PERFORMANCE

MANAGEMENT

Performance Management:

Changing Behavior That Drives

Organizational Effectiveness

Fifth Edition, Revised

Aubrey C. Daniels, Ph.D. and Jon S. Bailey, Ph.D.

Performance Management Publications,

a division of Aubrey Daniels International, Inc.

Original cover art by Bil Morse.

5th edition cover design by Lisa Smith

Published by Aubrey Daniels International, Inc.

3344 Peachtree Road NE, Suite 1050

Atlanta, GA 30326

678.904.6140

www.aubreydaniels.com

This book was set in Garamond Premier Pro.

Editor: Gail Snyder

Production Coordinator: Laura-Lee Glass

Graphic Artist: Lisa Smith

©Copyright 2014 by Performance Management

Publications. All rights reserved. No part of this

book may be reproduced in any form, electronic or mechan-

ical, including photocopy, recording, or any information

storage and retrieval system, without permission in writing

from the publisher.

Library of Congress Control Number: 82-061868

International Standard Book Number: 978-0-937100-25-7

Printed in the United States of America

4 5 6 7 8 9 – 93

This book is dedicated

to the memory of my father, Aubrey O. Daniels,

who taught us you can learn something from everyone

and to be curious and persistent about it, and

to Aubrey Daniels by the second author;

thank you Aubrey for everything you’ve

taught me and for your brilliance in

seeing the world of business through

your behavioral eyes.

PREFACE

Preface to the Fifth Edition

front-line supervisors and managers of industrial

organizations, since little was available for train-

This book was first published in 1982. It is

ing them at that time and there were almost no

difficult to believe that 32 years have passed since

courses about applying the principles of behavior

that edition. During that time I have had three

analysis to any workplace. Since that time the

co-authors: Ted Rosen, Jamie Daniels and Jon

book is now used in over 100 colleges and univer-

Bailey. Dr. Bailey is the current co-author. I met

sities in psychology and business courses. Over a

him in 1986 and we have worked together since.

half million copies are in print today.

For the last 25 years, I have participated periodi-

Because the first edition was written to help

cally in Performance Management (PM) classes

business managers and supervisors apply what

that Dr. Bailey taught at Florida State University.

they learned to solve real business problems, we

Since Jamie, the previous co-author, has retired,

learned about what worked and what didn’t in

Jon was the natural choice for this edition.

real workplaces solving real business issues. What

Dr. Bailey’s classes were amazingly effective

we learned has resulted in the writing of the four

and he created PM zealots, many of whom are

other editions. The book has been tested literally

active in the field of Organizational Behavior

around the world in thousands of locations with

Management (OBM) today. As such, he brings

countless behaviors.

an in-depth knowledge of the science of Behavior

When Dr. Bailey and I started to revise the

Analysis and more than two decades teaching stu-

book, we discussed the need to shape the book

dents Performance Management, using this book.

more carefully to those who are just learning

The knowledge he has gained from those activi-

about PM, especially university students. Jon

ties and his own research, has added much to

pressed me to convert the book from a, “What

assist the reader in understanding the science and

PM is” to a “How to Do PM” text. We both

its application in the workplace.

know that the best way to understand PM is to

The 1982 edition was written primarily for

take on a project from the beginning and follow

vi i

PREFACE

it all the way through to completion including a

example we write from time to time that “the

presentation of the findings to a target audience.

supervisor reinforced the programmer for . . .” We

Dr. Bailey modified the order in which chapters

know that you reinforce behavior, not people.

were read by students in his now-famous FSU

However, it makes for easier reading to explain

undergraduate class, INP 3313 Behavior Analysis

the activity that way than to use the more techni-

in Business and Industry. Over the last 20 years,

cal description. The reader should be able to tell

hundreds of students have learned PM by con-

from the context the behavior that was strength-

ducting projects in Tallahassee often with out-

ened. We have included over 150 research articles

standing results.

and papers that the reader can access for further

Those readers who have read previous editions

detail about the research methodology on which

will notice several obvious changes. The first and

the researcher’s findings were based. We have also

most obvious is the chapter order mentioned

included QSR codes that make accessing these

above. The order of the chapters in Edition 5 is

materials easy on a smart phone, iPad or similar

the order that Dr. Bailey has used very successful-

device.

ly in his course. It is ordered to facilitate applica-

Unfortunately, even though this book in one

tion and we hope it accomplishes that. In addi-

edition or another has been in existence for 32

tion, references have been updated so as to have

years, the use of behavior technology in the work-

examples of applications from the modern work-

place is still in its infancy. Since the fundamental

place, although older studies are still as applicable

laws of behavior don’t change, those who learn to

to behavior today as they were when they were

apply this technology successfully, will have a

done, since the laws of behavior have not changed

clear performance advantage over those who

in the last 32 years.

don’t.

Although this book is a science book, we hope

Thanks for purchasing this book. We hope

it is not as hard to read as a research journal.

that using its contents will increase the positive

Where we were able, we used nonscientific terms

reinforcement that you give and receive.

and everyday language to make the reading easy

and the concepts clear. Hopefully in doing so, we

ACD

did not sacrifice scientific accuracy for clarity. For

JB

ACKNOWLEDGEMENTS

The people who have contributed to this

help in applying these concepts to our own lives

book number in the thousands. The authors

and relationships at work and at home.

have been involved in the practice of

Although it is difficult to list all who have

Performance Management (PM) for over 45

helped us, several have supported us from the

years. In that time we have been exposed to

beginning. Dr. Alyce Dickinson, Dr. Beth

thousands of people working in many hundreds

Sulzer-Azaroff, Dr. Richard Obrien, Dr. Tom

of organizations, not only in the United States

Mawhinney, Dr. John Austin and the late Dr.

but in over 30 countries. Each person has added

Bill Hopkins deserve special mention.

to our experience base and each has furthered

We would especially like to thank those who

our understanding of human behavior in the

participated directly in the writing and produc-

workplace. Without them, this book could not

tion of the Fifth Edition. Katrina Bilella

have been written.

searched all the back issues of PM Magazine for

The academic community that engages in

topical articles that supplemented the reorgan-

basic scientific research and teaching in the

ized edition. Lisa Smith did the layout, created

experimental analysis of behavior has been espe-

many of the new figures and responded cheer-

cially helpful in advancing our knowledge of

fully to all our last-minute changes. Gail Snyder

human behavior over the years. Their research

did her usual good job of making sure that we

has provided the scientific foundation for our

had a readable text and otherwise minded the

work. Much of their work is referenced in this

p’s and q’s related to grammar. Mary Burch

book. The members of the Organizational

reviewed and edited all of Dr. Bailey’s new writ-

Behavior Network have been particularly sup-

ing. Sandy Stewart kept AD on track by han-

portive. Not only have many of them used this

dling the many details for him that would have

book in their classes, but also contribute

otherwise extended the completion of this work

research that adds to the body of knowledge

by many months. Laura Lee Glass managed all

that supports a more efficient and effective

the details of printing and distribution to make

application. We are deeply grateful for the

sure that the book was available before all past

opportunity to learn from them and for their

editions go out of existence.

CONTENTS

INTRODUCTION TO PM

Chapter 15

Delivering Reinforcers

Effectively ......................................... 193

Chapter 1

What is Performance Management? 1

Chapter 16

Schedules of Reinforcement: The

Chapter 2

The Science of Behavior ................. 11

Secret to Teaching Patience and

Chapter 3

Business IS Behavior ......................... 19

Persistence ......................................... 211

Chapter 4

Is it Behavior or Something Else?... 25

COMPLEX & CONTROVERSIAL

PM STEP-BY-STEP

ISSUES IN THE WORKPLACE

Chapter 17

Using Schedules of Reinforcement

Chapter 5

Pinpointing: “Lazy”

to Increase and Maintain

is Not a Behavior ............................... 35

Productive Behavior........................ 229

Chapter 6

Identify the Mission Using

Chapter 18

Shaping, Chaining and Goal-

Both Behaviors and Results............. 55

Setting: Three Methods of

Chapter 7

Measurement Tools: Necessary

Producing Complex Behaviors ..... 239

but not Sufficient for Behavior

Chapter 19

Punishers and Penalties: Effects

Change® ................................................ 71

and Side Effects ............................... 253

Chapter 8

Graphing Behavioral Data ............... 97

Chapter 20

Three Ways to Decrease

Chapter 9

The ABC Model of Behavior........ 105

Unwanted Behavior ........................ 263

Chapter 10

PIC/NIC Analysis®:

A Performer’s Eye View .................. 117

IMPLEMENTING PM ON A

Chapter 11

Antecedents = Precision

LARGE SCALE

Prompts ............................................. 125

Chapter 21

Planning Reinforcement ................ 281

Chapter 12

Consequences That Increase

Chapter 22

Research Designs for Evaluating

Behavior: Positive and Negative

Performance Change: Keeping it

Reinforcers........................................ 139

Real.................................................... 293

Chapter 13

Feedback: The Breakfast of

Chapter 23

Behavioral Safety............................. 303

Champions ....................................... 157

Chapter 14

Finding Reinforcers, Creating

Reinforcers (R+).............................. 171

INTRODUCTION

TO PERFORMANCE

MANAGEMENT

1

1

What is Performance Management?

The goal of Performance Management (PM)

a century (e.g., Thorndike, 1898; Watson, 1913;

as applied to a business, government or other

Skinner, 1936). However, applied research has

enterprise is to create a workplace that brings out

been conducted only since the 1950s. Business,

the best in people while generating the highest

industrial, and government applications began in

value for the organization. The techniques and

the late 1960s.

practices of PM are derived from Behavior

Compared with most of the established sci-

Analysis, the term describing the scientific study

ences, behavior analysis is very young, but much

of behavior. Applied Behavior Analysis is a

has been learned in a short period of time. Many

branch of behavior analysis that seeks to extend

of the principles of learning are relatively well

the findings of laboratory research to everyday

understood at this point. Although much

problems. PM is a workplace technology derived

remains to be learned, current knowledge has

from the science of behavior analysis.

been used to solve thousands of business prob-

The field of Applied Behavior Analysis was

lems in the last five decades. Many of these prob-

clearly defined by Baer, Wolf, and Risley (1968).

lems plagued organizations for a long time and in

Its subject matter is human behavior: why we act

some cases were thought to be unsolvable.

as we do, how we acquire habits, and how we lose

Businesses such as restaurants, hotels, call centers,

them; in other words, why we do the things we

and other minimum-wage occupations accept high

do and how we can change them, if change is

turnover rates as a necessary cost of doing business;

needed. Performance Management, as defined in

yet, the use of PM methods has cut turnover in

this book, is the branch of Applied Behavior

such jobs by half in as little as 90 days!

Analysis that focuses on the workplace1.

To understand behavior, behavior analysts use

the same scientific methods that the physical sci-

“The fundamental goal of Performance

ences employ: precise definition of the behavior

Management is to bring out the best in

under study, experimentation, and consistent

people while generating the highest

value for the organization. ”

replication of the experimental findings. Basic

research in this area has been conducted for over

1 For a comparison of PM with Industrial-Organizational Psychology please see Bucklin, Alvero, Dickinson, Austin and Jackson, Journal of Organizational Behavior Management, Vol., 20 #2. “Industrial-Organizational Psychology and Organizational Behavior Management: An Objective Comparison.”

CHAPTER ONE

2

Copyright Grantland Enterprises; www.grantland.net. Reprinted by permission.

on investment ranging from 4:1 to 60:1 in

“The best way to treat people is also

the first year. Successful applications have

the best way to run an organization. ”

occurred in a wide range of organizations,

—Sherman Roberts, Ivy League Consortium

from manufacturing and service to software

development and research. Job-specific

applications range from sales and safety to

customer service and vendor performance.

“In a survey of the research literature,

In a survey of the research literature,

Duncan (1989) reports the average

Duncan (1989) reports the average

improvement in PM applications is 69

improvement in PM applications is 69 per-

percent. ”

cent. Figure 1.1 lists some general areas of

PM applications.

The Value of PM to Organizations

2. PM produces short-term as well as

Organizations use PM for many reasons.

long-term results. Mitchell Fein (1981),

However, the seven reasons that follow highlight

the value of PM to business, industry, and gov-

ernment.

Figure 1.1 Areas of Successful PM

Intervention

1. PM is practical AND it works. PM is prac-

Customer Service

tical. It is not a generalized abstract theory

Distribution and Transportation

that suggests ways to think about problems;

Engineering

it is a set of specific actions for increasing

Information Management

desired performance and decreasing unde-

Manufacturing

sired performance. The PM procedures

Research and Development

have been validated against measurable

Safety

results in a wide variety of applications.

Sales

Vendor Performance

Firms using PM have reported returns

WHAT IS PERFORMANCE MANAGEMENT?

3

the creator of a gain-sharing system called

sustain commitment and enthusiasm, peo-

Improshare, says that if you go onto the pro-

ple must see both short- and long-term

duction floor, into the office, or into the lab

results. See Figures 1.2 A-D.

and do the right things, you will see a per-

It is important that executives see lasting

formance change in 15 minutes. He is not

results since most corporate initiatives die

entirely correct. If you do the right things,

within a couple of years, at best. Often,

you will, in many cases, see the effect imme-

executives, after seeing a short-term result,

diately! In fact, laboratory research (Foster

ask the question, “But will it last?”

& Taylor, 1962; Mal, McCall, Newland, &

The longest running PM system at this

Cummins, 1993; Stoddard, Serna, &

writing is Blue Cross and Blue Shield

McIlvane, 1994) has shown that animals

(BCBS) of Alabama, rated the #1 PPO in

and humans can learn or change after receiv-

America ( Consumer Reports, 20-4). They

ing only one reinforcer!

have been using PM as the way they manage

the corporation for 33 years and counting.

The PM way of managing has survived four

“No matter how defective a behavioral

different presidents and, the current presi-

account may be, we must remember

dent lists as one of his goals to make PM

that mentalistic explanations explain

implementation even more effective than

nothing. ”

did his predecessors. At BCBS of Alabama,

—B.F. Skinner

high performance and morale are unequaled

among major corporations. One of the early

Results are produced quickly using prin-

results is shown in Figure 1.3. This is just

ciples of behavior analysis. Once mastered,

one of thousands of improvements that have

the applications of PM to accelerating orga-

been celebrated over more than three

nizational performance are so successful

decades of using PM effectively. For more

that they become habitual and so positive

about how BCBS Alabama has used PM,

that they become the only way to manage

see PM Magazine and PM E-Zine Archives

performance. More importantly, the results

at aubreydaniels.com. We know PM can be

last. An increasing number of companies

sustained for at least 33 years. That should

using PM are still getting consistent

be long enough for most managers.

improvement after more than 20 years.

If you try to solve a problem using the

Use the QR CODE reader on your

procedures and techniques described in this

smartphone to learn more about:

book and do not see changes in perform-

Performance Management Magazine

ance within the first 10 to 15 data points,

(PMeZine)

you can bet you are doing something

wrong. The good thing about this approach

is that if you don’t get the desired results

3. PM requires no formal psychological

with your first intervention, you will know

training. Performance Management is sup-

the steps to take to correct the problem. To

ported by thousands of experimental and

CHAPTER ONE

4

Figure 1.2A Union National Bank Rate of Proving

Checks and Deposits

BASELINE THROUGH

Baseline through first 23 weeks ofF tre at men t.

Figure 1.2B Percentage of Employees Using

2100

BASELINE

FEEDBACK ONLY

Hearing Protection

From the beginning of all applications of PM, there was an immediate and consistent effect on the percentage of time employees used hearing protection. Points represent two observations per day.

1800

100

our

90

1500

s Per H

80

Item

The dramatic power of feedback alone

70

to enhance employee performance is

shown here: From an average of 1,000

earing Protection

1200

60

items proofed per hour during baseline

to a striking 1,800—nearly double—

using feedback only in 10 weeks is truly

50

earing H

amazing.

40

900

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

BASELINE

INTERVENTION

Weeks

Percent W 30

(Adapted from R. O'Brien, A. Dickinson, M. Rosow , 1982 , Industrial

20

Behavior Modification: A Management Handbook, New York, Pergamon 05

10

05

10

15

Press, Inc., p 372. Reprinted with permission.)

Days of Observation

Figure 1.2C Responses to High Priority Customers’

Figure 1.2D Circuit Breaker Assembly Performance

Issues by Software Engineers

Responsiveness had been declining for five months. With the imple-From a two-year baseline of 83%, performance on the assembly of mentation of PM, responsiveness rose to 100% the first month.

electrical circuit breakers rose to over 100% of standard in four days.

100

115

110

80

105

STANDARD

100

60

fficiency 95

Percent

90

40

Percent E 85

20

80

75

0

70

1

2

3

4

5

1

2

3

4

5

6

7

2 Yrs

2

4

6

8

10

12

14

16

18

Months

Days

( Adapted from “A New Approach to Software Engineering Management” by Susan Webber, 1990, American Programmer, July/August 1990, pp 65-71.)

WHAT IS PERFORMANCE MANAGEMENT?

5

applied research studies in laboratories, uni-

understand their deep-seated anxieties, feel-

versities, schools, clinics, hospitals, and

ings, and motives. He took the position

homes since the early 1930s. (See Cooper,

that the only way you can know people is

Heron, & Heward, 1987; Fredrickson,

by observing how they behave (what they

1982; Iverson & Lattal, 1991; Kazdin,

do or say). In his book, About Behaviorism,

1975; Lattal & Perone, 1998; Martin &

he states, “No matter how defective a

Hrycaiko, 1983; Millenson & Leslie, 1979;

behavioral account may be, we must

O’Brien, Dickenson, & Rosow, 1982; Pierce

& Epling, 1999; Sulzer-Azaroff & Mayer,

“Performance Management is support-

1991.) This research is based on the pio-

ed by thousands of experimental and

neering work of the American psychologist,

applied research studies in laborato-

B. F. Skinner (1938, 1953, 1972, & 1976).

ries, universities, schools, clinics, hos-

Dr. Skinner on whose research PM is

pitals, and homes since the early

founded rejected the belief that in order to

1930s. ”

work effectively with people you must first

Figure 1.3 Health Insurance Claims Settled

An example of how the deliberate, systematic use of PM, which included Measurement, Feedback and Positive Reinforcement (R+) increased performance from an average of 45 claims settled per day to over 130.

CLAIMS ADJUDICATED PER DAY

140

BASELINE MEASUREMENT

MEASUREMENT,

130

AND FEEDBACK

FEEDBACK, AND R+

120

ay

ettled

g D

110

s S

100

laim

eratinp

f C

90

er O

er ob

80

mu yee Plo 70

pm 60

verage N

er E

A

P

50

40

30

1980

1981

1982

Years

(From “Alabama ‘Blues’ Don’t Sing the Blues Anymore” by Richard Dowis, 1983, Performance Management Magazine, 1-2, pp. 3-5.

Copyright 1983 by Performance Management Publications. Reprinted by permission.)

6

CHAPTER ONE

remember that mentalistic explanations

others can study the overt expression just as

explain nothing” (Skinner, 1974, p. 224). It

with any other behavior.

explains nothing to say that a person is

Because the science of behavior starts

“lazy,” “unmotivated” or “passive-aggres-

with the here and now, managers do not

sive.” These explanations require interpreta-

need to pry into people’s private lives or

tion of the actions of performers (as though

their personal histories in order to create a

any of us can read the minds of others).

workplace that brings out the best in them.

Labels such as “lazy” make the work of

Managers do not need to know how people

improving performance much more com-

were potty trained, that they hate their

plex than many managers see themselves

fathers, or that they are middle children.

capable of handling. Applying labels to

Because PM deals with the present,

actions, rather than just describing what is

everybody can learn its techniques. In other

seen or heard, removes objectivity and

words, you do not need to be a psycholo-

lessens or destroys the possibility for rapid

gist, psychiatrist, or a mind reader. As a

performance improvement.

matter of fact everyone, even if unaware of

doing so, makes use of and is influenced by

the laws of behavior. Unfortunately individ-

“Because the science of behavior starts

uals, whether aware or unaware of these

with the here and now, managers do

laws, may still behave in ways that create

not need to pry into people’s private

problems rather than solve them.

lives or their personal histories in order

The principles of behavior are so simple

to create a workplace that brings out

that infants learn to use them to gain con-

the best in them. ”

trol over their parents in a very short period

of time. Notice how quickly people respond

Because the PM approach focuses on

when a baby cries or smiles. However, the

behavior rather than mental activity, some

paradox is that even though the basics are

critics have said it denies thoughts and feel-

very simple, they are not obvious. As a

ings. Performance Management and the sci-

result, we often inadvertently teach people

ence from which it is derived do not deny

to do what we don’t want them to do.

thoughts and feelings but consider them

Consider an example from home. A child

just more behavior to be explained.

asks for candy an hour before dinner and

Thoughts and feelings are private behaviors.

you say no because it will spoil his appetite.

The methods used to study and understand

He cries loudly for 10 minutes and you give

overt behavior applies to private behavior as

the candy to him to stop the crying. In the

well. The difference is that the only person

short term, you have stopped the crying

who can use those methods on internal

(may be seen as a good thing), but in reality

thoughts and feelings is the individual who

you have increased the likelihood that the

has them. Until private thoughts are shared

child will cry again in the future when he

through spoken words or some non-verbal

wants something, especially candy. Not

behavior, they are not available to others.

only that, but you might have decreased his

Once any private event is made public, then

asking for something rather than crying for

WHAT IS PERFORMANCE MANAGEMENT?

7

it. This applies to our own behavior as well.

product that the company has been making

We learn and do things that are sometimes,

for 50 years. PM principles have been

in the long run, not good for us even

shown effective in companies as small as 5

though we find them rewarding. For exam-

employees and as large as 50,000 or more

ple, eating fast food that is high in fat, cho-

employees.

lesterol, carbohydrates, salt or sugar is more

pleasurable immediately, but eating these

5. PM creates an enjoyable place in which

foods have long-term detrimental effects on

to work. Most people agree that if you are

our health. You can avoid this mistake by

doing something you enjoy, you are more

learning how such situations occur and how

likely to perform better than if you don’t

to change them in a productive way. In the

like what you are doing. Unfortunately

final analysis, we are all subject to the laws

some managers have the notion that fun

of learning.

and work don’t mix. Indeed, in many cases

the way people have fun at work is at the

4. PM is a system for maximizing all kinds of

expense of the work rather than through it.

performance. Because PM is based on

Everyone knows of employees who engage

knowledge acquired through a scientific

in off-task behavior such as horseplay, prac-

study of behavior, the principles are applica-

tical jokes, playing computer games, surfing

ble to behavior wherever it occurs. This

the Internet, using social media or other

means that PM applies to people, wherever

forms of non-work activity.

they work and no matter what they do. The

If, however, the fun comes from doing

applicability of PM to routine and easily

the work, then management should be pre-

measured jobs is apparent with a basic

occupied with how to increase fun rather

understanding of the principles. However,

than how to eliminate it. A manufacturing

it may be easier to see how PM applies to

executive recently said, “Sales and market-

production jobs than to jobs where the

ing folks know how to have fun at work. In

main outcome is to produce something

manufacturing, we haven’t had much fun;

considered creative or innovative such as in

no, we haven’t had any fun. We’ve got to

research or engineering (Figure 1.4), or to

change that.” We certainly agree.

complex organizational problems such as

Fun and work are so antithetical to some

bringing about a cultural change or creating

managers that this subject may turn them

a totally engaged workforce.

off. But, as you will see, when you have fun

Be assured that if one or more people are

that is directly related to organizational

involved in any activity, PM can enable

accomplishments, you will find that quality,

them to work consistently at their full

productivity, cost, and customer service can

potential. These principles work whether

all be dramatically improved.

the performer is the president of the com-

pany or the custodian; whether the target is

6. PM can be used to enhance relationships

an R&D group working on telecommunica-

at work, at home, and in the community.

tions systems for future generations or a

While this book focuses on the workplace,

group of textile employees producing a

we use many examples from everyday life

8

CHAPTER ONE

Figure 1.4 New P roduct Model Revisions in a Research and Development Department New Product Model Revisions

45

40

e

35

im

30

tal To

25

s vs. Tn

20

evisio 15

rs - Ruo 10

H

5

0

6 Month Avg

Aug

Sep

Oct

Nov Dec

Jan

Feb

Mar

Apr

May

Jun

Jul

Aug

Month

Translating a set o f e ng ineering dr awings i nto a workin g mod el requi res the s ki ll s of a craf tsm an and the creativity of an artist. Using PM, this group learned to create models with fewer revisions.

because they are easy to relate to, and they

immoral, or unethical (although it may be

highlight the universality of the approach.

fattening in some cases). Because of the siz-

Indeed, many managers have been con-

able number of positive reinforcers needed

vinced of the power of the approach by first

to sustain high levels of performance, high

applying PM to a difficult problem at

performance organizations teach these prin-

home. Imagine using PM to increase your

ciples to everyone so that employees at all

child’s completion of chores at home or to

levels can facilitate the performance of oth-

increase the volunteers’ participation at

ers as well as their own. Just as managers

your school fund-raiser, all by making the

influence the performance of the people

activities more enjoyable for everyone

they supervise, employees influence the per-

involved!

formance of managers through the same

process. Nothing about the principles states

7. PM is an open system. PM includes no

that reinforcement only works down the

motivational tricks. You will learn nothing

organizational hierarchy. Reinforcement

in this book that you would not want

works on behavior. It doesn’t matter who

everybody in your organization to know.

performs the behavior. Therefore, PM

You will learn nothing that is illegal,

WHAT IS PERFORMANCE MANAGEMENT?

9

works equally well up and across the organi-

be enhanced. Since there are no “motivational

zation. Because Performance Management

tricks” involved in implementing PM it can be

relies primarily on positive methods for

shared at all levels of an organization with open-

changing another person’s performance,

ness and confidence that everyone will benefit.

there is no need for secret improvement

Huge increases in behavior and bottom-line

plans. On the contrary, every reason exists

results are potentially possible when applying this

to be open and honest in all relationships at

approach to every facet of an organization.

work. In the final analysis, changing per-

Managers and employees alike will find that they

formance with PM will result in people get-

can generalize their newfound skills to other set-

ting more of what they want from work.

tings at home and in the community with similar

Who could complain about that?

results. Now let’s take a look at the behavioral sci-

ence underlying PM.

Summary

Performance Management can be a marvelous,

amazing tool when used appropriately in business

and industry—practically any performance from

improving customer service to “idea sharing” can

11

2

The Science of Behavior

“Science is a systematic approach to the under-

In Science and Human Behavior, Skinner is

standing of natural phenomena—as evidenced by

famously quoted as saying, “Science is first of all a

description, prediction, and control—that relies on

set of attitudes. It is a disposition to deal with

determinism as its fundamental assumption,

facts rather than what someone said about them.”

empiricism as its prime directive, experimentation

(Skinner, 1953, p. 4). In his lab, Skinner was able

as its basic strategy, replication as its necessary

to study individual organisms, develop finely

requirement for believability, parsimony as its con-

tuned measurement devices that could determine

servative value, and philosophic doubt as its guiding

rate of response of individual behaviors, and

conscience.1”

study the effect of consequences on behaviors.

Psychologists have been pursuing a science of

behavior since the mid 1800’s when structuralism

was first promoted by Wilhelm Wundt and

“Science is first of al a set of attitudes.

Edward Titchner. PM has its roots in the more

It is a disposition to deal with facts

rather than what someone said about

modern approach called operant conditioning.

them. ”

Operant conditioning was first advanced by

—B.F. Skinner, Science and Human Behavior

Skinner in The Behavior of Organisms: An

Experimental Analysis (Skinner, 1938). This early

work was with rats and pigeons and sought to

His pioneering research provides the foundation

understand the basic principles by which behav-

for the practice of PM. Behavioral psychologists

ior was acquired and maintained. Through his

in the Skinnerian tradition assume behavior in

research Skinner established fundamental princi-

the workplace is determined by the conditions

ples that we still employ today: conditioning,

that surround it. That includes the person’s histo-

extinction, stimulus discrimination, motivation

ry of familial, social and environmental experi-

(which he called “drive”), and basic schedules of

ence as well as all the behavioral consequences

reinforcement. In 1953 Skinner published his

that exist in the workplace. They take data on

classic work, Science and Human Behavior

human performance, usually at the individual

(Skinner, 1953) in which he outlined, “The

level, and then implement interventions (“experi-

Possibility of a Science of Human Behavior.”

ments”) and evaluate them. They are, in the very

1 Cooper, J. O., Heron, T. E., & Heward, W. L. (1987). Applied behavior analysis. Columbus, OH: Merrill Publishing Co.

12

CHAPTER TWO

best sense of the term, “applied scientists” seeking

engineering, downsizing, lean manufacturing and

knowledge that can be replicated from one indus-

Six Sigma—the list is endless—have all been

try to the next.

touted to improve organizational efficiency and

One of the fundamental principles that

effectiveness. Almost every month, business pub-

Skinner discovered was reinforcement.

lications feature articles about how well some

Reinforcement is defined as any consequence that

new program worked at Company A and how

follows a behavior that increases the probability it

miserably the same kind of intervention failed in

will occur again in the future. This strengthening

Company B. How could two drastically different

effect of certain consequences on specified behav-

outcomes result from the same program? The

iors is a foundational concept for the practice of

answer usually given is that there were differences

PM. Those trained in this technology can learn

in upper management support, differences in

to spot behaviors that do not occur often enough

business conditions, differences in personnel, and

and then try to determine what the most appropri-

so on. They almost never look at differences in

ate reinforcer should be—in many, many cases

behaviors and their consequences in the two

what is intended to be a “reinforcer” is provided in

interventions.

The net result is that most businesses today

enter into these activities with only the hope that

“The whole of science is nothing more

they have control of all the relevant conditions

than a refinement of everyday thinking. ”

necessary for success. There must be a better way.

—Einstein

Common Sense is Not Science and Will

such a way that it is not actually a reinforcer at all.

Not Consistently Improve Behavior

Positive reinforcement increases behavior pre-

How do we know what works in the long term

dictability (e.g., Iversen, 2002). In general, the

versus what is likely to produce only a short-term

more a behavior is reinforced, the more pre-

change? There are four common ways of knowing.

dictable it becomes. The paradox arises because

1. Authority. We believe something is true

reinforcement is so personal and is usually deliv-

because an authority says it is. We look to

ered in a calm manner that it seems to be a weak

an encyclopedia, TV, newspapers, and to

action of a manager compared to the emotional

prominent people or experts. Our appeal to

outbursts or sternness of a command-and-control

authority for answers begins in childhood

manager (someone who has to constantly show

when we look to our parents for the truth.

he or she is in charge, perhaps even including fre-

2. Agreement. We can ask several people and

quent tantrums). Only when you look beyond

if they all come up with the same answer,

the obvious can you decode the mechanisms that

we usually feel comfortable that we know

really produce the responses that make for good

something. We can look to different sources

management and for strong organizational per-

that all agree such as written and verbal

formance.

reports.

Businesses are bombarded every day by people

who are selling a new program, system, or initia-

3. Personal Experience. We do things that

tive that promises an answer to current business

work for us. If they work for us consistently,

problems. Self-directed teams, empowerment, re-

we think we know how they work for others.

THE SCIENCE OF BEHAVIOR

13

Figure 2.1 Common Sense Knowledge vs. Scientific Knowledge Common Sense Knowledge

Scientific Knowledge

1. Acquired in ordinary business and

1. Must be pursued deliberately,

living

systematically

2. Is individual

2. Is universal

3. Accepts the obvious

3. Questions the obvious

4. Is vague

4. Is precise

5. Is not reliable for consistent results

5. Yields same results every time

6. Gained through uncontrolled

6. Gained through controlled experience

experience

4. Science. Einstein said, “The whole of sci-

mon sense knowing, most of us use common

ence is nothing more than a refinement of

sense as the basis for most of our knowledge. A

everyday thinking.” While that sounds pret-

look at the above chart (Figure 2.1) will tell you

ty simple, the catch is in the word refine-

why.

ment. The refinements involve precise spec-

As you can see from the chart, common sense

ification of the problem investigated, exper-

solutions only require living. Scientific under-

imentation, analysis, and replication of the

standing requires systematic effort. As Benjamin

results. Scientific knowing leads to more

Franklin said, “Experience is a dear school and

effective explanations and to the simplest

fools will learn in no other.” Everyone has experi-

explanation that allows for effective action.

ence. The problem is that few people can differ-

entiate the good experience from the bad.

The first three ways of knowing—authority,

A story is told of a golfer whose caddy had also

agreement, and personal experience—fall into

caddied for the professional golfer, Sam Snead. As

what we would call common sense ways of know-

they were approaching a lake in front of the

ing. They are all subject to considerable error.

green, the golfer asked the caddie, “What club

Authorities have often proven to be wrong. The

did Sam use on this hole?” The caddie replied, “A

authorities knew that Galileo was wrong when he

seven iron.” The golfer looked at the distance to

proposed a heliocentric theory of the universe.

the hole and asked, “Are you sure he used a

The authorities were sure for centuries that the

seven?” “Yes, sir,” replied the caddy. The golfer

universe was geocentric. Rioting mobs are often

pulled a seven iron and hit it into the water 15

wrong, although there is usually 100 percent

yards from the green. “You mean to tell me that

agreement among the group members at the time.

Snead hit a seven iron on that green from here?”

As much as we might hate to admit it, our experi-

the golfer asked incredulously, “No sir,” replied

ence often teaches us things that are wrong.

the caddy, “He hit his where you did.”

Although scientific knowing is superior to com-

Science is also about asking the right questions.

14

CHAPTER TWO

Misreading Cause and Effect

Figure 2.3 Determining Cause and Effect (B)

Let us say that we have a company with multiple

plants. Plant Location A (Figure 2.2) implements

BASELINE

SELF-DIRECTED TEAMS

self-directed teams and, subsequent to that, a sub-

stantial increase in product quality occurs. What

can you say about the effect of the implementa-

tion of self-directed teams on quality? Many

organizations getting this result would be delight-

ed and would assume a cause-and-effect relation-

ship between the introduction of self-directed

teams and the increase in product quality. Would

ality

u

LOCATION A

you say that a relationship exists?

ct Q

u

BASELINE

NO SELF-DIRECTED TEAMS

d

ro

Figure 2.2 Determining Cause and Effect (A)

P

BASELINE

SELF-DIRECTED TEAMS

alityu

ct Q

LOCATION B

u

dro

Weeks

P

LOCATION A

time does not mean that one caused the other.

There is, for example, correlation between the

Weeks

miles of paved roads in a country and the number

of cases of malaria. The more miles of paved road

Suppose Location B did not implement self-

there are in a country, the fewer cases of malaria.

directed teams but a review of quality data

We cannot conclude that unpaved roads cause

showed the results in Figure 2.3. What would you

malaria or that paving all roads will stop malaria.

now conclude about the effect of self-directed

Similarly, because self-directed teams were intro-

teams on product quality?

duced at the company and a coincidental increase

If we got similar results at Locations C and D

in quality followed, does not mean that the teams

(Figure 2.4) none of which had implemente d self-

caused the increase. Determining the causes of

directed teams, you would be on thin ice if you

behavior is a primary goal of the science of behav-

concluded that the team intervention caused the

ior analysis because determining such causes

increased product quality.

allows development of reliably effective interven-

One of the first things taught in courses on

tions for the workplace.

the scientific method is that correlation is not cau-However obvious this may be to you, it is

sation. Just because two things are associated over

astounding how many companies undertake

THE SCIENCE OF BEHAVIOR

15

Figure 2.4 Determining Cause and Effect (C)

improvement efforts because they have read

about a company that tried some off-the-wall

BASELINE

IMPLEMENTED

training that solved the company’s problems.

SELF-DIRECTED TEAMS

This is enough proof for many managers and

executives to spend large amounts of money and

occupy many people in efforts that offer no solid

evidence of a cause-and-effect relationship

between activity and results. Business periodicals

are filled with stories of this nature. The problem

is that one year later, the results usually evaporate.

LOCATION A

This is why many companies that were exemplars

on Tom Peters’ lists of excellent companies

BASELINE

NO SELF-DIRECTED TEAMS

(Peters & Waterman, 1982, In Search of

Excellence) fell out of the excellent group within a

year or two. Some of them even went out of busi-

ness! Obviously Peters didn’t identify all the crite-

ria for excellence. In his book, Fooled By

Randomness: The Hidden Role of Chance in the

Markets and in Life, Taleb (2001) describes how

many people on Wall Street are lauded as brilliant

ality

u

LOCATION B

one day and declared as fools the next because

ct Q

they were unable to separate apparent causes from

ud

BASELINE

NO SELF-DIRECTED TEAMS

real ones. While discovering real cause and effect

roP

may appear to be difficult when dealing with

behavior, it is easier than you might think.

In behavior analysis there are two primary

ways of determining cause and effect: They are

reversal and multiple-baseline research designs.

An example of each is shown in Figures 2.5 and

2.6. Both designs will be discussed in more detail

LOCATION C

in Chapter 22.

BASELINE

NO SELF-DIRECTED TEAMS

“Performance Management is not

something we made up. It is based on

research that is every bit as scientific

as biology, chemistry, and physics. ”

In today’s economy, a scientific orientation is

both a practical and economic necessity for

LOCATION D

organizations. If we are truly able to develop the

most cost-effective way to produce and deliver

Weeks

16

CHAPTER TWO

Figure 2.5 Employee A ttenda n c e a t N ew Job Assignments (ABA Design) R

Reaffirmations, Reminders, and Reinforcers

Reaffirm

BaselineBASELINE

REAFFIRM

REVERSAL

Only

Reversal

100

90

80

tage

70

ercen

Baseline Mean

BAS ELINE

R R

E ev

V er

E sal Mean

RSAL

93.4%

94.1%

ce P

MEAN

MEAN

60

and

93.4%

94.1%

50

ttenA

40

30

0

3

6

9

2

5

8

1

4

7

0

3

6

9

2

5

0

3

6

9

2

5

8

1

4

7

0

3

6

9

2

5

8

1

4

7

0

3

6

9

2

5

8

1

4

7

1

4

7

0

0

0

0

1

1

1

2

2

2

3

3

3

3

4

4

1

1

1

1

2

2

2

3

3

3

4

4

4

4

5

5

5

6

6

6

7

7

7

7

8

8

8

9

9

9

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

DAYS

Days

(Segal, J. and S m it h wi ck, S. [1 9

95 ]. In

cr

easing t

em porary e

mploye e

attenda

nc

e a t

ne w j

ob assignments.

Tallahassee: SPM Press, Inc.)

Progress in Performance Management, Vol. 4. Tallahassee: SPM Press, Inc. Reprinted by permission. ) our product or service to the customer, we must

that the science of behavior analysis requires. We

be able to eliminate unnecessary work. This can

work hard not to do so, but on occasion, we will

only be done when we can show reliable relation-

use words and phraseology that are more com-

ships between behavior and results. This book

mon to our shared experiences. An example is

will show you how to tease out cause-and-effect

when we state that a person is reinforced for

relationships in all that you do and in a practical,

something. We know, of course, that it is not the

non-intrusive way.

person who is being reinforced but the person’s

Performance Management is not something

behavior. Once we feel that we have made the tech-

we made up. It is based on research that is every

nical point, we want to use language that is under-

bit as scientific as biology, chemistry, and physics.

standable from a common-use perspective. For

As such, it offers businesses a systematic, data-

example, in the previous sentence, the word feel is

based approach to create cost-effective ways to

not a scientific word; however, few people would

grow organizations.

question its meaning in that sentence. Above all, we

want the reader to know that this book is based on

The Use of Words in this Book and the

science. To use the concepts and tools described in

Science of Behavior Analysis

it requires precise application. To get to that point,

Consider as you read this book that we will occa-

we try to strike the proper balance between techni-

sionally break from following the language clarity

cal accuracy and readability.

THE SCIENCE OF BEHAVIOR

17

Figure 2.6 The Cumula tive Nu mber o f Gra ffiti M arking s Re c orde d in Each of Three Men’s

Restrooms D

ur ing Ba seli ne (M ultiple B aseline Design) (Notice that the problem behavior stopped immediately in each bathroom only after the intervention started.) 80

BL

BL

Sign

Follow-Up

SIGN

FOLLOW-UP

60

Bathroom 1

40

20

0

160

gs

140

arkin

120

f M

100

er o b

Bathroom 2

80

mu

60

40

lative Num 20

uC

0

350

300

250

200

Bathroom 3

150

100

50

0

1

5

10

15

20

25

30

35

40

45

50

1 2 3

Observation Days

Months

(Figure 1. Adapted from “ A Prompt Plus Delayed Contingency Procedure for Reducing Bathroom Graffiti” by T. Steuart Watson, 1996. Journal of Applied

Behavior Analysis, Vol. 29, No. 1, Spring 1996, pp 121-124. (Reprinted with permission from the Society for the Experimental Analysis of Behavior, Inc.)

18

CHAPTER TWO

By permission of John L. Hart FLP and Creators Syndicate, Inc.

19

3

Business IS Behavior

very inefficient and in the long run, ineffective.

Because results are always the end product of

“Al organizational results are the prod-

uct of human behavior. ”

behavior, by the time you get the result, the

behavior that created it is long gone. To under-

stand the causes of the results, you must recreate

Behavior-Based Organizations Excel

the past. You might as well be an archeologist,

Success in business is defined by an organization’s

digging through historic remains, trying to re-cre-

ability to produce results. If you don’t make a

ate the exact events that produced an ancient

profit, you will go out of business. If a nuclear

piece of pottery. You are just about as likely to

power plant can’t generate power, it will ultimate-

find all the behaviors, which caused that negative

ly shut down. If governmental organizations don’t

result on your quarterly production report as an

produce consistent results for their constituents,

archeologist is to determine what a mummy ate

they open their operations to privatization. The

three months before death. When you try to

same is true for each managerial position within

manage by results, you are always asking, “What

your organization. If a manager does not produce

happened?” By that time, you’re already behind

results, he/she will not be judged as successful.

the eight-ball.

All organizational results are the products of

To be a proactive manager, you must define

human behavior. Every result is produced by

the results that you need and then determine the

someone doing something. If you want to

behaviors that will produce those results. You

improve results, you must first get employees to

then manage those behaviors as they occur. If you

change what they are doing. You want people to

do so consistently and systematically, you will

do some things either more or less often, or in know the result before you see the report at the

some cases, to do something entirely different.

end of the day, week, month, or quarter. When

you manage behavior daily, you are creating the

future results that your organization values.

“To be a proactive manager, you must

define the results that you need and

Build Behavior and Results Will Come

then determine the behaviors that wil

Business is behavior. Without behavior no orga-

produce those results. ”

nizational accomplishments are achieved. Before

businesses discovered behavior, they tried to

To change results, you must change behavior.

improve results by eliminating people through

Managing by results is a reactive approach and is

downsizing, moving them around through

20

CHAPTER THREE

re-engineering or by changing the types of people

for, and valuing of, mission critical behaviors and

hired. These approaches had only limited success.

results. It is, if you will, the overall scorecard for

It is safe to say that billions of dollars have been

the organization. A result, as we use the word,

wasted because the designers and initiators of

refers to the outcome of the process you design to

these activities didn’t understand some of the

convert inputs into outputs. These results, along

basic laws that govern human behavior (See

with certain economically valuable behaviors, are

OOPS: 13 Management Practices that Waste Time

then converted into some accounting format that

and Money and What to Do Instead (Daniels

assigns them an economic value. This simplifies

2009). Within the last few years, business has

analysis at an organizational level and allows for

become acutely aware of the need to change

an easy prioritization process for the allocation of

behavior, not people. This is an important dis-

resources. While the bottom line may be the

tinction because the distinction between chang-

place to start your analysis when defining the

ing behavior and changing people is still often

potential for improvement, you must trace any

confused.

result to its behavioral components to actually

As noted by Johnson (2002), some employees

realize that potential. You do not manage the

are turned off by the term behavior because it

bottom line; you manage the processes that create

indicates that employees are at fault. But actually,

it, most especially the conditions that support

this approach relieves the individual of fault and

organizationally valuable behaviors!

places fault, or the causes of behavior, on the envi-

ronment in general, comprised of the dynamic

relations between the organization/infrastruc-

“A result refers to the outcome of the

process you design to convert inputs

ture, managers, and employees. Company owners,

into outputs. ”

managers, and supervisors can design environ-

ments where employees are effective, efficient,

and enjoy their work.

Traditionally, managers have been held

International competition has accelerated the

accountable for attaining results, so management’s

need for dramatic change in virtually all aspects

focus on results is understandable. As a group,

of business. Executives realize they must change

managers have had little formal training in behav-

the way they are doing business and they’d better

ioral methods but have nevertheless been success-

do it in a hurry! It’s difficult to find a current

ful by identifying the measurable, bottom-line

business publication that does not contain quotes

results to be accomplished and by holding others

from some executive about the necessity of

accountable for producing them. The problem

changing the behavior of employees. However, if

with this approach is that it is often a costly and

you read carefully, you will see that they are not

unpredictable way to get results, in both financial

talking about behaviors at all, but are still talking

and human terms. By the time a result is produced

about results, only using another name.

(profitability, for example), many behaviors have

This confusion extends to the word results as

occurred. If those behaviors have not been deliber-

well. For many people the word results means the

ately managed, in almost all instances, results

bottom line. In the context of organizational per-

could have been more efficiently and effectively

formance, results and bottom line are entirely dif-

produced, thus saving time, energy, and cost. By

ferent. The bottom line refers to the accounting

more carefully managing performance, even in

BUSINESS IS BEHAVIOR

21

A Story Attributed to Dr. George Odiorne

When George Odiorne, Author of Management by

everything,” he said. “Nothing I do pleases him. Do

Objectives, was consulting with a company in the

you have any idea what he wants?”

Midwest, the company’s president asked him if he

would talk to a new vice president who was “not cut-

Odiorne pul ed the card from his pocket and while

ting it.” Odiorne asked the president what he want-

looking at it said, “Yes I do know, but I can’t tel

ed the man to do. The president responded, “He’l

you.” Then he asked, “Where’s the restroom?” The

tel you.”

VP told him, and as he left, Odiorne laid the card on

the VP’s desk. By the time Odiorne returned, the VP

“I’m sure he wil , but I need to know from you what

had feverishly copied the information from the card.

you want him to do,” he replied.

Several months passed and Odiorne returned to the

“Look,” the president said, “If I’ve got to tel him

company. The president met him in the lobby as he

what to do, I’ve got the wrong man for the job.”

entered the building and said, “George, I’ve got al

Odiorne insisted that he needed to know the presi-

my VPs in the conference room and I want you to do

dent’s expectations so he would know how to prop-

with them what you did with the other VP, because

erly advise the vice president. Final y, the president

he has real y changed!”

said, “Alright, I’l tel you, if you promise not to tel

Odiorne, knowing he had to tel the president what

him.” Odiorne agreed but wrote what the president

had transpired, said, “You asked me not to tel him

told him on an index card.

and I didn’t, but he did see the information on the

As soon as Odiorne sat down in the VP’s office, the

card.” The president glared at Odiorne with disgust

vice president poured out his problems. “I’ve tried

and said, “I knew he cheated!”

very successful companies, such gains in effective-

would-be burglars must have said something like,

ness and cost reduction can add up to many mil-

“I don’t care how you get it; just get it!” Of

lions of profitable dollars.

course, the way they got it is now well known

Whether the Odiorne story is true or apoc-

around the world. This infamous event at least

ryphal, it illustrates a common, and disastrous,

started a concern in business and government

way to manage. The president in this tale never

that values should be placed high on any board-

realized that good managers do not put someone

room or political agenda. Unfortunately, many

in a situation where they have to use trial and

companies thought they could manage values

error to figure out what they are doing right or

without understanding behavior and, in our opin-

wrong. Such a practice will, at best, produce slow

ion, this has resulted in the scandals at Enron,

change, much unnecessary error, bad practices,

WorldCom, Arthur Andersen and of course the

and/or employee burnout.

now infamous Bernard L. Madoff Investment

A quote attributed to former President

Securities, to name just a few.

Theodore Roosevelt is, “The best executive is the

Of course the opposite extreme exists as well.

one who has enough sense to pick good men [sic]

Many managers involve themselves too deeply in

to do what he wants done and self-restraint to

their subordinates’ behavior. Although the term

keep from meddling with them while they do it.”

micromanagement is often misused, it describes

This kind of managing by results was exemplified

the activity of many managers who attempt to

decades later with the Watergate escapade. One

control every single behavior of others. This is a

can imagine that the official who instructed the

self-limiting approach since the manager feels

22

CHAPTER THREE

that, to be successful, he or she must know every-

don’t mind when others say they are dependable.

thing that each employee knows and does. Very

Dependable by another name is predictable. Those few managers ever succeed with this process and

who are dependable do what they say they will do

even more rarely do their employees succeed.

and that allows one to predict the future to some

Whether intentional or not, micromanaging is a

extent. The best predictor of what people will do

punitive approach that inhibits or prohibits

today is what they did yesterday. This includes

employees’ professional growth.

what we call habits or patterns of behavior and Peters and Waterman (1982), authors of In

reflects such things as observed thinking styles

Search of Excellence, referred to a “loose-tight”

(the logical assembly of words in patterns) and

form of control. Managers who understand

observed problem-solving approaches that are

behavior are more likely to know when to manage

highly consistent over time and situations.

closely and when to relax their supervision in a

People often react negatively to the idea that

way that still elicits the best performance from

there are laws that govern behavior. These same

their direct reports. Chapter 6 explains this

people do not object to the fact that the law of

approach behaviorally by discussing when to

gravity also governs our behavior. We make choic-

focus on behaviors and when to focus on results.

es based on the law of gravity, whether we have

been schooled in physics or not. A scientific

Ethical Results Through

understanding of gravity allows us to invent

Ethical Behavior

things that make work easier, allows people to

The concern about business ethics and values is

travel faster and farther, and in other ways

really a concern about getting results with gener-

increases the enjoyment of life. In the same way,

ally accepted, socially desirable and honest behav-

our knowledge of the laws of behavior does not

iors. Business is no longer about just getting

change how they affect our behavior but guides

results, but about getting results in a particular

us in developing effective, efficient, and satisfac-

way. Enter behavior.

tory interactions with others at work and at

home. If you do not have this knowledge, the

behavior of others will continuously frustrate and

“The best predictor of what people wil

baffle you. As with atomic power, the laws of

do today is what they did yesterday. ”

behavior can be used for good or evil. Without

an understanding of them, we can have little con-

Unbreakable Behavior Laws

trol over the ways people use them.

Good news! Laws govern our behavior.

Knowledge of those laws allows you to more

“Managers who understand the impor-

effectively accomplish the things that are impor-

tance of behavior can gain a huge com-

tant. While a common sense approach to behav-

petitive advantage. ”

ior tells us that you never know what people will

do, behavior analysis shows you that is not so.

Behavior is more predictable than you might

Behavior: The Key to Quality

realize. Some habits you acquired as children stay

Dr. Edwards Deming, quality guru, actually deni-

with you all of your life. Although many people

grated the role of behavior in organizational

don’t like to be thought of as predictable, they

BUSINESS IS BEHAVIOR

23

results. He stated that the employee should not

3. Methods

be held accountable for results when the system

4. Manpower

was out of control, meaning that the sources of

variability (also known as variance) in the process

1. Materials. Most organizations using

were not minimized. While we would agree with

Deming’s techniques started with materials

him that performers should not be held account-

variance, primarily because it was relatively

able for results they don’t control, there are

easy to demand adherence to specifications

always behaviors that are under the control of the

from vendors. The method was simple:

performers that can be critical to the process.

“Give it to me like I want it or I will get a

Deming’s classic example of how behavior was

vendor who will.” Materials can also refer to

irrelevant to quality was illustrated by his famous

the tools used in service organizations such

marble exercise. He called on someone from the

as training materials or forms of addressing

audience to stick a paddle, with indentations in it

customer needs or other internal materials

for holding marbles, into a covered box and to

that are provided to do the job right. When

pull out only white marbles. Invariably, the per-

materials vary, output will be negatively

son attempting the task pulled out several black

affected.

marbles. No matter how many times they repeat-

2. Machinery. Because all manufacturing

ed the exercise, black marbles were always on the

organizations have a long history of work-

paddle. When the box was uncovered, everyone

ing to get machines to produce consistently,

saw the problem; there were many black marbles

usually many people were right at home

throughout the box. His point was that until the

jumping on this M. Machinery also refers to

black marbles were removed, the performer

the work tools used in service organizations

would continue to perform sub-optimally. While

such as the telephone or the computer.

this point is valid in terms of flawed systems, it

doesn’t prove that behavior is irrelevant. What if

3. Methods. As we go to our customers, we

the person pulled the paddle out at an angle,

often see that competitors use the same

upside down, or in a jerking motion? No marbles

equipment and the same suppliers. Their

would be produced! Behavior is always relevant

competitive advantage comes, they often

to maximizing any organizational result. Many

say, from their different methods of work.

managers believe that behavior is not relevant in

Therefore, engineers were quick to intro-

the workplace. Therefore, those managers who

duce new and better methods into the

understand the importance of behavior can gain a

workplace. Today, many businesses launch

huge competitive advantage.

new initiatives and work methods, com-

plete with slogans and distinct steps. These

Demming and the Four M’s

method changes may be frequent and,

Deming (1986) classified process variance into

though implemented in the name of reduc-

four categories and called them the Four M’s.

ing variances, can be very disruptive and

They are:

demoralizing. Modern organizations have

1. Materials

so many change initiatives, in fact, that

2. Machinery

employees commonly call each new initia-

tive the flavor of the week, month, or year.

24

CHAPTER THREE

4. Manpower. Finally, and most critical for

service deficiency acknowledged. We know of an

true quality excellence to be produced from

employee who, when faced with an unusual flight

Deming’s system, is manpower. Deming

scheduling problem, calls a particular airline sev-

died not understanding how to control the

eral times with the same questions until she can

variability in manpower. Although he

get the response that she needs. She keeps at it

admitted that he did not understand psy-

until she finds a service agent who can and will

chology, as he put it, he set about telling

help her, but by that time, she is frustrated and

managers how to use it. His exhortation to,

unhappy. The airline unknowingly suffers when

“Drive out fear!” was a cornerstone in his

she chooses another carrier whenever possible.

system to improve quality. Yet when asked

The variability in customer service is probably

how to do so, he routinely told seminar par-

costing that airline millions of dollars.

ticipants to fire anyone who used fear to

In certain kinds of jobs, such as designing a

manage others! He apparently saw no con-

new product or service, some variability is

tradiction.

desired. New and improved products and services

often require wide variance in behavior to come

Today almost all organizations approach

up with something unique. Creating organiza-

change by trying to control variance in the first

tions where variance in human performance is

three Ms—materials, machinery, and methods. If

minimized where desired, and maximized where

after going through that cycle there is still vari-

valued, is what this book is all about.

ability, rather than focusing on reducing variance

in manpower, they change the method again.

Summary

This cycle is repeated over and over again. We

The key to producing consistent results in busi-

have worked with many organizations that have

ness and industry is the effective management of

50 or more change initiatives underway at the

behavior; it is behavior change that produces

same time. The reason for flavor-of-the-month

measurable results. Businesses run on human

initiatives is that organizations rarely measure

behavior and anything else—downsizing, re-engi-

behavioral variance and try to reduce it in a sys-

neering, or changing selection profiles—will be

tematic way but continuously seek a perfect

less successful. Managing by results can lead to a

method that people can’t screw up.

Watergate scale disaster; micromanaging, a puni-

Variability in manpower or performance at

tive approach, clearly reduces employee growth

work is still a largely untapped area of improve-

and creativity. The laws of behavior as we under-

ment in most organizations. It is not unusual to

stand them allow managers and supervisors to

see differences of more than 300 percent in many

arrange conditions that produce predictable, pat-

work performances. Although there are still large

terns of behavior that are consistently productive

gains to be made in manufacturing, the potential

over time. Deming’s “Manpower” variable can be

gains in non-manufacturing areas are much larger.

understood to mean that one way to increase pro-

Opportunities to decrease performance discrep-

ductivity is to reduce human performance vari-

ancies in customer service, for instance, are huge.

ability so that quality work occurs consistently

Our guess is that every reader of this book has

time after time, day after day. This goal is easily

been exasperated trying to get a billing error

within reach of behaviorally trained business

reversed, some product defect corrected, or some

owners, managers, and supervisors.

25

4

Is it Behavior or Something Else?

acteristics allow behavior to be managed reliably

and efficiently. Because behavior is observable, it

“Human behavior is defined as any

is available for analysis and for the calculation of

observable, measurable activity of a

person. ”

its value once produced.

Organizations can only increase value through

the behavior of employees. However, that does

Behavior: Knowing it When you See it

not mean that all behavior adds value. Value-

Behavior, technically defined, is any activity of a

added behavior, what is needed in business, can

living creature. To paraphrase a saying by Dr.

only be determined within some context. The

Ogden Lindsley (1965), If a dead man can do it,

value of a behavior for a given organization can

it ain’t behavior (Dead Man’s Test). For most pur-

only be determined by its relationship to the

poses human behavior is defined as any observ-

organization’s output. Where we value a result,

able, measurable activity of a person. Most of the

we will see the behavior that contributes to its

behavior we are concerned about requires muscle

accomplishment as valuable. Behavior that is

action because we want to see people doing some-

peripheral, or counter to the accomplishment, is

thing. However, as you will see throughout this

usually considered to be a waste of time.

book, internal behavior such as talking to your-

For a researcher, reading at work may or may

self, thinking, and feeling are considered behavior

not be a value-added behavior. For example, if

because each individual can count, observe, and

your administrative assistant is reading a techni-

measure those internal occurrences.

cal publication searching for ideas for new prod-

Behavior can be good or bad, productive or

ucts, she is engaged in value-added behavior.

unproductive, significant or trivial. The popular

However, if she is reading a novel, this is unlikely

use of the term behavior is the word behaving. In to be a value-added behavior. The same would be

the common vernacular, behaving means doing

true of a simple behavior such as smiling. While

the right thing. Parents ask children to behave—

working to get employees to smile more often in

to do the right thing. However, the term behav-

the office may have some limited value, that same

ior, as used in this book, refers to everything a

behavior in the context of customer interaction

person does. That distinction between the ver-

may have great value. Komaki, Blood, and Holder

nacular use and the precise use that we want you

(1979) demonstrated this in a fast food restaurant.

to apply to this term is critical. Because behavior

Although we do not think of simple behaviors

is observable, it can be counted. This has consid-

as being valuable, they often are. Suggestive sell-

erable value to organizations, because these char-

ing is very important to retail establishments.

26

CHAPTER FOUR

Simple behaviors such as asking a customer

place. This includes the course, the other players,

“Would you like fries with that?” contribute sig-

the rules, and even the weather. Then we speak of

nificantly to profitability. However, as you will

the behaviors, including things like gripping the

discover, just because it is simple to do doesn’t

club, aligning your feet and shoulders in the

mean it will be done. Retail salespeople have been

proper relationship to the target, swinging the

fired because they didn’t consistently do some-

club and putting. Finally, we speak of the result—

thing as simple as suggest add-ons to the cus-

the number of strokes required to “hole the ball.”

tomer’s order.

These combine to define the accomplishment:

improving your golf score or winning the match.

The accomplishment is anything to which you

“ Performance consists of a situation,

can assign a value. It may be economic, social, or

one or more behaviors, tasks, and

personal.

results, which are combined to pro-

In organizations, we should always determine

duce a specific accomplishment. ”

which accomplishments (outcomes) are most

valuable before we start to change behavior. As

While many behaviors can be pinpointed pre-

basic as that may seem, many businesses attempt

cisely and minutely, it is often not only impracti-

to change results by focusing on the wrong

cal, but unnecessary to do so. Depending on the

things. For example, businesses want people to

skill of the performer, the request “Please start the

come to work on time, park only in assigned

car” would be sufficient to accomplish the task.

parking spaces, continue working until quitting

On the other hand, with a 16-year-old, you might

time, and remain at their workstations. Attempts

have to specify, “Put your foot on the brake and

to affect these things may not add any value or

the gear shift in Park. Now press the start button

help the organization accomplish its many goals.

on the dash.” Managing the detail of successful

People could arrive at work on time and then do

performers is overkill. Once performers demon-

very little work. They could stay until quitting

strate skills at high-and-steady rates, the need to

time but spend the last hour on the phone mak-

supervise every event is not required.

ing dinner plans. Preoccupation with changing

PM creates a great advantage by pinpointing

behaviors that do not affect the accomplishments

the critical few behaviors in a skill set. New per-

of the organization is usually an expensive waste

formers with much to learn require closer moni-

of time.

toring or tracking of pinpointed behaviors than

someone with years of experience. In both cases,

What is the Relation Between Behavior

however, coaching the right behaviors is key to

and Performance?

rapid and continued success.

Most of the time we think of a performance as

composed of a number, or series, of behaviors

What is Performance?

directed toward some outcome or goal. A musical

Performance consists of a situation, one or more

performance on the piano may be composed of

behaviors, tasks, and results, which are combined

several behaviors repeated many times such as

to produce a specific accomplishment. When we

striking the keys and pressing the pedals. The out-

speak of a golfer’s performance, we speak first of

come/goal might be to please the listener or to

the situation in which the behavior will take

execute a passage without error. In this example,

IS IT BEHAVIOR OR SOMETHING ELSE?

27

we cannot separate the behaviors from the out-

they are designing. A change in any of those

come. If we talk about a great musical perform-

defined behaviors, including their delivery,

ance at the piano, we speak about both the tech-

changes the performance and its overall effect.

nique and the total effect. In performances like

Performance is a summary term for behaviors and

ballet, in addition to specific jumps and turns

their effect on the environment.

such as Grand Jetes and pirouettes, the concept

Many readers probably know the word per-

of “turnout” applies to the dancer's technique. In

formance as a technical term referring to the effec-

teaching new dancers, we are very interested in

tiveness or efficiency of a machine or work sys-

both overall form and specific tasks. After the

tem. Even in this circumstance, for a machine to

fundamentals are mastered, the tasks are not as

perform as it was designed, someone may have to

relevant as the behavior chain. A great dance per-

turn knobs, check gauges, flip switches, enter data

formance includes dimensions such as the muscle

into a computer and otherwise monitor “the per-

activity, form, expression, and the fluid move-

formance” of the machine. However, in this book

ment of the performers. Great performers are

when you read the word performance, know that

often coached about the larger chain of behav-

we are referring only to human performance.

iors. In a piano concert, the performance is the

combined effect of the sound and the behavior

What Behavior is Not

(rate, accuracy, intensity, and rhythm of manipu-

If you will remember that behavior is an observ-

lating the piano keyboard and pedal) of the

able action, you will avoid some of the most egre-

pianist. We also might look at shoulder move-

gious errors in managing behavior. The following

ment and posture of the pianist (labeling such

is a list of the four most common assumptions

actions as involved or passionate) in evaluating the that cause out-of-control behavior variability in

greatness of performance.

management systems. If you can properly manage

At work, performance may consist of the

behavioral inputs, you will go a long way toward

behaviors of picking up a sheet of plastic, placing

creating the results you want.

it on a machine, pressing a button, removing a

molded part, and stacking it neatly on a pile. The

1. Generalities are not behavior.

outcome, or goal, might be to mold a certain

Unfortunately many people who talk about

number of parts within a given time and within

behavior have a very imprecise definition of

certain quality specifications. In service organiza-

the term. Performance appraisal forms

tions, performance may involve a chain of cus-

often tell the manager to discuss the

tomer service steps to include the speed and effi-

employee’s behavior and then give them key

ciency of completing those steps while talking to

words such as professionalism, creativity,

the customer in a pleasant manner. The outcome

teamwork, enthusiasm, or quality of commu-

or goal might be a satisfied customer as indicated

nications as a guide for the discussion or rat-

by positive comments and repeat business with

ing. Some managers talk about having a

the customer. Knowledge workers such as soft-

“commitment to safety” as if it were a

ware engineers may engage in convergent and

behavior. Additionally, terms such as selling,

divergent thinking as evidenced by a list of activi-

monitoring, checking, delegating, supervising,

ties and thoughts that results in a solution to a

managing, taking ownership, being proactive

challenging interface problem for an app that

and competencies fail the test for behaviors.

28

CHAPTER FOUR

They do not describe what you can observe

2. Attitudes are not behavior. Business seems

someone doing.

to have a considerable interest in areas such

When we use imprecise terms to tell

as safety “conscious,” quality “conscious,”

people what to do, we have to expect a great

and cost “awareness.” These general descrip-

deal of variability in how they interpret our

tions are often referred to as attitudes. Such

directives. On the completion of a field

descriptions are particularly difficult to

exercise, a 2nd Lieutenant at Fort Jackson,

work with because they are assumed to

S.C. ordered two young soldiers to “get on

come from a “state of mind.” They are not

that truck.” His intention was that they

behaviors, but refer instead to a vast collec-

should load the truck with the equipment

tion of tasks and behaviors. Additionally,

in preparation for the return to the base.

different people using these terms are often

On returning about 30 minutes later, the

referring to completely different tasks and

Lieutenant saw the soldiers sitting on the

behaviors. When we refer to safety conscious,

back of an empty truck. When he asked

we may want people to duck as they walk

why they had not loaded the truck they

under overhead pipes, clean up spills, put

replied, “You told us to get on the truck.”

on safety glasses, and warn others of safety

Many managers think that they are just

hazards. Others say, “I want them to “be

as clear as that lieutenant when they tell

alert” or I want them to “concentrate on

their direct reports things like, “I don’t care

what they are doing.” Quality conscious may

how you do it. Just get it done!” They

mean doing extra engineering tests on mate-

assume that the person understands (from

rials and designs, inspecting incoming raw

policy, procedures and precedents) their

materials for defects, cleaning the assembly

meaning. We have even heard managers say

area and frequently checking machine set-

things like, “If I have to tell them how to do

tings. Cost awareness may be interpreted as

their job, I don’t need them.” The literature

“watching the budget,” “or talk to your

on failed companies is filled with cases where

employees about cost.” Another manager

the senior managers gave direction only in

might mean “turning off equipment when

general terms. Enron senior management

finished, cleaning and lubricating equip-

wanted managers to be entrepreneurial so as

ment daily, and checking settings at the

to grow the business rapidly. Because they

beginning of a job. For an engineer, cost

failed to specify the behaviors that were and

conscious may mean documenting engi-

were not acceptable, numerous managers

neering change orders, calculating loads

started unfunded and un-scrutinized ven-

correctly, recording time charged to the job

tures that robbed funds and employees from

and efficient use of supplies and equipment.

the revenue-producing units of the company

However, to employees it might mean one,

resulting in a corrupt culture that eventually

all or something entirely different. Terms

led to the company’s downfall (McLean &

and phrases denoting attitudes always fail

Elkind, 2004). One of the worst forms of

the measurability and activity criteria for

management is when the boss asks for some-

behavior.

thing and gives as his/her criterion for suc-

cess, “I’ll know it when I see it.”

3. States are not behavior. It is also important

IS IT BEHAVIOR OR SOMETHING ELSE?

29

to differentiate between states and behav-

iors. A state is a static condition that exists

“A value like honesty is not a behavior;

as a result of behavior. Putting on safety

it is a group of behaviors defined by

their impact on the observer. ”

glasses is a behavior; wearing safety glasses is

a state. Getting in bed is a behavior; the

resulting sleep is a state. Sitting in a chair is

(mission), their direction, focus or impact

a state; sitting down is a behavior; getting

anticipated for the future (vision) and what

up is a behavior. States do not require

is acceptable in terms of how they treat one

action. Action is usually required to get to a

another and go after business success (val-

state but once there, no action is required.

ues). Articulating mission, vision, and val-

Once you fall asleep, no action is required

ues, however, has had little impact on

to remain asleep. Once you sit in a chair, no

behavior in most organizations as we con-

action is required to stay there. The prob-

tinue to hear of organizations that have

lem is that the action (behavior) that creat-

articulated and communicated these things

ed the state may not be one of which you

very well only to end up in trouble with

would approve. Behavioral consultant

both the law and/or stockholders.

Courtney Mills recounts the following:

Executives have completed mergers only to

realize later that they had no expertise in

A distribution manager I was working

the acquired business or that the acquired

with wanted his crew to put their safety

business was not a strategic fit. Employees

glasses on as soon as they walked through

have been caught lying, cheating, and steal-

the warehouse door. He explained that he

ing to get new customers, reduce operating

never reinforced someone for wearing safety

costs, or increase net profit. It is no longer

glasses (a state) unless he knew they put the

sufficient to post mission, vision, and values

glasses on at the warehouse door. He insist-

on lobby or break room walls. Unless the

ed on that standard for recognition because

leadership (Komaki, 1998) actively man-

one day when he went into the warehouse,

ages the behaviors they describe in these

he saw an employee hurriedly putting his

documents, they could be permitting inter-

glasses on when he saw the manager com-

nal counterproductive competition and

ing. The manager said later that he almost

other destructive actions. Activities such as

reinforced the employee for wearing the

creating behavior-based mission and values

glasses, but thought better of it because he

statements can produce worthwhile guide-

did not want to reinforce the behavior of

lines for business; but, without an assess-

putting on his safety glasses only when the

ment of the true behavioral impact, those

employee sees a manager coming.

documents can also breed employee cyni-

4. Values are not behaviors. Defining mission, cism and deceit.

vision, and values has long been thought of A value like honesty is not a behavior; it

as a leadership function. Mission, vision,

is a group of behaviors defined by their

and values are activities that help companies

impact on the observer. You may consider

articulate their chief functions or activities

yourself as honest but others may see you as

being dishonest because of what they know,

30

3

CHAPTER FOUR

or believe, that you said or did not say, or

contract, explicit or implicit, with the employer

by the way you talk about what you do.

that says that he or she will do what the organiza-

Many organizations have failed to change

tion requires. It is legitimate to require people to

values because they think that values are

change their behavior at work. It is not legitimate

behaviors. Teamwork, for example, is a

to require them to change their minds.

value that most organizations hold dearly. It

is certainly not a behavior, but many behav-

iors. The criticism “We don’t work as a

“What is going on in employees’ heads

is not the business of managers. The

team” could mean many things depending

employees’ behavior is our business. ”

on the setting and circumstances. Until

teamwork is broken down into behaviors

and/or tasks that describe it in measurable

Trying to solve a business problem by trying to

and observable terms, you may be very frus-

change thoughts and feelings is a very inefficient

trated in your efforts to increase teamwork.

and intrusive approach to changing performance.

Your organization may list speaking up

While everyone (even a behavior analyst) has

when there is a problem as a value, but

thoughts and feelings, and those thoughts and

employees find that those who do speak up

feelings seem concrete enough to the individual,

are told to, “Get on board” or “Stop criticiz-

we do not attempt to manipulate them in our

ing” or in other ways given the message that

PM approach. In conducting scientific research,

the value of open communication and the

thoughts and feelings are difficult to get at and

action that should go along with it are two

study. Although much has been written and

very different things.

much research has been conducted on thinking

Stated values are not behavior, and val-

and feeling, those elements are not the primary

ues that cannot be described in specific

subjects of this book. Granted, the thoughts and

behavioral terms are almost impossible to

feelings of each of us are important. If such pri-

instill in an organization. If you know the

vate events are shared or demonstrated in ways

behaviors that are necessary to produce

that we might describe as “emotional” (a loud

valuable results in your organization, you

outburst, crying, laughing, yelling) or in other

know more than most managers and are

overt ways, then they become relevant to this

much closer to improving organizational

book, since they are observable. Although emo-

efficiency and effectiveness.

tional intelligence (Goleman, 1995) is very popu-

lar, implementing it to change behavior and orga-

Forget the Mind Games;

nizational outcomes is quite difficult because it

Deal with Behavior

fails to specify the behaviors that constitute the

What is going on in employees’ heads is not the

concept.

responsibility of managers. The employees’ behav-

We know that if people are treated well they

ior is our business. We do not hire people’s knowl-

will often say that they feel good about their

edge (that which is inside the brains or minds of

work environment. If people are encouraged to

people); we hire their behavior that demonstrates

act in ways that reduce differences between them-

what we define as their knowledge. In business,

selves and their colleagues, they will often report

the employee enters into an understanding or a

a reduction in thoughts of exclusion. That is how

IS IT BEHAVIOR OR SOMETHING ELSE?

31

thoughts and feelings function in relation to

the value that their effective decisions (actions)

behavior. Managers and colleagues are interested

have on solutions. If we study them closely, we

in how others think and feel, but again, we only

can even find patterns that may be worthy of

know them by what we see. We ask, “What could

replicating, like Rory McIlroy, Tiger Woods or

you have been thinking when you did that?” We

Phil Michelson on the golf course.

say, “You act like you don’t feel well” or “You act

like you are angry all the time” or “You act

happy.” We can only assume those inner states

“The best way to change someone’s

feelings or thoughts is to change their

from observing some overt behavior of the person.

behavior. ”

We learn, or assume, thoughts and feelings of

others from their behavior. There is no other way

to know that thoughts and feelings even exist. So

why not focus on what can be known rather than

Trying to solve a business problem by first try-

what we can only speculate about? A little reflec-

ing to change thoughts and feelings is usually not

tion reveals that when we say someone has a bad

efficient. It is much more productive to change

attitude or a good attitude toward work we are

behaviors that would result in different thoughts

basing our statement on what he is doing but

and feelings (i.e., behavior under the skin).

then we infer an attitude to be the internal cause

Contrary to popular psychological thought and

of that behavior. This reasoning is circular and

practice, you do not always need to get what’s

has no place in science because it is false logic and

bothering you out into the open before you can

counterproductive.

solve a problem. While people have negative

thoughts and feelings about things that have hap-

pened to them in the past, dealing with them is

“Contrary to popular psychological

not necessary to change behavior. Forgetting and

thought and practice, you do not

forgiveness can happen without reliving the past.

always need to get what’s bothering

The best way to change someone’s feeling or

you out into the open before you can

thoughts is to change their behavior. If you are

solve a problem. ”

doing things that lead to positive outcomes for

you, that are successful, that make you smile or

If thoughts and feelings do not translate at

laugh, you no doubt feel good and think positive-

some point to overt behavior, they have no value

ly about your situation. On the other hand, if you

to the business. Some would say that decision

are involved in a situation where what you are

making and problem solving are mental activities.

doing is unsuccessful or leads to criticism and

We would respond that the final decision and

rejection, you feel badly and think negatively;

ultimate solution of the problem add value to

these consequences are pointing you in the direc-

management, not the mental activity that preced-

tion of behavior change.

ed it. It would be helpful if we could capture bril-

liant thought, but we can only observe the overt

Summary

actions and the ultimate result; then we use that

We are confident that when the methods suggest-

data to improve decisions and solutions of others.

ed in this book are implemented correctly, people

We can describe exemplars in this area based on

will have positive thoughts and feelings about

32

CHAPTER FOUR

what they do and about the place in which they

ing repeated anger in front of his or her employ-

do it. With that said, however, it is worth pointing

ees will create an environment of fear. How man-

out that behaviors typically labeled as emotional

agement acts to prevent or correct such behaviors

(negative) are not about expressions of happiness

is important. The key to successfully dealing with

and delight but are perceived as negative—to be

overtly negative behaviors is to investigate the

emotional—and are of considerable concern to

behavior-consequence relationships that produce

management. Generally these intense behaviors

the reaction and then, if possible, make the neces-

are so disruptive and so inappropriate that man-

sary changes. If the manager is unable to make

agers are forced to attend to them immediately.

these changes quickly, the person should be re-

As you will learn later, an immediate response in

assigned to a non-management position.

this situation is rarely constructed. Our society

Explosive reactions cannot be tolerated as they

has many examples of employees who reacted to

intimidate and control the behavior of others in

some aversive consequence(s) at work in a very

ways that are counter productive.

destructive way. For example, a manager display-

Use the QR CODE reader on your smart-

Use the QR CODE reader on your smart-

phone to learn more about:

phone to learn more about:

Book: Leadership from an Operant

Movie clip: Horrible Bosses

Perspective

PM STEP-BY-STEP

35

5

Pinpointing:

“Lazy” is Not a Behavior

First Things First

ductive is telling others to stop doing something

The most difficult thing to do to improve per-

with instructions like “Quit making errors” or

formance after pinpointing the business case

“Stop being so careless.” If you really want or

(results) is to identify the basic behaviors driving

need a change in performance, the key to success

the desired result. This task is considerably more

begins with defining or pinpointing your out-

difficult than most people might think, yet it

comes precisely.

constitutes the most important skill that you will

need as a manager, supervisor or anyone trying to

Characteristics of Pinpoints

fix performance problems.

While you may begin the change process with a

generic statement of the problem, you must ulti-

mately break it down into its components. For

“If you real y need a change in perform-

example, consider the term lazy. An employee

ance, the key to success begins with

who is called lazy may come to work late, take

defining or pinpointing your outcomes

long breaks, have a high error rate, have an untidy

precisely. ”

workspace and never volunteer to help others on

the team. All of these things describe the specific

aspects of what might be termed lazy.

Pinpointing is a

Pinpointing is the process of being specific

Critical Management Skill

about what people do. The specifics include both

Next to the delivery of positive reinforcement,

the behaviors of the performer and the results

the single most important skill for anyone

produced by the behaviors.

attempting to change the behavior of others in a

As described previously, behavior consists of

business setting is the skill of pinpointing. The

someone’s actions. It’s what you actually see if you

term pinpointing simply means being precise

observe someone working. The individual may be

about behavior. Unfortunately, most people ask-

typing, talking to a customer on the telephone,

ing for behavior change think they are being pre-

making a presentation to upper management

cise even while the person being asked to change

about a proposed project, drilling holes, or teach-

is forced to guess at the criterion for success. For

ing a class.

example, it is fairly common to hear people tell

someone, “You have to change your attitude.”

Supervisors, who are attempting to reduce some

“Anyone who tries to manage by results

behavior, all too often say things such as, “Pay

only is making a serious mistake. ”

attention to what you are doing.” Even less pro-

36

CHAPTER FIVE

Results are the outcomes or products of behav-

to the support system that has been created to

ior. A result is what is left when the behavior is

produce valuable behavior. For example, Deming

completed. You may observe the result independ-

(1986) and his associates have focused much

ent of the performer. That is, you do not have to

attention on the fact that if a system is “in con-

see the performer to see his/her output. Results,

trol,” then it is inappropriate to either punish or

in fact, tell you nothing about behavior. Unless

reward the performer for changes in the results

you see the behavior that creates the output, you

because they are being produced by normal varia-

must infer actions. Your inferences could be

tion in the system and not by changes in the

wrong. If you own a coffee shop and count $600

behavior of the employees. If you have not pin-

in receipts at the end of the day, you may take on

pointed the behaviors you want from the begin-

faith that your waiters and waitresses sold that

ning, you will be unable to determine if changes

much in food and drink. Most store owners,

in the results are performer-produced or system-

however, verify these facts by cross referencing

produced.

inventory and receipts on a regular basis. They

Counts of behavior are sometimes mistaken

also frequently find “shrinkage.” Does this come

for results. In a call center operation, for instance,

from theft, from the failure to ring up an item, or

performances such as calls answered, time to

from an undocumented refund or unequal

answer calls, calls dropped, and the time an oper-

exchange? Are your employees consuming your

ator is available for calls are all measured—each

product? Was the product entered into inventory

individual action is counted. The same is true in

correctly? The physical results rarely answer the

sports, where we measure balls thrown for a

questions as to what the performers did to

pitcher and number of hits for a batter. “Balls

accomplish this outcome. Anyone who tries to

thrown” is a behavior count, not a result. It is of

manage by results only is making a serious mis-

interest to the team manager as a high count may

take.

indicate that the pitcher is tiring or may be miss-

We concern ourselves with results because that

ing his target more often. A low count is not nec-

is the primary interest of organizations. Dr. Tom

essarily good since the pitcher may have given up

Gilbert (Gilbert, 1978) captures this when he

several home runs. While counting the occur-

talks about “Worthy Accomplishment, Costly

rence of behaviors is sometimes helpful in know-

Behavior.” Gilbert maintains that behavior is val-

ing whether you have a behavior problem, they

ued only in relationship to its output. He would

should not be confused with a valuable result.

say that if we don’t value the output, we won’t

However, when you pinpoint behaviors to the

value the effort to produce it.

extent that you can do frequency counts of them,

Even though in a business, results provide the

you have increased your ability to change behav-

business case for changing behaviors, it is impor-

ior substantially.

tant to recognize occasions where the behavior is

Some managers spend too much time with

still valuable. As you will see later in the book, it

“nuisance behaviors” such as when individuals

is frequently necessary to reinforce small changes

take long breaks. The challenge is to ensure that

in behavior even though the operational goal has

you are dealing with the real issue and not a symp-

not been reached.

tom. If, for example, the real concern is productiv-

Results are usually pinpointed first so that you

ity, then it is probably a waste of time to focus on

have the information necessary to make changes

the long-break issue because people can be at their

PINPOINTING: “LAZY” IS NOT A BEHAVIOR

37

desks or workstations and still not produce much

ous, or neat. Then give this list to several peers

of anything. Since it is unlikely that a highly pro-

and ask them to observe the same person during

ductive employee will not have time for long

the same time. As they observe the person’s

breaks, it is more efficient to focus on increasing

behavior, they should not discuss their observa-

productivity rather than reducing “time on

tions with other peers. Each observer should sim-

breaks.” When managing actions that have no vis-

ply check the items that indicate if the person is

ible effect on the outcomes desired, the per-

friendly, courteous, and/or neat. Compare

former and the manager find themselves caught

answers. If you go through this process several

in patterns that consume energy; energy that

times with different people and different

could be better spent identifying and attending to

observers, you will discover how reliable or unre-

behavior more critical to the results.

liable your pinpoints are.

The pinpoints of scrap, miles per gallon, and

Pinpoints are Measurable,

errors are typical pinpoints frequently measured in

Observable, and Reliable

business. These pinpoints are results. Writing com-

A pinpoint must have several characteristics. For

puter code, stacking boxes, and typing are behav-

example, it is possible to observe and measure the

iors. Although behaviors are not usually measured

amount of scrap a person produces, the number

in business settings, they constitute an important

of miles driven per gallon, the number of mile-

category of pinpoints, because behaviors lead to

stones met, or the number of client orders pro-

results. Let’s examine behaviors and results in

duced. These are clearly measurable and observ-

detail.

able results.

Furthermore, measurement of these results

must be reliable. Evidence of reliability can be

obtained by using two or more independent

observers. The extent to which their measures

agree on several comparisons is an estimate of the

reliability of the pinpoint.

To check the reliability of a pinpoint, ask one

or more of your peers to measure it independent-

ly at the same time that you are measuring it and

then compare your results. If your counts agree,

you are quite likely to have a good pinpoint. If

your counts or measures do not agree, then you

may want to refine your pinpoint further and

then do additional reliability checks. As you will

see, pinpoints do not have to be perfect to be use-

ful in solving performance problems or for

improving performance. The more reliable they

are, however, the more effective your intervention

will be.

For example, describe the behaviors that cause

FARCUS® is reprinted with permission from LaughingStock

you to characterize someone as friendly, courte-

Licensing, Inc., Ottawa, Canada. All rights reserved.

38

CHAPTER FIVE

Pinpoints Are Not Interpretations

gerous and limiting. Whenever you find yourself

Pinpoints are not beliefs, attitudes, or anything

using general terms without pinpointing, you are

else internal, subjective, or abstract. Terms such as

doing the person more harm than good, and you

motivation, personality, morale, communication,

may be robbing yourself and your organization of

rapport and competencies require pinpointing real talent. A manager may say that an employee

because each represents a collection of behaviors

has a “bad attitude” and have many people nod

and/or results. Over a period of time, you observe

their heads in agreement. When asked why they

many different performances from which you

think the person has the bad attitude, they say

conclude that a person is motivated, has a pleas-

things like, “He has no pride in his work.” or “He

ant personality, communicates well, establishes

just doesn’t care” or “He’s just plain lazy.” In such a

rapport easily, or has high morale. However, these

situation the burden is removed from the manager

are your opinions of that person, not your obser-

or fellow employees and placed on the person—

vations of his behavior.

the bad apple. We all may have experienced the

For example, when people say that a person

use of negative labels for our own behavior and

has a “positive attitude,” they may be referring to

know how unjust that feels. A person may be

the fact that the person is rarely late or absent,

labeled as “uncooperative” if she frowns when her

seldom complains, keeps the work area exception-

manager asks her to do something. Labeling in

ally clean, takes short breaks, and maintains high

this way does not help correct the problem. But

quality and productivity. In another example,

by giving the person feedback on frowning, the

someone might say that a person works well with

problem is more easily solved than it would be if

others, is congenial, or communicates well. The

you only told her she is uncooperative.

behaviors they may be referring to are smiling a

A manager we worked with had a tendency to

lot, saying yes, and agreeing often, answering

generalize by using labels, such as, “Good for noth-

questions quickly, using familiar words and

ing,” a description he applied to employees who

expressions, initiating conversations, volunteering

he felt were just taking up space. When asked to

to help frequently, and so on. Some may need

pinpoint what he meant by Good for nothing, he

changing and others not.

would quickly stereotype by listing character

Once you realize that a bad attitude is com-

flaws. Good-for-nothing employees were untrust-

posed of many behaviors, it is easy to see why peo-

worthy, not loyal or dependable, bad for teams,

ple accused of such have a difficult time improv-

unworthy of promotion, and lazy. Suddenly his

ing; they may change one or several of their

real plan for any person so labeled emerged: Let’s

behaviors and still not change the one behavior

get rid of him or let’s get rid of her. Performance

that is critical to you.

problem solved!

Managers frequently use vague terms to

describe an employee’s performance. This is called

labeling, which often leads to stereotyping.

“Sometimes through pinpointing you

discover that what you thought was a

Stereotyping means that we have a preconceived

problem is not a problem. ”

idea of someone’s potential. Stereotyping causes us

to attribute many qualities, often negative, to the

person or group, qualities that were never actually

Be Descriptive; Save a Marriage

demonstrated or observed. This tendency is dan-

Behavioral labels summarize a collection of non-

PINPOINTING: “LAZY” IS NOT A BEHAVIOR

39

By permission of John L. Hart FLP and Creators Syndicate, Inc.

specific behaviors. When solving performance

People may suggest that attitudes can be meas-

problems, first think in terms of measurable,

ured by surveys and polls, implying that attitudes

observable behaviors rather than vague interpre-

can be observed. This approach presents several

tations of performance. In short, it is important

problems to managers. To measure attitudes reli-

to be descriptive rather than interpretive. Figure

ably, psychologists and test experts need to be

5.1 provides examples of behaviors and possible

consulted—a costly and time-consuming activity.

results for common summary terms used to label

Without a systematic and reliable approach,

performance.

informal surveys, straw votes, or opinion polls

Sometimes through pinpointing you discover

conducted by the manager may produce both

that what you thought was a problem is not a

invalid and unreliable results. Likewise, managers

problem, or is not a significant one. For example,

who use surveys to measure internal customer sat-

a woman complained to her therapist that her

isfaction must use great care to ensure that the

husband did not love her. In the process of help-

surveys actually measure the correct variables and

ing her pinpoint what her husband did that led

that the results are meaningful.

her to that conclusion, the therapist discovered

that her main complaint was that he did not say,

“I love you” frequently enough (or had to be

“Morale is certainly important, but

prompted to do so). The magnitude of this prob-

behaviors must be pinpointed if you

are charged with improving or main-

lem turned out to be quite different from the one

taining high morale. ”

originally stated. The wife thought she and her

husband had a serious relationship problem but

as it turned out, it was resolved with a simple

The most serious problem with measuring atti-

behavior change on his part. That simple behav-

tudes is that people’s responses to questionnaires

ior change on his part led to reciprocal changes in

or interviews may not predict their behavior. For

how they both responded to one another, how

example, the most sophisticated techniques were

she recognized his effort, allowing feelings and

used to analyze voters’ attitudes toward Barack

actions to prevail. Simple word changes often

Obama and Mitt Romney before the 2012 presi-

have multiple, unanticipated but positive effects.

dential election. Many polls concluded that voters

CHAPTER FIVE

40

Figure 5.1 Relation Between Behaviors and Results

Summary terms

Possible results

for col ection of

Behaviors

(the behaviors may or may

behaviors/results

not lead to these results)

• Unmotivated

• Arriving late

• Low productivity

• Bad attitude

• Saying no when asked

• Low quality

to help

• Late shipments/reports

• Making eye contact with

a customer

• Arguing with manager

• Aggressive

• Frowning, doesn’t smile

• Customer complaints

• Hostile

• Interrupting

• Cancelled orders

• Poor disposition

• Typing on a computer

• Personality

• Volunteering to help

• Uncooperative

• Walking away when some-

one tries to talk to him

were almost evenly divided in their attitudes

Pinpoints Must be Under

toward the two candidates. Voting was the behav-

the Performer’s Control

ior these attitudes were supposed to predict.

Besides being measurable, observable, and reli-

However, voting did not match the polls carefully

able, pinpoints must be under the performer’s

measured attitudes. Fifty-one percent voted for

control. Persons responsible for pinpointed

Obama and 48 percent for Romney. People’s

results must have the major influence on chang-

expressed attitudes are often different from their

ing those results. That is, their behavior, more

actual behavior. For this reason, we should manage

than anyone else’s, determines the result.

behaviors, and not even try to manage attitudes.

An employee attitude survey indicates, at best,

whether a problem exists. A survey that tells you

“Does the performer have the major

influence over the behavior or result

“morale is low” only provides the most general of

that we are asking him to perform or

indicators as to why morale is low. And, the sur-

produce? ”

vey tells you nothing about how to solve the

problem. Morale is certainly important, but

behaviors must be pinpointed if you are charged

For example, in many organizations, human

with improving or maintaining high morale.

resources (HR) departments are held responsible

for employee attendance. Yet, immediate bosses

PINPOINTING: “LAZY” IS NOT A BEHAVIOR

41

have at their disposal many more opportunities to

under her control and a pinpointed plan of how

deliver consequences that affect attendance than

to change the behaviors that will lead to more

do the HR personnel. As such, the managers are

sales.

more responsible for attendance than personnel.

In the workplace, lack of behavior control may

Similarly, it is inappropriate to hold a front-line

come from inadequate training, lack of permis-

supervisor accountable for grievances that result

sion to use necessary resources, the absence of

from an industrial relations policy over which the

tools, or the presence of obstacles. If you ask peo-

supervisor has no control. Neither would it be

ple to do something they are not trained or

appropriate to hold front-line supervisors

authorized to do, you are setting them up for fail-

accountable for quality problems that are due to

ure. If you ask someone to ignore obstacles or

defective raw materials. When evaluating which

cope with process deficiencies, you have become

pinpoint to focus on, the question is, “Does the

part of the problem. Unless you have pinpointed

performer have the major influence over the

the behaviors required for success at a task, you

behavior or result that we are asking him to per-

could be asking for behaviors that are not under

form or produce?”

the performer’s control.

