Theory Y Motivation of employees is important to their development and continued effective performance in an organization. Developed by Douglas McGregor at MIT in the late 1950s and 1960s, the two competing philosophies known as Theory X and Theory Y reflect on the nature of the generic worker and the corresponding management techniques that should be applied. Theory X views workers in a generally negative light, holding that they are not motivated to work and when given a choice will choose not to work and be generally lazy. The management technique that is required under this theory is one of punishment and reward to constantly motivate employees to meet the demands of the organization and segregate those workers unable to perform from those who can. Managers focus on tasks to be performed rather than the workers who perform such tasks more often in this scenario.
The converse to this is Theory Y, where the employee is motivated internally to succeed and do the necessary work, and it is obstacles or restrictions that limit the performance of most employees. Therefore, the manager’s role is to eliminate barriers of performance by communicating with the employee and help find ways to help the employee. These managers are more proactive and people-oriented than task-oriented. In the first theory, the relationship is more transactional, while in the second case it is more transformational. In Theory X management, the results last only as long as the desire for reward or punishment is greater than the consequences of not completing the task in the mind of the employee. However, Theory Y will have a longer effect if the known barriers are removed and the employee is free to develop. Problem-Solving Techniques An eight-step problem-solving method is an example of a practical series of actions to take when solving complex problems. There are many versions of this method, but not all problems require a formalized step method. Many small issues are solved without the need to address each step.
However, for difficult issues, HR professionals should be aware of the following steps:
- Define the problem. - Gather facts and assumptions. - Define the goals and objectives and establish success criteria. - Determine root causes and develop possible solutions. - Analyze and compare the solutions and choose the best option. - Implement the proposed solution. - Evaluate the results. - Continue to monitor progress of results and recommend any changes or future action.
Mentoring and Executive Coaching Senior HR professionals must have knowledge of mentoring and executive coaching. This is not the same as being an instructor or a supervisor, as the relationship between the senior HR professional and the individual is based on referent power. That is, senior HR professionals through their competence and extensive knowledge demonstrate their ability to be subject-matter experts and so derive power from their position to influence key members of the executive, supervisory group, and general employees. Their influence extends only to the point that these groups value and respect the information and abilities they provide. When fulfilling the role of a mentor, it is important that senior HR professionals help with discovery and exploration of competencies, behaviors, actions, and results, as well as the causes and effects from each exchange with employees and management alike. As all employees are different, there will be different dynamics and results with each pairing. Providing honest feedback in a manner that is respectful and focuses on the outcomes, without judgment, creates a climate of trust, making it more likely the individual will accept recommendations and counsel. At the executive level, this can be even more delicate. In many situations, senior HR professionals report directly to a member of the executive team, and yet they are responsible for the human resources development and talent management of the organization, which includes top executives. As the company grows as a learning organization, so must the leadership. Great leaders understand this principle and will often seek the advice and counsel of HR professionals to provide direct assessment of the status of the human capital in the organization. HR must have working knowledge of influence, organizational behavior, emotional intelligence, and leadership principles to be effective as an executive coach. This is difficult in part because leaders often feel vulnerable addressing their shortcomings or needs for development with anyone perceived to be a subordinate. It takes time to build this important relationship to earn the trust required to be effective in this capacity.
Coaching Managers Senior HR professionals must work with supervisors and managers throughout the human resources development process. Often they will be responsible for developing new managers and helping them understand their new role as an organizational leader. Managers often are highly skilled and knowledgeable about technical processes, but that doesn’t necessarily mean they are able to teach and groom others or can identify untapped potential performers in the group. All HR must use interpersonal skills to build relationships with managers to help them develop all their employees to constantly and consistently achieve the goals set by the company. HR professionals use their role as advisors to coach managers to have deliberate discussions about employees’ desire for progression, career goals, and development plans. Both HR and management develop training to provide the needed skills for employees to advance and improve. HR must also ensure that managers understand their internal biases and ensure equal opportunity for all high-potential performers. HR professionals should routinely meet with managers to discuss their teams and the best course of action to develop them that meets the goals and objectives of the company. Encourage Creativity and Innovation Senior HR professionals should encourage creativity and innovation within the culture of the organization. In a similar manner to those techniques employed by coaches and mentors, encouraging creativity allows for the free flow of information and newly generated solutions to problems that can negatively impact the organization. To truly be innovative requires the removal of fear of failure. This does not mean removing consequences for poor performance or bad actions, but rather that when mistakes are made in the learning process, the focus is on correction and growth, not shame and blame. An organization that inspires dialogue and continuous improvement in the learning process will see the results in innovation.
Turnover is very costly in organizations. The company commits time and resources to the learning and development of its employees and expects a return on that investment. When an employee departs the company, that loss has a financial impact and affects the morale of others. A company that is constantly in training mode for new employees cannot move forward or grow; it stagnates. Therefore, senior HR professionals must know employee retention strategies to keep their engagement high. They must possess strong interpersonal communication skills and be able to relate to the working conditions of the employees and have influence where needed.