Pinpoint Behaviors and Results

“It is not helpful to tel a salesperson to

Every job has specific behaviors and specific

‘Increase your sales!’ without a more

results associated with it. If you can’t recognize

careful analysis of behaviors that are

the difference between them, you might manage

under her control . . . ”

only results or only behaviors. Either strategy

often creates problems in the long run. When

Control issues for behaviors are just as impor-

you pinpoint behaviors only, you may not always

tant as those for results but are typically handled

achieve the desired result. When you pinpoint

differently. Generally, organizations screen people

results only, you may inadvertently reinforce the

for their ability to perform difficult behaviors or

wrong behaviors. Enron is a case study in how to

the individuals screen themselves in their choice

mismanage both behaviors and results. People

of work for which they apply. Someone with bal-

there were inadvertently reinforced for breaking

ance problems will not usually apply for work at

all the rules, so rogue outfits were created within

dangerous heights such as window washing.

the organization but outside of the management

Some doctors choose not to be surgeons because

hierarchy. Some people were reinforced so lavish-

they lack the finger dexterity necessary for preci-

ly that they repeatedly violated commonly under-

sion incisions. Many people would like to be

stood rules of ethics and law. The lesson high-

artists or entertainers but lack the requisite cre-

lighted by the Enron Corporation scandal is that

ative or performance skills. Asking someone to

you will get more of what you reinforce, so you

create an attractive flyer, which includes hand-

should pay attention not only to the results, but

drawn sketches, when they lack the ability to

the behaviors that made them possible.

draw, is an obvious example of the performer not

Some behaviors lead to the desired results and

being in control of the pinpoint. It is not helpful

others do not; for example, we often emphasize

to tell a salesperson to “Increase your sales!” with-

attendance and short breaks for clerical person-

out a more careful analysis of behaviors that are

nel. Coming to work and taking breaks are

CHAPTER FIVE

42

behaviors, but the poorest performer in the

guideline can be troublesome if you fail to attend

organization could be someone who takes no

to the requirement for physical movement. Some

breaks and has perfect attendance. Without

verbs, such as supervise, lead, analyze, or delegate, results, these behaviors have little value in and of

have no physical component that can be observed

themselves.

at any particular point in time. Just because a verb

Yet, results are often overemphasized. Sales

has an ing form does not mean that we are

managers typically hold their salespeople

describing behavior. A common, but inaccurate,

accountable for meeting sales quotas. Meeting the

description of project management behavior is

quota is a result. Sales managers may ignore the

meeting project deadlines. This defines an out-

behaviors that are important for making a sale

come, not a behavior. At the moment the deadline

and reinforce or punish salespeople for producing

is met, what do you observe the performer physi-

or not producing results. Failure to meet a quota

cally doing? Probably you see him or her place a

is a serious problem in the typical sales organiza-

document in your in-box or you might see them

tion, and the usual management response is to

click the send button on their e-mail message.

punish the performer in some way. But instead of

punishing for not meeting quotas, managers

“

should describe specific behaviors for making

When you pinpoint behaviors, you are

proposing a hypothesis that the behav-

sales such as getting lists of prospects, calling

iors you have identified are the critical

them, making appointments, preparing presenta-

components of some desired result. ”

tions, et cetera. Then, managers should give the

sales agents feedback and reinforcement for any

improvement. If the salespeople do these things

We have stated before that you should always

and still don’t make sales, it might be an indica-

pinpoint the result you want before you describe

tion that the manager has not pinpointed the

the necessary behaviors. When you pinpoint

critical behaviors for making a sale.

behaviors, you are, in essence, proposing a

hypothesis that the behaviors you have identified

Pinpointing Behavior

are the critical components of some desired

Pinpointing behavior involves two challenges.

result. If you are the person asking for the change,

The first is separating behaviors from non-behav-

establishing the validity of this relationship is

iors and the second is determining whether or

your responsibility. Unfortunately, managers

not the behavior you select will in fact create the

commonly tell people what to do and then blame

outcome you want. These challenges can be over-

them when the desired outcome is not produced.

come by simplifying and testing the effectiveness

These managers never validate the relationships

of your pinpoints.

of behavior to results because they are sure of the

To simplify pinpointing behaviors, describe

linkage, even when it doesn’t exist. They then

them in terms of observable muscle movements.

blame the performer (“If you had just done what

This implies that you must see the behavior you

I told you . . .”) when the result is not forthcom-

have described and that behavior must involve

ing because they assume he or she did not do the

physical action of the performer. This is consis-

required behaviors. Managers frequently do not

tent with Lindsley’s (1965) observation that

get the feedback that their error was a failure to

behaviors are verbs and results are nouns. Even this pinpoint correctly, not a failure of execution.

PINPOINTING: “LAZY” IS NOT A BEHAVIOR

43

The result: the manager never learns to improve

defining it may seem arbitrary since there are no

his pinpointing skills and the performer remains

clear-cut beginnings and endings. Where do we

confused about the real behavior requirements,

break the behavior stream to mark the beginning

and is left only to guess what the real behavior

and the ending? What defines throwing a ball?

requirements are.

Does it start with the grasp of the ball and end

with the ball leaving your hand, or does it start

with the first movement toward cocking your

“Value comes not from behavior itself

arm and end with the follow-through after the

but from the effect behavior produces. ” ball has left your hand? Pinpointing is the technique you use to make these determinations.

Behavior Class

Behavior Chains: Links to Performance

In business we usually pinpoint classes of behav-

While individual behaviors are important, we are

iors rather than individual behaviors. This is

usually more interested in how behaviors are

because value comes not from behavior itself but

combined with each other than with any solitary

from the effect behavior produces. In this book

movement. In behavior analysis, when behaviors

when the word behavior is used, it almost always

are performed in some sequence, the sequence is

refers to behavior class. A behavior class is defined referred to as a behavior chain. Behavior chains

as any group or pattern of behaviors that produce

are produced when a behavior produces a stimu-

the same effect on the environment. Since no

lus that serves as a reinforcer (and as an

behavior is ever repeated exactly the same way

antecedent or cue) for the next behavior. For

twice, variability is accepted within a behavior

example, when you squeeze the toothpaste tube,

class. Handwriting is a good example. MDs are

the paste is extruded onto your toothbrush; the

known for their poor handwriting. But as long as

appearance of toothpaste on your brush is a rein-

the pharmacist can read what the doctor has writ-

forcer for squeezing the tube and is an antecedent

ten, the way the doctor forms each letter is of lit-

for brushing your teeth.

tle concern. At the point that the pharmacist

The chain is defined by its outcome. While

refuses to fill the prescription because she is

typing a document in Microsoft® Word, the

afraid she might make a mistake because of the

author may need to insert a paragraph from

doctor’s poor handwriting, a different behavior

another document. The chain would be 1) move

class may be of interest. The doctor may then be

the cursor to the word Insert on the task bar; 2)

required to type all prescriptions since no hand-

click on the word Insert; 3) cursor to the word

written ones will be accepted. Again, whether the

File; 4) highlight the desired file, and so on. Each

doctor uses two fingers to hunt and peck on the

of these behaviors produces a stimulus in the

keyboard or dictates to an assistant is of little

form of a pull-down menu, which serves as a rein-

interest to the pharmacist.

forcer for the completed behavior and as an

The behavior class of sending an email report-

antecedent for the next behavior. The chain is

ing the week’s sales may be all the manager wants;

completed when the paragraph is inserted into the

she may be happy to get it no matter how many

document. For another problem, the chain might

spelling or syntax errors are made.

be defined much more minutely as in typing or

Behavior occurs in a continuous stream; so

CHAPTER FIVE

44

playing a musical instrument where a precise pat-

tasks, involve both sequential and non-sequential

tern of finger movements is required to complete

subordinate chains. For example, filling out your

the behavior chain.

tax return is a task. Here the recipient, the IRS ,

A behavior chain may be comprised of a few

is not interested in how you do it (by yourself by

behaviors, such as a receptionist answering the

hand or computer or using a CPA) only that it is

phone, or it may consist of many behaviors, such

complete, timely, and accurate. Filling out your

as an engineer calculating tonnage for load-bear-

tax return is not a behavior; it is many behaviors.

ing structures. A behavior chain may be of short

The behaviors involved (what you actually do)

duration (measured in seconds), or of longer

include reading, writing, adding and subtracting.

duration, taking minutes or hours to complete.

The task also includes the results of completing

For example, all the behaviors necessary to start a

the forms and mailing the tax return.

car make up a relatively short behavior chain

(foot on brake, gear shift in Park, press the start

“A result is what is left after the behav-

button). Repeating musical scales for hours makes

ior is completed. ”

up the chain “practicing the piano.” All the

behaviors necessary to calculate a load may

require hours as well.

The distinction between behavior and result is

Thus, pushing or pulling, with your hand,

actually somewhat difficult to make. Many peo-

your foot, or your hip is all expressed by the sum-

ple would consider that the result of pushing the

mary phrase closing the door. This is a simple

door is that the door is shut. However, we make a

chain but chains can be complex as well. The

clear distinction between the two. A result is

length of the chain rather than any particular dif-

what is left after the behavior is completed. As

ficulty of the behaviors determine complexity.

such, you do not have to see the performer to

The longer the chain, the more vulnerable its

know if the result has been produced. To know

links are to disruptions and to extinction. Some

something about behavior, you must observe it

complex chains, which we commonly refer to as

directly. A task is the gray area that describes both

Figure 5.2 Task: Completing Tax Return

TASK: COMPLETING TAX RETURN

Task

Sample Behaviors

Collect and sort receipts

Read instructions

Record sums on tax forms

Add deductions, interest, etc.

Look up relevant tables and calculate taxes

Add, subtract per instructions

Complete tax-return forms

Write sums on form

Mail return

Place stamp on envelope

Place envelop in mailbox

PINPOINTING: “LAZY” IS NOT A BEHAVIOR

45

behaviors and results (see Glossary). The term

knot, how to insert metal into a stamping

task connotes that our interest resides in the

machine correctly, or how to diagnose and cor-

effort more than in the accomplishment. A task is

rect an error in a line of computer code. In such

typically a sub-result or behavior chain that is

cases, you may explain particular hand motion

subordinate to the outcome we truly value, but it

and placement, such as click on the control panel

is one of the important steps toward accomplish-

and other specific behaviors. You continue to

ing the primary result.

focus on behavior until the performer is fluent

Tasks do not necessarily have economic value

(performs the task correctly without hesitation)

in and of themselves. For example, while the

in the skill you are teaching. With experienced

intended purpose of a performance appraisal is to

people who have forgotten the specific behavior,

impact performance, the completion of a per-

or who have developed habits that interfere with

formance appraisal rarely impacts business results

the correct behavior, you should usually have

such as productivity, quality, safety and cost.

them demonstrate the correct behavior and mon-

The only purpose for this term, task, is to

itor repetitions of the task using some criterion.

acknowledge that it is not always necessary to

Most business issues are resolved by interven-

pinpoint behaviors to the level of muscle move-

ing at the task level. In these cases, we only need

ment. When some element of a performance is

to get specific to the point of the task. In general,

undergoing extinction, for example, we can fre-

the more experience a person has in a given situa-

quently re-establish the contingencies of rein-

tion, the more likely that a problem can be solved

forcement by recognition of larger units of behav-

at the task level. This does not mean that we

ior. When we find people omitting required data

would not do a complete analysis of any problem

on forms, for instance, we can recognize complet-

we face, but having done that, we want to inter-

ing forms rather than reinforcing each instance of

vene at the most efficient point.

data entry.

Some problems, however, will practically

always be addressed at the basic behavioral level

Parsimony Rules:

as opposed to the task level because so many

Don’t Reinvent the Wheel

organizational contingencies support inappropri-

Because Performance Management is not behav-

ate behavior. Clearing a jammed copy machine is

ioral research, we don’t want to go overboard on

an example. If we want it done safely, we have to

specifying behavior. When teaching a skill, it is

observe and reinforce turning the machine off,

often important to be extremely precise or

using a tool to grab and remove the material caus-

detailed. In golf, where you place your thumb on

ing the jam, and restarting the machine. In many

the grip of the club (how you hold the club) can

workplaces the consequences favor clearing the

determine in which direction and how far the

jam as quickly as possible because pay and job

ball travels. In knitting, how you hold the needle

performance is evaluated primarily on produc-

makes a big difference in the quality of the fin-

tion. The quickest way to do this is to stick your

ished product.

hand in the machine while it is running. The

The degree to which you must specify behav-

usual work management system in such a case has

ior depends on the skill level of the performer.

created negative consequences for doing the safe

With new or inexperienced people, this means

thing. Therefore, without creating some positive

teaching the exact behavior: how to tie a weaver’s

consequences to the performer for stopping the

CHAPTER FIVE

46

machine before clearing the jam, you can expect

agree. This creates what is often called yes men.

that he will occasionally stick his hand in the

While no one consciously wants to create this

machine while it is running.

phenomenon, it is a problem in many organiza-

tions. Managers, who relate to their employees

Pinpointing Verbal Behavior

this way, produce subordinates who simply recy-

People’s verbal behavior, that is, what they say to

cle the manager’s ideas, good or bad, and make no

each other, is a very important category of behav-

contributions of their own. This occurs because

ior (Skinner, 1957). As Thompson (1978) stated:

the managers are unaware of what they are rein-

forcing and punishing, often because they have

Indeed, from a profit point of view, what people

not pinpointed the verbal behavior they want.

say to each other and how they say it probably has

Because of the powerful consequences man-

more influence than any other kind of interaction

agers have at their disposal, employees learn to

in private industry. Verbal interactions can make or

control their reactions and to respond the way

break a company.

the leader expects, even if they feel entirely differ-

Our experience shows that verbal behavior

ently. It is fairly common to hear a senior person

becomes more important as a manager rises in the

in an organization, in describing how they effect

organization’s hierarchy. At the leadership level,

change, detail her interactions with her direct

verbal behavior is a critical variable that affects

reports1 only to have them at a later time, give a

overall performance. Policies, programs, proce-

quite different account. This is particularly true

dures, instructions, questions, and even orders are

when leaders use punishment or negative rein-

verbal behavior designed to alter behavior within

forcement frequently.

organizations. Yet senior managers can learn to be

Leaders often misjudge the direct report’s

careless in how they express themselves. It takes a

immediate reaction as feedback on the impact of

conscious effort to determine if the words you

the leader’s verbal behavior. When managers use

use create opportunities for positive reinforce-

loud and sometimes abusive verbal statements,

ment or if they cause employees to be angry,

the immediate response of subordinates is to

resentful, and verbally abusive toward other

acquiesce and get busy; in most cases the employ-

employees or to do things to escape and avoid

ee response provides positive reinforcement for

contact with them in the future.

the manager’s behavior. Some bosses think these

Most people want to hear good news. It is

methods work, but they rarely see the anger,

especially nice to hear people say things like, “I

resentment, and verbal aggression toward other

agree with you,” or “You’re exactly right” and

employees (and a myriad of other escape and

“Great idea.” It is possible to sometimes unknow-

avoidance behaviors) this creates. The cost of

ingly reinforce positive comments and subtly

their negative verbal behavior can be quite high

punish or extinguish disagreement simply by

and can significantly hamper organizational per-

smiles, frowns, or other facial expressions. Of

formance. You cannot reliably predict an employ-

course, this causes employees to remain silent

ee’s future behavior based on their immediate

when they disagree and speak up only when they

reaction to the bosses’ behavior. This is of course

1 A “direct report” is someone who works directly under a supervisor or manager.

PINPOINTING: “LAZY” IS NOT A BEHAVIOR

47

true for the boss as well when the same thing hap-

pens in the presence of his/her boss who uses

“The term behavior in this book refers

similar techniques.

to al of what people do (physical

actions and verbal actions)—good, bad,

Creating a Dysfunctional Chain of Command

and neutral. ”

One example of this occurred in a manufacturing

plant where the plant manager used radios for

being questioned did not have an answer, the

rapid communications with his line managers in

president would humiliate the manager unmerci-

the production area. All managers and supervi-

fully. He was extremely verbally abusive, especial-

sors had radios and were tuned to the same fre-

ly in meetings. Over time, the managers spent

quency. When the plant manager needed

more and more time preparing for the meeting,

answers, he would bypass the chain of command

working to anticipate any questions that Frank

and go directly to the person who had the infor-

might ask and looking for answers. Frank did not

mation he wanted. When he heard news that dis-

know that the site managers spent the entire day

pleased him, he could be very abusive.

before the meeting, and often into the wee hours,

Nevertheless, he felt that he had great communi-

preparing for it. Preparation consumed many

cations with his subordinates and could get the

hours for about 30 managers every week. Frank

information he needed quickly. What he didn’t

was positively reinforced by the ready answers

know was that his managers found any reason

that his managers gave, but he had no idea what it

they could to leave their radios turned off. He

cost the company to get those responses. By the

also didn’t know that his chain of command had

way, to all those who met him outside the work-

become dysfunctional, due to employees wasting

place, he was the epitome of the Southern gentle-

time and effort trying to guess what he would be

man. In the workplace and in social situations, he

upset about rather than playing an active part in

behaved according to the reinforcers he received.

problem solving and proactive planning. Also,

For leaders to know their real impact, they

subordinates could hear the plant manager’s con-

must audit the behavior of direct reports. The

stant berating of their bosses on the radio. This

leader must be actively involved in looking at the

undermined their confidence and respect, and

consequences of their words on the words and

made the roles of the line managers even more

actions of others. What is the correlation

difficult. As his managers became his errand boys,

between the individual’s verbal commitment to

he felt that he had to do everything himself.

do something and his actual behavior? Are there

Because he mistook his direct reports’ responses

any indications of discretionary effort™? Is com-

(which were always “Yes sir!”) for feedback on his

pliance the hallmark of their commitment? Please

own effectiveness, he created a less efficient

note that you cannot answer these questions by

organization.

monitoring the results. Outcomes can be

achieved in organizations in spite of, and not

Presidential Humiliation

because of, the leader. Effective leaders are acutely

In another example, Frank, a division president

attuned to the behavior of those around them

over several software development locations, con-

and know that how they phrase their requests

ducted a weekly videoconference with all man-

and requirements has a direct impact on the

agers at each site. If he ever asked a question in

effort they receive.

one of these meetings for which the manager

CHAPTER FIVE

48

Avoid Confusing Behavior

Distinguish Between Behaviors

with Misbehavior

and Non-Behaviors

The word behavior has a very broad meaning for

The best way to learn to distinguish between

most people. They use it as a term to label prob-

what is and what is not a behavior is to study

lem behavior. Some people associate the term

many examples. Figure 5.3 lists some typical non-

behavior with misbehavior. Children who are act-

behavioral descriptions used in the work setting,

ing as they should are said to be behaving and

along with some possible behavioral referents.

children who are not acting as they should are said

Don’t be surprised if people don’t understand

to be misbehaving. These connotations have car-

what actions they need to take to improve their

ried over to the workplace where some employees

performance when such non-specific terms are

may be said to have a behavior problem.

used. What exactly are you supposed to do if you

Use of the term behavior in this book refers to

are said to lack enthusiasm? On the other hand, if

all of what people do (physical actions and verbal

you are told that you need to: 1) volunteer to

actions)—good, bad, and neutral. Only the con-

help others when you complete your assignments;

text gives an action a value such as good or bad.

2) make more suggestions to improve the product

Opening a door with a Do Not Disturb sign

or service; or 3) talk more positively about your

would usually be considered inappropriate; yet

work; you will know much more about what to

there are circumstances when that same behavior

do than if you are simply told, “You need to show

would be very valuable. In an emergency, as when

more enthusiasm.”

a fire is in the building, you would expect a per-

As discussed in Chapter 4, non-behaviors are

son to disregard the sign. The behavior is the

usually opinions rather than descriptions. Since

same—opening the door—but the context is dif-

your opinions are formed by your value system,

ferent. When you categorize actions as good or

they will frequently differ from those of others.

bad, or as behaving or misbehaving, you will find

While there may be some common points of

it very difficult to be objective about the action

agreement, there will be just as many disagree-

or to accurately discover its cause. Always

ments, whether stated or not. When you deal

describe behavior as an action without using

with pinpointed behavior, you avoid the pitfall of

adjectives or adverbs that are judgmental.

trying to manage other people’s values. When

Figure 5.3 Behaviors and Non-Behaviors

Non-Behaviors

Possible Behaviors

1.

Energetic

1.

Completes assignments early; volunteers to help others

2.

Responsible

2.

Always completes assigned tasks on time

3.

Immature

3.

Plays practical jokes on friends at work

4.

Neat

4.

Puts all tools and materials in their proper place

5.

Uncooperative

5.

Argues with manager; refuses requests to help team members

6.

Trustworthy

6.

Reports own errors

7.

Safety-conscious

7.

Performs job, following all safety procedures

PINPOINTING: “LAZY” IS NOT A BEHAVIOR

49

dealing with descriptive accounts of behavior,

there is more agreement and understanding

“A result is what is left after a behavior

between persons in the organization.

is completed. ”

Pinpoints Should be Active

fewer accidents, not leave your workplace, and

Pinpoints can be active or inactive. For example,

not upset others by simply doing nothing.

you might pinpoint a problem as either atten-

Organizations hire people for active behavior.

dance or absenteeism. Attendance requires an They want them to produce error-free work,

action (behavior). Absenteeism is inactive in that

work safely, work productively, and work cooper-

the person does not have to do anything in order

atively with others. The ability to pinpoint active

not to come to work. Casey Stengel, former man-

behaviors and performances is often the differ-

ager of the New York Yankees baseball team

ence between the success and failure of a PM

described the difficulty with an inactive pinpoint,

intervention.

when he said, “If the fans don’t come out to the

Sometimes, though, you get by with focusing

park, you can’t stop ’em.”

on inactive pinpoints because the behavior you

It is best to specify active pinpoints because

want is incompatible with the inactive pinpoint.

they communicate what is wanted. Inactive pin-

For example, in a plant where the performer does

points like absenteeism, zero defects, or no acci-

not have control over the quantity of material to

dents are the opposite, because they state what is

be processed or assembled, as on an assembly line,

not wanted. People perform best when they

you can get away with reducing waste as a pin-

know exactly what they should do. Even if people

point because reducing waste automatically

stop doing the wrong behavior, that does not

increases yield—the active pinpoint.

guarantee they will do the correct behavior. For

The active pinpoints that we are interested in

example, many a supervisor has tried to reduce

involve positive behavior. This provides another

tardiness by punishing people for being late, only

reason for using active pinpoints—reinforcing is

to discover that absenteeism increases. If you tell

easier. It is easier to reinforce someone for more

people to stop making personal calls on the com-

of what you want than for less of what you don’t

pany line, they may stop the calls but text on

want. It is easier to say, “Thanks for being here.”

their cell phone (often concealed in their lap).

than “Thanks for not staying home.” It is more

On the other hand, if you tell them to complete

likely to be reinforcing when you comment on

the previous day’s invoicing by noon, they will

what someone did—“I really appreciate the large

know much more clearly what to do.

number of orders you wrote today”—than com-

As you recall from Chapter 4, a test for an

menting on what they didn’t do—“I appreciate

active pinpoint is the Dead Man’s Test (Lindsley,

that you didn’t take so many breaks today.”

1965) which means the following: If a dead man

can do it (the pinpoint) perfectly, it won’t solve your

Pinpointing Results

problem. Dead men don’t make errors, have acci-

A result is what is left after a behavior is completdents, leave their workstations, or upset others.

ed. The performers do not have to be present for

You could have an organization where all these

the results of their behaviors to be observed. For

things don’t happen, and still have serious prob-

example, writing a sales letter is a behavior but

lems. You can, in fact, make fewer errors, have

sales letters mailed is a result. At the end of the

CHAPTER FIVE

50

day you can look at a sales activity report and see

correct combination of behaviors that produced

the number of letters mailed (a result). The dif-

that outcome. The more direct your knowledge

ference is more than a grammatical one. A verb is

of behavior, the more pinpointed your feedback

not a result just because it is stated in the past

and reinforcement can be, producing a more

tense or a behavior because it ends in ing. Many

rapid behavior change.

activities that end in ing, such as monitoring, del-

You can distinguish results from behaviors by

egating, managing, or building, fail the behavior

the fact that while behaviors are active, results are

test. These are not discrete, observable actions.

static and inactive. You can’t observe people

On the other hand, behavior counts; actions that

doing a result; you can only see them perform

can be quantified such as calls answered, baseballs

behaviors. You can’t watch someone doing a com-

hit, or passes caught are not results. What can

pleted report. The report has already been done;

you see left over (when the performer is no longer

it is completed—a result. You can only examine a

there) after the call is answered or the baseball is

behavior. However, you can watch individuals

hit? The fact that you name it in the past tense

writing, typing, editing, and copying a report.

does not change the fact that it is a behavior.

These are all behaviors.

With measures of behavior, you have the greatest

Results—like behaviors—must be measurable,

opportunity for improvement if the measures you

observable, and reliable. And results—like behav-

have are direct measures. With measures of

iors—should be stated in positive terms. For

results, you have to make assumptions about the

example, run time is better than downtime as a

pinpoint. It’s more effective to reinforce some-

one’s rate of production—“Your quality produc-

tion is up over last week. I am really pleased with

“You can distinguish results from

behaviors by the fact that while behav-

your progress”—than for what he/she didn’t pro-

iors are active, results are static and

duce—“Your off-quality is down this week.

inactive. ”

Thanks for the effort.”

Words and Phrases are Cues

Figure 5.4 Most Common Cues

for Behaviors and Results.

In statements that contain both behaviors and

results, you will find certain words and phrases

Most Common Cues

that tell you, which is which.

Are Terms Such As:

Examine the following: You can increase the

Phrase

Predicts

number of claims processed without an error

the number of

result follows

(result), by referring all problem cases to your

supervisor (behavior). All problem cases should

in order to

result follows

so that

result follows

to achieve

result follows

“The term performance refers to know-

ing not only what was accomplished

by

behavior follows

(the result), but how it was accom-

plished (the behaviors). ”

through

behavior follows

PINPOINTING: “LAZY” IS NOT A BEHAVIOR

51

be referred to your supervisor in order to test the

Writing Pinpoints

effectiveness of our training procedures (result).

Results Pinpoints

The term performance usually refers to com-

While not perfect, simple templates are available

pleted behaviors. A performance may involve

that will help you state your expectations in the

doing the same behavior many times, as in an

most accurate form. Since behaviors are usually

assembly line job, or it could involve doing many

important because of their impact on outcomes,

behaviors, as in playing 18 holes of golf or danc-

you should begin by defining the result. The tem-

ing a routine. The term is expanded to mean “the

plate for result pinpoints contains three compo-

sum of the behavior and its results.” Performance

nents: 1) the direction of change, 2) the units of

Management refers to knowing not only what

measure, and 3) the pinpoint itself. Always begin

was accomplished (the result), but also how it

by pinpointing a result you want to increase. If

was accomplished (the behaviors). This is the

the direction of change is either to reduce some-

only way you will know whether to celebrate an

thing or to maintain something, try again. While

outcome. To celebrate, you need to know that the

there may be traditional measures for which a

result was, in fact, due to changes in the behaviors

decrease is appropriate, finding a way to turn it

and not just due to system effects.

into an increase almost always leads to a re-exami-

Figure 5.5 provides a summary of ways to dif-

nation of the process you are measuring and new

ferentiate behaviors from results. As described in

insights into what success looks like. When trying

the beginning of this chapter, the purpose for

to maintain some level of performance, managers

specifying behaviors and results is to pinpoint the

usually are measuring performance too broadly.

specific performances that should be changed and

Thus, if the goal is to maintain machine reliabili-

to define how to change those performances.

ty at 100 percent, you should be pinpointing

Figure 5.5 Points for Differentiating Behaviors and Results Behavior

Results

1. What people are doing

1. What people have produced

2. What you see people do when they are working

2. What you see after people stop working

3. Must see people working

3. Not necessary to see people working

4. Tends to be expressed in present tense, verbs end-

4. Tends to be expressed in the past tense by noun-

ing in ing

adjective pairings: documents filed

5. Cue words: by, through, to

5. Cue words and phrases: in order to, so that, to achieve, to be able to

6. Commonly used terms: input, process, activity, 6. Commonly used terms: output, product,

means

outcome, achievement, ends

7. Examples: inspecting, designing, conducting meet-

7. Examples: production, yield, run time,

ings, reinforcing, giving feedback

milestones met, suggestions made

CHAPTER FIVE

52

measures of performance that are subordinate to

the verb.) Examples might be as follows: “Tell

maintenance of machine reliability. Those subor-

her.” “Pick it up.” “Put it there.” “Drink your

dinate measures will be leading indicators of your

milk.” Take care that the action is actually a phys-

ability to achieve 100 percent maintenance of

ical movement that can be observed. The state-

machine reliability. These might be measures of

ment “Delegate the task.” might seem to meet the

the number of Preventive Maintenance Work

criteria of action and object, but it really fails

Orders completed on schedule or measures of the

because delegate is not a physical movement, nor

frequency of predictive measures read and trended.

can it be observed without being interpreted. A

The second element for stating an accurate

more accurate pinpoint, such as, “Complete the

pinpoint is the unit of measurement you will use.

review of the new marketing materials and pro-

Is it pounds, number (volume), rate, dollars, or

vide your analysis by noon on Monday” does

some other measure of outcome? While percent

meet these criteria since it is clearly observable.

as a measure is somewhat problematic, there are

The less skilled or the more uncertain the per-

still times that percent is a convenient way to

former, the more likely you will have to state the

express performance in relation to a goal.

conditions and criteria for the behavior. You fre-

The third element is the pinpoint itself. A sim-

quently have to tell new hires when (condition)

ple test of its effectiveness is to see if the measure-

to do the behavior and when to stop (criteria).

ment selected is an accurate reflection of the pin-

You frequently must state both condition and cri-

point as stated. A sales pinpoint to increase sales

teria when writing procedures and policies.

(measured in dollar value) to new customers

Teaching a new employee the basics of the opera-

might not be accurate if what you are really trying

tions might require statements such as, “Open

to do is increase the number of new customers.

the doors at 8 a.m. each morning.” With that

When the measure and the words agree, you very

statement, you are stating the condition or when

likely have a well-defined, pinpointed result.

to engage in the behavior. Or, you might make a

statement like, “Squeeze the gas pump handle

Behavior Pinpoints

until it clicks.” This tells them when the job is

There are four components to a behavior pin-

done (criterion).

point. They are: 1) action, 2) object, 4) condition, When dangers or risks of severe harm exist

and 4) criterion. While not all four are necessary

that are unknown to the performer, even if the

for every pinpoint, you must check to ensure that

probability for harm is low, you must describe

an omission doesn’t deprive the performer of vital

your requirements using all four pinpoint compo-

information.

nents. For instance, when overhead work is being

Every behavior is an action. It is something

performed, you might require the workers to tie-

someone is doing, so this verb must be stated in

off their safety harnesses to a weight-bearing

the active rather than the passive form. Each

behavior has an object of the action or the thing

being acted upon. This pair, action and object,

“A pinpointed goal or problem

forms the basis for all behavior pinpoints. (It may

described in terms of specific perform-

help you to expand on Lindsley’s noun/verb

ance rather than vague generalities

example, stated earlier, by thinking of this

al ows others to act on your pinpoint. ”

action/object pairing, as the verb and object of

PINPOINTING: “LAZY” IS NOT A BEHAVIOR

53

Figure 5.6 Checklist for Evaluating a Pinpoint

Directions: Answer yes or no to each question. If you have an adequate pinpoint, all the answers to questions 3 through 7 should be YES. Modify the pinpoint for any NO answer. If you can’t correct the pinpoint, drop it and get a new one.

Pinpoint

Name

YES

NO

1. Is it a result?*

2. Is it a behavior?*

3. Is it measurable?

4. Is it observable?

5. Can two independent counts agree?

6. Is it under the performer’s control?

7. Is it an active performance?

*If it is not a behavior or result, it is probably

not a pinpoint.

structure when working higher than 4-feet above

Summary:

the ground. You might warn them that, if the

The Value of Pinpointing

indicator light illuminates, they must reduce the

If you are not precise in describing the perform-

engine speed below 9,000 rpm. Condition and

ances you want, you are likely to have problems in

criteria tell the performer when and how much

applying consequences for the right behavior at

behavior is required.

the right time. Pinpointing is also essential for

Not all behavior pinpoints require conditions

delivering feedback. People need useful informa-

and criteria but all pinpointed behaviors do

tion on how they are doing. That’s what feedback

require action and object. The requirement for

is. But only if you have pinpointed their perform-

adding condition and/or criteria is indicated

ance can you give people information they can

when the skill level of the performer is low or

use.

when meeting both condition and criterion is

Another value of pinpointing is its communi-

critical to success.

cations potential. A pinpointed goal or problem

CHAPTER FIVE

54

described in terms of specific performance rather

than vague generalities allows others to act on

Use the QR CODE reader on your smart-

your pinpoint.

phone to learn more about:

A crucial component in PM, the collection of

Article: “PM Turns the Table on Loss

data on performance, requires pinpoints. You

Prevention”

can’t adequately measure whether you’ve achieved

a goal unless you’ve pinpointed it first. For exam-

ple, how would you measure increased cooperation

Use the QR CODE reader on your smart-

phone to learn more about:

among shift supervisors if your goal was not pin-

pointed? Only by pinpointing the term coopera-

Article: “Pushing off PM at Pier 1”

tion could you eventually know if a training pro-

gram directed toward correcting such a problem

was providing a successful solution.

As an aid to pinpointing, Figure 5.6 provides a

Use the QR CODE reader on your smart-

phone to learn more about:

checklist containing the criteria that a pinpoint

Article: “Taking It to the Bank at

should meet. Use this checklist to make sure that

Southern Bel ”

the behaviors you plan to reinforce are pinpointed.

55

6

Pinpointing: Identify the Mission

Using Both Behaviors and Results

At one time or another all of us face the chal-

We also find people reinforcing behaviors that

lenge of distinguishing between the important

have little organizational value. Since you will get

and the urgent. Depending on the immediacy of

more of what you reinforce, this sometimes caus-

consequences, even the trivial can become urgent.

es a problem because reinforcing the wrong thing

When consequences are delayed, the important

gets you more of the wrong thing. You may rein-

can lose urgency. In this chapter we describe the

force something that contributes little to the

process of identifying the most important result

desired result or that takes time and energy away

for an individual’s job or for an organization—its

from behaviors that are important to success.

Mission. Once specified, this result lays the

groundwork for all further pinpointing and for

“Mission: The reason an organization or

keeping the important urgent. The final section

job exists. ”

of this chapter covers when to emphasize behav-

ior and when to emphasize results. Knowing

which to emphasize—and when—is critical to

One of the greatest challenges to building a posi-

effectively and efficiently managing performance.

tive work environment is the matter of contin-

gency,( deSouza Barba, 2012) or what behaviors

Identifying the Mission

you actually reinforce relative to what you intend-

The right pinpoint always begins with defining

ed to reinforce. Too many people reinforce trivial

the outcome you want. There are relatively few

behaviors and ignore those that really matter.

times, outside of raising children, when you want

When deciding what to reinforce, always start

to change behavior only for the sake of behavior

with the outcome, but keep in mind that select-

change. This is particularly true in an organiza-

ing the right outcome requires some thought.

tional setting; yet we see managers and supervi-

When managers are inundated with data on every

sors expend considerable effort attempting to

facet of performance, how do they pinpoint

change behaviors that have little, if any, impact on

behaviors that will make a difference? The answer

organizational performance. Most often they try

is to begin by defining the mission.

to punish behaviors because the behaviors are

annoying. Nuisance behaviors, such as complain-

Organizational Mission Statements

ing, being late to meetings, taking long breaks

We define the mission as “The reason the organi-

and engaging in social conversation cause anguish

zation or the job exists.” It is the single most

because of the way the organization values appro-

important outcome associated with success. A

priate behaviors.

mission statement does not define everything you

56

CHAPTER SIX

must accomplish to be successful, only the core

contracted sales. We think that those working to

outcomes. Usually this is a short phrase or sen-

determine a mission statement should follow the

tence as to why the job exists.

Twitter rule limiting them to 140 characters.

There are two kinds of missions: organization-

Managers should not confuse their unit’s mis-

al and job. At the organizational level, the mis-

sion with their own. If a sales manager’s unit mis-

sion is a short, pithy statement that defines why

sion is to sell insurance, she should know that is

the company or organization exists. The mission

not her mission. Her boss should use sales data to

for a nuclear power plant might be as simple as,

analyze her unit’s performance. The sales manag-

“Generate power.” For a railroad it might be “To

er’s consequences should come primarily from

provide freight transportation services.” Usually

what she personally contributes to the sales effort

these statements are wordier in an attempt to

and success; this is usually defined by her job mis-

make them motivational to many constituencies

sion. How do we identify and quantify how her

and as a result confuse the mission with the orga-

personal role contributes to the success of her

nizational vision, e.g. “To be the best, low cost

unit? Most managers have worked for someone,

provider.”

at some point in their career, who was promoted

Starbucks mission statement is “To inspire and

not because of their competence, but in spite of

nurture the human spirit—one person, one cup

their incompetence! This occurs because that

and one neighborhood at a time.” This says noth-

manager’s bosses only looked at the unit perform-

ing about coffee or food and certainly does not

ance and mistook it as a reflection of the manag-

provide a focus for their business. Starbucks

er’s performance. Her job mission is most likely

might object to a mission as simple as “To sell

to be “To create successful sales employees.”

coffee” but we think that it would help focus the

Just as every organization has its mission to

company and the employees better. They sell

perform, each job has a mission that contributes

food in order to sell more coffee. They sell music

to that organizational mission. This is true of

to bring customers to the store and keep them

work at all levels, from the president to the head

there to sell more coffee. They sell other drinks

of research and development, to the customer

because someone in a group of friends might not

service representative in the call center.

drink coffee and the group might not come to a

Organization Mission

Starbucks if they did not offer other drinks.

Unit Mission

Coffee is their expertise and their reason for

Job Mission

being in business. Their mission statement is

more about their vision than their mission.

Remember, the mission statement should not

“Missions should describe pinpointed

be a statement for the web, lobby wall or cus-

results, not pinpointed behaviors. ”

tomers but a statement to keep employees, to

include executives and the board of directors,

focused on the essential activities of the business.

Job Mission Statements

This same type of mission statement applies to

Once the job mission has been identified, measures

internal units of the company. A sales depart-

and subordinate pinpoints flow naturally from it.

ment’s mission, for example, should state as sim-

However, the vague description of a personnel

ply as possible the essential outcome of its efforts:

supervisor’s job as supporting the organization by

PINPOINTING: IDENTIFY THE MISSION USING BOTH BEHAVIORS AND RESULTS

57

providing human resources does not naturally

The process of identifying the most important

lead to job measures. Words that denote process,

results of a job consists of these three steps:

or how you will do something, generally are fatal

1. List all the results and key behaviors for

to mission statements. But, if you describe this

which you are accountable.

same mission as an outcome such as “job posi-

tions filled,” several possible measures become

2. Extract from the list a single result that

apparent. They are percent of job positions filled,

explains why the job exists.

time required to fill open positions, percent of

job openings with qualified applicants available,

3. Check each remaining result against the

mission and determine which ones (results)

and percentage of new hires retained after proba-

are critical to the accomplishment of the

tionary period. Missions are statements of out-

mission.

comes, not of activities. In other words, missions

should describe pinpointed results, not pinpoint-

An Example of a Job Mission Statement

ed behaviors.

Let’s illustrate this process by looking at the job

of personnel supervisor, mentioned earlier. The

list below contains some possible important

“A mission must be stated as an out-

results for this position.

come, a result. ”

• Equal Employment Opportunity

Commission (EEOC) requirements met

Once you have defined the mission, measures

of quantity, quality, timeliness, and cost naturally

• Employee files current

follow. The resulting measures will focus your

• New applicant files available

efforts on the critical issues. Most jobs require

• Recruiting interviews conducted

many behaviors and produce many results. Until

• Exit interviews conducted

you know the most important result, priorities

• Jobs filled with qualified personnel

are often confused and much time and energy is

wasted changing behaviors that are insignificant

• Job openings filled within target time

or in some cases counterproductive.

The best way to determine a job mission is to

With this list, it is easy to see that the one

start by listing all the results and key activities of

overall result the job is directed toward is jobs

the job (with appropriate measures). Then try to

filled. But how do we know this is an adequate

summarize in one short statement why the per-

statement of the job’s mission?

formers do these things. The outcome of the

Evaluating the Mission:

combination of these activities, the single most

The ACORN Test

important result of the job, is the job mission.

Listed in Figure 6.1 are five criteria developed by

Once you have a mission, go back and check all

Gilbert (1978) representing a simple test for you

other results against it. If achieving these other

to apply to any result you think might be a job

results doesn’t help achieve the mission, they are

mission. The five criteria are accomplishment,

secondary to the mission, or they belong to some

control, overall objective, reconcilable, and num-

other job.

bers—represented by the acronym ACORN. The

58

CHAPTER SIX

Figure 6.1 Summary of the ACORN Test for Determining Job Mission Accomplishment - It is a result, not a behavior.

Control - The performer has the predominant influence over the accomplishment.

Overall Objective - The accomplishment that represents the major reason for the job’s existence (not just one of several objectives for the job).

Reconcilable - The accomplishment must have minimal conflict with the requirements of other jobs.

Numbers - It must be possible to generate practical, cost-effective data to measure the accomplishment.

following section shows how these criteria would

icantly affect the desired outcome when other

apply to the mission of jobs filled.

people did not do their part, then she doesn’t

have enough control for it to be considered her

Accomplishment

mission. If other people have enough control to

The mission jobs filled is a result. To know if the

prevent the performer from being successful, then

mission is being accomplished, you never need to

you have not identified the mission, and certainly

see the personnel supervisor perform any specific

it would not be appropriate to hold the person

behavior; you only need to look at the effects of

accountable for those results. Yet, it’s done all the

the behavior—a report of positions filled.

time! Many sales managers are held accountable

To fill these jobs the personnel supervisor may

for increasing sales. Yet, the only way a sales man-

have placed advertisements, visited schools,

ager can directly increase sales is to call or visit a

attended conferences, and interviewed applicants,

client and get an order.

but none of these are the job’s mission. A mission

A nursing supervisor’s mission may be

must be stated as an outcome, a result. You can’t

described as improving patient care. The only

compromise on this point. If you have questions

way a nursing supervisor or hospital administra-

about whether a potential mission meets the cri-

tor can directly influence patient care is to go into

teria for a result, review Figure 5.5— Differen-tiat-

a patient’s room, fluff the pillow, dispense med-

ing Behaviors from Results.

ications, change the bedpan, take the patient’s

temperature, and fulfill the patient’s requests. Yet,

Control

the responsibility for improving patient care is

If the personnel supervisor engages in the right

usually at the supervisory or administrative level.

behaviors, jobs will be filled. Consequently, a per-

son in this position must have more authority to

fill jobs than anyone else.

Here is a question to ask yourself in evaluating

“If the mission as described does not

if a performer has control over his/her job: If the

satisfy the criterion of control, redefine

the mission until it does. ”

job holder did everything in her power and

authority, as outlined in the job description, and

used all the resources available to her, could she

In these examples, if the managers increased

significantly impact the results? The answer, of

sales or increased patient care, they would be

course, must always be yes. If she could not signif-

PINPOINTING: IDENTIFY THE MISSION USING BOTH BEHAVIORS AND RESULTS

59

doing their subordinates’ jobs. The managers in

the ACORN test, if the control is not there, the

these situations do not have the most control

job will produce little for the organization and

over these results. The salesperson and the nurse

will frustrate whoever tries to accomplish it.

do. Yet many organizations hold managers

accountable for these types of results.

Overall Objective

Figure 6.2 shows how managers under the typical

The basic question to ask when evaluating

system can be successful even when employees fail.

whether the mission statement represents the

In this actual case, the boss received a bonus even as

job’s overall objective is, “If the result is complete-

four of his five employees faced losing their jobs.

ly achieved, would anything else be expected?” If

If you have supervisors who can be successful

the answer is yes, then the result described in

when employees are not, then you will have con-

your mission statement does not meet this criteri-

stant productivity and morale problems.

on. In our example, you would not have selected

If the mission as described does not satisfy the

the overall objective if all jobs were filled with

criterion of control, redefine the mission until it

qualified applicants, but there were other signifi-

does. If you can’t do this, then select another

cant results the boss still expected to be done.

result to test against the mission criteria. Don’t

There will always be things to be done when jobs

bother to check a possible mission against the

are filled, such as maintaining up-to-date and

rest of the ACORN criteria if the performer does

accurate personnel files, but these things should

not have sufficient control over the results. No

support the mission of filling jobs with qualified

matter how well you satisfy the other criteria in

applicants. If the personnel supervisor is responsi-

ble for plant security, then filling jobs may not be

the overall objective. In your organization, the

Figure 6.2 Example of a Typical

mission of the personnel supervisor may be com-

Accountability System:

The Supervisor Can Be

pletely different. This example was selected only

Successful While Most

to illustrate how to generate a job mission.

of His Employees Are Not

Reconcilable

1,000,000

SUPERVISOR’S GOAL

The key question here is, If this mission were

900,000

accomplished perfectly, would the missions of

800,000

other jobs be hampered? For example, if the mis-

sion of the Training Department is defined as

700,000

“training employees,” then its ultimate result

olars 600,000

would be for all employees to be continuously

500,000

involved in training. No one would ever be doing

400,000

Sales D

anything except staying involved with training.

300,000

This, of course, would interfere with every other

200,000

job in the organization. Therefore, this mission

100,000

clearly is not reconcilable with the missions of

other jobs.

#1

#2

#3

#4

#5

TOTAL

SALES

Formerly, in some organizations, the missions of

Salespersons

the production manager and the quality manager

60

CHAPTER SIX

were not reconcilable. The production manager

one part of the organization can create problems

was responsible for meeting a production schedule

in other parts of the organization. All work per-

to get the product out the door. The quality man-

formance occurs as a part of some system. One

ager often had the mission of preventing poor

person does things that enable others to do their

quality goods from leaving the plant. In many

thing. We are all aware of what happens when

cases, the quality manager would stop production,

people do not do their thing correctly or on time;

hold up shipment, inspect more slowly, and so on,

but we don’t always think about what an

all of which had a negative effect on the produc-

improvement in one area will do to the perform-

tion manager’s mission.

ance of others. If Department A increases output

The classic clash of missions has occurred

to the level that Department B cannot process it,

quite often between manufacturing managers and

the increase in production loses its value.

sales managers. The mission of sales managers is

frequently to sell as much as they can; the mis-

Numbers

sion of manufacturing managers has often been

There are many possible measures for our person-

to make the product as cheaply as they can. As a

nel supervisor’s mission. The primary measure is

result, the sales managers want to make the prod-

simply percent of jobs filled with qualified appli-

uct in an infinite number of sizes, shapes, and col-

cants. Quality, quantity, timeliness, and cost of

ors (so they can maximize customer choices),

fulfilling this mission can all be measured. You

whereas the manufacturing managers want to

could measure the degree to which applicants

make it in one size, one shape, and one color to

meet job requirements or specifications. You

keep the manufacturing process as simple as pos-

could measure the number of jobs filled. Other

sible. These missions are hardly reconcilable.

measures are how quickly open slots are filled and

As for the example of jobs filled, it is hard to

how much it costs to fill them and keep them

imagine this would interfere with other organiza-

filled.

tional missions. If all jobs are always filled, what

Chapter 7 describes how everything can be

other department or job in the organization

measured. The issue, then, is not whether the

would be hampered? The answer is none.

mission can be measured, but whether the meas-

The ability to reconcile job missions within an

ure is practical and meaningful.

organization is critical to the overall success of the

Practicality cannot be achieved if the measure

organization. Unless all jobs in the organization

is not meaningful. Therefore, the following ques-

support each other in contributing to the organiza-

tions should be answered “Yes.”

tional mission, results will be less than optimal.

1. Meaningful: Does the measure describe

This analysis can be extended to individual per-

changes in the essential job accomplish-

formance by asking, “Is an increase in what I do

ments?

valuable? How does it help others be successful?

2. Validity: Will the number accurately

Will an increase in the performance in my area

describe changes in the accomplishment?

cause problems in other areas of the organization?”

3. Cost of Measurement: Will it be too high?

Many people start reinforcement programs

without thinking about the impact that an

When considering the two factors of measure-

increase in certain results will have on the rest of

ment practicality, most managers tend to overes-

the organization. Sometimes an improvement in

timate the cost of measuring, thinking in terms

PINPOINTING: IDENTIFY THE MISSION USING BOTH BEHAVIORS AND RESULTS

61

of computer programming, time-consuming

However, you don’t need to wait until you

reports, and extensive outside assistance required

have a perfect measurement system to start. An

to develop industrially engineered standards. As

imperfect system is better than none at all. Once

you will see in Chapter 7, simple measurement

you begin to measure, you will find that certain

techniques can be developed if you have a good

problems arise, causing you to refine your meas-

pinpoint. By using good sampling techniques,

ure. If you wait until it’s perfect, you may never

you can get highly reliable data that is inexpen-

begin.

sive and easy to obtain. Involving the performers

In defining the mission of a job, you identify

in measuring their own performance, for exam-

all the important results of that job. The last step

ple, is inexpensive and has the added benefit of

in defining the job mission is to compare each of

providing immediate feedback to the performer.

the results to the suggested mission. Each result

Validity, the second factor of practicality, refers

should support the accomplishment of the mis-

to the extent to which the data reflect what is

sion. If a result does not support that accomplish-

purported to be measured. Sometimes measures

ment, it may belong to another job.

don’t give us what we want or need. This is most

Examine Figure 6.3. EEOC requirements

often a problem with indirect measures of a mis-

ensure that job slots will be filled with legally

sion. For example, the number of hours worked

qualified applicants. Up-to-date files allow per-

may not be a valid measure of the mission of sell-

sonnel to take prompt and proper action to hire

ing insurance. A person could put in a lot of time

and maintain employees. Conducting interviews

but spend it inefficiently and thereby not be suc-

is essential to filling jobs. Exit interviews reveal

cessful. BARS, matrices, and point systems must

why employees leave jobs and provide valuable

be tested for both validity and reliability.

information to correct problems. Jobs filled within

Reliability refers to the degree to which two or

target time is a measure of how efficiently the job

more people get the same number when measur-

is done.

ing a performance. Reliability means only that

the measurement system remains consistent from

Figure 6.3 Example of Determining Job

Mission

one time to the next. Just because the measure has

high reliability does not mean that it is valid. We

Job

can have high agreement among the measurers on

Personnel Director

a BARS or matrix, but the number still may not

Mission

measure the performance we want.

Job slots filled

Possible Accomplishments

• EEOC requirements met

“The last step in defining the job mis-

• Employees’ files kept current

sion is to compare each of the results

• New applicant files available

to the suggested mission. Each result

should support the accomplishment of

• Exit interviews conducted

the mission. If a result does not sup-

• Jobs filled within target time

port that accomplishment, it may

belong to another job. ”

The process of identifying job missions and

their measures is often difficult and time-con-

62

CHAPTER SIX

suming. However, time spent on this activity will

uring. Therefore, one simple rule that we can

invariably pay significant dividends in the long

state concerning behaviors and results is this:

run. The only way any organization can operate

Pinpoint both behaviors and results, but always

in the most efficient manner is to identify and

pinpoint and measure results first.

reconcile every job mission.

However, the necessity for pinpointing and

measuring at least some of the behaviors required

to produce results may not be clear to some peo-

“If something is worth pinpointing, it is

ple. Why worry about the means (behavior) if the

worth measuring. ”

end (result) is justified and being accomplished?

The answer is that if you don’t pinpoint relevant

Water Boys

behaviors, one or more of the following problems

Our experience has shown that close examination

may occur:

of mission statements expose unnecessary work

1. People may engage in illegal or morally rep-

and highlight inefficiencies. It is not uncommon

rehensible behavior such as falsifying data.

to find so-called “water boys”—people in signifi-

2. Behaviors necessary for the maintenance of

cant jobs whose primary function is to relay mes-

long-term results may be neglected.

sages from one level to the next. This is always

3. You may set up negative reinforcement con-

dangerous to the organization because all too

tingencies that reduce performance.

often these jobholders turn into reduction gears,

meaning that they actually decrease the effective-

The Watergate scandal that led to the resigna-

ness of communications and performance by

tion of President Nixon is an example of the first

what they add or subtract to the messages they

type of problem. In that case, individuals were

transmit. Not only is such a position dangerous

told to obtain certain information about the

to the organization, it is unfair to the individual

Democratic Party. The result, electing a

who tries honestly to fill that position. By defin-

Republican president, was the important thing.

ing job missions, you can eliminate unnecessary

Any behaviors that would lead to that end were

work and ensure that all jobs support the overall

considered justifiable by those involved and were

mission of the unit or organization.

reinforced by their superiors. As a consequence,

those involved committed crimes (behaviors) that

Behaviors or Results:

included conspiracy to commit breaking, enter-

Which Should You Emphasize?

ing, and misprision of a felony. The course of

Every job was created to produce particular

American history was dramatically altered as a

results. We have just finished discussing how one

result1.

can identify what these results should be. Clearly

Those involved could have attended speeches

then, results always need to be pinpointed. And if

by the Democratic politicians. They could have

something is worth pinpointing, it is worth meas-

talked to supporters and reporters. They could

1 Whoever, having knowledge of the actual commission of a felony cognizable by a court of the United States, conceals and does not as soon as possible make known the same to some judge or other person in civil or military authority under the United States, shall be fined under this title or imprisoned not more than three years, or both. —Wikipedia

PINPOINTING: IDENTIFY THE MISSION USING BOTH BEHAVIORS AND RESULTS

63

have analyzed the information obtained to under-

for long-term results will be neglected. In other

stand the strategy the Democrats were taking.

words, short-term gains will be reinforced at the

These are all legal activities (behaviors) directed

expense of long-term results. For example, pre-

toward the same end as the break-in of the head-

ventive maintenance may be neglected in order to

quarters of the Democratic National Committee

maximize short-term productivity. Of course, this

in the Watergate complex (Shannon, 1974).

may cause equipment failure in the long run and

Obviously, monitoring to see that the results were

subsequent production losses far in excess of that

obtained by legal and ethical behaviors rather

gained from not doing the required maintenance.

than illegal and unethical ones would have avert-

When the pressure is to get it out the door, quali-

ed a major political scandal and saved the country

ty may suffer in favor of meeting a shipping

countless dollars and untold grief.

schedule. The problems caused by shipping poor

Newspapers and television news constantly

quality goods are practically always greater in the

report problems of this nature. Under pressure to

long run than those created by missing the ship-

win (result), college coaches engage in illegal

ping schedule. An organization is headed for

behavior to recruit star high school athletes.

trouble when you hear managers say things like,

Athletes use steroids and other illegal substances

“I don’t care how you do it. I want those chemi-

(behavior) in an attempt to set performance

cals disposed of by the end of the month” or “I

records (result). Stockbrokers engage in insider-

don’t care how you do it, but you had better make

trading and other illegal activities (behaviors) to

those budget cuts by the end of the month.”

make money (result). The list seems endless.

In essentially every case, you should pinpoint

Systems that emphasize results to the exclusion of

and monitor behaviors and results. Even though

behaviors may encourage otherwise law-abiding

you should monitor both, at times, you will usu-

individuals to perform illegal, immoral, or uneth-

ally need to spend more time on one or the other.

ical acts.

When you set results targets, take the time to

define what you as a company or team will do

and will not do to get there. Make that frame-

“Because al results are the outcome of

work known to employees and ask them to craft

behavior, behavior must be the pri-

it. Challenge them to alert the team when the

mary concern of managers. ”

principles of engagement are being obscured in

the rush to get to the end goal. Make them part

Managers who focus exclusively on results may

of the equation and invite them to the table to

unwittingly create lying, cheating, and stealing.

talk about the ethical implications of all behavior.

This is a frequent occurrence when there is a lot

Make clear that immediate dismissal awaits any-

of pressure to produce results or else lose one’s job

one who takes shortcuts that bring harm to oth-

or status within the organization. If employees

ers, engages in illegal or unethical behavior even

know the boss is only interested in the results,

when it might facilitate reaching the final goal.

they may falsify the data or engage in other

The goal should always be to do the right thing

behavior that is even more reprehensible to avoid

in the right way.

the punishment for not achieving those results.

Another problem that occurs when only

Use Behavior as the Focus . . .

results are evaluated is that behaviors necessary

When managers pinpoint and measure perform-

ance, they are more likely to focus on results than

64

CHAPTER SIX

behavior. Often, in fact, they leave the determina-

tions, though, we know the absence of these

tion of the appropriate behavior to subordinates.

behaviors eventually will adversely affect

This erroneous view should be corrected. Because

the results.

all results are the outcome of behavior, behavior

At other times, we may engage in many

must be the primary concern of managers.

behaviors to produce a result when, in fact,

Behavior should be the focus of reinforcement

only a few of the behaviors are actually

in the following five circumstances.

related to the accomplishment of the result.

This relationship was suggested many years

1. When current performance is a long way

ago by Vilfredo Pareto (1848-1923), an

from final result (goal). When a goal is far

Italian economist. Pareto’s observations

above the current level of performance, pro-

have been interpreted to mean that, of all

viding reinforcers for goal attainment rarely

the possible causes of a result, only a small

supplies enough reinforcement to keep the

percentage actually are responsible for most

performers going. At some point either

of the effect. Known today as Pareto’s Law,

extinction will occur or you will be required

or the 80-20 Principle, we interpret it in

to use negative reinforcement to keep peo-

this context to mean that 20 percent of

ple on task. This is particularly true of new

employee behaviors probably produce 80

or poor performers. When people don’t

percent of the results.

know the behaviors necessary to produce

In many situations, employees are

the results, or can’t perform them very well,

expected to engage in numerous behaviors

or when the rate of reinforcement is low,

that contribute little to results. For exam-

those behaviors should be pinpointed and

ple, salespeople locate potential customers,

reinforced.

send letters, make follow-up telephone calls,

2. When the link between the behavior and

schedule appointments, take customers to

the result it produces is not obvious.

lunch and dinner, do market research, pre-

Sometimes the relationship between behav-

pare presentations, and on occasion, even

iors and a result is not clear. This is particu-

play golf with customers. Their presenta-

larly true for situations in which a result can

tions involve many behaviors. They may

be achieved even when all the prescribed

assist the buyer in making presentations to

behaviors are not completed. For example, a

others in his company. They establish rap-

pilot may not complete a pre-flight check-

port, assess the customer’s need, describe or

list but still have a successful flight; a sales-

demonstrate the product or service, identify

person may get an order without asking for

and address customer concerns, supply ref-

it; a teacher may have a good class but not

erences, and ask for the order. They may

follow an outline; a programmer may devel-

dress and speak a certain way.

op a successful computer application with-

Asking for the Order

out doing required tests; machines may run

Of all the above, the behavior that is probably

efficiently even when required preventive

stressed the most in sales training is asking for the

maintenance is not done; people may not

order. For some salespeople, particularly new

have an accident even when safety proce-

salespeople, asking for the order is requisite to

dures are not followed. In all of these situa-

PINPOINTING: IDENTIFY THE MISSION USING BOTH BEHAVIORS AND RESULTS

65

making a sale. Unfortunately, it is also the behav-

3. When the result is long delayed. Some

ior they are most likely to forget or have difficulty

results take a long time to produce. IT man-

doing. A national grocery products company con-

agers, programmers and project manage-

ducted a survey of salespeople who averaged 17

ment engineers often have projects that

years in selling and discovered that they asked for

take many months or several years to com-

the order less than 45 percent of the time.

plete. The same is true for sales of big-ticket

The reason new salespeople don’t want to ask

items like real estate, heavy machinery, or

for the order is because they are punished by a

large computer systems. Any product or

“no” much more often than they are reinforced

service costing large amounts of money usu-

by a “yes.” The reason senior salespeople get out

ally requires weeks or months to sell. In

of the habit of asking for the order is because they

these situations, behaviors must be rein-

make some sales when they don’t ask. The act of

forced because the results do not occur fre-

asking, without feedback and occasional rein-

quently enough to provide the amount of

forcement, gradually undergoes extinction. If

reinforcement necessary for maximum

managers don’t define the critical few behaviors

motivation. Many long-term projects are

necessary to produce a result and reinforce them

late because of this lack of consistent rein-

in these situations, many superstitious behaviors

forcement. Managers may need to monitor

can be the result.

the performance in these situations and

Here is a good example: Aubrey went into a

reinforce the behaviors involved in the

Burger King to get a cup of coffee and review

result, rather than wait until the project is

some notes before going to a meeting. When he

finished to have a celebration.

ordered his coffee, the clerk asked, “How about a

Another way to manage these perform-

hot apple pie?” Aubrey replied, “That’s a good

ances is to break the big task into smaller

idea.” At that point, her boss leaned over and said

tasks in order to reduce the amount of time

to her, “See. It works!” No doubt he had told

between the behavior and results. For exam-

employees that if they tried suggestive selling they

ple, reaching milestones and sub-goals pro-

would sell more. He did the right thing by pro-

vide opportunities for celebrations of short-

viding immediate, positive, social reinforcement.

term results.

What should the manager have done if Aubrey

Although milestones have been a part of

had said no? He still should have reinforced her,

project management for a long time, rein-

because she did exactly what he wanted her to do!

forcement has not. The real value of having

He might have said, “You did that exactly right.

a milestone or sub-goal is in the opportuni-

Keep it up and you will sell a lot of hot apple

ty it provides for reinforcement. For that

pies.” In this way he would have reinforced the

reason we suggest that milestones should be

behavior that would create results, even if it did

set so that celebrations can be held fre-

not in that particular instance. If you only rein-

quently, even weekly. And the celebration

force behavior when it produces a result, you

should be all about the behaviors that peo-

leave behavior to the whims of the natural contin-

ple have engaged in that are keeping the

gencies because most of these behaviors will not

project on-time and on-budget.

produce a result and, sooner or later, that counter

person will stop asking customers if they want a

4. When the relevant behaviors are socially

hot apple pie.

sensitive. Problem behaviors at work

66

CHAPTER SIX

involving violations of social etiquette or

nities at work, including promotions, trans-

personal style can cause difficulties for both

fers, and even their jobs, because they did

the performer and co-workers. These

not get feedback on problem behavior and

behaviors are difficult for co-workers

reinforcement for the behavior change.

because they are offensive or cause personal

embarrassment. They are difficult for the

5. When poor results are due to causes

performers because they often aren’t aware

beyond the performer’s control. A final sit-

of the problem.

uation in which behavior, rather than results,

Problems involving inappropriate

should be reinforced is when the possibility

appearance, talking too much, poor gram-

of improving the result is out of the per-

mar, messy eating habits, body odor, or bad

former’s control. Sometimes factors such as

breath are rarely handled in a constructive

the weather, the economy, or vendors, have a

way in most businesses. And whether you

negative impact on performance. The word

realize it or not, these things often have a

sometimes should be emphasized because

significant effect on the way performers are

often people attribute poor performance to

evaluated. Because it is socially awkward,

causes they believe are beyond their control

peers, customers, and even managers are

when, in fact, if they would pinpoint and

unlikely to give feedback on such behaviors.

reinforce the right behaviors, results would

Often, an employee may be denied an

improve dramatically.

opportunity, not because of performance,

With skilled performers, results are usu-

but because of some aspect of personal

ally sufficient to provide adequate feedback

grooming, appearance, or personal habit.

and reinforcement to allow them to main-

If such socially sensitive behaviors are

tain high performance. However, when the

interfering with results, managers have the

results are not forthcoming, relevant behav-

responsibility to tell the performer. The

iors should be reinforced to keep them

performer can’t change a problem behavior

occurring until the results return.

if he doesn’t know it is a problem. He needs

An example of this problem is the effect

feedback. Of course, the person must bene-

of a recession on sales. In a recession, sales

fit from the feedback, so the feedback must

decrease even though salespersons are work-

be pinpointed. Fortunately, most of these

ing harder than usual. If the hard work

behaviors are easy to pinpoint. Then, once

(behavior) does not result in sales, these

you communicate the problem, you must of

behaviors will undergo extinction. During

course reinforce the appropriate behaviors.

this period, managers should be delivering

Feedback of this nature is difficult to

reinforcement for prospecting, getting

give because it sets up a potential conflict of

appointments, and so on. If results are

social values or addresses a highly personal

emphasized in this unfavorable climate, sales

aspect of hygiene or personal choice.

will decrease even more than economic con-

However, when it is provided with a sincere

ditions warrant. Another example occurs

desire to help rather than criticize, the

when inferior raw material or poor running

problem is usually easy to correct. Sadly,

conditions cause poor results. During this

many people have lost significant opportu-

period, behaviors must be reinforced to

PINPOINTING: IDENTIFY THE MISSION USING BOTH BEHAVIORS AND RESULTS

67

make sure the performers maintain the vigi-

thousand things they might have done

lance and stamina required to maximize the

wrong. They need feedback and reinforce-

results in spite of the bad material or condi-

ment for the right behaviors from some

tions. We have worked with many organiza-

outside source like a fellow player, caddie,

tions as they were going through some

or golf pro.

decline in demand. Many of them went

People who have been doing the same

through a transition period during which

job for a long time or who are skilled at

they changed the pace of work to match the

their work are in a similar situation. They

lowered output requirements. This is a bad

know all the behaviors that go into the

practice because working at a slower rate gets

desired results and therefore all they typi-

reinforced and can prove to be a real obstacle

cally need to improve results is more fre-

to returning to peak performance at a later

quent feedback and recognition for those

time. We recommend companies continue

results.

reinforcing the behaviors required for high

levels of performance, even if it means work-

2. Behaviors and results are obviously

ing at shorter intervals.

related. If a result can only be produced by

engaging in some obvious behaviors, then

When to Use Results as the Focus

rewarding the result can be efficient and

Pinpointing the relevant behavior is often more

effective. Nothing is gained by focusing on

difficult to do than identifying the important

behaviors in situations where the behaviors

result. Moreover, to focus on behavior, you have

and results are so obviously related that cel-

to actually observe the performer. For the simple

ebrating the result will provide reinforce-

reason that results are easier to manage, they typi-

ment for the relevant behaviors.

cally are overemphasized. However, in certain

Highly repetitive tasks usually fall into

instances it is more efficient to celebrate results.

this category. An example is an assembly

This does not mean you can forget behaviors, but

line job where a person repeatedly com-

that you can get by with rewarding results without

pletes a few tasks. If a person has a job of

constantly monitoring behaviors. These instances

stacking boxes (behavior), you might well

occur in the following situations.

recognize the number of boxes stacked in

an hour or a day (result), rather than watch

1. Performers are skilled in the behavior.

him stack them. Other examples include

Many people already know the behaviors

orders entered (data processing), railroad

required to produce a particular result. In

cars loaded (shipping), newspapers deliv-

such cases, you can focus on results. For

ered without a complaint (distribution).

example, professional golfers know what

they do wrong when they miss the fairway

3. Results are improving. When results are

on their drive. They do not need someone

improving, that usually means the perform-

to tell them what causes a slice or a hook.

ers are performing the correct behaviors.

They are skilled enough to know what to

Obviously, you want to make sure that

do to correct the problem by seeing the

results are being obtained through rein-

results. This is in contrast to typical week-

forceable behaviors. In addition, the behav-

end golfers who may not know which of a

iors must be at a high-and-steady rate. If

68

CHAPTER SIX

both conditions exist, you can gain efficien-

improving their results. Of course, the good

cy by giving feedback on, and recognition

coaches provide plenty of feedback and reinforce-

for, results. You can usually do this with

ment when the trainees make the changes.

highly efficient, experienced performers.

Professional personal coaches know that, if peo-

ple don’t want advice and coaching, coaching will

Focus, Don’t Ignore

not be successful. That requires a fine balance

Figure 6.4 provides a summary of when to focus

between giving feedback on shortcomings and on

on behavior and when to focus on results. If, after

strengths. The same principle should apply to

examining these criteria, you still aren’t certain

managers. If their advice doesn’t provide more

whether to emphasize behavior or results in a par-

reinforcement to the recipients, employees will

ticular situation, choose results. If the results

not seek out their manager’s opinion.

don’t improve, then change your focus to behav-

While developing the right pinpoint and

ior. The key word is focus, not ignore. When you determining the focus is often time-consuming, it

focus on either behavior or results, you must

is well worth the effort. Once you know what you

monitor the other. When you completely ignore

want people to do, you can use this technology to

either, you can expect trouble in the long run.

make it happen at a high-and-steady rate.

You may get results through undesirable behav-

iors or have many busy people accomplishing

Work Sampling

nothing. In a situation as simple as boxes stacked,

To be an effective manager, direct observation on

you need to look in on the performers occasional-

the job is critical, however you must be sure that

ly, because they may be doing things that could

you understand what you are seeing and do not

be unsafe, unhealthy, or otherwise undesirable.

make the mistake of reinforcing an inappropriate

Practically all professional and Olympic ath-

behavior. We refer to this as “work sampling” fol-

letes have coaches. They need someone to watch

lowing the work of Komaki (1986). Work sam-

them from time to time to see if they can spot

pling has several purposes:

weaknesses in their game or opportunities for

Figure 6.4 Summary of When to Focus on Behaviors and When To Focus on Results Focus on Behaviors or Results

Focus on Behavior When . . .

Focus on Results When . . .

1. Current performance is a long way from

1. Performers are skilled and know what

goal—shaping new employees

behaviors to do

2. The link between the result and behavior

2. Behavior/Result link is obvious and clear

is vague

3. Results are improving

3. Result is long delayed—feedback

inadequate

4. Relative behaviors are socially sensitive

5. Low results are caused by factors beyond

the control of the performer

PINPOINTING: IDENTIFY THE MISSION USING BOTH BEHAVIORS AND RESULTS

69

1. One purpose of work sampling, when

pinpoint managerial behaviors to coach.

done at levels below your direct reports,

is to determine how well your organiza-

3. Sample work with the supervisor to

tional structure functions. When you talk

ensure that you both are seeing the same

to individuals, you are trying to diagnose

things and to train him on what your cri-

the antecedents and consequences that drive

teria for success are. If you both see the

their performance. Under the heading of

same things, you will quickly calibrate what

antecedents, you want to know if their

is important and what is not. Your com-

process is capable of producing what you

mentary should be directed at the supervi-

want or if it interferes with performance.

sor rather than at the performer. If some-

Are there interface issues that you need to

thing is done well, it is the supervisor who

resolve? Are communications of the most

should be the target of your comments. If

important issues clearly understood? Under

something is not done well, it is the super-

the heading of consequences, you need to

visor who provides you with the informa-

know if your policies and programs pro-

tion you need to be an effective participant

mote performance or interfere with it. Does

in its correction.

the structure of the work encourage per-

formance or make good work difficult? You

should also find information that tells you

“The primary responsibility of a manag-

er is to reinforce valuable behaviors of

which performance systems work, whether

direct reports. ”

incentives, promotions, or procedures are

working, and which ones need altering.

2. The second purpose of work sampling is

4. Use this opportunity to strengthen the

to determine how well your management

position of the supervisor rather than

process works. Here you are looking at

undercutting it. This means that you rein-

how people are managed. Your purpose is

force individuals only at the supervisor’s

not to correct individual deficiencies or to

direction. Your goal is to have her direct

reinforce behavior as you observe. Though

reports see that their boss is a contributing

that might seem to be an inevitable part of

part of the reinforcement process. This

your investigation, correcting and reinforc-

pairing of reinforcement with upper man-

ing are functions of the immediate supervi-

agement will make the supervisor’s social

sor. Your purpose is to determine how effec-

reinforcement more powerful. When you

tive your managers are at promoting discre-

must correct a direct report, do it privately.

tionary behavior from their direct reports.

Consequences delivered by higher levels of

Are they using their resources wisely and

management directly to the individuals

well? Are your managers participating in

involved, without the participation of the

the process or are they impeding progress?

supervisor, can weaken that supervisor’s

You should expect to collect information

ability to manage.

that allows you to reinforce your direct

reports’ contributions to success, or infor-

Most of the work sampling that supervisors

mation that allows you to more effectively

should do is among direct reports. While it is

70

CHAPTER SIX

reinforcing for many managers to see the front-

sampling than the ineffective ones did.

line activity in the organization, the primary

You can only deliver positive/immediate con-

responsibility of a manager is to reinforce direct

sequences to your direct reports when you are in

reports. Upper managers should assist in reinforc-

the work area. Managers who opt to stay in their

ing at all levels but usually at the direction of

offices can only provide consequences for results,

lower-level managers or supervisors. Komaki

not the behaviors that produced them. Because of

(1986) discovered in her direct observations in

this, work sampling should be a part of every

dozens of work situations that the most effective

reinforcement plan.

supervisors and managers spent more time work

71

7

Measurement Tools:

Necessary but Not Sufficient For Behavior Change

Once you pinpointed the behavior and the

what I do,” “You don’t trust me,” or “It’s not fair.”

result you would like to change and your Mission

You might even hear comments about your

has passed the ACORN test, you are ready to

micromanagement. These comments indicate

begin the measurement phase. If you have a reli-

that the performers may have had a history in

able pinpoint, measurement is easy. The most

which measurement has been an antecedent for

basic measurement is counting. Pinpoints allow

punishment. This is understandable because a lot

you to count, because the specificity of a pinpoint

of what we measure is negative. We measure

enables you to observe actions you would not

things like errors, defects, accidents, and waste.

otherwise see. Pinpointing allows you to measure

Quite naturally, people might not be delighted

many abstract concepts or states such as morale,

when someone suggests counting the number of

attitude, creativity and even wisdom. Once you

errors they make. We want to ensure that you look

have established the precise behaviors you will

at measurement in terms of how it can be used to

accept as evidence of these qualities, counting

support positive change. In that sense, the meas-

them is a much simpler task.

urement process is much more likely to be associ-

ated with reinforcement than with punishment.

One major reason for measuring in a PM sys-

“Measurement al ows you to see smal -

tem is to increase the appropriate delivery of rein-

er changes in performance than you

forcement. Measurement allows you to see small-

could see through casual observation.

er changes in performance than you could see

Seeing these smal improvements

through casual observation. Seeing these small

al ows you to reinforce more often. ”

improvements allows you to reinforce more

often. This will guarantee faster change than if

Why Measure?

you wait until some final result has been attained.

Certainly, measurement exposes poor perform-

Just as we manage organizational performance by

ance, but knowing about poor performance helps

data, we should manage human performance by

you know when improvement occurs so you can

data. If we pinpoint what we want from people,

positively reinforce the desired performance.

the next logical step is to measure their perform-

Another reason for measuring is to improve

ance.

your own skills at influencing others. As with any

In many organizations, problems sometimes

skill, the more precise the feedback you get, the

arise when we start measuring what people do.

faster you learn how to get others to do things

People may say things like, “You can’t measure

CHAPTER SEVEN

72

that add value to the mission. You will also get

real from apparent change. Without measure-

them to do these things because they want to

ment you may think there is an improvement

rather than because they feel coerced. When you

when there is not—or vice versa. Without data

measure the behavior you want to change, you

you may reinforce the wrong behavior, or rein-

will be able to see how quickly the changes take

force at the wrong time: Data helps you plan

place. The data also will give you important clues

what and when to reinforce. By watching the

as to whether these changes are the product of

data, even small changes in behavior can be

positive or negative reinforcement.

detected and reinforced when appropriate.

Progress Requires Measurement

Measurement is the key to progress. In many

“Measurement is the key to progress. ”

areas of past human endeavor, progress was slow

until effective measurement techniques were

Measurement also helps you identify positive

devised. The telescope and microscope, for exam-

reinforcers by giving you a way to measure the

ple, generated great advances in astronomy and

effect of various reinforcers on performance. You

biology because they allowed better and more

may think you have an effective reinforcer to

precise measurement than was possible with the

apply to someone’s behavior, but if the behavior

naked eye. New measurement technologies have

doesn’t increase, then what you are using is not a

accelerated progress in science, technology, and

reinforcer. By measuring the effect of the intend-

business for the same reason. Similarly, human

ed reinforcer on behavior, you can discover this

performance benefits from advances in measure-

earlier than you would without measurement.

ment because it permits us to detect subtle

Data also will inform you of when the value of

changes in behavior.

the reinforcer you have been using is beginning to

If you don’t measure, you usually can’t tell if

lose its effect through satiation. If the perform-

performance is improving, waning, or staying the

ance begins to decline over time, data will show

same. Under those conditions, improvement

that the value of the reinforcer has changed. With

results from chance, rather than from rational

data you can correct the problem before a serious

planning and evaluation.

deterioration in performance occurs.

Feedback and Reinforcement

Measuring Increases Credibility

Require Measurement

A popular saying among some quality profession-

Feedback—useful information on performance—

als is, “In God we trust; all others bring data.”

is an essential part of PM (Chapter 13).

They say this because solutions are often found

Therefore, the effective application of PM

by analyzing data, so those with data are more

requires measurement. Feedback depends on

likely to have solutions. People perceive individu-

data—data obtained by measuring relevant per-

als who support their points with data as being

formance. How are people to know how they are

objective and persuasive. Furthermore, those who

doing if their performance is not measured?

offer solutions are more likely to command

Optimal performance also requires reinforce-

respect and have more influence in decision-mak-

ment. Measurement increases the effectiveness of

ing. Ultimately, when people disagree, the one

reinforcement because data helps you separate

with the data is most likely to prevail.

MEASUREMENT TOOLS: NECESSARY BUT NOT SUFFICIENT FOR BEHAVIOR CHANGE

73

Measuring Reduces Emotionalism and

As a necessary condition for developing and

Increases Constructive Problem Solving

maintaining optimal performance, measurement

Using objective, unbiased data on performance

is one of the key attributes of PM. Yet, if it is so

reduces emotionalism. Associates get upset when

useful, why don’t people do it more often?

they don’t understand why their supervisor says

they are not doing well. Measurement helps us

Barriers to Measurement:

communicate the specifics of performance. If

Excuses, Excuses

people understand why you’ve made a particular

Managers and supervisors don’t measure perform-

decision about performance, they’re more likely

ance for a number of reasons. However, most of

to calmly discuss and accept the decision, because

them can be grouped under the following four

they understand that your action is not arbitrary,

headings:

but based on fact.

Managing effectively requires performance

1. “Some jobs can’t be measured.” This has

data. If you don’t have data to support your

probably been said in the past about a large

assessments, you may appear opinionated, subjec-

number of basic measures in biology, physics,

tive, and irrational. When data is continually col-

chemistry, and other sciences. However, if

lected and openly displayed, performance trends

you take the position that everything can be

become more apparent. This allows the per-

measured, you will discover many more

former to take action to correct problems sooner

measures than if you take the contrary posi-

than would be possible if they did not have meas-

tion. Performance measures have been devel-

urement.

oped in the widest possible range of jobs,

The introduction of Statistical Process

from job shop operations to research and

Control (SPC) methods by Shewart (1939) as

development organizations.

cited in Deming (1986) and others has made it

2. “Measurement is hard work.” While it

possible for companies to make significant

appears that some performances are more

improvements in quality. With these measures,

difficult to measure than others, closer

managers can separate variance in the process

analysis reveals that it is not the measure-

from variance in the behavior of the performer.

ment that is difficult but the pinpointing.

When these measures are available, if performance

As you move from judgment to counting

is down (as a result of variation in a process that is

on the measurement continuum, you are

out of the performer’s control), performers are less

moving from a vague description of per-

likely to be blamed. Another significant benefit of

formance to a pinpointed one. Once you

SPC is that the data tells performers when to take

determine what you want people to do, the

action to keep their process in control.

measurement of it is fairly straightforward.

Data also increases the probability that you

It’s true that we can measure behaviors

will make the right decisions about promotions,

more easily than traits. When we want to

suspensions, performance appraisals, and of

measure such things as cooperativeness and

course, positive reinforcement. People who have

teamwork, we make little progress in doing

the appropriate data have a clearer basis for devis-

so until we ask questions like, “What do we

ing effective solutions to problems. For example,

want the performers to do?” Once that has

displaying shift, crew or department data at meet-

been determined, measurement is easy.

ings puts the focus on performance, not on excuses.

CHAPTER SEVEN

74

3. “Measurement just signals punishment.”

be studied. The company actually had to

The most common reason performance is

increase the staff to keep up with the

not measured is that in business, measure-

demands for developing job measures.

ment frequently is associated with punish-

ment. Performance measurement has often

4. “There isn’t enough time to measure.”

been used to catch people who are perform-

The comment that has been heard by prac-

ing below some standard, while those who

tically every consultant helping with meas-

were performing above standard were usual-

urement is, “We don’t have time to establish

ly ignored. In those situations, measure-

an elaborate measurement system.” In the

ment meant accountability, and accounta-

first place, a measurement system doesn’t

bility has too often meant punishment.

have to be elaborate to be effective. In fact,

When measurement is usually the source of

the rule is, “The simpler, the better.”

good news, people will look forward to it,

Therefore, start simple; add and refine only

rather than try to avoid it.

as necessary.

Often, when people are working under a

lot of time pressure, they resist job measure-

“A measurement system doesn’t have

ment. This is because other job responsibili-

to be elaborate to be effective. In fact,

ties still must be accomplished in the face of

the rule is, The simpler, the better. ”

the added demands brought on by measure-

ment. Initially, the establishment of a meas-

An insurance company announced that a

urement system may require extra time. In

new department was being formed to devel-

the long run it will save time by helping you

op measures for all of the company’s 1,200

generate higher performance and by signifi-

clerical employees. Yet, as the new corpo-

cantly reducing the performance problems

rate job-measurement staff tried to schedule

that consume so much of your time.

their work, the departments to be measured

Four Measurement Categories

came up with a myriad of excuses like

Four categories of measurement are of most inter-

“We’re not ready; give us some more time,”

est to business: quality, quantity, timeliness, and

“It’s our busy time of year,” or “It makes

cost. Gilbert (1978) includes timeliness as an

more sense to start with Department A

aspect of quantity. However, we list it as a sepa-

than us.”

rate category because of its frequency of use in

Some months later a PM system was

measures, such as schedule attainment and cycle

installed. One of the reinforcers the

time.

employees could earn for meeting their

Ideally, all performance should be measured

quality and production goals was time off.

using all four categories. For example, quantity

The only way to earn time off was to have a

without quality is of questionable value; quality

measured job. As you might guess, depart-

at an excessively high cost cannot be sold; quanti-

ment managers and section supervisors start-

ty and quality that is late may have no value.

ed lining up at the door of the corporate per-

formance measurement director to ask when

1. Quality: Three Dimensions. When we

their department or section was scheduled to

begin to measure the quality of a perform-

MEASUREMENT TOOLS: NECESSARY BUT NOT SUFFICIENT FOR BEHAVIOR CHANGE

75

ance, we find there are a number of dimen-

b. Class. When you measure the quality

sions to be considered. Three of these are

of performance on something other than

accuracy, class, and novelty.

accuracy, you are usually measuring an

a. Accuracy. Although accuracy is a

aspect that Gilbert (1978) calls class,

measure of what we want, errors are proba-

defined as “comparative superiority of a

bly the more commonly measured aspect of

product beyond mere accuracy.” Class may

quality. Errors are usually measured as devi-

be in the design of a product, materials of

ations from specifications or standards. We

which it is made or use of color. For a con-

typically measure the deviation in perform-

cert pianist, it may be in the use of the

ance rather than the performance itself. For

hands or posture of the pianist or in phras-

example, quality inspection in manufactur-

ing and touch. For an ice skater, it may be

ing means examining the product for cos-

facial expressions, use of hands and arms.

metic and functional defects. Finding a

Class is usually harder to measure because it

is not as easily pinpointed as accuracy.

“Errors are always a measure of

something other than the behavior

“Class is the best measure for the quali-

of interest. ”

ty of many athletic performances. ”

defect in the product does not always tell

However, it is often just as important, and

you which behavior needs to change to cor-

in some cases is the only quality measure of

rect the error. In fact, errors are always a

interest. (Please note that when the term

measure of something other than the behav-

behavior class was previously used to

ior of interest. In other words, we should be

describe actions with a similar function,

concerned with doing the job correctly

here class refers to a measurement category

rather than with making errors. In PM,

implying a subjective evaluation of perform-

error measures are typically converted into

ance.) When we are interested in the way

accuracy measures because increasing accu-

that someone does something, we measure

racy is an active performance, whereas

class. The words form, style, manner, and

decreasing errors can be accomplished by

technique all refer to the measurement of

doing nothing (inactive).

class. Although it is more difficult to devel-

This does not say that the data on errors

op reliable measures of the class of a per-

or defects is not of interest. If this informa-

formance, many measures are used and

tion is analyzed correctly, it forms the basis

accepted as valid indicators of quality.

for determining new behaviors that are

Class is the best measure for the quality

more effective than the ones currently pin-

of many athletic performances. Gymnastics,

pointed. This information should be used

ice skating, diving, and others have highly

to provide effective antecedents for the

sophisticated systems for measuring this

behaviors wanted. The mistake is to use this

aspect of quality. In these sports, accuracy is

information, in the absence of positive rein-

the major concern in the compulsory part of

forcement, as the primary form of feedback.

the competition while class is what matters

CHAPTER SEVEN

76

in the freestyle performance. Although to

are now more important in all jobs.

the uninitiated, these measures appear

Examining quality from the perspective of

totally subjective, they actually contain very

novelty adds an opportunity for reinforce-

detailed lists of pinpointed behaviors. A

ment that would be missed if we looked

judge in these sports must have extensive

only at accuracy and class.

training in order to see these small behaviors.

Housekeeping is an item in business situ-

2. Quantity. Of all the measurement cate-

ations that is usually measured on class.

gories, quantity is the category most often

Customer service is another. A person may

used. It involves only counting. Counting is

handle a customer in a technically correct

usually reported either in terms of volume

manner but the way in which he does it

(number of occurrences or units) or rate

might irritate the customer so much that

(frequency per unit of time). Rate is usually

she won’t return. In business situations

the preferred performance measure. We

where we are concerned with the attitude

want to know not just how many, but how

aspect of a person’s performance, we need

many per minute, hour, or day.

to develop a class measure of quality. For

Many organizations have gotten into

example, when waiting on a customer, does

trouble because they have set up compensa-

a salesclerk smile, make eye contact, talk in

tion or other reinforcement plans to reward

a pleasant tone of voice, and thank the cus-

people solely for quantity. This is rarely

tomer, rather than simply taking the money,

appropriate. One company was in the news

throwing the purchased item in a bag, and

a few years back because its bottom-line-

thrusting it wordlessly at the customer?

driven president created a sales process with

c. Novelty. The third aspect of quality

significant rewards for the volume of sales

measurement is novelty. Novelty is the

and significant penalties for failure. He

unusual or unique aspect of a performance.

Novelty is not of concern with every per-

“Of al the measurement categories,

formance, but when it is, you need a way to

quantity is the category most often

measure it to make sure you get more of the

used. ”

kind of novelty you want. We typically

don’t want novelty just for the sake of nov-

elty, but for its impact on some outcome.

reported record sales for several years until

The outcome will help define the measure.

his system crashed. The compensation for

Anywhere creativity is an issue, novelty is a

sales was driven by “shipments,” so sales

measure of quality. Novelty is important in

personnel around the world were shipping

jobs such as engineering, marketing, and

product to warehouses without customer

computer programming. It is also of consid-

orders. As new models were introduced,

erable interest to suggestion system evalua-

they salvaged the existing inventory, which

tors and administrators.

ended up on the black market competing

With the emphasis on improving quality

with their newest offerings. This kind of

that exists in business today, new ways are

microscopic view of performance led to the

highly desired, and as such, novel solutions

president being fired and a significant

MEASUREMENT TOOLS: NECESSARY BUT NOT SUFFICIENT FOR BEHAVIOR CHANGE

77

re-statement of earnings for the corpora-

a great deal of improvement.

tion. As previously mentioned, reinforcing

As with quantity measures, overemphasis

quantity without reference to its quality

on timeliness to the neglect of the quality

practically always causes problems.

of timely production can lead to overall

performance problems. For example, a com-

3. Timeliness. Timeliness is concerned only

puter programmer overly focused on meet-

with when something gets done. Meeting

ing a deadline might say that a program has

deadlines is a measure of timeliness. The

been completed when the due date arrives

crucial performance for a reporter is not just

regardless of the number of bugs in the

to write stories of good quality, but also to

software. You get what you reinforce.

write them by some deadline. Similarly, mar-

keting information is often measured not

4. Cost. The final measurement category is

just by amount, but how up-to-date it is.

cost, an area measured in most businesses.

As mentioned earlier, fast customer serv-

Cost accounting typically determines the

ice is a priority for companies trying to

cost of manufacturing a specific product or

excel. In customer service, timeliness is one

delivering a particular service. However, in

of the most important measures. Bill

PM we are primarily concerned with the

Abernathy, a productivity expert in bank-

behavior cost of performance. As such we

ing, says that the greatest impediment to

separate raw material costs from the per-

customer satisfaction in banks is the time

formance costs. Performance cost is deter-

customers have to wait in line. Recognizing

mined by measuring the cost of behaviors

this, many companies focus on reducing the

that add value to the raw material.

time customers must spend to get their

We can subdivide these costs in three

products or service. Books can be down-

ways: labor, material, and management.

loaded immediately from Amazon, movie

Cost is almost always expressed in mone-

theatres now sell tickets over the Internet,

tary terms.

and airlines allow online flight check-ins.

a. Labor costs include wage, salary,

Cycle time is becoming more important

bonus, commission, benefits, insurance, and

every day. More and more companies are

taxes involved in the performance. The cost

now connecting their vendors into their

of tangible reinforcers should also be

internal data systems via the Internet to

included here. Additionally, all the costs of

reduce the cycle time of product delivery.

social reinforcers, such as celebrations,

Construction contracts are frequently writ-

should be added to the cost of the perform-

ten to reward contractors that reduce the

ance. We do not hold the individual

time to finish work. Simply reducing the

accountable for this aspect of cost since this

time a task takes can frequently bring about

is under management’s control. So you look

to management and supervision to control

labor costs.

“Performance cost is determined by

b. Material costs include physical

measuring the cost of behaviors that

resources like buildings, supplies, machin-

add value to the raw material. ”

ery, electricity, and so on. Generally, the

CHAPTER SEVEN

78

only one of these for which the performer is

includes all supervisory costs, secretarial

held accountable is supplies, and then, only

and clerical support, computer support,

when the performers have some control

technical training, and all team and man-

over their use. However, if you are good at

agement training provided for enhancing

pinpointing and positive reinforcement,

performance.

people will frequently find ways to reduce

Although management costs are known,

these costs for you.

they are rarely separated as a performance

c. Management costs reflect the expense

cost that can be used to evaluate their effec-

of providing the non-material support nec-

tiveness in aiding performance improve-

essary to produce the desired results. This

ment. We recognize, however, that this is a

Figure 7.1 Summary of Measurement Categories

CATEGORY

MEASURE

Quality

1. Accuracy

1. Degree of conformity of a measure to a standard

or true value

2. Class

2. A judgment of the comparative superiority of an

accomplishment beyond accuracy

3. Novelty

3. Judgment of the degree to which an accomplish-

ment involves a new or unusual combination or

variation of objects, words, or events

Quantity

1. Frequency

1. Number of occurrences

2. Rate

2. Number of occurrences in a given period of time

Timeliness

The time in which a product or service

a. is completed, or

b. arrives at an agreed time and place

Cost

1. Labor

1. Total of all performance and performance-relat-

ed costs such as wages, benefits, reinforcers, etc.

2. Material

2. Total of all material costs related to an accom-

plishment

3. Management

3. Total costs of management and super visory prac-

tices and supporting functions

MEASUREMENT TOOLS: NECESSARY BUT NOT SUFFICIENT FOR BEHAVIOR CHANGE

79

real cost and not some imaginary number.

should measure every performance you want to

The primary reason people are fired is not

increase or maintain in each of the categories

because they cannot do the job but because

described. However, it is rarely necessary to meas-

the personal cost to management of chang-

ure every aspect of a pinpointed performance. But

ing their performance is too high. While

you must examine the performance in terms of

not always quantified, it has a real impact

each category before dismissing any as irrelevant.

on how people run their business.

As stated previously, cost is not often a rele-

vant measure for the individual employee. In

some cases, quantity is not relevant either. On an

“The primary reason people are fired is

auto assembly line, the number of cars that come

not because they cannot do the job

down the line during the shift are not under the

but because the cost to management

performer’s control, so measuring the employee

of changing their performance is too

on the number of headlights installed would be a

high. ”

meaningless activity. On the other hand, measur-

ing the quality of the installations is an important

With the increased competitive pressure that

function.

most firms find themselves under, these costs are

For every pinpoint you should ask, “What are

now being closely scrutinized. Unfortunately,

the relevant measures of performance? Do you

management costs are usually cut before deter-

want to alter the quantity, quality, timeliness, or

mining the value they add. When some organiza-

cost of the performance?” Then, determine

tions cut back on supervisors, the cost of per-

which measurement categories are relevant for

formance may actually increase because the value

performers, you should ask the following ques-

added by supervision was more than its cost.

tions for each category:

Frequently, individuals who were downsized are

1. If performance varies on this measure, does

called back with contracts for considerably more

it matter?

money than the salary they previously made for

providing the same function. Until the costs of

2. Does actual performance typically vary on

management are known and analyzed for value

this measure?

added, many mistakes are likely to be made in

providing the highest quality product or service

3. If performance does vary on this measure, is

the variation large enough to require action?

at the best cost.

When business conditions soften, most man-

As you ask these questions about a particular

agers have experienced that the first thing to go is

measure, if you get a “no” answer to any question,

training. But if more training could reduce the

the measure is not relevant for that performance

cost of the product, management might actually

(Figure 7.2). For example, let’s look at a job of

increase these resources.

putting liners in the trunks of cars. Is quantity a

relevant measure for this job? The answer to the

Which Measurement

first question is yes. One liner must be put in

Categories are Relevant?

every car. The answer to the second question is

Quality, quantity, timeliness, and cost are consid-

no. It’s almost unheard of that a car would come

erations in every performance. Therefore, you

off the end of the assembly line without a trunk

CHAPTER SEVEN

80

liner. Therefore, we would not need to measure

However, if the principles discussed in this book

this performer on the number of liners he/she

are followed, the return to the organization will

installed each day.

usually be greater than the cost.

By going through these questions, you can

limit your measures to those that are necessary

Measurement Methods

for the performers to exercise maximum control

There are two major measurement methods:

over their performance. For many organizations,

counting and judging. While counting is the pre-

this may mean providing additional measures.

ferred because of greater reliability, judgment can

be a valid way of measuring; it allows us to get

the benefits of measurement in areas that would

otherwise go unmeasured.

“Counting is the preferred method of

measuring because practical y every-

1. Counting. Counting is very straightforward.

body can do it. ”

We can count the number of parts made,

Figure 7.2 Flowchart for Determini ng W hich Measu rement C ate gories a re Relevant for a Performance

1. If performance varied on this

measure, would it matter?

NO

YES

2. Does performance actually vary

on this measure? (Get data)

NO

YES

3. Does performance vary

enough to warrant concern?

NO

YES

Measure the performance

Do not measure performance

MEASUREMENT TOOLS: NECESSARY BUT NOT SUFFICIENT FOR BEHAVIOR CHANGE

81

engineering drawings completed, lines of

ways to count, and counting is almost

computer code written, or hours of overtime.

always preferred to judgment. However,

Counting is the preferred method of measur-

when you can’t count, there are four tech-

ing because practically everybody can do it—

niques that are used in making judgments

and with a high degree of reliability. It is easy

about performance. They are as follows:

and usually can be completed quickly.

1. Opinion-based Ranking

Another advantage of counting is that

2. Opinion-based Rating

when we do not need to count every

3. Criteria-based Ranking

instance of a behavior or result, we can just

4. Criteria-based Rating

sample. Sampling involves counting at ran-

These alternatives are presented in the

dom times or inspecting random units of

four cells of Figure 7.3. They range from a

production. The process of sampling is

general opinion about who is better (Cell

highly scientific and as such there are rules

1) to a much more specific rating of per-

about how to select a sample and how many

formance (Cell 4).

observations or counts constitute a repre-

When making judgments you need a

sentative sample. Most statistical books

frame of reference. As a starting point, this

cover this subject in detail. Those readers

reference is usually your experience or point

who have been trained in Statistical Process

of view—in other words, your opinion

Control are very familiar with sampling

(Figure 7.3, Cells 1 and 2). When you rank

methods and processes.

(assign a number to your opinion), you are

Nevertheless, sampling errors are com-

practically always forced to be more specif-

mon in business and everyday life. We often

ic. Ranking causes you to think things like,

draw conclusions about behavior and

“Would she rank fifth or sixth? I believe I’ll

results based on too little information. If

rank her fifth because she is friendlier than

you are not counting every occurrence of

Ted when she waits on customers” or, “I

something, you must make sure you have

think Jose would rank above Jack on being

counted enough instances to have an ade-

responsive to customers because he asks

quate sample.

more questions.”

If each time you rate or rank you get a

2. Judgment. When the pinpoints you have

little more specific, you will be surprised at

selected can’t be made specific enough to

how quickly you increase the reliability of

permit counting, you can use the judgment

your judgments. For example, suppose we

technique of measuring. Judgment is the

have a supervisor who wants to measure a

process of forming an opinion or evaluation

mechanic’s neatness but doesn’t know exactly

by discerning and comparing.

how to do it. Let’s start by asking the super-

Even though judgment is less reliable

visor to rate the performer on a neatness

and more subjective than counting, it has at

scale where 0 is the messiest mechanic he has

least two very practical uses in PM. First,

ever known, and 10 is the neatest mechanic

judgment allows you to measure any per-

he has ever known. Also, at the end of the

formance. Second, in most cases when you

job, ask the mechanic to rate himself. Then

use judgment measures, you discover new

compare the ratings. If they both agree, the

CHAPTER SEVEN

82

supervisor has some evidence that they are

Once this happens, judgments can be made

measuring neatness in similar ways.

on the basis of observation (Figure 7.3, Cell

Most often they won’t agree. What the

3 and Cell 4).

mechanic sees as very good (an 8 on the

Let’s assume one element in neatness is

scale); the supervisor may see as average (a

to clean up the debris produced before leav-

5). This will immediately cause questions to

ing the job. This creates what is referred to

come up like, “Why did you give me a 5?”

as a pre-established criterion.

or “Why did you give yourself an 8?” The

Look at the samples in Cells 3 and 4.

answers to these questions will add more

Note that the determinations about neat-

definition to the scale so that with repeated

ness are based on observation, rather than

measures their ratings will match on more

simple opinion. Cells 3 and 4 are still some-

items.

what subjective, but they are much more

Over time, this opinion-based measure

objective than Cells 1 and 2.

can be made more objective by specifying

The measure in Cell 4 is an Anchored

distinct criteria for judging performance.

Rating Scale. Judgments are described as

Figure 7.3 Four Techniques of Measuring by Judgment

OPINION

PRE-ESTABLISHED CRITERIA

Cel 1

Cel 3

Ranking

In my opinion, Laura ranked second

Laura tends to pick up debris after her job is

in neatness among the first ten

done more often than, about as often as,

first-shift mechanics.

less often than the other mechanics.

Cel 2

Cel 4

Behavioral y Anchored

Rating Scale

In my opinion, Laura’s neatness was

parison

Picks up tools and

10

debris, organizes area,

wipes surface clean,

and cleans safety gog-

1

5

10

gles for the next per-

8 Picks up tools and

son

debris, organizes area,

Poor

Excel ent

wipes surface clean,

Rating

Type of Com

and cleans safety gog-

Picks up tools, organ-

6

gles for the next per-

izes them, picks up

son

major debris

Picks up tools, organ-

4 izes them by major

compartment

Picks up all tools

2

MEASUREMENT TOOLS: NECESSARY BUT NOT SUFFICIENT FOR BEHAVIOR CHANGE

83

concretely as possible and given a weight

have only one winner, you limit reinforcement for

along the scale from 1 to 10. These judg-

all other performers, thereby ultimately reducing

ments are pre-established criteria for, in this

the overall performance. Even if you have a hier-

case, neatness. This method of judgment

archy of winners (first, second, third place, etc.),

gives performers significantly more infor-

you are creating a diminishing distribution of

mation on how their behavior is perceived

reinforcement. Since behavior is a function of its

and specific indications as to how to

reinforcement, ranking should be used only when

improve.

ratings are impractical.

While this is the most effective judg-

Performances are judged independently when

ment technique, it can be improved by

using ratings, thus avoiding the problem of limit-

making it a Behaviorally Anchored Rating

ed reinforcement encountered in ranking systems.

Scale (BARS). Here examples of the value

In a rating system, all performers could attain a

(neatness, in this case) are given to each

perfect score at the same time, so the fact that

rater who scores it on the selected scale (1-

you get reinforced for what you do does not

5, 1-7, etc.). The scores are averaged so that

reduce the reinforcement others experience for

each example has a common perceived rat-

what they do.

ing. The description “picks up tools and

Many performance appraisal processes use a

debris, organizes area, wipes surface clean,”

ranking system but call the scores a rating. This is

for example, might merit a value of 7.3.

because so many systems try to accomplish

With a BARS, we find enough descriptors

incompatible outcomes with the same instru-

to discriminate between several levels of

ment. One is the attempt to distribute a limited

performance. This method has the advan-

amount of any reinforcer (money, promotion,

tage of promoting greater inter-rater relia-

etc.). This will always require ranking. Only if the

bility so that judgments are not perceived as

reinforcer is unlimited can you use a rating sys-

being capricious or as unique to an individ-

tem. The other part of the appraisal process is to

ual rater.

improve performance. This requires reinforce-

ment based on what the individual accomplishes

Should I Rank or Rate?

and should not be limited by what others do or

As shown in Figure 7.3, we can rank or rate any

don’t do. In fact, it should not be limited at all

human performance. Ranking involves comparing

since increases in reinforcement increase the rate

the performances of individuals against each

of change. Calling the hybrid score, used in most

other (Cells 1 and 3). You simply decide whether

appraisal systems, by the more benign name (rat-

the performance you are considering is better or

ing) does not change its nature or its function.

worse than the one closest to it. You are in effect

If your ratings are based on opinion, your

lining up the performers from best to worst.

labels will be terms like poor to excellent, or never Using ranked scores may cause problems when

to very often. Your judgments involve only your

the results are fed back to the performers. When

impressions of the performance (Cell 2). If you

you rank how well people do, you distribute per-

start out measuring using rate opinion (Cell 2),

formance measures across the full range from best

and do not eventually move to rate pre-estab-

to worst. In other words, you establish only one

lished criteria (Cell 4), your measure is probably

winner, just as the typical contest does. If you

not important to the performer. If it is important,

CHAPTER SEVEN

84

the performers will want to know why they

Measurement Tools

received the ratings they did and what they have

to do to get a higher score. When you are able to

1. Behavior Checklists. Typically, when you

tell them, you will have what you need to develop

have created the pre-established criteria for

a pre-established criterion scale.

judging performance, you are only a step

Figure 7.4 is another illustration of the four

away from counting it. In its simplest form

types of judgment techniques. This example

this might look like a checklist consisting of

includes only a few of the possible criteria that

criteria that can be observed as happening

might be used to measure the value of a sugges-

or not happening as described in detail in

tion. However, it does demonstrate some of the

The Checklist Manifesto (Gawande, 2011).

ways you could measure a good idea.

If it is stated so that an observer, or the per-

former, can verify that a behavior did or did

Improving Rating Reliability

not occur, you have the basis for a very

If you must use judgment as a measurement tool,

powerful measurement tool for behavior.

consider training the observers so they use similar

Most checklists confuse behaviors and

criteria. Increasing inter-rater reliability is a way results. Most checklists, for instance, list

to optimize the value you get from this approach.

conditions that the observer notes, such as

Since your judgment is based on your personal

floor free of debris. This is helpful in identi-

life experiences and value system, you will differ

fying the condition, or result, you expect to

from others in how you judge what you see.

observe, but it does not necessarily identify

Everyone knows of instances when discussing

a specific person’s behavior. We don’t know,

someone’s personality, opinions were expressed

for instance, if the floor is free of debris

that were all over the map. This is all too often an

because they cleaned it last week and no

issue in performance appraisal systems. When

one has entered the room since or if some-

people use their opinion as a basis for measure-

one else cleaned it up today. When you

ment, you could encounter situations in which

need to know something about behavior,

people give the same number for different reasons

pinpoint that behavior and count its fre-

or see the same things but give different numbers.

quency. A behavior checklist permits more

Training those who will rate the performers—

frequent reinforcement and therefore accel-

the observers—to see the same things is the

erates learning. In the nuclear power indus-

objective of inter-rater reliability training. In

try, behavior checklists are used to detail

essence, this means that the different observers

specific actions the observer expects to see

judge the same performance, using the same crite-

because simple omissions or variations in

ria, and then compare their numbers. They

behavior can have delayed yet devastating

explain their reasoning and determine which cri-

consequences for the organization.

teria used are common and which are unique to

Behavior checklists give you valuable infor-

the observer. This process is repeated until there

mation about behavior that makes it easier

is a high degree of consistency in the ratings. This

for you to see and reinforce improvements

is the technique that allows judges of competitive

in that behavior.

events, such as athletic contests, to rate perform-

One of the most common forms of behav-

ances in a consistent fashion.

ior checklists is found in fitness centers.

MEASUREMENT TOOLS: NECESSARY BUT NOT SUFFICIENT FOR BEHAVIOR CHANGE

85

Fitness enthusiasts pay trainers to develop a

then reviews the data and reinforces/rewards

behavior checklist for them. Then they take

the performance improvements.

the checklist with them as they complete

their round of exercises. The checklist is a

2. Weighted Checklists. A simple checklist

prompt for specific behaviors (exercises)

containing items to be accomplished and

and a tool for tracking the frequency of

behaviors to be performed represents a

those behaviors. They do a frequency count

point system where all items have the same

of the number of times they lift certain

value. Much of the value of checklists is lost

weights, perform sit-ups, run laps, and so

when they are not scored. By scoring, you

on. They judge their success, in part, by

can see trends and make adjustments where

their consistency on following their routine

necessary. Feedback on the total perform-

and on the increase in the number of repeti-

ance is put in the context of the number of

tions or amount of weight they perform. A

the criteria met. So a performance graph

good checklist at work has all of these same

might show that 8 of 10 items were per-

characteristics. The performer is measuring

formed correctly.

and giving herself feedback even as she per-

When you start with a simple checklist

forms the behaviors. An effective trainer

and the scores are correlated with some out-

Figure 7.4 Measurement Methods Using Judgment

Performance To Be Measured: Quality (Class) of an Employee Suggestion OPINION

PRE-ESTABLISHED CRITERIA

Cel 1

Cel 3

As compared to other suggestions offered by employees,

this suggestion is

Ranking

1. More likely to be accepted by upper management,

Of the ten suggestions we

about as likely to be accepted by upper management,

received, this suggestion is the best.

less likely to be accepted by upper management.

2. More likely to work, about as likely to work, less parison

likely to work.

Cel 2

Cel 4

3 This suggestion is a

new procedure.

Type of Com

This suggestion is

Rating

This suggestion is an

2

improvement of an

1

5

10

existing procedure.

Poor

Excel ent

1 This suggestion is sim-

ilar to one working in

another area.

CHAPTER SEVEN

86

Figure 7.5 Example of a Weighted Checklist for Hotel Housekeeping Housekeeping Quality Audit

Page 1

Property

Room Number

Date

Page 2

Total Points Earned

Points Possible

Property

Room Number

Total Points Earned

Points Possible

1.

General Appearance (Guest Room)

Point Value

101. Carpet raked and fluffed

30

102. Beds neat and spreads tight 40

103. Pictures straight

5

104. Lamp shades (straight with seams to back)

5

105. Towel Presentation

01

3 wash towels

10

02

3 hand towels

10

03

3 bath towels

10

106. Vanity Presentation

01

mirror clean

25

02

ice bucket

5

03

clean ashtray (with matches)

10

04

3 bars soap

15

05

clean wastebasket

15

06

3 wrapped cups

10

107. Triplex Presentation

01

Bible

5

02

fresh DIA Directory

5

03

fresh comment slip

5

04

clean wastebasket

15

05

mirror clean

20

108. Nightstand

01

telephone presentation

5

02

cords hidden

5

03

clean telephone hook

5

109. Air Conditioner Top

01

reach out

5

02

ashtray (with matches)

10

03

draperies neat, straight, pulled even with A/C top

10

04

Do Not Disturb sign

5

110. Lighting

01

all lights working

15

02

all lights turned off

20

(continued)

come, it will almost always evolve into a

match reinforcement to the effort or diffi-

weighted checklist. The weighted checklist

culty of the particular demands of the task.

is one in which some items on the list earn

Figure 7.5 is an example of a weighted

more points than others. Housekeepers

checklist for maids in a hotel.

should give more credit to maids, for

Weighted checklists help set priorities. If

instance, for cleaning a toilet than for

you have multiple tasks, the number priori-

arranging the desk. This allows you to

ty can be adjusted as often as necessary by

MEASUREMENT TOOLS: NECESSARY BUT NOT SUFFICIENT FOR BEHAVIOR CHANGE

87

increasing the weighting reflecting those

interested in yield and morale. The reason

that are the most critical. This is particular-

for this is that the plant manager has just

ly important in the multi-tasking world in

chewed out managers because of increased

which we live where priorities change fre-

manufacturing costs and the plant’s poor

quently.

showing on a corporate morale survey.

When these improve the next month, but

3. Point Systems. Most organizations use mul-

productivity and quality dip slightly, the

tiple measures of performance. Most often

supervisor will probably still receive a poor

these measures are of results. They may

rating because by that time priorities may

include quantity, quality, cost, morale, and

have changed again.

others. When two or more different meas-

To the supervisor and manager in the sit-

ures are used to evaluate performance, the

uation above, a point system would be very

question is, What do you want—quality or

helpful. One month the boss may say,

quantity? With multiple measures, priori-

“We’ve got to get more production. We

ties often become confused and communi-

must reduce our backlog.” The next month

cation suffers. Look at Figure 7.6. Which

she says, “Our yield is terrible. We’ve got to

supervisor performed better? It is difficult

get these costs under control!” The supervi-

to tell. Unless you know the relative value

sor may begin to wonder if the boss will

of each of the accountabilities, you cannot

ever be satisfied, and wishes upper manage-

make an informed judgment. One way to

ment would get its act together.

handle this problem is to combine the

When managers are asked “Which meas-

measures into an index. We do this by

ure is most important?” the standard

developing a point system.

A point system is a way of weighting dif-

Figure 7.6 Example of Evaluating

ferent aspects of a job performance accord-

Performance Using Multiple

ing to their value (priority) to the organiza-

Measures

tion at a given time. A point system shows

Supervisor

strengths and weaknesses, while at the same

time yielding an overall measure of job per-

Accountability

#1

#2

#3

formance. Point systems are especially valu-

Production

+

-

+

able in three types of situations.

The first is when two or more different

Quality

-

+

+

measures of performance are being used.

Cost

+

+

-

Suppose a supervisor is measured on the

following results: productivity, quality,

Deliverability

-

-

+

yield, attendance, and morale. What does it

Morale

+

+

+

mean when productivity and quality are

good, but yield, attendance and morale are

Safety

+

+

-

poor? Is the supervisor doing a good job? It

could be that he is judged as performing

+ Met or Exceeded Goal

poorly because his boss is currently more

- Failed to Meet Goal

CHAPTER SEVEN

88

answer is, “All of them!” This can happen

only in a perfect world. In our everyday

“Point systems must not become

work, people constantly have to make deci-

demerit systems; they should focus on

sions about where to focus their time and

what performers are doing right, not

what they are doing wrong. ”

energy. Point systems help people make

those decisions.

Second, point systems are helpful when

monthly objectives and standards are

many individual numbers are collected

agreed to but later some unexpected project

under a single category. For example, over

comes down from corporate with an urgent

the course of six weeks, an employee’s per-

priority. Working on the urgent problem

formance on productivity or quality may be

may cause performance against objectives to

100 percent, 95 percent, 88 percent, 92 per-

suffer. However, under a point system,

cent, 97 percent, and 92 percent, for an

point values could be adjusted to reflect the

average performance of 94 percent.

new priority and if performance was con-

The employee may conclude that he is

stant, the rating would not suffer. In these

doing a good job because, even though he

situations, a point system can maintain con-

has had one week in the high 80s, he still

tinuity because goals can be changed as

performs in the high 90s most of the time.

often as necessary to maintain high-level

The supervisor, however, may consider any

performance.

score below 95 to be poor and may put a lot

of emphasis on consistency.

Using Point Systems Effectively

Consequently, he would be unimpressed

The following are important considerations when

with the performance. Using a point system

formulating a point system.

in these situations can clarify standards and

expectations. Figure 7 .7 shows how this

1. Involve the performers. Point systems must

supervisor might use a point system to

be used to deliver positive reinforcement,

communicate expectations more clearly.

not punishment. One way to increase the

A third indicator for a point system is in

chance that the system will be reinforcing is

a situation where goals tend to change fre-

to allow those whose behavior will be meas-

quently. For example, a particular sales

ured to assist in setting up the point system.

quota may be appropriate when the econo-

In addition, having a specific plan of what

my is healthy, but much too high when eco-

you will reinforce and how you will rein-

nomic conditions weaken. Even though the

force it before you implement the system is

quota was realistic at the beginning of the

an important management ingredient for

year, now a smaller percent of that number

success.

could represent a significant accomplish-

2. Show small improvements.. The system

ment. Since points can change as conditions

should be designed to reinforce improve-

change, a point system will equalize the per-

ments as well as to attain final goals.

formance across different goal levels and

Performers can earn points for desired behav-

time periods.

ior and results, even if those performances

Most people face the situation where

MEASUREMENT TOOLS: NECESSARY BUT NOT SUFFICIENT FOR BEHAVIOR CHANGE

89

represent only small steps in the right direc-

duce the best results. But, if you use BARS,

tion.

make every effort to go to a checklist as

quickly as possible.

3. Focus on merit. Point systems must not

become demerit systems; they should focus

on what performers are doing right, not

“General y speaking, when earning

what they are doing wrong. For example, it

points, people find larger numbers

is better to award points to programmers

more reinforcing than smal er ones. ”

for error-free code rather than subtract

points for each coding error.

6. Use simple accounting. Base the system on

4. All measures should lead to a one-number

easily calculable numbers. Typically, a 100-

score. Your point system must combine all

point or 1,000-point total is best. It is easier

measures into one overall index of perform-

to relate to scores as a fraction of 100 or

ance. The advantage of the point system is

1,000 than a total point value of something

lost if more than one number represents

like 150 or 1,200. Distribute points so they

performance. This number must describe

total 100 or 1,000. For example, you have a

the employee’s total performance . The pur-

better idea of what a score of 93 out of 100

pose is for the index to represent the degree

means than 112 out of a possible 120, even

to which the performers have met the

though both are the same. Avoid fractions.

expectations of their job, project or assign-

If you have fractions, multiply point values

ment.

by 10 or 100. Generally speaking, when

5. If rating, use BARS. If ratings are used,

earning points, people find larger numbers

make them Behaviorally Anchored Rating

more reinforcing than smaller ones.

Scales (BARS). BARS provide the most

7. Build-in flexibility. Change point values

comprehensive index of performance of all

and weights as situations change. When fac-

the judgment techniques and typically pro-

tors outside the performers control change,

Figure 7.7 Il ustration of Converting Efficiency Scores to Point Systems SCALE OF POINTS

WEEK

EFFICIENCY

SCORE

EFFICIENCY

POINTS

1

92

2

Below 90

0

2

97

8

90-94

2

3

92

2

95-96

6

4

88

0

97-98

8

5

95

6

99-100

10

6

100

10

Four consecutive weeks at/above 97 = 5-point bonus

CHAPTER SEVEN

90

you should modify the system to reflect

that covers all aspects of a person’s or group’s job.

those changes. This means that points

You develop a matrix by first defining the areas

could increase or decrease for a particular

of accountability and then pinpointing them as

item. If outside factors make it easier or

best you can. This is usually a joint process

more difficult to achieve, then the points

between supervisor and the person being meas-

should be changed to reflect these factors.

ured. Once you have this completed, select the

Generally, these systems are reviewed at

appropriate measure for each pinpoint (behaviors

weekly or monthly intervals. That is the

and results) from the techniques presented in this

time to make any adjustments to the values.

chapter. The list of accountabilities will not cover

If conditions change in the middle of a

the entire job but will always concentrate on the

week or month, do not change points for

20 percent of responsibilities that constitute 80

the current period; rather, wait until the

percent of the job’s contribution. We find that it

end of the period to make changes in the

usually takes no more than five to seven pinpoints

points for the following scoring period.

to account for this 80 percent contribution.

Next, determine the current level of perform-

Performance Matrix

ance on each of the pinpoints. Whenever possible

The performance matrix is a point system that

this should be based on actual baseline data rather

enables you to measure any job. It provides a way

than an estimate of past performance. If you must

to combine judgment measures and counts into a

use an estimate, take the time to verify that your

single index representative of the total perform-

measure and the current data accurately reflect per-

ance that you expect of a person or a group. The

formance. Then set a goal for each pinpoint.

judgment measures can include all the techniques

Finally, give each one a weighting. This is

discussed above, although BARS and checklists

nothing more than assigning relative priorities. It

are the ones most often used.

is uncommon for every pinpoint to have the same

The performance matrix evolved from J.L.

weight. If you choose to assign each pinpoint the

Riggs’ (1986) objectives matrix (OMAX). His

same weight, however, understand that you are, in

work on the matrix began as he tried to measure

effect, asking the performer to set the priorities

“tender loving care” (TLC) during hospital pro-

for himself. In any case, the total weightings

ductivity studies in 1975.

should add to 100.

TLC is one of those variables that people

Experience has shown that people like a scale

often say cannot be measured, yet if you have ever

that allows for exceeding the goal, so we moved

been a patient in a hospital, you have measured it.

the 10-point scale to the right so that the anchors

You know whether the hospital had it, and you

are actually 4-13. The values of 11, 12, and 13

have an opinion of the degree to which it was

represent overachievement; the 13 represents

present. The BARS enables you to measure all

benchmarked, world-class performance. It is pos-

such variables, and the performance matrix allows

sible to earn more than 100 points this way but it

us to relate them to other more traditionally

is based on goal being at 100 points. For most

measured items so that we can get a total picture

people, this proves to be very reinforcing.

of how the person is performing against expecta-

Look at the form in Figure 7.8. Here the meas-

tions. In effect, the performance matrix is any

urement scale is from 4 to 13. This allows you to

combination of BARS, checklists, and counts

anchor the current performance (Baseline) at 5,

MEASUREMENT TOOLS: NECESSARY BUT NOT SUFFICIENT FOR BEHAVIOR CHANGE

91

Figure 7.8 Performance Management Matrix

Name

Position

Manager

Date

x

Raw

Behavior/Results

4

5

6

7

8

9

10

11

12

13 Weight Score Points

tn

ec

e

n

m

a

l

e

a

v

rm

Sub-Goals

o

ieh

rfo

G

c

e

rae

t P

v

n

O

rreuC

Score

REINFORCEMENT PLAN

POINTS

R+

COMMENTS

PLANS

Next Review Date

© 2013 Aubrey Daniels International, Inc. All Rights Reserved.

and the goal at 10. The numbers 11, 12, and 13

you the mechanics of developing a matrix.

provide opportunities for outstanding perform-

Let’s see how these numbers would look in a

ance. Some people prefer a scale of 1-10, with 3

performance matrix. Figure 7.9 shows a matrix

being current performance and 7 being goal.

for the department management team. On this

Either scale works well. However, many people

matrix a score of 500 would show no overall

have difficulty relating to 7 as goal and do not

improvement and 1,000 would represent goal

feel good about reaching goal because they did

attainment. A score in the 400s would represent

not get a 10. Generally speaking, in our society,

11 feels more like overachievement than 8. In any

Accountability Results: May

case, use the one that makes most sense to the

Productivity .............................................588,700 lbs.

performers.

Cost ..........................................................1.032 per lb.

Look at the chart showing monthly numbers

% Grade 01 .........................................................96.6%

for a manufacturing department. This is not a

Successful R+ Plans ..............................................88%

real case, so do not find fault with either the pin-

Morale Survey Results ........................92% favorable

points or the measures. This example is to show

Number processes using control charts ................37

CHAPTER SEVEN

92

Figure 7.9 Example of a Performance Matrix

Name Toe Hold Mgmt. Team

Position

Manager

Date 6/3/04

6/3/14

x

Raw

Behavior/Results

4

5

6

7

8

9

10

11

12

13 Weight Score Points

Productivity

588,700

(in thousands of pounds)

548

550

560

570

580

590

600

605

615

625

20

160

Cost

1.115

1.11

1.01

1.05

1.03

1.01

1.00

.995

.99

.9875

20

1.032

140

% Grade 01

87

88

89.3

90.6

91.9

93.2

95

96.3

97.6

98.9

25

96.6%

275

R+ Plans Developed

100%

100%

100%

48

64

88

100

by 6/24 by 6/17 by 6/10

15

88%

120

and Implemented

Morale Survey Results

__

84

87

90

92

95

100

10

92%

100

Number Processes Using

__

15

20

25

30

32

35

37

38

40

10

37

110

Control Charts

Current

Goal

Score 905

REINFORCEMENT PLAN

POINTS

R+ CRITERIA

COMMENTS

PLANS

Boss will visit area to see successful PM

Spend time with each team

700

projects

(serve refreshments)

With no score below an 8

850

Have meeting over lunch away from office

Items 1, 2, 3 must be above 10

Visit to customer

1,000

Next Review Date 7/5/04

7/5/14

deterioration in performance.

an empty cell, the value is the same as the last cell

The weights are assigned according to depart-

with a value.

mental priorities. The points are derived by mul-

At the bottom of the form is a section for a

tiplying the weight by the number of the column

reinforcement plan. There is not enough room

in which the circled number appears. For exam-

here for a complete plan since the team would

ple, in the column on Cost, $1.05 is circled

probably want to identify behaviors that need to

because the monthly cost of $1.032 did not meet

be reinforced to reach the goals they have set.

the criterion of $1.03. Therefore, the team

The plan should be continued on the back of the

received a score of 7. The score of 7 is multiplied

form.

by 20, the weight for Cost, giving the team 140

The matrix is a very flexible instrument.

points.

Pinpoints, goals, weights, and reinforcers can be

Notice also that some blocks on the scales

changed as often as required. This makes it a

don’t have numbers in them. Depending on what

highly desirable way to communicate priorities

you consider reinforceable, you can have numbers

and reinforce performance in hard-to-measure

in every block, or several with no numbers. With

jobs.

MEASUREMENT TOOLS: NECESSARY BUT NOT SUFFICIENT FOR BEHAVIOR CHANGE

93

The Behavior of Measuring:

ate feedback on how they’re doing, thereby allow-

Collecting the Data

ing them to make frequent adjustments to their

Measuring a performance is itself a performance.

performance.

It is often time-consuming and tedious.

Sometimes collecting the data requires as much

Summary of Measurement Methods—

effort as developing the measures. If collecting

Counting and Judging

the data is too time-consuming, it will gradually

Counting is the preferred measurement because it

stop occurring.

is the simpler, easier, and more reliable of the two.

There are several ways to simplify the data-col-

When the performance that needs to be meas-

lection process. The first is to use data that has

ured is not easily counted, you may have to use a

already been collected. It is surprising how many

judgment technique. Within the four techniques

times data is thought to be needed on a particular

of judgment (Figure 7.3), the use of pre-estab-

variable, only to find that data has already been

lished criteria (Cells 3 and 4) is more objective

collected. Check it out before developing your

than opinion-based approaches (Cells 1 and 2).

own data-collecting procedure. Sometimes, what

See Figure 7.10 for a summary of measurement

you need can be obtained just by breaking the

methods.

data out of existing records. At other times, if

The three steps to developing measures are

what you need is not available, it can be obtained

1. Select relevant measurement categories

at little extra cost or effort at the same times

(quality, quantity, timeliness, cost).

other data are being collected.

2. Select relevant measurement category sub-

Finally, the performers can collect data on

division (quality—errors, class, novelty;

their own performance. You cannot do this, how-

cost—labor, material, management).

ever, if existing data are not already being used to

3. Select measurement methods

reinforce. If measurement is used primarily for

(counting or judging).

pointing out errors and substandard performance,

self-monitoring will create a continuous struggle

to collect accurate and timely data.

“We encourage al organizations to

If you ask performers to self-monitor, you

focus on measures of success rather

than on measures of failure. ”

begin the process by reinforcing the behaviors

involved in collecting the data. Once data-collec-

tion procedures have been worked out, the per-

Always measure behaviors and results that you

formers’ accurate recording can be reinforced,

want, not those that you don’t want.

and then you can shift your reinforcement to the

Organizations that focus on exceptions as pin-

performance itself. Self-monitoring is highly

points (error rate, waste, customer complaints,

desirable because it gives the performers immedi-

etc.), create an environment that sub-optimizes

performance. The natural response when dealing

with exceptions is to punish when they occur but

“Always measure behaviors and results

to accept it as a matter of course when the per-

that you want, not those that you don’t

formance is positive. Simply by attending to the

want. ”

problems and not responding to the positive per-

formances emphasizes the negative reinforcement

CHAPTER SEVEN

94

Figure 7.10 Summary of Measurement Methods

Measurement

Method

When To Use

Advantages

Disadvantages

1.

Judgment:

Can’t use counting, ratings not

Makes everything

Subjective

Rank Opinion

suitable and hard-to-measure

measurable

areas, especially quality unrelated

Limits who can be

to accuracy

reinforced

2.

Judgment:

Can’t use counting, hard-to-

Makes everything

Subjective

Rate Opinion

measure areas, especially quality

measurable

unrelated to accuracy

3.

Judgment:

Same as 1, and if you can identify

Makes everything

Less objective than

Rank

specific criteria

measurable and

counting

Pre-established

more objective than

Criteria

1 or 2

Limits who can be

reinforced

4.

Judgment:

Same as 2, best method to use of

Makes everything

Less objective than

Rate

1-4

measurable and

counting

Pre-established

more objective than

Criteria

1, 2, or 3

5.

Counting

For measurement areas such as

Most objective

Some things can’t be

behaviors, units produced, yields,

easily counted

accuracy, run time

PREFERRED METHOD

* Refer to Figures 7.3 and 7.4 for complete examples of judgment methods.

aspect of the work. We encourage all organiza-

reinforced and progress from that point forward

tions to focus on measures of success rather than

should be rapid and smooth. Although many

on measures of failure.

people believe that some jobs just can’t be meas-

After the Mission has been firmly established,

ured or that measurement is too hard, it is essen-

measurement is the next step in developing an

tial to establish credibility. The standard meas-

effective performance plan. By measuring pin-

urement categories are quality, quantity, timeli-

pointed behaviors and results it is possible to see

ness, and cost and every performance you want to

very small changes in behavior that can then be

increase should be measured in each category

MEASUREMENT TOOLS: NECESSARY BUT NOT SUFFICIENT FOR BEHAVIOR CHANGE

95

(some may be dismissed if close review deter-

mines them to be irrelevant). Of the two meas-

Use the QR CODE reader on your smart-

urement methods, counting is preferred over

phone to learn more about:

judging although the latter allows a wide range of

Article: “Preventing Back Injuries at

an Institutional Infirmary”

flexibility to measure essentially any performance.

Checklists are one of the most useful and widely

accepted methods of measurement; a

Performance Matrix is a more complex system

that allows weighting of individual performances.

97

8

Graphing Behavioral Data

Once you have worked through the difficult

effort of individual performers who helped make

process of transforming some vague description

the team’s accomplishments possible—and in this

of a performance issue in a company and figured

case visible.

out the best way to measure those behaviors and

Trends are often not easy to see when data is

results, the next step, graphing the data, is of

only in tabular form. For example, compare the

paramount importance. It is only when data are

graphs and the tables in Figure 8.1. Which dis-

graphed that we can see the extent of the behav-

play makes the easiest and clearest comparison

ior change that will be necessary to make the PM

between past and present performance and future

project successful. Graphing allows you to see the

goals? Graphs do.

variability of the behavior as well as any trending

Seeing performance improve and approaching

that might be occurring. If you are tracking more

a goal is a significant reinforcer for most people,

than one behavior or result you can see if two or

but that improvement is not always visible when

more measures are correlated and of course once

information is presented as a list of numbers or in

you have determined an intervention you will be

a table.

able to see if it worked—visually.

Since feedback is defined in terms of informa-

Graphs of group performance are usually post-

tion that will help the performer know what to

ed in work areas so that all employees, managers,

do, graphs must provide that information to be

and supervisors can determine their progress

effective. In fact, they must contain a number of

toward goals that have been set. When people

elements.

view an ascending line on a graph that represents

their team’s performance, team members are able

The Mechanics of Graphing

to comment to each other about the perform-

Performance Feedback

ance. They can report feelings of pride, satisfac-

The following items will usually be included on a

tion, and achievement. They can discuss aspects

graph: 1) labels, 2) baseline, 3) intervention, and

of the trend and their contributions that could be

4) goal. Each will be discussed and is illustrated

improved to continue their success. Under these

in Figure 8.2.

conditions, seeing an improving trend can be a

powerful antecedent for reinforcement. And, if

Labels

team improvements are reinforced, it makes the

The graph label (1) should be a concise but

individual feedback even more effective. Sharing

descriptive statement of the performance being

results in this way is respectful of the collective

graphed. It is usually centered across the top of

the graph.

CHAPTER EIGHT

98

Figure 8.1 A Comparison of The Use of Tables and Graphs in Presenting Feedback 1. Average Weekly Temperature

Average Weekly Temperature in Atlanta

Average Weekly Temperature in Atlant ,

a Georgia

, Georgia

in Atlanta, Georgia

80

March

51

49

47

70

53

IT

April

67

EHN

65

ER 60

70

HA

66

FSE

May

70

ERG

66

ED 50

62

78

40

MARCH

APRIL

MAY

MONTH

2. Percentage Productivity

Percentage Productivity Third Shift Efficiency

Percentage Pr oductivity T hird S hift Efficiency

Improvements T

h ird Shift

80

Week Pe

rc

P e

e n

r t

cent

1

72.9

72.9

75

Goal

G

2

71.1

71.1

3

71.2

71.2

Y

4

73.2

73.2

C

70

N

5

72.3

72.3

IE

6

72.3

72.3

ICFF 65

7

73.4

73.4

E

T

8

73.6

73.6

NE 60

9

73.9

73.9

CRE

10 74.4

74.4

P

11 79.5

79.5

55

12 75.2

75.2

13 74.6

74.6

14 76.1

76.1

50

15 78.5

78.5

16 72.8

72.8

45

17 78.3

78.3

01

02

03

04

05

06

07

08

09

10

11

12

13

14

15

16

17

18

18 79.2

79.2

Week

GRAPHING BEHAVIORAL DATA

99

The vertical axis, sometimes referred to as the

The baseline can be labeled either baseline or the

y-axis (2), is the measure of the performance

specific time period covered by the baseline, e.g.,

being graphed. A label (3) of the measure should

1987, or prior six months.

also be included.

Generally, representing the baseline data in

Since you are usually interested in perform-

terms of an average is not appropriate unless it is

ance over time, the horizontal axis or x-axis (4)

very stable. An average line may give a much dis-

should denote the time periods. The x-axis label

torted picture of performance. An average con-

(5) measures time and will usually be hours, days,

ceals trends. Because the same average can repre-

weeks, etc.

sent either an increasing or decreasing trend

(Figure 8.3), it is best to use actual data in the

Baseline

baseline.

A graph should have a plotted baseline. A base-

line (6) shows the performance prior to any

Intervention

changes in feedback, reinforcement, or other vari-

The intervention (7) is defined by the point

ables. This allows p erformers to compare their

where you start your performance improvement

present performance with their past performance.

procedures. A vertical line is usually placed

Figure 8.2 Il ustration of Proper Ways to Create a Graph

1 KNITTING MACHINE EFFICIENCY

KNITTING MACHINE EFFICIENCY

2

7

8

Baseline

Daily Feedback

Feedback with R

+

+

6

7

8

100

egan R

3

YC

3N

95

pleted/B

IE

Y

aily Feedback

om

IC

FCN

90

F

EIE

egan D

raining C

EIC

B

T

F

INF

85

H E

11 9

CE AINH 80

MTCNAE MCT 75

RNE

10

PCRE 70

P

0

4

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30

WEEKS 5

CHAPTER EIGHT

100

between the last data point in the baseline and

performance, or one for which you don’t have

the intervention. Any additional changes in the

baseline data, you may not know where to set a

program should be so marked. For example, if

goal. The graph can still be effective if the highest

you change the feedback interval or the reinforce-

data point serves as the goal for the next perform-

ment schedule, additional intervention lines

ance period. For example, if you have no baseline

should indicate those changes (8). The interven-

data, the first data point would serve as a per-

tion usually will be labeled either intervention or

formance target to improve for the next measure-

will use the procedural description of the inter-

ment period. This is what is needed in any shap-

vention such as Feedback and R+.

ing or developmental procedure—small steps

Separate the intervention data from the base-

toward the goal, knowing where each improve-

line data by a break in the line. When the lines

ment opportunity starts so that all directionally

are connected, it inaccurately gives the appear-

correct behavior represents “good improvement”

ance of change before the intervention.

worthy of positive reinforcement.

In addition, when data points are missing for

some reason, do not draw a line through the

Special Characteristics of Publicly

missing week. Break the line (9). This more accu-

Displayed Group Graphs

rately represents performance data.

Management should not display individual per-

formance graphs publicly. In addition, manage-

Goals

ment should not put pressure on people to post

PM graphs should include goals. If the final goal

their own performance graphs.

is known and represents significant improvement,

If performers want to display them on their

sub-goals should be drawn on the graph (10) in

own initiative, it is certainly acceptable. Public

addition to the final goal (11). The rules for set-

posting has advantages in that it increases rein-

ting sub-goals are discussed in Chapter 18.

forcement opportunities, but the key is that the

A graph doesn’t have to include a goal to pro-

performer must want to do it. The rule for man-

vide effe ctive feedback. In fact, if you have a new

agement is as follows: Individual graphs should be

Figure 8.3 Il ustration of Problems wit

h Performa nce A ver age Used as Baseline

1. Using an average for

2. However, when the actual

3. Unfortunately the actual

baseline makes the

data is plotted, it looks

baseline data could look

intervention results look

even better.

like this, which shows

good.

no change in the

baseline trend.

1.

2.

3.

GRAPHING BEHAVIORAL DATA

101

kept privately; group graphs should be displayed

least 24” x 36”). The average 81/2” x 11”

publicly.

page is too small for most publicly dis-

While public and individual graphs have many

played graphs. People should be able to

characteristics in common, there are some differ-

read the graph from a distance without hav-

ences. The differences generally relate to such

ing to come close to study it.

things as size, location, and appearance. While

individual graphs can be constructed according to

3. Attractive, neat, and colorful. To be effec-

the rules presented above, to be most effective,

tive antecedents, graphs must attract atten-

group graphs should be constructed with the fol-

tion. People must want to look at them.

lowing characteristics in mind.

The basic principles of advertising apply

here. What gets you to read an advertise-

1. Easy to understand. A line graph is the eas-

ment in a magazine or newspaper? Why do

iest to construct and the easiest to under-

you look at it?

stand. In addition, since most of the graphs

If graphs are attractive, neat, and color-

in Applied Behavior Analysis are time-series

ful, people will pay more attention than if

graphs—graphs that track the same variable

they are not. In addition, the more creative-

over some period of time—the line graph is

ly the information is displayed, the more

most appropriate from the standpoint of

effective it will be in attracting attention.

analyzing the data.

Make the graph look different from other

Bar graphs, pie charts, and various other

things on the wall.

formats are useful under certain circum-

stances. For example, when graphing several

4. Accessible and convenient. Graphs should

variables at one point in time, bar graphs

be located in places where employees will

are the most appropriate. However, in PM

encounter them in the course of their day-

the most frequently used format is the line

to-day activities. Generally speaking, graphs

graph. For more information on when to

should be in the work area.

use various graphic formats and the advan-

For posting group and team graphs, any

tages and disadvantages of each, read Bailey

place where employees and managers pass

and Burch (2002).

daily would usually be suitable. The best

Another element in making a graph easy

places for this kind of feedback are in com-

to understand is to limit the number of

mon places near entrances; break rooms,

lines on the graph. Although there may be

vending machines, workstations, or the

circumstances that dictate several lines, the

cafeteria. Don’t display graphs in dark hall-

general guideline is to have only one or two

ways, conference rooms, and private offices.

lines on a single graph. When you have

People should not have to go out of their

more than two, the lines begin to cross and

way to see the graphs. Nor should they have

performance is hard to track. If you have

to interrupt someone else’s work to see the

more than two variables to plot, make sepa-

graphs. That’s why the supervisor’s office or

rate graphs.

conference room is not a good place for a

group-performance graph that is posted daily.

2. Easy to see. Make the group graph large

enough to see and read from a distance (at

5. Varied. To maintain interest in the graph,

CHAPTER EIGHT

102

you should do two things. One is to contin-

results are graphed (and only behaviors are rein-

ue to provide consequences for the per-

forced). Therefore, people delivering the rein-

formance represented by the graph. The

forcement on the basis of graphed data are at an

other is to vary its location and appearance.

immediate disadvantage if they have not seen the

Don’t let it become a part of the wallpaper.

behavior occurring at some point. Reinforcing

Moving the graph around and changing the

solely on the basis of a graph can lead to serious

format and appearance helps maintain

problems. These problems have been discussed at

interest. In addition, graphs can come up on

several points in this book.

computers in a group meeting. They can be

Just because you see an increase on a graph

posted every morning so that when the

does not mean you should reinforce unless you

computer is turned on, the graph appears

are confident that the person or group has

on production, quality, etc. A graph may be

engaged in reinforceable behaviors to get the

displayed on computer screens where they

increase. From a different perspective, Deming

are scrolled periodically in common areas—

has heightened management’s awareness of the

break rooms, cafeterias, lobbies, etc.

folly of trying to manage without data on the

Remember that graphs don’t change per-

manufacturing system and the necessity of under-

formance. Consequences change perform-

standing the natural variation in the system.

ance. You can have a graph that meets all

When attempting to reinforce from graphs,

the above criteria, but performance will not

separate human performance from system per-

improve until reinforcement occurs. Do not

formance. Data can go up just from natural varia-

count on the graph to provide reinforce-

tion in the system or from changes in the system

ment. If you don’t reinforce at least occa-

that the performer had no part in bringing about.

sionally, you may find that the performers

If you reinforce the changes you see on a graph,

have little interest in the graph and the

not due to a change on the part of the performer,

feedback will be ineffective.

then you don’t know which behavior actually got

reinforced.

Facilitating Effective Reinforcement

The proper use of graphs can greatly increase

Another very important function of graphs is to

reinforcement opportunities, but in the final

facilitate data analysis. Since data is often the

analysis, a graph helps you reinforce. You cannot

source of reinforcement, you must be able to inter-

rely on any graphic display or data summed from

pret the data so you know when to reinforce. The

actual behavior to do the job alone. You are still

way data are presented can make a difference in

responsible for knowing what is occurring behav-

whether a performer is reinforced appropriately.

iorally in order to reinforce effectively.

For example, if an average is used in the base-

See Chapter 22 for a detailed description of

line for the data in Figure 8.4, you would proba-

evaluating performance change using graphed data.

bly not reinforce, since the two points are below

the average. However, if you had plotted the actu-

Summary

al data, you would probably have reinforced since

Once PM consultants, managers, and supervisors

the two data points represent substantial

are collecting reliable data, they will want to

improvement in reversing a downward trend.

graph it so they can look at the range, trends, and

One of the problems with using graphs as the

variability of the performances they are interested

basis for reinforcement is that, most often, only

in improving. Graphs are far superior to tables of

GRAPHING BEHAVIORAL DATA

103

data since they allow anyone to actually “see” the

Applied Behavior Analysis for the preparation of

behaviors and results that are under study and later

graphs and we recommend that they be used so

will be able to determine by visual analysis, with-

that all graphs are easy to understand, accessible

out statistics, whether an intervention has had an

and convenient for all to see.

impact. Standards have been established in

Figure 8.4 Example of Plotting Baseline Data

A

The importance of plotting data

points for the baseline rather than an

average of many data points is evident on

these two graphs.

Graph A depicts a straight line in the

(average)

baseline phase to give the viewer an aver-

age; the performers won’t get reinforced

because it appears there was a decrease in

performance.

B

Graph B plots real data points, which

indicate an improvement in performance

from the last data point in the baseline

phase to the next data point in the inter-

vention. This creates an opportunity to

reinforce.

The Graph Didn’t Work

In the early days of applying Performance

(negative reinforcement). However, as performance

Management, we often saw graphs that were weeks

varies, sometimes higher and sometimes lower than

out of date. When asked why they were not up to

normal, and nothing happens in either case, perform-

date, supervisors replied, “The graph quit working.” In

ance typical y drifts back to the original level. The con-

other words, they put the graph up and, as if by

clusion reached by many supervisors at that point is,

magic, the performance went up, often dramatical y.

“The graph quit working.”

However, after a few weeks, it began to decline and

when it did, the supervisors’ graphing behavior was

Graphs don’t change performance. Consequences

extinguished. Inevitably, they quit graphing. It became

change behavior. More often than not, people are

clear in these instances that the presence of graphed

necessary to deliver those consequences. If you think

data alone was not a reinforcer.

graphs are a substitute for personal interaction with

employees, you are in for a disappointment.

Usual y, the appearance of measures in any form in

the workplace is an antecedent for punishment. Good

Computers wil inevitably provide much feedback

numbers are taken for granted and poor numbers are

automatical y. Some people use this as a way of

the occasion for corrective action.

either managing more people or spending less time

with the present ones. The results of such a strategy

It is not surprising, therefore, that when performance,

are clear—poorer performance than would otherwise

individual or group, is graphed, performance often

occur with a more knowledgeable and personal appli-

increases as a means of avoiding the punishment

cation of feedback.

105

9

The ABC Model of Behavior

Once you are collecting and graphing data on

The ABC Model is also known as the three-

key pinpoints using the measurement tools

term contingency—Antecedent, Behavior and

described earlier, it is time to start making sense

Consequence. The three-term contingency refers

of the behaviors that are is being observed. The

to the fact that every behavior has an antecedent

contemporary method of analyzing behavior in

that precedes (prompts) it and a consequence

the workplace is to understand the context of

that follows it and affects its future probability.

contingencies involved. In this chapter, human

This model prompts you to always consider what

performance is examined from a much more pre-

environmental stimuli (including social) might

cise perspective. If you are to build processes and

have triggered a behavior and to look for conse-

systems that maximize the return on investment,

quences that are associated with it. Desired

you must know as much as possible about the

behaviors that do not occur might be missing an

essential building block: behavior.

antecedent or consequence or both.

Figure 9.1 ABC Model

ABC Model of Behavior

CHAPTER NINE

106

Antecedents

expectations, it is almost always due to the fact

All of us continuously respond to signals in our

that they implemented change with no significant

environment (antecedents) that lead to some

difference in the consequences to the people

action on our part (behavior), which in turn leads

involved in the change. Billions of dollars are

to something happening as a result of our action

wasted every year by such tactics.

(consequence). As illustrated by Figure 9.1, a con-

sequence may be an antecedent for another

Behavior

instance of the same behavior. We have all experi-

We have discussed behavior at length in Chapter 4

enced the situation where someone offers us

(Is it Behavior or Something Else?) and so will

chips or candy (antecedent). We take one piece

not repeat that discussion here. As a reminder

(behavior) and it tastes so good (consequence/

though, we are specifically including all forms of

antecedent) that we take another and another

operant behaviors, those that “operate on the

(behavior). Unfortunately, for many of us this

environment” and are modified by the conse-

pattern is repeated too many times every day.

quences that follow. One category we are particu-

It is important to know that antecedents and

larly interested in is discretionary behaviors, those consequences are not equal in their effect on

that occur beyond the minimal required by the

behavior. Simply put, antecedents draw their

organization. A related type is value added-behav-

power from their prior association with conse-

ior (also discussed in Chapter 4), which con-

quences (see Figure 9.1). To use an analogy from

tributes to the mission of the organization. You

electricity, consequences seem to charge

have seen in Chapter 7 how to measure behavior

antecedents. As you will see throughout this

and in Chapter 8 how to graph it so that it can be

book, common sense experience often teaches us

analyzed for variations and trends over time. We

the wrong thing. Many managers and supervisors

assume of course that any behavior we see comes

believe antecedents are the most effective way to

from a person with a history of reinforcement.

change behavior and they do not realize how it is

that antecedents “get their charge.”

Motivating Operations (M.O.)

By far the most common way of trying to

Events that alter the present value of a reinforcer

implement change in an organization is to modi-

are called motivating operations1 ( MOs). As shown fy antecedents rather than consequences. We

in Figure 9.1, MOs occur simultaneously with

train, explain, have meetings, involve people in

antecedents and prior to behavior to alter the

decision-making, get “buy-in,” and finally, send

value of consequences for an individual.

out clarifying memos, et cetera. We do these

Going for a long period without eating

things in spite of the fact that the closest thing we

increases the MO for food, it strengthens the

have to a behavioral law (just as gravity is a law) is

power of food to serve as a reinforcer and actually

that behavior is a function of its consequences. In

stimulates “searching-for-food” behavior. Some

helping executives understand why their organi-

have described MOs as invisible “drives” that pro-

zational change initiatives did not live up to

pel behavior in search of a way to decrease the

1 Dr. Jack Michael of Western Michigan University came up with the concept of the establishing operation in 1993 to distinguish antecedents and motivational variables. This was later changed to motivating operations (Laraway, Snycerski, Michael & Poling, 2003) to highlight the primary function of variables such as thirst, hunger, fatigue, etc.

THE ABC MODEL OF BEHAVIOR

107

deprivation. Once the deprivation has been

sequently approached the perfect delivery of the

reduced, the behavior associated with the MO is

factory-fresh vehicles was unparalleled in the his-

immediately reduced. Note that MOs can and do

tory of the company, all for a license plate simply

occur for a wide variety of motivations including

imprinted with the words Top Gun. Management

those that are physical as well as social in nature.

made ownership of one of the plates a badge of

If a cashier has been standing all day (an MO for

distinction and everyone wanted one even

sitting), looking for a place to sit down will

though it had no economic value2.

increase and the value of a chair greatly increases.

Sitting at a computer station for long periods

Consequences

makes standing an MO and increases the likeli-

If you are to grow any organization or even main-

hood that finding an excuse to get up and move

tain it over time, an understanding of behavioral

around will occur. People who care for children

consequences is necessary to make maximum

all day will likely find the presence of adults

progress. We use the term behavioral consequences

refreshing and will seek them out. If you are

to differentiate it from the more common use of

thirsty, the sight of a water fountain or soda

the word consequences. The precise description of

machine is an effective antecedent for getting a

behavioral consequences will be the subject of the

drink of water or a soda because water or soda

rest of this chapter. When we refer to conse-

will be valuable at that time; right after drinking

quences, we are referring to behavioral conse-

water or soda, these items are not sought after

quences. Understanding the use of the complete

and are valued less. If an employee needs extra

ABC Model is important if you are to arrange

cash, he might accept an offer to work overtime;

conditions and change behavior efficiently, effec-

but if no extra money is needed or he wants free

tively, and for the longer term.

time, he might decline the offer.

Behavioral consequences are events that follow a

An important task of leaders is to create rein-

behavior and change the probability that the

forcers for everyone in the organization. They

behavior will recur in the future. Our knowledge

have to take things that employees have little or

of this phenomenon is so extensive that it is now

no interest in and then create a situation where

referred to as The Science of Consequences

they exert considerable effort to get them.

(Schneider, 2012). Consequences are the single

How do leaders get employees to rally around

most effective tool a manager has for improving

goals and objectives? Here’s a clever example.

employee performance and morale. As amazing as

Allied Systems, a hauler of brand new cars,

it may sound, there is one straightforward answer

offered a special license plate to display on the

to the problems of poor quality, low productivity,

front of any truck whose driver attained, over a

high costs, and disgruntled employees—better

period of time, deliveries with zero damage to the

and more frequent use of behavioral consequences.

new vehicles. Initially, and historically, there was

In hundreds of thousands of offices, manufac-

no differentiation among the auto transporters

turing plants, hospitals, hotels, restaurants, and a

who worked diligently at their assignment. The

multitude of other organizations, the nearly total

effort and enthusiasm with which the drivers sub-

lack or ineffective use of consequences has gener-

2 For a very complete discussion on establishing operations (now referred to as motivating operations) please see the Journal of Organizational Behavior Management, Vol. 21, #2. The role of establishing operations in organizational behavior management.

CHAPTER NINE

108

ated poor performance and its cousin, low

ignore it. For example, put money in a snack

morale, among millions of employees. By con-

machine and press the button. Usually, the

trast, providing appropriate consequences has

desired snack comes tumbling out. But what if no

produced dramatic increases in productivity, the

sweet treat appears? Will you drop in a few more

bottom line, and additionally significant

quarters? You might try again, but if it still failed

improvements in employee satisfaction and

to work, you’d probably stop. The behavior of

engagement.

putting money in that machine depends on the

Later in this chapter we will introduce you to

consequence—receiving your well-earned guilty

the various consequences and how they operate in

pleasure. Remove that consequence, and your

corporations, coffee shops, hospitals and factories

behavior changes. You will probably seek out

around the world. You will see that consequences

another machine, one that works this time—one

affect performance whether you attempt to man-

that produces the consequence you want. If frus-

age them or not. If you don’t manage conse-

tration has dampened your MO you may decide

quences, they will simply operate unsystematically

to cut your losses and rush to class or that all-

and often in ways that are counterproductive,

important meeting you are now late for. Every

because consequences are always occurring and

behavior has a consequence that affects its future

always impacting behavior. Think of it this way:

probability; consequences do not simply influ-

We are not always aware of how gravity is affect-

ence what someone does; they control it to a

ing what we do, but if we stop to think about it

large extent. To understand why people do what

we know that it is. Similarly, consequences always

they do, we need to think about the MOs for

affect our behavior, whether we are aware of it,

their behavior, (“Why did they do that?”) and

believe it, deny it, or understand it.

then ask, “What happens to them when they do

There are two basic types of consequences:

that?” When you understand the MOs and the

those that increase behavior and those that

consequences, you are most likely to understand

decrease it. In the section that follows we provide

the behavior.

the backdrop for comparing types of conse-

Consequences come in many forms and end-

quences and will set the background for detailed

less varieties. What people say to us, do to us, give

explanations in later chapters.

us, and what they don’t give us can all affect our

behavior. As you will see, both the presence of a

The Effects of Consequences

consequence and the absence of a consequence

Some consequences increase the probability that

affect behavior.

a behavior will occur and some decrease the prob-

Take a look at the examples in Figure 9.2. In

ability that a behavior will occur. Although a

each of the examples, something has happened to

casual assessment seems to indicate that some

the individuals after their behavior. We cannot

consequences have no effect on behavior, closer

say how these consequences will affect other per-

examination shows that not to be the case; it’s

formers in similar situations because different

just that the change in the behavior is too small

people often respond differently to the same con-

to be detected by informal observation.

sequence. If Bill does not like to work overtime,

Behavior followed by consequences—this pat-

the consequence of having to work late or on the

tern repeats itself many, many times throughout

weekend may increase the likelihood that he will

the day. It is so commonplace, we have learned to

complete his work on time in the future. On the

THE ABC MODEL OF BEHAVIOR

109

Figure 9.2 Consequences Fol ow Behavior

Behavior

Consequence

1. Bill tells boss he can’t finish work on time

➞

Boss gives him overtime pay to complete it

2. Jane turns in budget ahead of schedule

➞

Is asked to help others complete their work

3. Tom tells boss of sale he made

➞

Boss gives him a high-five

4. Programmer complains of too much work

➞

Boss hires temp programmer to help

other hand, if he needs the money, he may be less

supervisors and supervisees is the product of con-

likely to complete work on schedule in the future.

sequences. While supervisors deliver planned

The point is that whether a consequence has a

consequences to change the behavior of super-

positive or negative effect on behavior can only

visees, it is important to know that supervisees

be determined by future behavior.

can provide consequences for supervisors, which

are often impromptu and less obvious. The direct

The Need for Understanding Consequences

report who complains at length in meetings,

Consequences provide the key to performance.

looks unhappy most of the time, and does not

When people don’t do what we want them to do,

exchange social pleasantries with the boss may

we say things like, “They should do it; they ought soon find she has delivered consequences that

to do it; that’s what they’re paid for; it’s their job.”

result in the supervisor walking the long way

In other words, to borrow a phrase from Mager

around her desk to avoid interactions. Once we

and Pipe (1997; 1999), “They really oughta

understand the MOs and consequences people

wanna.” Unfortunately, all too often people do

experience when they engage or fail to do some-

not do all that they could or should.

thing, “motivation” becomes clearer. Consider

Consequences determine the difference between

the case of the rate buster. When Olivia first came

those who wanna and those who don’t wanna.

to work in the office she completed work at a

much higher rate than her fellow employees.

Attitudes Are Not Behavior

Over time, however, her performance decreased

People do what they do because the consequences

to that of her peers. An analysis of the conse-

support it. Many senior managers use large

quences that she experienced is helpful in figuring

rewards and punishers to motivate their direct

out why.

reports and are then surprised if they engage in

At first, her peers criticized Olivia, ostracized

unacceptable behavior. Many managers criticize

her from the peer group, and generally provided

individuals in public for making negative com-

unpleasant consequences for her high level of

ments, and are then disappointed when they

performance. Once she dropped to the average

don’t hear important, but bad news, from those

rate, they were friendlier and began to ask her to

same individuals until it’s too late. They give out-

go on breaks with them, to have lunch with them,

sized bonuses for “making the numbers” and then

and to join them for happy hour after work. In

are surprised when the figures have been manipu-

other words, they provided negative conse-

lated. In the work setting, the behavior of both

quences for her high performance and positive

CHAPTER NINE

110

consequences for her mediocrity.

differently. The likes and dislikes of every individ-

In addition, she never received any positive

ual determine the particular consequences that will

consequences from management for her above-

be effective in changing their behavior. To be effec-

average production because the supervisor’s atti-

tive in working with other people, you must know

tude was “That’s what she is paid for.” Olivia also

the status of their MOs, and how they value vari-

saw that peers were doing much less but were

ous consequences. A consequence that you desire

treated the same (pay, benefits, leave time, and so

or like very much may be one that another person

on). She soon realized that the common sense

cares nothing about or even dislikes.

thing to do was to slow down and focus her ener-

For example, a frequent management practice

gy elsewhere. (Note that this scenario would play

is to give employees some sort of special recogni-

out differently if Olivia had no interest or con-

tion for perfect attendance over lengthy periods

cern about her peers.)

of time. In one service organization, the acknowl-

The oughta-wanna view of employee behavior

edgement had the opposite of the intended effect.

goes under various names. But in all forms it

ignores the basic fact that people do what they do

for the positive consequences they receive or the

negative consequences they are able to escape or

avoid. When someone is not performing as we

would like, we often say it is a motivation prob-

lem and explain it by saying “She doesn’t care” or

“He’s got a bad attitude” or “He’s lazy.” The solu-

tion to all the problems, so described, is appreci-

ating motivating operations and understanding

and applying consequences correctly .

Of course, this is true up and down the chain

of command. The CEO who punishes her VPs for

“Hey, wait a minute!

delivering bad news will soon receive no negative

You’re cleaning erasers as apunishment?

reports even though they surely exist. In the

I’m cleaning erasers as a reward!”

absence of such information she may make flawed

decisions. However, from the CEO’s perspective,

The consequence for one year of perfect atten-

she is confident because no one has disagreed and

dance was an engraved invitation to an awards

when asked, several have told her it was a good

banquet. One employee offered her opinion of

choice. It is easy to see in such a situation how the

this consequence when she told one of her

boss’s behavior (punishing bad news) changed the

friends, “I’ll miss one day just so I won’t have to

VP’s behavior (zip it up); and how the VP’s behav-

sit up front with the big wheels.” The awards ban-

ior of keeping quiet affected the CEO’s behavior.

quet was a consequence that decreased her atten-

dance—certainly not what management wanted

The Value of Consequences to the Performer

or expected. A consequence that management

Determines Their Effect

thought employees would value as a positive was,

The expression different strokes for different folks

in this case, a big negative.

expresses the fact that consequences affect people

Or, consider the case of a top-performing

THE ABC MODEL OF BEHAVIOR

111

computer programmer who was promoted to a

Doing Nothing Can Change Behavior

supervisory job. When she was a programmer,

Since consequences occur for every behavior, if a

Nora’s most positive consequences came from

manager provides no consequence for a particular

competing with fellow employees. Competing

behavior, even his lack of action may have an

with them caused her to finish jobs quicker and

effect on the employee.

to show that she could solve problems that the

For example, sometimes doing nothing will

others could not solve. Unfortunately, as a super-

cause a behavior to stop. If an employee goes to a

visor, Nora still liked to show subordinates that

lot of extra trouble to solve problems for the boss,

she was faster, smarter, and better than they were.

and the boss says or does nothing to acknowledge

Believe it or not, their success was punishing to

it or to show his appreciation, then we can expect

her. As a programmer, competition with peers

that the extra effort will soon cease.

was a positive consequence; as a supervisor, her

On the other hand, suppose an employee does

competitiveness destroyed her effectiveness.

not adhere to a difficult and time-consuming

Nevertheless, Nora’s actions made sense to her.

series of safety procedures. Without a negative

She had a long history of experiencing positive

consequence for failing to comply with the proce-

consequences for beating out the people she

dure or a positive one for following it, the safety

worked with, whether they were coworkers or

violation will continue, since by doing so the

subordinates. Although we may say this shouldn’t

employee saves time and trouble.

occur, it is more common than one might think.

Every behavior has a consequence that affects

Practically everyone has known of a father who

its future occurrence. Many times the conse-

could not stand to be beaten in a game by his

quences that are causing a behavior to occur, or

own children. The classic movie The Great

not occur, are not obvious. However, on closer

Santini (1980) provides a dramatic example of

inspection, consequences can usually be discov-

this phenomenon where Santini (Robert Duvall)

ered. The PIC/NIC Analysis®, to be explained in

simply cannot tolerate losing a backyard basket-

the next chapter, can be helpful in discovering

ball game with his son.

possible consequences.

A consequence that is positive to one person

Once we discover the consequences that peo-

can be quite negative to another. A common

ple are experiencing, it is usually easy to under-

problem is that managers tend to look at conse-

stand why they do the things they do. This per-

quences from the perspective of the organization,

spective is illustrated by the old saying that before

not of the individual performer (they basically

you criticize another person you should walk a

have no clue about unique MOs). In management

mile in his shoes. Doing a PIC/NIC Analysis® is a

and life in general, to be effective with others all

way to do just that.

of us must know the consequences that the per-

former values rather than providing the conse-

Timing is Everything

quences that are valuable to us. In the final analy-

Consequences either strengthen or weaken behav-

sis from a behavioral perspective, the conse-

ior. Because a consequence affects the future like-

quences one values are not subjective; they are

lihood of the behavior that precedes it, it is criti-

determined not by what people say they value,

cal that the consequence is “contingent” i.e. that it

but by what they show they value through their

follows the behavior we want to affect. The neces-

behavior.

sity of paying attention to the consequence is

CHAPTER NINE

112

illustrated by the example below.

don’t like . . .” or “It’s too hard,” get more atten-

A young manager complained that one of his

tion than those who say “I can do that,” “I like

employees was driving him crazy. Every time he

this,” or “No problem, I’ll handle it.”

went out of his office, Ava would call him to her

If managers devote the majority of their time

workstation and proceed to complain about

to problems, they will never run out of problems.

everything from the cleanliness of the restrooms,

The attention of managers is a major, positive

problems with the computer software to the

consequence to the vast majority of the work-

excessive workload. The complaining was chron-

force. When attention follows problems, then

ic. Ava was well known to all the employees and

other managers because she had been “difficult”

Figure 9.3 The Effect of Positive

Reinforcement on the Performance

for years. Most of her complaints were about

of a Problem Employee

things the manager could do nothing about, but

BASELINE

INTERVENTION

when he could satisfy a complaint she quickly

100

found another. The young manager spent a lot of

96

time with Ava but their meetings were always

cy

centered on a complaint of some kind: clearly his

92

attention inadvertently reinforced an undesirable

fficien 88

behavior.

t E 84

A simple change in the manager’s behavior

solved the problem. He decided to approach Ava

ercen 80

Talked to

P

employee

to talk and listen only when she was working.

Talked to employee only

when she

when she was complaining

was working

The moment she started complaining about the

0

same old things, he would excuse himself and

1

2

3

4

5

6

7

8

9

10 11 12 13 14 15 16 17 18

quickly walk away. Soon, her complaining

Days

decreased to practically zero and Ava’s productivi-

ty increased to maximum efficiency. See Figure

problems increase. This does not mean that peo-

9.3 for the increase in her efficiency. In addition,

ple are consciously creating problems to get atten-

their working relationship improved dramatically.

tion, but that’s just the way it happens. This effect

Such interactions occur at all levels of an

has been demonstrated in the widest possible

organization. We’re all familiar with crisis-orient-

range of settings—from home, to school, to

ed management and the fallout it is likely to

work.

induce. We often don’t have time to spend with

Closely related to the above example is the

employees until there is a problem. Since in

issue of showing concern for subordinates.

American business3 “the squeaky wheel gets the

Managers should certainly listen to and show

grease,” many times there is no grease left for the

concern for all employees. However, this is a case

wheels that are running quietly. Before you know

where the frequency of the behavior is a good

it, you have many more squeaky wheels. All too

indicator of whether your concern is constructive.

often the people who say things like, “I can’t,” “I

If an employee who rarely ever complains or has a

3 Culturally, the adage contrasts with that of the Japanese proverb, “The stake that sticks up gets hammered down,” or "The nail that stands out gets pounded down.”—Wikipedia

THE ABC MODEL OF BEHAVIOR

113

negative thing to say starts complaining or talking

Positive and Negative Reinforcers are

negatively, it will probably be constructive to lis-

Consequences that Increase Behavior

ten—even at the risk of increasing the wrong

Supervisors spend much of their time trying to

behavior in the short term.

help increase the frequency of desired behaviors.

On the other hand, if the person complains

In some cases, the goal will be to increase the

consistently, then listening to the complaining

intensity with which an employee does some-

may be counterproductive. Managers need to

thing, such as how much pressure is exerted or

show concern (a reinforcer) but they do have to

how much weight they carry. Since doing a

be careful of what they are reinforcing. Indeed, in

desired behavior more often increases a business

many workplaces a more common problem is

result, the interest of a business is to find the

that managers show little concern (indifference)

methods by which you can increase behavior effi-

for either desirable or undesirable behavior.

ciently and effectively.

If you have a chronic complainer, face up to the

Reinforcers increase behavior in two ways: 1)

issue rather than just ignore it. Explain to the per-

Doing something more often if the behavior is

son that their verbal behavior is a problem and

followed by something we want, a valuable conse-

that when it occurs you will not respond because

quence (positive reinforcer); or, 2) doing some-

continued attention will not help him or you.

thing more often if doing the behavior is fol-

Always give the performer the opportunity to

lowed by the removal of something that is not

make changes quickly by telling the person how

wanted, an aversive consequence (negative rein-

you see the problem and how you will respond if

forcer). For example, a supervisor may announces

that everyone will be called in on the weekend to

the behavior continues or stops. As the person

complete printing and binding of training materi-

tries things to reduce the complaining, he should

als for shipping if it is not done by 4:00 on Friday.

be invited to share those actions with you and why

By completing the work on schedule, the employ-

they were effective. Be sure to reinforce when you

ees can avoid working on the weekend. Behavior

hear more positive comments. If the performer

will no doubt increase in order to make sure the

has eliminated a bad habit, it is often up to you to

job is done.

see that the replacement behavior is reinforced.

As we describe consequences we will some-

We often forget to compliment people when they

times use the terms wants, likes, or needs.

no longer do something that we found irritating

Although these words describe internal states, we

in the past. Just be sure that you focus not on

assume such words represent what the person will

what they are no longer doing, but rather, on what

work or behave for—the observable relationship

they are doing right as that pattern of behavior

between behavior and its consequences.

moves toward a high-and-steady rate.

Punishers and Penalties Decrease Behavior

The Four Behavioral Consequences

Whether we are aware of it or not, everything we

Consequences affect behavior in one of two ways.

do is strengthened or weakened every day.

They either increase it or decrease it. Of the four

Everything that people do at work is the result of

behavioral consequences, two increase behavior

reinforcers: positive or negative. Reinforcers may

and two decrease behavior. See Figure 9.4.

be provided by management, peers, and in many

cases by the work itself, but if the behavior persists,

CHAPTER NINE

114

Figure 9.4 The Four Behavioral Consequences and Their Effects Consequences that

INCREASE Behavior

( R+ ) Positive Reinforcement

Get something you want

( R- ) Negative Reinforcement

Escape or avoid

something you don’t want

Behavior

Get something

you don’t want

Lose something

you have and want

( P+ ) Punishment

Consequences that

( P- ) Penalty

DECREASE Behavior

it is being reinforced from some source. Just as

positive and negative are misunderstood to repre-

there are two ways to increase behavior, there are

sent either an ethical or moral value about the

two ways to decrease behavior: 1) Doing some-

manager’s choices in managing performance.

thing less often if that behavior is followed by

Consequences are ‘neutral’ in a values sense. The

something we don’t want (punisher); or, 2) doing

term positive reinforcement is neither good nor

something less often if that behavior is followed

bad but simply a description of an effect. This is

by the loss of something the person values (penal-

an important but difficult concept to learn; yet it

ty).

is critical to success in establishing the conditions

These punishing consequences (those that

needed to get the kinds of behavior you want

decrease or stop) almost never solve an organiza-

from others and from yourself. Positive reinforce-

tional problem completely because people are

ment can lead to doing things that are not good

hired to do something (active), not to stop doing

for society but are likely to occur again because of

something (inactive). However, they may need to

the reinforcement that the individual experiences.

be used occasionally to elicit a behavior that can

Examples include stealing (and getting away with

be reinforced. This is because there will be no

it) and lying (and achieving desired ends). Of

opportunity to engage in the desired behaviors if

course, in the same way, good things for society

the unwanted behaviors continue to occur.

happen through positive reinforcement: truth

It is important to know at this point that con-

telling, for example, and demonstrating respect

sequences are neither good nor bad from a value

for property by returning lost items to individu-

perspective; they just have a predictable effect on

als. Remember: The words positive and negative

the direction and rate of behavior. Words like

are neutral in relation to values. Be mindful of

THE ABC MODEL OF BEHAVIOR

115

While it is all too true that most leaders spend

“Consequences are by far the most

too much time on antecedents without under-

important component of the ABC Model

standing their limited power to maintain desired

for managing behavior effectively. ”

behavior, careful planning in initiating business

strategies is also important to business success.

their effects on what you want and use them

Do not neglect the attention that antecedents

selectively to build the right behavior for the

deserve as powerful triggering events. Remember:

right things in the right way.

Antecedents start behavior. Consequences main-

Each of these consequences will be examined

tain behavior. The two operating together establish

in detail in later chapters. When you understand

the strongest conditions for individual and busi-

how they work and how to use them correctly,

ness success. More on this later in Chapters 10-12.

you will be able to solve most of the performance

Summary

problems that beset modern organizations.

The ABC Model describes a chain of interwoven

Antecedents are Triggering Events

events. Consequences for one action can quickly

Consequences are by far the most important

become an antecedent for another action. This

component of the ABC Model for managing

interplay in real time is within moments of one

behavior effectively. Consequences ensure behav-

another. Consider the ABC Model as a fluid

ior change in the desired direction. However,

causal stream. Learn to look at each part of the

remember that clarity, appropriate decisions for

model for its reinforcing and triggering compo-

action, hiring well, training correctly, and setting

nents and you will soon see how wonderfully

up effective measurement and consequence sys-

fluid behaviors are in response to the conditions

tems are all critical to achieving good perform-

that surround them. Learn to master how you

ance in a timely and effective manner.

assess MOs and apply both antecedents and con-

Antecedents must be considered carefully and

sequences. As you continue reading, keep in

designed with skill if employees are to perform

mind that you are a part of the equation—and

efficiently and effectively. Setting the conditions

that, as a manager of behavior, what you do to

for change to occur is a key behavior of leaders.

support or impede behavior has positive and neg-

Antecedent management, along with conse-

ative consequences on your own performance. Be

quences, provides the clarity needed for rapid

alert to how the model applies to you. It is a key

achievement of discretionary performance.

to your own effectiveness.

117

10

PIC/NIC Analysis®

A Performer’s Eye View

Having fully grasped the implications of the

trate, won’t help us increase the accuracy of

ABC Model in the last chapter, you are now pre-

orders shipped. To say that a computer program-

pared to apply the concepts for specific behaviors

mer who makes an error in code writing or works

that arise. We have all been asked after seeing,

too slowly isn’t smart or intelligent doesn’t help

reading, or hearing about some outrageous

us meet deadlines for new program releases.

behavior of another person, “Why would anyone

However, by use of the PIC/NIC Analysis® we

do such a thing?” One way to understand why is

can examine the external environment for causes

to perform what we call a PIC/NIC Analysis®.

that we can do something about.

The PIC/NIC Analysis® is a formal, but not sci-

entific, way of looking at a behavior from the per-

spective of the performer. It allows us to examine

“One thing to understand . . . is that

everyone’s behavior makes sense to

in detail the antecedents and consequences that

him or her at the time. ”

affect a given behavior.

The PIC/NIC Analysis®

Before going into detail about how to do a

Because behaviors are typically associated with

PIC/NIC Analysis®, we must repeat that it is not

many antecedents and consequences, it is often

a scientific analysis. It is simply a way of organiz-

difficult to understand how they affect a specific

ing influences on behavior to gain an understand-

behavior. A typical analysis of performance prob-

ing of why people do what they do. Why would

lems usually refers to some internal cause like lazi-

people do something that would endanger their

ness, lack of motivation, hostility, or anti-manage-

lives, their health, or their job security? While

ment views. These explanations, while satisfying

smoking doesn’t make sense to those who don’t

to those who make them, explain little to those

smoke, it does make sense to the smoker. One

who want or need a deeper understanding. It

thing to understand about behavior is that every-

explains nothing to say that a person who can’t

one’s behavior makes sense to him or her at the

quit smoking lacks “willpower.” To say that some-

time. After overeating, a person may wonder why

one who has an accident was careless tells us noth-

she did it, but while she was eating it made per-

ing about how to help this person avoid accidents

fect sense in terms of her reinforcement history.

in the future other than to admonish him to be

A PIC/NIC Analysis® shows us why a person

more careful. To say that a warehouseman, who

engages in behavior that seems irrational. It is

left an item out of a shipment, doesn’t concen-

appropriate to do an analysis any time one asks

CHAPTER TEN

118

the question, “Why would a person do a thing

which most people are familiar. Most people who

like that?”

smoke acknowledge that smoking isn’t good for

their health, yet they continue to do it. Why does

this happen?

“What we are real y trying to do is

Having identified the problem as smoking, the

understand behavior from the stand-

next step is to identify antecedents that are associ-

point of the performer. ”

ated with smoking. Look at Figure 10.1. What

you see is that, for a smoker, there are many things

What we are really trying to do is understand

in the smoker’s environment that set the occasion

behavior from the standpoint of the performer

for lighting a cigarette; many things associated

(at the time the behavior occurs/occurred). Since

with smoking become antecedents for it.

we can only infer a person’s motivation, to some

On close examination you will also discover

Figure 10.1 PIC/NIC Analysis® with Antecedents for Smoking Antecedents

Behavior

Consequences

• Offered a cigarette

Smoking

• Finished a meal

• Having a drink

• Seeing a cigarette ad

• Taking a break

• Seeing someone smoke

• Time since last smoke

• Habit

• Nicotine fit

extent a PIC/NIC Analysis® is a guess or hunch

that eliminating the antecedents is undesirable to

based on observable behavior. To be successful at

the smoker and impractical as well. To avoid these

doing one, you must be able to relate to the other

particular antecedents as a smoker you can’t eat;

person’s experiences: “Walk a mile in their shoes”

you can’t drink; you can’t be around others; you

as the expression goes.

can’t even be around yourself. Since there are so

We start the analysis by identifying the prob-

many antecedents and we would not be able to

lem behavior. In Chapters 6 and 7 you learned

eliminate all of them anyway, it should be obvi-

how to pinpoint behaviors. The nice thing about

ous that trying to quit smoking by changing

the PIC/NIC Analysis® is that it works even if

antecedents will probably be ineffective.

the behaviors are not precisely specified. Many

However, this is the way that most smokers try to

people will start with a fairly general description

do it. They make a New Year’s Resolution to quit;

of the problem.

they make promises to their families; they throw

Let’s use smoking, a problem behavior with

away their ashtrays; and they call up extra

PIC/NIC ANALYSIS® A PERFORMER’S EYE VIEW

119

willpower. Since all these things come before the

Let’s categorize each of the consequences as to

targeted behavior (smoking), they are

whether they are positive or negative to the smok-

antecedents. For every five people that quit

er. See Figure 10.3. This is an important point,

smoking by using such techniques, there are 95

because in our experience, managers want to look

for whom it is ineffective.

at consequences from the perspective of the

Look at the consequences in Figure 10.2 below

organization when it is the consequences to the

and you will see that there is a wide variety: some

performer that cause the problem. In analyzing

that seem almost trivial, some that are serious, and

the smoking problem, you discover that there are

some that are fatal. They range from tension

more negative consequences than positive ones. In

reduction to death. The fact that positive and neg-

addition, most of the negatives are more serious

ative consequences exist is not a surprise, but how

than the positives. From a common sense perspec-

does this help us understand the problem?

tive, it certainly doesn’t seem to make sense that

Figure 10.2 PIC/NIC Analysis® with Consequences of Smoking Antecedents

Behavior

Consequences

• Offered a cigarette

Smoking

• Cancer

• Finished a meal

• Death

• Having a drink

• Emphysema

• Seeing a cigarette ad

• Heart disease

• Taking a break

• Yellow teeth

• Seeing someone smoke

• Relaxing

• Time since last smoke

• Tastes good

• Habit

• Stand in the cold

• Nicotine fit

• Breaks from work

• Satisfying

Figure 10.3 PIC/NIC Analysis® with P/N

Antecedents

Behavior

Consequences

P/N

• Offered a cigarette

Smoking

• Cancer

N

• Finished a meal

• Death

N

• Having a drink

• Emphysema

N

• Seeing a cigarette ad

• Heart disease

N

• Taking a break

• Yellow teeth

N

• Seeing someone smoke

• Relaxing

P

• Time since last smoke

• Tastes good

P

• Habit

• Stand in the cold

N

• Nicotine fit

• Breaks from work

P

• Satisfying

P

CHAPTER TEN

120

someone would engage in a behavior many times a

future and uncertain (NFU).

day when the consequences are mostly negative.

The reason people smoke is that smoking gives

them immediate and certain positives (PICs)

while most of the negatives are uncertain, so they

“The positive consequences of smoking

may never happen. Even if the outcomes eventu-

tend to be immediate and certain (PIC)

ally happen, they are not experienced while the

and the negatives tend to be future

person is smoking.

and uncertain (NFU). ”

Now let’s look at what happens to a smoker

who tries to quit. In Figure 10.6 you see that

Looking at another dimension may be helpful.

when a smoker goes without smoking longer than

Let’s examine the consequences and categorize

usual, the picture reverses somewhat. The nega-

them as to whether they happen immediately or

tives tend to be immediate and certain (NIC)

in the future. By immediately, we mean the conse-

and the positives tend to be future and uncertain

quences occur at the point of smoking. Future

(PFU). You will learn later that not smoking is not

consequences occur at any other time. A pattern

a behavior. It is the absence of a behavior.

begins to emerge: the positive consequences tend

However, for purposes of this analysis, we can

to be immediate and the negative ones tend to be

look at what happens in the absence of the prob-

in the future. See Figure 10.4.

lem behavior.

The final category is whether the conse-

The pattern you tend to see in every problem

quences are certain or uncertain to the smoker. In behavior is that there are PICs for the undesired

other words, what is the probability that the

behavior in the face of many NFUs. At the same

smoker will experience the particular conse-

time, for the behavior that we want, we find NICs

quence while smoking a cigarette? Now the pat-

and PFUs. For example, safe behavior is almost

tern is complete. You will see in Figure 10.5 that

always more time-consuming and more difficult

the positive consequences tend to be immediate

than unsafe behavior, while the unsafe behavior is

and certain (PIC) and the negatives tend to be

quick and easy. For a computer programmer,

Figure 10.4 PIC/NIC Analysis® with I/F

Antecedents

Behavior

Consequences

P/N

I/F

• Offered a cigarette

Smoking

• Cancer

N

F

• Finished a meal

• Death

N

F

• Having a drink

• Emphysema

N

F

• Seeing a cigarette ad

• Heart disease

N

F

• Taking a break

• Yellow teeth

N

F

• Seeing someone smoke

• Relaxing

P

I

• Time since last smoke

• Tastes good

P

I

• Habit

• Stand in the cold

N

I

• Nicotine fit

• Breaks from work

P

I

• Satisfying

P

I

PIC/NIC ANALYSIS® A PERFORMER’S EYE VIEW

121

Figure 10.5 PIC/NIC Analysis® with C/U

Antecedents

Behavior

Consequences

P/N

I/F

C/U

• Offered a cigarette

Smoking

• Cancer

N

F

U

• Finished a meal

• Death

N

F

U

• Having a drink

• Emphysema

N

F

U

• Seeing a cigarette ad

• Heart disease

N

F

U

• Taking a break

• Yellow teeth

N

F

U

• Seeing someone smoke

• Relaxing

P

I

C

• Time since last smoke

• Tastes good

P

I

C

• Habit

• Stand in the cold

N

I

U

• Nicotine fit

• Breaks from work

P

I

U

• Satisfying

P

I

C

when people have tried to change in the work-

place they have experienced many NICs—make

“A smal , immediate consequence that

is certain to occur is much more pow-

mistakes, get behind in their work—while not

erful than very large positive or nega-

changing saves time and effort (PICs).

tive consequences that are either

In over 40 years of doing the PIC/NIC

future or uncertain, or both. ”

Analysis®, no workplace problem has ever arisen

for which the general finding of the PIC/NIC

documentation is boring and more time-consum-

Analysis® has not held true. This shows us that a

ing than the programming and if all things are

small, immediate consequence that is certain to

equal, the programmer will leave the documenta-

occur is much more powerful in the behavior-

tion until later, usually much later.

change process than very large positive or nega-

We have heard many times that people resist

tive consequences that are either future or uncer-

change. Through this analysis, you discover that

tain, or both. A cursory examination of the ways

Figure 10.6 PIC/NIC Analysis® of Not Smoking

Antecedents

Behavior

Consequences

P/N

I/F

C/U

• Friend dies of lung cancer

Not Smoking

• Irritable

N

I

C

• Have a heart attack

(Chewing gum

• Less chance of a heart

P

F

U

• Family complains

or some other

attack

• Children complain, “You

behavior incom-

• Food tastes better

P

F

U

are killing us.”

patible with

• Crave a cigarette

N

I

C

smoking)

• Live longer

P

F

U

• Reduced risk of can-

P

F

U

cer

CHAPTER TEN

122

Calvin and Hobbes © 2013 Watterson. Reprinted with permission of UNIVERSAL PRESS SYNDICATE. All rights reserved.

organizations try to motivate employees to do the

analysis in the beginning requires a certain disci-

right thing shows that PFUs and NFUs are the

pline. Tips are listed below to help you avoid mis-

predominate methods used. Some of the positive

understandings that arise in practice.

methods are annual bonuses (PFU), contests

When you apply this tool, keep these general

(PFU), getting promoted (PFU), and getting a

guidelines in mind:

salary increase (PFU). Negative methods include

getting chewed out (NFU), firing (NFU),

1. The PIC/NIC Analysis® helps us identify

embarrassment (NI/FU), demotion (NFU), and

consequences that explain the occurrence

loss of perks (NFU).

and sustainability of the observed, pin-

The consequence types from the PIC/NIC

pointed behavior. This analysis is designed

Analysis® are listed in Figure 10.7 from most to

to help you understand why a person is

least powerful.

doing what he or she is doing. Always keep

This means that in problem solving we try to

this goal in mind.

create PICs for the behavior that we want. In

Figure 10.7 Relative Effects of

other words, if we can make the desired behavior

PIC/NIC Consequences

more attractive immediately, we will make it

much more likely to occur again. (Note: NIU is

PIC

not as effective in stopping a behavior as PIU is

NIC

in maintaining one. The reason is that people

tend to adapt to punishment but are stimulated by

intermittent reinforcement and reward. (For a

more detailed discussion see Chapters 16 and 19.)