These are some areas that should be considered in the strategies: - Rewards and recognition programs - Training opportunities and continued development - Career progression - Job enrichment and job enhancement Communication Skills and Strategies Communication is a critical skill in HR. Senior HR professionals must be especially well versed in the variety of strategies available to send and receive information and provide feedback. Communications consist of verbal and nonverbal cues that an individual interprets through the filter of their experience and can sometimes distort through prejudices or biases that may exist. How the communicator presents the information can also have a profound impact on the reception. For example, a message sent by email is received differently than one communicated by telephone or face to face because those methods include nonverbal and visual cues that are not conveyed in text. A written communication often conveys none of the emotion or timbre that is more apparent in direct visual or auditory communication.
The following are some other considerations for communication: - The ability to collaborate with a group and share complex ideas across a multitude of media - Presentation styles and how they can affect the message being delivered - Sensitivity because certain topics require a different approach and it’s imperative to understand how the audience will be impacted by subject matter - Language barriers, especially in multinational or multilingual environments, which do not create a good environment for idiomatic expressions or paraphrasing - The ability to communicate clearly and concisely Exam Tips: Understand organizational development theory. While it is not required to know every theory in detail, exam participants should know the basics and be able to identify more commonly used theories. Know how learning and development translates into real-world organizations. Almost every organization has some kind of learning and development system. The components, the various measuring methods, and how the system is used to advance employees in the company are important knowledge points for HR professionals. Responsibilities The responsibilities associated with the functional area of human resources development are critical to a successful organization, but often in smaller organizations some or all of the key tasks are outsourced. The tasks of other functional areas tend to have immediate impact on employees, support the immediate needs of employers such as payroll, or have compliance requirements that mandate work for HR such as record keeping. Because these short-term needs can overwhelm even the most efficient small HR teams, companies often view human resources development as a nice-to-have, not a need-to-have, function. Unfortunately, this is common, so senior HR professionals must strongly advocate for the continued development and training of the organization’s talent or risk stagnation and complacency throughout the company. Develop and Evaluate Training Strategies At the core, learning and development are investments in an organization’s human capital. Like any investment, they grow fundamentally based on how they are supported. If the company strives to be a learning organization, making efforts to improve its culture and its people regularly through intentional training strategies designed to align to the company’s mission and goals, then it will sustain success. Otherwise, the company will plateau and then sharply decline over time as the conditions and people change. Developing Training Programs The purpose of training programs is to improve individual and organizational effectiveness. After evaluating the results of a needs assessment and developing courses of action for training, senior HR professionals will be responsible for the acquisition, design, and implementation of training and facilitators. There are numerous third-party vendors that provide training content, and the HR team will select and coordinate the training to be conducted. A curriculum is developed that determines the courses that will be required to meet the training goals. These courses vary based on time, content, and method of instruction but usually have a similar theme. Training always demands resources, so part of the development is determining which training is a priority and will have the greatest impact to the organization. This does not always mean that those courses with the highest attendance are truly the most important. It is possible that for a critical function in the organization there may be only a few people responsible, but those few must have mandatory training to complete their assigned tasks correctly. Therefore, this training becomes a more urgent priority in situations where there could be a sudden transition from experienced to inexperienced individuals. HR professionals are responsible for recommending training focus and priority and monitoring the completion of the training. Improving Organizational Effectiveness Training should be tied to the overall goals and mission of the organization, and each individual position in the company should have required training to sustain and improve the team. As part of the training needs assessment, HR should look at the critical tasks performed by each employee and the necessary skills or behaviors that an employee should possess to perform the tasks properly. Using performance appraisal methods discussed later, supervisors and management can determine where an individual employee needs to improve, and training can be matched to meet the needs. Surveys and assessments are conducted post-training to see whether there are changes in performance, improved efficiency, or other tangible results because of the training. Training the individual must align with the needs of the company to improve organizational effectiveness. The training must be balanced so that the employees’ improvements are related to the areas the company needs to remain successful. Succession Planning Senior HR professionals must help the organization to grow and meet the ever-changing needs of its employees, stakeholders, and customers. As companies transform, there must be systematic plans that ensure continuity of core competencies and that knowledge is retained in the company. Key positions that have a large impact on the overall operations must have functional succession plans that identify potential replacements as vacancies are created over time through transition such as retirements. As a skill, senior HR professionals must know how change disrupts an organization and are responsible for minimizing the impact of those disruptions or mitigating the potential negative consequences that often follow change in succession. Performance Management Systems Development of an employee performance management system (EPMS) is a key responsibility of the HR team. As discussed earlier, HR attempts to align employee behavior with the desired behaviors needed to meet the company’s goals and objectives. To measure the success of this, a key metric is an EPMS. Several different systems can be used for this purpose, from comparing employees’ performance to one another to using a scale that rates an individual against an established standard. There is formal feedback that can be given using a written format that includes required submission timelines and is completed periodically. There are also informal sessions, which allow a manager to be more of a coach and mentor to guide an employee to discover their potential and bring out characteristics that support the organizational mission, vision, and values. Senior HR professionals are responsible for working with managers and executives to determine the best system that supports the culture while meeting the needs of objectively measuring the alignment of the employees with the company.