PIU

Using the PIC/NIC Analysis®

PFC

NFC

Effectively

NIU PFU

Having worked with many groups for many years

NFU

with these powerful tools, we know how effective

they are in analyzing what to change and how to

Most

Least

change it. However, we also know that using the

Powerful

Powerful

PIC/NIC ANALYSIS® A PERFORMER’S EYE VIEW

123

2. Do not assume that you must match

antecedents and consequences. Many

“Positive or negative consequences are

antecedents and consequences may exist

determined by the performer’s history

for instances or patterns of behavior but

of reinforcement, not by whether you

like the particular consequence. ”

have no relationship to one another except

that they surround the behavior that

occurs. It will limit your thinking about the

5. Keep your focus on the behavior you have

relationship if you try to link particular

identified. For example, if you start analyz-

consequences back to the antecedent condi-

ing smoking or being on time and then you

tions that triggered the specific behaviors.

switch to being tardy, you have changed the

And, in reality, certain consequences usually

criteria of the analysis. To understand being

are linked to several, or all, antecedents (for

tardy you need to do a different analysis.

example, tastes good is a certain consequence

Often people do just that, working to get a

for smoking regardless of the antecedent).

better handle on what is occurring through

The consequence you are examining links

a more comprehensive problem-solving

back ONLY to the targeted behavior.

approach. If that is the case, these same

3. The timing for immediate is now, not future,

tools apply and can add significant value to

not in a few minutes. When using the

the final outcomes of any problem-solving

PIC/NIC Analysis® tool, immediate means

strategy but must be used in a clear and sys-

while the behavior is occurring. Future refers

tematic manner to have real predictive

to consequences that occur when the person

power.

is not engaged in the behavior in question.

6. Most important of all, we are walking in the

For example, one of the consequences of

performer’s shoes when doing a PIC/NIC

drinking too much alcohol is a hangover. It

Analysis®. Please remember whose behavior

may occur hours after the person has had the

you are examining and whose consequences

last drink. However, the taste, smell, and

you are evaluating. Positive or negative con-

feeling that one gets while he is drinking are

sequences are determined by the per-

all immediate.

former’s history of reinforcement, not by

4. The probability of a response (C/U) hap-

whether you like the particular conse-

pening does not have to be 100 percent

quence and thus assume he/she should feel

since we cannot predict the pattern or the

the same. A common mistake is to get

response for all conditions. Sometimes a

through the whole analysis and find the dis-

slight change in warmth or cold, a slight

cussion has switched to placing our own

change in who is present, or other subtle

value judgments on the consequences that

factors will reduce the likelihood of

we think should be positive or negative,

absolute prediction. To use the certain cri-

based on our histories of reinforcement.

terion correctly, please consider whether the

Again, using the above example, most

consequence for the particular behavior is a

smokers would report that a cigarette tastes

high probability event—based on what you

good but many nonsmokers would not

know or have seen.

agree. The lens we must keep wearing when

CHAPTER TEN

124

examining human behavior—the lens of

standing of consequences. As you might expect,

objectivity—requires us to analyze things

such a simple concept as the PIC/NIC Analysis®,

from the perspective of the performer.

although helpful in conceptualizing the problem,

leaves a lot of detail to be considered in determin-

Summary

ing the most efficient and effective way to change

The foregoing PIC/NIC Analysis® may not be

behavior.

scientific, but it is a useful way to understand why

people do what they do, and to some extent what

must be done to change what they do. By analyz-

ing in detail likely positive and negative rein-

Use the QR CODE reader on your smart-

forcers, how delayed they might be (making them

phone to learn more about:

less effective) and how probable they are (affect-

Article: “Healthy Habits for the Elderly”

ing their power to motivate), we begin to realize

that there is a great deal of nuance in the under-

125

11

Antecedents = Precision Prompts

signals are antecedents for behaviors related to

“An antecedent for our purposes is

driving safely and efficiently. They tell us to slow

defined as a deliberate attempt to

down, stop, or move over. Instruction booklets

change or maintain behavior by pre-

with new products are antecedents for the assem-

senting some sort of stimulus before

bly and/or safe, efficient use and enjoyment of

the behavior occurs. ”

the product. Hearing the weather report on the

radio is an antecedent for the way we dress for

the day or for the plans we make.

What Are Antecedents?

Although in business, antecedents are mainly

Once you have graphed your baseline data and

things that we see and hear, an antecedent can

completed an ABC and PIC/NIC Analysis® it is

also be anything that we also feel, smell, or taste.

time to think about how you will prompt the

We see a book with a title that interests us and we

behavior that you desire. The world is full of

pick it up, feel a soft fabric and we continue to

“antecedents,” prompts to engage in certain

stroke it, hear someone call our name, and we

behaviors for safety (Warning School Zone:

turn and look. If you bite into something that

Speed Limit is 25) or comfort (Rest Area One

tastes really good, you might eat the whole thing.

Mile Ahead). Public service announcements

Figure 11.1 shows some antecedents and the per-

remind us “Don’t Mess with Texas” “Get your flu

formances they influence.

shot now” or “Go Green.”

In behavior analysis and Performance

Figure 11.1 Examples of Antecedents and

Management, an antecedent is anything a person

Their Effects

senses (sees, hears, tastes, feels or smells) that con-

ANTECEDENT

(PERFORMANCE)

tains information about behavioral consequences

and increases the likelihood that they will

prompts you to

respond. It may tell us that a consequence is or is

Pick up receiver

and talk

1. Phone ring

not present; or it may tell us that it is usually

present, but not always. Of course, this informa-

tells you to

Put on safety glasses

2. Safety sign

tion will affect our behavior. Although the

research on antecedents is extensive and complex,

encourages you to

we are going to limit our discussion to any delib-

3. Suggestion box

Drop in a suggestion

erate attempt to change or maintain behavior by

How to handle

employee

presenting some sort of stimulus before the

tells managers

issues

4. Policy manual

behavior occurs. For example, traffic signs and

CHAPTeR eLeVeN

126

common antecedents used in business are such

“The words stimulate, signal, cue,

things as corporate communication documents,

prompt, trigger, encourage, and moti-

goals, objectives, priorities, accountabilities, job

vate al refer to antecedent-related

descriptions, policies, procedures, standards, and

events. ”

rules. All of these are intended to communicate

what is appropriate behavior in the workplace.

Antecedents don’t literally cause behavior,

All resources provided to help people do their

however. If they did, everyone who heard the

jobs are considered antecedents. Tools, raw mate-

telephone ring would pick up the receiver; every-

rials, and workplace conditions such as tempera-

one who saw a Stop sign would hit the brakes;

ture, lighting, and housekeeping can affect the

everyone who saw a Handicapped Parking Only

way you work although they do not cue any spe-

sign would look for another place to park. Words

cific behaviors and therefore are technically not

like beg, invite, persuade, and cajole refer to verbal antecedents. All of these set the stage for a work

behavior intended to get the behavior of another

behavior or performance to take place, but they

to occur. As such, they are antecedents since they

do not guarantee that it will occur. People can

come before the desired behavior. However, we

have a wonderful work place with the most mod-

do not do everything we are begged to do, do not

ern equipment and still not do the job as it was

accept every invitation extended to us, nor does

intended to be done.

every sales pitch we hear persuade us. As you will

Instruction and information related to poli-

see, an understanding of the simple fact that

cies, procedures, and processes are probably the

antecedents alone don’t cause behavior can lead

most common antecedents used by business to

to an efficient design of business processes and

change or improve performance. Indeed, busi-

will often lead to the solution of problems fre-

nesses spend billions of dollars every year on

quently viewed as intractable.

these activities. Seminars, workshops, motivation-

Although in Applied Behavior Analysis the

al speeches, films, video tapes, audiotapes, and

word antecedent has a very precise meaning, there

textbooks are all intended to prompt perform-

are other words in our everyday language with

ance of one kind or another.

similar meanings. The words stimulate, signal,

When managers tell employees to do some-

cue, prompt, trigger, encourage, and motivate all thing and to do it in a particular way, they are

refer to antecedent-related events. All of these

using antecedents. Managers may give this direc-

common words have connotations that do not

tion face-to-face, by phone, or in writing. In these

communicate the precision needed in behavior

cases, the information being given is an attempt

analytic research or the precision needed to ana-

to influence some performance and is given prior

lyze and solve organizational problems.

to the performance.

Sometimes, written directions or instructions

Examples of Antecedents in

appear in checklists, directories, flowcharts,

Business and Industry

equipment labels, or operating manuals. Signs

Because every behavior has an antecedent, they

and color-coding are frequently used. Such

surround us all the time. In businesses we design

antecedents are referred to as job aids.

the workplace to prompt correct or desirable

Much effort is expended in the workplace pro-

responses and performances. Some of the more

viding the proper job aids; indeed, it has become

ANTeCeDeNTS = PReCISION PROMPTS

127

a science. Human factors researchers study the

proper design of work environments, machinery

“Advertising uses antecedents to influ-

and equipment and how to effectively arrange it

ence behavior. Packaging, commer-

to facilitate performance (Norman, 2002).

cials, and direct mail campaigns al

indirectly manipulate antecedents to

Control panels are designed so that switches are

encourage purchasing. ”

easy to reach, and computer programs are

designed to be user friendly. Such job aids can be

a very cost-effective alternative to training, under

attempts at consequence management that ask

certain circumstances. All of this work attempts

the performer to say positive phrases to himself

to control work performance through

or repeat positive statements out loud. These

antecedents.

approaches may also include suggestions that the

Advertising uses antecedents to influence

performer ask for a coaching partner to provide

behavior. Packaging, commercials, and direct mail

reinforcement to the person when the behavior

campaigns all indirectly manipulate antecedents

occurs, with phrases like, “Good work,” “You per-

to encourage purchasing.

sisted in spite of your fears,” and so on. Again, as

The behavior of other people can also be an

with any change program, the performer can set

antecedent. The actions of fellow employees and

up good antecedent and consequence manage-

the boss influence the actions of other employees.

ment, where behavior has a chance to be observed

If older employees complain, new employees may

and commented on by others, which almost

soon start complaining. If the boss comes to work

always produces the quicker and more reliable

early and leaves late, some aspiring young man-

change.

agers may do the same. Thankfully, people do not

To use antecedents effectively, you need to

model all of the behavior they see in the work-

know the following:

place.

1. An antecedent is most effective when it

Self-Managed Antecedents

immediately precedes behavior. It is obvi-

Things that you say to yourself, physical states,

ous to most people that reminding some-

and mental images, often facilitate behavior.

one just prior to doing something is more

These include words or phrases we say to our-

effective than when there is a long delay.

selves such as I can’t do it; that reminds me; I’m

Being reminded to take an umbrella

hungry; This is hard, and so on. Feelings of

because it might rain will be more effective

hunger, stress, frustration, happiness, and accom-

if told as you are walking out the door

plishment may be antecedents to behavior. The

rather than when you first get out of bed. A

visualization techniques that have become popu-

Sign-out sign in the office lobby may not be

lar, particularly in sports, are often an antecedent

effective as an antecedent for getting the

approach to changing performance. The positive-

person to sign out because of the length of

thinking approaches of authors (Carnegie, 1936;

the interval between signing in and signing

Peale, 1952; “Og” Mandino, 1968; Stone, 1962)

out, especially if the person does not pass in

attempt to change behavior through antecedents

front of the sign when leaving. In a study

in the form of advice. Most of the work of cur-

on improving attendance in a temporary

rent positive-thinking approaches now include

employment agency, being reminded of the

CHAPTeR eLeVeN

128

job assignment on the day before, con-

he asks a question. This disturbs him

tributed to 100 percent attendance com-

because he feels that a friendly and relaxed

pared with only 93.6 percent previously

atmosphere where employees are free to ask

when they were prompted a week ahead of

questions and make suggestions is associat-

the assignment (Segal & Smithwick, 1995).

ed with high-quality performance. Why do

the employees act this way?

2. The higher the probability that an

The answer may be found in the fact

antecedent will signal a consequence that

that the previous manager, a stern and no-

is valuable or meaningful to the person,

nonsense person, always chewed out

the more effective it will be. A red-hot

employees for goofing off when he saw

stove is a very effective antecedent for

them talking or laughing at their desks. His

avoiding touching it. The correlation

presence was an SD for getting busy (SD sig-

between touching a red-hot stove and get-

nals that reinforcement—be it positive or

ting burned is as close to 100 percent as you

negative—is available.) By getting busy they

can get. Hearing rain forecast for the day

avoided the boss’s wrath—a negative rein-

may not be an effective antecedent for car-

forcer. It may take some time before the

rying an umbrella, because on many occa-

employees will be comfortable around the

sions when rain is forecast, it does not rain.

new boss. In other words, it will take a

The National Hockey League (NHL) set-

number of pairings of his presence with

tled a labor dispute (2004) by making a

consequences different from those given by

final, final, final, final offer. The owners

the previous supervisor.

should not have been surprised when the

A manager’s presence can also be an S∆.

players rejected their 2012 offer.

As much as an Out of Order sign on a

When people learn which

vending machine signals that the reinforcer

elements/stimuli in their environment pre-

is not available, the manager’s presence can

dict desired consequences and which ones

also signal the end of the availability of cer-

do not, they have learned stimulus discrimi-

tain reinforcers. An example might be in a

nation. If you read basic research and texts

telemarketing call center when the supervi-

in behavior analysis, you will learn that this

sors leave to attend a meeting. While they

process consists of two parts: SD (pro-

are out, some of the workers might engage

nounced ess dee) and S∆ (pronounced ess

in texting, conversation or other off-task

delta). SD tells you that reinforcement is

behaviors such as surfing the web on their

available. S∆ tells you that positive reinforce-

iPads or using their cell phones. When the

ment (a desired consequence) is not avail-

supervisors return, their presence signals

able. A green traffic light tells you that safe

that the reinforcers for these behaviors are

and legal travel is available (SD). A red traf-

likely to be punished with disapproval. If

fic light tells you that safe and legal travel is

you are deeply engaged in some task and are

not available (S∆).

told, “Lights out! Time to go home!” this is

Consider the case of a new manager who

also an S∆, because the reinforcers involved

walks around in the office and notices that

in the work you were doing are no longer

employees do not look at him as he

available to you.

approaches, and they talk to him only when

ANTeCeDeNTS = PReCISION PROMPTS

129

For someone who wants overtime pay, a

backlog of work is an SD for working over-

time. By the same token, an absence of

backlog is an S∆ for working overtime. For a

salesperson, a high backorder position and

an inability to ship product may very well

be an S∆ for selling behaviors. When people

are reinforced based on their productivity, a

lack of work will also be an S∆.

3. The effectiveness of an antecedent may be

measured by the correlation between the

antecedent and the behavioral conse-

quence that is associated with it. When

the correlation between the antecedent and

the consequence is high, the behavior reli-

ably occurs in the presence of the

“Hey, guys, can I come in?”

antecedent; when the correlation is low, the

behavior will often appear to be unaffected

(Reprinted by permission: Tribune Media Services.)

by that particular antecedent. Danger!

High Voltage! signs practically always

rules in a civilized society that make it pos-

prompt the desired response from everyone

sible for us all to live together peacefully.

who can read and especially from those

When we consider consequences from a

who have been shocked by 220 voltage and

macro-level (death from electrical shock,

have lived to tell about it. “Speed Limit 55

winning a bet in gambling, or meeting our

mph ” signs have a low compliance rate

objectives), most of us take steps to maxi-

except for those who have been given tick-

mize our potential for having a positive out-

ets in this particular speed zone; those who

come. As a result of our experience, we for-

have not been stopped may continue to

mulate “rules” that increase the probability

ignore the signs.

of success in the future. Those who can ver-

balize the rule, “I need to make about 50

4. The antecedents we create to prompt cer-

calls before I make a sale” are more likely to

tain behaviors, where we do not want to

keep up the calling than those who are not

wait for actual experience of consequences

aware of the intermittent schedule of rein-

to create them, produce “rule-governed

forcement. (See Chapter 16)

behavior.” Rules help us learn more effi-

Another example might be those who

ciently. Where we follow guidelines, such as

are exiled for expressing their political

maxims or policies, we come into contact

beliefs and who will not give up the right to

with consequences for our behavior with

speak their mind generally have rules such

fewer unreinforced responses than we

as Thomas Jefferson’s, “In matters of princi-

would otherwise. We also follow certain

ple, stand like a rock . . .” even when beaten

CHAPTeR eLeVeN

130

in prison, the very act of being beaten

sion before taking on a new task, you

might strengthen their stand since it is a

should not jump to the conclusion that the

clear indication that they are indeed being

individual is not an initiator or is insecure.

true to principle—a positive reinforcer. We

Older employees may have told him,

know of other acts that are self-destructive

“Remember, when you go to work for Bob,

but that persist in spite of dire conse-

always wait for permission before starting

quences. Anyone acting on a set of beliefs

something new.” Changing that simple act

about the most effective way to achieve

may only require frequent reinforcement

their most important reinforcers, such as a

for initiating behaviors.

martyr, demonstrates rules-governed behav-

Antecedents can trigger long-term histo-

ior. There is a difference between the rules

ries of reinforcement that make it possible

of an organization and rules-governed

for many actions to occur over and over

behavior. An organization’s rules may not

without the manager doing anything active

produce reinforcement for following rules.

to reinforce the actions. Behaviors related

We see some people who constantly violate

to codes of conduct, ethics, and morality

safety rules, and others who follow rules to

have to do with histories of reinforcement

a fault. Unless you know how rule-governed

with following rules. A person with such a

behaviors are developed, you may find

history acts using the following code: Give

employees strictly following rules when

me a rule and I will find reinforcement in

they should bend them and flexible when

following it. My history tells me that, rules

they should adhere to them.

will eventually lead to good things later.

Here is a good example. To board at a

Never assume from what we have said

small airport, passengers were told they had

about its generally short-term effect that an

to stay between the yellow lines which

antecedent is a trivial thing. It is sometimes

marked the path to the plane, but a recent

the essential method for triggering behavior

downpour left a big puddle in the middle of

that we might label as conscientious or as

the designated path. The gate agent pitched

rule-driven. Capitalize on positive rule-driv-

a fit when people stepped outside the lines

en behaviors in your employees and compli-

to avoid the inch-deep puddle. In doing so,

ment them on their work ethic, their per-

she upset the passengers with her tantrum

sistence or other behaviors that seem to

and created ill will toward the airlines.

occur without shaping. Those comments

Being flexible, while satisfying safety con-

about desired qualities that you observe will

cerns, would have benefited the airline and

only increase the span of time the rule, in

the passengers.

spite of lean schedules of reinforcement,

Others may characterize many behaviors

will sustain persistent and valuable patterns

that we see in the workplace as representing

of behavior.

insecurity, compulsivity, or being meticu-

lous to a fault, but they are really describing

5. Antecedents that are poorly correlated

nothing more than behaviors that are rule-

with consequences have short-term

governed. For example, if an employee

effects. When an antecedent prompts a

won’t make a move without asking permis-

behavior and the anticipated consequence

ANTeCeDeNTS = PReCISION PROMPTS

131

does not occur, the antecedent will quickly

cleans pretty much like the old Soap-O, no

lose its power or charge necessary to

matter what the advertisers call it. While

prompt the behavior. Antecedents might

advertising is an important antecedent to

get a behavior started, but only conse-

persuading a customer to try a product, in

quences maintain behavior.

the end, no amount of clever advertising

Job descriptions are notorious for their

can save a product that does not provide

short-lived effect on what people actually

reinforcement for the buyer.

do on the job. Many employees learn very

For the reason stated above, novel

quickly that the behavior stated in their job

antecedents get responses where the usual

description and the ones that produce posi-

signs, signals, and rhetoric get none. The

tive consequences for them on the job are

first-time visitor to Pennsylvania may be

very different.

slowed by the speed limit signs because they

Many of us have seen cars at the airport

show the amount of the fine: 60-65 MPH

filling all available parking spaces when

= $75, 65-70 MPH = $90, and so on. At a

there are signs everywhere: Parking for

South Carolina resort, the speed limit signs

Loading and Unloading of Passengers Only.

have unusual (therefore, attention-grab-

Unattended Cars Will Be Towed. The

bing) speeds, like 34 and 46 MPH. A

experience of these drivers is that, despite

Chili’s restaurant placed a sign at the

the sign’s message, they have never been

entrance to the parking area: Cars Illegally

towed, so they ignore the sign.

Parked Will Be Crushed and Melted.

Just for Laughs, a popular TV show capi-

talized on the fact that you can get people

“Antecedents might get a behavior

started, but only consequences main-

tain behavior. ”

Use the QR CODE reader on your smart-

phone to learn more about:

Just for Laughs - a popular TV show

Some advertisers have solved this prob-

lem by frequently changing antecedents. In

other words, if an antecedent has a short

to do strange things when they are con-

life or effect, then by using several different

fronted with a situation where they do not

antecedents, each with short effects, you

know the consequences. However, as novel

can achieve a longer effect. But, of course,

and clever as some antecedents are, they still

customers eventually catch on.

are only as effective as the consequences

When Soap-O starts lagging in sales, we

that are associated with them (Would you

see New Soap-O. When New Soap-O sales

believe that people still park in the No

begin to decline, then we see New Blue

Parking places at Chili’s, even at the risk of

Soap-O. Then we get Improved New Blue

having their cars crushed and melted into a

Soap-O. This continues until the adjectives

bowl of chili?)

run out or customers realize that, in spite of

The fact that many antecedents have

all the improvements, the new Soap-O

short-term effects does not make them bad

CHAPTeR eLeVeN

132

or a waste of time. If an antecedent gets a

effective communications always begin by

behavior to occur one time, it has done its

defining first what you want the listener to

job. That is all that can be expected of it.

do and second what will happen if they do

Whether the behavior occurs again will be

it. Then the communications plan is all

determined for the most part by the conse-

about arranging the antecedents that people

quences associated with it.

need to be successful at the task(s) you want

them to do. This allows you to establish

6. Communication is about antecedent and

strong antecedent/consequence pairings.

consequence pairing. A HR VP recently

said, “We did a morale survey and the

Characteristics of Antecedents

results came back indicating that employees

1. Antecedents come before the behavior.

did not understand what upper-level man-

While at this point in the chapter it should

agement wanted them to do. When the

be obvious that antecedents come before

president got the results, he assembled

behavior, many people confuse antecedents

everybody in the company cafeteria and

with consequences. A common example is a

said, ‘Let me tell you one more time what

threat: “If you don’t shape up by the end of

our direction is.’ The president completely

the month, you can look for another job!”

misunderstood what people were saying.

That sounds like a consequence, but in real-

They heard his words, but what they saw

ity it is an antecedent for improved job per-

happening (experienced) was different. Of

formance. As such it has only limited effect

course, this confused employees.”

on improved job performance. While the

Management commonly will issue a

emotion that usually accompanies such

directive indicating something like “Quality

statements makes them sound powerful, the

is Number One,” but when faced with a

consequence that follows determines

shipping deadline may say, “We really need

whether threats are effective, not how loud

to get this out today, so let it go this time. It

or long those threats are. President

is really not that bad, but next time we will

Theodore Roosevelt (1858-1919) said it

not ship it unless it is perfect because quality

well, “Speak softly and carry a big stick.” He

is what is important.” Of course, the prob-

obviously understood the relative power of

lem is that next time turns into this time

antecedents and consequences.

over and over. What is being communicated

here? It is certainly not that quality is

2. Antecedents communicate information.

important! It is more likely that the message

One aspect of an effective antecedent is

received is, “Quality is important when it

that it communicates information about

suits our purpose.” Or the received message

behavior and its consequences. Antecedents

might be: “You can’t trust what manage-

may tell someone what to do, when to do it,

ment says.” Communication is validated

and often, how to do it. A sign saying

against consequences that people experi-

“Persons in This Area Must Wear Safety

ence. Good communication has high

Glasses at All Times” states the desired

antecedent/consequence integrity. Poor

behavior. Another sign may say “Ring Bell

communication is evidence of low integrity.

for Service.” This antecedent communicates

ANTeCeDeNTS = PReCISION PROMPTS

133

information about both the desired behav-

none. To test the effectiveness of the rein-

ior and its consequences. An automobile

forcement, he varied the conditions under

gas gauge with the needle pointing to the e

which they were paid. During different

tells us that continuing to drive without

phases of the experiment, all of the students

getting gasoline will result in negative con-

were paid for either quality (accuracy of

sequences. However, the amount of infor-

their work) or quantity (speed with which

mation an antecedent contains is not nearly

they keypunched cards).

as important as its relationship to conse-

The results showed that the announce-

quences. We usually learn more from the

ments and the plea for quality had virtually

consequences of our actions than we do

no effect on the level of quality. On the

from the antecedents.

other hand, their performance changed as

Johnson (1975) conducted a study to

the reinforcement changed. When they

examine the relative effect of antecedents

asked for quality but paid for quantity, they

and reinforcement in producing stable per-

got an increase in quantity and a decrease in

formance change. In the initial part of the

quality. When they paid for quality, they

study, he reinforced 108 business college

got an increase in quality but no correspon-

students for high-speed performance on a

ding increase in productivity. In other

keypunch task. All subjects were subse-

words, the experimenters got what they

quently subjected to four experimental con-

paid for, not what they asked for. Johnson

ditions.

concludes:

To test the effectiveness of antecedents

on performance, he exposed half the stu-

. . . from the current experiment it

appears that stimulus control procedures

dents to persuasive influences such as a plea

such as announcements (publicity cam-

for increases in quality and an announce-

paigns) or verbal attitude influences (Zero

ment that their pay would be heavily influ-

Defect [ZD] lectures and workshops) are

enced by quality. The other half received

relatively ineffective in achieving changes

Reprinted with special permission, King Features Syndicate, Inc.

CHAPTeR eLeVeN

134

in performance quality unless they are

employee is continually late to meetings

backed up by appropriate environmental

(with no negative consequences), others will

changes. Apparently it takes new environ-

tend to be less punctual. If they see risk-tak-

mental outcomes to overcome old habits at

ing being punished, they will take few risks.

the workplace.

Consequences of one’s own behavior also

This, of course, suggests that organiza-

act as an antecedent for additional behav-

tions might prudently forego the expendi-

iors. This effect is probably best illustrated

ture of time and money that typically

attends the initiation of a new ZD pro-

by a once popular potato chip commercial

gram and concentrate instead on making

with the tag line “Betcha can’t eat just one!”

meaningful changes in the outcomes asso-

The taste of each chip (a consequence of

ciated with work in order to encourage

eating) was an antecedent for the behavior

high quality performance.

of eating another one.

Consistent with the material in this

chapter, the results indicate that

“To increase trust, you don’t have to go

antecedents are relatively ineffective if they

on a wilderness exercise or attend a

oppose a previous reinforcement history or

seminar; you only have to do what you

say you are going to do. ”

if they conflict with an active reinforcer.

The findings are also consistent with other

research in demonstrating that reinforce-

ment control is necessary for performance

Trust and Respect

change. Finally, the study indicates that,

Trust is measured behaviorally by the correlation

under some circumstances, reinforcement

between antecedents and consequences. In other

alone may be sufficient to produce perform-

words, those who always do what they say are

ance change.

trusted; those who don’t are not trusted. This is

why carefully choosing the antecedents that you

3. Consequences may also be antecedents. A

want to use to prompt performance is important.

consequence to one person may be an

An un-kept promise by a manager causes the asso-

antecedent to another. For example, when

ciate not only to distrust the manager but the

we see someone do something that leads to

company as well. A 2002 survey by The World

a positive consequence, this may increase

economic Forum found that not doing what one

the likelihood that we will behave similarly

says is chosen by over 40 percent of citizens as the

under the same or similar circumstances.

factor that most leads them to distrust a leader.

Advertising, of course, tries to take

To increase trust, you don’t have to go on a

advantage of this by showing successful peo-

wilderness exercise or attend a seminar; you only

ple using a particular product, hoping that it

have to do what you say you are going to do.

will be an effective antecedent for the

The fact that communication is described

behavior of purchasing the product.

often as an issue of significant concern in most

employee performance is constantly affect-

organizations is because employees have found

ed by what people see being rewarded and

that much of what has been communicated has

punished at work. If they see hard work pay

not happened. “This is the last time we are going

off they will probably work harder. If one

ANTeCeDeNTS = PReCISION PROMPTS

135

to downsize.” “This program is not flavor-of-the-

deal of electricity, a significant cost in the making

month.” “This new process will make your job

of steel. Rumors began circulating about the

easier.” These and other similar management

plant being closed shortly after the company

utterances have, unfortunately, in many cases

bought a new plant. The rumors were so rampant

turned out not to be true. Most companies have

that an executive from corporate headquarters

elaborate designs to roll out a good strategy of

came to the plant to reassure the employees.

communication. Leaders and their direct reports

“This plant will not be closed as long as it is prof-

spend large sums of money and time on what to

itable,” he said. That year the old plant won a

say and when to say it. While planning well for

profitability contest, beating out the new plant.

what is said and done by the leadership is impor-

Guess what? A year later they closed the old plant

tant, all too often the implied consequences of

anyway.

what is said (promises made) is not fully

explored. The difficulty of getting buy-in for new

corporate initiatives, which are popular now, is a

“Leaders who overtly and realistical y

link employees’ efforts to future positive

direct result of the fact that more often than not

outcomes are often inspirational and

what people have been told has not come to pass.

are usual y considered trustworthy. ”

The process of getting buy-in involves employees

having assurance that what they have been told

will actually happen, building trust through con-

Regardless of the reasons for promising that

tiguity of antecedents and consequences is essen-

the plant would not close and then doing the

tial for company morale.

opposite, it undoubtedly caused a significant dis-

A number of years ago, a plant in Ohio made

trust of management. How do you think other

the news when the plant closed and a couple of

employees in the company responded to future

hundred employees showed up for work the next

reassurances from upper management?

day. even though they had been told that the

It’s a fact that management communication

plant was closing, they came to work anyway.

would improve if management actually said less

This doesn’t make sense to most people until they

and made sure that what they said came to pass.

know that threats of closing the plant, if perform-

Few managers actually say things that they don’t

ance did not improve, had been made repeatedly

mean, but regardless of whether what actually

for several years.

happens is in or out of management control, it

affects the correlation of antecedents and conse-

quences and thereby the level of trust.

“A point worth mentioning is that

A point worth mentioning is that respect

respect grows out of trust. When what

grows out of trust. When what you say happens,

you say happens, people respect your

people respect your knowledge and your ability.

knowledge and your ability. You earn

You earn respect by maintaining trust.

respect by maintaining trust. ”

Verbal Behavior and its Impact on Trust

An exactly opposite example occurred at a

An important task of leaders is to provide vision,

Pennsylvania steel mill that was built around the

hope, and inspiration for those whose behavior

turn of the century. The plant consumed a great

will make the greatest impact on the organization’s

CHAPTeR eLeVeN

136

success. This could be interpreted as cheering the

The leader’s verbal behavior only functions as

troops on or keeping their spirits high. The

an MO when her words are trusted. This does

leader’s verbal behavior can be a motivating oper-

not mean that she has to ensure that each individ-

ation, an event that, at least temporarily, changes

ual experiences personal consequences consistent

the value or effectiveness of a reinforcer. In other

with those promised by her communications. It

words, a leader’s verbal behavior should make the

does mean, however, that the leader has a respon-

reinforcers for goal-directed behaviors more valu-

sibility for coordinating her messages with

able to the performers. This altered value of the

expected outcomes and managing her direct

reinforcer is typically of short duration. However,

reports so that they make good on her promises

when the leader is trusted, her words are likely to

to the extent possible. Leaders who overtly and

function as an MO over a longer period of time,

realistically link employees’ efforts to future posi-

thus driving higher rates of goal-directed behav-

tive outcomes are often inspirational and are usu-

iors.

ally considered trustworthy. Leaders who people

When talking about vision, some leaders

think are not honest or ethical are not considered

destroy the trust they depend on so much.

Usually, any disparity between their messages and

Figure 11.2 Gal up (2013)

reality is unintentional, but leaders also react to

consequences. As with everyone, they are rein-

Please tell me how you would rate the honesty and

forced when they tell people things they want to

ethical standards of people in these different fields -

very high, high, average, low, or very low?

hear and are punished when they tell people

Nov. 26-29, 2012

things they do not want to hear. Thus, there is a

% Very high/High

natural tendency to talk about what they wish the

future would be rather than what they really

Nurses

Pharmacists

believe it to be. At times, leaders are encouraged

Medical doctors

to be optimistic even when the facts do not sup-

Engineers

Dentists

port that vision (As in the case of enron

Police officers

Corporation where Kenneth Lay, the CeO, was

College teachers

advising employees to hold on to their stock even

Clergy

Psychiatrists

as he was selling his and reaping millions). Yet,

Chiropractors

ultimately, trust depends on the leader’s accuracy,

Bankers

Journalists

not her optimism.

Business executives

Sometimes trust is lessened because of what is

State governors

implied rather than what is stated. When the

Lawyers

Insurance salespeople

leader states, “Your hard work will create financial

Senators

stability for the company,” for example, there is an

HMO Managers

Stockbrokers

implied contingency: You will benefit financially

Advertising practitioners

if you do so. Usually, the leader knows there is

Members of Congress

more to financial stability than just hard work.

Car salespeople

When jobs are lost or salaries frozen, others lose

GALLUP

trust in the leader and in the organization—trust

© 2013 Gallup, Inc. All rights reserved. The content is used with that is essential to the organization’s success.

permission; however Gallup retains all rights of republication.

ANTeCeDeNTS = PReCISION PROMPTS

137

trustworthy no matter what they say. Figure 11.2

or accidental. In corporate settings executives,

is a Gallup poll (2013) showing how different

managers and supervisors use policies and proce-

professions rate on honesty and ethical behavior.

dures manuals, rules and job aids to cue and

If you are in a profession that is low on that list,

prompt appropriate safety and production behav-

you start at a disadvantage with customers and

iors. Antecedents that cue reinforcer availability

employees no matter how trustworthy you are

are more effective than those that do not; they

personally; therefore you must be particularly

can be used to enhance rule-governed behavior

careful in how you use words.

where there is not enough time for people to have

An area of behavioral skill for leaders and

their behavior contingency-shaped. If the stimu-

managers at all levels is to learn how to use words

lus immediately precedes the opportunity to

that more accurately predict potential conse-

respond it is more likely to be effective. Using

quences. If you find you have difficulty in this

antecedents to describe a future that employees

area, please seek out others to help you hone your

can believe in and which is followed consistently

communication skills. Verbal behavior is a core

by reinforcing consequences is a way to build

skill area for good antecedent management by

trust and respect.

leaders at all levels.

Summary

Use the QR CODE reader on your smart-

Antecedents are stimuli in the environment that

phone to learn more about:

(because of their previous association with conse-

Article: WSJ - “Who Do You Trust?”

quences) increase the likelihood that a certain

response will occur. Antecedents can be planned

139

12

Consequences That Increase Behavior:

Positive and Negative Reinforcers

event may be an action or an object. It could be

“ Positive is an arithmetic term that

an event such as telling someone that you like

denotes that something was added.

what they are doing or it may include the presen-

You cannot tel if something is a posi-

tation of something tangible like food, money, et

tive reinforcer based on one applica-

cetera. Such events have two characteristics:

tion. The individual must repeat the

something is added to the environment and the

behavior before you know that the addi-

performer works to get it again under the same or

tion causes behavior. ”

similar circumstances. These events are called pos-

itive reinforcers. Positive is an arithmetic term that Reinforcers vs. Reinforcement

denotes that something was added. You cannot

A reinforcer is any event, action, or object that has tell if something is a positive reinforcer based on

increased the frequency of a behavior. The term

one application. The individual must repeat the

reinforcement describes any procedure by which

behavior before you know that the addition caus-

those events or objects increase behavior. The

es behavior.

emphasis with reinforcement is on the frequency

The second situation is where the behavior

or direction of the behavior rather than the event

increases to terminate an aversive event or to

that produced it. This allows us to consider

reduce the intensity of an aversive event. This can

behavior in an analytical fashion without deter-

be accomplished by behavior that either stops the

mining the desirability or the problematic nature

aversive event (as in terminating a blaring, car

of either the action or of the event that produced

alarm), by behavior that allows the performer to

it. We only pay attention to whether the behavior

escape the aversive event (as in leaving the room

increased.

in the middle of an argument), or by avoiding the

Once we know that reinforcement has taken

situation altogether (such as slowing down when

place (the behavior has increased), we begin ana-

you see a police car ahead in order to avoid a

lyzing the specific conditions that produced it.

speeding ticket). The events that are terminated

We first examine the reinforcer, or the specific

or avoided by behavior are called negative rein-

stimulus that caused the behavior to increase.

forcers. Once again, negative is an arithmetic term When we do so, we find two very different events

rather than a value statement. Negative denotes

that define the reinforcers.

that something is subtracted from the environ-

First, we find a situation where the behavior

ment (the aversive stimulus is terminated or

produces some event for the performer. The

avoided), not that it is undesirable.

CHAPTER TWELVE

140

the food you get will be a positive reinforcer. In

“A reinforcer is a consequence that

other words, we seek positive reinforcers and we

increases the probability that a behav-

act to remove ourselves from negative reinforcers.

ior wil be repeated. ”

It should be repeated that positive and negative in

this context do not have the connotation of good

and bad, but relate to the fact that in positive

Negative reinforcement produces response

reinforcement a valued consequence is added. In

patterns we call escape and avoidance. Avoidance negative reinforcement an aversive consequence is

responses prevent the aversive event from being

subtracted, i.e. escaped or avoided. In much of

presented or lessen the event’s intensity. Escape

the research by applied behavior analysts you will

distances the performer from the event altogeth-

see the abbreviation SR+ rather than R+ for posi-

er. We frequently deliver positive reinforcers to

tive reinforcement and SR- or S- to indicate nega-

others for behaviors we value. Negative rein-

tive reinforcement. They refer to the same things.

forcers, however, are not delivered. It is an incor-

rect use of the term to say that you negatively

reinforced someone or some behavior. That

“If a behavior is consistently fol owed

would require you to either cease administering

by a particular consequence but the

frequency of the behavior does not

some punisher or penalty when the person per-

increase, then we cannot say that

forms the correct response or it would require

the consequence is a reinforcer. ”

you to create an aversive condition that the per-

former will seek to escape or avoid. It is more

appropriate to state that the behavior was nega-

The Distinguishing Characteristics

tively reinforced.

of Reinforcers

What is a Reinforcer?

1. A reinforcer follows behavior. A reinforcer

A reinforcer, then, is a consequence that increases

can never precede a behavior: it always fol-

the probability that a behavior will be repeated. A

lows it. Although this seems a simple con-

positive reinforcer (abbreviated R+) is any conse-

cept, it is sometimes difficult to recognize

quence that follows a behavior and increases the

in practice. For example, giving children

likelihood of the behavior occurring again. A neg-

candy if they promise to study is not a rein-

ative reinforcer (abbreviated R-) is any event,

action, or object (potential punisher) that causes

forcer for studying but for promising to

a person to increase behavior in order to escape it

study. A reinforcer for studying would only

or to avoid it. We put up an umbrella to escape or

be given during studying or after the study-

avoid the rain; we take aspirin to escape a

ing had actually occurred. In analyzing

headache and hurry to a meeting to avoid being

behavior, you must first determine the

late. The rain, the pain, and criticism from the

behavior with which you are concerned and

boss and peers for being late are all negative rein-

then look at what follows it. If the behavior

forcers. Putting up the umbrella, taking the medi-

increases, the consequence that followed it

cine, and hurrying to a meeting are all behaviors

was a reinforcer. This practice of examining

that are being negatively reinforced. On the other

the relation between behavior and its out-

hand, if you go back to a country buffet for sec-

come is the most effective way to discover

onds on warm biscuits, yams and butter beans,

why the behavior occurred (as opposed to

CONSEQUENCES THAT INCREASE BEHAVIOR: POSITIVE AND NEGATIVE REINFORCERS

141

using psychology or analyzing motives, and

over time (used to love cheap beer, now it

so forth). It is often not apparent to the

has to be French wine). What we like to

beginning student that negative reinforcers

wear changes, sometimes seasonally. What

follow behavior. However, if you analyze

we like to talk about can change from

where the escape or avoidance occurs in

minute to minute (Tim Tebow who?). Also

relation to the behavior, you will see that

things that are reinforcing at one time or

the negative reinforcer follows the behavior.

place may not be reinforcing at another

You only escape the potential punisher after

time or place. Telling someone that she is

you perform the required behavior.

doing a good job may be reinforcing when

told in private, but punishing when told in

2. A reinforcer increases the frequency of a

public.

behavior. Something is a reinforcer only if

At a McDonald’s one of the staff was

it increases the frequency of a behavior. If a

observed to be helping others with the cof-

behavior is consistently followed by a par-

fee orders when her station was slow. This

ticular consequence but the frequency of

was appreciated by the other staff who

the behavior does not increase, then we

smiled and head nodded. The assistance

cannot say that the consequence is a rein-

was noticed by her supervisor who stepped

forcer. It is a common mistake for people to

up behind the employee, put her hand

attempt reinforcement and claim that “I

lightly on her shoulder and said quietly,

reinforced her but it didn’t work.” This is

“Good job.” The recipient of this “rein-

not possible. You only know it was a rein-

forcer” wheeled around in a loud voice and

forcer because it works. If it didn’t work, it

said, “Don’t touch me” and glowered at the

was not a reinforcer.

supervisor. All of this means that managers

3. Reinforcers change. Something that is a

must ensure that consequences are effective.

reinforcer at one point in time may not be a

This fact about reinforcers illustrates

reinforcer at another point in time.

very clearly that the behavioral approach to

Sometimes an offer to go to a movie may be

organizational behavior is the most individ-

highly desirable (rainy day, you’re feeling

ually centered approach to managing behav-

down and need a lift). At another time it

ior in the workplace. If you are not sensitive

may not (a close friend is in the hospital on

to an individual’s reinforcers or cannot pro-

life support). This is important because it

vide them, you will be ineffective in influ-

means that to develop reinforcing relation-

encing that person’s behavior.

ships at home or at work, you must con-

4. Reinforcer frequency affects its effective-

stantly be in touch with what the other per-

ness. The frequency with which one

son is about. Things we enjoy now may lose

receives a specific reinforcer may reduce its

their appeal later. As we grow older, some

reinforcing value. The technical term for

things like rock concerts lose their reinforc-

this phenomenon is satiation. We tend to

ing value. Some activities we enjoyed when

tire of some things simply because of repeat-

we were younger are no longer engaging

ed exposure to them. We eat too much of a

(backpacking in Europe, sleeping in youth

particular food, or spend too many nights

hostels). Our tastes for certain foods change

CHAPTER TWELVE

142

away from home. While each of these is

quence from occurring (avoidance). We work late

desirable in limited amounts or frequencies,

to prevent the consequence we know will happen

all people reach a point when enough is

if we are late with our project. Working late, then,

enough. You will see that some social rein-

is an avoidance behavior. We are reactive when we

forcers can be repeated thousands of times

respond to a consequence that is occurring. We

with little loss of reinforcing ability, but we

are cold, so we close the window to stop the cold

may tire of tangible reinforcers rather

from continuing to enter the room (escape).

quickly. While satiation is more character-

Negative reinforcement as a concept is some-

istic of tangible reinforcers, it can happen

what confusing in that most people think of

with interpersonal ones as well. The person

avoiding or escaping an aversive event as not

who always says, “Great job” to everything

being a consequence. Usually all we see is the

one does will find that it loses its effect

behavior because the behavior prevented the

rather rapidly. In fact, satiation frequently

punishment from occurring (R-), but it was the

turns a reinforcer into a punisher, and the

presence of that potential punisher that caused

person attempts to avoid the event.

the escape or avoidance behavior. Negative rein-

These characteristics apply to positive

forcement is usually the answer to the question,

and negative reinforcers. Both increase

“Why are they doing that?” when there is no evi-

behavior. See Figure 9.4, Chapter 9 on

dence of positive reinforcement. Usually you will

ABCs. The question usually arises at this

find the punishment or penalty contingency

point, “If both increase behavior, why do

when you investigate. Note that the contingency

we care which one we use?” The answer to

may be stated to reduce the frequency of a behav-

that question is very important because it is

ior (“If you do that one more tim . . .”). Whatever

at the heart of why most organizations

you do (increase your behavior) to avoid or

never capture the full potential of what

escape aversive consequences is driven by nega-

employees can contribute to organizational

tive reinforcement.

performance. To help you understand the

Many times you will hear someone say, “I nega-

full impact of this point, let us present each

tively reinforced that behavior.” More often than

consequence in detail. Because negative

not this is an incorrect statement. Most likely they

reinforcement is by far the most common

punished or penalized some behavior. In many

consequence driving performance in most

popular management books, negative reinforce-

organizations, we will present it first.

ment is often confused with punishment. Even though the two terms are often presented as syn-Negative Reinforcement

onyms, they are far from synonyms. They produce

Negative reinforcers increase behavior because

the exact opposite effects. Negative reinforcement

people behave to escape or avoid a negative con-

increases behavior; punishment and penalty

sequence. We shut the window to avoid the rain

decrease behavior. Punishment and penalty will be

that is forecast later in the evening. We close the

described in greater detail in Chapter 19.

door to keep out insects. The difference in escape

Negative reinforcement consists of two separate

and avoidance is often defined in terms of

conditions, both closely linked to possible punish-

whether we are proactive or reactive. The proac-ment. The first condition occurs when a punish-

tive response is to prevent the negative conse-

ment or penalty contingency is in operation and

CONSEQUENCES THAT INCREASE BEHAVIOR: POSITIVE AND NEGATIVE REINFORCERS

143

ative reinforcement. In addition, because negative

“As long as the person does enough to

reinforcement increases behavior, some managers

keep the negative consequence from

don’t see the need for positive reinforcement. In

happening, his behavior has reached

other words, as a result of using negative rein-

its objective. ”

forcement to reach their goals, the managers may

receive bonuses and other positive consequences.

your behavior terminates it. If you’ve ever been

The problem is that once the consequence has

told, “I know you need to go, but you must finish

been avoided, there is no motivation to do more.

this job before you leave,” your behavior was

As long as the person does enough to keep the

under the control of negative reinforcement. Your

negative consequence from happening, his behav-

behavior terminates the unpleasant condition and

ior has reached its objective. Figure 12.1 shows

you leave work as soon as the job is done. The

that effect.

second condition occurs when you receive a

W. Edwards Deming (1900-1993), in his sem-

threat or warning such as, “If you do that again,

inars, told managers to eliminate goals and stan-

you will be written up.” You will work to avoid

dards! His observation was that they limited per-

having that negative consequence occur.

formance improvement. He was observing that

Whatever you do to avoid being written up is a

most goals and standards are achieved and main-

negatively reinforced behavior.

tained by negative reinforcement. He also told his

After a number of years of not teaching the

audience to eliminate fear from the workplace.

difference between positive and negative rein-

He did not use the term negative reinforcement as

forcement, it is clear that when managers do not

the method by which fear is maintained in the

understand the difference, the majority of per-

workplace, but that was, in effect, what he was

formance improvement efforts are driven by neg-

describing.

There is a cost to the organization that relies

on negative reinforcement as either a deliberate

Figure 12.1 Effects of Negative

Reinforcement on

strategy or because of a lack of awareness.

Goal Attainment

Organizations that use this approach, in

Deming’s words, “drive-in fear.” Even though in

100

BASELINE

GOALS COMMUNICATED

some cases it may be difficult to see real differ-

r

90

u

ences in either rate or duration of responding

o

80

under the two consequences, negative reinforce-

70

er H

Third goal set 2/1

ment almost always produces negative reports

60

its p

from employees as it relates to management and

n

50

f U

40

the workplace in general. When leaders endorse

Second goal

30

set 9/1

the use of negative consequences as the primary

er ob

20

way to achieve organizational results, directly as

mu

10

an active participant or indirectly through poli-

N

Original goal set 3/1

0

cies and systems, it always produces ethical con-

cerns and an organization that never performs up

J

J A S O N D

J F M A M J

J A S O N D J F M A

to its potential.

Months

Although some behavior analytic research

CHAPTER TWELVE

144

(e.g., Perone, 2003) suggests that it is often diffi-

feared consequence, including sometimes lying,

cult to discriminate between results produced by

cheating, and stealing. It is not unheard of that a

positive reinforcement from those produced by

manager or supervisor juggles the numbers to

negative reinforcement, these researchers rarely

meet a quota or budget. In the case of Enron,

consider the contextual aspects of fear-driven

executives set up “special purpose entities” (front

organizations as part of the experiment. We

companies) for the sole purpose of hiding debt.

would argue as well that such experiments cannot

We have known of cases where employees have

be generalized easily to the real world of work.

carried production waste home rather than hav-

Performance Management is not simply about

ing it show up on a report. Absenteeism,

obtaining results quickly or at high rates. How we

turnover, and poor morale are other problems

obtain those results does count.

associated with excessive reliance on negative

reinforcement.

If negative reinforcement is used to get a

“As you may understand by now, nega-

behavior started, positive reinforcement should

tive reinforcement, when implemented

be used to keep it going. Since the cost of manag-

as a management tool requires some

ing by negative reinforcement is high, the cost is

level of fear to be effective. ”

not only in terms of organizational profit but also

in the toll it takes on the managers and the

We encounter negative reinforcers many times

employees they manage. For a detailed discussion

every day. The behavior we display shows up as in

on this point see, “The High Price of Negative

driving fast to avoid being late. Children do their

Reinforcement” in Bringing Out The Best In

homework to avoid nagging from their parents.

People (Daniels, 2000), Chapter 6.

We go to the dentist to escape acute pain or dis-

It must be pointed out that negative reinforce-

comfort. We put on sunglasses to avoid the glare.

ment is not bad; it just causes a predictable effect

Our legal system is almost exclusively a negative

on behavior. When compliance is all that is need-

reinforcement system with few rewards in it for

ed, negative reinforcement can often get you

good behavior, only negative reinforcement and

there. When there is no behavior to positively

punishment for illegal behavior.

reinforce, you may need a negative reinforcement

As you may understand by now, negative rein-

contingency such as “If you haven’t finished this

forcement, when implemented as a management

task by 5:00 pm, you must stay until it is com-

tool requires some level of fear to be effective.

pleted” to get a behavior to positively reinforce.

The degree may be slight, such as fear of being

However, once the behavior has occurred under

embarrassed in a meeting, worrying about disap-

negative reinforcement control, to be most effec-

pointing someone who is important to you, or

tive and efficient, the behavior must be positively

fear of loss of income and status. This poses a

reinforced as soon as it occurs.

problem for the company that relies too heavily

Before we move to the topic of positive rein-

on negative reinforcement to get work done.

forcement it would be good to distinguish

People don’t want a job of which they are afraid.

between some terms that are often confused: neg-

They will escape such work by quitting. When

ative reinforcer, negative reinforcement, punisher,

they can’t, usually because of economic circum-

punishment and penalty

stances, they will go to great lengths to avoid the

CONSEQUENCES THAT INCREASE BEHAVIOR: POSITIVE AND NEGATIVE REINFORCERS

145

Figure 12.2 Reinforcement Terms

Negative Reinforcer = An aversive stimulus which, when removed, strengthens the future probability of a response

Negative Reinforcement = The process of removing an aversive stimulus that strengthens the likelihood of a future response

Punishment = The process of presenting an aversive stimulus that suppresses (stops) behavior, at least temporarily

Punisher = Any event when following a behavior suppresses (stops) it Penalty = Removing something valued or desired resulting in a decrease in the behavior it follows

Positive Reinforcement

of interacting with performers at all levels. For

For more than 50 years, research has demonstrat-

those reasons alone, it should certainly be of

ed the benefits of using strategies that are prima-

interest to managers. It fits a shaping model of

rily composed of positive reinforcement. People

skill mastery and fluency as you will learn later.

report liking positive reinforcement and, of con-

Shaping requires positive reinforcement. It estab-

siderable interest to those in management,

lishes work as a place where the individual can

employees very often report liking those man-

trust that his or her performance will be guided

agers associated with the delivery of such a conse-

by non-coercive but highly effective styles of

quence. Positive reinforcement provides, to those

management. While it may require real work on

who use it as a primary method of influence, the

the part of managers to change their use of nega-

benefit of being seen as a positively reinforcing

tive control techniques that are often highly rein-

person whom others seek out for counsel and

forced through the ease of such techniques as do

social contact. As a management strategy, it elimi-

it or else, in the end, the effort creates a positive nates the use of threat or fear as primary methods

benefit for all. There are other equally compelling

DILBERT reprinted by permission of United Feature Syndicate, Inc.

CHAPTER TWELVE

146

reasons for organizations to use this approach

ual do this job if his life depended on it? If

effectively.

the answer is yes, it is a motivational problem.

1. Positive reinforcement has positive side

A Towers Watson Global Workforce Study

effects. In business we find that positive

(2012) of over 38,000 employees from around

reinforcement improves the supervisor/

the world found that in the organizations sam-

employee relationship. Where positive rein-

pled, 43 percent were either “Detached or

forcement takes place, supervisors and

Disengaged.” This compares with a 1983 study

employees like each other more. It improves

by Yankelovich and Immerwahr (The Public

job satisfaction; the job is liked more. It

Agenda Report on Restoring America’s

improves morale and increases employee

Competitive Vitality) where they found that

loyalty to the organization; the company is

nearly half of the workforce (44 percent) say they

liked more. These benefits are documented

do not put more effort into their jobs than is

by the experiences of thousands of man-

required.

agers and other employees. Positive rein-

forcement properly applied produces long-

lasting, measurable change.

“People’s need for positive reinforce-

ment can be seen as similar to the

2. Most performance problems in organiza-

need a business has for profit. ”

tions are motivational. Mager and Pipe

(1997) identified two kinds of performance

3. People seek positive reinforcers. Both

problems. They are can’t-do and won’t-do

daily experience and psychological research

problems. Can’t-do problems require some

tell us that everyone seeks positive rein-

antecedent intervention such as training.

forcers, and people will do many things to

Won’t-do problems require a change in con-

get them. Most of the positive reinforcers

sequences. Won’t-do problems are motiva-

are socially acceptable but, unfortunately,

tional problems. In identifying a motivational

some are not. The thief and the drug push-

problem, ask the question, Could the individ-

er are positively reinforced by quick and

DILBERT reprinted by permission of United Feature Syndicate, Inc.

CONSEQUENCES THAT INCREASE BEHAVIOR: POSITIVE AND NEGATIVE REINFORCERS

147

easy money. The hardworking music stu-

business cannot survive for an indefinite

dent practices more and more as each

period without it.

recital draws applause and praise. As young

The same is true of the individual for

athletes begin to win, they work harder and

whom positive reinforcement is the psycho-

harder. Although we read about and see on

logical profit. In many cases it only takes

TV every day someone being positively

days, or a few weeks, without positive rein-

reinforced for inappropriate behavior

forcement to lead to decreases in perform-

(guests on The Jerry Springer Show come to

ance. It’s hard for some managers to under-

mind), most of the positive reinforcement

stand that money doesn’t provide enough

occurs for productive, socially acceptable

psychological profit to keep people per-

behavior.

forming to their potential. We have all

Some of the reinforcers people work for

are obvious and some are not. An obvious

example is the child who does something to

“Recently, 63 percent of American

workers who were surveyed claimed

get attention. However, the person who

that most workers want more recogni-

works hard to get a promotion, a raise, or

tion for their work. ”

approval from the boss or their peers is also

working for positive reinforcers even

though their actions may be more subtle.

heard people say things like, “You couldn’t

A very popular theory of motivation still

pay me enough to work for him.” Money is

taught in most business schools is Abraham

necessary, but not sufficient, to produce

Maslow’s Hierarchy of Needs. Maslow

outstanding performance, especially over a

(1943) describes a range of needs from

long period of time. And sometimes, money

food, shelter, and clothing to esteem and

is not even necessary. Look at the superb

self-actualization. It is useful to look at

volunteer work done by many individuals

these needs as a general description of rein-

that is maintained by other reinforcers, such

forcers. Just as people seek food, air, and

as positive changes seen in helping people

water—the most basic needs—they also

or personal notoriety. The best job you will

seek social recognition, praise, self-actual-

ever have is one that you leave every day,

ization, and self-esteem—the higher needs.

feeling that you not only made a financial

People’s need for positive reinforcement can

profit but a psychological one as well.

be seen as similar to the need a business has

Interestingly enough, having received

for profit. The balance sheet must show a

some simple sign of appreciation for your

profit for the business to survive. And prof-

work such as a visit by the boss to ask how

it must not be too long in coming since the

you were able to finish your report so

quickly, or a note of appreciation for some

extra effort, may be enough profit to excite

“Robert Half International found that a

you about coming back and doing the same

lack of praise and recognition was the

thing again tomorrow. Recently, 63 percent

No. 1 reason that workers leave their

of American workers who were surveyed

jobs (Nelson, 2002). ”

claimed that most workers want more

CHAPTER TWELVE

148

recognition for their work. Similarly,

vides the reinforcers. This increase in

Robert Half International found that a lack

morale improves the quality of work life

of praise and recognition was the No. 1 rea-

and creates a positive climate for accounta-

son that workers leave their jobs (Nelson,

bility.

2002).

Traditionally, people have feared and

Individuals will find reinforcers at work

resented measurement and accountability

whether or not they are provided by the

because more often than not it provided a

manager. Fortunately, most of the time peo-

better way to deliver negative consequences.

ple find reinforcers in the work setting for

Surprisingly, in an environment in which

the right behaviors even when contact with

positive reinforcement is used effectively,

the boss is limited. However, if reinforcers

people seek measurement and accountabili-

are not provided by the manager, they may

ty. Employees who have been given consis-

be found in ways that are not beneficial to

tent and effective reinforcement for their

the organization, such as in off-task behav-

accomplishments are more receptive to

iors. After decades of applying PM in busi-

change and less defensive about suggestions

ness, it’s clear that managers who systemati-

for improving performance. In such an

cally provide positive reinforcement for

environment, the relationship between

desirable performance outperform those

management and employees invariably

who don’t, often by margins of 25 percent

becomes more cooperative and less adver-

to 50 percent. Furthermore, when working

sarial. All of these factors lead to the cre-

with managers who provide positive rein-

ation of an organization that is receptive to

forcers, the employees express satisfaction

change—a must in today’s business environ-

with their companies, their jobs, their boss-

ment.

es, and themselves.

In capturing the discretionary effort that

exists in all organizations, it is necessary to

understand positive reinforcement in a

“Whereas al managers and executives

more detailed and precise way than our

have had some level of success in

everyday work experience teaches us.

managing people, only those who

Whereas all managers and executives have

understand positive reinforcement

had some level of success in managing peo-

from a scientific perspective can ever

ple, only those who understand positive

hope to create an organization that

truly lives up to its potential. ”

reinforcement from a scientific perspective

can ever hope to create an organization that

truly lives up to its potential.

4. Positive reinforcement creates a positive

climate for positive accountability.

Positive reinforcement produces good feel-

“Reliance on coercion, however subtle

or slight, fundamental y corrupts rela-

ings in an organization. People who receive

tionships and reduces the potential of

positive reinforcers begin to think more

every human being who is managed

positively about the person delivering them

under those terms. ”

and ultimately the organization that pro-

CONSEQUENCES THAT INCREASE BEHAVIOR: POSITIVE AND NEGATIVE REINFORCERS

149

5. Finally, a commitment to using positive

When companies put the perceived ease of

reinforcement is a values-based decision

financial gain from using punitive processes

about how you and your organization

ahead of the well-being of people they

treat people. As stated in Chapter 2, science

employ, they are clearly making a choice—

is neutral but its applications are often

not a neutral, amoral choice, but a values-

biased in terms of our personal-consequence

laden choice.

histories. Some managers believe that peo-

Reliance on coercion, however subtle or

ple will only work hard if they are managed

slight, fundamentally corrupts relationships

and reduces the potential of every human

being who is managed under those terms.

“Even though you can get performance

We are committed to the value proposition

through coercion, using such strate-

that using strategies of positive reinforce-

gies is laden with ethical issues. ”

ment is the way to create great companies

to work for (profitable and defined by

and managing means using threat—do it or

employees as workplaces of choice) and to

else. They believe that good performers

sustain an ethical edge about what is and is

don’t need management at all, since they’re

not acceptable in your work setting. Such a

grownups and do not need praise or recog-

commitment increases the positive value of

nition to do their jobs and that pride should

the company in the lives of its employees,

carry them through without a manager’s

its community, and society at large.

attention for the work they do.

Behavioral science demonstrates that

Positive Reinforcers are

coercive control will accelerate rates of per-

Primary or Secondary

formance to escape or avoid punishment.

Primary reinforcers are those that are biologically

However, there is a heavy burden in manag-

important such as air, food, water, sleep, warmth,

ing and in being managed in such a setting.

and sexual stimulation. Although clearly not bio-

Aversion generalizes to the conditions that

logical; novelty, maternal activities, and affection

surround the performer where aversive con-

are also considered primary reinforcers by some

sequences are administered. Just approach-

researchers. The reinforcing effects of primary

ing work or the dreaded manager can inten-

reinforcers do not require learning. Generally, all

sify physical ailments and stress-related ver-

people arrive in this world prepared by their

bal descriptions of dread, anxiety, and

genetic history for primary reinforcers to increase

desire to escape. Getting away from work,

their behavior. In contrast, secondary reinforcers

rather than being at work, is the goal.

are neutral stimuli that do not have biological

Even though you can get performance

importance but have been paired with primary

through coercion, using such strategies is

reinforcers or other established secondary rein-

laden with ethical issues. Because we believe

forcers. During infancy, humans are dependent

that managing others is a privilege and a

on attention from other people for all of their

responsibility, every company needs to

needs. Thus, attention in various forms becomes

examine what is conveyed in its acceptance

a positive reinforcer that lasts a lifetime for

of coercive strategies of management.

almost everyone. Attention comes in many forms

CHAPTER TWELVE

150

such as smiles, touch, gestures, and an endless

on the refrigerator door and it opens, the behav-

variety of verbal behavior. The frequent pairing of

ior of pulling has been reinforced by the fact that

food and water—primary reinforcers—with

it worked to provide access to what you wanted.

attention transforms attention into a secondary

Because it works for you, you repeat that behavior

or conditioned reinforcer. In other words, sec-

every time you want something from the refriger-

ondary reinforcers are learned through these

ator. When you taste something you like, you

kinds of pairings.

want to eat more of it. The effect on the comput-

Because things associated with reinforcers,

er screen of clicking a computer mouse keeps us

primary and secondary, can become secondary

clicking.

reinforcers, it is easy to understand how each

Turning the handle on the faucet produces

person comes to have a unique set of reinforcers.

water. The water coming out is a reinforcer for

Anything that we see, hear, touch, taste, and

the behavior of turning the handle. Turning the

smell during reinforcement has the potential of

handle produces water immediately and with a

becoming a new secondary reinforcer.

high degree of certainty. That is all that is needed

Smoking and drinking alcohol, though initial-

to maintain the behavior. When our interactions

ly aversive to many, may become a highly potent

with machines such as appliances, tools, automo-

reinforcer through association with peer

biles, and computers provide us with what we

approval, anxiety reduction, and other rein-

want, they are naturally reinforcing. No one

forcers. Acquired tastes in food, drink, music, and

needs to see or know of our behavior for it to

art all have a history of being paired with other

continue.

established primary and secondary reinforcers.

All social and most tangible reinforcers are

The varied likes and dislikes of people compli-

secondary reinforcers that are purposely paired

cate the problem of finding effective reinforcers.

with certain behaviors to improve performance of

No two people are exactly alike in this regard.

some kind. In contrast to natural reinforcers that

That is a large part of what makes us different or

do not depend on the presence of another person,

unique. Even if you manage many people, you

these reinforcers depend on the behavior of the

must still know the reinforcers for each one.

performer and the behavior of someone else like a

There is no substitute for treating people individ-

manager, peer, or co-worker. Social or tangible

ually. It is the key to unlocking a person’s poten-

reinforcers are necessary when the natural rein-

tial and maximizing organizational results.

forcers do not produce the behavior we need. For

example, in sales, the behavior of asking for the

A Secondary Reinforcer Can be

order is reinforced only a small percent of the

Natural or Created

time. In a large national cereal manufacturer,

Natural reinforcers occur through normal interac-

salespeople with an average sales experience of

tion with the environment. They occur as we

over 15 years asked for the order less than 44 per-

pull, push, and twist things. They occur as we

cent of the time. Management had to create a

smell, touch, hear, taste, and see things. Natural

reinforcer for this behavior. When they did so,

reinforcers typically do not require interaction

the behavior quickly rose to 100 percent and the

with people, just nature. Any desired effect or

number of cases sold increased dramatically

change that your behavior produces in the envi-

(Mirman, 1982).

ronment is a natural reinforcer. When you pull

CONSEQUENCES THAT INCREASE BEHAVIOR: POSITIVE AND NEGATIVE REINFORCERS

151

Social Reinforcers

ty. Employees earned points for certain results

A social reinforcer is defined for our purposes as

that could be exchanged for items from a catalog.

any consequence, verbal or symbolic, provided by

The items were ordered and the supervisors pre-

one person to another that increases the frequen-

sented the merchandise to the employees. The

cy of the other person’s behavior. Social rein-

incident that prompted the call to us occurred

forcers usually have value only to the recipient.

when a frontline supervisor presented a toaster

For example, notes, plaques, and trophies have

(earned by an employee) and was overheard to

value only to those involved. For a list of typical

say, “Here’s your damn toaster. Now get your ass

social reinforcers, see Figure 14.2.

back to work.” We are quite sure that the toast

from that toaster never tasted good. This supervi-

sor thought that the positive reinforcement

“Social reinforcement is the mainstay

resided in the toaster. We think it resided in the

of a PM environment; that is, it is by

idea of the toaster as a symbol of an accomplish-

far the most common. ”

ment. In this case, the toaster probably reminded

the recipient of somebody he hated rather than a

Interactions that convey approval such as a pat

symbol of work well done. The best tangible is

on the back, giving someone a Thank You card,

one that gives you a positive story to tell.

or listening to them talk about their favorite

topic are potential social reinforcers.

“Most often it is better to simply tel the

Tangible reinforcers are usually thought of as

person when a behavior annoys you,

things that have economic value that a person

systematical y ignore the inappropriate

will work to obtain. Where social reinforcers have

behavior, and then reinforce alterna-

value only to the recipient, tangible ones can have

tive, positive behaviors in its place. ”

value to someone else. Since potential tangible

reinforcers are material items such as food, gift

Practical methods for using these categories of

certificates, T-shirts, caps, or prizes, it is possible

reinforcers will be given in Chapters 14-15.

that they could be sold to someone else. A plaque

(social reinforcer) would only rarely have value to

Extinction

someone other than the recipient.

When a behavior has been increased by reinforce-

A mixture of tangible and social reinforcement

ment, failure to get reinforcement will, over time,

is important. However, the mixture heavily favors

cause the behavior to return to its previously

social. Social reinforcement is the mainstay of a

unreinforced level. The technical term for this

PM environment; that is, it is by far the most

period of no reinforcement, in which behavior

common. To have the most effective workplace,

decreases, is extinction.

some combination of social and tangible rein-

An example of extinction that all have experi-

forcement is usually necessary. Figure 14.2 also

enced is when people put money in a vending

includes a list of potential tangible reinforcers.

machine and nothing falls out. When nothing

Tangible reinforcers should never be presented

falls out, they may try again, but if the item still

without some accompanying social reinforcer.

does not come out, they will probably stop trying

We were called to consult with a company that

that machine. Few people would continue to put

had a program to increase productivity and quali-

money in the machine over and over when they

CHAPTER TWELVE

152

don’t get what they want.

punishment. Since the failure to reinforce produc-

When one’s attention is the reinforcer, ignor-

tive performance constitutes extinction, one can

ing behavior is a very effective method of decreas-

see that this is a common process in business and

ing the behavior. Ignoring involves withholding

that many performance problems may be created

social reinforcement. For example, suppose some-

not by what we do but by what we don’t do.

one tells a joke and no one laughs. Joke telling, to

It is very important to understand extinction

that group at least, will probably decrease. One

because it is involved in every organizational

instance of extinction may not eliminate the

change, planned or unplanned. To implement a

behavior but after several times with the same

new process or procedure, we usually want

response, the joke telling will probably stop, at

employees to stop using the old ones. In stopping

least to the same people.

the old ones, we will often have to make sure that

The kinder act may be, however, to take the

the old processes and procedures don’t work. If we

joke teller aside and tell him that the effect of his

want people to use a new form, we must make

jokes is to disrupt the group and they are not

sure that the old form is not accepted and that use

viewed as funny anyway. The problem with using

of the new form is positively reinforced, particu-

extinction without informing the individual of

larly in the beginning. If we want an employee to

what you are doing, particularly when working

use a new piece of software, we must make sure

with adult behavior, is that a series of behaviors

that the old software doesn’t work. Forget that

may erupt (called an extinction burst) that are

you ever heard of the concept of readiness for

directed toward obtaining reinforcers again. Or,

change. No one is ready for change when they are

the person may not know just what is wrong but

getting adequate reinforcement for what they are

may know that desired attention is being with-

already doing.

held. In such cases, the performer may feel embar-

rassed or ashamed that he has done something

wrong or harmed a relationship. Most often it is

“When extinction of an inappropriate

better to simply tell the person when a behavior

performance is paired with reinforce-

ment for a positive replacement behav-

annoys you, systematically ignore the inappropri-

ior extinction bursts almost never

ate behavior, and then reinforce alternative, posi-

occur. ”

tive behaviors in its place.

You are then using extinction deliberately, in an

informed manner, but you are also building new

Behavior under extinction has several distinct

behaviors by reinforcing incompatible or alterna-

characteristics. The first, as introduced previously,

tive behaviors that replace those being put on

is the extinction burst. When reinforcement is

extinction.

withdrawn from previously reinforced behavior,

A frequent problem in many workplaces is that

the behavior will very often increase in frequency.

productive behavior is blatantly ignored. The peo-

For example, Lerman, Iwata, and Wallace (1999)

ple who work the hardest and do the best are

found that 62 percent of children whose self-inju-

ignored because the supervisors are spending all

rious behavior was treated with extinction exhib-

their time dealing with problems created by the

ited an extinction burst. Similarly, France and

poor performers. No wonder that over a period of

Hudson (1990) obtained a burst in number of

time performance falls to a level necessary to avoid

minutes an infant was awake during the removal

CONSEQUENCES THAT INCREASE BEHAVIOR: POSITIVE AND NEGATIVE REINFORCERS

153

of parents’ attention for waking in the middle of

tine gum, or nothing at all) engaged in aggressive

the night.

behavior significantly more than smokers who

When the extinction burst occurs in the work-

were allowed to keep smoking or smokers with

place it causes many managers to abandon efforts

access to nicotine gum reinforcement. This is not

to change workplace behavior. When, for exam-

a comment on smokers or nicotine. It is a phe-

ple, they try to get employees to adopt a new pro-

nomenon associated with extinction. Extinction-

cedure, they could accidentally increase use of the

induced aggression can occur when reinforcement

old procedure (an extinction burst). Those who

was previously available and has now been discon-

understand that this is a natural reaction to

tinued (Millenson & Leslie, 1979).

extinction see the presence of an extinction burst

Although not nearly so obvious at work, emo-

as a sign that the change effort is working. It tells

tional behavior as a response to extinction occurs

them that the behavior they are trying to elimi-

nevertheless. When an employee works long and

nate is not being reinforced (e.g., Azrin,

hard on a proposal for a new product or service

Hutchinson, & Hake, 1966; Cherek, Spiga,

that is turned down by senior management, the

Steinberg, & Kelly, 1990; Todd, Morris, & Fenza,

employee may go back to his office and throw

1989). When extinction of an inappropriate per-

papers or bad mouth management to fellow

formance is paired with reinforcement for a posi-

employees. Again, if you understand that this is a

tive replacement behavior extinction bursts

natural response to the loss of reinforcement, it

almost never occur. This is due to the fact that

makes it easier to deal with the behavior in a calm

the individual sees no net loss of reinforcement

and rational way.

also resulting in near zero levels of emotional

The third characteristic is habit break down.

behavior.

Extinction produces variability in responding.

The second characteristic of behavior under-

When behaviors that once worked no longer

going extinction is emotional behavior. This effect

work, we try a variety of responses to get rein-

is most clearly seen in children when parents first

forcement. When an electrical tool fails to start,

ignore tantrum behavior. After yelling louder and

you may check the plug, jiggle the cord, try anoth-

longer than usual (extinction burst), the child

er plug, or shake the tool. The fact that extinction

may fall to the floor, kick, and scream. This may

produces variability can be used productively (e.g.,

be followed by throwing things or even hitting

Lalli, Zanolli, & Wohn, 1994). When creativity is

objects or people.

needed, extinction can generate variations in

behavior that can lead to new products or process-

es. However, in a skilled job, variation is usually

Use the QR CODE reader on your smart-

the last thing that is needed. When you begin to

phone to learn more about:

see variability in a skilled performer, if you rule

Video clip: Boy Tantrum

out physical problems such as fatigue, illness, or

intoxication, there is a high probability that the

performer is not getting enough reinforcement for

Emotional behavior under extinction can be

what he or she is doing or that the performer is

seen in adults as well. Cherek, Bennett, and

actually getting reinforced for variability. You will

Grabowski (1991) showed that smokers who were

find this to be true even in an enterprise where

deprived of nicotine (either given a placebo, nico-

risk avoidance is a consideration and adherence to

CHAPTER TWELVE

154

procedure is a critical performance. The variability

that it is critical that a behavior we want to extin-

produced by extinction leads to shortcuts and/or

guish should not be reinforced when it resurges

to an effort to find a better way on the part of the

or bursts. Any reinforcement that occurs at that

individual performer. The choice the person

point will actually strengthen the resurging

makes will be determined by the behavior that

behavior rather than reduce it, because the behav-

gets reinforced first.

ior will have been inadvertently put on an inter-

The fourth characteristic is resurgence.

mittent schedule of reinforcement (Baum, 1973).

Resurgence describes a well-known phenomenon

This phenomenon will be explained in chapters

where a behavior that has undergone extinction

16 and 19.

will, after a period of not occurring, start again

out of the blue. We have all known people who

“

changed some habit for a period of time, only to

Never use extinction alone, always pair

with reinforcement for an incompatible

have it pop up again. We have known smokers,

behavior. This should eliminate resur-

who after a long period of not smoking, start

gence as wel extinction bursts. ”

back again, or alcoholics who fall off the wagon.

Epstein (1983, 1985) discovered that when you

change to a new behavior following extinction of

Our everyday experience has shown us that

an old behavior, if the new behavior fails to get

some behaviors take a lot longer to extinguish

enough reinforcement to keep it going, the per-

than others. In general, extinction is related to

son will revert to the old behavior. We know of a

the number of reinforced responses that a person

manager who complained that his boss’s behavior

has made (Nevin, 1988). A behavior that has

improved when he returned to the plant follow-

received only a few reinforcers will extinguish

ing training in reinforcement but after a period of

quickly—a day or less; whereas a behavior that

time he was meaner than ever. Our response was,

has been reinforced hundreds or thousands of

“You screwed up, didn’t you?” We went on to

times may take considerably longer—weeks or

explain that it was apparent the boss was trying to

possibly months to extinguish. Applied behavior

be more positive but the new behavior was weak

analysts have a rule for this: Never use extinction

because he had received few, if any, reinforcers.

alone, always pair with reinforcement for an

Therefore, it would not take long for him to

incompatible behavior. This should eliminate

revert back to the old, mean behavior.

resurgence as well extinction bursts.

Mechner, et al (1997), found that resurgence

An understanding of the process of extinction

occurs not only when extinction begins, but also

will help you not only diagnose performance

when the employee’s work requirement is abrupt-

problems but also to implement procedures to

ly raised. This has significant implications for

correct them.

organizations going through downsizing and

reorganization where work requirements change

Extinction vs. Forgetting

significantly overnight. In such cases, you can

While forgetting and extinction both result in a

expect that people will return to old behavior

decrease in behavior, they are not the same and

patterns that may not be productive in the re-

should not be confused. Forgetting occurs

organized workplace.

because the effect of reinforcement is weakened

It should be clear to the reader at this point

by the passage of time; extinction occurs because

CONSEQUENCES THAT INCREASE BEHAVIOR: POSITIVE AND NEGATIVE REINFORCERS

155

the behavior no longer produces the reinforcer.

errors, then employees are somehow being rein-

Ample evidence shows that people can remem-

forced for being careless. If safety results are poor,

ber items for surprisingly long times, provided

employees are probably being negatively rein-

they are not exposed to the situation previously

forced for unsafe behavior. Obviously no organi-

associated with learning between the time of

zation would want to deliberately reinforce

learning and the time of recall. Vignettes from

employees for such behavior; the reinforcement is

the television show Candid Camera (1960-1967),

almost certainly unintended. By isolating the

for example, are recalled years after the show

reinforcers for the non-productive behavior,

aired because of the totally unique and hilarious

unsatisfactory behavior can be extinguished and

situations they created: a mailbox that asks us

positive reinforcers can be delivered for the

where the mailman is, or a highway sign saying,

replacement, productive behavior resulting in

“Sorry Kansas is closed,” or watching a car split in

rapid behavior change with no extinction burst

half to avoid a pedestrian. Although a lot is

and near-zero emotional behavior.

involved in memory that can’t be covered here, it

Now that you have an understanding of how

is important to know that memory (forgetting)

reinforcers work in business and corporate set-

and extinction are not functionally the same.

tings we turn our attention to how we find and

Forgetting does not produce the characteristics of

create reinforcers.

extinction (extinction burst, etc.).

Summary

Use the QR CODE reader on your smart-

phone to learn more about:

Positive and negative reinforcement are at the

heart of all organizational behavior. It is impor-

Article: “Tomorrow’s Performance

Managers”

tant to know that whatever is happening today,

good or bad, in your organization is because of

reinforcement. If people are making too many

157

13

Feedback:

The Breakfast of Champions

tions have lots of data, but little feedback. For

“Feedback is often the least expensive

example, when told that their cholesterol level is

and easiest method people can use to

300, some people might respond, “Oh” or “Is that

start improving performance. ”

good?” Such responses show that just knowing

one’s cholesterol count does not lead people to

Feedback is information about performance

change their diet.

that allows a person to change his/her behavior.

To be considered performance feedback, infor-

We use the term performance to describe the

mation must serve at least two functions. First, it

behaviors, tasks, and results that produce a specif-

must tell you where you stand relative to some

ic outcome, such as a ballet, a concert, or any set

target or goal. Second, the performer must know

of work outcomes. So, in this book, the term feed-

what to do to improve.

back refers to performance feedback, which is a

necessary, but not a sufficient, condition for

“Information or data is feedback only if

behavior change. Feedback must be combined

it tel s you which behavior(s) to

with a consequence if change is to take place. The

change. ”

combination of feedback and positive reinforce-

ment is a very effective approach to improving

performance in a wide range of applications from

The Value of Feedback

checklist performance in aircraft simulations,

Feedback is a natural part of our existence. It is so

(Rantz & Van Houten, 2011) proper handling of

natural we tend to take it for granted. You can’t

sharp instruments in an operating room,

learn to walk, talk, write, ride a bicycle, drive a

(Cunningham & Austin, 2007) and improving

car, or use a computer without feedback. In fact,

posture at computer workstations (Sigurdsson &

feedback is essential to learning.

Austin, 2008). As will be discussed later, feedback

Feedback deficiencies are a major contributor

is usually combined with other procedures such

to virtually all problems of low performance. Very

as instructions and praise to make a very effective

few, if any, organizations give enough perform-

intervention package.

ance feedback. A great deal of what is assumed to

People often use the terms information and

be feedback is simply information. Part of this

data to mean feedback. However, if information

stems from the fact that different jobs require dif-

or data does not tell the performer which behav-

ferent feedback. A change in stock price could be

ior to change, it is not feedback. Many organiza-

feedback to an executive but would be simply

CHAPTER THIRTEEN

158

interesting information, or data, to a front-line

behavior at computer workstations Sigurdsson

manager. Information or data is feedback only if

and Austin (2008) showed that feedback, along

you know which behavior(s) to change.

with discrimination training and self-monitoring,

In his lectures on improving quality, Deming

improved correct posture to over 90 percent of

repeatedly asked, “How could they know?” He

intervals for most participants in just one or two

was referring to the sad fact that most performers

sessions.

do not have the information or data they need to

In a very large study of 82 pizza deliverers,

do a quality job. Gilbert (1978), who for years

Ludwig et al. (Ludwig, Biggs, Wagner & Geller,

helped organizations design performance feed-

2001) showed that two important safety behav-

back systems, states that his experience in indus-

iors, turn-signal usage and complete intersection

try, business, and schools shows that providing

stops, could be increased by 22 percent and 17

feedback never produces less than a 20 percent

percent at two different stores. These results were

improvement in performance, often a 50 percent

maintained into the withdrawal phase of the

change, and sometimes improvements as high as

study. A similar experiment with delivery drivers

six-fold!

for a meals-on-wheels type of social service

Managers often neglect to consider that inade-

organization (Nicol & Hantula, 2001) showed

quate feedback might cause poor performance.

comparable results. In this study, performance

Frequently, when someone describes a person as

feedback and goal setting were used together to

unmotivated, lazy, stupid, or in need of more

produce significant results, which were replicated

training, the problem can be traced, in large part,

using a reversal design.

to lack of feedback. One plant employee, who

Numerous studies document the effect of feed-

improved his quality output by over 300 percent

back on energy use in the home. Increased feed-

after receiving specific feedback and reinforce-

back consistently reduces energy consumption.

ment, said of the improvement, “I’ve been work-

For example, in a study by Darley, Seligman, and

ing here for over 20 years and I never knew there

Becker (1979), households were provided with

was a problem!”

information about their use of electricity. The

Feedback is now used extensively in medicine,

authors describe the feedback process as follows:

sports, and schools. Van Houten (1980) devoted

an entire book to documenting and describing

Each day we worked out a potential con-

the effects of feedback on academic performance.

sumption rate for each house, noting the

He found that handwriting, math, spelling,

temperature range and projecting how much

vocabulary, and reading skills, along with student

energy the house would use on that kind of

attentiveness, increase dramatically with the cor-

day if its residents followed their average

patterns of use for the previous six weeks.

rect use of feedback. Van Houten (Rantz & Van

Then, we computed the percentage of the

Houten, 2011) has extended this work on feed-

potential consumption rate actually used.

back to show that it can be used to improve com-

The actual feedback was quite simple:

pletion of aircraft flight checklists (using simula-

Several times a week, we placed plastic

tors) from 38 percent to 100 percent in just a few

numerals showing the percentage in a clear

trials. Further, the improvements were main-

Lucite holder attached to each family’s patio

tained even after the treatment was withdrawn.

door, where the numbers could easily be seen

In a study aimed at improving correct postural

from the kitchen and family area. A score of

FEEDBACK: THE BREAKFAST OF CHAMPIONS

159

80 percent, for example, meant that actual

three-week period, households with the feed-

consumption was 80 percent of predicted

back used 16 percent less electricity than did

consumption, a sign of conservation. A score

a control group of similar households that

of 120 percent showed excessive use.

were also interested in saving energy but were

The results were very positive. Over a

not given the frequent and visible feedback.

Komaki Study of Little League Footbal

Dr. Judi Komaki and F. Barnett (1977) examined the

and left halfback. Three very different offensive plays

effects of feedback in a unique setting: a Little

that depended total y on the boys’ execution were

League footbal team. To improve play execution, spe-

careful y pinpointed. Al the behaviors that were

cific desired behaviors of individual team members

required for each play were written out in detail and

were pinpointed and the players were given feedback

summarized into a checklist like the one in Figure

for performing them. The boys involved were five 9-

13.1. The pinpointed behavior for one of the plays is

and 10-year-olds who played center and the offensive

also presented in Figure 13.1.

backfield positions of quarterback, ful back, and right

Figure 13.1 Description of Stages for Play A, Option Play QB Center Exchange = On the correct count, the center snaps the ball, i.e., raises the ball between his legs and quickly places the ball in the hands of the quarterback (QB).

QB-RHB Fake = With the ball in his hands, the QB moves quickly down the line as the right halfback (RHB) goes toward the middle of the line. The QB fakes a handoff to the RHB, i.e., places the ball in the RHB’s hands. As the RHB

bends over and runs low appearing to have the ball, the QB pulls the ball back and continues going down the line.

FB Blocks End = The fullback (FB) sprints toward the defensive right end, watching his position. Depending on the depth of the end, the FB either blocks or passes him by. If the end penetrates three yards (2.7m) beyond the line of scrim-mage, the FB passes him by and turns upfield to block another defensive player. If the end penetrates less than three yards, the FB blocks him away for the QB and drives him out of the area of the play.

QB Decision to Pitch After the QB-RHB fake, the QB continues moving down the line, watch-or Keep = ing the defensive right end. If the end has been passed by the FB, the QB

keeps the ball and turns upfield. If the end has been blocked by the FB, the QB pitches, i.e., tosses the ball to the LHB and turns upfield to block.

QB Action = Whatever decision is made, the backs should proceed as described. If the QB decides to keep the ball, he should quickly turn upfield following on the heels of his blockers. The LHB should turn upfield trailing the QB. If the QB decides to pitch, he should pitch the ball to the LHB slightly in front of him and chest height. The LHB should be positioned to the right of and behind the QB keeping his eyes on the QB. Once the LHB catches the ball, he should turn upfield following his blockers.

CHAPTER THIRTEEN

160

Komaki Study of Little League Footbal (cont.)

Sample Checklist for Play A, Option Play

Behavior

Attempts

1. QB-Center Exchange

3

3

3

2. QB-RHB Fake

3

3

3

3. FB Blocks End

3

0

3

4. QB Decision To Pitch or Keep

0

0

3

5. QB Action

3

3

3

% Score

80

60

100

QB-Quarterback

3-Done Correctly

RHB-Right Halfback

0-Done Incorrectly

LHB-Left Halfback

FB-Fullback

The feedback was delivered in the fol owing manner.

three plays improved more than 10 times the previous

After each of the selected plays during the scrim-

level! Perfect executions went from 2 of 84 attempted

mage, the boys ran over to the coach who immediate-

plays to 22 of 89 attempted plays. The quarterback’s

ly showed them the checklist. At a glance, the boys

improvement was especial y significant. Before the

saw what they did correctly and what mistakes they

intervention, he had made the correct decision to

made. The coach praised their correct executions and

throw or hold the bal in only 5 of 23 plays, while with

told them how to correct their mistakes. Prior to the

feedback he was correct 26 of 40 times. Prior to feed-

use of the checklist, the only thing the coach did after

back, the quarterback never successful y accom-

a play was yel at the boys for their mistakes.

plished the quarterback block in 25 tries. During the

Results were dramatic. Performance on each of the

feedback phase, he did it correctly 22 of 30 times!

(Adapted from “A Behavioral Approach to Coaching Football: Improving Play Execution of the Offensive Backfield on a Youth Football Team,”

by J. Komaki and F. Barnett. In Journal of Applied Behavior Analysis, 1977, Vol. 10, 660. Copyright 1971 by the Society of the Experimental Analysis of Behavior, Inc. Reprinted by permission.)

A book by Martin and Hrycaiko (1983)

sonal benefit of increasing feedback to patients is

should be required reading for all athletic coach-

enormous. Until recently, physicians informed

es. In a wide variety of sports and documents,

patients about their conditions only in the most

they report study after study showing improve-

general terms. Now the best-informed physicians

ments of up to 1,000 percent over baseline.

encourage patients to self-monitor their own

As applied in medical settings, feedback is

physical conditions. Sales of products to aid in

called biofeedback—the process of providing

self-monitoring, such as pedometers, heart rate

patients with real-time data on their physiological

monitors and automatic blood pressure measur-

functioning. Typical measures used in biofeed-

ing devices are booming. It is easy to see from the

back are heart rate, blood pressure, skin tempera-

wide range of examples presented that feedback is

ture, and muscle tension. As amazing as it seems,

important in every phase of life. That need for

people are learning how to control these and

feedback doesn’t stop when people come through

other functions previously thought uncontrol-

the office door.

lable without medication. The medical and per-

Feedback is often the least expensive and easi-

FEEDBACK: THE BREAKFAST OF CHAMPIONS

161

est method people can use to start improving per-

The Relationship Between

formance. The reason more people don’t turn to

Antecedents, Feedback, and

increasing feedback as a solution to performance

Reinforcement

problems is that they have tried it in the past and

Feedback comes in many forms. Our five senses

it has not worked.

provide us with constant feedback from our envi-

Two reasons for this failure are first, people

ronment. However, in the workplace we rely pri-

often cannot differentiate feedback from infor-

marily on two senses: seeing and hearing. We may

mation and data, and second, they don’t under-

hear from the boss that the customer service index

stand the conditions that make feedback most

is below last month’s. At the same time we may see

effective.

a graph showing a decreasing rate of performance

In a comprehensive review of the research on

over the last five days. Yet it is possible that nei-

performance feedback, Balcazar, Hopkins and

ther of these events will change performance.

Suarez (1985) concluded the following:

1. Feedback alone does not uniformly

“Feedback alone does not change per-

improve performance.

formance; rather, performance

changes because of the consequences

2. Adding rewards and/or goal-setting proce-

directly associated with feedback. ”

dures to feedback improves the consistency

of its effects.

We may choose to ignore the feedback and not

3. Some characteristics of feedback are more

use it to improve performance, even though we

consistently associated with improved per-

formance than others.

could if we wanted to. Feedback only presents the

opportunity to improve performance. The actual

Putting a graph on the wall or having someone

improvement in performance comes about only if

graph performance on some variable will not

reinforcement is associated with improved per-

guarantee improvement. A number of criteria

formance, i.e. the reinforcement causes the

determine whether feedback will be effective, and

improvement associated with the feedback.

when those criteria are factored into the design of

In almost every case where performers have

a feedback system, the performance improvement

not been getting systematic feedback on perform-

that follows will surprise even the most experi-

ance, the addition of feedback produces immedi-

enced manager. The rest of this chapter will detail

ate improvement. To most people, it appears that

the factors to consider in designing an effective

performance improved as a direct result of the

feedback system.

feedback.

One of the problems in assessing the role of

feedback in performance is that the presentation

“Actual improvement in performance

of feedback is usually associated with some evalu-

comes about only if reinforcement is

ative statement; these statements, whether posi-

associated with improved perform-

tive or negative, verbal or written, tend to increase

ance, i.e. the reinforcement causes the

performance.

improvement associated with the feed-

If the comments are positive, performance usu-

back. ”

ally increases because of positive reinforcement. If

CHAPTER THIRTEEN

162

the comments are negative, performance usually

feedback and reinforcement are quite different

increases due to negative reinforcement1.

concepts and that increased motivation is attrib-

Feedback alone does not change performance;

utable to reinforcement, not feedback.

rather, performance changes because of the conse-

A study by Loewy and Bailey (2007) separated

quences directly associated with feedback, or

feedback from goal setting and manager praise in

because of consequences expected in the future. If

a study to improve customer greeting in a big box

there are no consequences associated with the

home improvement store. Following a baseline

feedback, performance will not improve, or if it

period of nearly a month, results showed that

does, the improvement will only be temporary.

greetings were below management’s expectations.

When Balcazar et al. (1985) compared studies

Feedback graphs posted in the back of the store

involving 1) feedback alone, 2) feedback and con-

near the time clock showed more than a doubling

sequences, 3) feedback and goal setting, they

of customer greeting in one store. The effect was

found that feedback alone produced the lowest

short lived and lasted only two sessions before

level of consistent effects. Feedback is most effec-

greetings fell back to baseline levels. When feed-

tive when it is a discriminative stimulus (SD) for

back was paired with goal setting and manager

positive reinforcement. In other words, if positive

praise, the target behaviors again improved

reinforcement is consistently associated with

(although not as high) but the modest effect was

increases in performance, the feedback takes on

maintained until the end of the study. Lowey and

properties of conditioned reinforcement. That is

Bailey concluded, “One possibility is the lack of

to say, seeing the improvement becomes a rein-

effective consequences tied to the administration

forcer to the performer. From an organizational

of the graphic feedback.”

perspective, this is highly desirable because much

Feedback is a necessary, but far from sufficient,

more reinforcement will occur under these condi-

condition for maximizing performance.

tions than if all reinforcement is dependent on

the presence of a supervisor or manager. Of

Characteristics of Effective Feedback

course, this means there has to be a history of

Feedback is a seemingly simple concept. How-

pairing feedback and reinforcement, usually

ever, a number of factors tend to increase its

established by management, if performers are to

effectiveness. Ten of them are presented below.

take part in the reinforcement process.

1. Specific information

In a study of the effect of consequences of

2. Information on a performance the person

individual feedback on behavior, Ilgen, Fisher,

controls

and Taylor (1979) stated that the effectiveness of

3. Immediately following the performance, if

feedback depends upon the extent to which it

not during

functions to lead the individual to anticipate a

4. Individualized

reward. They also said that the simple conclusion

5. Self-monitored when possible

that increased feedback leads to increased motiva-

tion is questionable. They go on to suggest that

6. If not self-monitored, delivered by the

person in charge

1 Note: Negative comments could be positive reinforcers and positive comments could be negative reinforcers: depending how they were paired with reinforcement and evidenced by how they affect the person’s behavior!

FEEDBACK: THE BREAKFAST OF CHAMPIONS

163

7. Focused on improvement

that repaired their equipment had a price

8. Easily understood

increase that month. The problem was

9. Graphed

solved when they changed their pinpoint to

percentage of routine maintenance items

10. Used as an antecedent to reinforcement

performed on schedule. Anytime you use

1. Give specific how-to information. Specific

financial data for performance feedback,

here means that the performers should

you are likely violating the issue of control.

know exactly what behaviors to change

Another aspect of control to be consid-

when they look at the graph. A graph on

ered is whether the person has the knowl-

department quality may not be feedback to

edge and skill to improve the performance.

many of the performers because they won’t

If the person is untrained or poorly trained,

know what to do differently to improve

feedback (no matter how specific) will be

quality when they see the data. But they

ineffective, even though the performance is

will know if you break out the data by par-

technically under the control of the per-

ticular aspects of quality, such as number of

former. This would be an instance where

documents processed without an error,

the performer can’t do rather than won’t do

mean number of copies between service

(Mager & Pipe, 1999; Chapter 7).

calls (copier service technicians), machine

The same considerations discussed about

run time, number of board-feet sanded per

control such as obstacles, tools, or permis-

sandpaper belt (furniture plant), or percent-

sion, that were discussed in Chapter 5

age of door weather strips installed correct-

(Pinpointing) are appropriate here.

ly the first time (auto assembly plant).

3. Give immediate feedback. In repetitive

When planning feedback, it is a good idea

tasks, project work, and other ongoing

to test the performers to see if they know

activities, the general rule on feedback is

what to do when the data goes up or down.

this: The sooner the better. Hourly feedback

2. Give feedback on a performance the

would give performers more opportunities

person can control. There are two aspects

to change performance than would weekly

to this characteristic. First, the performance

feedback. Even in a time when computers

must be something the performers can do

can process millions of bits of information

themselves. While this seems obvious, this

per second, performance feedback is usually

principle is often violated. For example, in a

in the dark ages when it comes to lag time

furniture plant, employees were charged

between the performance and the feedback.

with reducing the amount of money spent

Not only is it almost impossible to get daily

on forklift truck maintenance each month.

feedback, many organizations get their

A graph was put on the wall and everyone

monthly data a week or more after the

set out to do things to reduce the mainte-

measured performance period ends.

nance bill. They were extremely disappoint-

Daily feedback is recommended whenev-

ed when the figure for the first month

er possible, but weekly feedback is accept-

showed an increase over baseline. What did

able. In a study on the prevention of back

they do wrong? Nothing. The company

injuries, Alavosius and Sulzer-Azaroff

CHAPTER THIRTEEN

164

(1990) found that immediately giving feed-

plexity of the learning task increases, the

back for proper lifting produced results in

results were more dramatic in favor of the

two days, whereas weekly feedback required

feedback before condition. The rule is as fol-

several weeks before a performance change

lows: Give positive feedback after the per-

was observed.

formance and corrective feedback before the

Findings clearly show that monthly feed-

next performance.

back is rarely associated with consistent

improvement. While monthly data may be

4. Individualize feedback. Feedback is most

interesting, and even pleasing, it should not

helpful when it is based on an individual’s

be the only feedback that performers get.

performance. When you have individual

feedback, many other characteristics of

effective feedback are easily met. Feedback

on individual performance is more likely to

“The optimal time of feedback to estab-

lish a new behavior is immediately

be specific, under the performer’s control,

before the next opportunity to respond

self-monitored, immediate, and easily

rather than the usual feedback after

understood.

the response. ”

However, in many instances individual

measures do not exist. In such cases, the

When feedback is given to improve the

rule is to provide feedback to the smallest

quality of performance (called formative

group possible. If three people operate as a

feedback by Tosti, 1987), research indicates

team on a particular machine, feedback

the best time for the feedback is not imme-

should be on team performance. If two peo-

diately after the session or performance, but

ple work on a project and their individual

immediately prior to the next session or

performance is not measured, give feed back

performance. Brewer (1989) conducted a

on the project status. When giving feed-

study in which trainees were given feedback

back for any group, no matter how small,

on their performance in an interviewing

you always run the risk of reinforcing the

training program. Three feedback condi-

work of those who are not contributing

tions were examined: immediately before

their fair share. Of course, in those situa-

the sessions, immediately after the sessions,

tions, you want to focus on the behaviors of

or no feedback. The results showed a signif-

the individuals so you will know what you

icantly better performance for the feedback

are reinforcing.

before group as compared to the feedback

Even if you are able to give individual

after group. See Figure 13.2. Further valida-

feedback, you should also give group feed-

tion of these findings is provided by

back. Team, crew, section, shift, and depart-

Roberts (1997). Her research showed that

ment feedback is always appropriate. In

the optimal time of feedback to establish a

fact, group feedback increases reinforce-

new behavior is immediately before the

ment opportunities considerably over those

next opportunity to respond rather than

provided by individual feedback. With

the usual feedback after the response. See

group feedback, supervisors, managers,

Figure 13.3. She also found that as the com-

peers, and even visitors can become part of

FEEDBACK: THE BREAKFAST OF CHAMPIONS

165

Figure 13.2 Effects of Formative Feedback When Delivered Before and After Performance Cumulative net change in the

15

frequency of specific interview-

14

ing behaviors following forma-

13

f

tive feedback about those

ack

rs 12

b

behaviors for each feedback

11

ge o

FEEDBACK BEFORE

group during sessions 2-8. (The

10

an

eed

avio

numbers on the x-axis charac-

9

h

F

eh

terize interviewing behaviors

8

C

B

such as paraphrases, open-ended

7

cy in

questions, and flagging.)

ain

6

en

5

(Adapted from “Feedback in

u

4

FEEDBACK AFTER

Training: Optimizing the

et G

argetedT 3

Effects of Feedback Timing.” P.

N

Freq

2

Annette Brewer, May, 1989.

1

Unpublished Paper.)

0

2

3

4

5

6

7

8

Sessions

Figure 13.3 Training: English to Japanese

20

15

sesno

esp

10

rrect Ro C# 5

Feedback before

Feedback after

0

Sessions

(Feedback before vs. feedback after the session. Adapted from “Should Corrective Feedback Come Before or After Responding to Establish a New Behavior.” P. Roberts, December, 1997. Unpublished paper.) the reinforcement system. In other words,

5. Encourage self-monitored performance.

always give both individual and group feed-

When feedback is given on the individual

back whenever possible. The following is a

level, it is usually possible for people to

rule of thumb: Individual feedback should be

measure their own performance, thereby

given privately; group feedback is most often

enabling feedback to be immediate.

posted publicly.

Immediate feedback allows the person to

adjust performance before it deviates too

CHAPTER THIRTEEN

166

greatly from the desired level. Organi-

people will fake the data. Since they know

zations that use Statistical Process Control

the boss will be looking at the data they

systems stress just this point. Performers

keep, they will record information that

constantly monitor the process in order to

makes them look good.

take action and make adjustments that are

If people fake data, it means that data

necessary to keep the process in control.

has been used primarily to punish them in

Again, immediacy is certain if employees

the past. The experience of many people

collect the data. If they depend on someone

has been that their bosses have ignored data

else to provide the feedback, it will not be

when it showed average or better perform-

immediate. Nevertheless, supervisory feed-

ance, and used data as a way to threaten or

back does seem to have some advantages.

criticize if performance was below average.

The data presented by Balcazar et al. (1985)

If performers have this history, it is best

indicates that feedback provided by super-

not to begin to give feedback with self-

visors or managers produced more consis-

monitoring. Feedback must first be estab-

tent results than self-generated feedback.

lished as an antecedent to reinforcement. It

Upon interpretation, the authors point out

is often necessary to use a combination of

the following: Feedback provided by super-

social and tangible reinforcers to break

visors may be more likely to be associated

down the negative associations that people

with reinforcement or punishment. Putting

have with being measured. Often, when

the feedback in the hands of the supervisor

feedback has been established as an

may increase the likelihood that reinforce-

antecedent for reinforcement, people

ment is contingent on desired behavior.

enthusiastically keep their own graphs.

However, if the supervisor uses self-gen-

Because of the negative history that

erated feedback as the basis for frequent

many people have experienced with per-

contingent reinforcement, it should pro-

formance measurement, when starting peo-

duce even greater effects than supervisor-

ple on self-monitoring, it is usually advis-

generated feedback alone. In other words, if

able to reinforce accurate recording rather

the supervisor refers to the data of a self-

than changes in the performance. Accurate

monitored employee and uses that data as

recording is easy to measure and easy to

the basis for positive reinforcement, feed-

reinforce. This ensures that early experi-

back effectiveness could be doubled.

ences with feedback will be associated with

Self-monitoring is especially valuable for

positive reinforcement. After accurate

new employees. The sooner they know

recording has been achieved, you can move

whether they are right or wrong, the more

into reinforcing improvements in the data.

rapidly they will learn the job. Also, if the

supervisor pairs reinforcement with self-

“Feedback should not be graphed or

monitoring, it sets the performer up for later

delivered by assistants, clerks, or any

on-the-job success. It also makes the trainee

other person not in a functional leader-

less dependent on the supervisor for feed-

ship position. ”

back, which helps both be more efficient.

A typical objection to self-monitoring is

FEEDBACK: THE BREAKFAST OF CHAMPIONS

167

6. If not self-monitored, feedback should be

fourth, if the boss records the data, she is

collected and delivered by the person in

more likely to reinforce than if someone

charge. When feedback cannot be self-mon-

else records the facts and figures.

itored, the person in charge should collect

Again, the most compelling reason for a

and deliver it. This may be the person’s boss,

manager or supervisor to collect and deliver

team or group leader, teacher, coach, parent,

feedback on performance comes from the

et cetera. Feedback should not be graphed

research survey by Balcazar et al. (1985).

or delivered by assistants, clerks, or any

They state, “Feedback delivered by supervi-

other person not in a functional leadership

sors or managers has been more frequently

position. Providing feedback to performers

associated with consistent effects than feed-

is one of the primary responsibilities of a

back from any other sources for which ade-

manager or supervisor and it should not be

quate numbers of experiments have been

delegated to others. If managers and super-

conducted” (p. 81).

visors are to create successful employees,

then they must accept the fact that provid-

7. Focus on improvement. The most frequent

ing feedback and reinforcement are among

kind of feedback people get on their per-

their most important functions.

formance is about what they are doing

When self-monitoring is not possible, a

wrong. As a matter of fact, when someone

manager or supervisor should track data

says “I need to give you some feedback”

and deliver performance feedback for four

most people don’t expect a discourse on

reasons. First, when the manager or supervi-

their personality strengths. Usually this

sor takes the time to record and deliver

kind of feedback is all about what you

feedback in person, it sends the message

should stop, quit, avoid, or refrain from

that the information is important. Hence,

doing. It points to your failures and your

that particular feedback is more important

omissions.

than the many other numbers the person

Performance data in most organizations

may see during the course of the workday.

is consistent with that philosophy. We

Second, when managers or supervisors

count rejects, mistakes, errors, accidents,

collect and deliver feedback, performers

and absenteeism. Of course, most of these

know that the boss knows how they are

pinpoints violate the Dead Man’s Test,

doing. Since the focus is positive, people are

(Chapter 5) and as such are subject to all

more likely to feel that the boss cares about

the problems associated with them. It is,

them and their performance. Of course, in

therefore, much better to give feedback

the process of delivering feedback, conver-

about days at work, percent of yield, per-

sation with the boss often confirms that

cent of orders processed correctly, percent

feeling.

of error-free documents processed, and per-

The third reason that managers or super-

cent of safe working behaviors. You should

visors should collect and deliver feedback is

focus on the behaviors that will produce a

that by taking the time to graph the data,

solution rather than the behaviors that rep-

the boss learns more about the data than if

resent the problem. That is why we change

someone else does it for him or her. And

the focus to the positive aspect of perform-

ance, such as days at work, rather than the

CHAPTER THIRTEEN

168

negative, days missed from work.

8. Make your feedback easily understood.

However, there is another compelling

Feedback that is not understood is not real-

reason to track positively stated pinpoints.

ly feedback. If performers don’t understand

It has to do with reinforcement. Feedback

the feedback, it is unlikely that they know

on a negatively stated pinpoint is a natural

what to do to make improvement. Even

antecedent for you to punish or to use neg-

though feedback may be understandable to

ative reinforcement, since you want to

the person presenting it, that person must

reduce the frequency of the undesired

make sure that it is understandable to the

behaviors. On the other hand, when you

person receiving it. This is particularly

focus on what you want and acknowledge

important when giving feedback in the

the desired behaviors you see, you are more

form of composite scores such as indexes,

likely to deliver positive reinforcement since

checklists, and matrices.

you are getting more of what you want.

It is a good idea, at least in the begin-

Using positively stated pinpoints will also

ning, for supervisors or managers to present

affect the language you use. When you focus

the feedback in person. This way you can

on a performance problem and you see

see people’s responses and can ask if they

improvement, a common response, when

understand the data. You can also deter-

asked about that performance is, “It’s not too

mine if the performers know what to do to

bad.” Does that statement mean that you are

improve by asking them to explain it to you

pleased? For example, imagine a boss saying,

or to someone else in your presence.

“Rejects are down 10 percentage points. You

Another way to avoid the confusion is to

aren’t doing as badly this week as you were

allow the performers to create their own

doing last week.” This is somewhat like the

form of feedback.

executive we once worked with whose high-

est praise was “You have not displeased me.”

9. Graph your feedback. Something that

This is not likely to be a reinforcing state-

people can see in picture form is usually

ment. If, instead, the boss said “Quality has

better than oral or written descriptions of

improved by 10 percentage points this week

how well they are performing. Keep in

over last week; that’s good improvement,”

mind that a picture is worth a thousand

people will find that more reinforcing and

words. This is why feedback is most effec-

will be more likely to make more improve-

tive when displayed on a graph. Look at

ment the next week.

Figure 13.4. The graphic display of the data

A clue as to whether you are violating the

gives the reader a much clearer picture of

guideline of a positive pinpoint is the direc-

how the group has performed. In over 35

tion of improvement on the feedback graph.

years of PM applications, graphs have con-

If, to indicate improvement, your graph line

sistently been the most effective device for

must go down, you probably have stated

giving feedback. This is no accident,

your pinpoint negatively. The solution is

because when graphs go up, so does rein-

not simply to invert the graph, but to state

forcement. In schools, homes, and work set-

your pinpoint in positive terms, so that your

tings, when someone graphs performance,

graph can reflect an upward trend.

that performance is likely to improve

FEEDBACK: THE BREAKFAST OF CHAMPIONS

169

Figure 13.4 Electric Company Circuit Breakers Overhauled - Goal vs. Actual South Division Substations

180

Circuit Breakers Overhauled in 1992

160

Circuit Breakers

GOAL

140

Overhauled

120

JAN

13

16

FEB

25

45

100

MAR

38

74

80

APR

50

86

60

MAY

63

100

JUN

75

115

40

ACTUAL

JUL

88

127

20

GOAL

AUG

100

143

0

SEP

113

154

JAN

FEB

MAR

APR

MAY

JUN

JUL

AUG

SEP

OCT

NOV

DEC

OCT

125

NOV

138

(Adapted from “The Power at Philadelphia Electric Co.,” Performance Management Magazine, Vol. 11, No. 1,

DEC

150

pp 15-25. Copyright 1984 by Performance Management Publications, Inc. Reprinted with permission.) because, in most cases, graphs are an

forcement tie-in. Our clients have used

antecedent for reinforcement.

feedback themes such as race cars, moun-

tain climbing, monopoly, and bingo to

10. Feedback should be an antecedent for

show performers their goals, their baselines,

reinforcement. This topic, discussed

and their progress.

throughout this chapter, cannot be overem-

Themes prompt performers to talk to

phasized. Feedback presented without rein-

and reinforce one another using a common

forcement will, under the best of circum-

base for measuring the progress and success-

stances, eventually lose its ability to sustain

es of individuals and groups. When every-

or improve performance. If you don’t have a

one views a mutual goal as an antecedent

plan for reinforcing improvement before

for success, feedback on progress will have a

you start giving feedback, the probability is

significant and positive impact. This is why

you will eventually get only a minimal level

graphing based on a common theme is very

of performance.

effective.

One of the most effective ways to

The secret, as a manager or supervisor, is

accomplish optimal performance is to use

to graph performances that really matter to

thematic feedback coupled with thematic

the organization. Then you must pair posi-

reinforcement. When you create a visual

tive trends on the graph with reinforce-

depiction of success that ties in with a the-

ment, if that data is to have any effect on

matic reinforcer, such as the previously

behavior. Your actions will, in turn, make

mentioned Top Gun license plates, people

the graphs an antecedent for reinforcement

are more likely to make the feedback/rein-

for others.

CHAPTER THIRTEEN

170

As Balcazar et al. (1985) stated:

Feedback is an Antecedent for Reinforcement

. . . the evidence suggests that the best bets

are to combine feedback that is graphically

presented at least once a week with tangible

rewards. Eighty percent of the studies with

known effects that applied these characteris-

tics were consistently effective regardless of

whether goal-setting procedures were addi-

tionally used (p. 84).

This does not mean that tangible rein-

forcement must be given at least once a

week, but simply that feedback, when paired

with reinforcement, both social and tangible,

produces the best effect.

It’s just something the kids scratched out but

for some reason I feel good when I look at it.

Summary

© Ray Hel e. Reprinted with permission.

We refer to feedback as the “Breakfast of

Champions” since it can make normal individuals

some circumstances. Feedback works best when it

into powerful change agents. Managers and

is an SD for some reinforcer; if there is no conse-

supervisors who use feedback properly can turn

quence, feedback simply becomes information

their average employees into very successful mem-

and would be classified as a neutral stimulus.

bers of the team. Those employees will have great

Some of the more important guides to using feed-

morale, be highly productive and have very little

back include: provide individualized feedback on

chance of being injured since their safety behav-

a performance the person can control, and provide

iors will also be finely tuned.

the feedback immediately following the perform-

Research on feedback going back to the 1970’s

ance. Allow the individual to self-monitor if possi-

shows that providing feedback according to the

ble, graph the feedback in an easily understood

guidelines in this chapter can routinely increase

way, and of course, intermittently follow the feed-

performance 20 to 50 percent and even higher in

back with a reinforcer for the person.

Use the QR CODE reader on your smart-

Use the QR CODE reader on your smart-

phone to learn more about:

phone to learn more about:

Article: PM “Certification at AG

Article: “Customer Service: A

Communication Systems Corporation”

Measurable Quality at The Orange

County Register”

171

14

Finding Reinforcers, Creating Reinforcers

(R+)

When applying PM to improve organizational

the lower the probability that any single rein-

performance, one of the more important tasks

forcer you choose will be a reinforcer for every-

(once the critical behaviors have been defined) is

one. How then do you find the reinforcers for the

to help upper-level managers and supervisors find

people at work? This section will give you some

reinforcers for their employees. One of the ques-

ways to simplify the task.

tions most often asked by managers is, “How do

you choose good reinforcers?” The next most fre-

Wants, Desires, Values, and Reinforcers

quent question is, “What do you do if you don’t

In attempting to find an effective reinforcer, it is

have any money for reinforcers?” Coming up

helpful to think in terms of what the person or

with answers is not an easy task; it takes experi-

group wants, desires, or values. However, these

ence and practice to be good at it. In this chapter

are not identical to reinforcers. You may say you

we provide guidelines and tips to help move that

want something, but you may not be willing to

acquisition along more quickly.

increase your rate of performance to get it, and

even if you think you would work for it, you

might not.

“In attempting to find an effective rein-

Even though wants, desires, and values are not

forcer, it is helpful to think in terms of

the equivalent of reinforcers, they are helpful to

what the person or group wants,

know when trying to discover reinforcers. If the

desires, or values. ”

wants, desires, and values of other people are the

same as ours, we will probably have many rein-

forcers in common. But in the final analysis, no

Finding Effective Reinforcers

matter what we call it, if it doesn’t increase the

People’s varied likes and dislikes complicate the

behavior, it isn’t a reinforcer.

problem of finding effective reinforcers, because

One of the most common errors made in

no two people have exactly the same reinforcers.

choosing reinforcers for others is that we assume

In one of our PM seminars we asked participants

they want what we want, even when there are to make a list of their reinforcers. Even though

large differences in age, education, social status,

the lists were relatively short (an average of eight

and culture. Many managers, for example, offer to

items) no two lists were alike. Even so, since many

take a top performer and spouse to dinner at a

people respond to the same or similar reinforcers,

fancy restaurant when that is the last thing the

we can efficiently manage groups of people using

couple wants. They may prefer beer and pizza or

this knowledge. However, the larger the group,

CHAPTER FOURTEEN

172

dinner without the boss, compliments of the

who have unique reinforcers just as do people

company! Of course, the opposite mistake is also

who live and work in the United States. To be

made when we assume that because of someone’s

clear, we respect and acknowledge that the

background or job position they would prefer

Chinese (and other nationalities) have a culture

beer and pizza when in fact they would rather go

in which reinforcers and behaviors differ from

to an upscale restaurant.

those in America. All cultural practices reflect

these unique histories of reinforcement—and,

certainly, the wonderful variations in cultural

“Most people of al ages, education,

practices are important to understand. However,

social status, and culture respond

the reason people of all nationalities behave as

favorably to expressions of apprecia-

they do is because they are people who learn

tion for good work. ”

through the selective power of particular rein-

forcers that sustain behavior, regardless of coun-

This highlights an important feature of the

try or culture or origin.

PM process. It is the most individually centered

The variety of individual wants and needs is as

management approach available today. It starts

infinite as the variety of people. Because of this,

from a premise that everyone is different. While

PM will not work effectively unless the individ-

it may seem problematic for an organization to

ual’s reinforcers are identified. At first glance it

have the resources to treat everyone differently, it

appears that choosing effective reinforcers for one

is the only way that the organization can capture

person is difficult and for a group, impossible.

discretionary effort. The economic value of cap-

Fortunately, there are some things that seem to

turing discretionary effort almost always exceeds

transcend all of our differences. For example,

the cost of treating employees in a personal way.

most people of all ages, education, social status,

You will never maximize the potential of an

and culture respond favorably to expressions of

organization if you treat people as stereotypes of

appreciation for good work. There are other rein-

any kind.

forcers that many people respond to but the ques-

Individuals have a rich history of reinforce-

tion is, “How do I find which reinforcers apply to

ment that they bring to the workplace. Finding

the individuals with whom I work?”

distinctive reinforcers for each person that either

Three methods of identifying reinforcers are

help initiate new behaviors or maintain behaviors

asking, observing, and testing.

is one of the best opportunities managers have to

recognize the uniqueness of every employee.

1. Asking people what they like. One way to

While this may sound like a complicated task, it

identify effective reinforcers for people is by

is not very difficult, as we hope to demonstrate in

talking to them. Ask them what non-work

this chapter. Using the processes defined below,

activities they spend their time and money

we can discover the vast majority of things that

pursuing. Do they hunt, jog, ski, read, or

we each find reinforcing.

play a musical instrument? The simple act

Performance Management works everywhere.

of talking to people about something they

PM methods have been applied successfully in

are interested in is practically always a rein-

over 30 countries. When we worked in China, we

forcer. For example, spending some time

didn’t treat people as Chinese, but as people who

talking to someone about her family or her

happen to live in China. They are individuals

hobby is usually reinforcing.

FINDING REINFORCERS, CREATING REINFORCERS (R+) 173

Asking people what they like about work

percent below standard (below 45 units per

is also helpful. Some may like overtime;

hour). They eventually performed 28 per-

others may want more time off. Some may

cent above standard (more than 92 units

want to work alone, while others want to

per hour), which was more than double

work as part of a group. An example of ask-

their starting performance. While this is an

ing people what they like and using it as a

outstanding improvement, it is not rare.

reinforcer is provided by Dr. Thomas K.

When we add reinforcement where it previ-

Connellan. Connellan (1978) is a pioneer

ously did not exist, significant improvement

in the application of Performance

is the rule.

Management techniques. He relates the fol-

Unfortunately, this story didn’t end hap-

lowing incident.

pily. According to Connellan, an upper

manager at the plant intervened.

A young manager at one of the major

automobile manufacturers was placed in

Everything was fine until one of the

charge of a line that assembled rear-end

divisional vice presidents, hearing of the

units for trucks and buses. He discovered

improved production, came down to

that although standard production was 72

observe what was going on. As luck would

units per hour, workers barely completed

have it, he showed up in the middle of a

45 units per hour. Being fairly new with

break and raised the roof. Increased pro-

the company, the young manager asked the

duction notwithstanding, as far as the VP

people working that line what it would

was concerned, those workers were paid to

take for them to bring their output up to

work eight hours a day and that was exact-

standard. After talking it over, they decid-

ly what they were going to do.

ed that if they were permitted to get in an

Needless to say, the employees went

extra break once in a while that would jus-

back to working eight hours a day and pro-

tify an increased effort on their part. The

duction dropped to below the original stan-

final deal was that once they had complet-

dard. The new supervisor’s unorthodox

ed 72 units within a given hour, the rest of

reinforcer had been visible and accessible,

that hour was theirs for a break. It took

and there was no doubt that it was effec-

only a week before the workers produced up

tive. The real question revolved around

to standard within 35 minutes; they took

whether the company wanted a labor force

the remaining 25 minutes for their break.

that produced at maximum level or one

Both the manager and the workers were

that merely put in time (p. 129).

aware that such a long break was impracti-

cal, so they renegotiated and amended the

This example brings up an important

original agreement. This time the stan-

point about asking people what they like.

dard was raised to 92 units per hour,

The reinforcer must be under the control of

which they were able to produce and still

the person delivering it. In this case, the

get a 10-minute break every hour

supervisor thought he had control when he

(Connellan, 1978, p. 129).

did not. Make certain that you won’t be

overruled after you have set up a contin-

Note that the workers’ beginning per-

gency for earning a reinforcer.

formance typically fell in the range of 37

Directly asking what people’s interests

CHAPTER FOURTEEN

174

are can be supplemented by a questionnaire.

you have a positive relationship and explain

Sometimes referred to as reinforcer surveys,

the purpose of the list, the very act of ask-

these forms list items (both social and tan-

ing will be a reinforcer to most.

gible) and include a wide range of possible

A reinforcer survey is used to help you

interests. People check the ones they like. A

get to know people better. Do not send the

survey is helpful because if you ask people

survey in the office mail or by e-mail, and

to tell you about their interests and hob-

do not leave it on a person’s desk with a

bies, they may not remember them all at the

note to fill it out and return to you. This

time or may not think you would be inter-

invites disaster. Sit down with the person

ested in some of the things they do. The

and explain what you want and why you

survey provides a memory jogger and gives

want it. Introduce it simply as a way to get

you specific information about a person.

to know people better. A sample survey is

Do not use a reinforcer survey if you don’t

provided in Figure 14.1 Initially it is proba-

have a positive relationship with employees.

bly best to use the survey form for the

If you don’t have one, they will be suspi-

supervisor or manager as a prompt during

cious, reticent, and sometimes hostile when

an interview with the employee.

you start prying into their personal lives. If

Wel -Known Reinforcer Surveys

My Favorite Things

I Love

Raindrops on roses and whiskers on kittens,

I love little baby ducks, old pick-up trucks, slow

Bright copper kettles and warm woolen mittens.

movin’/trains, and rain.

Brown paper packages tied up with strings,

I love little country streams, sleep without

These are a few of my favorite things.

dreams, Sunday school in May—and hay.

Cream-colored ponies and crisp apple strudels,

I love leaves in the wind, pictures of my friends,

Doorbells and sleigh bells & schnitzel with noodles,

birds in the world, and squirrels.

Wild geese that fly with the moon on their wings,

I love coffee in a cup, little fuzzy pups, bourbon

These are a few of my favorite things.

in a glass, and grass.

I love open honest smiles, kisses from a child,

Girls in white dresses with blue satin sashes,

tomatoes on a vine, and onions.

Snowflakes that stay on my nose and eyelashes,

I love winners when they cry, losers when they

Silver white winters that melt into spring,

try, music when it’s good—and life.

These are a few of my favorite things.

And I love you, too.

When the dog bites, when the bee stings,

When I’m feeling sad,

(Reprinted with permission, Ryckman Music Publishing Co., I simply remember my favorite things

1974, Tom T. Hall Hallnote Music)

And then I don’t feel so bad.

(Reprinted with permission, Chappell & Co., Inc. 1956 by Alan Jay Lerner and Frederick Loewe)

FINDING REINFORCERS, CREATING REINFORCERS (R+) 175

Figure 14.1 Example of a Reinforcer Survey

REINFORCER SURVEY

Name:

Company:

The items in this survey refer to things and experiences that may make you feel good. Check each item in the column that describes how much pleasure you receive from it.

None

A

A Fair

Very

At Al

Little

Amount

Much

Much

1. Spending time on hobbies (list specific hobbies)

Surfing

✔

Water skiing

✔

Sailing competitively

✔

2. Listening to music (list specific kind)

Reggae

✔

Jazz

✔

English progressive

✔

3. Attending concerts

Reggae

✔

Outdoor Reggae concerts

✔

4. Watching sports

College football

✔

Great moments in sports films

✔

5. Playing sports

Company softball games

✔

Company touch football games

✔

Any water sports

✔

6. Reading

Performance Management books/articles

✔

Comic books

✔

Sports car magazines

✔

7. Watching movies

Tom Hanks, Eddie Murphy, Comedy specials

✔

Vietnam themes

✔

Science fiction (Alien but not Star Wars)

✔

8. Watching TV

CNN News

✔

Nature specials

✔

9. Attending parties

Casual outdoor

✔

Black tie (every now and then)

✔

10. Solving problems

Artistic layout questions

✔

Ask my opinion on a presentation

✔

11. Completing a difficult job

✔

12. Singing

✔

13. Dancing

✔

14. Playing a musical instrument

✔

15. Shopping

✔

16. Playing cards

✔

17. Being around people

✔

18. Involvement in church/temple

✔

19. Writing

✔

20. Organizing a program or refreshments for a meeting

✔

21. Cooking

✔

22. Painting

✔

23. Other

CHAPTER FOURTEEN

176

Modify the survey to fit the interests of

ple aren’t aware of their reinforcers. For

the people taking it. Spend some time talk-

example, most people will say that they

ing about it with each person so that you

want more money but may fail to realize, or

understand precisely what the items on

are unwilling to admit, the importance of

their lists mean. For example, one man list-

simple recognition from their bosses.

ed tickets to cultural events as a reinforcer

Someone may list in a reinforcer survey that

he would enjoy. Later, to recognize the

they love the symphony. But when asked

man’s performance, his boss gave him tick-

how often they attend, they may say they

ets to the symphony. The man later told our

haven’t been to one in years, even when

PM consultant that what he really wanted

they had the opportunity. After administer-

was tickets to a wrestling match. As you can

ing a reinforcer survey, you may want to ask

see, it pays to ask people to be very specific

when was the last time they actually did the

about their reinforcers.

various things they listed. If it is something

The cafeteria benefit approach is a kind

that they have the opportunity to do but

of reinforcer survey. These are workplace

don’t, it will be a dubious reinforcer. On the

compensation plans designed to tailor ben-

other hand, if they don’t do something

efit programs to individual desires. The

because they don’t have the opportunity

total cash value of the package is deter-

due to expense or geography, it could be a

mined and the employees can choose more

very effective reinforcer or reward.

of one benefit, such as life insurance, and

less of another, such as health insurance, up

to the limit of the plan amount. (Note,

“Many times when bosses ask subordi-

however, that cafeteria plans typically vio-

nates for a reinforcer list, employees

tend to list things they think are

late one of the most basic characteristics of

acceptable to the boss or organization,

reinforcement: they are not contingent on

rather than things they real y want. ”

performance. In most cases as long as peo-

ple are employed, they receive all the cus-

tomized benefits regardless of their per-

Occasionally managers may use some-

formance.)

thing that a particular group or individual

Before asking people what they want,

told them was a reinforcer only to discover

you should be aware of some potential

that performance didn’t increase when that

problems. The three problems that are

reinforcer was delivered. This does not hap-

encountered most often are:

pen because people are dishonest but

1. People don’t know what their rein-

because they simply thought it was more

forcers are.

important to them than it turned out to be.

Most people are not accustomed to list-

2. Sometimes, people won’t tell you

ing the things they like, either verbally or

what their reinforcers are.

on paper. As mentioned above, when PM

3. People may ask for reinforcers that

class participants have been asked to make a

you can’t deliver.

reinforcer list, the average list contained

As strange as it may seem, sometimes peo-

only about eight items. In reality, everybody

FINDING REINFORCERS, CREATING REINFORCERS (R+) 177

has hundreds of reinforcers. In the begin-

ods for determining individual and group

ning, performers’ lists may be short, but as

reinforcers. Once people have experienced

you work with them, the lists will grow.

reinforcement at work or are trained in the

Although making a list may be difficult at

approach, asking is an efficient way to learn

first, as employees see that the lists are actu-

about reinforcers. In the meantime, obser-

ally acted upon, they will want to keep

vation is a very effective way to discover

them current.

effective reinforcers.

Many times when bosses ask subordi-

nates for a reinforcer list, employees tend to

list things they think are acceptable to the

“If we look at what people do when

given a choice, we can discover some-

boss or organization, rather than things

thing about their reinforcers. ”

they really want. In work environments

where there is a low level of trust, perform-

ers may only tell others those things they

The observation method we recommend

consider safe; that is, only those things that

is based on the Premack Principle. This

they are sure they will not be punished for

principle involves observing people to see

revealing. If people are afraid they will be

what they do when they have a choice. If

ridiculed, or in any way made to feel

they have the choice of either talking to

uncomfortable about something that they

clients on the phone or participating in a

like, they will not list it on a survey.

team activity, their choices tell us which

Sometimes when you ask people to tell

behavior is more reinforcing. While this

you what they want or like, you may set up

may seem obvious, thinking of something as

false expectations. When you ask the ques-

obvious as that in Premack terms helps us

tion, be sure to let them know that you

manage more efficiently. For example,

want to know the types of things they like

rather than say, “Stop talking and get back

or enjoy. Tell them that you may not

to work” Premack would lead you to say,

arrange for every particular reinforcer they

“When you finish that task you can spend

mention, but they shouldn’t be afraid to list

some time on the project you asked me

every reinforcer that comes to mind. Who

about this morning.” If an IT specialist

knows? You may do something that they

always volunteers to install software sys-

wouldn’t think you could. Knowing what

tems, then installations might be used as a

people like, however outrageous their choic-

reinforcer for spending a few hours at the

es may be, will help you to know them bet-

help-desk (a less-preferred activity).

ter, and as such, will give you ideas for rein-

In short, David Premack (1959) made an

forcers that you can provide.

important discovery about reinforcers. His

discovery was that a high probability behav-

2. Observing behavior. Even though common

ior can serve as a reinforcer for low probabili-

sense seems to indicate that asking would

ty behavior. In other words, if we look at

be the best way to find reinforcers, it is not.

what people do when given a choice, we can

When you begin to reinforce, it is usually

discover something about their reinforcers.

best to start with one of several other meth-

Premack’s research dramatically expanded

CHAPTER FOURTEEN

178

the range of reinforcers available to man-

cup, and pushing an adult around in a

agers. Although some applications of his

caster-equipped chair. The modification

principle are rather commonplace, the

was highly successful and the children

range of them is far from obvious. For

quickly learned to follow the teacher’s

example, every parent knows the technique

instructions (p. 345).

of arranging a contingency between vegeta-

bles and dessert. Lindsley (1965) called this

Although this example involving young

Grandma’s Law: When you eat your vegeta-

children may seem far removed from man-

bles, you can have dessert. Unfortunately

aging in the workplace, the principle

this contingency is poorly managed in many

behind the behavior in this setting is very

households because the child often gets

robust and has been demonstrated to be

dessert even when he does not eat the veg-

effective in the widest range of human

etables. However, when managed well, the

endeavors. It basically states that if you

law works reliably. Homme, et al. (1963, as

watch what people are doing when they

cited in Pierce & Epling, 1999) say:

have a choice, what they choose will poten-

tially be a reinforcer for some less-preferred

These investigators modified the behav-

or neglected behavior. If a programmer

ior of nursery school children who engaged

repeatedly falls behind in completing docu-

in a variety of disorganized activities. The

mentation of completed programs (low-

children were running, screaming, pushing

probability behavior—doing documenta-

chairs around, and generally having a won-

tion) but has several pet projects that he

derful time. This behavior was viewed as

works on during idle time, Premack would

annoying because the children ignored the

say to make a contingency between the two.

teacher’s instruction. The researchers rea-

For example, you might say, “When you

soned that the teacher could get the children

complete the documentation of this pro-

to follow more instructions if the higher fre-

gram, you can spend the rest of the after-

quency behaviors of running and screaming

noon on your personal project.”

were made contingent on following instruc-

The use of the Premack Principle relies

tions. For example, when the children were

on a contingency contract, explicit or

sitting quietly and attending, the teacher

implied: If you do X, then you can do Y.

was told to ring a bell and tell them to run

On first reading, a contractual arrangement

and scream. After the teacher rang the bell

may appear less than reinforcing. However,

the children usually began to scream and

in practice, people most often feel freer

run around the classroom. At this time, the

under this arrangement. First, they enter

teacher rang the bell again and gave anoth-

into the arrangement by choice. Second, the

er instruction to another activity.

preferred activity is sanctioned. The

Eventually, the children earned tokens by

mechanic who knows that he spends too

engaging in low-probability behavior. These

much time working on electric motors may

tokens could be used to buy opportunities to

feel guilty about it but still does it because

engage in higher probability operants, like

he likes it so much more than other tasks.

kicking a waste basket, throwing a plastic

But when the contingency is set up (when

FINDING REINFORCERS, CREATING REINFORCERS (R+) 179

you do complete the work on that pump,

after you begin to use it, you will be sur-

you can spend the rest of the afternoon

prised at how many opportunities for apply-

working on those electric motor problems),

ing it come up every week.

he will feel relaxed, comfortable, and guilt-

Being given a choice is a reinforcer in

free when doing the type of work he most

many situations, even if the person does not

enjoys is earned.

accept your contingency. For example, if

Most people tend to do the things they

people come up with something that is

like and put off the others. We do the same

expensive or time-consuming, the contin-

thing when it comes to different aspects of

gency you set may be more difficult or

our jobs. Premack gives both the employee

more time-consuming than people feel

and the supervisor what they want. Do X

would be advantageous to them. Believe it

(less-preferred task) and spend time doing Y

or not, even though they turn it down, they

(more-preferred task).

will respond better verbally and perform-

Premack also allows you to turn problems

ance-wise than they would if they had not

into opportunities. Any time an employee

been given the choice. For example, in one

approaches you and says “I want . . .” or “We

factory, employees complained about shift

need . . .” consider it as an opportunity, not a

schedules. The manager said, “If you can

problem. Just think Premack: When you do

come up with an arrangement that meets

X for me, then I will do Y for you. While

these criteria, then we will change the

you can’t use Premack in every situation,

schedule.” The employees worked on it for

The Premack Principle in a Smal Business

A young psychology student working in a pharmaceuti-

and 3) when they were unaware of the task which

cal distribution center after classes, took the opportu-

would fol ow.

nity to observe some of the laws of behavior operat-

ing in her workplace.

The results were clear. For each task and al the tasks

combined, considerable time was saved when

She noticed she seldom completed a task in the

employees knew a desirable task would fol ow an

same amount of time from one day to the next. The

undesirable one. In other words, a high probability

quality was very consistent and thorough, yet the

assignment fol owed a low probability assignment.

manager never seemed to pay attention to how rapid-

ly the tasks were completed. To find if the variations

In the second phase of her project, she tried to

in task completion time were due to the Premack

improve work performance. When possible, she trad-

Principle, she questioned other employees about their

ed jobs with others to ensure that a high probability

preferences for different tasks. She col ected data

assignment would fol ow a low probability assignment.

and found that sometimes employees were told which

A problem previous to her project was the typical shift

tasks would fol ow a particular job, but sometimes

problem: the night shift never finished their tasks

they were not informed.

before they went home, leaving more work for the

morning shift. When the employees started getting

Over three weeks, she timed how long it took employ-

tasks they desired after completing an undesired one,

ees to perform tasks under three conditions: 1) when

al work was finished by the end of the evening with

they knew a more preferred task would fol ow, 2)

time left over.

when they knew a less preferred task would fol ow,

(Adapted from “An Application of Contingent Management: by T. Lyons, 1973. An unpublished term paper.)

CHAPTER FOURTEEN

180

several weeks and came to the conclusion

When using this approach don’t be discour-

that the arrangement they currently had

aged if something you try doesn’t work.

was the best one. Even though the sched-

People will typically forgive you if you are

ules remained the same, management was

trying to increase positive consequences in

somewhat surprised when employees

the workplace even if your efforts don’t

reported improved working conditions in

always work. Yet, people will not forgive

the next employee survey.

you if you make a mistake using punish-

The Premack Principle is also the basis

ment. It is much less harmful to give a per-

for a very effective individual time-manage-

son something that you mistakenly thought

ment system. You can test this method

they would like than it is to punish the

yourself. First, take all the tasks that you

wrong behavior and then apologize for it.

have to do and arrange them from the

Also, you may get some negative reac-

most-preferred task to the least-preferred

tions when you first start to use reinforce-

one. Then perform each task, starting at the

ment. People may scoff at or even laugh at

bottom with the least-preferred task. When

your efforts. Most of the time, a negative

you start at the bottom of the list, observe

reaction is because they are not accustomed

what happens as you complete tasks. As you

to reinforcement in the workplace. The

complete a lesser-preferred task, you get to

good news is that such rejection doesn’t

engage in a more-preferred one—the next

happen often, and when it does occur, it is

one on the list. Notice what happens when

usually short lived. Believe it or not, when

you start at the top where most people

some people protest that they don’t need

begin. Every time you complete a preferred

reinforcement, their performance still

increases after they get it. This is why it is

task, the next one is less preferred. The first

important not to rely solely on verbal behav-

method creates a type of reinforcement sys-

ior when finding reinforcers. You need to

tem. The second is a punishment system.

monitor performance data carefully to

The first produces industriousness and the

determine if you have an effective reinforcer.

second procrastination.

In the realm of tangible reinforcement,

3. Trial and error: Testing a consequence.

on occasion an item may be earned and it

Probably the most frequently used method

turns out that the employees do not like it.

for finding reinforcers is to try something

Hopefully that will not be a punisher to the

and see if it works. This works an amazing-

effort spent on trying to find something

ly high percentage of the time. This trial-

that will create pride, delight or gratefulness

and-error method is really a combination of

in that employee’s behavior. Most of us rec-

asking and observing. Before trying some-

ognize when people are working to reward

thing, people often do some observing,

us. Liking a particular item is rarely as

talking, and listening. They also usually talk

important as the fact that the supervisor

to those who have used reinforcers before,

has invested effort in matching individual

progress or results to a visible gift. Your

or they may try something they have read

efforts to find the right tangible and social

about that worked in another setting simi-

reinforcers will go a very long way toward

lar to theirs.

creating a productive, reinforcing workplace.

FINDING REINFORCERS, CREATING REINFORCERS (R+) 181

Characteristics of Effective Reinforcers

Available

There are four main characteristics of effective

The best reinforcers are those that are always

reinforcers. To memorize these characteristics,

available to you. A readily available reinforcer is a

take CARE in selecting your reinforcers.

WHIP: What you Have In your Possession.

Effective reinforcers should be Controllable,

Social reinforcers are the ones that are most avail-

Available, Repeatable, and Efficient.

able. You don’t have to ask permission or have a

budget to pat someone on the back, write a note

Controllable

about good performance, or offer praise. One can

Managers should never plan or promise rein-

show appreciation for effort and accomplishment

forcers that are not under their control. Some

in a multitude of ways. The more you reinforce,

obviously effective reinforcers are not under the

the more reinforcers you will find.

direct control of most managers. Wages, promo-

Tangibles, on the other hand, require

tions, and raises, for example, are all influenced

advanced planning and approval. Many organiza-

by managers, but they rarely have complete con-

tions require considerable paperwork for any cash

trol over them. The previous example by Dr. Tom

expenditure. Since increased paperwork is pun-

Connellen provides an excellent example of the

ishing to most people, this tends to reduce the

problems associated with offering a reward over

use of tangibles. Also, because tangibles are not

which the manager or supervisor does not have

always readily available, you cannot rely on them

control.

as the primary way to reinforce.

There are a few things that cause more grief to

those who are trying to reinforce others than to

Repeatable

set expectations that a particular reinforcer is

The third characteristic of an effective reinforcer

forthcoming only to have it denied at the last

is that it can be used repeatedly. It must be some-

minute because of budget cuts, policy issues, or

thing that doesn’t lose its appeal to the recipient

other cultural factors.

through repeated use. Obviously, promotions,

Cultural factors include such things as objec-

raises, job transfers, and trips cannot be handed

tion by a union, or the “We’ve never done that

out often, but social reinforcers can. And there

before” reason, and even things that go against

are other groups of reinforcers that can be used

the community culture. For example, buying beer

frequently such as food and celebrations (parties),

may be quite acceptable in some settings, but

badges, pins, T-shirts, and other symbols of

taboo in others. A lottery may be great fun in

accomplishment.

some places, but considered gambling in others.

This simply means that even though a particular

Efficient

reinforcer is under your control and is reinforcing

The cost of the reinforcer should not exceed the

to the person or people involved, others who have

value of the accomplishment. Certainly an organ-

more control over the decision may object.

ization could not survive long if its reinforcers

Experience tells us that, in most cases, it is easier

were not cost-effective. Social reinforcers are the

to find another reinforcer than to use something

least expensive, often costing nothing. However,

that has the potential for creating additional

their effectiveness is increased by occasional pair-

problems.

ing with some form of tangible appreciation or

recognition.

CHAPTER FOURTEEN

182

Some organizations spend large amounts of

improving.

money on tangible reinforcers. They do not view

Obvious social reinforcers are direct expres-

tangibles as a burden because they can demon-

sions of praise such as, “Hey, that is really looking

strate a return in excess of the cost. The return on

good. I like the way you keep your workbench

investment for reinforcing employee performance

organized while you are working. I’ll bet that is

is likely to be higher than any capital improve-

why your quality is so high.” The less obvious

ment, personnel change, training, or other more

social reinforcers are the countless brief conversa-

traditional solutions to performance problems.

tions and two-to-three word exchanges. These

interactions often function as reinforcers. Any

Specific Reinforcers

gesture, from a touch on the shoulder, a thumbs-

Examine the list of potential reinforcers in Figure

up or slang expressions—“You’re good!”

14.2. Check those available to you in your work

“Awesome!” “Cool!”—is an effective social rein-

setting. Which ones meet the characteristics of

forcer in a large number of settings. An interest-

effective reinforcers?

ing exercise to help you expand your reinforce-

You can use this list to generate ideas. You may

ment options is to make a list of all the ways that

want to use a number of them in your work set-

you let people know that you like, value, or

ting. Depending on your workplace, some items

appreciate what they have done.

in the list may be inappropriate.

Plaques, trophies, and certificates, though tan-

gible items, are considered social reinforcers,

Classes of Reinforcers

because they usually have no real value to anyone

Social Reinforcers

other than the recipient. Unless you are famous,

The most likely candidates to fit the four criteria

no one else will want a trophy, plaque, or certifi-

for effective reinforcers are social reinforcers:

cate with your name on it. Yet, displayed in the

attention, gestures, and words or symbols of

workplace, such items serve as constant reminders

recognition and appreciation.

of reinforcement received and the performance

A social reinforcer is any interaction between

that earned it. In addition, these reinforcers have

people that increases behavior or performance.

the added advantage of prompting reinforcement

During our daily activities, we usually have many

from others when they ask, “What did you do to

interactions with fellow employees. The extent to

get that?” Also, trophies, certificates, and the like,

which these interactions are reinforcers for some

provide an antecedent for others, who may also

behavior is consistently underestimated.

want to earn those items of recognition.

Time or attention from the boss can be a pow-

Unfortunately, certificates and plaques are not

erful reinforcer. We often discover that managers

reinforcing in many companies. They have a his-

and supervisors focus most of their time and

tory of being given for insignificant accomplish-

attention on the marginal or poor performer,

ments or given to everyone regardless of accom-

leaving little time for the good performers. While

plishment or effort. But when properly done,

poor or problem performers require some super-

they can add significantly to reinforcement.

visory time, if that time is at the expense of time

spent with good performers, you may get an

Tangible Reinforcers

increasing number of problem performers. Also,

When most people first hear the concept of posi-

effective managers must find time to reinforce

tive reinforcement, they usually think of money

not only the good performers but all who are

or something that money can buy. You know by

FINDING REINFORCERS, CREATING REINFORCERS (R+) 183

Figure 14.2 A Sample of Reinforcers/Rewards Used in PM Applications Social

Tangibles

Dinner for two at restaurant of their choice

Spending time with the boss (one-on-one)

Senior managers serve cafeteria meals

Receiving letters from customers

Time off for sports-related activities

Presenting results to upper management

Sporting goods/equipment (golf/tennis balls, rod and

Well-known person (outside the plant) to present rein-

reel, croquet or hobby materials)

forcers

T-shirts with special logo, delivered at special R+ meeting

Letters from upper management on achievement

Items with company logo (pens, pencils, balls)

Letters to spouse or employee’s family on achievements

Certificates designed for special ceremony

Letters from supervisors, managers on employee’s per-

formance

Progressive R+ notation for performance (bronze, sil-

ver, gold medals, ribbons, etc.)

Memos from other department managers

Photo, symbolic of the company, with president’s

Verbal praise

thank-you written on it

Plant or corporate write-up with photo in newsletter

Items engraved with company name (no-skid mugs,

Brag sheet (flip chart at plant entrance noting individ-

pens, lighters)

ual or team performance)

Breakfast cooked and served by managers

Spend time asking about home activities, events (birth-

Free vending machines for a day/week

days, graduations, softball team win, etc.)

Products the company produces

Asking for opinion

Contingent holiday foods (Thanksgiving turkey)

Work Related

Record-setting plaques

Patches for clothing with catchphrases

Working as a team leader

Time off

Running lab tests

Increased length of a holiday based on plant perform-

Trouble-shooting problems with manager

ance

Training for different jobs within the plant, advanced

BBQ by the managers for the entire plant

training

Opportunity to travel on company business (when not

Assignment of new duties

normally a part of that trip)

Seeing a job through to the end

Photo of employee by her graph, framed and signed

Promotions

Pizza and beer parties

Flexibility with scheduling

Status model car rental for a weekend

Move to newer equipment, machinery

Lunch tickets

Assignment to preferred duties

Watermelon party

Exempt from close supervision

Give out humorous T-shirts at lunches

Include employee in a management presentation of a

Wish Book (item from a catalogue)

project to upper management

Getaway weekends

Leading a meeting in the place of a manager

Shopping certificates

Opportunity to help set/decide goals

Goody drawer or grab bag

Assisting in implementing suggestions

Bingo spaces filled for improvement

Let subordinates be a boss for the day

Contingent fringe benefits

Asking employees for advice and suggestions

Company stock

Quick follow-up on requests, problems, etc.

Donations to charity in employee’s name

Assisting manager in some of her duties

Local high school donations, MVP awards (by the

Job rotation

employee)

Visits to customers, suppliers, plant tours

Longer breaks

Free coffee and doughnuts

CHAPTER FOURTEEN

184

now that social reinforcers compose the class of

repeated over time, this pairing strengthens the

reinforcer that we rely on for most organizational

impact of your social reinforcement.

improvement. However, even though tangible

Tangibles are the kinds of reinforcers that first

reinforcers are not often used, they are an impor-

occur to people when they are introduced to the

tant part of one’s reinforcement repertoire.

concept of reinforcement. Tangibles may range

A tangible reinforcer is any economically valu-

from a cup of coffee to a new car to substantial

able object or activity that is presented contin-

amounts of cash. In some organizations taking

gent on (based on, or after) a behavior, that

the team out for lunch is an effective

results in an increase in the frequency of that

reinforcer/reward.

behavior. A discrimination needs to be reiterated

at this point. A tangible delivered contingent on

some behavior is a reinforcer. A tangible delivered

“In Mary Kay Cosmetics, high-perform-

some time after the performance is a reward.

ers earn the use of a pink Cadil ac.

Those who earn the Cadil ac can also

Tangibles are typically rewards rather than rein-

choose cash instead, but since 1969

forcers. It is not often that you deliver some tan-

GM has made over 100,000 pink

gible during or immediately on completion of

Cadil acs for Mary Kay. ”

behavior. You might, however, deliver a cup of

specialty coffee to someone who is working late

to complete a project, or you might let someone

Tangibles are popular with sales management

leave work an hour early after they have calmed

and have been used successfully for many years.

an angry customer and thus retained an impor-

Through increased sales performance, salespeople

tant sale.

can earn tangibles ranging from toasters and

If the rewards are meaningful to the recipients

blenders to a set of Tiger Woods signature golf

and you deliver them appropriately, your presence

clubs or unusual destinations, like a trip to

will be paired with the tangible reinforcer. When

Seychilles, Africa, or St. Martin, Caribbean.

Managers in non-sales organizations, however,

have relatively little experience using tangibles. A

growing number of businesses are learning that

properly planned and executed tangible rein-

forcers can result in significant improvement in

performance and morale. But if they are improp-

erly chosen and delivered, they are worse than

nothing!

Tangibles provide opportunities to celebrate.

Every time someone earns a tangible, it provides an

opportunity to relive the accomplishment. A com-

mon problem in using tangibles is that they are

sometimes given without comment, sent in the

“So no one actually sends you compliments.

Isn’t this enough?”

mail with no explanation, or just mysteriously

©The New Yorker Collection 1982 Warren Miller from cartoonbank.com.

appear on a person’s desk. When delivering a tangi-

All rights reserved. Reprinted by permission.

ble reinforcer, always provide social reinforcement

FINDING REINFORCERS, CREATING REINFORCERS (R+) 185

along with it.

coffee mug, much of the future reinforcing value

Any tangible reinforcer that is visible at work

of the tangible will be not in the monetary value,

or at home can serve as an antecedent for celebra-

but in what the person can say about it.

tions. If the tangible reinforcer is something you

Although tangibles are not always used in per-

use outside the workplace, it can be the source of

formance improvement projects, they should

a lot of self-reinforcement because whenever you

always be considered. A mix of tangible and

use it, you may be reminded of the circumstances

social reinforcement is the best way to improve

under which you earned it.

performance. Even though there is no clear data

on just what the ratio should be, the mix should

heavily favor social reinforcers, probably by a

“The best tangibles give the recipient a

ratio of more than 20 to 1.

story to tel . ”

Potential Reinforcers in the

Clothing and other items with the company

Work Environment

logo are some of the more commonly used tangi-

Because many managers are unfamiliar with PM

bles. T-shirts and hats have been particularly suc-

concepts, they lose numerous opportunities to

cessful with many work groups. When the group

use naturally occurring events as reinforcers.

designs the sayings for the T-shirts or the logo for

Things such as time off, breaks, training,

the hats, these items become even more valuable.

increased job responsibilities, and work schedul-

These types of items can be effective for all

ing are often given without regard to their poten-

employees, regardless of job position, gender, or

tially reinforcing value.

status. For your tangibles to be effective, they

Reinforcers should always be delivered based

must be given only after desired performance

on performance. Managers should be alert to the

occurs and must be something the person wants.

possibility that many things given without regard

In the end, only their impact on the behavior will

to performance can be used contingently to

determine whether or not they are reinforcers.

improve performance. Reinforcers existing in the

The best tangibles give the recipient a story to

work environment include job assignment,

tell. If the tangible stands for an accomplishment,

changes in job responsibility, additional help, first

when asked “Where did you get that?” it gives

choice of new equipment or tools, desired train-

the person an opportunity to recount the circum-

ing, and others such as those listed in Figure 14.2

stances under which it was earned. The person

Many things that are given on a seniority basis

might respond by saying “Let me tell you about

could be used as reinforcers. The reason seniority

it.” He then begins to tell how his team set a new

has become the basis for assigning many organi-

quality, production, or sales record. He gets to

zational benefits is that it is easier to assign them

tell the details of how hard and carefully the team

that way. Managers think this method will cause

worked. He has an acceptable opportunity to

fewer complaints of “unfair.” In reality, the good

brag—a celebration by another name.

performers never think it is fair for those who do

The more enjoyment people have in receiving

not carry their load to enjoy the same wages and

the tangible reinforcer, or the harder they had to

benefits and other reinforcers as those who do

work for it, the more reinforcing it will be to tell

carry their load.

someone about it. Whether a television set or a

CHAPTER FOURTEEN

186

Considerations in Using Tangibles

upsurge of unwanted behaviors often results. The

Tangibles must be valued. A primary considera-

problem of people expecting tangibles is a func-

tion in using tangibles is whether a particular tan-

tion of delivery, timing, contingency, and fre-

gible is meaningful to, or valued by, the recipi-

quency, not the actual tangibles.

ents. Do not assume that because something has a

company logo on it that it will be a reinforcer.

Point Systems

While some of these items may be desirable, oth-

Points are useful because they allow the per-

ers may not. Too many managers have made the

former to access a wide range of both tangible

mistake of ordering several dozen of every item

and social reinforcers. When points are used to

available in the company store to have a ready

select tangible items from a catalog, this increases

supply of reinforcers. Most of the time, this prac-

the probability that people will actually get some-

tice will not be reinforcing.

thing that they want.

Tangibles must fit the occasion. Ordering caps

If points attain secondary reinforcer status,

or T-shirts with a slogan meaningful to the group

every point earned is an occasion for reinforce-

or with a unit or team logo is usually reinforcing.

ment. When that happens, performers are rein-

When it is evident to the performers that time

forced every time they earn a point that can be

and thought have gone into personalizing the

saved and exchanged for some item from a cata-

tangible for the group or person, it will almost

log or from their reinforcer surveys. Performers

always be reinforcing.

are less likely to satiate on points than some other

Tangibles must be contingent. Many companies

tangibles. For example, many people accumulate

celebrate significant events with T-shirts or other

hundreds of thousands of Frequent Flyer miles

tangible items. A frequent problem is that many

without redeeming them. They get more rein-

individuals receiving these items have no idea

forcement for having the points than they get

what they did to impact the celebrated outcome.

from exchanging the points for the awards.

In some cases they know that they did not earn

them, as when the entire company achieves some

“If employee wages (or salaries) are the

safety goal but a specific team did not. If many

only incentive, then we should expect

individuals feel this way, you may actually experi-

the very minimum level of perform-

ence a negative reaction to an expensive attempt

ance, just high enough to avoid being

at reinforcement. Be sure that you always link the

fired. ”

performer’s behavior to the outcome and to the

celebration.

Managers often worry that if they give people

Money

tangible rewards, then people will expect tangible

The most obvious tangible reinforcer or reward is

rewards all the time. This does happen occasion-

money. Although money is a positive reinforcer

ally, but it is rare if tangibles are delivered contin-

to practically everyone, it has several drawbacks

gently. By now it should be obvious that tangibles

when used in the workplace: 1) We usually can-

should not be given unless we know precisely

not give it contingent on improved performance;

what behavior we are reinforcing. In many cases

2) when we can give it contingent on perform-

when managers and supervisors take a casual

ance, the amounts we can give are usually so small

approach to the reinforcement process, an

it is not reinforcing; and, 3) usually money is

FINDING REINFORCERS, CREATING REINFORCERS (R+) 187

used to pay for things people must have, rather

a very clear consequence: they get fired.

than things they would like to have. In short,

Performing above that level has no consequence

money does not pass the CARE requirements. It

or, at best, a positive future, uncertain (PFU)

is not always available, nor controllable, and it

consequence, which has low motivational value.

can be inefficient for the company.

Obviously, very large sums of money are rein-

The first consideration is a serious one for

forcing to most people but are not really practical

business and industry. In most organizations it is

in most business situations. The issue is not

very difficult for supervisors to use money to

whether money is something for which people

reinforce significantly increased productivity,

will work—that’s why most people come to work

quality, or cost savings. Many of the ways money

in the first place. The issue is that money often

is used are not effective from a PM perspective.

loses its importance in the day-to-day motivation

Typically, the way the vast majority of people are

of the average person because of the small

paid does not allow any differentiation in pay

amounts that are available and its infrequent use

according to level of performance. Outstanding

as a reinforcer. In most cases, small amounts of

performers may receive only a small percentage

money clearly are not reinforcing in the work-

more than the average performer. In addition, in

place. For example, if you set a production or

most organizations, the top performance rating is

quality record and only have $5 per person to

limited to only a small percentage of employees.

spend on reinforcers, commemorating the record

Typically, increases are given across the board.

with something like a T-shirt, cap, coffee mug, or

What this system reinforces is simply being on

other appropriate tangible will probably be much

the payroll. Although many managers believe they

more reinforcing than giving each person $5 in

are paying for performance, the contingency is

cash. This assumes that these specific items have

only doing enough to keep from getting fired.

not become common through overuse, or distrib-

Brethower (1972) describes the situation this way:

uted non-contingently before.

The airlines’ Frequent Flyer programs were

We have often heard managers say with

instituted to reinforce passengers for flying with a

great feeling and in apparent anguish—

particular company. By flying 20,000 or more

“People should do a good job.” The state-

ment reflects a high moral tone but also

miles, passengers can earn free trips. These pro-

reflects a willingness to ignore the facts: The

grams have been so successful that even the small-

people referred to are doing a poor job and

est airlines have them. For most frequent flyers,

they are being paid. Therefore, whether you

earning a free trip to Florida, California, or

like it or not, they are being paid for poor

Hawaii is much more reinforcing than getting $5

work (p. 8-3).

or $10 off the price of each ticket.

Incentive premium companies have established

The above statement also reflects a rather

large businesses because of the fact that merchan-

thorough ignorance of the principles governing

dise is more reinforcing to most people than com-

human performance and human motivation. If

parable cash bonuses. There are at least two rea-

employee wages (or salaries) are the only incen-

sons for this. One reason is that once the cash is

tive, then we should expect the very minimum

spent, no reminder is left for people that they

level of performance, just high enough to avoid

have earned a reinforcer for desired performance.

being fired. Performing below that minimum has

By contrast, merchandise earned for performance

CHAPTER FOURTEEN

188

remains as a clear antecedent for future reinforce-

occur (p. 288). When the student made a correct

able performance.

response, a sound occurred. Student failure rates

The second reason money is less preferable

dropped from over 30 percent to less than 5 per-

than merchandise is that money is often used to

cent with the addition of this noise.” Today com-

avoid or get rid of a negative rather than to

puter technology has made this kind of engi-

obtain a positive reinforcer. The cash may come

neered reinforcement system available to almost

along just in time to pay a past due bill or an

everyone in business.

unexpected repair bill. We often have little to

The advantage of these engineered reinforcers

show for the money a month later. The merchan-

is that they reduce the requirement for frequent

dise, on the other hand, is usually something that

reinforcement from other sources. The purpose

we want but have not allowed ourselves to pur-

of most social reinforcement in organizations is

chase because of the expense.

to bridge the gap between baseline and higher

rates of behavior. Once these higher rates are

Engineered Reinforcers

achieved, an engineered reinforcer such as the

Reinforcers that can be built into a machine or

scanner beep will maintain the new rates of

into a process have the advantage of occurring

behavior over extended periods of time with rela-

automatically for the desired behavior, which

tively little supervisory effort. From a manage-

makes them immediate and certain. Like natural

ment perspective, natural reinforcers place the

reinforcers, engineered reinforcers do not require

behavior on a much thinner schedule of rein-

the presence of another person. Every time we do

forcement (see Chapter 16 for details). We can

something that works for us, the behavior that

maintain fixed ratio (FR)-like schedules of behav-

caused it to work is reinforced. When machines

ior while delivering reinforcement on a variable

signal a correct response, the signal is a reinforcer.

interval (VI)-basis (see Chapter 17). Be aware,

A good example of an engineered reinforcer is

however, that engineered reinforcers require that

the sound a scanner makes when used on bar

the conditioned reinforcer remain a reinforcer

codes in grocery and retail stores. The “beep” the

through pairing on some frequency. If the lab

user hears when an item is scanned has been

noises don’t signal reinforcers on some effective

shown to greatly improve the accuracy of item

schedule, they will lose the ability to act as condi-

entry. Without the sound, items were double-

tioned reinforcers.

scanned or missed altogether. Machines that pro-

vide continuous feedback to the performer

Creating R+

almost always produce better performance than

If you recall the explanation from Chapter 12 of

those that don’t. If you think of ways to create a

primary and secondary reinforcers, you will have

process that lets the performer know immediately

an idea about how to create reinforcers in the

of progress or a correct response, you will be sur-

workplace. Reinforcers are created by pairing

prised how much it will improve performance.

your presence, your words, and other events and

Schneider (1985), in training air traffic con-

objects with reinforcers. Managers who deliver a

trollers states, “Probably the most cost-effective

lot of positive reinforcers will become positive

piece of equipment in my laboratory is a noise

reinforcers for the people whose behavior they

synthesis chip. This $15 chip can be programmed

have reinforced. Those people want to do things

to emit interesting noises when important events

to please the manager, help the manager, seek the

FINDING REINFORCERS, CREATING REINFORCERS (R+) 189

manager out, and reinforce him or her in return.

rather than scarce. Employees should not have to

People who are paired with negative reinforce-

compete against each other for scarce reinforcers

ment, punishment, and penalty are avoided, since

and rewards. That does not mean that some rein-

they become conditioned punishers. Those

forcers and rewards should not be very difficult

whose behavior is managed by negative reinforce-

to earn. Regardless of how difficult they are to

ment over time help when they have to, do just

earn, they should be available to all who achieve

enough to get by, and may even seek revenge

them and management should want everyone to

through lying, cheating, and sabotage. A humor-

earn them.

ous example can be seen in the movie Horrible

The March 6, 2003 edition of USA Today

Bosses.

reported on a Gallup survey:

If your interactions with people at work are

greater than 4-to-1 (four positives to one nega-

The French get five weeks of vacation

and have a maximum of a 35-hour work-

tive), you will likely be surrounded by people who

week. Yet they seem to strike often. Last

are energetic and enthusiastic about your interests

month, tens of thousands took to the streets

and goals.

to protest a government proposal to raise the

Dr. Jack Michael (1982) has written extensive-

retirement age from 60. “One problem,

ly about establishing operations. See page 79.

French managers aren’t good at giving posi-

Also see Iwata, Smith, & Michael, 2000;

tive feedback,” says Francois Momal,

Sundberg, 1993. Remember that establishing

research director for Gallup in Paris. “It

operations (which are now called motivating

burns our throats to say good things to peo-

operations—MOs) are events that temporarily

ple.” The supreme compliment is “Ce n’est

alter the value of a reinforcer (recall this discus-

pas mal” which means “Not bad,” says Yahia

sion from Chapter 9). The MO explains how

Zoubir of the Thunderbird School of

something may be a reinforcer at one time and

International Management’s Europe branch

located in France. An insert in the article

not at another. Deprivation is one of the primary

listed the percentage of employees who nei-

MOs. Scarcity of an item usually increases its

ther like nor are motivated by their work:

value. One might take the case that the reason

France (26%), United Kingdom (20%),

praise is so powerful in the workplace is because

Australia and Japan (19%), and Canada,

of its scarcity! However, if an object or event is so

Germany, and the US (16%).

scarce as to be practically unattainable, it has little

motivational value. The quality guru, Philip

Crosby, once bragged that he had only given out

“When you tel someone that you think

five Rings of Quality when he had trained tens of

they are doing a good job, it assumes

thousands of students. While he had created

that they care about what you think! If

they don’t like you, it is almost certain

scarcity, had he created a desire in the thousands

that your praise wil not be a rein-

of people he trained, to work for that ring?

forcer. ”

When announcing on the first day of class that he

rarely gives an A, the classroom teacher does little

to increase the desire to learn in most of the stu-

As has been explained previously, another way

dents. It is probably more useful in organizational

to increase the value of an object or activity is to

management to think of reinforcers as hard to get

associate it with a reinforcer—creating a second-

CHAPTER FOURTEEN

190

ary reinforcer. What this means is that the first

reinforcing ability slightly. Over time, and it

role of business of supervisors, managers, or exec-

could be a short time—days or weeks—people

utives is to establish themselves as positive rein-

would care more about your opinions, sugges-

forcers. They need to do things that quickly lead

tions, and feelings.

to positive reinforcement for the employees who

It is thrilling to us to see good teachers get stu-

report to them.

dents interested and excited in things that previ-

It is rather alarming to people who understand

ously generated little or no interest. Think of all

this technology to discover that most managers

the academic specialties that you wouldn’t spend

think that simply telling someone they are doing

a minute to investigate. Yet you find people who

a good job is a positive reinforcer. If asked, few

have spent a lifetime learning about that specialty.

managers would respond, by saying, “If it

I know one person who was so encouraged by a

increased the behavior it would be.” When you

teacher while taking Latin that studying the dead

tell someone that you think they are doing a good

language became his obsession and avocation.

job, it assumes that they care about what you

Some teacher, who might have also been the

think! If they don’t like you, it is almost certain

student’s parent, provided enough reinforcement

that your praise will not be a reinforcer.

in the early stages of learning that caused the

How do you get people to care about what

child to delve more and more into the subject to

you think? You must be a source of positive rein-

the point that it became a passion. Great coaches

forcement.

and leaders have this skill, yet there is a public

Some students who are first exposed to the

perception that inspiring others is not a skill at

principles in this book get the idea that you

all, but a genetically endowed trait.

should never reinforce unless the person is

We know now that teaching skills and leader-

engaged in behavior that has value. While this is a

ship are acquired. It is good news that they can be

good general rule, like any rule there are excep-

acquired by almost everyone. Acquiring these

tions—in this case a significant exception. Let’s

skills begins with reinforcing others.

say that you see someone walking by your office

How does an executive get employees excited

and you call out, “Hey, I like your tie.” Assume

about annual goals? Some threaten employees

also that the comment is a positive reinforcer to

with job loss. Others try to excite people with

the person. What behavior have you reinforced?

profit-sharing arrangements. Both are future and

We hope you answered, “Walking by the office.”

uncertain consequences and as such are minimal-

Assume also that walking by your office is coun-

ly effective. The best executive can fire-up people

terproductive because that person is frequently

so that they leave a meeting excited to do every-

away from his or her work station. Would saying

thing they can that day to reach the desired goal.

“I like your tie” be a good thing to do? While

It is often said in non-technical language that

your comment would not increase a particular

work behavior, it would tend to accomplish one

thing. The person would like you more. Why is

“If you are a reinforcer for the people

that important? The employee would respond

who work with you, not only wil you

better to what you say and do. While one inci-

inspire high performance, but you wil

dent may not make you the person that people

look forward to your work as wel . ”

want at all their parties, it would enhance your

FINDING REINFORCERS, CREATING REINFORCERS (R+) 191

employees have to believe in the executive.

pen at work are not natural reinforcers, it is the

Behaviorally this means that employees have

manager’s job to continually create them. If you

experienced positive consequences as a result of

have not established yourself as a reinforcer, your

what the leader has said and done.

job will indeed be a difficult one. If you are a

Many of the positive things companies do

reinforcer for the people who work with you, not

non-contingently, while not increasing perform-

only will you inspire high performance, but you

ance directly, cause people to like the company

will look forward to your work as well.

more. Most of these things relate to a physically

attractive and comfortable work environment.

Reminders

Procedures and rules that are employee friendly

Publicizing the accomplishments of individuals,

also fall into this category. However, these things

teams, shifts, and departments is practically

will not in and of themselves elicit superior per-

always reinforcing. Photographs and short

formance, evidenced by the numerous companies

descriptions of the accomplishment in in-house

with new and modern workplaces that have seri-

newsletters provide an excellent means of deliver-

ous performance problems. To capitalize on the

ing potential reinforcers and are a means of

organization’s investment in environmental

spreading the word about behavior that is desired

improvements, it is up to the supervisors and

and valued. The time spent congratulating

managers to make hard work pay off by effectively

employees for their accomplishments is time well

and frequently delivering positive reinforcement.

spent and pays handsome dividends in positive

There is a saying: What interests the boss

changes in performance.

excites me. We would add to that: What excites

Don’t expect words like good morning, goodbye, the boss creates positive reinforcers for the

and hello to be reinforcers. These greetings and

employees. If you are a positive reinforcer to the

salutations are merely indicative of common

people who work for you and with you, whatever

courtesy. If you used such words and phrases as

you get excited about will create reinforcers for

reinforcers, you would only say good morning to

them. Seeing a graph being updated with a num-

some and not to others. This is not recommend-

ber above goal is not always a reinforcer to

ed, even at the risk of reinforcing the wrong

employees. However, if the boss has given rein-

behavior.

forcers for improvement, an employee who sees a

There are other things that we do of a social

performance line go up on the graph may feel

nature that do not meet all the criteria of good

proud of what he has done to contribute to it. If

reinforcers but are still worth doing. For example,

people look at the graph and smile, call others

our phone calls, notes, and memos can be very

over to look at it, or bug you to update it, you

reinforcing but do not meet the criterion of

know that you have created a reinforcer. If these

immediate. We may only intend them to commu-

things happen, you know that reinforcement is

nicate information but they may also act as rein-

occurring in your absence. It occurs every time

forcers or punishers. These small, frequent, social

the line on the graph goes up. If people don’t

consequences exert lots of control over our

look at the graph, or when they do, show no reac-

behavior. Some employees do not receive much

tion, it tells you that you have some work to do.

communication from their managers. Just a per-

Since many of the things that we need to hap-

sonal phone call or note about their accomplish-

ments is often very reinforcing.

CHAPTER FOURTEEN

192

Summary

viable reinforcer, has too many complexities asso-

One function of executives is to help their

ciated with it to make it useful in larger compa-

organizations find reinforcers for mission-related

nies. Owners, managers and supervisors can create

behaviors. They will start by looking at employee

reinforcers using the concept of motivating opera-

wants, desires and values. The methods most com-

tion to understand what is likely to work with

monly used involve asking people what they like

their associates and employees. Simple, frequent

in surveys, observing them in the workplace, and

social comments, such as, “Thank you for finish-

then testing potential reinforcers to see if they

ing that account so quickly” often work best.

work using the Premack Principle. Characteristics

of effective reinforcers are that they should be

Use the QR CODE reader on your smart-

chosen with CARE (Controllable, Available,

phone to learn more about:

Repeatable, and Efficient). Classes of reinforcers

Article: “March Madness: Making

include those that are social, work related, and

Performance Feedback Fun”

tangible. Money, though it might sound like a

193

15

Delivering Reinforcers Effectively

This chapter completes the importance of rein-

Once he asked me, “How long is this tape?”

forcement in the PM trilogy: Consequences that

After viewing about one-third of the tape,

Increase Behavior, Finding and Creating

he stood up, turned on the lights, stopped the

Reinforcers, and now Delivering Reinforcers

video and said loudly “I wouldn’t pay $500

Effectively.

for that piece of crap!” and then stormed out

Anyone who has studied human behavior

and slammed the door. Bill looked at me,

shook his head, and left the room.

intensively with the goal of not only understand-

The next morning, the boss appeared at

ing why people do what they do but also in devel-

my office door. I looked up as he shoved a

oping effective methods of influence must be an

piece of paper toward me. When I looked at

expert on this topic—this is deep knowledge put

it, the first thing I noticed was his hand-

to a good use. In this chapter we discuss in detail

writing across the top, “Excellent Work!”

the secrets to motivation that go beyond theory

with his initials as signature. He hurried

and into practice.

away toward the next-door conference room

Managers may, for example, identify a long list

for a meeting. On examining the page, I saw

of reinforcers for their employees, but unless they

that it was a copy of a training proposal I

deliver them correctly, the reinforcers may not

had written five weeks earlier for one of the

have the desired effect. The following story illus-

plants.

trates how detrimental the improper delivery of

My perception was that, overnight, he

had regretted the way he had responded to

reinforcement can be. We’ll let the wronged party

my videotape and was trying to atone for his

tell the story.

wrongly delivered, punishing consequence

with a positive reinforcer.

One of my responsibilities was to evaluate

My proposal had been a routine write-

training materials and training aids for

up, similar to many others I had done. It

purchase by the company. I previewed a

did not deserve the reinforcer he tried to use.

videotape, which I thought was great, and

He had obviously shuffled through the old

told my boss that I thought the company

stuff on his desk to find some reason to rein-

should purchase it. He said, “Well, set it up

force me. The fact that he chose a five-week-

in the conference room this afternoon at

old memo not only meant that his effort was

5:00 and I’ll look at it. Oh, and I’ll bring

not immediate, but to me it seemed insin-

Bill [a peer] with me and get his opinion.”

cere. Also, “Excellent Work!” had been hur-

Bill, the boss, and I sat down to look at

riedly scribbled, so I felt that he probably

the tape. I noticed the boss getting fidgety.

wouldn’t even know the topic of my memo if

CHAPTER FIFTEEN

194

he had been asked. Lack of specific feedback

1. Personalize your reinforcers. Your rein-

indicated to me that he was only trying to be

forcers should reflect your own style. When

nice. The split-second delivery meant that

you use tangible or social reinforcers with

no time was spent in personalizing it for me.

which you are not comfortable, they typi-

The extreme negative and the insincere

cally do not come across as reinforcing. In

positive had a cumulative effect and diluted

addition, when telling employees you

the effectiveness of his use of consequences to

appreciate their effort or accomplishments,

me for as long as I worked for him. Since I

could not see the logic of his behavior, I

express your praise in terms of how you feel,

began to see everything he did as a result of

not in terms of the company or management.

his mood that day, or whatever, rather than

For example, use “I appreciate . . .” rather

contingent on my performance.

than “We at company XYZ . . .” or “We, the

management, appreciate . . .” Above all,

This example violates all the rules for the effec-

avoid form letters. Your reinforcers should

tive delivery of positive reinforcement. It also illus-

reflect not only some knowledge of the per-

trates how important correct delivery of rein-

formance, but some thought as well. For

forcers is to your success in managing performance.

example, when you send a memo or tell

people face-to-face that they did a good

Guidelines for Arranging for the

job, don’t just say, “Thanks, great job.”

Effective Delivery of Reinforcers

Describe in a few well-chosen words what

For convenience of language in the following sec-

performers did that you like and why you

tion, we refer to you as the person who is defining

like it. Most important, the next time you

and delivering reinforcers. What you do or say is

reinforce, say something different. If you are

not a reinforcer unless it increases the likelihood

delivering reinforcers to several people, vary

that the behavior you are trying to reinforce

the things you say so that each person

occurs again. While reading this section on

receives a unique message.

selecting and delivering those things you intend

When a person receives a tangible rein-

to be reinforcing, remember that reinforcers are

forcer, it should be immediately apparent

defined by the behavior of the performer, not by

that it was meant just for that individual.

the deliverer. Look at the data to know if you are

To do this, you must know the person’s

effective. It is important to establish a contingent

reinforcers—a requirement of effective

relationship between behavior and reinforcers if

management.

the end result is to be what you want.

2. Reinforce immediately. The best time to

reinforce is when you catch people in the

act. Reinforce while they are doing what

“When a person receives a tangible

reinforcer, it should be immediately

you want. The longer the delay between the

apparent that it was meant just for this

behavior and the reinforcer, the less impact

individual. To do this, you must know

the reinforcer will have on the behavior.

the person’s reinforcers—a require-

Reinforcers reinforce whatever is hap-

ment of effective management. ”

pening at the time it occurs. In other words,

you cannot deliver an immediate reinforcer

DELIVERING REINFORCERS EFFECTIVELY

195

for a result. At best you would reinforce the

aware of the problems associated with it.

last behavior in the accomplishment of the

Figure 15.1 shows the diminishing

result.

impact of delayed reinforcement. If you

have a limited amount of time to reinforce,

then spend it reinforcing ongoing behaviors

“When reinforcers are delayed, you

(immediately). That will be a more efficient

always run the risk of inadvertently

use of your time and create fewer problems

reinforcing the wrong behavior. ”

than to spend it trying to reinforce behav-

iors days or even hours after they have

Some managers think if they reinforce

occurred.

immediately upon knowing about an out-

When reinforcers are delayed, you

standing behavior or performance that this

always run the risk of inadvertently rein-

satisfies the criterion of immediacy.

forcing the wrong behavior, because the

However, if someone told you of a perform-

behavior you want to reinforce may not be

ance, or if you read about it in a report or

occurring at that time. Since the behavior

memo, it has already occurred and therefore

happening at the time of reinforcement is

cannot be reinforced immediately. That

also reinforced, you must carefully choose

doesn’t mean that you shouldn’t reinforce.

the time and circumstances for delivering

But if you do reinforce late, you should be

delayed reinforcement. For example, if you

Figure 15.1 Dimin ishing Im

pact o f Delayed Reinforcement

100

TCEFF ETNECREP

{

{

0

Caught in the Act

Much Later

TIME ELAPSED BETWEEN BEHAVIOR AND R+

CHAPTER FIFTEEN

196

learn of some reinforceable behavior, you

plishment by talking with you about what

should not always rush out to find the per-

he or she did.

son and deliver positive reinforcement.

Because of the way organizations are

Suppose you approach someone for the

being structured in the global economy, an

purpose of reinforcement, and she is having

increasing number of supervisors and man-

a bad day. As you walk up she says very sar-

agers do not see the people they manage

castically, “What do you want?” This is not

every day. Some may see employees less

the time to talk to her about what a good

than once a month. How can they reinforce

performer she is. It is better to wait until

effectively? The best thing to do is ask the

she is back to her usual good performance

performer to relive the accomplishment.

and good mood. Then she will appreciate it

Ask, “How did you do that?” Answering

more and it will strengthen the desirable

this question will give people an opportuni-

aspects of her work.

ty to tell you how difficult the accomplish-

ment was, how clever they were, how long

they worked, and so on. This question is

“The general rule on delivering rein-

appropriate any time you see results but

forcement is this: Better late than

were not present to see the behavior that

never, but best immediately. ”

produced them.

For this reason, when you want to pro-

vide a reinforcer to someone who does not

“Using data to reinforce not only helps

report to you or who works in another area,

you be more specific, but also helps to

it is best to check with his immediate super-

guard against non-contingent rein-

visor before you reinforce. The vast majori-

forcement. ”

ty of the time, supervisors will welcome

your help in providing additional reinforce-

ment to their performers. On occasion,

3. Reinforce specific behavior. We may need

though, they may ask you to come back

to reiterate here that you do not reinforce

later because of problems occurring at the

people, but their behavior. This means that

time.

you cannot reinforce a person or a group,

Delayed reinforcers also increase the risk

but rather the behavior of the individual

that the behaviors occurring between the

performer and the teamwork behaviors of

desirable behavior and the delayed rein-

the individual team members.

forcer may get reinforced. Sometimes these

Being specific about the behavior gener-

behaviors are incompatible with the desired

ally refers to praise. Although praise is

ones. This complicates the problem of

almost universally thought of as a positive

developing consistent, desirable work

reinforcer, depending on who gives it and

habits. The general rule on delivering rein-

the manner in which it is given, it could be

forcement is this: Better late than never, but

a punisher rather than a positive reinforcer.

best immediately. When reinforcing late,

Nevertheless, it is one of the most common

always get the person to relive the accom-

social reinforcers.

DELIVERING REINFORCERS EFFECTIVELY

197

Being specific means specifying the

“right before it is paid,” 41% of employees do

behavior that you liked. This is particularly

not know the amount.

important in a training situation or when

you are trying to improve substandard per-

formance. Even when you are reinforcing

Use the QR CODE reader on your smart-

immediately, people may be involved in

phone to learn more about:

some complex performance. In this case you

Article: “Fast Company: Wooga, A

Case Study in No-Cash Bonus Culture.”

need to point out the specific behaviors that

have improved, for example, “I’ve noticed

that you are approaching customers more

immediately when they come in the depart-

“Think of delivering reinforcers to

ment. And you always have a smile for them.

groups as a celebration. A celebration

I’m sure that contributed to the 12 percent

is simply an opportunity to relive an

increase in our sales/customer ratio. You’re

accomplishment. ”

doing great.” Don’t simply talk about the

result or only say “You’re doing great.”

Using data to reinforce not only helps

Being specific is also very important

you be more specific, but also helps to guard

when you are in the early stages of teaching

against non-contingent reinforcement. You

a new skill. When you specifically describe

won’t be delivering reinforcement to every-

what people are doing right, it will facilitate

one for everything if you refer to their per-

their learning: “Great. You’re twisting it at

formance data when you talk to them.

exactly a 45-degree angle.” Anytime a per-

From January 2003 CFO magazine:

son is working to improve more than one

behavior, or if a performance requires sever-

A recent study shows that bonus plans

al behaviors, specifying the contingencies

often fail to motivate specific employee behav-

for reinforcement—what behaviors will and

ior because they are too nebulous. According

will not be reinforced—is necessary for effi-

to “The Knowledge of Pay Study: E-mails

cient improvement or learning.

from the Frontline,” a 2002 survey published

This is especially important when

by WorldatWork of more than 6,000 man-

attempting to deliver reinforcers to groups.

agers and employees at 26 organizations, only

Many different behaviors go into all group

24% of employees agree that their cash bonus

accomplishments. Most of the behaviors are

plan actually changes their behavior. Sibson

productive, but some may not be.

Consulting SVP Peter LeBlanc, who conduct-

Therefore, if you try to reinforce a group,

ed the study, thinks that if salespeople and

you may inadvertently reinforce the bad as

executives were excluded from that group,

well as the good.

that percentage would drop even further.

One way of being specific with a group is

Moreover, few employees actually understand

to ask the members of the group to tell what

how their pay and performance are connect-

they did to accomplish the goal or improve-

ed; only 28% say they know the size of their

ment. Think of delivering reinforcers to

bonus “well before it is paid.” Indeed, even

groups as a celebration. A celebration in the

CHAPTER FIFTEEN

198

context of this book is simply an opportuni-

4. Reinforce with sincerity. The apparent sin-ty to relive an accomplishment. The ques-

cerity of your reinforcer is extremely impor-

tion “How did you do that?” should be the

tant, and this applies both to what you say

focus of any celebration. Have people talk

and how you say it. If either is insincere, it

about what they did, how clever they were,

is unlikely to be reinforcing. If your com-

where they got the idea for an improvement,

ments appear insincere, even though they

who helped them, and the behavior of any-

are sincere, they are also unlikely to be rein-

one in the enterprise who did something

forcing.

that they think improved performance. This

You should never tell a person some-

will not only increase reinforcement among

thing you do not mean. If people are not

teams and departments, but it also provides

doing a good job, then it is certainly not

antecedents for things they can do when

appropriate to tell them that they are.

they get back to the workplace.

Business ethics and morality dictate against

At times, however, it is not necessary to

such conduct. However, ethics and morality

be specific. When you reinforce immediate-

aside, people can usually spot an insincere

ly, or catch employees in the act, you may

compliment a mile away. Therefore, an

not need to say anything specific. In such

insincere comment is more apt to be pun-

an instance, the situation often specifies the

ishing than reinforcing and to do more

behavior you are reinforcing. Simply patting

harm than good.

people on the back as they work communi-

Most of the problems with this aspect of

cates clearly what you are reinforcing. A

reinforcement are not because people are

good antecedent for reinforcement in the

insincere, but because they appear insincere.

workplace is a poster bearing the message,

A number of things are almost always asso-

“Catch someone doing something good

ciated with the perception of insincerity.

today.” The more immediate the reinforcer,

Overdoing reinforcement practically

the less specific you have to be. Knowing

always backfires. Talking too long or using

that they have been caught doing some-

too many adjectives and adverbs almost

thing good is reinforcing to most people.

always leads to a claim of insincerity.

When good feedback systems are in

Overdoing it usually makes people feel

place, it is not always necessary to be specif-

uncomfortable. Words like fantastic, mar-

ic. Good feedback systems are based on the

velous, spectacular, and terrific are overused.

fact that the employee knows the specific

Phrases like best in the world, never seen

behaviors that drive the graphed results.

anything like it, and unbelievable are more Therefore, while referring to a graph, a gen-often than not unbelievable. Few people

eral statement like “You’re doing super” can

like being gushed over. A general rule might

still be effective.

be to err on the side of saying too little

rather than saying too much.