Performance Appraisal Processes Senior HR professionals will develop policies that govern the instruments used for evaluating performance and the metrics for determining ratings. Policy should establish specifics including the time periods, standards for documenting or justifying exceptional or substandard performance, and how poor performance is handled by the company. Generally, there is a due diligence process to verify the required skills of a poorly performing employee and some period of remedial training before ultimately the employee is terminated for cause. The most common type of appraisal is a forced ranking system in which employees are measured against one another to determine who the best performer is. If a numerical scoring system is used, the results tend to be a bell-shaped curve that has a small percentage at the top and bottom with the bulk of employees in the middle of the range.
This figure shows an example. Senior HR professionals should counsel managers and executives to be aware of the limitations with any appraisal method and be sure that evaluations are comprehensive to provide the best understanding of an employee’s job performance. FIGURE: A bell curve Other appraisal methods include narrative statements that quantify performance objectives and compare actual outcomes to goals or objectives established at the beginning of the rating period. Supervisors will meet with their employees to discuss performance periodically. Senior HR professionals are responsible for ensuring that there is an effective process and procedure to ensure that reviews are completed and documented. In the event of claims of wrongful terminations, they will work with legal counsel to provide detailed information to justify separation.
At the senior level, HR helps the organization develop general performance objectives that raters can use so that employees may provide input in a collaborative process to agree on the performance standards.
Doing this allows the employee to “buy in” to the evaluation and take responsibility for the outcome.
Training for Evaluators Senior HR professionals are responsible for providing training at the managerial and executive levels on how the evaluation process works for the organization. They will also train other HR generalists to understand the nuances to specific evaluations. Technical training, including the specifics of how any instruments are completed and submitted and the time frame to do so, is one form of training that senior HR professionals may delegate to other HR practitioners. The other, often more beneficial training requires helping supervisors develop clearly defined performance success criteria. Evaluations cannot be arbitrary, but often tasks are hard to measure from a quality standpoint. In manufacturing jobs, production numbers compared to goals are straightforward, and comparisons can be done from rating period to rating period. However, it is harder to measure qualitative results for manner of performance.
Supervisors must measure both technical and behavioral competencies in the evaluation to provide a comprehensive look at an employee’s performance. Technical competencies are connected to what tasks are being completed and to what degree. Behavioral competencies seek to show how an employee is performing. Too often employers will overlook one side in favor of the other. Having someone who produces great results but has a negative attitude can still be a performance problem, as is someone who struggles to meet goals but is positive and gets along with co-workers. Senior HR professionals are skilled at navigating difficult conversations and can develop this skill in managers and supervisors. Conducting a Needs Assessment Senior HR professionals responsible for the development of the organization start with a needs assessment.
This figure shows the critical steps of the process.
The results of the needs assessment will be a training plan or outline for a training event, such as a class or online course. FIGURE: Needs assessment The critical step in the process is obtaining a sponsor, usually someone with authority and ability to commit resources in which the return on the investment of training will improve a process; increase the knowledge, skills, or abilities of employees; or provide a better service or product as a result. Without “buy-in,” it is unlikely that a company will fully embrace the training.
Additionally, the needs assessment ensures that the training solves the deficiency identified. For example, a manufacturing company has assembly technicians who struggle to meet their quota each day. If a needs assessment is conducted, it may reveal that the employees lack an understanding of the proper process, which is causing defects and delaying production. However, it may also reveal that there is a motivational behavioral problem that can be solved only through better leadership. In the second case, the proximate cause demands a different course of training. Employee Retention Strategies and Practices The responsibility a senior HR professional has regarding employee retention strategies and practices is to assess the talent in the organization, develop career paths that allow for progression in roles and responsibility, and manage the job movement within the organization. In performing these duties, senior HR professionals provide guidance and influence executives, managers, and employees to find the right balance of career experience, technical knowledge, and organizational roles for each individual in the company to maximize the human capital potential. Talent Management Senior HR professionals must help leaders manage the talent of the organization and continually invest in the employees to ultimately benefit the company. They build career development models and methods to identify high-potential employees to ensure that those employees are managed more closely. The goal is to groom them for positions of increased responsibility or complexity and to provide training at the right time in a career timeline to possess the right skills needed to do the work. Finally, senior HR professionals develop job enrichment opportunities for dedicated workers whose performance is aligned with the behaviors desired by the company to keep them engaged and performing at a high level.