Another problem results from saying the

“Unearned compliments, flattery, and

same things to everybody or saying the

insincere comments are practical y

same thing to the same person time after

never reinforcing. ”

time. This happens at a fast-food chain

DELIVERING REINFORCERS EFFECTIVELY

199

where every customer is told after a pur-

chase, “Have a nice day.” After several pur-

“People general y regard specific rein-

chases customers get the feeling that a robot

forcement as sincere. ”

could do as well. Think of how sincere the

stewardess sounds as she tells every person

For many managers, the first conscious

leaving the plane, “Thank you for flying

attempts to give their employees more rein-

___ Airlines; bye-bye!” The person who

forcement appear clumsy. They feel uncom-

strolls around delivering reinforcement

fortable and hence appear uncomfortable to

indiscriminately and identically, regardless

others. Employees, unfortunately, some-

of what or how well people are doing, isn’t

times misinterpret this discomfort as insin-

seen as a reinforcing person. Unearned

cerity and do not reinforce the manager’s

compliments, flattery, and insincere com-

attempts. This makes it even harder for the

ments are practically never reinforcing.

manager to feel comfortable about deliver-

ing reinforcement in the future. Generally

speaking, the more you reinforce the more

comfortable you become. Even though your

sincerity may be doubted initially, if you are

indeed sincere you will eventually demon-

strate it through your actions, and the illu-

sion of insincerity will disappear.

As discussed previously, an important

aid to being sincere is using specific data

while expressing your appreciation. People

generally regard specific reinforcement as

sincere.

Another good idea is to use tangible

“Keep up the good work, whatever it is,

reinforcers from time to time along with

whoever you are.”

your social reinforcers, a point mentioned

© The New Yorker Collection 1988 James Stevenson from

cartoonbank.com. All rights reserved. Reprinted by permission.

earlier. The fact that you would spend the

time, money, and effort required to select a

Humor is tricky and can be used as an

meaningful reinforcer helps communicate

effective reinforcer only if you have a very

sincerity.

comfortable relationship with the other

When giving tangible reinforcers, you

person. Since humor can usually be inter-

should deliver the social reinforcer first.

preted several ways, using it may cause

This increases the likelihood that the per-

doubts about your sincerity.

son will hear your words and will more

Sarcasm should never be used with an

fully experience the impact and sincerity of

attempt to reinforce. While profanity may

your social reinforcer. When you present

be reinforcing to some people, many are

people with an object, all the attention

turned off by it. Avoid using either when

tends to be absorbed in the visual stimula-

trying to reinforce.

tion of the item, or in determining how

CHAPTER FIFTEEN

200

much they like the reinforcer you chose.

course, according to this ratio, if you never

Give the tangible almost like an after-

delivered any negative consequences, you

thought—after the social sinks in.

would never deliver any positives. But in

the real world this rarely happens. They

5. Reinforce frequently. Generally speaking,

should actively look for desired behaviors.

the more frequently an employee is rein-

Self-report data collected on the 4:1

forced for desired performance, the

ratio over the years indicates that, on aver-

stronger that performance will be. How

age, managers have a ratio of around 2:1 at

much is enough? The answer to this ques-

the beginning of Performance Management

tion involves many factors, but to give you a

training. Since the reporting of reinforce-

perspective consider the following. In The

ment probably served to increase the ratio,

Technology of Teaching, B.F. Skinner (1968)

we can assume that the real ratios are less

states that to teach students to be compe-

than 2:1 in the average work environment.

tent in basic mathematical concepts

Sadly, in many companies a quote attributed

requires in excess of 50,000 contingencies.

to Henry Kissinger is still applicable: “Praise

This is not to suggest that a similar number

around here is the absence of criticism for a

is needed to teach adults job-related skills

brief period of time.”

and habits, but the amount of reinforce-

Understand that the 4:1 ratio is only a

ment that is needed is generally much more

guide to reinforcement. It is not an ideal,

than most people think.

nor is it a requirement. The ratio can be

Managers sometimes say, “I reinforced

much larger than 4:1 but should not be

him but he didn’t change.” Do not expect

smaller. This ratio was suggested by

one reinforcer to change someone’s life. It

research done by Madsen and Madsen

takes many reinforcers to develop a habit.

(1974). While training teachers in class-

Behaviors that are reinforced over and over

room management, they discovered that

again gain the status of habit and as behav-

teachers who had ratios of at least 4:1 had

ior reaches fluency or becomes the standard

well-behaved and high-achieving students.

way of doing things. Therefore, when trying

Teachers who had ratios of less than 4:1 had

to develop new work habits, you must plan

classes that exhibited discipline and

for many reinforcers.

achievement problems. Stuart (1970) found

A useful guide for the amount of rein-

similar ratios with parents of non-delin-

forcement one should deliver relative to the

quent children when compared with par-

consequences is the 4:1 ratio. The most

ents of delinquent children. Hart and

effective teachers, coaches, and managers

Risley (1995), in a study of children under

have a ratio of positive to negative interac-

the age of four, found that ratios of profes-

tions that exceeds 4:1. A helpful tip for

sional and working-class parents were

managers who need to improve their ratios

approximately 4:1. However, among parents

is for every time they apply a negative con-

on welfare the ratio was 1:2! Is it any won-

sequence, they should find at least four

der that children growing up in environ-

opportunities somewhere in the workplace

ments with higher punishment to positive

to reinforce a desired performance. Of

reinforcement ratios tend to approach their

DELIVERING REINFORCERS EFFECTIVELY

201

environment in negative, angry, and pes-

long enough, there will be times when you

simistic ways? Would you expect it to be

must say no, set limits, ignore certain

any different at work?

responses, or otherwise apply consequences

The use of this guideline does not mean

that someone doesn’t want. If you can’t do

that if you reinforce the behavior of a par-

that, you’re as handicapped as the person

ticular person four times, you must find

who cannot pat someone on the back.

something to punish the person for. Nor

A reinforcement log (Figure 15.2 ) pro-

does it mean that when you give a negative,

vides a convenient way to track your per-

you must find four behaviors of the person

formance in the area of reinforcement. A

to reinforce. The rule is intended to help

log allows you to record all pertinent infor-

you assess your reinforcement level across

mation about the reinforcers you give. This

all your interactions, not for any given per-

kind of record is particularly valuable when

son. A given person may need several nega-

you set out to increase reinforcement. It

tives to stop some undesirable behavior, and

allows you to analyze not only how much

good performers will rarely need even one.

you give, but also whom you reinforce, the

The most important reason for using the

behaviors you reinforce, and the range of

4:1 ratio is to increase the amount of rein-

reinforcers that you use. Biases in whom

forcement you give. When people keep data

you reinforce, restrictions in the range of

on how often they reinforce, they begin to

reinforcers you use, and patterns in the

look for and find more things deserving of

behaviors and results you reinforce can be

reinforcement. As people begin to keep

detected easily from this log.

data, they practically always discover that

they do not reinforce nearly as much as

they think they do.

“If intended reinforcers are frequently

Note: The ratio is 4:1, not 4:0. The per-

fol owed by a negative comment, then

son who gives no negatives over an extended

attempts at reinforcement eventual y

period of time probably will be viewed by

become an antecedent for punish-

others as a pushover or someone not to be

ment. ”

trusted, since most of us can use corrective

feedback and trust those who tell us when

we fail. This is the kind of person Leo

6. Don’t reinforce and punish at the same

Durocher, the famous baseball coach, was

time. Frequently, while delivering rein-

referring to when he said, “Nice guys finish

forcers, people are tempted to express both

last.” And Benjamin Franklin (1993) said,

what they did and didn’t like about the per-

“Approve not of him who commends all you

formance. This causes several problems and

say.” They were describing a person who

is a bad practice. First, it tends to make peo-

cannot set limits, who never gives negative

ple suspicious. If intended reinforcers are

feedback, and who pats everyone on the

frequently followed by a negative comment,

back. In the long run, this person is totally

then attempts at reinforcement eventually

ineffective in interpersonal relationships.

become an antecedent for punishment. The

If you work with any group of people

reaction to intended reinforcers soon

CHAPTER FIFTEEN

202

becomes “What have I done wrong now?”

wich that not only dilutes the impact of the

Consider the probable impact of the fol-

negative and sets up positive reinforcement

lowing comments by a manager to her

as an antecedent for punishment, but it

direct reports: “Wilson, your accuracy has

makes reinforcement less appetizing at

improved by 14 percent this week, but I

other times.

think several errors that you made could

Some managers practically never say any-

have been easily prevented.” “You’ve done a

thing positive without adding something

great job, Susan. Your performance was the

negative. Because of this practice, many

highest it has been, but your attitude is still

older employees resist being praised. This

causing problems in the department.” We

has been interpreted by their managers as

can safely say that these comments are never

an indication that they don’t want praise.

positively reinforcing.

What they don’t want is the punishment

Don’t confuse people by mixing rein-

that usually follows it. In these employees’

forcement and punishment. For maximum

experiences, positive comments have

effectiveness, deliver them on separate occa-

become a clear antecedent for criticism.

sions. If you have developed a positively

reinforcing relationship with someone, such

“Don’t confuse people by mixing rein-

pairings are not a problem since the person

forcement and punishment. For maxi-

will have a history of seeing negative feed-

mum effectiveness, deliver them on

back as an opportunity for more positive

separate occasions. ”

reinforcement in the future. To establish

such a relationship, it is important to sepa-

rate the two.

While this procedure may make it easier

Some management development pro-

for the person doing the punishing, it does

grams actually advise mixing reinforcement

little to increase the effectiveness of the

and punishment. In essence, this approach

negative consequence on the performance

tells managers that if they must correct or

of the person being corrected. Although

discipline an employee, they should first

such mixing is a rather widespread practice,

soften the blow through reinforcement.

the authors know of no research supporting

After they praise him for something, they

its effectiveness.

should tell him about the problem perform-

Using negative consequences effectively

ance and the negative consequence for its

will be discussed in Chapter 20. For now,

future occurrences. Finally, they should end

let us simply say that the constant pairing of

the meeting with something positive to

reinforcement and punishment causes prob-

pick him up so that he will receive the cor-

lems for both the supervisor and the

recting with a good attitude. By now you

employee.

should know this is not desirable.

In a discussion on this subject, the per-

This is referred to as the sandwich

formance appraisal issue usually surfaces.

method because a negative is sandwiched

The typical performance appraisal usually

between two positives. This technique

requires that one discuss strengths and

should be avoided! It creates a soggy sand-

weaknesses. This is not a problem if the

DELIVERING REINFORCERS EFFECTIVELY

203

Figure 15.2 Reinforcement Log Form

REINFORCEMENT LOG

Name of

Performance Change or

Performance

Date

Individual or

Reinforcer

Person’s Comment When

Reinforced

Group

Reinforced

© Aubrey Daniels International, Inc. All Rights Reserved.

performance appraisal is not the primary

7. Don’t mix goal setting and reinforcement.

vehicle for reinforcement and corrective

Sometimes when we reinforce a behavior,

feedback. If it is, you will have problems.

we ask the performer for something more.

If, however, you establish employee rela-

For example, “Your report gave me the

tionships that include lots of reinforcement,

exact information I needed, Farah. Thanks.

the employees will actually ask for correc-

But next time it would help if you get it to

tive feedback because they know that

me earlier.” “ Ren, you met your sub-goal

improvement in their performance will

this week, but you realize that you still have

increase their opportunities for positive

a long way to go.”

reinforcement. With this practice, the for-

Often these requests for additional

mal performance appraisal becomes a time

behavior become punishers. We say things

to simply summarize progress and make

like, “You did fine. You ran one mile today;

plans for future reinforcement by dealing

but you really should do more. You will

with and correcting deficiencies.

never get in shape if you don’t push yourself

harder.” When we say these things, we are

CHAPTER FIFTEEN

204

telling people they did good, but not really.

employees of these managers are asked how

Don’t mix goal setting and reinforcement.

often they are reinforced, they often

A final goal may be to jog six miles, but

respond, “Never.” One of the reasons for

one block or one mile is an achievement

this response is that these managers violate

that can legitimately be reinforced toward

the no-but rule. It’s not that they don’t say

that end. Set whatever goal you want, but

things that are positive. They do. However,

you must reinforce improvement and

they spoil it by adding “but . . .” which not

progress toward that goal. If you constantly

only cancels the reinforcer, but often creates

remind people of the final, but as yet unat-

negative feelings.

tained goal, while you reinforce improve-

This practice creates negative feelings

ment, your attempt at reinforcement may

even at the highest levels of a corporation.

turn into punishment.

A senior marketing VP related that he made

The reason managers get involved in the

a big presentation to customers after a very

practice of mixing reinforcement and pun-

long trip from the Far East. He rushed back

ishment, or reinforcement and goal setting,

just in time for the meeting after having

is they mistakenly think if you reinforce the

very little sleep. After the presentation, the

achievement of a low goal, the person will

president came up to him and said, “Great

be satisfied and decide to stay at that per-

presentation but we need to talk about one

formance level. “Compliments encourage

of your slides.” The VP, in telling this story

complacency” is an oft-heard statement that

then said, “I was so punished that I almost

speaks to how frequently attempts at rein-

quit on the spot.”

forcement are done incorrectly. Many peo-

The president of a well-known dairy

ple believe that if they positively reinforce

products company related that he got a tele-

running one mile, for example, that the per-

phone call from the chairman of the organi-

son will not want to run two miles. This is

zation’s holding company. The chairman

definitely wrong. It contradicts the entire

said, “Noah, I was looking at your numbers

scientifically demonstrated relationship

from last year and as far as I can tell, you

between reinforcement and performance.

guys have set a record.” At this time the

The more reinforcement people receive for

president was feeling great. “But,” the chair-

improving a performance, the more they

man continued, “As I examined the num-

want to improve that performance. When it

bers, there were a couple of places I saw

happens that people reach a goal and do no

where I think you could have done even

more, it is an indication that reaching the

better.” As he told this story, the president

goal was negatively reinforced, even though

said, “I said to myself, Sh—!” We are quite

the intent was to positively reinforce the

sure that neither of these bosses had any

performance.

idea of the effect of their comments. If

Many managers see themselves as posi-

asked if they positively reinforce, no doubt

tive reinforcers while their employees do

they would have said yes. If you asked their

not. See Figure 15.3. Often managers say, “I

direct reports, they would say no.

believe in positive reinforcement. This is

Watch yourself to see if you violate the

the way I’ve always managed.” Yet when the

rule of no buts in your reinforcement

DELIVERING REINFORCERS EFFECTIVELY

205

attempts. It may take more than four posi-

still working. When you change under those cir-

tive reinforcers to offset the effect of this

cumstances, you have good evidence that you will

error.

use it effectively again. If you wear it out, you

probably will not be excited about using it again

Avoiding Potential Problems in

in the future. In addition, Stajkovic and Luthans

Delivering Reinforcement

(2003) showed that the use of varied reinforcers

By definition, reinforcement always works. If you

in the workplace (money and social reinforcers)

are confident you have a reinforcer and are still

increased performance above and beyond the

not getting the performance you desire, first con-

level of either reinforcer alone, or when the

sider whether the person is capable of doing the

effects of each reinforcer were summed. In other

performance. Assuming she is, there is probably a

words, using varied reinforcers did not merely

problem with the way in which you are delivering

combine the effects of each reinforcer, the com-

the reinforcer. The most common problems of

bined effect was synergistic.

execution are listed below.

Asking for Too Much, Too Soon

When we have a performance that we want to

“Although it goes against our natural

improve, naturally we want quick change. One of

instincts, the best time to change a

the more common mistakes is that we set initial

reinforcer is while it is stil working. ”

goals too high.

In the early stages of improving performance,

Not Using a Variety of Reinforcers

we should not wait for results before we rein-

force. In the beginning we reinforce the behaviors

Satiation occurs when you use the same or similar

that lead to the desired result.

reinforcers too often. You may enjoy a particular

For example, inexperienced telephone sales

kind of ice cream, but if you have it several times

representatives will make very few sales during

a day for many weeks, you may grow tired of it—

their first attempts. To improve their perform-

at least for a while.

When people find a reinforcer that works,

they get reinforced for using it. Naturally they are

“An important distinction exists between

more likely to use it again. We often hear employ-

rewards and reinforcers. You reinforce

ees say things like, “We’re being coffeed and

behaviors and reward results. ”

doughnutted to death!” This is often because a

supervisor had some initial success with coffee

ance, you might reinforce simply reading the

and doughnuts as a reinforcer and now that is all

presentation to the customer over the phone the

she thinks about when planning reinforcement.

first day. You could reinforce giving a memorized

The employees of one company nicknamed

presentation on the second day. On the third day,

Performance Management “Pizza Management”

you might reinforce responding appropriately to

because that was practically the only reinforcer

the customer’s questions. In this way the firm is

they ever received.

more likely to achieve its long-term goal of

Although it goes against our natural instincts,

increased sales than it would if only the result of

the best time to change a reinforcer is while it is

making a sale is reinforced.

CHAPTER FIFTEEN

206

Figure 15.3 Comparison of Supervisors’ and Employees’ Perception of Reinforcement Frequency

Frequency

Supervisor’s Behavior

with which supervisors say

with which employees say

“Very often” (%)

“Very Often” (%)

Gives privileges

62

14

Gives more responsibility

48

10

Gives a pat on the back

82

13

Gives sincere and thorough praise

80

14

Trains for better jobs

64

9

Gives more interesting work

51

9

(Adapted from New Patterns of Management by R. L. Likert, 1961, p. 91, McGraw-Hill Book Co. Reprinted by permission.)

Confusing Rewards and Reinforcers

The concept of celebration works much better

An important distinction exists between rewards

than rewards for our purposes. It connotes having

and reinforcers. You reinforce behaviors and

a good time by sharing how we accomplished our

reward results. Another term that better commu-

goal. We congratulate each other on what we did

nicates our intent in business is celebrate.

to make the achievement possible. We clearly

Celebrate good results.

need more celebrations at work.

The concept of reward has many connotations

that cause problems for the performance manag-

Confusing Reinforcement and Bribery

er. In our society, rewards are typically thought of

Many people think that positive reinforcement is

as consequences for above-and-beyond or heroic

bribery. Three things typically concern them.

performances. This implies that rewards seldom

One is that bribery has not worked for them.

occur. If a manager perceives that reinforcers and

Second, they feel they shouldn’t reinforce some-

rewards are the same, he would probably think

thing that a person should do anyway. Third,

that reinforcement should not be given often.

bribery, if it works, raises ethical and moral con-

Another problem with the concept of rewards

cerns.

is that they are typically chosen by the donor

Probably the most common problem many

without regard to whether it is reinforcing to the

people have with reinforcement is that they "rein-

receiver. Reinforcers must be tailored to the

force” before the desired behavior occurs. Of

receiver.

course this will most likely reinforce something

you don’t want, since what you want is not yet

occurring. An article in the Wall Street Journal

described a newspaper publishing organization in

“Parents frequently make this mistake:

‘You can watch TV if you promise me

which morale in the newsroom was very poor.

that you wil do your homework when

Management decided to give free coffee to

that program is over.’ This is a bribe. ”

improve the morale, only to find that at the end

of the first week, the employees were complaining

DELIVERING REINFORCERS EFFECTIVELY

207

about the quality of the coffee!

Confusing Reinforcement with Manipulation

Parents frequently make this mistake: “You

Sometimes people claim that reinforcement is

can watch TV if you promise me that you will do

manipulative. If they feel this way, they will resist

your homework when that program is over.” This

it and it won’t work.

is a bribe. The parents are reinforcing their chil-

Feeling manipulated most often stems from a

dren’s habits of procrastination and making

manager’s failure to deliver promised reinforcers

promises but they are not reinforcing doing

after the desired performance. For example, a

homework.

sales manager may promise one of his salespeople

The difference between bribery and reinforce-

that if she continues to exceed her quota, she’ll

ment is in the contingency. Bribery occurs when

get a shot at a management position. At the same

the reward produces the behavior. Reinforcement

time, the manager may believe the salesperson is

occurs when the behavior produces the reward

not management material and will never advance.

(reinforcer). Do not confuse an antecedent with a

A reinforcer has been promised that will not be

bribe. To tell a child “After you do your home-

delivered. Eventually, the salesperson may feel

work, you can watch TV” is not bribery. The

manipulated, and indeed she has been.

statement is an antecedent describing what is

To the wronged person, it matters little

expected and what the reinforcer will be.

whether the reinforcer was not delivered because

The second concern often stated by managers

it was never intended to be, whether the other

is, “I shouldn’t have to reinforce; that is what they

person forgot, or whether he didn’t have the

are paid for.” Parents say, “I shouldn’t have to

authority to make it happen. Never offer a rein-

reinforce, because there are some things my kids

forcer that you do not personally have the author-

should do just because they are a part of this fam-

ity or inclination to deliver.

ily.” But those statements reflect a misunderstand-

ing of how habits are formed. If people are not

doing something, it is because it’s not being rein-

“Reinforcement feels good! ”

forced. If we want them to do it, we must find

some way to provide reinforcement when they

do. No one is born a hard worker or a chore com-

Reinforcement, as with all PM techniques,

pleter.

works best when everyone involved is aware of

You learned from Chapter 12 that you can get

what you are doing. There is little to gain from

employees to do what they are paid for or you can

not being open and above board. When people

get children to clean up their rooms because they

know you are trying to find ways to reinforce

ought to, but that is all you will get—no initia-

their progress, they can, and often do, tell you

tive, no volunteering, nothing above the mini-

what reinforcers they like and don’t like. In many

mum required to keep you off their backs.

conversations with middle managers who have

The third concern is that, in our society, bribery

been reinforced and with employees who received

implies the use of reinforcement to achieve the

reinforcement from their supervisors, the answer

selfish, and perhaps corrupt, ends of the donor.

to the question “Do you feel manipulated?” has

Performance Management does not condone the

been answered with a resounding “No!” Instead,

use of reinforcement for any illegal, unethical,

people who know they are receiving reinforce-

immoral, or otherwise unsavory behavior.

ment say, “I like it.” Reinforcement feels good. If

CHAPTER FIFTEEN

208

you doubt this, think back to the last time some-

forced. I bought them a pizza” or “I gave her a T-

one gave you some sincere praise or recognition.

shirt.” But if the only reinforcers people receive

Did you feel manipulated, or did you feel good?

are tangible, they may misinterpret the intention

by assuming that the token reinforcer itself

Delivering Reinforcement Non-Contingently

demonstrates the dollar value you place on their

Reinforcement always reinforces some behavior.

performance. It is easy to see how this could cause

When reinforcement is said to be non-contin-

problems. Give the social reinforcers first and

gent, it means that either what is reinforced is

more often than the tangible reinforcers.

unknown or is unplanned. When you give rein-

forcers simply because someone is such a nice

Not Reinforcing the Behavior of Reinforcing

person or it would be a shame not to include

One of the basic problems with reinforcement is

him, you are reinforcing non-contingently and

that many recipients find it difficult to accept.

cannot expect to get the results a proper rein-

They have been taught to be humble and self-

forcement program can deliver.

effacing and are uncomfortable with any form of

Using reinforcement non-contingently usually

praise. Upon being reinforced, people will often

results from a mistaken belief that fairness

say things like “It was nothing,” “I was lucky,”

demands that what we do for one we must do for

“Anybody could have done it,” or “It’s just my

all, or because managers are afraid of negative

job.” Worse yet, when reinforced they may say

consequences from those who do not receive the

nothing, causing an awkward silence. The end

reinforcement.

result of this discomfort about reinforcement is

Being a non-contingent reinforcer for either of

that the person doing the reinforcing gets pun-

these reasons will practically always generate

ished. A colleague related the following example:

unwanted or undesired behavior and complaints

of unfairness from the good performers.

A young colleague just informed me she

had submitted several articles for publica-

Delivering Reinforcement Insincerely

tion. When I congratulated her she respond-

The problem of insincerity has been discussed

ed, “What do you think I’ve been doing all

earlier. It is mentioned again because it is one of

this time?” If I didn’t know her better that

the reasons that some people fail to get desirable

would have been the last time I compli-

results with their attempts at reinforcement.

mented her about anything.

Sincerity is essentially a question of honesty.

Saying things you don’t believe in order to

Reinforcing is not a common behavior in most

increase performance will damage your credibility

workplaces. If early attempts at reinforcing are

and your reputation. Once you get a reputation

not reinforced, the behavior will quickly stop. As

for being insincere, it is very difficult to change

with any skill, the early stages of learning to use

that reputation.

reinforcers are fraught with mistakes. People may

say the wrong things, or what they do say is not

Delivering Tangible Reinforcement

said in the right way. Even so, if people aren’t

Without Social Reinforcement

reinforced for their attempts at reinforcing, they

Tangible reinforcement is, for many people, a

will probably never become skilled at it.

quick and easy way to give reinforcers. They can

Reinforcing the use of reinforcers is often

point to a tangible item and say, “Yes, I’ve rein-

complicated by the fact that the person giving

DELIVERING REINFORCERS EFFECTIVELY

209

forcers is critical for success in PM. Reinforcing

immediately and frequently, personalizing the

“In the high-performance organization

comments, and mentioning specific behaviors are

of the future, reinforcement wil be

everybody’s business. ”

all good tips for the new consultant. In addition,

it is important that reinforcing comments be

delivered with sincerity and that goal setting and

you the reinforcer is your boss. Our society has all

punishers are paired with reinforcers. Some who

kinds of derogatory terms for those who reinforce

report trying reinforcement unsuccessfully may

the behavior of those above them in organiza-

have used the same comments over and over,

tions. Apple polishing, buttering up, and politicking essentially satiating the intended recipient, they

are just a few of the kinder terms. This situation

may have asked for too much behavior too soon,

must change. In the high-performance organiza-

or they may have confused rewards (meant for

tions of the future, reinforcement will be every-

results) with reinforcers which are appropriate for

body’s business. Reinforcing up the organization

behaviors. One important issue is that every

will be just as comfortable as reinforcing down

potential user of reinforcement must take care to

the organization.

avoid is that reinforcers are NOT bribes. When

All the criteria for the effective delivery of

an antecedent prompts a behavior, e.g. “You need

reinforcement apply to reinforcing the act of rein-

to finish your homework before you go outside”

forcing. All employees should be taught the

and the contingency is followed, no bribery has

importance of reinforcing, how to reinforce, and

occurred. In the next chapter, we will look at how

their role in it. PM is not some secret weapon to

feedback can be made into a reinforcer.

be available only to managers. Rather, it grows

and flourishes when everyone understands and

practices it.

Use the QR CODE reader on your smart-

phone to learn more about:

Summary

Article: “The ‘Brag Sheet’”

Understanding how experienced consultants,

managers, and supervisors effectively deliver rein-

211

16

Schedules of Reinforcement

The Secret to Teaching Patience and Persistence

Now that you’ve learned about how powerful

reinforcers are and how to create them so you can

“One test of the strength of a behavior

increase productivity, you are ready for more

is how long it wil cotunnite once rein-

sophisticated information about how to deliver

forcement is withdrawn. ”

reinforcers. We’re not talking about immediately

or consistently but rather the concept of occa-

When reinforcement occurs only occasionally,

sional reinforcement. Most people think, once

behavior is on an intermittent schedule of rein-

they understand positive consequences the more

forcement (INT). As you change the criterion for

you receive, the stronger the response. And, this

reinforcement from reinforcing every instance of

is also true for learning a new behavior. But, what

behavior to reinforcing only occasionally, you are

about long term? How do you maintain a behav-

changing the schedule of reinforcement.

ior that has been recently acquired? The answer,

Changing the schedule produces predictable

perhaps surprisingly, is that if a behavior is only

changes in the pattern of the behavior. Some

occasionally reinforced, it will not only sustain

schedules produce high rates of responding and

but perhaps will even gain strength. In fact, the

some produce low rates. Some produce steady

opposite, continuous reinforcement, can lead to

patterns of responding, while others produce

the loss of reinforcing power. Just think about

erratic patterns. One test of the strength of a

America’s guilty pleasure. Everyone who has

behavior is how long it will continue once rein-

devoured a pint of Ben & Jerry’s Cake Batter or

forcement is withdrawn—basically put on extinc-

Cherry Garcia says, “If I never see ice cream again

tion. As research has shown, some schedules pro-

it will be too soon.” Your reaction, which is com-

duce rapid reduction of a behavior, while others

mon, has to do with satiation, basically too much

produce very slow extinction.

of a good thing.

So, we actually have to be a little careful about

Continuous and Intermittent Schedules

using only continuous reinforcement to strength-

While reinforcing a behavior every time it occurs

en a new, desired behavior. The answer to satia-

seems impractical, in some situations it is neces-

tion is intermittent reinforcement, also known as

sary if improvement is to occur most efficiently.

schedules of reinforcement.

In most cases, however, reinforcing every behav-

A schedule of reinforcement describes how

ior is neither desirable nor necessary.

often behaviors will be reinforced. When a

True continuous schedules of reinforcement

behavior is reinforced every time it occurs, it is on

are relatively rare in real life. What behavior do

a continuous schedule of reinforcement (CRF).

you know gets reinforced every time? Are our

CHAPTER SIXTEEN

212

requests granted every time we make one? Do

usually starts.

people always laugh at our jokes? Do we enjoy

The opposite of a continuous schedule of rein-

every meal we eat, every movie we see, or every

forcement is one in which performance is never

party we attend? At work does our boss show

reinforced. Of course, without reinforcement,

appreciation every time we accomplish some-

behavior will begin to slow down and eventually

thing? The answer is obvious.

cease. This describes extinction. Although we

Nevertheless, many of our everyday activities

don’t usually think of it as such, extinction is also

appear to be continuous schedules. When we

a schedule. It is the opposite of continuous rein-

turn the spigot, water almost always flows. When

forcement (CRF).

we turn on the radio, we usually hear a voice or

Between the extreme of receiving reinforce-

music. When the telephone rings and we pick up

ment every time (continuous reinforcement) and

the receiver, someone is usually on the line.

never receiving reinforcement (extinction) are the

When we turn the key in the ignition, the car

schedules labeled intermittent.

Figure 16.1 Difference in Continuous and Intermittent Schedules of Reinforcement and Extinction

RATE OF REINFORCEMENT

Continuous Reinforcement

Intermittent Reinforcement

Extinction

Every instance of desired

Some instances of desired

No instance of behavior is

behavior is reinforced

behavior are reinforced

reinforced

IMPACT ON BEHAVIOR

Continuous Reinforcement

Intermittent Reinforcement

Extinction

R

IOVAHE BF OETAR Gets behavior going Strengthens or maintains behavior Behavior stops over time TIME

SCHEDULES OF REINFORCEMENT

213

Intermittent schedules are those in which

tems, and structures of the workplace such as

behavior or performance is reinforced less than

machinery and work tools used successfully, the

always and more than never. The relationship of

words of colleagues as a person works to master a

continuous and intermittent reinforcement and

new procedure, the quick feedback built into the

extinction is depicted in Figure 16.1.

computer for correct responses, a good interac-

You will discover that intermittent schedules

tion with a customer, as well as from you as an

are the most efficient way to maintain desired lev-

individual. Think beyond yourself when setting

els of performance. They offer advantages to both

up conditions for continuous reinforcement and

the provider and the recipient. In some situations,

plan as much naturally occurring reinforcement

however, continuous reinforcement is the best

as you can. If you can design reinforcers into the

schedule.

work process, like the beep that accompanies a

successful scan of an item at the grocery store,

you can create high quality and high rates of

“Continuous reinforcement is the best

behavior without a lot of supervisory attention.

way to develop new behaviors or to

However, your words and actions are often the

improve performance when it is very

most important component of reinforcement if

low. ”

you are the supervisor or manager. Do not dis-

count the importance of providing positive com-

The Value of Continuous Reinforcement

ments to performers. You can quickly see how

If examples of continuous schedules of reinforce-

reinforcing you are in the process by the impact

ment are rare in everyday life, they are even more

your words have on the behavior, but if you can-

unusual at work. Nevertheless, there are occasions

not see the impact immediately, do not stop.

when people need as many reinforcers as you can

Keep your focus on what you like and what

provide. When new employees are learning job

looks like steps in the right direction. Once you

skills or when you are trying to help poor per-

have steady improvement in performance, you

formers improve, reinforce the behavior as often

can switch to intermittent schedules to maintain

as you can. Every step in the right direction and

the improvement. Until that point is reached, the

every small accomplishment should be rein-

more reinforcers you deliver, the faster progress

forced. Continuous reinforcement is the best way

will be.

to develop new behaviors or to improve perform-

ance when it is very low.

“Once the basic performance has been

wel established, intermittent reinforce-

“Think beyond yourself when setting up

ment generates higher rates of perform-

conditions for continuous reinforce-

ance than continuous reinforcement. ”

ment and plan as much natural y

occurring reinforcement as you can. ”

The Value of Intermittent Reinforcement

When you first see the effect of continuous rein-

If you use continuous reinforcement in the sit-

forcement on performance, it appears so effective

uations noted above, progress will be maximized.

that you wonder why anyone would want to do

Reinforcement can occur from the processes, sys-

anything else. Common sense tells us that if people

CHAPTER SIXTEEN

214

receive reinforcers every time they do something,

he will most likely continue fishing for a

they will maximize their efforts. If you knew that

long time even though he will have occa-

every time you performed a certain way you’d get

sional trips when the fish aren’t biting. His

something you want, wouldn’t you work your

experience has taught him that if he doesn’t

hardest? If you answered yes, common sense

catch fish on one trip, he might catch fish

would have led you astray.

the next time out. His performance proba-

The answer to this question, believe it or not,

bly will be maintained despite failure

is no. Once the basic performance has been well

because catching fish is on an intermittent

established, intermittent reinforcement generates

schedule of reinforcement.

higher rates of performance than continuous

reinforcement. This finding has been confirmed

“Managers frequently ask, ‘How long

by numerous research studies conducted over a

do I have to reinforce behaviors?’ The

period of more than 50 years (Ayllon & Kolko,

answer is: ‘As long as you want that

1982; Catania, 1984; Ferster and & Skinner,

behavior to continue.’”

1957; Lundin, 1969; and Sulzer-Azaroff &

Mayer, 1977).

There are at least four advantages to intermit-

Some die-hard fans continue attending

tent reinforcement.

soccer games in spite of their favorite team’s

long losing streak. Many golfers have vowed

1. Intermittent reinforcement maintains

to quit the game during a bad round, only

performance. If you have a reinforcer and

to change their minds after hitting their

deliver it effectively, performance will usual-

best drive ever on the last hole. Millions of

ly change rapidly. Your goals will be reached

people buy Power Ball tickets even though

and often exceeded in less time than you

the odds are 1 in 175,223,510 that they will

ever imagined. Maintaining this perform-

win! (What maintains ticket buying in

ance gain in the ensuing months and years

addition to antecedent stimuli showing

requires intermittent reinforcement. What

smiling past winners is the better odds of

could make a fisherman spend hours sitting

winning $4.00: one in 55). Some writers

nearly motionless, holding onto a pole with

persist in writing in the face of numerous

a piece of string dangling in the water? For

rejections while others quit after the first

simplicity, let’s regard the behavior as fish-

handful of rejection letters. Thomas Edison

ing and the reinforcer as catching a fish.

was reputed to have said that he discovered

Examine the following sequence of events.

10,000 ways not to make a light bulb before

On the first few fishing trips, a young

he found a material that worked. Examples

fisherman is successful; he catches fish each

of this kind of motivation are endless. You

trip. After several successful trips, he goes

might say that a history of intermittent rein-

on a trip where he catches no fish. Will he

forcement gives people hope.

go again? Very likely. Suppose on his next

People do, however, give up on projects

trip he is successful again, but on the next

and lose interest in hobbies and activities. If

two trips he is unsuccessful. Will he go

reinforcement does not reach some mini-

again? Probably.

mum level, extinction will occur. However,

With this kind of reinforcement history,

intermittent schedules produce behavior

SCHEDULES OF REINFORCEMENT

215

that is relatively resistant to extinction. See

learning stage. If that is done, the habits can

Figure 16.2 in which a study by Hantula

be maintained with relatively little rein-

and Crowell (1994) shows that under con-

forcement.

tinuous reinforcement, extinction is rapid,

The advantage that intermittent rein-

but under intermittent reinforcement,

forcement provides for organizations is that

extinction is very slow. This result is fairly

it permits employees to maintain high lev-

typical of extinction. The factors affecting

els of performance under limited supervi-

the rate of extinction are too involved to

sion. Salespeople working away from the

cover here; but for the serious student,

office for extended periods of time, long-

there is an extensive body of research to

distance truck drivers, service technicians,

review: (Lundin, 1969; Cooper, Heron, &

security guards, night-shift employees, audi-

Heward et al, 2007; and Ferster and &

tors, entrepreneurs, and consultants are a

Skinner, 1957; Nevin, 1988; Journal of

few of the jobs that must be established on

Applied Behavior Analysis; and the Journal

intermittent reinforcement for best per-

of Experimental Analysis of Behavior).

formance. An additional advantage of inter-

To help people develop a habit that is

mittent schedules is that they allow a man-

resistant to extinction, the behavior must

ager to be away from the office for a long

get high levels of reinforcement early in the

time and not have decreases in performance

due to lack of social reinforcement. The

Figure 16.2 Mean Dol ars Invested by Each

advantage that intermittent reinforcement

Group by Blocks of Four Trials During the

has for individuals is that you can’t just pat

Acquisition Period (left side) and During the

Extinction (Failure) Period (right side)

someone on the head and forget about him.

Some reinforcement is required on a con-

10000

tinual basis. In other words, don’t take high

ACQUISITION

EXTINCTION

performance for granted. Managers fre-

quently ask, “How long do I have to rein-

8000

force behaviors?” The answer is “as long as

you want that behavior to continue.”

vested 6000

llars Ino

“Reinforcing on an intermittent schedule

D 4000

& using a variety of social and tangible

ean

reinforcers maximizes effectiveness. ”

M 2000

CRF

INT

2. Intermittent reinforcement avoids the

0

problem of satiation. Reinforcers lose their

1

2

3

4

5

6

7

8

effectiveness if they are used too often. We

Block of Four Trials

all experience this condition when we tire

(Adapted from “Intermittent Reinforcement and Escalation Processes in Sequential Decision Making: A Replication and Theoretical Analysis by of a particular appetizer, entree or dessert

Donald A. Hantula and Charles Crowell, 1994. Journal of Organizational because we have indulged too frequently. It

Behavior Management, Vol. 14, No. 2, pp. 7-36, The Haworth Press, Inc.

Reprinted by permission.)

happens with friends, colleagues, music,

CHAPTER SIXTEEN

216

jokes, even the weather. No reinforcer is

4. Intermittent reinforcement explains why

immune. Satiation is especially likely when

some people seem to perform without

the selection of tangibles is limited. How

reinforcement. You may occasionally

many logo pens, key chains, or coffee mugs

encounter a situation where people perform

do you really need? Using tangibles only

at a high rate apparently in the absence of

occasionally will sustain their reinforcing

positive reinforcement. To the skeptic, this

properties for a longer period of time.

apparent exception proves that reinforce-

Reinforcing on an intermittent schedule and

ment is useful only for some problems and

using a variety of social and tangible rein-

for some people.

forcers maximizes effectiveness.

Consider the star performers who are

consistently pleasant, prompt, efficient, and

productive. In watching them perform over

“Often, in organizations using PM, man-

extended periods of time, you may not wit-

agers and supervisors have five or

ness any positive reinforcement. In response

more performance improvement plans

to surveys, they may not recall receiving any

underway at the same time. ”

reinforcement. But a long time ago, most

likely when they were children, their par-

3. Intermittent reinforcement frees man-

ents probably gave them attention for

agers to reinforce many different behav-

achievements and for learning new tasks.

iors and performances. Managers are

Or, perhaps as new employees, they were

responsible for numerous performers and

fortunate enough to receive a good bit of

their many behaviors. Reinforcing all of the

reinforcement. As they learned the job,

behaviors on a continuous schedule is basi-

their supervisor or trainer may have given

cally impossible as there simply isn’t enough

considerable reinforcement as they made

time. Intermittent reinforcement makes

progress.

reinforcing the behavior of many individual

After a while, in the natural course of

performers possible. Often, in organizations

events, the supervisor began to reinforce

using PM, managers and supervisors have

their performance less and less often as they

five or more performance improvement

became more and more proficient in the

plans underway at the same time. This is

job. By that time, even if new supervisors

possible because as the demand for rein-

took over, an occasional appreciative com-

forcement decreases on one project, anoth-

ment about their work would be all it took

er can be started.

to keep performance at a high level. Now,

years later, they seem to work independent-

ly of glitzy, tangible reinforcement. In reali-

“People who maintain high levels of

ty, they can sustain high performance on a

behavior, even with only occasional

reinforcement, can do so because of

very lean schedule of reinforcement, such as

the way that their reinforcers were

an approving comment from a colleague

gradual y thinned; this created their

every couple of weeks, or an opportunity to

reinforcement histories. ”

take a complex training seminar which

might lead to advancement. People who

SCHEDULES OF REINFORCEMENT

217

maintain high levels of behavior, even with

terns. If you know the type of performance you

only occasional reinforcement, can do so

want, one schedule is usually more appropriate

because of the way that their reinforcers

than another. When you are having a perform-

were gradually thinned; this created their

ance problem, knowledge of schedules will help

reinforcement histories. These individuals

you determine whether the problem is due to the

are typically referred to as self-motivated,

schedule or to some other factor, such as the type

inner-driven, or self-starters. And you will

of reinforcer.

discover, even these people need reinforcers

Ratio and interval schedules can be subdivided

on some schedule.

according to whether the conditions under which

Eisenberger (1992) in a series of studies

reinforcement occur are fixed or variable. This

investigating what he called learned indus-

gives us the four basic schedules illustrated in

triousness found that people with a history

Figure 16.3.

of reinforcement for extra effort, generated

not only a high rate of performance on the

Interval Schedules

reinforced tasks but approached other tasks

1. Fixed interval. A fixed interval (FI) sched-with the same elevated effort. This same

ule is one in which a fixed amount of time

history also produced performers who were

must pass before a given behavior will be

more persistent, who tolerated aversive

reinforced. There are two criteria for rein-

tasks better, and who were more honest

forcement on a fixed interval (FI) schedule.

than those with a history of continuous

reinforcement.

Figure 16.3 Four Basic Schedules of

Types of Intermittent Schedules

Reinforcement

Simple schedules of reinforcement generally can

be divided into two categories. You can reinforce

CONTINGENCY

based on the number of responses a person

INTERVAL

RATIO

makes, or you can reinforce the first response

R+ delivered

R+ delivered

after some time has passed. Ratio schedules are

when response is

after a number

based on the number of responses or the amount

made after

of responses

of work accomplished. A schedule on which a

some time has

are made

passed

period of time must pass before reinforcement is

available is called an interval schedule. Although

Catania (2013) lists 13 basic schedules and 10

FIXED

FI

FR

compound schedules, only four will be discussed

here in detail: two ratios and two intervals. For

our purposes, a thorough understanding of these

four will provide you with most of the informa-

tion you need to diagnose productivity problems

VARIABLE

VI

VR

and plan corrective action for them.

The advantage of knowing these schedules is

that each produces distinctive performance pat-

CHAPTER SIXTEEN

218

First, some period of time must go by

thing like Figure 16.4.

before a reinforcer is delivered; and second,

Reid, Parsons, Green, and Schepis

at the end of this period, the desired behav-

(1991) demonstrated this in their study

ior must occur to produce the reinforcer.

establishing the ineffectiveness of annual

Suppose you work in an area that is

(FI-1-yr) surveys of intermediate care facili-

inspected for housekeeping on the last day

ties. In Experiment 2 their data showed that

of every month. The reinforcement may be

just before the surveys, interaction activities

positive in that you will be praised if it is

were at zero levels of occurrence but when

good, or it may be negative in that the most

the surveyors were on site, the same activi-

you can hope for is to avoid a chewing out.

ties by the same staff were at 55 percent.

The consequences will be delivered for hav-

Subsequent to the surveys the number of

ing a clean area on that day. It doesn’t mat-

interaction activities dropped to 2 percent.

ter whether you kept your area clean or

messy during all the preceding days of the

Figure 16.4 Typical Industrial House -

month. Reinforcement is available only on

keeping Performance on

the last day.

an FI Schedule

Because it is a monthly inspection, the

30

performance (housekeeping) will never be

ay

reinforced (inspected) during the interval

y D 25

no matter how often you do it—only at the

g bin

end of the interval. But keep in mind that

sekeep 20

on interval schedules, reinforcement is not

uo

automatically given at the end of the inter-

H

t in 15

val. The performance must first occur. In

en

this case, the place must be clean.

rs Spu 10

o

On an FI schedule, responding immedi-

ately after reinforcement is never reinforced.

lative H

5

u

This usually produces a distinctive perform-

muC

ance pattern. Behavior under FI schedules is

0

highly predictable. In the early part of the

Days of the Month

interval, the target behavior rarely occurs,

while toward the end of the interval, the

behavior increases, often dramatically.

This pattern, referred to as break and

In the example above, it is likely that lit-

run, is generated because the response rate

tle attention is paid to housekeeping until

usually drops to zero following reinforce-

the last couple of days in the month. At

ment but accelerates as the end of the inter-

that point everybody starts scurrying

val approaches. This happens because

around to get the place cleaned before

behavior occurring immediately after rein-

inspection. If we were to graph the number

forcement is never reinforced on an FI

of hours spent in housekeeping during the

schedule and time discrimination is learned

month, the graph will usually look some-

so that the performers can approximate

SCHEDULES OF REINFORCEMENT

219

when the end of the interval is near.

2. Variable interval. A variable interval (VI)

Figure 16.5 shows a classic example of

schedule is one in which the time between

this effect in the U.S. Congress (1962-

the opportunities for reinforcement varies.

1968). Most bills were passed just before

For example, the first time reinforcement is

the Labor Day recess. This is such a well-

available may be after 1 hour, the next time

known fact that legislators often consider it

may be 3 1/2 hours later, then again 22 min-

in deciding when to introduce their bill.

utes later, and finally, after only 8 more min-

That is, if the bill hits the floor of Congress

utes. In this example, on the average, rein-

toward the end of the session, it may not

forcement is available every 75 minutes (VI

undergo the same scrutiny as those bills

75 min), but the times it is actually available

introduced earlier.

vary greatly. In other words, the performer

Figure 16.6 shows this break-and-run

never knows exactly when his behavior will

pattern in research on human vigilance.

be reinforced.

Notice that as the fixed intervals go from 1-

As with FI, the behavior must be occur-

minute to 4-minutes, the break gets longer

ring when reinforcement becomes available

as well. While the run portion of the per-

in order to get the reinforcer. Because the

formance may be just as vigorous, the

performer can’t predict whether any given

impact of the break is that the rate of

response will be reinforced, VI produces a

responding is slowing. This is a salient fea-

different performance pattern than FI.

ture of FI schedules: the longer the interval,

On VI schedules, in contrast to FI sched-

the lower the performance. In a simulated

ules, reinforcement can follow reinforce-

baggage screening experiment Hogan, Bell

ment; therefore, reinforcers can be delivered

and Olson (2009) compared extinction

close in time to each other. The behavior

with a VI 6-min schedule of reinforcement.

can be reinforced at any time, even if it was

The VI-6-min produced significantly high-

reinforced only minutes or seconds before.

er levels of signal detection thus supporting

If the performer repeats the desired behav-

the vigilance reinforcement hypothesis that

ior, that behavior may or may not be rein-

states, “Errors in signal detection tasks are

forced, but he does not have to wait until a

partially explained by operant reinforce-

set period of time has elapsed as with FI

ment and extinction processes.”

schedules. A VI schedule produces a low-to-

Figure 16.7 is a list of examples of FI

moderate, but very steady, response rate.

schedules in everyday life.

VI schedules generate response rates

Given an equal number of reinforcers, FI

exemplified by behaviors such as checking

schedules generate the lowest level of per-

your phone (with the sound off ) for email.

formance of the four schedules being dis-

You constantly check because you never

cussed. Given that most organizations are

know when you might have an important

interested in producing better products and

message coming in. Since on any VI sched-

services at lower costs, FI schedules should-

ule the opportunity for reinforcement is

n’t be the schedule of choice in most busi-

controlled by some outside variable (the

ness situations.

email sender) these schedules tend to pro-

duce constant, steady checking. People who

CHAPTER SIXTEEN

220

Figure 16.5 Cumulative Number of Bil s Passed by Congress from October 1964 to 1968

1000

assed

89th Congress

750

Jan 1965 - Oct 1966

ills P

87th Congress

f B

Jan 1961 - Oct 1962

er ob m 500

u

88th Congress

Jan 1963 - Oct 1964

lative Num 250

90th Congress

u

Jan 1967 - Oct 1968

C

0

J

F

M

A

M

J

J

A

S

O

N

D

J

F

M

A

M

J

J

A

S

O

N

1ST SESSION

2ND SESSION

Months

(Adapted from “Fixed Interval Work Habits of Congress” by Paul Weisberg and Philip Waldrop, 1972.

Journal of Applied Behavior Analysis, Vol. 5, No. 1, Spring, 1972. Reprinted with permission from

the Society for the Experimental Analysis of Behavior, Inc.)

Figure 16.6 Fixed

Interval Sc

al oping in “Sig

nal

Detection

” (Vigilance)

1 min

2 mi

n

3 mi

n

4 min

1200

sesno

esp

f R 600

er obmuN

0

TIME

TIME

= 10 MIN

10 MIN

Cumulative Response records for 1-, 2-, 3-, and 4-minute fixed-interval schedules.

The task was to detect deflections of a pointer on a dial and to reset them.

(Reprinted with permission from “Human Vigilance” by J. G. Holland, 1958, Science, July 11, V. 128, pp. 61-67. Copyright 1958 AAAS.)

SCHEDULES OF REINFORCEMENT

221

Figure 16.7 Examples of Fixed Interval Schedules

Behavior

➞

Possible Reinforcers

Studying for final exams

➞

Passing the exam

Cleaning up work area for monthly

➞

Passing monthly inspection

inspection

Preparing weekly sales report

➞

Reports turned in on time

Conducting annual performance

Completing the task

appraisals

➞

Setting annual business

Approved by the boss

objectives

➞

Completing tax returns

➞

Avoiding late penalty

Attending daily staff meeting

➞

Attention from boss

are unable to check because they are in class

check the board from time to time because

or a meeting begin to fidget after a certain

experience tells her that sooner or later it

period, knowing that the email is piling up

will be posted. At some point nurses know

and they are getting behind. A different

that the supervisor is running out of time to

result is seen in those who fish off the end

post the schedule and their pace of check-

of a pier at the Gulf. They never get in a

ing will go up; the VI has become an FI

hurry and are content to stay there for long

schedule.

periods of time, waiting for the fish to bite.

Variable interval schedules are appropri-

A nurse who checks the bulletin board

ate for any job where patience and vigilance

to see the new work schedule also demon-

are more important than speed. In an age

strates an example of a VI schedule.

where more and more jobs require people

Suppose the nursing supervisor posts the

to monitor TV or computer screens to

schedule at various times during the week,

detect certain errors or events, knowledge

depending on her workload. The behavior

of how to properly apply VI schedules is

being reinforced in this case is “checking

important. Figure 16.8 shows some exam-

the bulletin board.” The reinforcer is seeing

ples of behaviors that are usually on VI

her work schedule. No matter how fre-

schedules.

quently the nurse checks the board, the

schedule won’t be posted until the supervi-

“It is not hard to understand why ratio

sor has completed it. In other words, the

schedules produce higher rates of

behavior of checking the bulletin board

responding: the harder you work, the

does not cause the work schedule to be

more often you get reinforced. ”

posted. Throughout the week the nurse will

CHAPTER SIXTEEN

222

Ratio Schedules

pleted. Some programmers may be paid by

The major difference between ratio and interval

the job, not by the hours they work on it.

schedules is that, under ratio schedules, rein-

Salespeople on commission are paid a cer-

forcement is available when a given number of

tain amount for each sale they make. In the

behaviors occur; whereas, under interval sched-

average workplace, formal applications of

ules, some amount of time must pass before rein-

fixed ratio schedules are hard to find

forcement is available. With ratio schedules, the

because they are more difficult to track and

faster someone performs, the more reinforcers

generally require more monitoring than

they obtain because they are not constrained by

interval schedules. Nevertheless, employees

time. Therefore, it is not hard to understand why

on FR pay systems consistently outperform

ratio schedules produce higher rates of respond-

those on FI (fixed interval) pay systems by

ing: the harder you work, the more often you get

as much as 30 percent. Ayllon and Kolko

reinforced. For example, a copy editor paid by the

(1982).

page is likely to edit more pages in a given period

A host of experimental work from both

of time than an editor paid by the hour.

analogue and actual work tasks consistent-

Figure 16.9 illustrates the relative difference

ly points to the relative superiority of a pay-

between the various schedules in terms of level of

ment system based on a specific piece-rate

performance. The figure assumes that the number

requirement. In particular, studies demon-

of reinforcers is the same for each schedule. The

strated significant improvements in produc-

differences in performance levels are due solely to

tivity and task satisfaction when a CRF

when the reinforcers were delivered, not to how

( fixed ratio) reinforcement schedule has

much was delivered.

been implemented following the use of a

salary-based FI schedule.

1. Fixed ratio. Fixed ratio (FR) refers to a set number of responses that must be made

More recently in a review of studies about

before reinforcement is received. Two com-

method of pay and performance, Bucklin

mon examples in the work setting are piece-

and Dickinson (2001) state:

work and commissions. On piecework,

employees are paid a given amount for each

Taken together, the data suggest that, at

item they produce or operational step com-

least for the parameters investigated to

Figure 16.8 Examples of Variable Interval Schedules

Behavior

➞

Possible Reinforcers

Security patrolling

➞

Spotting a crime in progress

Waiting for an elevator

➞

Elevator arrives

Monitoring a machine

➞

Getting to make an adjustment

Inspecting for defects on an assembly line

➞

Finding defect

Monitoring a metal detector at the airport

➞

Detecting an unidentified metal object

SCHEDULES OF REINFORCEMENT

22

2 3

2

date, the most critical determinant of per-

business. An increasing number of compa-

formance is the ratio schedule contingency

nies are moving to pay for performance in

between performance and pay; that is, a

recognition of the superiority of FR over tra-

relationship in which individuals can earn

ditional interval-based pay schedules.

a specified amount of money for the num-

However, we might add that many of the so-

ber of work units they complete.

called pay for performance schemes are con-

ceived and implemented without knowledge

Figure 16.9 Relative Response Rates for the

of schedules of reinforcement research and as

Four Types of Inter mit tent

such fail to deliver the performance of which

Schedules of Reinforce ment

they are capable.

100

A characteristic usually associated with

FR schedules (other than FR1, or CRF) is a

ses no er b

pause in performance following reinforce-

esp mu rcers

ment. This pause is called a post-reinforce-

f R

fo 50

et N

ment pause (PRP). A post-reinforcement

ein

er ob

f R

pause is found in both FR and FI schedules

m r a S o

u fo

because in these intermittent schedules,

N

reinforcement never follows reinforcement.

0

F1

VI

FR

VR

In other words, a behavior immediately fol-

Schedule

lowing reinforcement will never be rein-

forced on FI and FR schedules. On FI

schedules some time must pass before rein-

Fixed ratio (FR) schedules are often

forcement is available and on FR schedules,

written as FR2, FR6, FR8, and so on. The

with the exception of CRF, more than one

number after the designation denotes how

response must occur before reinforcement

much behavior is required to receive rein-

is available.

forcement. For example, a child who must

The difference in the PRP on an FR

complete six pages of homework before

schedule is that when the pause is over, the

going out to play would be on an FR6

person goes all out. Fixed ratio performance

schedule.

is sometimes referred to as all-or-nothing

Most applications of the Premack

performance. Of course, on fixed interval

Principle employ FR schedules: When I do

schedules, the person may only need to

X, then I will do Y. When I complete this

make one response at the end of the pause

tedious task (rake the front yard), I’ll spend

to produce the reinforcer.

an hour on a fun task. This is a very effec-

The length of the pause on an FR sched-

tive time-management technique. When

ule is a function of the size of the ratio, just

your mother told you to do your work

as the length of the pause on an FI schedule

before your play, she was trying to teach

is a function of the length of the interval.

you the value of FR schedules. Fixed ratio

On a given performance, there would be a

schedules are associated with task orienta-

longer pause on FR100 than there would be

tion and efficiency. This schedule is ideal for

on FR10. This phenomenon can be seen

CHAPTER SIXTEEN

224

when people working on a project day and

former knows that the sooner he starts

night for several weeks take a couple of days

again, the sooner reinforcement will occur.

off when it is completed. Writers, directors,

and others who work on long-term projects

2. Variable ratio. On a variable ratio (VR)

may take off weeks, months, or even years

schedule, the reinforcer comes as something

before starting another one. One way of

of a surprise. The person does not know

characterizing the PRP is as a celebration of

exactly when the reinforcer will be deliv-

the accomplishment. Organizations that

ered. However, in contrast to VI, perform-

take time to celebrate accomplishments are

ers learn under VR that the more they do,

usually high performing organizations.

the more reinforcement they will get. On a

If managers don’t know about this char-

VR schedule, the amount of work you do to

acteristic of FR, they may get an unrealistic

get reinforced varies. Variable ratio rein-

picture of the performers. If they happen to

forcement can be planned to occur around

inspect during a PRP, they might conclude

some average, but the performer never

that their employees are lazy or off-task,

knows exactly which response will result in

when in reality they may be just the oppo-

a reinforcer. In this way it is an ideal sched-

site. Many managers think that taking time

ule for managers who like to be sponta-

to celebrate is a waste because it takes time

neous with contingent social reinforcers.

that could otherwise be spent working.

A clear example of VR is playing a slot

However, they discover that when victories

machine in a casino. The machines are set

or accomplishments are celebrated, people

to pay off around some average. In other

work harder to get the celebration and

words, the number of times you play before

work harder following the celebration than

you win is varied. (Of course, the amount

they would have done without it.

you win is also varied.) There is not much

waiting between one play and the next

because winning on a given play does not

mean that you will not win on the next one.

“Variable ratio reinforcement can be

The sooner you push the button for the

planned to occur around some aver-

age, but the performer never knows

next play, the sooner you will know if you

exactly which response wil result in a

are a winner. In contrast to FR schedules,

reinforcer. ”

there is usually no pause following rein-

forcement on VR schedules. Therefore, VR

Although FI schedules also produce a

schedules generally produce the highest

pause following reinforcement, that pause

response rate overall of the four schedules

differs in character from the FR pause. On

reviewed here.

FI schedules, the performer is waiting for

Although there are practically no com-

the next occasion for reinforcement since

mon examples of planned VR schedules at

there is nothing he can do to rush the rein-

work, we typically find them where high

forcer. On FR schedules, the performer

performers are found. Because the schedule

might be said to be resting before beginning

is variable, the reinforcement is often diffi-

again, or even celebrating the previous

cult for the uninitiated to see when observ-

accomplishment; but in any case, the per-

ing the performer for a limited time. But

SCHEDULES OF REINFORCEMENT

225

research has demonstrated that very high

schedule. Those who work all the time are

levels of performance can be maintained

most likely people whose performance is

with very small ratios of reinforcement.

reinforced on VR schedules.

Sometimes hundreds, even thousands, of

Anyone you know who is obsessed with

behaviors or responses may occur before

a vocation or avocation is most likely oper-

reinforcement.

ating on a VR schedule. We call these peo-

For example, the artist may paint many

ple hobbyists, zealots, enthusiasts, type As,

pictures before being satisfied enough to

or workaholics. No matter what the behav-

exhibit one. The athlete may repeat a per-

ior or performance, they all have one thing

formance hundreds of times before perfect-

in common: they pursue it with a

ing it. (Most games are on VR schedules of

vengeance, or at a high-and-steady rate.

reinforcement.) A researcher may test hun-

Variable ratio schedules offer a signifi-

dreds of variables before discovering one

cant advantage because they can generate

that works. The commissioned salesman

and maintain high rates of performance

may call on many customers before one

even when reinforcement cannot be deliv-

buys. This means that there may be a day

ered frequently. Under VR schedules people

when the salesperson does seven demos and

will work long and hard without reinforce-

no one buys, but the next day he does five

ment because their experience has taught

demos and four buy. Most experienced

them that sooner or later hard work will

sales-people know the ratio of calls to sales.

pay off. In a study of learned industrious-

One company averaged one sale for every

ness, Eisenberger (1992) concludes:

4000 emails sent. Another had one sale for

“Persisting individual differences in indus-

every 400 emails that were opened. As you

triousness may result from long-term differ-

can see, being rejected (told “no”) was not

ences in the degree of reinforced effort.”

particularly discouraging because as their

People who have a history of reinforcement

experience tells them, every “No” takes you

dominated by VR experiences tend to work

closer to a “Yes.”

harder, not only in the situations where

they have been reinforced, but they seem to

approach all tasks with the same fervor.

“VR schedules general y produce the

There are numerous personal benefits to

highest response rate overal of the

VR schedules such as competence, confi-

four schedules. ”

dence, and even moral behavior

(Eisenberger, & Shank, 1985). VR sched-

Not only do VR schedules produce high

ules allow managers to effectively manage

rates, they also produce steady rates. In con-

people they don’t see every day. For this to

trast to FR, where there is a pause following

be possible, the performers must be work-

reinforcement, VR schedules produce little

ing at a high-and-steady rate. Many per-

or no pauses in performance. The term

formers fail because they are put into situa-

high-and-steady rate (HSR) is associated

tions where reinforcement is infrequent

with VR schedules. People who are always

before they have reached the high-and-

active are probably operating on a VR

steady rate. Sales organizations are particu-

CHAPTER SIXTEEN

226

larly guilty of this practice. Before trainees

business and industry settings, intermittent rein-

become proficient, they are often put in the

forcement (INT) is used to produce steady rates

field where reinforcement levels are

of behavior. With intermittent schedules it is pos-

extremely low. Therefore, the failure rate of

sible to avoid the issue of satiation, which is

new salespeople commonly exceeds the suc-

bound to occur with CRF. INT saves the day by

cess rate. The problem can usually be solved

allowing managers to simultaneously maintain

by providing more reinforcement during

many different performances by their employees.

training and when they first go into the field.

FI schedules produce break-and-run performanc-

Finally, VR schedules are sometimes

es; VI schedules are more practical in that they

associated with enthusiasm and excitement.

produce much more steady behavior patterns.

You have only to watch an athletic contest

With ratio schedules, the person is reinforced

to understand this side effect. The fact that

based on a certain number of responses, which

we rarely have excitement at work that

varies around a mean in VR schedules and is fixed

rivals what we see in sports is in large part

in FR schedules. These schedules are the most

due to the lack of VR schedules in the

basic, and in the real world most schedules are

workplace.

much more complex and consist of combinations

of say VI and FI or FR and VR. Mastering the use

Summary

of schedules and understanding these occur natu-

Schedules of reinforcement describe how a rein-

rally is a primary skill for anyone in business set-

forcer is delivered with respect to a certain feature

tings who is charged with consistently bringing

of behavior. Some behaviors are reinforced every

out the best in employees.

time they occur (CRF) but for the most part in

COMPLEX AND

CONTROVERSIAL ISSUES

IN THE WORKPLACE

229

17

Using Schedules of Reinforcement to

Increase and Maintain Productive Behavior

Managers not only need to examine the orga-

on the organization’s mission, vision and values.

nizational contingencies of reinforcement and the

It is not uncommon for these “invisible rein-

ones that they have put into place but also need

forcers” to generate patterns of behavior that are

to be constantly aware of the contingencies of

unproductive and highly resistant to change. On

reinforcement operating out of sight behind the

the other hand these “invisible reinforcers” are

performances they are asked to explain or

often the reason some people always do the right

improve. Very often the schedules of reinforce-

thing and don’t seem to need positive reinforce-

ment that are operating are invisible, not by

ment.

design but because they are difficult to see since

We call them invisible because they go unno-

many are not delivered by management but by

ticed by those who are unacquainted with behav-

peers, the present work environment and some

ioral technology. However a PIC/NIC analysis

from a personal history of consequences that go

or functional analysis of behavior (an examina-

as far back as childhood. All of these conse-

tion of contingencies of reinforcement) can make

quences occur on one schedule of reinforcement

the invisible, visible. Once we understand those

or another and each schedule produces a rather

contingencies, it is possible to determine the

consistent pattern of behavior. Once you under-

schedule(s) of reinforcement that is/are operating

stand schedules and their effects on behavior you

and thereby make changes that will efficiently

will be better able to diagnose performance prob-

and effectively bring out the best in the employee

lems and know the appropriate schedule to use to

and the organization.

promote behavior patterns that will help people

There are three organizational challenges

perform in a way that will have a positive impact

every manager faces at some time where a knowl-

edge of schedules of reinforcement is vital to

produce the best outcome: 1) Increasing produc-

tion performance, 2) Decreasing problem behav-

Use the QR CODE reader on your smart-

phone to learn more about:

iors and 3) Maintaining high performance. Each

Eisenberger (learned industriousness)

of these problems requires a different interven-

tion based on the particular patterns of behavior

characteristic of various schedules of reinforce-

ment.

CHAPTER SEVENTEEN

230

Basic Schedules

Although there are many variations of the basic schedules, we wil describe six: Fixed Interval (FI), Variable Interval (VI), Fixed Ratio (FR) and Variable Ratio (VR) Fixed Time (FT) and Variable Time (VT). These six account for a wide range of human behavior at work. Let us briefly describe each.

Fixed Interval (FI)

Under an FI schedule, reinforcement is delivered for the first behavior after a fixed interval of time has passed. Work schedules are typical y FI. In a manufacturing plant, lunch break is on a FI as stopping work is approved only after the whistle, bel or other signal that it is now time to leave. Birthdays, and holidays are on an FI schedule. Santa Claus comes only on Christmas. Thanksgiving, the Easter Bunny, Yom Kippur, and Ramadan are al celebrated only at certain times. You can’t do anything to rush the celebrations associated with these events. Time must pass. Accounting has many FI activities. In most companies, payrol is made only on certain days. Monthly financial reports cannot be completed before month’s end. Accounting clerks wil not be reinforced for completing these reports by the third week of the month. Al of the expenses for the month must be entered for the report to be complete.

Fixed interval produces periods of low or no responding fol owed by an increasing responding toward the end of the interval. You don’t look for your monthly paycheck in the middle of the month. Therefore depending on when you look at the performer, who is on an FI schedule, you may see the person not responding at al or responding at a high level of activity. The schedule for the job of news anchor at the local TV station is best suited for FI reinforcement since you want it to be on time, not early and not late.

However, extinction is relatively fast under this schedule.

Variable Interval (VI)

Under VI, reinforcement is delivered after a variable amount of time. For example, your mail comes on a VI schedule. On average it comes at 10 o’clock but it may come as early as 9 o’clock or as late as noon. Someone expecting an important letter may look in the mailbox many times during the morning before the looking behavior is reinforced by the letter in the box. Shipping and Receiving employees are on a VI schedule as they never know when merchandise wil arrive from a vendor or be delivered to the Shipping Department to be processed for mailing. Waiting for customers to enter a retail shop is on a VI schedule. Because of this, clerks (especial y those on some commission or other incentive) are usual y alert to the arrival or customers. They keep one eye on the store entrance.

A VI schedule produces a consistent but relatively low rate of activity. Jobs requiring monitoring are best put on VI. Security guard performance is best managed on a VI schedule.

We do not want security personnel to hurry, but to thoroughly check doors, hal ways, etc.

on a constant basis. If patience is required in a job, FI is the schedule of choice. VI schedules produce slow and steady behavior. Therefore, in jobs where these characteristics are important VI is the schedule of choice.

USING SCHEDULES OF REINFORCEMENT TO INCREASE AND MAINTAIN PRODUCTIVE BEHAVIOR

231

Fixed Ratio (FR)

Under this schedule, reinforcement is delivered after a set number of behaviors or performances. FR is where a fixed amount of behavior triggers reinforcement in contrast to FI where a fixed amount of time must pass before a behavior is reinforced. The fixed dimension may be that reinforcement is delivered after every event, every tenth or thirti-eth. However, the number for a given performer is fixed even though it seems to vary from event to event. Salespersons are usual y on what is cal ed FR1 meaning that they get a commission for every sale. In another company a salesperson may be given a bonus for every sale over 10.

FR schedules produce a high rate of responding with a short break (celebration) after each reinforcer is received. Premack (described earlier) is an example of an FR schedule.

Although FR schedules produce reliable or stable performance, extinction wil come rather quickly when the reinforcement stops.

Variable Ratio (VR)

VR produces the highest rate of performance, the slowest extinction curve and the most passion about the activity. Under a VR schedule the performer never knows when reinforcement wil occur but learns that the more he does, the more reinforcement he wil get. Playing a slot machine in a casino is the classic example of behavior on a VR schedule. You won’t win unless you play but you never know which button press wil be a winner. Watch people play and you wil see some of the passion and energy people put into the activity. Because of the time it takes for the machine to finish the cycle, some wil command two or more machines. People are slow to quit, even after losing a lot of money.

Making a sale is on a VR schedule. The commissioned salesperson never knows which presentation wil result in a sale but knows that the more presentations he/she makes the more sales he/she wil make and the more money he/she wil make. They are optimistic and always sel ing. They are persistent to a fault. Bottom line, this schedule produces a high-and-steady performance which resists extinction.

Fixed and Variable Time (FT/VT)

These schedules are similar to the FI and VI with one major difference. The reinforcer, whether fixed or variable, is delivered independent of any performance requirement. This is a form of non-contingent reinforcement since no behavior is required for reinforcement. There is a growing body of research showing that FT or VT reinforcement reduces disruptive behavior of children. By extension it suggests that non-contingent reinforcement at work creates more problems than it solves. It is possible that benefits given to al employees independent of their behavior or accomplishments may actual y reduce task-oriented performance especial y in workplaces where there is a low rate of performance-contingent reinforcement. We suggest that a FT or VT schedule is a significant factor in producing an entitlement mentality at work and at home. People under these schedules come to believe that if they can hang on long enough that good things wil happen to them.

CHAPTER SEVENTEEN

232

Increasing Productive Behavior

various schedules, you will be able to maximize

performance improvement and behavior reduc-

The Appropriate Use of

tion opportunities.

Schedules in the Workplace

It has been suggested that progressive ratio

Reinforcement is occurring on one schedule or

(PR) or progressive interval (PI) schedules might

another all the time, whether we have knowledge

produce response persistence (Lattal and Neef,

of them, whether we want them, or whether we

1996). Progressive schedules thin out the rate of

plan and implement them deliberately. Because of

reinforcement regardless of the individual’s

that, we want you to understand their impact and

behavior. For example, a PR schedule might

to be much more deliberate in their use. Lattal

require 5 responses for the first reinforcer, 10 for

and Neef (1996) have observed, “Reinforcement

the second, 15 for the third and so on. Eventually

schedules typically involve repetitive, basically

the person would be generating a great deal of

static arrangements whereby the same require-

behavior and reach a “break point” where they

ments for reinforcement are in effect on succes-

just quit. Such deliberate schedule manipulation

sive cycles.” When first introduced to schedules

is unlikely in business and industry settings but

of reinforcement for productivity, many managers

very likely occurs in certain types of work like

are attracted to variable ratio schedules1 (VR)

prospecting for gold. Initially a “strike” brings

because they produce high-rate performances.

many ounces of gold for not much labor but over

They often want to apply variable ratio schedules

time as the claim peters out the ratio of response

to every performance, regardless of the kind of

to reinforcement becomes excessive and the

work involved; this would be a mistake. Every

miner moves on to another claim.

schedule produces distinct performance patterns.

Many organizations make the mistake of put-

That means that schedules are appropriate or

ting salespeople on salary (FT), when ratio per-

inappropriate depending on the type of perform-

formance, produced by fixed ratio (FR) or vari-

ance you want.

able ratio (VR) schedules is what they need.

For example, if you want something delivered

Because of complaints from workers or difficul-

only at a certain time, a fixed interval (FI) sched-

ties in calculating constantly changing paychecks,

ule is the most appropriate one. If we want vigi-

some organizations have abandoned piece-rate

lance, as in monitoring multiple CCTV cameras

pay (FR) for hourly pay (FI), not understanding

of passengers in an airport, a variable interval

that performance practically always declines

(VI) schedule is most appropriate (Hogan, Bell,

under FI conditions. These organizations fail to

and Olson, 2009). (Note these workers are usual-

understand that performance problems occurred

ly on salary/FT schedules.) If a job requires

not because the original schedules of reinforce-

patience and precision, we would not want VR

ment were wrong, but rather the contingencies

to be the dominant schedule. If you understand

for that reinforcement were flawed. Fine-tuning

the nature of the performance required in the

the schedule may be more appropriate in all of

job and the performance characteristics of the

these cases. For example, many organizations have

1 FT stands for fixed-time, “a schedule for the delivery of non-contingent stimuli in which a time interval remains the same from one delivery to the next.” (Cooper, Heron & Heward, 2007). FT schedules are used in clinical and educational settings to reduce the rate of inappropriate behaviors.

USING SCHEDULES OF REINFORCEMENT TO INCREASE AND MAINTAIN PRODUCTIVE BEHAVIOR

233

found that under piece rate, production increased

the newspaper, and so on. As the morning wears

but quality suffered. Rather than changing the

on, they gradually ease back into their usual rou-

contingency to include quality, they switched to

tine. About an hour or so before lunch, they sud-

salary, thinking that quality would improve on an

denly realize that half the day is gone and then

FI schedule. Of course they seem surprised when

they bear down, racing to get more work done in

production decreased AND quality declined as

that hour than in the previous three so they won’t

well.

be embarrassed if the boss stops by. The cycle

repeats itself after lunch and the rush to finish

Schedules for Increasing Productivity

certain tasks continues before it is time to head to

Though ratio schedules produce the highest rate

happy hour.

of performance, fixed interval (FI) schedules are

This, of course, is not the performance that

much more common in work settings. The rea-

management wants but it is typical performance

son for this seems to be that they are easier to

under FI schedules. Performance under FI sched-

administer: Everyone can be paid at the same

time; annual performance appraisals and possible

ules can be improved a bit by shortening the

raises come up at the same time. The fiscal office

interval of reinforcement. We can have daily

is usually quite happy with this arrangement. We

rather than weekly deadlines. We can have weekly

can manage projects by timeliness or deadlines,

rather than monthly meetings and we can set

report on results at the end of the month, or set

shorter deadlines for projects. Teachers who give

annual goals and objectives.

weekly tests could give daily quizzes and would

Fixed interval schedules (FI) allow companies

probably get an increase in hours studied (and

to set deadlines and forget the performer until

more grading on their part). Of course no matter

the end of the interval. When the performer or

how short the interval, performance will increase

event comes up on our tickler file, we can check

toward the end. The problem with these solu-

on progress or lack thereof at that point. As you

tions is that they generate more work. Someone

might suspect, organizations pay dearly for this

has to plan more meetings, conduct more inspec-

convenience (although they don’t know it). FI

tions, monitor more deadlines, and make up and

schedules not only produce low overall perform-

grade more quizzes. If the response cost (the

ance rates, but also variable rates of performance.

amount of effort expended) for the small

That means the rate of performance varies greatly

improvement that you get doesn’t justify it,

from the beginning to the end of the 6-month or

choose either a VI (irregular inspections,

12-month cycle. An associate, knowing he is

impromptu meetings, unannounced quizzes) or a

coming up for his annual review may work hard

ratio schedule (when you finish you can take a

and put in long hours in the week or two right

break, go home early, start on a more enjoyable or

before his yearly performance appraisal. Since on

challenging task), depending on the kind of per-

an FI schedule, reinforcement never follows rein-

formance you need.

forcement immediately, response rates often fall

dramatically following the evaluation.

Use a Variety of Schedules for Productivity

We have all witnessed something similar fol-

In everyday life, we are subject to a wide variety

lowing a 3-day weekend. People drag in to work

of schedules. All our behavior is on one schedule

on Monday. They swap stories with colleagues,

or another. When first learning about schedules

straighten up their desks, get a cup of coffee, read

of reinforcement, many people realize that a lot

CHAPTER SEVENTEEN

234

of business performance is on the wrong sched-

to determine the effects of incentive pay with 106

ule. Even so, most managers are unable to correct

college students on a simulated computer-based

the problems because they often involve corpo-

quality inspection task. The authors looked at

rate-wide systems such as compensation and per-

three levels of incentive: 0 percent, 10 percent

formance appraisal. However, if the schedules

and 100 percent and used “time spent working”

these systems are on are not the ones that pro-

and “number of screens completed correctly” as

duce the kind of performance you need, you can

the primary behavioral measures. Matthews and

still do something to improve performance, even

Dickinson found that, “Participants who received

if you can’t change the schedule.

incentive pay worked significantly longer than

By overlaying a more desirable, more effective

those who received base pay only; however, time

schedule on the existing one, you can overcome

spent working was not affected by the level of

some of its undesirable characteristics. For exam-

incentive.” There is much to be learned about the

ple, if salespeople are on salary, you can give small

use of performance pay and at present this is not

bonuses or recognition for sales earlier in the sales

a well worked out technology.

accounting period. Or, you could increase rein-

More recently Bucklin, McGee and Dickinson

forcement for sales above a certain level.

(2003) made a direct comparison of the use of

If you are a teacher, you could give a pop quiz

incentives (FR) with hourly pay (FI). Again, with

occasionally. This would increase the amount of

college students working on a computerized task

studying and distribute it more evenly over each

they report, “These results support those of pre-

week of the year. You could also give bonus

vious studies of individual incentives, which

points for completing extra assignments. In man-

found higher performance levels under individual

ufacturing, with hourly or salaried employees,

incentives than under hourly pay.”

you can overlay VR schedules on FI by celebrat-

ing accomplishments when they occur. Don’t

Thinning for Productivity:

always wait until the end of the week, month, or

How to Change Schedules

year.

When you change a schedule of reinforcement

It isn’t necessary that you use the same rein-

from continuous to intermittent, you are thin-

forcer for the overlaying schedule as the original

ning. Similarly, when you change FR 2 to FR 3 or

one. For example, if you are using a salary for

FR 11, or anything higher, you are thinning. Any

sales, you could use merchandise, some other

change within any kind of schedule that results in

form of tangible, or even social reinforcement, to

less reinforcement is called thinning. Thinning

reinforce higher levels of performance.

allows you to maintain or increase performance

By using a creative mix of schedules, you will

with less reinforcement.

be surprised how much you can improve per-

The advantages of thinning are two-fold. First,

formance over that predicted from the basic

it allows you to have more time to reinforce other

schedule. Maximizing that opportunity, however,

behaviors more frequently. In other words, the

requires a thorough understanding of the four

organizational purpose of thinning is not so that

basic schedules: fixed interval, variable interval,

managers must spend less time reinforcing, but to

fixed ratio, and variable ratio (FI, VI, FR, and

provide them with extra time to reinforce other

VR).

aspects of performances. In fact, if thinning is

Matthews and Dickinson (2000) ran a study

used as a vehicle to do less overall reinforcing, the

USING SCHEDULES OF REINFORCEMENT TO INCREASE AND MAINTAIN PRODUCTIVE BEHAVIOR

235

result will usually be a decline in performance.

ing the value of the reinforcer. Let’s say a manager

Another advantage of thinning is that it

has a party every Friday after work when the

reduces satiation. Satiation is reduced when the

group has met or exceeded the goal for the week.

ratio or interval for reinforcement increases. This

Suppose she decides after several weeks to change

means that there will be fewer reinforcers over

to every other week, then after several weeks, to

the same period of time. Therefore, the reinforcer

once per month, and then to every now and then.

remains effective longer.

In this case she would be thinning. On the other

The purpose of thinning is not to try to

hand, if she went from having a party with steak

squeeze as much work out of people for as little

to having hamburgers and later to having only

reinforcement as possible. That is exploitative

hors d’oeuvres, she would not be thinning. She

and manipulative. It has been stressed throughout

would be downgrading the reinforcer. There is

this book that PM and reinforcement will not

very little empirical research to guide a reduction

maintain their effectiveness if they are practiced

operation like this.

in a secretive, manipulative manner. If people

A schedule can only be thinned so much. If

think you are trying to get them to work harder

you thin too quickly or reduce reinforcement too

for less, whatever you do will in all probability

much, the level of behavior will decline.

not be reinforcing. Clearly then, thinning must

Therefore, there are several guidelines to follow

always be done very carefully. It is done best with

when thinning a schedule.

the understanding and support of the performers.

1. Do it gradually. Abrupt changes can cause

Thinning should not be confused with chang-

resurgence of old, unwanted behavior.

Figure 17.1 An Individual’s Performance on a Sandpaper Slitting Machine 140

130

cean 120

rm

110

erfo

100

tive P

cen

90

t In 80

ercenP 70

Phase One (99.5)

Phase Two (103.4)

Phase Three (110.1)

60

Every Improvement

Improvements Reinforced

Reinforce Once or

B

aseline (81.3)

Reinforced

Three Times a Week

Twice a Week

50

Days

CHAPTER SEVENTEEN

236

2. Continually monitor graphed performance.

important to watch your data closely. When per-

3. Watch for any signs of frustration (ratio

formance reaches a desirable level, managers

strain or break point).

often become lax in monitoring the data. The

Gradual thinning of the schedule is important.

best evidence that you are thinning too rapidly is

For instance, do not go from reinforcing behavior

a decrease in performance. By continuous moni-

several times a day to reinforcing it once a month.

toring you will be able to detect any small

Figure 17.1 provides a graph of hypothetical data

decreases, which will signal you to reverse your

of the process of thinning for sandpaper slitting

thinning procedure before performance is

machine efficiency. Note the improvement in

markedly affected.

performance as reinforcement is gradually

A natural pause usually follows reinforcement

thinned.

on an FR schedule. The pause is usually short.

Thinning is often an unintended part of a

However, if the schedule of reinforcement is too

process change and can be carried too far. One

thin, the pauses grow to be longer and more fre-

company, well known for its success at Six Sigma2

quent. This will eventually produce a rather errat-

and error reduction, found that, after a few years

ic performance. When high performers begin to

of success, product defects were increasing. Upon

lag in their performance (assuming there is no

investigation, managers found that catching

physical reason for it) it is often because the

defects had been the signal for reinforcement for

amount of reinforcement they are receiving is too

years. As more defects were caught and prevented

little for the amount or difficulty of performance

by process fixes, there came a point where catch-

that is required. Technically, this is called ratio

ing and preventing defects was a very rare event.

strain.

To remedy this, managers had to increase the fre-

Ratio strain occurs when the amount of rein-

quency of supervisory reinforcement for the criti-

forcement received is less than the amount

cal inspection behaviors until the output returned

required to maintain the performance. It usually

to Six Sigma levels. Then they had to find the

occurs when there is an abrupt increase in the size

right schedule of reinforcement to maintain that

of the ratio.

outcome.

When good performers start complaining

Methot and Huitema (1998) in a vigilance

about how hard their job is, or that it isn’t as sat-

study (monitoring gauges to detect danger read-

isfying as it used to be, or that they are getting

ings) found that detecting the danger readings

burned out, it is highly likely that they are suffer-

was a function of signal probability. In other

ing from ratio strain. People often make com-

words, the more signals there were to detect, the

ments like this before they actually decrease their

more the subjects caught. Fewer faulty signals to

level of performance. Therefore, these comments

catch caused not only lower percentage of detec-

should be taken seriously. They predict that per-

tion but resulted in a higher variance in the per-

formance will decline if you don’t increase rein-

formance from subject to subject.

forcement.

When you decrease reinforcement, it is very

One of the reasons some companies think

2 Six Sigma refers to a strategy for reducing errors in production using statistical methods, a unique system of experts within the organization who act as “Champions” and includes financial targets for those involved.

USING SCHEDULES OF REINFORCEMENT TO INCREASE AND MAINTAIN PRODUCTIVE BEHAVIOR

237

incentive pay doesn’t work is that, over time, they

Generally, you will probably want to leave

engineered-out the reinforcement. They continu-

open the possibility of renewing. In other words,

ally asked for more work for the same or little

you may say, “The program will end on June 30,

increase in pay. Many an employee has been heard

at which time we will evaluate the results and

to say in those situations, “It’s not worth killing

make a decision whether to continue. If it is

myself for that little bump.” The companies

working well and everybody is enjoying it, we will

wrongly conclude that the incentive didn’t work,

in all likelihood continue; if not, we may make

when from the performer’s perspective there was

adjustments or discontinue it.”

no incentive.

Another type of behavior that will indicate

Keeping Reinforcement

that you may be thinning too much is emotional

Contingent on Performance

behavior. If you see increases in emotional out-

When using intermittent schedules, managers

bursts or the early stages of aggressive behavior,

often do not make their reinforcement contin-

especially with senior employees, you may have

gent on performance. Reinforcers should always

ratio strain.

be contingent upon desired behavior. This princi-

The secret to avoiding these problems is to

ple is violated especially when variable schedules

monitor performance data and reinforce while

are used.

performance is high. A good rule to follow is to

As you recall, variably scheduled reinforce-

reinforce when performance is at or above goal.

ment is a surprise to the performer. The everyday

Don’t worry about reinforcing too much because

definition of surprise is different from its defini-

the best mistake to make is to reinforce too

tion within a schedule of variable reinforcement.

much. The worst mistake is to reinforce too little.

Usually, a surprise is something that is totally

unexpected. This is not true of reinforcement on

Tangibles and Thinning

variable schedules. People often expect reinforce-

A final consideration in thinning concerns fixed

ment even if it is on a variable schedule. This is

schedules and tangible reinforcers. Thinning is

illustrated by sayings like, “If you work hard

not easy when you are using tangibles such as

enough, you will eventually be successful.” They

merchandise. Many people have experienced this

know they will be reinforced, but only if they are

problem when using monetary incentives. Any

performing at or above some desired level. What

change is resisted, unless the change makes earn-

they don’t know is exactly when the reinforce-

ing easier. This does not mean you should not

ment will come. The gold miner in the Old West

occasionally use such programs, only that they

never knew which strike of his pick would hit the

should be carefully planned.

mother lode, but he knew success was directly

If you are planning a program using tangibles,

related to how much ore he dug.

always state clearly at the beginning that the pro-

When managers confuse the everyday defini-

gram will end on a specific date. Program in this

tion of surprise with the surprise of a variable

context means a point system in which people

schedule, they spring reinforcement on others for

can accumulate points to exchange for merchan-

no apparent reason. The reinforcement does not

dise or other tangibles. You may want to run it

follow any particular level of performance.

for three months or six months, but state the end-

Sometimes it may actually follow poor perform-

ing date.

ance. The result of this misuse of reinforcement is

CHAPTER SEVENTEEN

238

the gradual deterioration of performance and

type of schedule. With FT and VT schedules,

morale. You must plan what you are going to

people are simply reinforced for being on the pay-

reinforce and then determine when you will rein-

roll. In a productive enterprise, the mere passage

force it.

of time should not be the primary criterion for

The contingency requirement is also frequent-

reinforcement, recognition, and reward.

ly violated when using fixed interval (FI) sched-

ules. As noted earlier, on interval schedules there

Summary

must be a response before reinforcement is deliv-

As you have learned from this chapter, the proper

ered. If positive reinforcement occurs without any

understanding and application of schedules of

responding on the part of the performer, it is

reinforcement will create the most productive

called a fixed time (FT) or variable time (VT)

and satisfying place in which to work. We are all

schedule. Catania (1984), differentiated these

operating under various schedules of reinforce-

two non-contingent schedules from the contin-

ment in all that we do, including the frequency

gent schedules, FI and VI. On fixed and variable

by which we reinforce others. Schedules are won-

time (FT and VT) schedules, reinforcement is

derful tools for changing response patterns.

response independent. That means that reinforce-

Examining not only other people’s patterns but

ment comes no matter what the performance or

the schedules you operate under in delivering

behavior. Birthday parties, Christmas presents,

reinforcement can tell you a great deal about your

and other holiday gifts are usually given inde-

role in building and sustaining positive behaviors.

pendent of the behavior of those receiving the

The subject is very complex and this chapter has

presents. In business, most benefits such as holi-

exposed you to only the most basic aspects.

days, pay raises, and health insurance are practi-

When working with a company to increase

cally always FT or VT. While these things can

productivity, look to install either FR or VR

enhance the reinforcement in an organization

schedules. These may be installed on top of an

that uses positive reinforcement appropriately, if

ineffective FI schedule, which has become a per-

FT and VT schedules are the main ways that

manent fixture in many organizations. Thinning

organizations provide recognition and reward,

can be used to optimize the reinforcer to output

they will inevitably create a mindset of entitle-

ratio. This should be done gradually, watching for

ment.

ratio strain as a sign that you have gone too fast

When using FI or VI, you must be careful not

or too far. Be watchful for FT and VT schedules

to let the schedule deteriorate into FT or VT.

in the workplace as they can create a mindset of

Employee-of-the-Month programs are classic

entitlement rather than useful, responsible pro-

examples of this non-contingent, pass-around

ductivity.

239

18

Shaping, Chaining and Goal-Setting:

Three Methods of Producing Complex Behaviors

all those who lead others at any level to success-

“Shaping is among the most critical

fully shape the behavior of someone whom every-

skil s for managers, teachers and par-

one has given up on and who is far from reaching

ents to master in their effort to bring

some long-term goal. Few things provide as much

out the best in others and to sustain

personal satisfaction in the workplace as helping

performance excel ence. ”

someone achieve a goal. Shaping is critical to real-

ly understanding the potential of any employee

Managers are often presented with the chal-

and to understanding how one can help or hinder

lenge of developing more complex behaviors than

that potential. Learn to shape behavior and all

those that can be generated by simple reinforce-

the rest of this book will begin to make extraordi-

ment or schedules alone. Behavior analysts use

nary sense for how you build and sustain your

shaping to establish complex repertoires.

relationships and your own performance.

Research on shaping method goes back over 60

Shaping is usually required when teaching any

years. In business and industry settings, preparing

new response or activity. It is also necessary when

managers and supervisors to use shaping requires

working with people who have been unsuccessful

a solid understanding of human behavior. In busi-

at a particular behavior or performance in the

ness and industrial settings, shaping often means

past. The performance of new employees and

goal setting. In this chapter, we explore basic and

poor performers often requires extensive shaping.

advanced methods of using shaping, establishing

For example, in a restaurant a manager breaking in

goals and goal setting to produce achievements in

a new waiter, Glenn, would start by having him

performance not thought possible using ordinary

study a written description of the various tasks—

management tools.

greeting customers, taking orders, menu, deliver-

ing food promptly, and then have him shadow an

Behavior Shaping

experienced waiter for a couple of days.

The Essence of Coaching in PM

At this point the newbie starts waiting on

Shaping is the process of positively reinforcing

tables. After the order has been taken, the manag-

successive approximations toward a goal. Shaping

er then accompanies Glen to the order window

is among the most critical skills for managers,

and says, “Good work Glen. After you took the

teachers and parents to master in their effort to

last order you said, ‘By the way my name is Glen

bring out the best in others and to sustain per-

and I’ll be your waiter this evening.’ That was

formance excellence. In fact, it would be good for

perfect! Did you see the way your customers

CHAPTER EIGHTEEN

240

smiled back? That’s a good sign. When you took

and the sequence of behaviors that constitute the

the drinks to the table you said, ‘Your order will

desirable performance; the patience to watch oth-

be out shortly. If you need anything else let me

ers make mistakes at something you do well; and

know.’ That was also perfect. When you are ready

the skill to see and positively reinforce the small-

to go the next table, let me know and I will

est improvement.

observe you there.”

Most of us are not highly skilled at recognizing

As they approach the second table the manager

small improvements in performance and reinforc-

says, “Don’t be nervous. If you make a mistake,

ing them. Yet that is the essential skill for the most

just smile and correct it and everything will be

efficient and effective managers, teachers, coun-

okay. This time after each person gives you the

selors, and coaches. Shaping requires patience and

order smile, and say, ‘Very good.’ Then immedi-

when done properly, it is the most efficient and

ately shift your attention to the next person and

expedient route to high performance.

repeat until all in the party have ordered. Make

Technically, shaping begins by positively rein-

sure you review the total order to make sure it is

forcing any behaviors that resemble the desired

correct.”

behavior in some way. The most obvious situation

Notice that after taking the orders for the

that requires behavior shaping in business is in

table, the manager focused on what the newbie

skills training. For example, very often the behav-

did correctly. Although there were some things

ior of giving verbal reinforcement requires shap-

that were not done according to the restaurant

ing. If someone who never says anything compli-

protocol, they were discussed just before moving

mentary about your performance makes a crude

to the next table, not after the first order was

attempt at positive reinforcement, you had better

taken, as saying, “Good job, Glenn, but you . . .”

reinforce it. It is unreasonable to expect that a first

violates the “No-But Rule.” Also waiting to talk

attempt will be perfect. If awkward or clumsy

about what was done wrong but phrased in the

attempts are reinforced, you will get more of them

context of what Glenn can do to improve service

and have more opportunities to shape the behav-

at the next table is considerably more helpful

iors toward a smooth, polished performance. If

than a “Good, but . . .” Additionally, by waiting to

early, crude attempts are punished, you can bet

have this talk just before approaching the next

there will be no more attempts of any kind.

table increases the probability that the newbie

Rewarding results may not seem like behavior

will remember to make the corrections since

shaping. However, since improved levels of effi-

antecedents are more effective when they are

ciency, quality, and so on require people to do

delivered close to the desired behavior.

things differently, rewarding small improve-

ments in results indirectly reinforces changes in

behaviors.

“Technical y, shaping begins by positive-

In shaping, the criterion for reinforcement is

ly reinforcing any behaviors that resem-

any improvement, no matter how small. Generally

ble the desired behavior in some way. ”

speaking, the smaller the improvement that is

reinforced the faster the progress. This occurs

Shaping is Fundamental to Coaching

because as small improvements are reinforced,

Successful shaping requires knowledge, skill, and

behaviors are strengthened and more improve-

patience: the knowledge of the proper behaviors

ments will inevitably follow. This process is

SHAPING, CHAINING AND GOAL-SETTING: THREE METHODS OF PRODUCING COMPLEX BEHAVIORS

241

referred to as “successive approximations.” As the

KAIZEN philosophy assumes that our

standard for delivery of a reinforcer is gradually

way of life, be it our working life, our

raised, the individual gains confidence in her abil-

social life, or our home life, deserves to be

ity to produce more and more complex perform-

constantly improved.

ances until a final goal is reached. In shaping

The book KAIZEN is filled with examples of

toward new goal attainment, it is important to

how the Japanese use this concept in their work.

understand that performance should be rein-

Although Imai does not mention positive rein-

forced at the new level until it stabilizes, before

forcement specifically, it is evident in many of his

proceeding to a new approximation.

illustrations. Any one person or organization

Shaping is quite common in sports since the

seeking continuous improvement without under-

goal is to produce precise, complex, consistent

standing the practice of shaping will ultimately be

behaviors in both amateur and elite athletes.

unsuccessful in attaining a culture of continuous

Simek and O’Brien (1981) describe the shaping

improvement.

method in their book on golf. In teaching golf,

One application of shaping on an industrial

they start by having the students putt two feet

scale involves setting quality, safety or productivi-

from the hole (a small approximation to a long

ty goals for employees in small, achievable steps

putt). As they master that skill from two feet, the

referred to as sub-goals. We will provide more

students move farther back from the hole. Once

detail later but first we need to present a method

they have met the standard for a longest putt,

quite similar to shaping for producing complex

they gradually move off the green and practice

behavior changes; this is called chaining.

the chip shot to criterion before working on the

pitching wedge. The driver is the last shot prac-

ticed. This is, of course, in contrast to the way

“One application of shaping on an industrial scale

most people are taught golf, but it has been

involves setting quality, safety or productivity goals

demonstrated to be more effective and reinforc-

for employees in smal , achievable steps referred

ing than traditional methods. In a study by

to as sub-goals. We wil learn more on this a little

O’Brien and Simek (1978), the shaping mastery

later but first we need to discuss a method quite

similar to shaping for producing complex behavior

group averaged 17.33 strokes lower than the tra-

changes; this is cal ed chaining. ”

ditionally trained group when playing their first

round of golf.

Shaping the Organization

Chaining

Every major corporation in America today preach-

Chaining in behavioral psychology is a procedure

es the need for continuous improvement. Indeed,

that is the key to helping people master any com-

Masaaki Imai (1986) attributes the results

plex performance. Most of the complex perform-

achieved by Japanese industry to the concept of

ances that we are concerned about in business

KAIZEN. He defines KAIZEN as follows:

involve many behaviors that occur in a long series

or sequence. Behaviors in a sequence that lead to

KAIZEN means improvement.

reinforcement are called behavior chains. In a

Moreover, KAIZEN means ongoing

chain, each behavior is an antecedent for the

improvement involving everyone, includ-

next. Even though the final behavior in the chain

ing both managers and workers. The

is the one that is reinforced, once reinforcement

CHAPTER EIGHTEEN

242

Figure 18.1 Forward and Backward Chaining

The first graphic #1 shows how Forward Chaining is done starting with the first behavior followed by the reinforcer, then the first two behaviors and so on. The second graphic #2 shows how Backward Chaining is done starting with prompting the last behavior, followed by the reinforcer, then the last two behaviors are prompted and reinforced and so on.

of the last behavior in the chain is predictable,

Bolt A, and tighten. Then he turns the assembly

each behavior in the chain is reinforced by the

over and repeats the procedure on the other side.

opportunity to engage in the next behavior in the

Once that is done, he may proceed to place a

chain.

cover on the assembly and secure it with four

In a large data-entry center, in order to process

screws. When the performer can execute the sep-

a customer’s application, staff had to complete a

arate steps fluently (that is, without hesitation),

number of tasks. Once the mail was opened, the

you are ready to begin chaining them together

application and check had to be scanned and the

into a single task. This task can be viewed as

check entered into a revenue-related accounting

three short chains or one long chain. Initially, you

system on the computer. Then, staff had to pull

might reinforce when the person gets the A chain

up another computer screen with the now-

correct. After this success, you would probably

scanned application, review the data and make

increase the requirement for reinforcement to

decisions about approvals, and finally, a comput-

completing both sides. Finally, you would rein-

er-generated letter was sent to advise the appli-

force only for completing the whole assembly

cant of the decision. At the end of the day’s work,

correctly. You probably realize by now that the

all of the paper applications were filed. All eight

delineation of the steps in the chain provides an

of these individual tasks are required to be com-

obvious series of sub-goals.

pleted as one long sequence that make up a

behavioral chain.

Forward and Backward Chaining

For example, in assembling a motor, a person

The superiority of backward to forward chaining

may have to place Part A in Slot A, put Nut A on

in all cases remains to be demonstrated. However,

SHAPING, CHAINING AND GOAL-SETTING: THREE METHODS OF PRODUCING COMPLEX BEHAVIORS

243

the advantage of backward chaining is that it puts

they should be corrected and practiced until the

the performer in contact with the natural rein-

performer becomes fluent with the correct chains.

forcer earlier. In the motor assembly example,

backward chaining requires that the instructor

Goal Setting

complete all the assembly except putting the cover

Once you have established the correct pinpoint,

on. Then it would be given to the student for

selected relevant measures, and set up a feedback

completion. When the student did that to some

graph, you should determine the level of perform-

criterion, the instructor would complete all but

ance you need. Defining a specified, or preset,

the last two steps, and so on until completion.

level of performance to be attained is called goal

Backward chaining is especially effective when

setting. When the goal is far from the present per-

teaching people complex skills such as the use of

formance, you will probably want to set sub-goals.

computer-assisted drawing software on comput-

An almost universal misconception is that

ers, making elaborate crafts, or any other tasks

goals alone improve performance, but the research

involving long chains. Although people can learn

does not support this belief. In an article on the

very long chains, long chains present a greater

behavioral analysis of goal setting, Fellner and

opportunity for errors and extinction to occur.

Sulzer-Azaroff (1984) state, “Goal setting alone

This is particularly problematic in the safety and

may be ineffective because the behavior of con-

quality areas.

cern has been inadequately, differentially rein-

If a step in the chain can be omitted and the

forced in the presence of the goal.” In a study

person still gets reinforced, a new “wrong” chain

comparing financial reinforcers and goal setting,

is reinforced and the original weakened. For

Huber (1985/1986) concluded that “. . . he set-

example, if an air conditioning technician fails to

ting of goals, regardless of the method, does not

inspect for possible refrigerant leaks on a yearly

evoke greater learning than that achieved when

inspection, the air conditioner may still function.

trainees are offered only a base salary.” The fact

If it does, there is a good probability that the tech

that goals alone do not automatically improve per-

will “forget” to make that check on the next

formance can be validated by almost everyone’s

HVAC inspection he takes on. If someone is sup-

personal experience. We have all set goals we did-

posed to check a product for a certain aspect of

n’t reach and some we didn’t even try to reach.

quality before assembling it but doesn’t check,

This is not to suggest that goal setting is a waste of

the product may work anyway. The problem is

time. Quite the contrary, goals can be a very valu-

that not only has the proper chain been weak-

able tool in improving performance. However, it is

ened but the probability that the performer has

naive to think that just setting a goal will consis-

been inadvertently reinforced for a new, lower-

tently improve performance.

quality chain has increased.

When goal setting is understood and used

To prevent a gradual deterioration of such

properly, the results can be substantial. Huber

behavior chains, they must be observed on a peri-

(1985/1986) reports increases as much as 58 per-

odic schedule. If they are intact, the behaviors

cent, and Locke, Feren, McCaleb, Shaw and

should be reinforced. If the chains are not correct,

Denny (1980) found a median performance gain

1 Research in recent years has combined goal setting with several other variables (Brobst & Ward, 2002; Cunningham & Austin, 2007; Downing & Geller, 2012; Jessup & Stahelski, 1999; Wilk & Redmon, 1990; Loewy & Bailey, 2007) so that it is difficult to determine its effects versus feedback, incentives, task clarification, and the like.

CHAPTER EIGHTEEN

244

of 40 percent. Pritchard, Jones, and Roth (1988)

all goal and sub-goal attainment.

found gains of 75 percent1. Let’s look at how to

make goals effective.

Additional Benefits of Goal Setting

Increased reinforcement is the primary benefit of

The Proper Use of Goals in PM

goal setting for individuals. Improved performance

The most important reason for setting goals is to

is the primary benefit of effective goal setting for

create additional opportunities for reinforcement.

organizations. However, there are other benefits.

Goal attainment should, of course, be the occa-

Goals improve communications because they

sion for reinforcement. You can also celebrate

tell the performers exactly what and how much

progress toward the goal, the maintenance of per-

performance is desired. If their pinpoint is weight

formance at or above goal, and the achievement

loss and the goal is to lose 25 pounds in six

of levels of performance above the goal. Having a

months, they know what to work on and when to

common goal gives a team a common purpose,

celebrate. If the pinpoint is error-free documents

something to rally around, something to talk

and the goal is to increase the number of error-

about. Since added reinforcement increases per-

free documents processed per month, the

formance, goals are a valuable performance-

employees know exactly what to do and when to

improvement tool.

celebrate.

Goals are antecedents for performance.

The very act of collecting data on performance

Therefore, they do not consistently produce

creates goals. The extensive statistics kept on

improvement unless they are paired with rein-

stock trading, for example, establishes historical

forcement. Goals provide the opportunity for

expectations for both sectors such as pharmaceu-

reinforcement, but are not necessarily the source

ticals and computers, and specific companies such

of it. People who set goals without planning how

as Johnson & Johnson, and Apple. Highs and

they will celebrate success are often disappointed

lows are plotted minute by minute and graphs

in the results.

showing their performance over the past months

When goal attainment has been consistently

or years can be immediately pulled up on a moni-

paired with reinforcement for a period of time,

tor by investors wanting to know if they should

the goal takes on secondary reinforcing character-

buy or sell. Brokers set goals for each stock and

istics. This means, under some conditions, reach-

the excitement in their offices is tangible when a

ing a goal can be reinforcing in and of itself. For

new record high is set.

this to happen, however, you must first create a

history of celebrating goal achievement.

How to Set Effective Goals

Eisenberger (1992) states, “The individual’s deci-

A very important consideration in setting goals is

sion concerning the amount of effort to exert in

the degree to which the goal is both challenging

goal-directed behavior is influenced in no small

and attainable. These two elements play a large

part by the generalized effects of prior reward . . .”

role in the ultimate success of goal setting. The cri-

The number of pairings needed to create goals

as a reinforcer is highly variable as there are a

number of factors to consider. As a general rule,

“The most common mistake made in

goal setting is to set the goal too high. ”

you should always plan reinforcement, either

social or a combination of social and tangible, for

SHAPING, CHAINING AND GOAL-SETTING: THREE METHODS OF PRODUCING COMPLEX BEHAVIORS

245

terion of challenging refers to how high to set a

quences despite continued efforts, leads to

goal. The criterion of attainable refers to how low

learned helplessness (Chapter 19). If goals are set

a goal should be. The best goals meet both criteria.

too high, then employees will give up trying

because, no matter what they do, they never reach

Making Goals Challenging

the goal. Reisel and Kopelman (1995) revealed a

Most people think that high goals are the best

type of learned helplessness in everyday life when

goals. But David McClelland, a Harvard psychol-

they analyzed three years of win-loss data from

ogist who conducted research on achievement for

the NFL. They found that teams who were badly

over 40 years, discovered that taking moderate

beaten were more likely to lose the following

risks is probably the single most descriptive char-

week, especially if the upcoming game was

acteristic of high achievers. For an excellent sum-

against a difficult opponent. Zander, Forward,

mary of McClelland’s research, particularly that

and Albert (1969) compared the fundraising abil-

which relates to managers, see Luthans (1981).

ities of two groups for United Fund. The group

Most managers are convinced that people will

that was given reasonable goals raised more

not achieve the best possible performance unless

money than did the group that was given unrea-

they set very high goals. This notion has led to

sonable goals.

the practice of setting stretch goals. A stretch goal

In our opinion, the primary reason for the

is one that is higher than the final goal. For exam-

practice of setting stretch goals has been the

ple, if your annual goal is a 10 percent increase in

observation that if you don’t keep another goal in

some organizational output, a “stretch goal”

front of people, they tend to slow or stop per-

might be 15 or 20 percent. More often than not,

forming when they reach their goal. You probably

the probability of attaining stretch goals is low.

realize by now that if this happens, performance

The low probability of reaching a goal reduces

is being driven by negative reinforcement. A sec-

the reinforcement opportunities and ultimately

ond, and frequent reason is that managers want

the probability of reaching the goal. Repeated

an insurance policy. That is, when they have been

failure or repeated exposure to aversive conse-

given a goal of 10 percent, they set their subordi-

DILBERT reprinted by permission of United Feature Syndicate, Inc.

CHAPTER EIGHTEEN

246

nates’ goals higher to offset the probability that

should be set. But, most assuredly, the art of set-

one or more persons might fail to reach their tar-

ting a challenging goal is related to the ability to

get. This might cause the manager to fail, could

set a goal no higher than people can reach before

signal ensuing punishment, or may mean the loss

extinction sets in. The best way to ensure that

of reinforcement. As you can imagine, as this

extinction does not occur is to set attainable goals

approach cascades down the chain of command,

and have frequent celebrations.

some units will have goals that are set well

beyond their reach.

Making Goals Attainable

The most common mistake made in goal set-

Attainable goals are those for which success is

ting is to set the goal too high. This is, of course,

highly probable. The more attainable the goal, the

the worst mistake to make since goals that are too

more likely performers will reach it. If goal attain-

high are rarely reached, thereby reducing rein-

ment is paired with positive reinforcement, suc-

forcement for goal-directed behavior. In most

cessful performers will want to set higher goals. It

cases, a goal should be set higher than present or

is much better to set many small, highly attainable

baseline performance. When positive reinforce-

goals, than one that is overly challenging.

ment is being used, people rarely find it reinforc-

If you make a mistake in goal setting, the best

ing to attain only past performance levels.

mistake is to set the goal too low. If the goal is set

No specific guidelines are available to indicate

too low, goal attainment is likely. If the achieve-

how far above present performance levels the goal

ment is reinforced, the performers will want to

Figure 18.2 An Example of Shaping Using Sub-Goals

Notice that the amount of improvement from goal to goal is reduced at the higher levels.

Goal

100

Baseline

Intervention

Goal

95

Goal

S

90

T

Goal

NE

85

MEV 80

IEHC 75

A

Goal

YTE

70

FA SF 65

OT

Average

N

60

ECR 55

EP

0

0

2

4

6

8

10

12

14

16

18

20

22

24

26

28

30

32

34

36

Apr

May

June

July

Aug

Sept

Oct

Nov

Dec

WEEKS/MONTHS

January through June

July through December

OSHA recordable accidents 11

OSHA recordable accidents 1

Lost time accidents

2

Lost time accidents

0

(

(Safety Performance Achievements for Department 2. From “Improving Occupational Safety in a Large Industrial Place:

A Systematic Replication.” Journal of Organizational Behavior Management, Vol. 11, No. 1, p 112. Reprinted with permission.)

SHAPING, CHAINING AND GOAL-SETTING: THREE METHODS OF PRODUCING COMPLEX BEHAVIORS

247

achieve more in the future. By setting the goal too

Shaping on an industrial scale involves three

low, there is only a temporary loss in efficiency.

distinct activities: 1) setting a sequence of attain-

Positive reinforcement accelerates performance.

able sub-goals, 2) reinforcing behaviors along the

Once the low goal is reached and the performance

way, and 3) celebrating each time a sub-goal is

reinforced, the rate of performance will accelerate.

met. Although some tangible reinforcement may

By setting a goal too high, you create a situa-

be associated with reaching some of the sub-goals,

tion in which the effort toward goal attainment

social reinforcement is appropriate for any

may be extinguished, even if the performers

improvement.

increased results beyond their previous level. This

will, of course, decrease motivation in the future.

Sources of Information

One way of determining an initial goal level is

and Data for Setting Goals

to determine the level of failure you are willing to

In setting goals, five major sources of helpful

accept. If you are willing to accept a one percent

information and data are available.

failure rate, then the first goal, or sub-goal, should

1. The characteristics of the performance

be set so that the probability that the performers

One source of data to help you come up

will be successful is 99 percent. While this is radi-

with attainable goals is to examine the char-

cal thinking in most organizations, the method is

acteristics of the performance. In other

dramatically more successful than setting stretch

words, how do people typically learn or

goals. It ensures that participants will receive rein-

change? How do people learn a new skill or

forcement for improvement and thereby acceler-

change a bad habit? Many performances

ate their effort toward future goals.

have distinct learning curves. In some situa-

Figure 18.2 shows an example of shaping (dis-

tions, improvement is fast in the beginning

cussed earlier) using sub-goals. Notice that when a

and slows later on. In other situations, little

particular level is reached, lower levels are not

obvious change occurs in the beginning,

reinforced. If performance does not improve, you

but later, improvement is rapid.

will usually need to break the task into smaller ele-

As an example, consider the problem of

ments and reinforce those behaviors before pro-

weight loss. Any weight-loss program

ceeding. At that point, you may lower the goal,

should contain reinforcement for proper

but usually when a level of performance is

eating behaviors such as eating the right

reached, you’ll know that it is attainable and you

foods, in the right amounts, and at the right

would therefore not reinforce performance below

times. However, it should also include

that level.

achievement of a final goal and sub-goals

Attainability is clearly the key criterion in

along the way.

establishing sub-goals. It is the attainability of the

Weight loss has a negatively accelerated

sub-goals and the reinforcement for reaching each

learning curve in which performance

that defines this process which is very similar to

improvement is rapid at the beginning but

shaping with an individual performer. For exam-

slows later. In any task where the learning

ple, if employees are performing at 75 percent effi-

curve is rapid initially but slows down later,

ciency and you set goals beginning at 90 percent,

you can set higher goals in the early stages

the initial goal of 90 percent is usually too far

than in the later stages. In most cases these

from current performance.

are simple tasks, or tasks in which people

CHAPTER EIGHTEEN

248

catch on quickly, so they take giant steps at

Straight-line goals of something like two

first but smaller and smaller ones as they

pounds a week are more common. While

approach the optimal level.

two pounds may be appropriate for the first

Losing weight has a predictable pattern.

week, or maybe even the second, it would

People usually lose more weight per week in

rarely be appropriate in the later stages of

the early weeks of a diet than the later ones,

the diet.

as illustrated in Figure 18.3. This pattern

With other types of tasks, progress is

suggests that goals should be larger in the

slowest in the beginning with more rapid

beginning and smaller later on. However,

improvement in the middle stages and

very few people on a diet take this into

slower progress in the final stage. These fol-

account when setting weight-loss goals.

low a positively accelerated learning curve,

Figure 18.3 Typical Weight-Loss Goal vs. Typical Weight-Loss 25

20

sdn 15

uo

10

tal PoT

5

Typical

Typical g

G oal

oal

Ty

y p

piic

c a

al l A

A c

cttu

uaall

0

1

2

3

4

5

6

7

8

9

10

Weeks

Figure 18.4 The Learning Trend in a New Skil /Job (Learning “S” Curve) Mastery 100

ask

r T ob

Most Critical Time

f Jo 50

For Reinforcement

(Behavior Only)

astery o

M%

Beginner/Novice

0

Early Days

Later Days

Final Goal

SHAPING, CHAINING AND GOAL-SETTING: THREE METHODS OF PRODUCING COMPLEX BEHAVIORS

249

Figure 18.5 Possibl e G oal Le vels fo r Begin nin g Document Input Operator 70

ruo 60

er H 50

ts P en 40

m

data points

cu

equal goal level

30

o

20

r-Free D

10

rroE

0

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

Days

often referred to as an S-shaped learning

notice that improvement slows as perform-

curve. With these tasks, goals should be

ance reaches some maximum. Goals should

quite low in the beginning, higher in the

be changed to reflect this. From a level of

middle stage, and lower in the final stage.

45, you might set the next at 50 then to 54,

Figure 18.4 illustrates this curve.

57, 59, and then to the standard of 60.

An example of a task that follows a posi-

tively accelerated curve is learning to input

2. The performer’s past history. Although

computer documents. Suppose you were

many tasks involve the S-shaped curve, it is

tracking the number of error-free docu-

not always necessary to set goals in this way.

ments processed per hour. Let’s assume that

For example, if performers are experienced,

it is a complicated document with many

goals may be set very differently. People

entries. Assume further that the standard

who have done the same job, or even similar

for the job is 60 error-free documents per

jobs previously, may not only start at a

hour.

higher goal, but progress at a different rate.

It is conceivable that the beginning goal

In the example of the computer operator in

should only be 6 error-free documents per

Figure 18.5 a person with a history of simi-

hour. This would depend on the per-

lar work might start with a goal of 56 and

former’s beginning level. After the per-

proceed in increments of only two or three

former reaches 6, the next goal might be 8,

to some final level.

then 10 and 12. However, at that point it

The best way to set goals is to base them

might be that he could go from 12 to 20

on previous performance. By setting them

quite quickly and easily. The next goal

in this way, you should always be able to set

might be 30, then 45.

them at an attainable level. In doing so, you

Look at the curve at this point and

will increase the chances of success, which

CHAPTER EIGHTEEN

250

will increase motivation to do better in the

marking is heard more frequently. While

future.

general data about levels of cost, productivi-

This is often thought to be a poor way

ty, and quality are available in many indus-

to obtain goal-setting data because the per-

tries, specific facts about performance levels

formance may be a long way from where it

are more difficult to obtain.

should be. Even under these conditions, it is

If you can’t find what a competitor does,

the preferred and practically always the

locate the best practice in a non-competi-

fastest way to achieve maximum perform-

tor. In other words, if you are a distribution

ance. In all cases of shaping, goals should be

manager, look for the best non-competitive

set, taking into consideration the nature of

distributors with products similar to yours

the performance and the history of the per-

and ask them to share their data with you.

formers.

When using competitive data, be sure

you use it as an opportunity for additional

3. The performance of others. The perform-

positive reinforcement, not punishment or

ance of others can be the source of valuable

negative reinforcement. If the competitor is

information for proper goal setting.

substantially ahead of your performance,

Exemplary performers, both inside and out-

you will need to shape toward the goal. In

side the organization, demonstrate levels of

addition, before setting a goal of exceeding

performance that are possible. However, a

competitor performance, make sure the

strong word of caution is in order: Do not

data are comparable and performance con-

set up a person or group to compete against

ditions, equipment, material, and processes

the internal exemplars. This is usually

are similar.

destructive. Use the exemplary performance

information only as a guide to what is pos-

4. Existing industrially engineered standards.

sible to aim for in the future. When you say,

Probably the most common information

“B crew did the best last month. What are

used to set goals in business is budgets and

you, a bunch of wimps?” you have set up

industrially engineered standards. Deming,

revenge as a possible positive reinforcer.

on the other hand, basically told managers

The other crews may punish B crew, and

to throw out standards. This is probably

future failure by B crew may even be pro-

because he witnessed standards being used

moted and applauded by the other crews.

with negative reinforcers instead of positive

Using the performance of your external

ones. In many organizations, standards are

competition is much more productive. If

used to set the level above which you get to

you know how well or poorly your competi-

keep your job. People who perform below

tor does, it can be very reinforcing to close

the standard are singled out for punish-

the gap or increase the distance between

ment. As such, standards are achieved by

you and them. This is an untapped source

negative reinforcement. Therefore, few go

of information for setting goals that has

above them and it is necessary to raise the

tremendous reinforcement potential. Many

standard to increase performance. Because

companies are beginning to seek this infor-

standards are constantly being raised in this

mation, and the phrase competitive bench-

manner, they are resented as goals.

SHAPING, CHAINING AND GOAL-SETTING: THREE METHODS OF PRODUCING COMPLEX BEHAVIORS

251

Another equally serious problem is that,

practice to ask performers to be involved

generally, standards are defined by the per-

and most good performers find that just

formance of the average employee. Thus,

being asked is very reinforcing.

the standard represents, at best, only a

Asking for employees’ input, however, is

mediocre level of performance. It would be

not always advisable. Huber (1985/1986)

a proper goal only for those performing

states, “External goals [meaning assigned

below standard. Experience with PM appli-

goals] are most likely to be effective when

cations over the last 35 years consistently

individuals lack task experience” (p. 57). If

shows that standards considered adequate

the performers don’t have adequate knowl-

for many years are regularly exceeded, often

edge or experience with the task, participa-

by substantial margins. Standards are useful

tive goal setting should not be used.

in setting goals only when used as reference

Participation can be used effectively in set-

points for measuring success.

ting goals if the performers are knowledge-

able enough to know what is realistically

5. Participation by the performers. Few man-

attainable, and then set a goal that has a rea-

agement techniques are more misunder-

sonable probability of being reached.

stood than “participative goal setting.” Most

In many cases of participation, individu-

managers think that participation in goal

als and groups will set goals that are unreal-

setting produces a better goal; that is, one

istically high. In those cases, the person in

that is more likely to be achieved. And it is

charge should lower them. Many think such

true that common sense tells you if people

an act violates the spirit of participation

are involved in setting a goal, they will be

and involvement that organizations are try-

more committed to the goal and will per-

ing to foster today. But it’s the leader’s

form better than if they are assigned a goal.

responsibility to make sure the team is suc-

Much research on this subject shows

cessful. If he knows that a goal set by the

that many variables determine the effective-

group is unattainable or very unlikely to be

ness of participation, and that participative

attained, it is his duty to lower it. If the

goal setting is not necessarily superior to

team is unsuccessful, or their accomplish-

assigned goal setting in goal attainment.

ments go unreinforced, the members will

Many studies have found little difference

lose interest in the goal and the team, even

between assigned and participative goal set-

if they participated in setting the goal.

ting. While some studies have shown differ-

ences favoring participative goal setting,

Summary

others show results favoring assigned goals.

Shaping is a method from Applied Behavior

In their summary of research on goal set-

Analysis that has a long history of effectiveness in

ting, Fellner and Sulzer-Azaroff (1984)

producing rapid changes in behavior. This

conclude, “Despite the inconsistent find-

method involves reinforcing successive approxi-

ings, it can be concluded that self-selected

mations to some desired target behavior. Shaping

goals will be at least as effective as those

is used extensively by coaches and can be adapted

externally imposed” (p. 45). Even if partici-

for use in business and industrial settings.

pative goal setting isn’t superior, it is a good

Chaining is often used in conjunction with shap-

CHAPTER EIGHTEEN

252

ing to produce rapid acquisition of a series of

an art form and involves making them challeng-

behaviors that must be completed in a specific

ing but attainable. In doing this, the PM consult-

order. Either forward or backward chaining can

ant or manager will take into account the charac-

be used depending on the circumstances. Shaping

teristic of the performance, the performers’ past

on an industrial scale such as plant-wide pin-

history, the performance of others, existing stan-

points to accomplish mission-relevant goals usu-

dards if they exist, and finally participation by the

ally involves setting sub-goals (approximations)

performers.

to a final goal. Setting sub-goals is something of

Use the QR CODE reader on your smart-

Use the QR CODE reader on your smart-

phone to learn more about:

phone to learn more about:

Article: “Changing the Face of the

Article: “Shaping Employe

Auto Industry”

Responsibility”

253

19

Punishers and Penalties:

Effects and Side Effects

Punishers and penalties are everyday occur-

rences for everyone. We all recoil in pain when

“. . . behavior analysts don’t like to

we touch a surface that is very hot or extremely

think of punishment as a necessary

cold or when we cut our finger or hit our thumb

component of the workplace. ”

with a hammer. Children fall, scrape their knees,

and bump their heads. Customers lose quarters in

Unfortunately, behaviors that are unhealthy,

vending machines. Motorists are fined for speed-

unsafe, unethical, and unfair do occur in the

ing and charged late fees for not paying a bill on

workplace. These behaviors can have devastating

time. Because punishment is so pervasive in our

effects on an organization and must be stopped.

culture, it is difficult to imagine a world without

Therefore, we choose punishers and penalties as

it. However, behavior analysts don’t like to think

the most expedient consequences for quickly

of punishment as a necessary component of the

stopping behaviors that are dangerous and/or

workplace.

demoralizing. While extinction may also decrease

Figure 19.1 The Four Behavioral Consequences and Their Effects Consequences that

( R+ ) Positive Reinforcement

INCREASE Behavior

Get something you want

( R- ) Negative Reinforcement

Escape or avoid

something you don’t want

Behavior

Get something

you don’t want

Lose something

you have and want

( P+ ) Punishment

Consequences that

DECREASE Behavior

( P- ) Penalty

CHAPTER NINETEEN

254

the frequency of these unwanted behaviors,

job for R+ (positive reinforcement). Think about

extinction works too slowly.

that carefully. If you punish one behavior, consid-

er what you want instead. Stop behavior you

Punishers

don’t want, and set up the conditions for a

A punisher (P+) is defined as any consequence

replacement behavior. If every time you punish,

that follows a behavior that causes a reduction in

you provide opportunity for potential reinforce-

the frequency of that behavior. This definition is

ment, you will become a generalized reinforcer in

similar to that of positive reinforcement. A posi-

spite of the fact that you occasionally punish or

tive reinforcer is any consequence that follows a

correct undesirable performance (remember the

behavior that results in an increase in the fre-

4:1 Rule).

quency of the behavior. Both consequences

require an active response from the environment.

Penalties

With positive reinforcers the person receives

The difference between a penalty (P-) and a pun-

something that he/she values. With punishers the

isher (P+) is that with a penalty, engaging in a

person receives something that he/she does not

behavior causes the performer to lose something

like. That means in this context that punishers,

of value. We generally think of penalties as fines

and reinforcers, are defined not by what the con-

or loss of privileges, but these would be penalties

sequence is, but by what the consequence does to

only if they reduced the behavior. A $1,000 fine

the behavior. One could not say that spanking a

for some outrageous behavior committed by a

child or chewing-out a performer is a punisher.

professional athlete who makes $10 million a year

They would be punishers only if they reduced the

probably has little if any effect on his behavior;

future occurrence of the behaviors. We cannot

but, for a person making $30,000 a year, such a

make one complete list of punishers. We can only

fine may have a tremendous effect.

make a list of things that are potential punishers.

An executive discovered the only consequence

Punishers at work can be as mild as being told

for express lane driving was a $100 fine with no

“Hey, slow down,” for driving a forklift too fast,

points toward losing his driving license and said,

or as intense as being fired for showing up to

“Then I’ll pay $100 a month to drive in the

work with alcohol breath.

express lane.” He figured that the odds of getting

It is important to note that punishment

caught and fined were about 1 to 30. To him, los-

almost never solves a business problem (although

ing the money was not a penalty; it was the cost

firing might). Most often, punishment just stops

of a permit. Adding points toward losing his

behavior temporarily. No organization accom-

license or having him wait by the side of the road

plishes its mission by stopping people from doing

while the officer checked his license probably

things. Having stopped a dangerous act, some-

would have been effective in stopping the unlaw-

thing must be done to increase the probability

ful behavior.

that safe behavior will take its place. Only one

Saving money by cutting benefits in companies

consequence can do that—positive reinforce-

almost always involves indirect penalties for per-

ment. The advantage punishment offers is that

formers. Most financial experts don’t understand

when the behavior that we don’t want has

the negative effect that eliminating benefits such

stopped, we have an opportunity to replace it

as medical and dental plans has on performance.

with more appropriate productive behavior—a

At a time when discretionary performance is

PUNISHERS AND PENALTIES: EFFECTS AND SIDE EFFECTS

255

needed, management action creates the opposite

Punishers and penalties suppress not only the

effect. A better action would be to set new con-

punished behavior, but can also have the correlat-

tingencies for earning benefits. The contingency

ed effect of creating employees who are overly cau-

might be to earn the benefit by finding new ways

tious and who have high levels of distrust, fear,

to cut expenses in amounts greater than the cost

and anger. Nevertheless, many people use punitive

of the benefit. Under this plan people can get

methods more easily than positive ones, in organi-

increased benefits even during tough economic

zations and in life in general. Why is this so?

times.

Because penalties usually have a very low

“

response cost for the one imposing the penalty,

Managers, parents, or others who rely

on punishment and penalty may never

they are used frequently. This can be dangerous

realize how they are robbing them-

because when performers get to the point that

selves of the pleasure of being a posi-

they have nothing more to lose, the consequence

tive force in others’ lives. ”

becomes ineffective.

In a large number of families, the most fre-

quent consequence used by parents is a penalty.

Why Are Punishment

Misbehavior results in loss of computer time,

and Penality So Popular?

family car use, cell phone, and freedom to leave

Given that most people don’t like to receive pun-

the house. In this regard the weekly allowance is

ishers and penalties, you would think those con-

more often than not a penalty system. The child

sequences would rarely be used. Yet daily exam-

is given money at the beginning of the week and

ples of punitive techniques exist in almost every

misbehavior results in losing money. It is no won-

work environment. Why do we so often resort to

der that children raised under these conditions

these methods to solve a problem? The answer

often drop out of normal society and look down

lies, of course, in the consequences the person

their noses at a material culture. Their experience

who punishes receives when using them.

is that when you have something, people use it to

When you use punishment, if it is going to

control you. If you have something, someone can

work, it will work right away. That is, the behav-

take it away from you. If you don’t want or have

ior that you don’t want will stop, at least tem-

anything of value, you are free from control, par-

porarily. If the behavior stops, that is what you

ticularly from authority figures.

wanted. In other words, the use of punishment is

While punishment and penalty are necessary

frequently reinforced. The person punishing

on occasion, frequent use of either almost always

receives a PIC for using punishment. We call this

indicates a lack of understanding of human

the punishment trap. Having received a PIC

behavior and how to manage it effectively. In an

(Positive, Immediate, and Certain reinforcer) for

effectively managed organization, the use of pun-

punishing, the probability increases that you will

ishers and penalties should almost never be neces-

use punishment in the same or similar circum-

sary. You can readily guage someone’s under-

stances. By contrast, when you reinforce, the

standing of how to maximize human potential by

results will usually be delayed.

observing his or her use of these consequences.

When you reprimand those who are doing

We also know that organizations pay a high cost

something wrong, they will usually stop immedi-

for allowing a punitive management culture.

ately. If you reinforce someone who has corrected

CHAPTER NINETEEN

256

some unsafe behavior, you will usually have to

how they are robbing themselves of the pleasure

wait at least for a short period of time to see if the

of being a positive force in others’ lives.

reinforcer actually worked. This is why many

Many managers realize the shortcomings of

people mistakenly think punishment is more

punitive consequences but don’t know how they

effective than reinforcement in solving behavior

would solve their problems if they decreased its

problems.

use. They will likely continue to use punishers

Punishment is reinforcing to the one doing the

and penalties but will do it more and enjoy it less.

punishing, not only because it works but also

A manager who retired from a maintenance

because you don’t have to deliver punishers and

superintendent’s job at a large auto plant said in a

penalties as often as you must deliver reinforcers.

speech to new supervisors, “In my 35 years in this

With punishment, you can just sit back in your

plant I can remember the names of about 50 peo-

office and wait for problems to be brought to

ple who were really no-good. They continually

you. This is called management by exception:

caused problems. I can remember about 10 who

When people do something wrong, go out and

were really outstanding. But the thing that both-

let them have it; the rest of the time, ignore them.

ers me is that I can’t remember the names of the

People don’t foul up as often as they perform ade-

hundreds of people who helped me be successful

quately. So a good deal of your time can be devot-

during my career here. I hope you don’t retire

ed to other things, like solving the problems gen-

with that burden on your conscience as I have.”

erated by the negative side effects of using pun-

He further stated that if he had it to do over

ishment. This is called crisis management. The

again, he would concentrate on making sure that

crisis manager never runs out of work.

he showed proper appreciation to the people who

One key point about punishment is that

had helped him be successful.

behavior often stops only in the presence of the

When people experience success with positive

punisher (unless the punishment is severe).

reinforcement, they often make dramatic changes

Punishment that is so severe that it completely

in long-standing patterns of relating to people on

eliminates a behavior is almost always corporal in

the job. One supervisor, after learning PM meth-

nature and so strong that it cannot be used at

ods, withdrew her retirement papers because she

work. Severe punishment also has negative physi-

had started to enjoy rather than dread her job. A

ological side effects. It can increase the likelihood

retired safety manager, who returned to partici-

of aggressive responses from the one being pun-

pate in auditing safe behavior in a PM safety pro-

ished or penalized and thus the need on the part

gram, remarked that he was well liked for the first

of the one doing the punishing is to continuously

time in his career because his presence now sig-

increase the intensity and/or frequency of the

naled positive reinforcement rather than punish-

punishment. Workplace violence can be the prod-

ment. In Chapter 20 we will present information

uct of this cycle of punishment if it increases in

on how to get out of the punishment trap by

frequency or intensity. That kind of one-sided

correction process sets up no real opportunity to

“

learn and the person doing the punishing

Clearly, punishment is a costly proce-

dure. This is why the emphasis must

becomes an aversive stimulus, that is, someone to

be on preventing performance prob-

be avoided. Managers, parents, or others who rely

lems rather than correcting them. ”

on punishment and penalty may never realize

PUNISHERS AND PENALTIES: EFFECTS AND SIDE EFFECTS

257

using a correcting (P+/R+, P-/R+) model and

there. If a supervisor or manager uses punishers

applying differential reinforcement for alternative

and penalties frequently, people will not seek

behavior (DRA).

them out unless absolutely necessary. Whenever

you see people scatter or get back to work when

The Negative Side-Effects

they see the boss, you know they view that person

of Punishment

as a potential punisher, not as a potential rein-

The side effects of positive reinforcement for the

forcer. Over time, these supervisors and managers

right behaviors are almost always constructive,

cost the organization more than they contribute.

but the side effects of punishment are negative

Their employees’ avoidance behavior increases

and numerous. Clearly, punishment is a costly

costs and limits problem solving, creativity, and

procedure. This is why the emphasis must be on

productivity. A manager who thought of himself

preventing performance problems rather than cor-

as a positive person related that an operator was

recting them. A discussion of some of the side

startled when he turned to see him in the control

effects of punitive methods follows.

room. When asked why he was startled the man

replied, “I just hate to see you coming.” This

Punishment Creates

comment caused the manger to rethink his

Escape-and-Avoidance Behavior

behavior with plant personnel. Although he

If a person’s behavior is being punished, he will

thought he was positive, the employee’s reaction

try to escape the source of the punishment. If he

and comment indicated otherwise.

is punished, he will try to avoid it in the future.

Many companies complain of employees abus-

As you know, the escape-and-avoidance behaviors

ing their sick leave policies. This is almost always

are maintained and strengthened through nega-

a pattern of avoidance behavior. The workplace is

tive reinforcement.

so aversive the employees find any way they can

Escape and avoidance behaviors take many

to avoid it. Unfortunately the managers who cre-

forms. People may become defensive, blame oth-

ated the aversive workplace rarely consider it to

ers, blame equipment, blame materials or blame

be punitive and are unable to see this problem for

the process, procedures, and policies. They may

what it really is. This often leads them to take

lie and cheat, or hide when they see the agent of

even more unproductive measures, such as tight-

punishment approaching; they may be absent or

ening up the penalties for absences to include

they may quit or become angry (Bennett, 1998).

mandatory terminations. The idea seems to be to

They may be cautious to the point that they

catch people between the devil and the deep blue

reduce production. They may delay turning in

sea by placing them in a situation where they have

reports and doing paperwork because they fear

to do something they don’t want to do to escape

criticism or other punishment. They may coun-

an even greater punisher or penalty. When we

terattack by criticizing the person doing the pun-

hear managers say, “We need to get back to

ishing. When you see these behaviors occurring,

basics” in reality it means that we have to punish

you should question the source of the punish-

more.

ment, its appropriateness, and its effectiveness.

In a great many organizations, employees fear

Punishment May Decrease Desired

being called to a manager’s office. From the

as Well as Undesired Performance

employees’ perspective, nothing good happens

As with positive reinforcement, punishment may

CHAPTER NINETEEN

258

generalize from the behavior being punished to

always seem to get more work or harder work.

other behaviors. In other words, by punishing

When punishment is used frequently, initiative,

undesired behavior, you may unintentionally

creativity, and extra effort are substantially

punish some desired behaviors as well. For exam-

reduced, if not absent. We have all heard people

ple, a part of one engineer’s job was to visit all the

make statements like, “I only do what I’m told.”

plants in her division and report on quality pro-

While many might interpret this as lazy or a bad

cedures. The engineer was very thorough, and on

attitude, it is likely that the person has experi-

her own initiative prepared detailed reports.

enced more punishment than reinforcement from

When she gave the reports to the boss, he liked

attempts to do more than was required.

them, but unfortunately, he always criticized

One of the cardinal rules of brainstorming is

something about each report. After awhile she

the following: Do not evaluate suggestions.

never seemed to have time to do the write-up for

Leaders of this activity have learned that if you

the boss. The boss liked the reports and, in his

criticize some aspect of an idea, you will get fewer

mind, his criticism was only intended to help her

of them. Too many people think there is a differ-

improve her note-taking, but the criticism pun-

ence between critique and criticism. They do not

ished the behavior of reporting altogether.

think people should feel punished if they tell

We have all been in meetings where the boss

them how ugly their baby is because they are only

criticizes several people’s input at the beginning

stating a fact. On the other hand, if you reinforce

of the meeting, only to have the meeting contin-

all ideas, good as well as not so good, you will get

ue with no voluntary contributions. He may have

more of both. Using shaping you will arrive at a

only meant to criticize what they were saying, but

point where many people are offering good ideas

it generalized to all future verbal behavior in the

and there are fewer not so good ideas being

meeting as well.

offered.

Courtney Mills, a behavioral consultant we

mentioned earlier, relates an amusing incident:

When I was consulting with a newspaper, the

“Punishment does not solve a perform-

advertising department had one room with about

ance problem; it only puts you in a

50 people who took ads over the telephone.

position to take positive action. ”

There was a microphone on the supervisor’s desk

up front that was only to be used for passing mes-

Punishers and Penalties Never

sages. The department manager came in one day

Increase Performance

and saw one employee not working. He picked

Probably the most compelling reason that pun-

up the microphone and said, “You people get off

ishers and penalties should not be used alone is

your tails and get back to work.” One person

that they do not increase desired performance.

went back to work and 49 people stopped. The

Punishment doesn’t teach any new skills or

49 people interrupted their work to look around

increase any performance. At best, it is a stopgap

to see who was being chastised. How much more

measure because it only tells a person what not to

effective would it have been to deal specifically

do. Punishment does not solve a performance

with the guilty person individually and privately?

problem; it only puts you in a position to take

Those who have been in the Army learn quick-

positive action.

ly to never volunteer! Those who do volunteer

If you don’t take positive action, you might

PUNISHERS AND PENALTIES: EFFECTS AND SIDE EFFECTS

259

produce what has been called learned helplessness.

show up is as malicious compliance. Here you find

This phenomenon was first demonstrated in dogs

people who follow the policy or procedure to the

(Maier & Seligman, 1976), but has since been

letter, knowing that it will produce some negative

extended to humans, even in the workplace

outcome for the organization. Or, they refuse to

(Sahoo & Tripathy, 1990). When punitive conse-

perform some necessary task because it is not

quences continue to occur in the face of many

specifically stated in the policy or procedure.

attempts to avoid them, then people report an

They might also wait to perform some obviously

out-of-control feeling and they give up.

necessary behavior until told. This might look

Essentially, people report that they quit trying to

childish to the bystander but it is not to the per-

avoid punishers or penalties, or to obtain rein-

former. To a trained observer, this is simply a pre-

forcement, because nothing works. The longer

dictable response to punishment or penalty.

people are exposed to the punishers and penal-

For example, some years ago in a prison in

ties, the harder it will be to teach them the

middle Georgia, there was concern that guards

desired behavior. McKean (1994) suggested that

were abusing the sick leave policy. This was espe-

learned helplessness is especially pervasive in col-

cially troublesome around hunting season when

lege students, where many students report that

absenteeism was highest. Staff, it seems, were par-

their grades are uncontrollable and coursework is

ticularly prone to be sick during the deer and bird

aversive. These students have a long history of

hunting seasons. A decision was made that begin-

exposure to punishers and penalties for sub-par

ning in August (Figure 19.2) that every sick day

performance without reinforcement for appropri-

had to be verified by a doctor’s excuse.

ate study skills! Not only does excessive exposure

It was well known among the staff of the

to punishers and penalties affect performance

prison that a physician in the community would

efficiency, it also affects job satisfaction. It

provide an excuse for the price of an office call.

shouldn’t be a surprise to learn that a loss of con-

For the hunters this was simply a part of the cost

trol over job outcomes has been correlated with a

of a license to hunt. However, for the non-

loss of job satisfaction.

hunters the price of a legitimate illness went up at

the beginning of August, a very punishing policy

Punishment Increases Aggression

change. Notice from the graph that the immedi-

When people are punished, they may react

ate result of the change in policy was a reduction

aggressively. They may attack verbally or some-

in absenteeism. However, after two months of

times physically. The aggression may be overt or

decreased absences, absenteeism climbed for the

it may be covert—overt in that they may do

next five months. Prison management only

something like tear up a report, throw or break

became aware of the problem many months later

things, make verbal threats, or actually hit some-

when absenteeism reached an all-time high. They

one; covert in that they may sabotage equipment

thought the problem was solved after the first

or material or even steal to get even. Sulzer-

two months and quit monitoring it. When sur-

Azaroff and Mayer (1977) report a laboratory

veying the staff, we found that those who had a

study in which subjects receiving mild electric

legitimate sickness (rather than a “hunting sick-

shock showed a 900 percent increase in aggressive

ness”) had decided if they had to pay for a doc-

behaviors.

tor’s visit, they would take all the sick leave that

In the workplace, one of the ways this can

was coming to them.

CHAPTER NINETEEN

260

When people receive punishment, it is com-

for selecting and delivering reinforcers outlined in

monly satisfying to strike back. In fact, punish-

Chapters 14-15. In other words, proper correct-

ment sets up revenge as a positive reinforcer. This

ing involves many considerations and activities.

can be seen in incidents of workplace violence.

Because there are so many steps, there are

Although the reinforcers that originate and per-

increased opportunities to make a mistake. It is

petuate terrorism are varied, at its root is some

difficult to do correctly.

form of punishment. As illogical as it may seem,

A mistake when administering punishment is

once the first act of terrorism is committed, every

much more serious than one made while adminis-

subsequent act to punish the terrorists may actu-

tering reinforcement. If you attempt and fail to

ally increase their resolve.

reinforce someone for a desired performance, the

worst that can happen is that the performance

Figure 19.2 Institution Sick Leave—

doesn’t change. If you deliver a punishing conse-

Al Staff

quence improperly, one or more of the negative

BASE-

DOCTOR’S

side effects discussed earlier may occur. However,

LINE

NOTE REQUIRED

even when you punish or penalize effectively, you

4.0

may get unwanted side effects.

3.5

People often make the mistake of using some-

ays

D

3.0

thing they think is punishing when it is not. It is

rko

not advisable to test a punisher. With positive

2.5

reinforcement, you can easily try something with

tal W

2.0

o

few, if any, negative side effects. If you said to a

f T

person or a group “I want to try this [reinforcer]

1.5

t o

to see how you like it,” the response to your

1.0

efforts would probably be positive. However, if

ercenP 0.5

you said, “I want to try this to see how punishing

it is,” it doesn’t take a genius to know that the

0.0 June July Aug Sept Oct Nov Dec Jan Feb Mar Apr May June

best response you would get is that people would

Months

think you were stupid.

A classic example of this happened with a

plant housekeeping program. Housekeeping is the

word used, particularly in manufacturing, to

“A mistake when administering punish-

ment is much more serious than one

describe the quality checks, cleanup, and hand-off

made while administering reinforce-

of functions between shifts and is crucial to keep-

ment. ”

ing the plant operating smoothly and safely. In

this particular plant, the punisher for the depart-

ment with the worst housekeeping was the Eight

Punishment is Difficult to Utilize Effectively

Ball Award (in billiards hitting the 8-ball is an

Azrin and Holz (1966) have identified 14 guide-

error causing a forfeiture of the game). The Eight

lines for using punishment effectively. When cor-

Ball Award was a large (5-feet in diameter) ply-

recting performance, you need to follow not only

wood mock-up of a billiard ball. Once presented,

the 14 guidelines for punishment, but also those

the so-called award was displayed in the offending

PUNISHERS AND PENALTIES: EFFECTS AND SIDE EFFECTS

261

department for a month. In addition, the employ-

tends to lose its effectiveness because people will

ees had to pose for a picture with their heads

adapt to it. This is known as habituation.

sticking out from behind the eight ball. The pic-

Sulzer-Azaroff and Mayer (1972) state,

ture was then published in the plant newspaper.

“Individuals appear to adapt easily to very mild

On some slow news months, this photo even

aversive stimuli that are presented repeatedly and

made the front page.

to those that are gradually increased in intensity

Before you read further, guess the effect this

(as many teenagers adapt to loud music), whereas

consequence had on housekeeping. (Hint: The

the effects of strong aversive stimuli appear to be

people in the picture were always smiling.)

more enduring” (p. 177). Many others have report-

Poor housekeeping probably received more

ed this finding. It brings into question the progres-

recognition and reinforcement than all the pro-

sive discipline programs in which offenses such as

ductive work in the plant. You might imagine

absenteeism are subjected to increasingly more

that the plant management focused considerably

severe consequences, finally resulting in termina-

more attention on what was not accomplished or

tion. Would more people be helped if only one

what was wrong than what was right. Although

consequence existed? Only the data can tell us.

people did not necessarily try to get the award,

An additional fact about punishment that

they certainly didn’t seem to mind.

makes it difficult to use effectively is that punish-

When managers were asked about the pro-

ing every occasion of the undesired behavior is

gram, they replied, “They really hate to get that.”

much more effective than catching someone

How could they be so wrong? For one thing they

engaged in the behavior only every now and then

believed that an award that would be embarrass-

(Azrin, Hutchinson & Hake, 1966). As it is

ing for managers would be so for everybody.

impractical in the average workplace to catch

Secondly, they had no data. They acted on what

every instance of some problematic behavior,

they believed would happen, rather than measur-

attempts to punish will likely be ineffective in the

ing what actually happened. All they knew was

long run.

that somebody got the award every month, so the

If these problems are not enough to convince

program must be working. Although this might

you of the difficulties involved in using punish-

be an extreme example, we’ve seen many varia-

ment effectively, consider the following. The suc-

tions on this theme in offices and plants through-

cess of punishment also depends on the amount

out the U. S. and other countries in which we

of reinforcement the person is receiving for the

have worked.

punished activity. The Brake Assembly Room

Another variable that makes punishment diffi-

comedian might have to put a dollar in the jar for

cult to use is the fact that intense punishment is

every dirty joke he tells but he doesn’t seem to

more effective than mild punishment. Many peo-

mind since he thrives on the attention he gets

ple have trouble administering any form of pun-

from his colleagues who laugh out loud and roll

ishment, but delivering intense punishment is dis-

on the floor whenever he tells a zinger.

tasteful to almost everybody. Generally speaking,

we tend to start with the mildest punishment we

Unwanted Recovery

can think of and gradually move to more and

When a behavior has been punished or penalized

more severe punishment. However, when mild

to reduce or stop its occurrence, frequently the

punishment is gradually increased in intensity, it

behavior will return when these consequences are

CHAPTER NINETEEN

26

2 2

6

removed or terminated. The technical term for

hood of that behavior occurring again. Penalties

that occurrence is recovery. In the absence of pun-

(something significant taken away) have a similar

ishers or penalties, the behavior will move toward

effect in reducing the probability of future behav-

the previous unpunished or un-penalized fre-

iors. Punishers and penalties are popular in part

quency. Recovery is to punishers and penalties, as

because they can produce an immediate reduc-

extinction is to positive and negative reinforcers.

tion in an undesired behavior (a reinforcer to the

In both cases, the behavior returns to its pre-con-

person delivering the punishment) are easy to

sequence rate.

apply and don’t have immediate costs. When this

While punishment and penalty may stop

practice is institutionalized in businesses, it is

behavior for some period of time, it does not

referred to as “management by exception.” The

eliminate the behavior from one’s repertoire.

use of punishment in any setting creates side

These consequences don’t cause the person to

effects that will come back to hurt the organiza-

forget how to do the behavior. The behavior is

tion; employees may engage in escape-and-avoid-

simply suppressed. The prison environment gen-

ance behaviors as well as passive aggressiveness

erally prevents criminal behavior from occurring.

and aggression. The generalization effect from

How many times have you heard on the TV news

punishment may extend to other desired behav-

about someone who committed a crime within

iors, clearly an undesired outcome. When the

hours of being released from prison? It is not a

punishment or penalty contingency is removed, it

rare event. Since prisoners were not taught ways

is quite common for the suppressed behavior to

of getting positive reinforcement through legal

reappear. The best practice if punishment is nec-

behavior, they return to the behaviors that pro-

essary to reduce an unsafe or otherwise inappro-

duced positive reinforcers before they went to

priate behavior is to always find a replacement

prison. This brings up another drawback to pun-

behavior to consistently reinforce.

ishment. If punishment is to work at all, the

threat of punishment must be imminent and con-

tinuous. This is high-cost management!

Use the QR CODE reader on your smart-

phone to learn more about:

While some of the behaviors mentioned at the

Article: “A Lesson from ‘Packman’

beginning of this chapter should lead to termina-

about Punishing Good Performance”

tion, most of the punishers and penalties used at

work should be for the purpose of correcting

future behavior. We will explain how to do this in

Chapter 20.

Use the QR CODE reader on your smart-

phone to learn more about:

Summary

Article: “Mushrooms”

Punishers are consequences when made contin-

gent on a particular behavior, decrease the likeli-

263

20

Three Ways to Decrease

Unwanted Behavior

There are times in business and industry set-

Following the description of extinction are two

tings when people do things that are annoying or

alternatives. Both have fewer side effects, and

disruptive. In these cases, extinction is the appro-

many people forget they are available.

priate procedure provided that you can control

What happens to performance under extinc-

(withhold) the reinforcer. For example, if the

tion depends on the person’s history of reinforce-

purpose of the behavior is to get someone’s atten-

ment on the prior schedule. For example, there

tion, ignoring it will deprive the person of rein-

are rather unique distinctions between using

forcement for the behavior, and it will eventually

extinction with behavior under the control of

stop due to lack of reinforcement. As mentioned

positive reinforcement (R+) as compared to neg-

previously, depending on the person’s reinforce-

ative reinforcement (R-) figure 20.1. While we

ment history, extinction may be very slow or rela-

cannot cover all there is to say about the differ-

tively quick. When a behavior is not harmful—

ences, do keep in mind that if a behavior has been

only annoying in some way—we can often afford

under control of negative reinforcement, it is

to wait for it to stop. However, when people do

harder to know if extinction has occurred,

things that are illegal, unethical, unsafe,

because in the absence of aversive events, the

unhealthy, or unfair, their behavior cannot be

behavior will not occur. Just because a person

ignored or allowed to continue. These are cases in

does not exhibit phobic behavior during some

which the technology of behavior reduction

period of time does not mean he has been cured

comes into play. There are three Applied

of the phobia. Rather, he has not been in the

Behavior Analysis procedures that seem appropri-

presence of the feared situation. The classic char-

ate in corporate settings.

acteristics of extinction do not occur with nega-

tive reinforcement. With that said, as noted earli-

I. Extinction

er, four things often happen when a pattern of

On occasion you may be faced with behavior

behavior undergoes extinction.

such as complaining, poor quality work, or inap-

propriate social behaviors. Most behavior analysts

Effects of Extinction for Problem Behavior

immediately think of extinction as the reduction

1. Initially, the behavior will increase. This is

procedure to use in such cases.

technically known as an extinction burst.

Sometimes, extinction is the most benign and

2. Negative emotional behaviors, such as ver-

appropriateway to resolve these issues. Sometimes

bal abuse, tantrum-like behavior, and even

it is not. Consider that. If you choose to use

aggression, may occur.

extinction, use it carefully as described below.

CHAPTER TWENTY

264

3. The rate at which the desirable or undesir-

more frequently if his manager gets fed up and

able behavior decreases will vary widely

suddenly ignores his complaints. The manager

depending on the schedule, but be prepared

who doesn’t understand that extinction bursts are

for a gradual rather than an abrupt

a predictable aspect of extinction will no doubt

decrease.

think that ignoring isn’t working, when in fact it

4. Once the behavior has declined to a low

is. It should be pointed out again that extinction

level, it will likely recur, even though it has

is not always the best response to a problem like a

not been reinforced after extinction began.

complaint. In all likelihood the manager has

The first three characteristics describe quite

already tried just telling the person, “I do not like

well what happens during extinction on a contin-

it when you talk about your co-worker in that

uous schedule (CRF or FR1). We have all heard

manner” and found that it only worked for a few

people make an assessment of someone with a

days.

behavioral problem such as, “He will have to get

Emotional behaviors are more likely to accom-

worse before he can get better.” They are referring

pany extinction on fixed schedules. The length and

to an extinction burst. An extinction burst occurs

intensity of the emotional reaction is a function of

when, early in extinction, there is a dramatic

the schedule and number of reinforcers received

increase in the behavior of concern in an attempt

on it. Everybody has witnessed at least a mild form

to get the usual reinforcement. Unfortunately, if

of this phenomenon. When a person puts money

the attempt is successful (gets reinforced), the

in a vending machine several times, only to have it

rate of the behavior will return to even higher lev-

returned each time, he may try to shake the

els than before the extinction effort. Of equal

machine, or even hit or kick it before giving up.

importance, the behavior will be more difficult to

That person is exhibiting emotional behavior char-

extinguish the second time. The interval between

acteristic of extinction under fixed ratio (FR)

the first attempt at extinction and the subsequent

schedules. Parents who say things to their children

reinforcement, in effect, signals a delay. This

like “You can cry all you want but you cannot go”

makes the likelihood that new efforts to extin-

are dealing with the same problem.

guish behavior will have to be applied for longer

When people are accustomed to receiving

periods of time.

reinforcement on some predictable pattern and

For example, in trying to extinguish behaviors

suddenly it stops, you can expect an emotional

like temper tantrums, many parents have noted

response from them. These responses may range

that the tantrums initially actually got worse.

from complaints of “That’s not fair” to tantrum-

This often occurs because when the child

like behavior. These reactions occur at work just

screamed longer than usual or turned bluer than

like they occur at home. They are easier to recog-

usual, the parents could not stand it and gave in

nize in children, but if you look, you will see

thereby reinforcing the child for that more inten-

adult versions at work. Variable schedules typical-

sive response. This will, of course, make extinc-

ly produce considerably less emotional behavior

tion of the tantrum behavior more difficult in the

during extinction.

future. It also makes it more unlikely that you will

In regard to Item 3 in our list of effects of

be able to ignore it the next time around.

extinction, the rate of extinction of behavior previ-

A person who has been getting attention for

ously reinforced under FR1 is faster than the other

complaining about co-workers may complain

schedules. Next comes FI. Variable schedules take

THREE WAYS TO DECREASE UNWANTED BEHAVIOR

265

much longer. Factors affecting the rate of extinc-

extinguish the behavior in the most efficient

tion of a behavior under a particular schedule

manner.

include the size of the ratio, or length of the

There are additional methods to consider.

interval, and the number of reinforcers received

Correcting consists of punishing or penalizing

on the schedule. In any event you may not see an

undesirable behavior while reinforcing desirable

immediate change in the behavior under variable

behaviors. Differential reinforcement of alternative

schedules and should be prepared for a gradual,

behavior (DRA) involves reinforcement of a

rather than sudden, decline.

desired alternative behavior while at the same

A predictable characteristic of extinction that

time using extinction to reduce the unwanted

frustrates most people is the phenomenon of

behavior. In both of these examples, the focus is

resurgence. Resurgence (Epstein, 1983, 1985) is

on building behavior and moving toward some-

the re-emergence of previously extinguished

thing positive, something to increase the oppor-

behavior. After a period of time when the behav-

tunity for positive reinforcement in someone’s

ior has not occurred, it often reappears for no

life. We encourage that perspective whenever pos-

apparent reason. In other words, if the new

sible in managing performance.

behavior does not get sufficient reinforcement,

the old behavior will return. What happens to the

II. Correcting

old behavior when it returns is critical, since any

Before you start thinking about using a correc-

reinforcement will put the behavior on a much

tion procedure, it is important to understand the

thinner variable schedule and make it more diffi-

person’s motivation, their M.O. You can do this

cult to extinguish in the future.

using the PIC/NIC Analysis® or by conducting

This occurrence is what has led many people

an informal functional Analysis. The only moral-

to conclude that you can’t really change people.

ly acceptable reason to use punishment or penalty

Their evidence for this is that people may change

in a business or in any other setting is to prevent

in the short run but they seem to always go back

harm to others and increase the person’s future

to their old ways of doing things. They are wit-

reinforcement. Therefore, if you use either, you

nessing a common occurrence in extinction—

must be prepared to reinforce a constructive

resurgence. To prevent resurgence, the new

alternative. An illustration of the effect of rein-

behavior must get more reinforcers than are avail-

forcing a constructive alternative behavior

able for the behavior to be extinguished.

appears in Figure 20.2.

Knowledge of the four factors will help you

In common usage, the word punishment has

recognize when extinction is occurring.

negative, emotional baggage because it so often

Extinction bursts, emotional behavior, resur-

refers to some physical act such as spanking a child

gence, and a reduction in performance are all fair-

or restricting movement, grounding a teenager, or

ly easy to spot. On investigation, if it appears that

putting a criminal in prison. None of these defini-

extinction is the problem, your knowledge of

tions are appropriate in the context of PM.

reinforcement will allow you to remedy the situa-

Punishment, (Chapter 19) in the context of

tion easily and quickly in most cases. In addition,

behavior change, simply means any active conse-

if you want to extinguish some undesirable

quence contingent on a behavior (the presentation

behavior, knowing the signs will allow you to

of an aversive event) that reduces the future prob-

anticipate them. If they are anticipated, you can

ability of that behavior. The consequence (pun-

CHAPTER TWENTY

266

Figure 20.1 The Four Behavioral Consequences and Their Effects Consequences that

( R+ ) Positive Reinforcement

INCREASE Behavior

Get something you want

( R- ) Negative Reinforcement

Escape or avoid

something you don’t want

Behavior

Get something

you don’t want

Lose something

you have and want

( P+ ) Punishment

Consequences that

DECREASE Behavior

( P- ) Penalty

ishment) could be a frown, disagreeing with

use either when these do occur in a business situa-

someone’s idea, a verbal reprimand, criticizing a

tion can result in negative consequences for man-

presentation, or any of a million other aversive

agement and the organization. For example, if a

things that happen to people. Sometimes punish-

supervisor sees someone doing something unsafe

ment is done deliberately; other times accidental-

and says nothing and the person is injured later,

ly. In either case, if it results in a behavior or per-

the employee may bring legal action against the

formance decrease, it is technically called punish-

supervisor and the company for not taking the

ment. Penalty would be a fine, demotion, or any-proper action to secure a safe workplace. Courts in

thing that restricts access to previously accessible

these cases usually find in favor of the employee.

or desirable activities.

It is fairly obvious to most people that you

cannot ignore dangerous acts. If you see someone

When to Use Correction

walk on a moving conveyor belt to avoid walking

Behavior must always be corrected in the follow-

around it, and you know that several ankles have

ing circumstances:

been broken in the past by such behavior, you

1. When a behavior is unhealthy, physically

cannot ignore that behavior. You must correct it

dangerous, or life-threatening to the per-

every time it happens. If you see someone lifting

former or to others; and,

something in a manner that is likely to result in a

2. When someone is engaging in behaviors

back injury, you must correct the situation

that are destructive to the organization such

because it could pose a serious health risk to the

as being unethical, dishonest, or unfair.

person. If people are overexerting themselves,

even to the ultimate benefit of the company, you

While these are not the only circumstances

must do something to stop it.

that indicate punishment or penalty, failure to

THREE WAYS TO DECREASE UNWANTED BEHAVIOR

267

FIGURE 20.2 Example of Relative Effects of Punishment and Differential ReinforcemeThe

nt groap

n h sho

Re ws

sp the r

on elati

din vge

effectiveness of punishment

when no alternative response

The graph shows the relativis

e re

ef ifn

e fco

t r

i ced.

ven Lin

ess o e

f A

p i

u s

n a

-

500

behavior occurring at a high

No Punishment

ishment when no alternative response is reinforced.

S

and steady rate. Line B shows

E

Line A is a behavior occurring at a high and steady

that when the behavior is

SN

rate. Line B shows that whepuni

n th shed,

e be and no a

havior is lter

pu nati

n-

ve

O

ished, and no alternative re r

s espon

ponse se i

is rs r

ei ein

nfofo

rcrc

e e

d,d, there

P

Punishment and No

S

Alternative Response

is a reduction in the rate of

E

there is a reduction in the rate of occurrence.

250

Was Reinforced

occurrence. However, when

R

However, when the behavior is punished and an

E

the behavior is punished and

IV

alternative response is reinf a

o n al

rce ter

d, tnati

he v

r e r

ate espo

of t n

h se is

e

TA

reinforced the rate of the

original behavior dropped to zero.

L

Punishment and

U

original behavior dropped to

Alternative Response

M

zero.

U

Was Reinforced

(Adapted from W.K. Honing, 1966, Operant Behavior,

C

(Adapted from W. K. Honig,

Areas of Research and Application, New York, Appleton-

1966, Operant Behavior; Areas

0

Century Crofts, Inc., p. 404. Re of R

print e e s d ear

wi c t h and

h perm A

is ppli

sion cation,

.)

0

15

30

New York, Appleton-Century

MINUTES

Crofts, Inc., p. 404. Reprinted

with permission.)

Judgments about unfair behaviors are generally

(and in both cases the person is aware you saw

more subjective than those about observable

this behavior). You might think that if you do

actions, but some are fairly clear. In this context,

nothing the performance won’t be repeated so

behavior that is unfair includes not only that

you shouldn’t make a big deal of it. But in all of

directed toward other employees, but also toward

these cases, doing nothing is doing something.

customers and the company. Unfair would

Your silence may be interpreted as your consent

include any act of dishonesty such as lying, cheat-

and consequently may act as an inadvertent rein-

ing, and stealing. Of course, most people don’t

forcer for the behavior you don’t want. Even inap-

have a problem understanding the necessity of

propriate behavior can be reinforced, so doing

applying punishment in these cases. But there are

nothing allows that behavior to continue and

other cases in which people are unfair that are

even be strengthened.

equally demanding of swift, negative conse-

quences.

Guidelines for Correcting

For example, any act of discrimination should

Proper correcting is not easy. To decrease unwant-

be dealt with immediately. Sexual harassment has

ed performance you must pay careful attention to

received much attention in the workplace and

several guidelines. While following these guide-

rightly so. Such behavior can have serious conse-

lines, you will discover that you really are correct-

quences, not only to the person being harassed,

ing performance, not simply punishing or penal-

but to the organization as well. When you have

izing it. You are helping people do the right thing

knowledge of this kind of behavior, you must

as well as reducing the chance that they will per-

take immediate steps to prevent its future recur-

form in an undesirable way. Following are 10

rence.

points to consider when using correcting.

You must also correct undesirable or inappro-

priate behavior when you witness that behavior.

Point 1: Pinpoint the behavior being corrected.

For example, suppose you overhear an employee

The first step in correcting performance is to

talking rudely to a customer or you bump into

pinpoint the problem behavior or performance

someone leaving work early without permission

and the correct or desired performance. It is not

CHAPTER TWENTY

268

enough just to point out what someone is doing

ring to what they did, not to who they are—an

wrong. You must also specify clearly what behav-

important distinction. People are much more

ior is needed. For example, it is better to tell the

likely to change their performance if they believe

ward secretary on a hospital floor that the physi-

that your critique is not personal.

cians’ orders are not being posted on the patients’

Another important use of data is to confirm

charts within the 10-minute standard, than it is

that what we think is a punishing consequence is,

to tell him that he is wasting time or that he is

in fact, punishing. As noted in Chapter 19, what

inefficient. Pinpointing the performance that

we think is punishing may in fact be reinforcing!

needs to be changed and letting the performer

Suspension may be the equivalent of a free day off

know what you want reduces the emotionality of

for some people, or reprimanding someone pub-

your interactions. The performer is less likely to

licly may make him feel good that he really got

get defensive when he is asked to change a specif-

your goat by making you lose control. Only care-

ic performance than when reprimanded in vague

ful monitoring of data on the performance you

and general terms.

intend to punish or penalize will let you know for

certain whether you are, in fact, using these con-

Point 2: Use Data.

sequences effectively. If the person keeps repeat-

Use data when you correct. Ideally, information

ing the infraction, you are in all likelihood using

of this sort should have been available as feedback

the wrong consequence.

all along; however, this is often not the case. For

example, the ward secretary, mentioned above,

Point 3: Correct Immediately.

should have received regular feedback on his

As discussed in previous chapters, consequences

accountabilities. In the absence of this informa-

are most effective when they are delivered during

tion, the head nurse must accumulate specific

or immediately after the behavior. Just as you

data before correcting him. She must say some-

should try to reinforce immediately, you should

thing specific: “For the last three days you posted

also administer punishing consequences during,

orders on time only 56 percent of the time.”

or immediately after, undesired performance.

The important thing to do in collecting data

In their day-to-day actions, many managers

for correcting is to collect data on the perform-

violate this guideline. When they attempt to cor-

rect someone’s behavior with a delayed conse-

quence, and the performance doesn’t change,

“People are much more likely to change their solution usually is not to make the conse-their performance if they believe that

quence more immediate, but more severe when,

your critique is not personal. ”

in fact, a more immediate consequence would

have stopped the behavior. Too many managers

ance you want as well as for the performance you

fall into the trap of believing that progressive dis-

don’t want. Use data to build a case for improve-

cipline (Chapter 19) is the correct strategy for

ment, not for dismissal. If you use data in this

dealing with unacceptable behavior. Hence they

way, you also achieve the significant advantage of

escalate their punishment with each infraction.

focusing attention and correction on the per-

(From an organizational point of view, escalation

formance, not the person. When your correction

is an appropriate strategy because the purpose of

is specific, individuals realize that you are refer-

the escalating form of discipline is to protect the

THREE WAYS TO DECREASE UNWANTED BEHAVIOR

269

organization. The organization must demonstrate

unwanted performance. When correcting, you

in legal proceedings that their separation proce-

should only state the future punishment contin-

dure is clear, consistent, and provides the person

gencies when you are certain they are appropriate

ample opportunity to correct the problem. Here

for the behavior and when you are sure that you

the focus is on protecting the organization;

won’t be overruled by upper management. A

behavior change, no matter how much desired, is

threat inappropriate for the behavior or unlikely

a secondary issue.) From a behavioral perspective,

to be administered erodes one’s position of

however, reducing the frequency of unacceptable

respect.

behavior is our first concern. In reality, the inter-

Second, correcting in anger may reinforce the

est of the person and the organization are best

very performance you want stopped. Some peo-

served when consistency and correcting is imme-

ple may find it very reinforcing to see you get

diate. When done correctly you reduce the num-

upset. Your emotional display could give them

ber of times you must use the formal, organiza-

clear cues as to how to take control of the situa-

tional system for negative consequences.

tion. Also, when you get angry at people, they

Correcting is most effective when the person is

usually get angry in return. When people are

caught in the act. As was pointed out earlier, when

angry, they are less interested in learning how to

you come across someone doing something

act in the future than they are in responding

wrong, you should correct immediately. Of

effectively to your anger at that moment.

course, this doesn’t happen often, and once people

Obviously no one wins in such a situation. This is

are caught and punished, it will be much harder to

the type of situation that escalates arguments.

catch them again. In contrast, once you catch peo-

Third, your anger may prompt the person

ple doing something right and reinforce that

being corrected to offer excuses or denials. For

behavior, they will try to be caught the next time.

example, suppose you say, “How many times do I

Unfortunately, grievance procedures, company

have to tell you that we don’t have enough engi-

and government regulations, and increasing

neers? When are you personnel people going to

employee litigation all make it difficult to

get busy and get some engineers in here?”

respond immediately to instances of undesired

The response may be, “Don’t you know any-

performance. Still, the longer the delay between

thing about what’s going on in the outside world?

the occurrence and the consequence, the less

There is only one engineer for every five jobs.

effective the correction will be.

And, furthermore, your attitude certainly doesn’t

help our recruiting efforts.”

Point 4: Don’t Correct When Angry.

The calm manager is more likely to say some-

Never attempt to correct while you are angry. It’s

thing like, “What do you think we can do to

better to delay punishment and deliver it calmly

increase the number of engineers available for the

than to deliver it immediately while you are

Kosmas project?”

upset. There are at least three reasons for this.

The personnel director may still respond,

First, when you are angry, you are likely to say

“There are not that many to go around.”

things you don’t mean or can’t follow through. In

But the manager whose judgment is not affected

anger, we tend to use hollow threats, instead of

by anger can make an appropriate response like,

simply stating the real consequences of the

“You’re right, Joanna. But what can we do to at

CHAPTER TWENTY

270

least get our share?”

This could put the problem behavior on an inter-

mittent schedule of reinforcement making it even

Point 5: Be Consistent.

more difficult for you to eliminate it.

When you state the consequences of a particular

behavior, you must be willing to follow through

Point 6: Provide Reinforcement

and deliver those consequences. Inconsistent fol-

for What You DO Want.

low-through will weaken your correcting efforts.

Of all the guidelines for correcting, this is the

To be consistent, you must follow all instances of

most important one. If you only punish what you

the pinpointed behavior with punishment or

don’t want and don’t reinforce what you do want,

penalty and you must do this no matter who the

improvement in performance is unlikely. People

performer might be. This is actually quite diffi-

perform in undesired ways because they are rein-

cult to do. We typically become sensitized to

forced for doing so. If your punishment works

unwanted behaviors in our poorer performers

and they stop the undesired behavior, they will

because we are looking for unwanted behaviors.

behave to obtain reinforcement in other ways.

Many times the behaviors we choose to focus on

Ideally, you should be ready to reinforce only

in poor performers are actually fairly common to

desired behavior. Performance change is quickest

even our best performers. If you punish a low per-

when you reinforce behavior that is incompatible

former for being late to meetings when your best

with the unwanted behavior.

performers are late but escape your attentions,

An incompatible behavior is one that cannot

you will send the message that you are punishing

occur at the same time as the behavior targeted

certain people because of who they are and not

for change. Examine the list in Figure 20.3. You

because of what they do.

can’t be working at your work station and taking

By the same token, if you decide to punish a

breaks at the same time. Therefore, if you

behavior, you must continue to be vigilant and

increase working at the work station, you will

catch every instance. This is often made difficult

automatically reduce excessive breaks. The key,

because of shifting priorities and by the effective-

however, is to identify what you want, even if it is

ness of your procedure. When the behavior

not fully incompatible with the undesired per-

occurs less frequently, and other behaviors

formance. Always be prepared to provide rein-

become more important, your behavior of watch-

forcement for desired performance before you

ing for the problem behavior may extinguish.

punish the unwanted performance.

Figure 20.3 Examples of Incompatible Behaviors

Unwanted Behavior

Desired

That Needs to be Stopped

Incompatible Behaviors

1. Takes too many breaks

1. Working at work station

2. Arrives late too often

2. Arrives on time

3. Works unsafely

3. Works safely

4. Says negative things about changes

4. Makes positive statements about changes

THREE WAYS TO DECREASE UNWANTED BEHAVIOR

271

Point 7: Maintain a Ratio of 4:1.

is a negative consequence placed between two

Correcting is aided by maintaining a high ratio of

positive consequences. As pointed out, this is an

reinforcement to punishment. Make the work

ineffective way to correct performance.

environment reinforcing. Maintain a ratio of at

Sandwiching detracts from the reinforcing value

least 4:1. Reinforce all behaviors that deserve it.

of the positive comments and diminishes the cor-

This practice makes any instance of punishment

rective value of the punishing consequences.

that much more prominent by contrast, since the

Correcting involves the use of positive rein-

environment is predominantly positive.

forcement and punishment, but they are used at

Maintaining a minimum ratio of 4:1 also pre-

separate times on different behaviors. If you pun-

disposes people to accept correction. Knowing

ish an undesirable response on one occasion, you

from experience that the boss has their best inter-

should reinforce the desirable or correct behavior

ests at heart, they view correction as an attempt

on another occasion. You don’t reinforce what

to help them grow, rather than as a put-down.

you want and punish what you don’t want in the

The more reinforcement people receive, the more

same breath. These actions should follow the

secure they become about their abilities. The

behaviors they are intended to affect.

more secure they are about their abilities, the

more open they are to correction. When your

Point 9: Never Correct Publicly.

attempts to punish behavior are effective, you will

If providing positive reinforcement for the desired

seldom need to use it. If a punisher is used too

behavior is the most important guideline in cor-

frequently, it might lose its potency over time.

recting, this one is the second most important.

The only recourse then is to increase the severity

Don’t tell people they are doing wrong in front of

of the punishment, and it’s always best to prevent

other people. Make sure that when you correct

the situation from reaching that point.

someone, other people can’t hear you. Ideally, oth-

ers should not even see the interchange. When

Point 8: Don’t Use the Sandwich Method.

possible, ask the person to join you in a private

The sandwich method, described in Chapter 15,

area where the problem can be discussed.

Copyright Grantland Enterprises; www.grantland.net. Reprinted by permission.

CHAPTER TWENTY

272

Correcting in public embarrasses the person

employees’ behaviors that cause other employees

being corrected. While public embarrassment

to be punished more often in the future?

might seem to be a small punisher, it is not. Few

Aside from the moral issues involved in such a

things at work are more punishing than to be

strategy, the negatives generated by such action

criticized in front of your peers. In fact, more

more than outweigh any benefit derived from it.

often than not, public criticism will set up

revenge as a positive reinforcer. Everybody is

Point 10: Don’t confuse intention with effect.

aware of the wasted and counterproductive time

Keep your focus on what you see and hear. Do

spent by people trying to get even following pub-

not read into peoples’ behavior what they did or

lic punishment. Public punishment creates anoth-

did not intend. In other words, you might not

er equally serious problem. Since everybody fears

have intended to make a subordinate angry by

being humiliated, if a manager humiliates some-

what you said, but the way you said it had that

one, peers will side with the person being pun-

effect. Stay focused on the behavior and its effect

ished, even if they feel that punishment is need-

on you, on others, and on the result. Stay out of

ed. This is often indicated when you hear people

interpretation, such as “You didn’t like being

say things like, “That was no reason for her to do

assigned this project from the beginning and

a thing like that!” or “If he ever does that to me,

that’s why you failed to finish on time” or “You

I’ll quit.”

have a lot of need to control others.” There is no

The feeling that fellow employees are being

need for uninvited and unwise armchair psychol-

punished unjustly or in an unnecessarily cruel

ogy or interpreting beyond the data when dealing

way can lead to grievances and walkouts in union

with employees. Do consider first describing the

environments and to the establishment of unions

impact or effect of the person’s actions on you or

in non-union workplaces. Some managers believe

others when you see something that needs to be

that an advantage of public punishment is that it

improved, and of course, describe the impact of

sets an example for others. Delivering punitive

patterns of behavior you like. This can help peo-

consequences publicly could have much more

ple understand how their patterns of behavior are

complex effects on your relationship with

being received and interpreted by others.

employees, however. Niehoff, Paul, and Bunch

For example, you might tell an employee the

(1998), demonstrated that observing the public

following:

punishment of fellow workers can cause the

When you continue to interrupt as often

observer to view the manager as harsh or unfair,

as you do in meetings and without asking

especially if the worker being punished has a

permission or considering what is being said,

strong work or service record (also see Trevino,

it can be interpreted as rude and indifferent

1992). Additionally, the use of punishers and

to the worth of what others are saying. I

penalties in public can increase internal competi-

counted your interruptions for the last three

tion by inadvertently reinforcing unwanted

meetings, and you interrupted an average of

behavior in employees. Schnake and Dumler

six times during our one-hour meeting.

(1989) showed that public punishment of

Speaking only when others are finished as

employees actually served as a reinforcer for some

well as commenting occasionally on what is

employees who were just bystanders! Can you

said by others are behaviors I want you to

work on. Those behaviors will also improve

imagine the detrimental effects of reinforcing

what people say about your intentions. At

THREE WAYS TO DECREASE UNWANTED BEHAVIOR

273

Figure 20.4 Guidelines for Correcting

Guidelines For Correcting

1. Pinpoint the behavior being corrected.

2. Use data to build a case for improvement, not for dismissal; focus correction on behavior, not the performer; confirm that the consequence is a punisher.

3. Provide reinforcement for the desired behavior.

4. Correct immediately, when possible.

5. Correct only when not angry.

6. Be consistent.

7. Maintain a ratio of 4:1.

8. Limit comments only to the behaviors to be changed. (Don’t use the sandwich method.) 9. Correct in private.

10. Focus on the behavior and its impact, not the performer’s intent.

our next meeting, I want you to wait to

native behavior (DRA). While not as dramatic

speak until others are finished, with the final

sounding as extinction it is far more effective and

goal being no interruptions. I also want you

works much more quickly. Basically the proce-

to make one positive comment about another

dure works like this: First, you must do at least an

person’s remarks during the meeting. I know

informal functional analysis to determine the

that over time those things will have a posi-

reinforcer for the problem behavior.

tive benefit in how people feel about whether

“Complaining about colleagues” is probably

you are rude and whether you value what

they have to say. It will make your valid,

maintained by attention from the supervisor, so

constructive comments easier to listen to and

let’s make this assumption and demonstrate the

thus of more value to all of us.

procedure. Rather than wait for the complainer

to sound off, approach him and prompt some

See Figure 20.4 for a summary of guidelines

appropriate behavior, “Cal, I’ve really been

for correcting.

impressed with how quickly you learned how to

operate our new computer-controlled, vertical

III. Differential Reinforcement of

lathe. How did you do that?” Cal, nods in recog-

Alternative Behaviors

nition and says something such as, “Ah man, it

Differential reinforcement of alternative behaviors

was nuthin; I just had to put my mind to it.” The

(DRA) involves positively reinforcing a behavior

manager nods and smiles, “Would you be willing

that is a desirable alternative to the behavior tar-

to show a new guy we have coming on tomorrow

geted for reduction and withholding reinforce-

how to do this?” “Sure,” says Cal, “As long as he’s

ment for the problem behavior.

not a slacker . . .” The manager quickly turns his

head and briskly walks away (using a little touch

Effects of DRA for Problem Behavior

of extinction for complaining). Over the next

A vastly underutilized method for reducing prob-

several days the manager has additional interac-

lem behavior is differential reinforcement of alter-

CHAPTER TWENTY

274

tions with Cal reinforcing some different aspect

and be able to quickly detect any form of

of his work each time and ignoring anything that

the inappropriate behavior.

looks like a complaint, objection, grumble or

4. It is essential that no errors (accidentally

moan. The manager feels like he is spending

reinforcing complaining) occur.

much less time “managing” Cal now than in the

old days when he had to listen to complaining

One major advantage of DRA is that once the

and then try to counsel Cal into a better appreci-

appropriate behavior is occurring steadily, it is

ation of his colleagues. There are several positive

possible to thin out the schedule of reinforce-

effects of DRA as opposed to extinction for deal-

ment just like we do for productivity.

ing with problem behavior.

Nuisance behaviors and negative verbal and

social behavior are particularly appropriate targets

1. It works quickly—the problem behavior

for DRA. Nuisance behaviors are usually those

might disappear in a matter of days.

that prevent other people from performing opti-

2. It produces some generalization to other

mally or that irritate others such as idle chitchat

behaviors—attitude improves.

in their work area, criticizing co-workers, cri-

3. There are no emotional side effects, no

tiquing ideas during brainstorming sessions, and

aggression, no bursts, no resurgence.

other undesired verbal behavior.

There are some special requirements for DRA

Typical verbal behaviors for which DRA is

to work however:

appropriate are excessive jokes and wisecracks,

excessive arguing, complaining and excuse-mak-

1. The behavior change agent has to be proac-

ing, and excessive defensiveness. Everyone argues

tive in approaching the person.

and complains occasionally or gets defensive;

2. The agent has to have a good idea of the

therefore, none of the verbal behaviors listed

reinforcer for the undesirable behavior and

above are problems in and of themselves. The

be willing and able to deliver it on a regular

problems are determined by when or how often

basis in the beginning of the change process.

these things occur. In some situations, arguing is

3. The agent has to be very discriminating in

inappropriate; and although practically every-

selecting appropriate behaviors to reinforce

body likes a joke, you can tell too many jokes or

tell jokes that are in bad taste.

Differential reinforcement of alternative

Figure 20.5 Guidelines For Differential

Reinforcement of Alternative

behavior is the method of choice for reducing

Behaviors (DRA)

troublesome behaviors. Figure 20.5 will help you

make a decision about which method to use.

1. Before DRA begins, explain to the indi-

vidual why you need him to stop the

Discipline and

behavior.

Performance Management

Because of the emphasis on positive reinforce-

2. Reinforce alternative behavior frequently.

ment, some managers think that if you use this

3. Ignore problem behavior 100 percent of

approach effectively, you should be successful

the time.

with everyone. While this is an idealistic point of

view, it is not very realistic. We can think of at

THREE WAYS TO DECREASE UNWANTED BEHAVIOR

275

least two occasions where termination is the best

definition of policy is important and not at all

solution to performance problems. The first is

impossible to do fairly if you use good pinpoint-

when people engage in behaviors that are unethi-

ing and if you think about what is critical to your

cal or illegal. These are pretty straightforward cir-

needs for teamwork, cooperation, and positive

cumstances and most people would agree that fir-

support of fellow employees, including support of

ing should occur. There are other behaviors that

management.

while not as clear-cut should, in our opinion, still

result in termination. Two such behaviors are

Progressive Discipline and

lying and cheating. While some instances of these

Performance Management

behaviors do not seem serious enough to warrant

Progressive discipline is a process to correct per-

termination, they are very difficult to correct. For

formance. Popular several years ago, it is still used

example, if you catch someone in a lie, how will

in many organizations. However, progressive dis-

you react to the next thing he says to you? Is he

cipline is problematic from a number of perspec-

lying now or telling the truth? You are in a diffi-

tives. The process involves a series of steps of dis-

cult situation because if he is telling the truth,

cipline with each one being more severe than the

you need to reinforce; if he is lying, you should

first. It begins with a warning and proceeds to a

punish. How will you know? This situation

point where the person is given a day off to con-

makes applying the proper consequence very dif-

sider his future with the organization. This is the

ficult. It is much better to terminate the person

last step before termination. While there is a lot

and help him/her begin in a new situation where

of anecdotal information about its success, we are

he/she may get off to a better start.

unaware of any study that has demonstrated sci-

Another situation where termination is best

entifically that it is effective.

for the performer and the organization is when it

Certainly from everything that you have stud-

is unlikely that the person will get enough rein-

ied in this book, there are obvious problems with

forcement in the present situation to be effective.

this method. First, if a person progresses through

This could have to do with initial selection and

the steps of the process, it is clear that the process

the match of baseline skills needed with the time

is not punishing and certainly from the organiza-

and effort required to develop those skills.

tion’s point of view, the process is not working.