Building a Career Development Model Senior HR professionals must know how to chart the career progression of all the critical positions in the organization. It requires an understanding of the knowledge, skills, and abilities required of each position and how those positions might be developmental to other more senior positions such as supervisors or executives. Career development models also show HR planners where skills of positions overlap to enable cross-training or suggest lateral transfers across the company.
Ideal models can clearly demonstrate to new employees the career progression of a job within the organization and provide guidance as to how an employee can grow and develop their skills over time to advance in the company over an entire career. A career development model will show a combination of experience, education, and professional development that someone must possess to advance. It is important to note that while this process may show what is required, it doesn’t evaluate the potential or performance of an individual. So, it is possible that an individual’s career is limited by how well they are able to reach some of the milestones determined by a career development model.
This figure depicts a career development model for an administrative position within a human resources department in a company. FIGURE: Career development model Managing High-Potential Employees As the term suggests, high-potential employees are those who have shown the ability to perform high-level tasks and are capable of management or supervisory responsibilities. Senior HR professionals have a duty to help current managers identify, select, train, and advance these individuals to help the company sustain its corporate leadership over time. Senior HR professionals have oversight of the techniques and tools used in the organization that measure the potential of certain employees and then assist supervisors to cultivate skills. They might require the use an individual development plan (IDP) to coach talented individuals and assist their leadership in determining the areas that may need attention.
This figure shows a potential versus performance matrix, commonly referred to as a nine-box. FIGURE: The nine-box model For high-potential employees, you are looking at those employees who would be categorized in the far-right column but not necessarily in the top-right corner. It is the job of management along with the assistance of HR to determine what limitations are preventing those employees in the spectrum to the right of the matrix from being placed in the upper right and how to overcome them.
Creating Job Enrichment Opportunities In some cases, employees have reached their potential for advancement through either desire or capability but are still competent in their role and have a strong desire to perform their job functions well. Senior HR professionals must assist managers to creatively find opportunities to enrich the jobs these skilled individuals already have. In some cases, training on new technology or processes will better equip employees to do their job. Adding depth to their understanding of the role, which may include increased knowledge or control over certain aspects, can be considered enrichment. For example, an employee who is highly competent may be given a lead role for their job but not supervisory responsibility. They may instead be responsible for training new team members initially or perform quality control checks because of the quality of their work and knowledge of the right processes. Developing Programs to Meet Changing Needs As organizations grow and mature, HR professionals at a more senior level will identify changing needs in the organization and develop or implement programs to meet those changing conditions. For example, as a company’s technology infrastructure grows and work can be performed remotely, a company may offer the opportunity for employees to do telework from an alternate work site. This simple concept involves many tasks for HR professionals, including coordinating with information technology and procurement departments on equipment needs for telecommuting and procedures for accountability of organizational equipment outside the normal place of work. Policy and procedures will change when new programs are implemented, and HR professionals have the responsibility to ensure that they are updated. Senior HR professionals will evaluate new programs to determine whether the needs of the employees and organization are being met. Programs such as diversity and inclusion or apprenticeships are detailed and have significant impact across multiple domains in a company. Senior HR professionals must integrate these programs while keeping executives informed of the results. Exam Tips: Understand the correlation between training strategies and retention of employees. An organization can use several methods to find and hire the right people to achieve the company’s mission. You should understand the need to have a training strategy that positively impacts the retention of those hired. Especially important is to review the costs associated with each option, as that may have a direct impact on business decisions as to what methods are available to a particular organization. It’s also important to know the timelines associated with each choice, because some training strategies can take time to mature and develop. Understand how to perform retention analysis. Human capital is expensive and should never be wasted. You should understand the direct correlation between employee turnover and lost opportunity or productivity costs. By performing analysis on the effectiveness of retention strategies of the company, you will be able to reduce turnover costs and keep a company performing at optimal levels. Summary Learning and development, or the effective management of talent within an organization, is a critical function for HR professionals to master and understand. They must be able to assess needs and meet business demands by developing comprehensive strategies that cover the opportunities for employees to participate, the design and creation of the training, and the performance assessment of employees. Training development is the responsibility of the HR team by either creating the necessary training to improve performance or determining what available training may be outsourced to reduce costs and time to deliver. Understanding generally how the training cycle runs from need to design to implementation to evaluation is part of an HR professional’s knowledge base. Senior HR professionals have the added responsibility for program development and coaching and mentoring at the executive level. Tip: Talk with the individuals responsible for training in your organization and ask them about their important functions and daily job duties. Get a sense of what priorities they have to create and deliver effective training and how those priorities relate to the overall company mission and strategic goals and objectives.
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