Sometimes people are simply mismatched against

Second, this approach takes months to resolve

core job requirements. Or, if a negative situation

behavioral issues. Is it fair to the person or the

has deteriorated to the point where everyone is

company to allow a problem to drag on for such a

fed up with the person’s behavior, the best thing

long time? Third, some employees will play the

you can do for the person is to help her get other

system like a symphony. They know precisely

employment where the probability of reinforce-

what they have to do to get an extra day off with

ment is greater. In almost all such cases, it is bet-

pay! They also know how long they must behave

ter to terminate the person even when the person

correctly in order to start over. While young or

has critical skills, experience, and knowledge and

naïve managers may think that employees would

will be hard to replace. Be sure to include in your

really not do such a thing, we know of numerous

employment policies the requirement that peo-

occasions when it happened. While progressive

ple’s interpersonal skills do matter and are cause

discipline may produce dramatic change in the

for job action if they are unable to get along. This

occasional employee, our opinion is that it is both

CHAPTER TWENTY

276

risky, inefficient, and not fair to the employee

designed to bring out in others as you begin to

since the undesirable behavior will continue for

deal with unwanted behavior. In such cases, the

some time and is getting reinforced. A final point

causes often are not simply the problem of the

about this process is that most of these programs

performer. Use such unwanted behavior to diag-

do not include reinforcement for improvement,

nose and systematically improve the ways you

other than getting to keep your job which is nega-

select, train, retain, and promote. Finally, examine

tive reinforcement. If you use the methods

how quickly you deal with the first consistent

described in this chapter, you will seldom have to

signs of unwanted behavior patterns before they

take such drastic steps as those involved in pro-

grow out of control.

gressive discipline.

Finally, in all these scenarios, the basic assump-

Summary

tion is that the behavior that occurs is the behav-

In business settings, one occasionally has to deal

ior that is reinforced. Always look carefully at

with unwanted behaviors such as unsafe practices,

what you, your organization’s management expec-

inappropriate social behaviors or more serious

tations about performance, and what the systems,

issues. Three methods are used under these cir-

processes, and structures of the workplace are

cumstances. The first, extinction, is employed

Novel Use of Negative Reinforcement

We often use antecedents for which there are no certain consequences, either by failure to communicate these consequences, or failing to actual y fol ow through on the consequence once it has been stated. Take the example of a Southwestern manufacturing plant which had serious problems with absenteeism. Company policy stated that excessive absenteeism would result in review, and if it continued, termination. These were the consequences stated in the policy manual. The catch—the plant was new, which meant training people and keeping them there once they were trained was critical to getting production rol ing as fast as possible. Employee turnover had to be kept to a minimum. As a result, management was wil ing to compromise within reason on absenteeism to avoid turnover. However, once production was up, the absenteeism rate remained so high it was a problem. One manager took hold of the situation with an employee who frequently enjoyed his new bachelor status and missed a lot of work due to late nights. The manager sat down with the employee and plotted his termination date! By using the standards set by the policy manual, the manager figured that if the employee’s absenteeism continued at the present rate he would be fired for excessive absenteeism (on the date printed on the graph for the performer to see). Weekly the employee sat down with his manager to see how the date was changed by his attendance during the past week. Increased attendance moved the date further out in the future and poorer attendance moved the date closer to the present. By actual y seeing the date he would be let go, the employee had a clearer picture of the consequence. His attendance improved immediately. Negative reinforcement increased his attendance. It should be noted that the manager also used smal tangibles such as coffee and doughnuts to reinforce good attendance and often made positive comments on the employee’s improved attendance.

—James Daniels

THREE WAYS TO DECREASE UNWANTED BEHAVIOR

277

when the behavior is not dangerous and involves

contingent on the behavior, plus providing a rein-

withholding reinforcement from the behavior so

forcer for an appropriate behavior. The third

that it extinguishes. This only works if the behav-

method is similar, and is known as DRA (differ-

ior change agent either is the reinforcer, such as a

ential reinforcement of appropriate behavior).

manager or supervisor, or can control the rein-

This is appropriate when a very rapid reduction is

forcer. If the reinforcer for the unwanted behavior

desired for a behavior that is not dangerous. In

is not under control of the manager or supervisor,

DRA, a reinforcer is applied to a replacement or

they may have to resort to correction. This

appropriate behavior while the unwanted behav-

involves making some aversive stimulus contin-

ior is put on extinction. The latter two methods

gent on the unwanted behavior or applying a

are the most practical in business situations.

penalty (removing some desirable reinforcer)

IMPLEMENTING PM

ON A LARGE SCALE

281

21

Planning Reinforcement

A consistent finding in over 40 years of help-

achievement. Variations in themes that have

ing supervisors and managers implement the

been used are broader than you can ever

technology described in this book is that if posi-

imagine. In our advanced seminars, students

tive reinforcement is not planned, little contin-

develop a theme around learning the objec-

gent reinforcement occurs, results are not maxi-

tives for the class. In over 400 classes, we’ve

mized and, in some cases, little improvement is

only seen a theme repeated twice. Although

achieved.

a supervisor or manager can create a theme,

The basic steps involved in planning for con-

it is recommended that the employees select

tingent reinforcement are as follows:

it, as their participation provides added

1. Pinpoint results and the behaviors that pro-

sources of reinforcement.

duce them.

Themes can capitalize on seasonal activi-

ties, holidays, local sports, current events, or

2. Set sub-goals for results.

hobbies. Tennessee Eastman had a Gravy

3. Develop a theme for the improvement.

Day, meaning that was the day when

4. Plan a variety of reinforcers for the behav-

employees surpassed annual production

iors.

goals. In other words, they were “in the

5. Plan celebrations for achievement of sub-

gravy.” Daily graphs showed projections as

goals and the final goal or accomplishment.

to when Gravy Day would occur given cur-

6. Develop a reinforcement system.

rent production rates. When Gravy Day

occurred, the company executives, includ-

Steps 1 and 2, pinpointing and setting sub-

ing the president, served breakfast to all

goals, have been adequately explained in previous

employees.

chapters. Steps 3 through 6 will be explained

A 3M engineer declared war on a

below.

machine that the staff could not get to pro-

duce quality parts consistently. He posted a

3. Develop a theme. Themes are an easy way

formal declaration of war on the machine,

to generate enthusiasm and excitement

along with a daily casualty report that was

about the goals you have set. Themes allow

actually a count of broken or rejected prod-

peers, managers, and visitors to get involved

uct. People came from all over the plant to

in the reinforcement activity. A theme is a

see how the war was going. A defective

way to help people visualize success using

product that could be re-worked went into

common experiences associated with

CHAPTER TWENTY ONE

282

the wounded in action category, and a defect

tangible reinforcers. Get other people in the

that had to be scrapped went into the fatali-

act. Enlist peers, customers, suppliers, and

ty category.

upper managers from time to time to deliv-

One company located near a NASCAR

er reinforcers. The impact of tangible rein-

raceway, sponsored a NASCAR team and

forcers is not determined by their economic

designed a racetrack theme, complete with

value. When you vary them, you do not

racetrack-related tangible reinforcers and

have to increase the economic value of a

rewards. A Kodak finance group put a

tangible to make it more reinforcing than

tombstone on the wall for each procedure

the last one. Keep in mind that variable

they could bury while moving to a new

ratio reinforcement is often associated with

accounting system.

excitement and enthusiasm. Therefore, try

A good source for such ideas is Bob

to catch ’em doing good when they least

Nelson’s book, 1001 Ways to Reward

expect it. Don’t plan for all celebrations to

Employees. Whatever theme you choose, the

take place at the end of the week or month.

purpose is to interject some fun into the

effort to achieve a significant organizational

5. Plan celebrations for sub-goals as well as

accomplishment. Understand that at first, it

the final goal. Everybody thinks of cele-

may appear silly to some employees, but

brating a final accomplishment; however,

once the theme is adopted, it allows all par-

you should also think about celebrating

ticipants a shorthand way of talking about

sub-goals along the way. A celebration does

progress, with measures that are creative

not need to be a formal affair, but you do

and that invite people to participate. To

need to establish a time when the group

some extent, your ability as a manager to

can get together and relive their accom-

have fun with the theme is also important.

plishments. Make sure that you plan for it!

To get engineers to help each other solve

If that sentence seems mild, the concern we

problems across section lines, an IT depart-

have for planning is not. Consider even the

ment created a Dead Monkey Jar in which a

smaller, planned celebrations as important

plastic monkey was placed in the jar when-

events, even if the event is simple. A group

ever an engineer helped a peer “get a mon-

can celebrate milestone accomplishments

key off his back.” The level of monkeys in

while sharing a cup of coffee and reviewing

the jar was a rough measure of teamwork in

all the things people have done to improve

the organization. While we are sure that it

results to that point. A celebration can be

seemed silly to some casual observers, the

part of a regular meeting. Just make sure

managers took it seriously, had a great deal

that you give these meetings a priority in

of fun, and achieved dramatic results on

your schedule. The focus in those sessions

product quality and schedule improve-

is on progress toward goals and on the

ments. Themes have symbolic and real value

actions taken to date, not on the lack of

that unifies teams and enables any group to

progress or bumps along the way. It is a

visualize their progress toward a goal.

time to recognize the good progress the

team has made and how individuals are

4. Plan a variety of reinforcers for the behav-

contributing.

iors you want to increase. Vary social and

Reaching a final or major goal signals the

PLANNING REINFORCEMENT

283

time for a special celebration. Some

system ensures the effective delivery of rein-

memento of the accomplishment is usually

forcement to all employees and does not

very reinforcing. That could be something

rely solely on the manager to deliver rein-

for the desk, for the wall, or coffee mugs,

forcers.

and T-shirts. The items, however, should

You may recognize themes as a reinforce-

not be the focus of the event. The memento

ment system. To maximize performance,

should be presented last. The focus of the

reinforcement must be frequent and contin-

meeting should be answering the question,

gent on desired performance. Left to their

“How did you do that?” As a manager,

own devices, even the best-intentioned

supervisor, or leader, you have two roles in

managers will only reinforce when they

such an event. One is to encourage people

remember to do so and have the time to do

to share their contributions and involve-

it. This generally means that reinforcement

ment in the effort as well as that of others

from the manager is at a minimum. A rein-

who were instrumental in achieving the

forcement system prompts the manager to

results. Your recognition and support for

reinforce and also introduces reinforcers

the effort, for the accomplishments along

that the manager does not have to deliver

the way, as a part of this meeting, is critical.

personally.

Your appreciation for the persistence and

A reinforcement system may simply be a

commitment of the team and its varied

graph with a goal and several sub-goals on

members is key to establishing your real

it with specified reinforcers for goal attain-

understanding of what it takes to reach par-

ment. It may be as complicated as a point

ticular goals. Be aware that you are one of

system where several behaviors and results

many there to recognize, praise, and cele-

are tracked by computer. The points may be

brate. You can encourage the team to share

redeemed for tangible reinforcers, such as

the details of their efforts by the positive

merchandise chosen from a catalog.

questions that you ask, your attentive listen-

A reinforcement system can be team-

ing, and your relevant comments concern-

driven. The members need to know the

ing their achievements. Remember that

behaviors the team must perform to accom-

your primary role is to facilitate the re-liv-

plish their task or goal. They also need to

ing of the accomplishment by the employ-

know the role of feedback and reinforce-

ees involved. You should talk little and lis-

ment so they know how to properly rein-

ten a lot. That kind of focus on the behav-

force each other’s efforts in accomplishing

iors of the team members from the manager

their task or goal.

or leader is very reinforcing in itself. This is

Unfortunately, most teams are trained

team building at its finest.

only in antecedent activities, primarily pin-

pointing, and have little understanding of

6. Develop a reinforcement system. For long-

the need for, or the effect of, systematic

term success you need to develop a way of

feedback and reinforcement. The most

continuing reinforcement at frequencies

effective reinforcement system is one in

that are adequate to sustain and improve

which every person in the organization par-

performance and for behaviors that you do

ticipates in the reinforcement of every other

not directly see every day. A reinforcement

person.

CHAPTER TWENTY ONE

284

The function of a reinforcement system

loosely contingent on performance.

is to increase the amount of reinforcement

Compensation systems, profit sharing,

within the entire work group. Every organi-

suggestion systems, performance-appraisal

zation has systems already in place that are

systems, quality-improvement programs, and

supposed to serve that purpose. But, as you

employee involvement all rely on future

know by now, practically all of them are

rather than immediate consequences. The

based on results and many of them are only

reinforcement in most compensation plans is

How Did You do That?

Transforming a Gripe Session into a Celebration

I once visited Arkansas Eastman as they were conducting a plant-wide celebration they cal ed 25 X 25.

They had produced a new product for a new customer and delivered 25 tons by the 25th of April. It was a significant accomplishment as they had to build the processing capability, develop the large-scale procedures, and train the operators within a four-month time frame. Everyone in the facility was involved.

The unit I observed celebrating was the maintenance organization. When the supervisor and I entered the large room where everyone was gathered, it was evident at first glance that the mood of the group was the opposite of a celebration. The punch and cake were in the center of the room, but everyone was ignoring the refreshments. In fact, from the looks and comments, you would have thought you were attending a re-zoning commission meeting where someone was trying to build a prisoner halfway house in the middle of a suburban housing development!

Quickly sizing up the situation, the supervisor got a flip chart and cal ed everyone to gather around. He began by briefly stating why they were there and then asked each person to tel him something they had done, individual y or as a group, that had helped the company be successful. The first person to speak, bel igerently accused management of taking their work and giving it to non-union contractors, to which there was a loud round of agreement. The supervisor then simply repeated his request, “What have we done that you are proud of?” Again there was a complaint about how the company had run roughshod over the maintenance group.

Again the supervisor repeated his request but, this time, he gave an example. He stated that, “Roy, for example, came in an hour early every morning to start the engines on the concrete trucks so that the contractors could start pouring as soon as they arrived.” As he did so he wrote Roy’s name and his contribution on the flip chart. When he asked for another example, he received more complaining. He simply repeated his request and gave another example, recording it as wel . Then he asked one person directly, “Jack, what are you proud of?” Jack, put on the spot, reluctantly commented on one of his contributions to the company, and the supervisor added it to the list. This continued until people began to volunteer observations and comments on each other’s work. The flip chart sheets were taped to the wal s and quickly fil ed an entire wal of the room.

During this exchange the mood in the room made a 180-degree shift. People became talkative, excited, and enthusiastic about what they had contributed to the plant’s accomplishment. By the time the celebration came to an end, they were getting so much reinforcement that they were reluctant to leave. The rest of the day, as we talked to people on the job, they continued to talk about each other’s contributions and the pride they felt in their plant’s success.

—James Daniels

PLANNING REINFORCEMENT

285

not clearly tied to performance. Surprisingly,

plants. When people compete for reinforcement,

the typical profit-sharing plan is rarely

teamwork is minimal and cooperation is superfi-

directly contingent on the performance of

cial. Behavioral research indicates that cooperative

most who participate in it. The attempt to

strategies within organizations increase effective-

reinforce behaviors in the typical appraisal

ness and efficiency in reaching goals. See Allison,

system can best be summarized by the saying

et. al. (1992), Johnson, et. al. (1981) and Schmitt,

“Too little, too late!” Suggestion systems are

D. (1987). Contrary to popular assumptions

probably the most contingent of all the

about the benefits of competition, competition

above. However, with an average participa-

within a team, group, or company does not bring

tion rate in the United States of only 8 per-

together the energy of the workforce to jump hur-

cent, it is clear that they provide little rein-

dles fast and effectively. Competition, even the

forcement for the majority of performers.

mild sort that pits one work team against another,

The most important consideration in

minimizes the sharing of ideas, sharing of lessons

designing a reinforcement system is to make

learned from mistakes, and coming up with cre-

sure that one person’s reinforcement does

ative solutions. Schmitt (1987), in reviewing stud-

not limit another’s. If one person’s success

ies on cooperation and competition states the fol-

reduces the likelihood that someone else

lowing:

will succeed, the plan will not maximize

performance. To the contrary, the system

In particular, cooperation has been found

to produce performance of superior quality

should be designed so that one person’s suc-

or quantity across a range of tasks, with

cess increases the likelihood that others will

competition producing superior performance

also be successful.

only where responses can be made independ-

ently by each person and little or no collabo-

Internal vs. External Competition

ration is required (p.221).

Competition may be counterproductive within

an organization, but it drives the capitalist sys-

It’s sometimes difficult for managers to realize

tem. Competition on the open market is healthy

that they encourage intra-organizational competi-

for companies, their customers, and the economy.

tion, because the policies or procedures were not

In fact, an organization’s success depends on its

intended to be competitive. Ranking individuals

ability to provide a better product or service at a

and groups by performance data may serve a use-

better cost than its competitor. This type of com-

ful purpose for a manager when making decisions

petition can direct all the employees within a

about personnel moves or job assignments, but

company toward a common goal, and therefore is

when these rankings are displayed publicly, they

a productive use of competition.

typically produce unhealthy competition

However, competition within a company is,

between individuals or groups.

under most circumstances, destructive. In an envi-

Any time the performance of one group is held

ronment where there is a limited amount of rein-

up in meetings, or posted or graphed publicly by

forcement to divide among performers, it is amaz-

management as being the best, problems occur.

ing what people will do to get that reinforcement.

This is because reinforcement from management

Many will lie, cheat, or steal to win or avoid losing

is very powerful. Social reinforcement from man-

a competition between shifts, departments, or

agement is often associated with significant rein-

CHAPTER TWENTY ONE

286

forcers such as money, promotions, good job

you are not the best performer, but when you are

assignments, perks, and status. In many organiza-

not even in the top ten, it can be very discourag-

tions the only way one gets this kind of reinforce-

ing. Increasing the number of winners only

ment is to beat out their fellow employees.

increases the probability that the program will be

Unfortunately, such things as withholding infor-

punishing to many more people.

mation, not cooperating and backstabbing can

Most people will say that they will never win

sometimes accomplish beating out your peers.

or have never won awards and ask, “What differ-

Words like first, best, highest, top, or most

ence will this effort make?” It can make a differ-

improved should be avoided when reinforcing,

ence, however slight, in the perception that their

unless you are comparing the person or group to

good individual efforts, though not the best, are

its own previous performance. Tracking best ever

always seen as less important than someone else’s.

performance for individuals and groups is a better

Often what those unrecognized employees do to

practice and usually produces enthusiasm and

help the person who wins is invisible. The persist-

pride in the accomplishments.1

ent failure to be recognized will, over time, more

often than not produce extinction of the discre-

Employee of the Month

tionary effort™. We can say, with certainty, that the Employee-of-the-Month (E.O.M.) programs are

failure to recognize what an individual does to

an especially popular form of employee competi-

make a difference will reduce the full force of a

tion. Variations on this theme include

person’s discretionary behavior. When that hap-

Salesperson of the Year, Team of the Month,

pens, much is lost in terms of solid financial gain

Plant of the Month, and so on. Management usu-

for the company as well as the cost of lost good-

ally considers them motivational and rarely con-

will from customers, suppliers, and others with

siders their competitive downside.

whom these unrecognized employees interact.

These programs usually provide social and tan-

These individuals often will say, when asked

gible reinforcers to the best performer in the

about their company, “Well, it’s a job,” or some-

work unit, which may be a person, shift, depart-

thing similar.

ment, office, or plant. These programs reinforce

only the performance of one person or group

while punishing the performance of many others,

Use the QR CODE reader on your smart-

phone to learn more about:

despite small differences in performance.

Article: “Employee of the Month Sad

Another problem with Employee-of-the-

it’s Already the 19th” The Onion

Month programs is that if they are based purely

on performance, the same person may win month

after month. When that happens, management

In their usual form, these E.O.M. programs

often makes the mistake of doing the same thing

guarantee that many adequate or even very good

harder by increasing the number of winners to

performances will not be reinforced. After the

five or ten. This doesn’t make the program better;

novelty wears off, many of those who are not

it makes it worse. It may be easy to accept that

winning become apathetic or even hostile. These

1 See also, “Wooga, A Case Study in No-Cash Bonus Culture” QR code Chapter 15

PLANNING REINFORCEMENT

287

are hardly the feelings that generate teamwork

and cooperation.

For evidence that these programs do not work,

just look in any restaurant or hotel for the

Employee-of-the-Month plaque. Such plaques are

often months, or even a year or more, out of date.

The other evidence that these programs are bogus

is that nobody wins more than once. This tells

you that the contest is a pass-around. Each

month a different employee is selected to make

sure that everyone gets a turn. Managers rational-

ize this as a means of ensuring fairness by recog-

nizing everyone. If so, there is no contingency

between performance and the award.

In an informal survey we conducted of over 70

employees in various businesses across the United

States, not one employee could state any perform-

ance contingency for earning the award. No won-

der these programs produce little performance

change, but a lot of discontent.

Individuals can be and should be celebrated by

their colleagues on occasion. It is important to

determine the kinds of contribution worthy of

Close to Home © 1995 John McPherson. Reprinted with permission public recognition. Employees can tell you what

of UNIVERSAL PRESS SYNDICATE. All rights reserved.

those contributions are and who made them.

Reprinted by permission.

Employees know who has done the most for the

team and the most for the spirit of the organiza-

moment, spontaneous, unexpected. Make these

tion. Employees know who provides generous

gatherings fun and tell stories so that the effort

discretionary effort™ and who works well with co-

that is recognized is understood in terms of its

workers without taking credit for the efforts of

help across the team, the group, and the company.

others.

When you celebrate, make it clear that without

Sometimes there is a keen desire to celebrate

the whole, the individual could not be receiving

the unselfish contributor, the mentor, and the per-

such recognition. It must be pointed out that

son of keen integrity. All employees, including

when an individual is celebrated for some accom-

leaders and managers, enjoy celebrating the

plishment, general comments about how they

accomplishments of the worthy performer, partic-

could not have done it without the team are

ularly the special efforts of those individuals who

expected and therefore rarely reinforcing to the

make others successful or promote the values of

rest of the group. Hence, when celebrating indi-

the company. Again, set those celebrations to

vidual success publically, management should help

allow descriptions of the behaviors that generated

the recipient be specific about what others did to

the affection. Make them celebrations of the

help.

CHAPTER TWENTY ONE

288

The Forced Distribution

Figure 21.1 Typical Performance Appraisal

Distribution

Another form of competition that is almost uni-

(Five-Point Scale)

versally disliked is the typical performance

appraisal system. Under this system, rankings are

50

given according to some forced distribution.

40

Figure 21.1 illustrates a typical distribution.

If a manager has 10 people on the staff, and

30

the manager must rate each person on a scale of 1

ated

to 5, under a forced distribution it is possible that

R

20

%

no one would get a score of 5. In no case would

more than one person receive a score of 5. Two or

10

three people would receive a 4 rating; four would

get a 3; two or three would get a 2; and, one per-

0

1

2

3

4

5

son might get a 1.

Performance Rating

This system limits performance in at least two

ways. First, it limits the number of outstanding

performers. To decrease internal competition, you

should ensure that there are plenty of reinforcers

the lower-rated performers reduce their perform-

to accommodate performance generated by all

ance, the top performer does not need to work as

excellent performers. Otherwise, you are creating

hard to maintain the top spot. The top performer

less than optimal performers. Second, the differ-

only has to stay above the person closest to him.

ence between the performer who just got into the

The competition that the system generates is

5 Category and the one who just missed it may be

practically always unhealthy because at every point

very small. However, the difference in conse-

on the curve, one person’s success predicts another

quences both socially and tangibly is often quite

person’s failure. The only way one can move from

large.

one rating to another is to knock someone out of

Just as in the Employee-of-the-Month pro-

the higher group. Increasing numbers of employ-

gram discussed previously, the same people tend

ees find this kind of environment very unpleasant.

to get the 5 rating every time. The people getting

Many say, “I refuse to play politics.”

the 4s are punished (undergo extinction) from

While it is true that every group has a distribu-

trying to top their peers and eventually reduce

tion and that performers can be ranked, the ques-

their effort. In the beginning there is a lot of

tion that needs to be answered is, “Why would

competition between the performers, but in the

we want to rank people?” Supporters of this

end either resignation or resentment sets in.

approach have several rationalizations.

These feelings and reactions are often hard for

1. We must have some way to administer pay

senior management to empathize with because

increases and promotions. Promotions do

they have most often been on the winning side of

not pose the problem that pay does because

the competition.

the average person receives very few promo-

Another negative side effect of this system is

tions, if any, in a career. Therefore, ranking

that it does not reinforce best effort, only effort

for this purpose is more accepted. These

that is better than that of your closest rival. As

rankings generally affect status and finances

PLANNING REINFORCEMENT

289

only after the promotion—an infrequent

2. A second excuse for appraising with a

event. Appraisals, on the other hand, occur

ranking method is that most upper man-

at least once a year and affect everyone

agers have little confidence in middle

either positively or negatively. By the way

managers’ and supervisors’ ability to

the system is designed, most people are

appraise accurately. That is, upper man-

affected negatively, even though that is not

agers believe that middle managers and

the intent of the system.

supervisors tend to rate people higher than

The Top 10 Reasons Why Traditional Performance Appraisals

Produce Little Value To Organizations

1. Traditional appraisals are usual y scored on some kind of curve. In other words, the scoring system—

not the performance of the employees—determines the evaluation.

2. No one likes performance appraisals. Managers who give appraisals are forced to make decisions about scoring that don’t necessarily match the performance. The only happy performers are those who receive the top score. Most of the employees are unhappy.

3. They create mediocrity. When people learn that most people can’t get the top score, they adjust their output accordingly.

4. They undermine employee confidence. Why on earth would we have a system that potential y punishes more people than it satisfies? In such a system, more than half the population is scored average or below. What organization can succeed with more than half of its employees performing at such low levels? A survey of engineering employees of large corporations showed that 85 percent considered themselves to be above average. The system should help them perform up to their expectations and beyond, not convince them that they are not as good as they think.

5. They encourage enmity between employees. The process is usual y a zero-sum game. In other words, when someone gets a top score, someone else is going to get a lower score. This works against cooperation and teamwork.

6. They often alienate everyone. The difference in the salary increases produced by the different scores is so smal that in many cases even the top performers are unhappy. We have heard many top performers say that they refuse to bust their chops for a measly one percent differential.

7. Some companies say that there is no relation between the appraisal and money. If there is no economic tie between appraisal and money, the appraisal is even less effective.

8. Performance appraisal systems don’t work. Study after study shows no real effect on performance.

The same items for improvement show up year after year.

9. The primary use of appraisal systems in many organizations is to document poor performance, but the systems are ineffective and inefficient for that purpose also. Such systems only give you one to two times a year to deal with poor performance.

10. They don’t provide consistent performance feedback. Some organizations seem to think the problem is that performance appraisals are done only once a year so they go to quarterly appraisals. The authors’

take on that is that doing a bad thing more often doesn’t make it better. The best performance evaluation is one that is done every day. The best job anyone can have is to know at the end of every work day how wel they are doing. With the exception of sports, few people have such a job.

See also Oops: 13 Management Practices that Waste Time and Money and What to do Instead (Daniels 2009).

CHAPTER TWENTY ONE

290

they actually perform. The forced distribu-

not doing as well as possible.

tion provides a way of making them do it

Mary Kay Cosmetics has a criterion system

right. The alternative, of course, is to train

and almost everyone knows the prize—a pink

them to do it right. Then, develop an

Cadillac. Mary Kay’s success is measured in terms

accountability system that 1) provides posi-

of how many Cadillacs the company awards each

tive reinforcement for managers and super-

year—not how few. This has worked so well for

visors who do it right; and, 2) provides cor-

the company that it has expanded the awards to a

rective feedback and additional training for

wide range of items. Every time an employee

those who don’t.

earns some tangible reinforcer, the company is

delighted, because that reinforcer is an indication

3. Probably the most compelling reason for

of the company’s success, as well as the individ-

many managers is that the ranking

ual’s success. Mary Kay wants to put all its sales

method is easy to administer. It enables

reps into pink Cadillacs. Mary Kay awards thou-

them to determine costs and to budget sim-

sands of General Motors automobiles to sales

ply and efficiently. In addition, the distribu-

reps each year and is reputed to be the largest

tion of ratings tells management at a glance

Cadillac distributor in the world!

if the system is in control.

This method can also be used to enhance

teamwork and cooperation. If we add a bonus

An Alternative to Forced Distributions

based on the percentage of performers who

The alternative to the negative aspects of forced

achieve above 110 percent, then it is in everyone’s

distributions is not, contrary to practice in some

interest to help others get above that criterion

companies, to do more frequent appraisals. If the

level. This description of compensation, of

system is faulty, then doing it more often is

course, is overly simplistic and is not meant to be

worse, not better. An alternative consistent with

a model for a compensation system. For the

the principles discussed is to evaluate against a

details of implementing a contingent compensa-

standard of performance or some criterion. When

tion plan based on these ideas, see Morse (1988).

we spell out a performance level above which

every performer gets reinforced, competition is

Performance Appraisal

minimized, if not eliminated.

That Reduces Competition

Suppose we have a situation in which any per-

The mechanics of a performance appraisal system

former whose efficiency is above 110 percent

that reduces competition are quite straightfor-

adds a value to the organization of, say, $1,000.

ward. All that is required is to meet with each per-

Suppose, also, that $100 would be reinforcing to

former at the beginning of the appraisal period

the performer. If we set a contingency under

and specify the rating or dollars the performer will

which every performer whose efficiency is above

get when specified tasks are completed or when

110 percent gets a $100 bonus for the month and

performance levels are met or exceeded. The

if you are the owner, how many people would you

problem with such an approach is that the per-

want to get the bonus? Of course, you would

formance levels or tasks are not easy to specify in

want 100 percent of the employees to get the

many cases. In addition, the economic value of the

bonus because the organization would profit

performance often cannot be clearly determined.

handsomely. We would not want to limit winners

While these are problems, they can be solved. The

to the best performer, or even to the top 25 per-

result is improvement (over the typical perform-

cent, because that would mean the organization is

ance appraisal systems) that makes the change well

PLANNING REINFORCEMENT

291

Copyright Grantland Enterprises; www.grantland.net. Reprinted by permission.

worth the effort. The question should be, “Is a cri-

do so to have fun. When those activities quit

terion system more consistent with the outcomes

being fun, we quit. But at work, we can’t usually

we want?” If so, the problems you experience will

quit just because we’re not having fun. In addi-

at least be more palatable than those you formerly

tion, the consequences of playing a game are not

faced and the outcomes more likely to be what the

necessary to one’s standard of living. Nor does

business wants and needs.

losing alter one’s social status in a significant way.

Therefore, if we can introduce competition and

Using Competition and Contests Effectively

contests at work that resemble our play, they may

Having pointed out all the problems with compe-

offer performance improvement and reinforce-

tition, let’s look at some ways it can be used con-

ment opportunities.

structively. Millions of people enter contests

every day. They play sports and games because of

the competition. Playing without determining a

Use the QR CODE reader on your smart-

winner would take all the fun out of the activity

phone to learn more about:

for most people. How does this square with our

Article: “Improving Food Quality at

previous discussion?

Red Lobster”

In sports and other contests that we enter, we

CHAPTER TWENTY ONE

292

Guidelines For Setting Up An Effective Contest At Work

1. Make it short. Most contests run too long. It is very difficult to sustain interest in contests that run for as long as a year. The primary reason is that a great deal of reinforcement is needed to maintain high levels of interest and involvement. The recommended length for a contest is no longer than 13 weeks. Weekly, monthly, and quarterly contests can be quite effective in focusing a lot of reinforcement on a specific improvement opportunity. They are relatively easy to manage and they are over before people tire of them. With contests of these lengths you can do several in a year, if desirable, and keep people excited about al of them.

2. Do not use large tangible reinforcers. Make the reinforcers symbolic. Believe it or not, large tangibles such as big-screen televisions and trips take the fun out of contests for most people because they think they won’t win. It’s much better to have many smal tangibles than one or a few large ones. The best reinforcers in effective contests are for bragging rights.

3. Compete against a standard. Although occasional y you may want to have a contest pitting one shift, department, or office against another, in most cases you wil have better results when you compete against the group’s previous performance, past record performances, or the performance of your external competitors. The concept of competitive benchmarking offers tremendous reinforcement opportunities and is underutilized in the average business. Competitive benchmarking involves finding what your best competitor’s performance is and setting up reinforcement on the basis of either closing or widening the gap between you and them.

4. Make it fun. Above al , make it fun. This is, of course, the whole purpose. If a contest or competition is not fun, it wil not be reinforcing, and if it is not reinforcing, it wil not be effective. Many managers have trouble with a carnival atmosphere at work. This is because they have a history in which fun at work meant sacrificing productivity. Having fun for fun’s sake is something you do at your leisure.

However, if you are having fun as a result of improving quality and reducing cost, few managers would be against it. In that case they would probably say, “The more fun, the better.”

293

22

Research Designs for Evaluating

Performance Change: Keeping it Real

We worked with a company that owned movie

ordered a small popcorn, the counter person was

theaters. They wanted us to help them increase

instructed to point out that a large popcorn was

profits. Not being experts in the entertainment

only a dollar more. Employees were also expected

business, we worked with them to identify the

to suggest add-ons, recommending candies with

profit drivers. We were surprised to learn some of

each order. The incremental income from these

the basics of their economic model, especially

sales represented a significant boost in profitability.

when we learned that they considered the admis-

The problem was that the staff did not engage

sion price simply covered their costs. In reality,

in these behaviors consistently. In spite of past

their profit came from concession sales.

training, they acted more as order takers than as

The company’s operating procedures called for

salespersons. When we completed a behavior root

the theater managers to train and motivate the

cause analysis, we quickly saw that the behaviors

sales staff to up-sell their products. If a customer

requested by management were punished fre-

ordered a soft drink, they expected the counter

quently by the movie-goers as most customers

person to suggest a large size. If the customer

said “no” to the employees’ suggestions. To cor-

Figure 22.1 Upsel ing Theater Popcorn: Large to Medium Popcorn Ratios Large to Medium Popcorn Ratios

Large to Medium Popcorn Ratios

BASELINE

INTERVENTION

0.9

Baseline

0.86

0.82

atioR

0.78

Intervention

0.74

1

2

3

4

5

6

7

8

9

10

11

12

Weeks

294

CHAPTER TWENTY-TWO

rect the problem, we used a computer-facilitated

many people in organizations working hard at the

behavior measurement system to track the fre-

behaviors they have been directed to perform

quency of the desired sales behaviors. We then

without seeing any outcome that is of benefit to

started a reinforcement plan to compensate for

the organization. Blockbuster Video had a policy

the built-in punishers. We quickly learned what

that every customer had to be greeted with a rous-

reinforcers the staff would work for as we saw sig-

ing, “Welcome to Blockbuster.” This welcome

nificant increases in the behaviors of interest.

would jolt most people as they entered. One cus-

When we correlated the behavior increases to

tomer (the second author), would visibly flinch at

the ratio of large drinks and popcorn to total

this intrusion into his focus on a specific title he

drink and popcorn sales, we noticed a clear rela-

was sent to pick up and promptly forget what he

tionship. The sales behaviors were creating the

was looking for. It should be management’s func-

exact outcome we had anticipated. More large

tion to validate the relationship between the

drinks and popcorns were being sold (Figure

behaviors they ask of employees and the results

22.1). However, when we compared increases in

that drive the critical performance indicators, such

the sale of large items to the theaters’ concessions

as profitability of the organization.

revenues, which we measured as spending per

One way to discover the relationship of behav-

ticket purchaser (per cap), we could find none.

iors and results is to use the Trouble shooting

While the behaviors had increased and they were

Tool presented in Figure 22.2. Dr. Ogden

selling more large drinks, revenue per customer

Lindsley (1965) found that people who iterated

had not changed.

this model at least three times solved their prob-

We went into the theaters to see what was hap-

lems over 98.6 percent of the time. Many man-

pening. It took only a few minutes to see the

agers have found that by using this process, they

problem. Up-selling, when successful, took more

discover relationships between behavior and

time. This resulted in longer wait times for the

results that they had never known.

customers. As the lines lengthened, arriving cus-

Using the designs shown in this chapter, any

tomers were bypassing the concession stands

company can validate the impact of a behavior

entirely, not wanting to miss the start of their

change on organizational results and discover

movie. While the average order size increased,

which behaviors are valuable and which are not.

fewer orders were being placed. We had the

It is a perfect tool for finding the critical 20 per-

behavior change the company wanted, but it was

cent of behaviors that produce 80 percent of the

never going to make a contribution to the bot-

results.

tom line.

The classic way of determining cause and

We see many companies that have a blind faith

effect in psychological data is to set up a control

in their knowledge of the business. They are so

group and an experimental group. This procedure

sure of the requisite behaviors that they never test

involves setting up groups so that they are alike in

them. Or, they only test the lowest-level relation-

all the ways that may make a difference in the

ships (up-selling as a percent of items sold, for

results.

example). They ignore changes in the technology,

Some of the more customary matching charac-

process, and market, and then assume that the

teristics are age, sex, education, and experience.

deficiency they see in results comes from the lack

When those characteristics are as closely alike as

of effort on the part of the employees. We also see

possible, differences in the results can be attrib-

RESEARCH DESIGNS FOR EVALUATING PERFORMANCE CHANGE

295

Figure 22.2 Troubleshooting Tool

YES

PINPOINT

Are both behaviors

and results improving?

NO

YES

Are results improving

MEASURE

but behaviors are not?

NO

YES

Are behaviors increasing

FEEDBACK

but results are not?

NO

YES

Are neither behaviors

REINFORCE

nor results improving?

NO

NO

MONITOR AND

Is the rate of

TROUBLESHOOT

improvement adequate?

YES

YES

NO

Is the problem solved?

uted to the experimental procedures alone since

book airline reservations in a travel company.

the other variables are controlled.

Management had been told that CSRs could

While this procedure has advantages, it is usu-

work faster with color monitors. The decision

ally impractical in organizations. We can’t easily

makers wanted to know if the improvement

move people from one department or job to

would justify the cost. Indeed, a test involving

another to get groups that are alike in age, experi-

200 subjects showed that CSRs on color displays

ence, education, and so on.

worked faster than those working on black-and-

Another problem with this research model is

white displays. CSRs using color took 504.7 sec-

that it measures success in terms of statistical

onds per reservation vs. 508.1 seconds for CSRs

probability. While a difference in the experimen-

using black and white. While the difference is sig-

tal group and a control group may be statistically

nificant at the .01 level, it was not a practical dif-

significant at the .001 level, it still may not be of

ference. Management had determined that the

any practical value.

difference between the two would have to be

Antoniotti (2001) gives a good example.

greater than 10 seconds to justify the expense.

Suppose a company wants to know whether to go

In behavior analysis, each subject is used as his

to the expense of providing color monitors to

own control, because we are interested in individ-

customer service representatives (CSRs) who

ual behavior change. In addition, we want change

296

CHAPTER TWENTY-TWO

that is of practical significance.

A and say that the quality management process

How is this done? Several research designs are

was responsible, it was discovered that the real

commonly used in behavior analytic research. We

variable was attributed to a change in the quality

have briefly introduced you to these designs earli-

of the incoming raw material. The power of the

er in the book, but Chapter 2 in particular

A-B design to tease out cause and effect is low.

describes methods for examining behavior across

However, the manager of the aerospace fastener

locations and settings. You may want to review

plant was overjoyed at the results of the interven-

what we talked about there, but the following is a

tion shown in Figure 22.3. They represented real

more complete analysis.

dollars to him. The problem is that if he tried to

do the same thing in another department, he

The A-B Design

might not get the same result because the real

The most common way to evaluate behavior

cause may not have been identified.

change is with the use of an A-B design. The A-B

The criticism of this kind of data is that results

design is the simple comparison of baseline data

can be attributed to many variables other than

(before) with intervention data (after). Figure

the variable shown on the graph. We have heard

22.3 is an A-B design. Since this design is easy, it

all of the possible explanations:

is the most commonly used. While it certainly

gives us information about performance, it may

• The humidity changed.

not be definitive. While the improvement

• The ambient temperature changed.

noticed in Figure 22.3 is evidence of a real change

• The process changes we made three months

and a significant one, it would be risky to say

ago are finally beginning to take hold.

exactly what caused the change. The example used

• We changed vendors.

in Chapter 2 is an A-B design. While it would be

• The patterns we are running now are easier.

tempting to look at the improvement in Location

• Our volumes have changed.

Figure 22.3 Example of an A-B Design

Improvement in Quality Cost Index for Aerospace Fastener Manufacturer BASELINE (A)

INTERVENTION (B)

3.0

2.0

1.0

0.0

J

F

M A M

J

J

A

S

O N D

J

F

M A M

J

J

A

S

O N D

RESEARCH DESIGNS FOR EVALUATING PERFORMANCE CHANGE

297

Figure 22.4 Example of an A-B-A-B Research Design

Amount in Dol ars the Sales Terminal Was Short or Over Each Day

30

BAS Baseline 1

ELINE 1

ACCO A

U ccountability and

NTABILITY

BL 2

BL 2

Accountability and

ACCOUNTABILITY AND

Verbal/Posted FB 1

Verbal/Posted FB 2

ver

AND VERBAL/

VERBAL/POSTED FB 2

20

POSTED FB 1

t On llars)

u

o

o

10

m

(D

A

0

-10

rt

-20

o

t Sh

llars) -30

nu o

om (D -40

A

-50

Days

(From “Using Feedback and Performance Accountability to Decrease Cash Register Shortages” by D. Rohn, J. Austin, S. M. Lutr ey, 200 2. Journal of O rganizational Behavior Man age ment, Vol . 22, No. 1, p

p 33-46, 20 02 T

he Ha

wo rth Pres s, Inc .

Reprinte

d wi

th p erm iss ion .)

The list is endless. If people don’t believe the

B-A procedure, which is the re-introduction of

results from an A-B design, how can you con-

the previous intervention (Phase B). For example,

vince them? One way is to use the A-B-A Design.

if feedback and reinforcement were introduced

after collecting baseline data and later stopped, it

The A-B-A and A-B-A-B Designs

would be started again in the fourth phase. See

The A-B-A design, often referred to as a reversal, Figure 22.4. These four steps constitute the A-B-is the same as the A-B design but with the addi-

A-B design. As Cooper et al. (2007) state:

tion of a third phase which involves a return to

the baseline conditions (those that existed in the

The A-B-A-B reversal design is the most

first A phase). Often this involves removing the

straightforward, and generally the most

feedback and reinforcement that was implement-

powerful, within-subject design for demon-

ed in the intervention (Phase B). When the third

strating a functional relation between an

phase (removal of feedback and reinforcement) is

environmental manipulation and behavior.

implemented, you would expect the data to

When a functional relation is revealed with

a reversal design, the data show how the

change back in the direction of the baseline if the

behavior works (p.177).

reinforcement and feedback intervention truly

produced the change.

While A-B-A designs are an important way to

Most of Applied Behavior Analysis research

verify the effects of a particular PM intervention,

involves the addition of another phase to the A-

298

CHAPTER TWENTY-TWO

they are rarely recommended in organizational

Another reason is an ethical consideration.

settings.

Many people are reluctant to withhold reinforce-

One reason is that they are not practical. It is

ment when the recipient is benefiting substantial-

unrealistic to expect a manager who institutes

ly from it.

reinforcement as a way to solve a problem to

Even at that, there are many unintentional

deliberately stop the reinforcement after the per-

reversals that allow us to see clearly the impact of

formance has improved. Most organizations are

PM interventions. Often a supervisor who has

very unlikely to go to such trouble just to demon-

been giving feedback and reinforcement may get

strate a functional relationship between the rein-

sick, be promoted, quit, or otherwise be absent,

forcement and the change in performance, even if

and her replacement does not provide the feed-

doing so could demonstrate the success of the

back and reinforcement. Also, people sometimes

intervention.

reach a goal and stop reinforcement because they

Figure 22.5 Percentag e of Items Perfo rme d Saf e ly by Employees in Two Departments of a Food Manufacturing Plant During a 25-Week Period

B

B ASELINE

ASELINE

INT INTE

ERV RV

E E

N N

TT

I IO

O N

N

REVERSAL

REVERSAL

Wrapping Department

100

Wrapping

Department

90

80

70

Safely 60

ed

rm

50

erfo

Wrapping

0

ts P

Department

en 100

cid

90

f In 80

tage o

70

ercen

60

P

50

Make-up

0

Department

5 10 15 20 25 30 35 40 45 50 60 65

Observation Sessions

(Adapted from “A Behavioral Approach to Occupational Safety: Pinpointing and Rei nforcing Safe Performance in a Food Manufacturing Plant” by J. Komaki, K. Barwick, and

L. Sco tt, 1978, Jour nal of App lie d Psychology, Vol 63, 4, pp. 434- 445. Reprinted by p

ermission.)

RESEARCH DESIGNS FOR EVALUATING PERFORMANCE CHANGE

299

think it is no longer needed.

to assess change in different behaviors in one per-

If you capitalize on these naturally occurring

son, such as quality, productivity, and waste. The

reversals, you will learn much about the effect of

design also allows you to assess change between

your various attempts to maximize performance,

individuals, between different groups in the same

even when you didn’t plan the reversal.

setting (shifts), or between different groups in

different settings (departments, offices, or plants).

Multiple-Baseline Designs

To use the multiple baseline effectively, several

One of the most practical behavior analytic

conditions must exist.

designs is the multiple-baseline design. The multi-

ple-baseline does not require a reversal or a re-

1. The performances or behaviors

arranging of the workforce as required in tradi-

must be independent. Don’t choose two

tional control-group designs. All you have to do is

variables that co-vary. For example, in some

stagger the interventions. Since most PM inter-

settings quality and production co-vary;

ventions do not start at the same time, a multiple

that is, the better the equipment runs, the

baseline is the ideal method for doing behavior

better the quality of the product. In other

analysis in the workplace.

settings, particularly where production is

Look at Figure 22.5. In this intervention, base-

not machine paced, the two variables oper-

line data was collected on the percentage of time

ate independently and the multiple baseline

employees performed certain behaviors safely. A

would be appropriate. Productivity of one

safety program was then introduced in the wrap-

plant would generally not be affected by

ping department. At the same time, baseline data

production in another. Customer service in

continued to be collected in the make-up depart-

one department would probably not be

ment. Notice there was immediate improvement

affected by that of another department.

in the wrapping department, but there was no

2. The variables must be measured

change in the make-up department. Twenty ses-

concurrently. While baselines do not always

sions later, the program was introduced in the

have to be started at the same time for all

make-up department and performance immedi-

variables, there must be some overlap

ately improved there also.

between the interventions on the first vari-

Figure 22.6 shows a multiple-baseline design

able and the baseline of the later variables.

from a study of the effects of publicly posting the

See Figure 22.6. This allows the compar-

self-set goals of college football players regarding

isons between the interventions and base-

their skill execution during practice and games.

lines of other variables in the same time

Notice that when reads improved there was no

periods.

corresponding improvement on either drops or

tackles. However, in both variables, when the

3. Any changes in baseline conditions

goals and graphs were posted, both improved.

must be documented. To make the proper

Because the coaches tracked games as well as

analysis, any changes that might affect per-

practices, they could see that they were coaching

formance should be noted. In a number of

the right behaviors in practice because all players

cases, managers and supervisors have

improved during games.

increased reinforcement in a casual way

The beauty of this design is that it allows you

before they started their formal application.

CHAPTER TWENTY-TWO

300

Figure 22.6 Example of a Mu lt i ple-B aseli ne R esearch Design BASELINE

PUBLIC POSTING

100

BASELINE

Brad

80

Game

Practice

60

Reads

0

ces

100

an

rm

erfo

80

rrect Po

f C

60

tage o

Drops

ercenP

0

100

80

60

Tackles

40

5

10

15

20

25

30

35

40

Sessions

(Figure 2. The percentage of reads, drops, and

t

ackles durin

g pra

cti

ce and g

ame se

ssions

for Brad. Fro

m “E ffects o

f Po

sting Self-set Goals on Collegiate

Football Players' Skill Execution During Practice an

d Ga mes” by Phillip

Ward and Mich ae l Carn es, 2002

, Journ

al o

f A

pp lie d Behavior Analysis, Vol. 35, No. 1, pp 1-12. Reprinte

d wi

th perm issio n from t he S oci ety fo r th e E

xperiment al Ana lys is of Be havior, Inc.)

RESEARCH DESIGNS FOR EVALUATING PERFORMANCE CHANGE

301

While it is desirable to increase reinforce-

one particular strength: it allows the simultane-

ment any time, it should be noted when it

ous comparison of multiple treatments at the

occurred so as not to confound the analysis.

same time. This often is important when long,

Some people say that data analysis of this

drawn-out reversal designs are not feasible. A

type is for the researchers and not for the

good example of this is Thurkow, Bailey and

real world. They don’t realize they are ana-

Stamper (2000). They were interested in deter-

lyzing data constantly; they’re just not

mining the most appropriate method of motivat-

doing it systematically. If everybody evalu-

ing college-age employees to complete informa-

ated changes they make in the workplace

tional interviews for local and national clients. As

more systematically, we would increase the

shown in Figure 22.7 the baseline condition was

effectiveness of our organizations dramati-

a so-called, “Top Caller Contingency1.” This

cally because we would spend a lot less time

incentive system was in place when the study

doing things that contribute little or noth-

began and the owners of the business were inter-

ing to the enterprise.

ested in knowing if there was any other method

that might be more effective. The next condi-

Alternating-Treatment Designs

tion—the alternating treatments—(also called

One additional design deserves mention.

multielement) shows a comparison of three dif-

Although it is not used frequently in PM it has

ferent conditions that were alternated over the

Figure 22.7 Example of an Alternating-Treatment Research Design A Case Study

PHASE

PHASE

PHASE

FOLLOW-UP

ONE

TWO

THREE

r

avioeh

%

erative BpooC

Days

(“The effects of group and individual incentives on productivity of telephone interviewers.” Journal of Organizational Behavior Management, 20, 3-25, (2000).

Reprinted by permission of the publisher Taylor & Francis Ltd. www.tandf.co.uk/journals.) 1 This contingency involved recognition and a bonus to the person who “exceeded the hourly goal by the largest margin and had worked at least four hours.”

CHAPTER TWENTY-TWO

302

next dozen sessions or so. The Top Caller was

used on certain sessions and this was compared

Use the QR CODE reader on your smart-

with a group and an individual contingency

phone to learn more about:

(details on these can be found in (Thurkow, et al.,

Article: “About Organizational

Behavior Management (OBM)”

2000). The most effective, and most preferred

method, the Individual Monetary Incentive, was

run as the last condition. You can see the differ-

entiation in effectiveness of the three incentives

in the middle, or multi-element, condition.

303

23

Behavioral Safety

Safety is the one area of business where the

the hazards. This was never the intent. However,

focus should clearly be on behavior. It is readily

some poorly designed and executed BBS pro-

apparent to all that employee behavior con-

grams certainly devolve into such an unbalanced

tributes to safety performance. If employees put

approach. Without a more sophisticated under-

on personal protective gear, follow safety proce-

standing of behavior it is easy to see how front-

dures, drive vehicles at the posted speed, and use

line employee behavior could be targeted as the

three-point contact when climbing ladders, etc.

main problem. As an example, an old General

they are likely to have fewer injuries. Less obvious

Motors training film is centered on “carelessness”

to the layperson is the fact that manager behav-

as the central source of most accidents.

iors contribute significantly to safety perform-

ance. Important manager behaviors include what

they ask about, talk about, listen to, provide con-

Use the QR CODE reader on your smart-

phone to learn more about:

sequences around, how quickly they remediate

Video: Behavior-Based Safety Origins

hazards, and the consistency with which they

1950 General Motors

hold safety meetings. These behaviors all serve as

antecedents, consequences and/or motivating

operations (MOs) for safe and at-risk behavior at

Before discussing modern behavior-based safe-

the frontline. Because the need for behavior

ty, and its necessary companion, behavior-based

change at the frontline was more obvious, early

safety leadership, let’s look at the history of BBS.

Behavior-based Safety (BBS) programs focused

Dan Petersen, who is considered by many to be

heavily (sometimes exclusively) on frontline

one of the fathers of modern safety and among

behavior. This lead to push back from some

the first to recognize and address the human

unions, most notably the United Steelworkers,

behavior side of safety, is credited by some as com-

who refer to BBS as a “Blame-the-Worker” safety

ing up with the name—Behavior-based Safety.

program (2010). They believe that all BBS pro-

Others credit the term to Dr. Scott Geller, a pio-

grams start with the premise (based on the work

neer in the field. Regardless of who named it, any

of Heinrich) that almost 90 percent of all indus-

approach that is behavior-based should be based

trial accidents are a function of worker behavior,

on the science of behavior as presented in this

what Heinrich called “worker errors.” The steel-

book if it is to be most effective and sustainable.

workers claim that management then uses this as

Petersen frequently referred to the research of

an excuse to blame the worker rather than remove

B.F. Skinner and in 1989 he wrote Safe Behavior

304

CHAPTER TWENTY-THREE

Reinforcement. Krause stated, “. . . the phrase

science approach in contrast to the engineering

behavior-based safety refers strictly to the use of

one that dominated the field of safety manage-

Applied Behavior Analysis methods to achieve

ment at the time.

continuous improvement in safety performance.”

Prior to the advent of BBS, the focus of a safe-

Behavioral Safety Now, the only safety conference

ty program, or system as some liked to call it, was

dedicated exclusively to behavior-based safety is

on lagging indicators—injury rate, hours without

organized by behavior analysts and supported by

a lost-time accident, worker compensation claims

the Cambridge Center for Behavioral Studies (a

and Days Away, Restricted or Transferred

behavior analytic organization).

(DART). Since these measures are usually tallied

In spite of strong roots in behavior analysis,

at the end of the month, quarter or year, the

there are a wide range of programs claiming to be

behaviors that were involved in the accident

BBS from those that are “home-grown” to those

could not be observed, as the accident was histo-

that have been around since the beginning of the

ry. Accident investigations were often protracted

last century. The current state of the practice of

and more often than not focused on more cogni-

behavior-based safety is really Caveat emptor—

tive than behavioral issues—the performer was

let the buyer beware since the consumers that are

careless, lost his concentration, lacked awareness

not familiar with behavior analysis may think

of his surroundings, suffered from job burnout,

they are buying BBS when in reality what is pre-

etc. (Agnew & Daniels, 2010 give a detailed

sented as BBS is not based on the science at all.

treatment of problems associated with the use of

While it is difficult to pinpoint precisely the

lagging measures.)

beginning of the field of behavior-based safety as

Since management typically does not witness

it is known today, the first published research

the behaviors involved in an accident, it is difficult

appeared in the early 1970’s. Fox, (1978) con-

for them to pinpoint the precise actions and/or

ducted a study using a token system involving

events that led to the accident. Therefore the most

trading stamps to improve safety in an open-pit

frequent corrective action was, and continues to

mine in 1972 and maintained results for over 13

be, to punish the employee who was involved in

years at the time the study was published in 1978.

an accident. This, as you have learned thus far,

Komaki (1978) used feedback and reinforcement

does little to change unsafe to safe behavior.

to improve the safety of bakery workers. Dr. Beth

If it was determined that the employee had

Sulzer-Azaroff, a true pioneer in the field of

been trained in the safe behavior and had all the

behavior-based safety, published the first of many

equipment that he/she needed, but still engaged

articles on BBS in the Journal of Organizational

in an at-risk behavior, then it was assumed that

Behavior Management in 1978 titled, “Behavioral

the cause was some cognitive misstep on the part

ecology and accident prevention.” Her chapter,

of the employee—usually inattention of some

“Behavioral Approaches to Occupational Health

sort–lack of focus, distraction, failure to follow

and Safety” in the Handbook of Organizational

the safe protocol, etc. All of these were assumed to

Behavior Management by L.W. Fredericksen

be under the control of the employee. The only

remains to this day one of the best explanations

way many managers knew to deal with this was to

of behavior-based safety. Safety Management: A

put the blame on the employee and initiate some

Human Approach by D. L. Petersen (1975), was

form or punishment that would not only stop the

the first safety book to emphasize a behavioral

unsafe behavior but also discourage such behavior

BEHAVIORAL SAFETY

305

on the part of others. The punishers ranged from

blaming conditions.

dismissal or demotion to time off without pay, or

When BBS began to be popular in the mid-

believe it or not, sometimes with pay.

80s, it provided a welcome relief for a great many

In the 1980’s organizations began to focus on

safety professionals, managers and supervisors.

behavior, but because they did not understand

While they all had effective processes and tools

the science of behavior, they focused largely on

for working on the non-behavioral aspects of safe-

stopping at-risk behavior and therefore on nega-

ty, many were uncomfortable with the negative

tive consequences. Safety professionals and man-

sanctions that were at the heart of their attempts

agers became like police officers trying to catch

to change unsafe behavior to safe behavior. When

people doing something wrong so that they could

the BBS process is applied true to behavior ana-

correct the unsafe behavior. Indeed, an early

lytic principles (including helpful feedback and

behavior-based safety program that was very pop-

an emphasis on positive reinforcement), the

ular focused on stopping an unsafe behavior with

results are always good and often spectacular.

negative consequences and followed up with lec-

Figure 23.1 shows a 355 percent reduction in

tures and testing the employee to make sure that

recordable rates over four years using the BBS

he knew the safe behavior for the situation. There

process in a food manufacturing plant. Figure

was little understanding in the safety profession

23.2 shows one effect on accidents in a retail dis-

that punishing unsafe behavior would cause peo-

tribution center. While many others are not spec-

ple to engage in behaviors that would avoid the

tacular, they still show a sizable effect. As exam-

punishment such as alerting peers when manage-

ples, an oil field service company reduced OSHA

ment was in the work area, lying, withholding

recordable injuries by more than 90 percent in

information, failing to report accidents or near

the first year of implementation; a tissue paper

misses, falsifying reports and blaming others or

mill reduced accident rates by 50 percent in the

Figure 23.1 Food Manufacturing: OSHA Recordable Rate

ate

355% RED

28.4

UCT

le R

ION

abrd

eco RAHS

13.8

10.6

10

O

8

INTERVENTION

CHAPTER TWENTY-THREE

306

Figure 23.2 Distribution Center: Hours Worked per Accident rsuoH

Hours Worked Per Accident

Years

We have simplified this process for safety.

Use the QR CODE reader on your smart-

phone to learn more about:

1. Pinpoint. While we have talked about how

Article: A New Safety Culture

it is important to pinpoint results first, in

Progressive Railroading Nov. 2012

the case of most safety applications the out-

come is the same for all companies—Send

first year and a bakery reduced their total injuries

all employees home after work in the same

by 50 percent in the first few months of imple-

physical condition in which they arrived; in

menting the process.

other words, accident-free.

The BBS process should mimic the scientific

Traditional measures of success are

method.

Accident Rate, Consecutive Days without

an accident, Total Recordable Incidence

1. Identifying a problem

Rate (TRIR), Total Case Incidence Rate

2. Collecting objective data

(TCIR), Days Away, Restricted, or

3. Developing hypotheses

Transferred (DART) Rate and a variety of

other lagging measures. Figure 23.3 is an

4. Testing those hypotheses by controlled

example of TCIR and DART at a food pro-

experimentation

cessing company. Figure 23.4 shows work-

5. Drawing conclusions from the data

er’s compensation savings in the first three

6. Applying the findings to test the hypothe-

years of implementing a BBS safety system.

ses in similar situations

As you know at this point in the book, it

BEHAVIORAL SAFETY

307

is essential to identify (pinpoint) not only

daily and weekly feedback boards in a plant

safety results but especially the safe behav-

in Iceland. Feedback graphs should display

iors that will lead to a positive change to one

data from a small enough group that indi-

or more of the preceding lagging measures.

viduals within that group know that their

Figures 23.5 and 23.6 are examples of safe

personal behavior change will move the line

behaviors. Notice how quickly the behaviors

on the graph. Graphs of large groups, such

reached 100 percent. This is typical.

as entire plants, have less impact on per-

Identifying the most important safe

formance.

behaviors to focus on should be a data-

based exercise, using accident data, near-

4. Positive reinforcement. The most popular

miss data and behavioral observations. Of

attempt at positive reinforcement in safety

critical importance is identifying manager

has been to provide some form of tangible

and supervisor behaviors as well. Some

item from food to merchandise. Although

leader behaviors that are important include

these often had an initial positive effect on

ensuring the daily delivery of positive rein-

behavior, the effect was not sustained in the

forcement around critical safe behaviors,

majority of cases as those programs were

addressing hazards within 23-48 hours, and

often run by managers other than the

discussing safety with individuals and in

immediate supervisor, personnel managers,

every meeting.

or safety officers. The merchandise was of

course delivered after the behaviors and

2. Measure. In BBS, employees and some-

were often seen by supervisors as intruding

times supervisors are trained to pinpoint

on productivity because of the celebrations

behaviors and conduct observations.

that accompanied the food and merchan-

Formal observations are not always done

dise. While the process was intended to be

every day but it is recommended.

positively reinforcing, because supervisors

Management behaviors also need to be

were not trained in the nature of positive

tracked. This is often done through self-

reinforcement and how to deliver it, it was

monitoring. Although lagging measures are

most often driven by negative reinforce-

already kept, and some are required by the

ment and punishment. As one plant manag-

government, behavioral measures have his-

er was heard to say at a safety celebration,

torically not been consistently tracked.

“Hurry up and eat, we have a plant to run.”

Measurement is a critical part of all BBS

As you have learned, social reinforce-

programs, but is not a distinguishing fea-

ment should be the predominant form of

ture since even the faux BBS programs also

reinforcement. A good BBS process

have measurement.

includes training and coaching in providing

effective positive reinforcement with an

3. Feedback. Graphic feedback is important

emphasis on natural and social reinforce-

to any behavior improvement effort as you

ment. When front-line employees, supervi-

have learned already. Daily feedback is

sors and managers become skilled at deliv-

desirable; however much of the feedback is

ering positive reinforcement for pinpointed

dependent on the frequency of observa-

safe behaviors, behavior change happens

tions. Figures 23.7 and 23.8 are examples of

quickly and is sustained.

CHAPTER TWENTY-THREE

308

5. Evaluate. Evaluation using this model is

First, you don’t have an effective

straightforward.

reinforcer or it is being delivered

a. Go back to the Result pinpoint to see

in a way that makes the event less

if the goal was achieved. If it was not,

than reinforcing. An item that

first look to see if the pinpointed

may be desirable may be delivered

behaviors had changed.

in a way that is punishing rather

than reinforcing. Remember the

i. If the behaviors have changed but

supervisor who was overheard say-

the results have not, then the

ing as he handed an employee a

behavior you have pinpointed is

toaster, which he had selected as

the wrong behavior or one that is

part of a merchandise award safety

not critical, i.e., not highly corre-

program, “Here’s your damn toast-

lated with the results. Therefore,

er, now get your ass back to work.”

you need to re-examine the situa-

In either event, change the rein-

tion to see what other behaviors

forcer or the way it is delivered.

might be the most essential for

changing the result. Once you

The second possibility is that there

have pinpointed another behavior,

is something preventing the behav-

begin the five-step process again.

ior change. For example, it is

impossible for workers to increase

ii. If the behavior has not changed,

their use of protective gloves if the

there are at least two possibilities.

Figure 23.3 Hilmar Safety/Workers Compensation Performance Ye

Y ars

BEHAVIORAL SAFETY

309

gloves are not made available, or

results. Using the five-step process

the correct size of glove is not

systematically helps direct the change

made available. Lack of equipment,

effort to maximize impact.

outdated procedures, and unin-

tended consequences for at-risk

It is clear to anyone who understands the con-

behaviors are all possible barriers to

textual nature of behavior that an accident-free

safe behavior improvement.

workplace cannot be achieved by focusing only

Removing barriers usually requires

on the behavior of the front-line employee.

behavior change on the part of

Policies, equipment, physical layout, management

management. As you can see, the

practices, and organizational systems impact safe-

five-step process becomes a catalyst

ty. It is the role of management to create an envi-

for management and employees to

ronment that minimizes risk and makes it easier

jointly solve safety challenges.

for front-line employees to work safely. Under

b. Repeat this process until the result

those conditions front-line employees are more

has been achieved. Because there are

willing to participate fully in safety. Together this

often many behaviors that impact

joint behavior change contributes to a culture

safety results, it usually takes

where the verbal behavior claims “safety first” can

improvement across several behaviors

be successfully executed. For an excellent article

(both front-line and management

on building a sustainable safety culture, see

behaviors) to see change in the

Agnew and Ashworth (2012).

Figure 23.4 Hilmar Safety/Workers Compensation Performance Years

310

CHAPTER TWENTY-THREE

Figure 23.5 Distribution: Close Blade After Cutting Each Case BASELINE

DAILY FEEDBACK & REINFORCEMENT

BASELINE

t Safe

ercenP

Observation Days

Figure 23.6 Distribution: Lift with Knees Bent, Chin Up, Chest Out BASELINE

DAILY FEEDBACK & REINFORCEMENT

t Safe

ercenP

Daily Observations - May 27 thru Aug 27

BEHAVIORAL SAFETY

311

Figure 23.7 Daily and Weekly Feedback Board

Figure 23.8 Daily and Weekly Feedback Board

CHAPTER TWENTY-THREE

312

Concluding Remarks

improve the lives of all those involved in these

In this book, we have attempted to introduce the

activities. We have spent the last 45 years intro-

reader to the science of behavior analysis as it is

ducing positive behavioral methods to the work-

applied in the world of work. We have combined

place because we know that when it reaches

the science with decades of experience in the

Malcolm Gladwell’s “tipping point,” which it will,

widest variety of work settings. We promise you

it will change the way the world works. To that

that we have presented in this text the most pow-

end we encourage all organizations to share this

erful tools available for creating organizations

technology with all employees. There is nothing

that bring out the best in people, while increasing

in this book that you would not want all employ-

value for employees, the customer, managers and

ees to know and apply, not only to work but also

the company.

to themselves and their families.

We have learned much about how to commu-

Performance Management is the systematic

nicate the practical application of behavior analy-

use of scientifically validated methods for creating

sis in the workplace since publishing the first edi-

workplaces that bring out the best in people. In

tion of this book. We are also aware that ongoing

turn, bringing out the best in people creates

future research will provide many more exciting

organizations that deliver the best to customers

discoveries for supplementing and revising the

and shareholders. Even though we have been

methods here. While this is not a short book, it

working at this for a long time, only a small per-

only scratches the surface of what is already

centage of organizations, in business, industry,

known about behavior. To present all that is

and government have experienced the benefits

known would require many volumes.

that this approach offers. You are on the forefront

We hope that you have received enough posi-

of those who know a valuable technology for

tive reinforcement from your attempts to use PM

changing lives for the better.

methods that you will want to continue to study

To accomplish our mission, we need your help.

in this field for a lifetime. The Association for

Don’t wait! Apply what you have learned from

Behavior Analysis International (ABAI) presents

this book at work and at home. Start today!

thousands of research studies at its annual confer-

Remember the words Jerrold Jennings of

ence. Most of them can be accessed online. A part

Milliken and Company wrote in response to a

of ABAI is a Special Interest Group known as the

note that one employee sent to another (see

OBM Network. Go to obmnetwork.com to join

below), “Positive Reinforcement is contagious!”

this special community of PM experts. We

We would add, “Infect someone today.”

encourage you to join. You can also visit The

Aubrey Daniels Institute (aubreydanielsinsti-

tute.org) where you will find updated informa-

tion on behavior analysis as related to not only

the workplace but all aspects of society affected

by it. Interestingly, most people trained to use

PM at work actually try it at home first.

The science of behavior analysis applied to the

workplace can change not only how things are

made, and how services are delivered but also

313

REFERENCES

Ackley, G.B.E. and Bailey, J.S. (1995). Teaching per-

Azrin, N. H., & Holtz, W. C. (1966). Punishment.

formance management using behavior analysis.

In W. K. Honig (Ed.). Operant behavior: areas of

The Behavior Analyst, 73-81.

research and application (pp. 380-447). New York:

Appleton-Century-Crofts.

Agnew, Judy. (2013, February 7). Building the

Foundation for a Sustainable Safety Culture. EHS

Azrin, N. H., Hutchinson, R. R., & Hake, D. F.

Today. Retrieved January 30, 2013 from

(1966). Extinction-induced aggression. Journal of

http://ehstoday.com/safety/building-foundation-

the Experimental Analysis of Behavior, 9 (3), 191-

sustainable-safety-culture.

204.

Agnew, Judy & Ashworth, C. (2012). Behavior-

Baer, D. M., Wolf, M.M., & Risley, T.R. (1968).

Based Safety: Setting the Record Straight. PM

Some current dimensions of applied behavior

eZine. http://aubreydaniels.com/pmezine/behav-

analysis. Journal of Applied Behavior Analysis, 1

ior-based-safety-setting-record-straight.

(1), 91-97.

Agnew, Judy & Daniels, Aubrey C. (2010). Safe by

Bailey, Jon S. & Burch, Mary R. (2002). Research

accident. Atlanta, GA: Performance Management

methods in applied behavior analysis. Thousand

Publications.

Oaks, CA: Sage Publications.

Alavosius, M. P., & Sulzer-Azaroff, B. (1990).

Balcazar, F. E., Hopkins, B. L., & Suarez, Y. (1985).

Acquisition and maintenance of health-care rou-

A critical objective view of performance feedback.

tines as a function of feedback density. Journal of

Journal of Organizational Behavior Management,

Applied Behavior Analysis, 23 (2), 151-162.

7 (3/4), 65-89.

Allison, D. B., Silverstein, J. M., and Galante, V.

Baum, W. M. (1973). The correlation-based law of

(1992) Relative effectiveness and cost-effective-

effect. Journal of the Experimental Analysis of

ness of cooperative, competitive, and independent

Behavior, 20 (1) 137-153.

monetary incentive systems. Journal of

Organizational Behavior Management, 13 (1), 85-

Behavior-Based Safety/‘Blame-the Worker’ Safety

112.

Programs: Understanding and Confronting

Management’s Plan for Workplace Health and

Antoniotti, Walter. (2001). Statistics. New York:

Safety, Union Training for Union Members.

Twenty-First Century Learning.

United Steelworker’s Health, Safety and

Environment Department, April, 2010.

Ayllon, T., & Kolko, D. J. (1982). Productivity and

schedules of reinforcement in business and indus-

Bennett, R. J. (1998). Taking the sting out of the

try. In R. M. O’Brien, A. M. Dickinson, & M. P.

whip: Reactions to consistent punishment for

Rosow (Eds.). Industrial behavior modification: A

unethical behavior. Journal of Experimental

management handbook. New York: Pergamon

Psychology: Applied, 4 (3), 248-262.

Press.

Brethower, D. M. (1972). Behavior analysis in busi-

ness and industry: A total performance system.

Kalamazoo, MI: Behaviordelia, Inc.

314

REFERENCES

Brewer, A. (1989). Feedback in training: Optimizing

Cherek, D. R., Bennett, R. H., & Grabowski, J.

the effects of feedback timing. Unpublished mas-

(1991). Human aggressive responding during

ter's thesis, The University of the Pacific,

acute tobacco abstinence: Effects of nicotine and

Stockton, CA.

placebo gum. Psychopharmacology, 104 (3), 317-

322.

Brobst, B., & Ward, P. (2002). Effects of public post-

ing, goal setting, and oral feedback on the skills

Connellan, T. K. ( 1978). How to improve human

of female soccer players. Journal of Applied

performance: Behaviorism in business and industry.

Behavior Analysis, 35 (3), 247-257.

New York: Harper & Row.

Bucklin, B.R., Alvero, A. M., Dickenson, A. M.,

Cooper, J. O., Heron, T. E., & Heward, W. L.

Austin, J., & Jackson, A. K. (2000). Industrial-

(1987). Applied behavior analysis. Columbus,

organizational psychology and organizational

OH: Merrill Publishing Co.

behavior management: An objective comparison.

Journal of Organizational Behavior Management,

Cunningham, Thomas R. & Austin, John. (2007)

20 (2), 27-75.

Using goal setting, task clarification, and feed-

back to increase the use of the hands-free tech-

Bucklin, B.R. and Dickinson, A.M. (2001).

nique by hospital operating room staff. Journal of

Individual monetary incentives: A review of dif-

Applied Behavior Analysis, 40 (4), 673-677.

ferent types of arrangements between perform-

ance and pay. Journal of Organizational Behavior

Daniels, Aubrey C. (2000). Bringing out the best in

Management, 21 (3), 45-137.

people. New York: McGraw-Hill.

Bucklin, B. R., McGee, H. M, & Dickinson, A. M.

Daniels, Aubrey C. (2009) Oops! 13 Management

(2003). The effects of individual monetary incen-

practices that waste time and money (and what to

tives with and without feedback. Journal of

do instead). Atlanta, GA: Performance

Organizational Behavior Management, 23 (2/3),

Management Publications.

65-94.

Daniels, Aubrey C. & Judy (2010). Safe by accident.

Carnegie, Dale. (1936). How to win friends and

Atlanta, GA: Performance Management

influence people. New York, NY: Simon and

Publications.

Schuster Inc.

Darley, J. M., Seligman, C., & Becker, L. J. (1979).

Catania, A. C. (1984). Learning (2nd Ed.). New

The lessons of Twin Rivers: Feedback works.

Jersey: Prentice-Hall.

Psychology Today, 12, 23-24.

Catania, A.C. (2013). Speaking of behavior. Journal

Declining Public Trust Foremost a Leadership

of the Experimental Analysis of Behavior, 52 (2),

Problem. [Press Release.] Retrieved March 18,

193-196.

2013, from http://www.globescan.com/news_

archives/Trust _in_Leaders.pdf. World Economic

Cherek, D. R., Spiga, R., Steinberg, J. L., & Kelly, T.

Forum (2002).

H. (1990). Human aggressive responses main-

tained by avoidance or escape from point loss.

Deming, W. E. (1986). Out of the crisis. Cambridge,

Journal of the Experimental Analysis of Behavior,

MA: MIT Press.

53 (2), 293-303.

REFERENCES

315

De Souza Barba, L. Operant variability: a conceptual

Fox, D.K., Hopkins, B.L., and Anger, W.K. (1987).

analysis. The Behavior Analyst. 35 (2), 213-227.

The long-term effects of a token economy on

safety performance in open-pit mining. Journal of

Downing, Christopher O. & Geller, E. Scott.

Applied Behavior Analysis. 20 (3), 215-224.

(2012). A goal-setting and feedback intervention

to increase ID-checking behavior: an assessment

France, K. G., & Hudson, S. M. (1990). Behavior

of social validity and behavioral impact. Journal of

management of infant sleep disturbance. Journal

Organizational Behavior Management, 32 (4),

of Applied Behavior Analysis, 23 (1), 91-98.

297-306.

Franklin, B. (1993). Poor Richard’s Almanac. Reprint Duncan, P. (1989). OBM and success: what’s the

Services Corporation. (Original work published

PIP? Journal of Organizational Behavior

in 1753).

Management, 10 (1), 258-266.

Frederick, J. (1990). Comprehensive health and

Eisenberger, R. Learned industriousness (1992).

Safety vs. Behavior-Based Safety: the Steelworker

Psychological Review, 99 (2), 248-267.

perspective On Behavioral Safety (Part 20

Remarks to the 1999 Behavioral-Safety Now con-

Eisenberger, R., & Shank, D.M. (1985). Personal

ference). Las Vegas, NV. October 6. 1999.

work ethic and effort training after cheating.

Journal of Personality and Social Psychology, 49

Fredricksen, L. W. (Ed.) (1982). Handbook of organi-

(2), 493-498.

zational behavior management. New York: John

Wiley & Sons.

Epstein, R. (1983). Resurgence of previously rein-

forced behavior during extinction. Behaviour

Gawande, Atul. (2009). The checklist manifesto: How

Analysis Letters, 3, 391-397.

to get things done right. New York, NY:

Metropolitan Books.

Epstein, R. (1985). Extinction-induced resurgence:

preliminary investigations and possible implica-

Gilbert, T. F. (1978). Human competence-engineering

tions. Psychological Record, 35, 143-153.

worthy performance. New York: McGraw-Hill.

Fein, M. (1981). Improshare, an alternative to tradi-

Global Workforce Study (2012). Engagement at risk:

tional managing. Norcross, GA: American

driving strong performance in a volatile global envi-

Institute of Industrial Engineers.

ronment. Towers Watson.

Fellner, D. J., & Sulzer-Azaroff, B. (1984). A behav-

Goleman, Daniel. (1995). Emotional intelligence.

ioral analysis of goal setting. Journal of

New York, NY: Bantam Books.

Organizational Management, 6 (1), 33-51.

Hantula, D. A., & Crowell, C. R. (1994).

Ferster, C. B., & Skinner, B. F. (1957). Schedules of Intermittent reinforcement and escalation

reinforcement. New York: Appleton-Century-

processes in sequential decision making: A repli-

Crofts.

cation and theoretical analysis. Journal of

Organizational Behavior Management, 14 (2), 7-

Foster, D., & Taylor, A. (1962). A test of one-trial

36.

associative learning. Psychological Reports, 11,

817-820.

316

REFERENCES

Hart, B., & Risley, T. (1995). Meaning ful differences Iwata, B. A., Smith, R. G., & Michael, J. (2000).

in the everyday experiences of young American chil-

Current research on the influence of establishing

dren. Baltimore: Paul H. Brookes Publishing

operations on behavior in applied settings.

Company.

Journal of Applied Behavior Analysis, 33 (4), 411-

418.

Heinrich, H.W. (1931) Industrial accident preven-

tion: a scientific approach. New York: McGraw-

Jesup, P.A. & Stahelski, A.J. (1999). The effects of a

Hill.

combined goal setting, feedback and incentive

intervention on job performance in a manufactur-

Hogan, L.C., Bell, M., & Olson, R. (2009). A pre-

ing environment. Journal of Organizational

liminary investigation of the reinforcement func-

Behavior Management, 19 (3), 5-26.

tion of signal detections in simulated baggage

screening:further support for the vigilance rein-

Johnson, D. (2002). What happened to the “behav-

forcement hypothesis. Journal of Organizational

ior” buzz? Industrial Safety & Hygiene News, 36,

Behavior Management, 29 (1), 6-18.

30.

Homme, L.E., DeBaca, P.C., Devine, J.V., Steinhorst,

Johnson, D. W., Maruyama, G., Johnson, R., Nelson,

R., & Rickert, E.J. (1963). Use of the Premack

D., & Skoro, L. (1981). Effects of cooperative,

principle in controlling the behavior of nursery

competitive and individualistic goal structures on

school children. Journal of the Experimental

achievement: A meta-analysis. Psychological

Analysis of Behavior, 6 (4), 544.

Bulletin, 89 (1), 47-62.

Huber, V. L. (1985/1986). The interplay of goals

Johnson, G. A. (1975). The relative efficacy of stim-

and promises of pay-for-performance on individu-

ulus vs. reinforcement control for obtaining stable

als and group performance: An operant interpre-

performance change. Journal of Organizational

tation. Journal of Organizational Behavior

and Human Performance, 14 (3), 321-341.

Management, 7 (3/4), 45-64.

Kazdin, A. E. (1975). Behavior modification in

Ilgen, D. R., Fisher, C. D., & Taylor, M. S. (1979).

applied settings. Georgetown, Ontario: The

Consequences of individual feedback on behavior

Dorsey Press.

in organizations. Journal of Applied Psychology, 64

(4), 349-371.

Komaki, J. (1998). Leadership from an operant per-

spective. New York, NY: Routledge.

Imai, M. (1986). Kaizen: The key to Japan’s competi-

tive success. New York: Random House.

Komaki, J. (1986). Toward effective supervision: an

operant analysis and comparison of managers at

Iversen, I. H. (2002). Response-initiated imaging of

work. Journal of Applied Psychology, 71, 270-279.

operant behavior using a digital camera. Journal of

the Experimental Analysis of Behavior, 77 (3),

Komaki, J., & Barnett, F. (1977). A behavioral

283-300.

approach to coaching football: improving play

execution of the offensive backfield on a youth

Iversen, I. H., & Lattal, K. A. (1991). Techniques in

football team. Journal of Applied Behavior

behavioral and neural sciences (Vol. 6):

Analysis, 10 (4), 657-664.

Experimental analysis of behavior, Parts 1 and 2.

Atlanta: Performance Management Publications.

REFERENCES

317

Komaki, J., Barwick, K.D. and Scott, L. R. (1978). A

Loewy, S., & Bailey, J. (2007). The effects of graphic

behavioral approach to occupational safety:

feedback, goal setting, and manager praise on cus-

Pinpointing and reinforcing safe performance in a

tomer service behaviors. Journal of Organizational

food manufacturing plant. Journal of Applied

Behavior Management, 27 (3), 15-26.

Psychology, 63 (4), 424-445.

Ludwig, T.D., Biggs, J., Wagner, S., & Geller, E.S.

Komaki, J., Blood, M., & Holder, D. (1980).

(2002). Using public feedback and competitive

Fostering friendliness in a fast food franchise.

rewards to increase the safe driving behaviors of

Journal of Organizational Behavior Management,

pizza deliverers. Journal of Organizational

2 (3), 151-164.

Behavior Management, 21 (4), 75-104.

Krause, T.R. (1997) The Behavior-based process:

Lundin, R. W. (1969). Personality: A behavioral

managing involvement for an injury-free culture.

analysis. London: The McMillan Co.

Van Nostrand Reinhold. New York.

Luthans, F. (1981). Organizational behavior manage-

Lalli, J. S., Zanolli, K., & Wohn, T. (1994). Using

ment (3rd Ed.). New York: McGraw-Hill.

extinction to promote response variability in toy

play. Journal of Applied Behavior Analysis, 27 (4),

Madsen, C. H., Jr., & Madsen, C. R. (1974).

735-736.

Teaching and discipline: Behavior principles toward

a positive approach. Boston: Allyn & Bacon.

Lattal, K. A., & Neef, N. A. (1996). Recent rein-

forcement-schedule research and applied behavior

Maier, S. F., & Seligman, M. E. P. (1976). Learned

analysis. Journal of Applied Behavior Analysis, 29

helplessness: theory and evidence. Journal of

(2), 213-230.

Experimental Psychology: General, 105 (1), 3-46.

Lattal, K. A., & Perone, M. (1998). Handbook of

Mager, R. F., & Pipe, P. (1997). Analyzing perform-

research methods in human operant behavior. New

ance problems, or you really oughta-wanna.

York: Plenum.

Atlanta, GA: The Center for Effective

Performance, Inc.

Lerman, D. C., Iwata, B. A., & Wallace, M. D.

(1999). Side effects of extinction: Prevalence of

Mal, M. E., McCall, C. A., Newland, C., &

bursting and aggression during the treatment of

Cummins, K. A. (1993). Evaluation of a one-trial

self-injurious behavior. Journal of Applied

learning apparatus to test learning ability in wean-

Behavior Analysis, 32 (1), 1-8.

ing horses. Applied Animal Behaviour Science, 35

(4), 305-311.

Lindsley, O. R. (1965). From technical jargon to

plain English for application. Journal of Applied

Mandino, Og. (1968). The greatest salesman in the

Psychology, 24 (3), 449-458.

world. Hollywood, FL: Frederick Fell Publishers,

Inc.

Locke, E. A., Feren, D. B., McCaleb, V. M., Shaw, K.

N., & Denny, A. T. (1980). The relative effective-

Martin, G. L., & Hrycaiko, D. (Eds.) (1983).

ness of four methods of motivating employee per-

Behavior modification and coaching: Principles,

formance. In K. D. Duncan, M. M. Gruenberg, &

procedures, and research. Champaign, IL: Charles

P. Wallis (Eds.), Changes in work life. New York:

C. Thomas.

John Wiley & Sons, Ltd.

318

REFERENCES

Maslow, A. H. (1943). A theory of human motiva-

Nelson, B. (2002, October 21). Make a strong case

tion. Psychological Review, 50, 370-396.

for employee recognition. Nelson Motivation.

Matthews, G. A., & Dickinson, A. M. (2000).

Nelson, B. (2012). 1501 ways to reward employees.

Effects of alternative activities on productivity

New York: Workman Publishing Company.

under different percentages of incentive pay.

Journal of Organizational Behavior Management,

Nevin, J. A. (1988). Behavioral momentum and the

20 (1), 3-27.

partial reinforcement effect. Psychological

Bulletin, 103 (1), 44-56.

McKean, K. J. (1994). Academic helplessness: apply-

ing learned helplessness theory to undergraduates

Nicol, N., & Hantula, D. A. (2001). Decreasing

who give up when faced with academic setbacks.

delivery drivers’ departure times. Journal of

College Student Journal, 28, 456-462.

Organizational Behavior Management, 21 (4),

105-116.

McLean, Bethany & Elkind, Peter. (2003). The

smartest guys in the room. New York, NY: Penguin

Niehoff, B. P., Paul, R. J., & Bunch, J. F. S. (1998).

Group.

The social effects of punishment events: The

influence of violator past performance record and

Mechner, F., Hyten, C., Field, D. P., & Madden, G.

severity of the punishment on observers’ justice

(1997). Using revealed operants to study the

perception and attitudes. Journal of

structure and properties of human operant behav-

Organizational Behavior Management, 19 (6),

ior. Psychological Record, 47, 45-68.

589-602.

Methot, L. L. and Huitema, B. E. (1998) Effects of

Norman, Donald. (1988). The design of everyday

signal probability on individual differences in vig-

things. New York, NY: Basic Books.

ilance. Human Factors, 40, (1), 102-110.

O’Brien, R. M., Dickenson, A. M., & Rosow, M. P.

Michael, J. (1982). Distinguishing between discrimi-

(Eds.) (1982). Industrial behavior modification: A

native and motivational functions of stimuli.

management handbook. New York: Pergamon

Journal of the Experimental Analysis of Behavior,

Press.

37 (1), 149-155.

O’Brien, R. M., & Simek, T. C. (1978). A compari-

Millenson, J. R., & Leslie, J. C. (1979). Principles of son of behavioral and traditional methods of teach-behavior analysis. New York: MacMillan & Co.

ing golf. Paper presented at the annual meeting of

the American Psychological Association, Toronto,

Mirman, R. (1982) Sales management: an effective

Canada.

performance system. In Industrial Behavior

Modification: A Management Handbook Eds:

Peale, Norman Vincent Peale. (1952). The power of

O’Brien, R.M., Dickinson, A.M. and Rosow, M.P.

positive thinking. New York, NY: Prentice Hall.

New York: Pergamon Press.

Perone, M. (2003). Negative effects of positive rein-

Morse, E. (1988). Contingent compensation–Pay for

forcement. The Behavior Analyst, 26 (1), 1-14.

performance as pie comp. Performance

Management Magazine, 6, (2), 21-31.

Peters, T. J., & Waterman, R. H. (1982). In search of excellence. New York: Harper & Row.

REFERENCES

319

Petersen, D.L. (1975). Safety management: a human

Sahoo, F. M., & Tripathy, S. (1990). Learned help-

approach. Aloray, Inc.

lessness in industrial employees: A study of non-

contingency, satisfaction and motivational

Petersen, D.L. (1989) safe behavior reinforcement.

deficits. Psychological Studies, 35, 79-87.

Aloray Pub. Goshen, N.Y.

Schmitt, D. R. (1987). Interpersonal contingencies:

Pierce, W. D., & Epling, W. F. (1999). Behavior

Performance differences and cost-effectiveness.

analysis and learning (2nd Ed.). Upper Saddle

Journal of Experimental Analysis of Behavior, 48

River, NJ: Prentiss Hall.

(2), 221-234.

Premack, D. (1959). Toward empirical behavioral

Schnake, M. E., & Dumler, M. P. (1989). Some

laws: I. Positive reinforcement. Psychological

unconventional thoughts on the use of punish-

Review, 66 (4), 219-233.

ment in organizations: Reward as punishment

and punishment as reward. Journal of Social

Pritchard, R. D., Jones, S. D., & Roth, P. L. (1988).

Behavior & Personality, 4, 97-107.

Effects of group feedback, goal setting, and incen-

tives on organizational productivity. Journal of

Schneider, Susan. (2012). The science of consequences:

Applied Psychology, 73 (2), 337-358.

how they affect genes, change the brain, and impact

our world. Amherst, NY: Prometheus Books.

Rantz, W. &Van Houten, R. (2011). A feedback

intervention to increase digital and paper check-

Schneider, W. (1985). Training high-performance

list performance in technically advanced aircraft

skills: fallacies and guidelines. Human Factors, 27

simulation. Journal of Applied Behavior Analysis,

(3), 285-300.

44 (1), 145-150.

Segal, J. and Smithwick, S. (1995). Increasing tempo-

Reid, D.H., Parsons, M.B., Green C.W., and Schepis,

rary employee attendance at new job assignments.

M.M. (1991). Evaluation of components of resi-

Progress in Performance Management, Vol. 4.

dential treatment by Medicaid ICF-MR surveys: a

Tallahassee: SPM Press, Inc.

validity assessment. Journal of Applied Behavior

Analysis, 24 (2), 293-304.

Shannon, W. V. (1974). They could not trust the

king: Nixon, Watergate, and the American people.

Reisel, W. D., & Kopelman, R. E. (1995). The

New York: Collier Press.

effects of failure on subsequent group perform-

ance in a professional sports setting. Journal of

Shewart, W. A. (1939). Statistical methods from the

Psychology, 129 (1), 103-113.

standpoint of quality control. W. E. Deming (Ed.)

Washington DC Graduate School, Dept. of

Riggs, J. L. (1986). Monitoring with a matrix that

Agriculture.

motivates. Performance Management Magazine, 4,

(3), 13-19.

Sigurdsson S.O, Austin J. (2008). Using real-time

visual feedback to improve posture at computer

Roberts, P. (1997). Should corrective feedback come

workstations. Journal of Applied Behavior

before or after responding to establish a “new”

Analysis. 41 (3): 365–375.

behavior? Denton, TX: University of North Texas

(Unpublished master’s thesis).

Simek, T. C., & O’Brien, R. M. (1981). Total golf: a

behavioral approach to lowering your score and get-

ting more out of your game. New York: Doubleday

& Co.

320

REFERENCES

Skinner, B. F. (1936). Conditioning and extinction

Sulzer-Azaroff, B. (1982)Behavioral approaches to

and their relation to drive. Journal of General

occupational health and safety. 505-538.

Psychology, 14 (2), 296-317.

Frederiksen, L. W. Handbook of Organizational

Behavior Management. Wiley. N.Y.

Skinner, B. F. (1938). The behavior of organisms. New York: Appleton-Century-Crofts.

Sulzer-Azaroff, B. (1982). Behavioral ecology and

accident prevention. Journal of Organizational

Skinner, B. F. (1953). Science and human behavior.

Behavior Management, 2 (1), 11-44.

New York: Macmillan.

Sulzer-Azaroff, B., & Mayer, R. G. (1972). Behavior

Skinner, B. F. (1968). The technology of teaching.

modification procedures for school personnel. New

Englewood Cliffs, NJ: Prentice-Hall.

York: Holt, Rinehart, and Winston.

Skinner, B. F. (1972). Cumulative record: a selection

Sundberg, M. L. (1993). The application of estab-

of papers (3rd Ed.). New York: Appleton-

lishing operations. The Behavior Analyst, 16 (2),

Century-Crofts.

211-214.

Skinner, B. F. (1974). About behaviorism. New York:

Taleb, N. N. (2001). Fooled by randomness: the hid-

Vintage Books.

den role of change in the markets and in life. New

York: Texere, LLC.

Skinner, B. F. (1976). Walden two. New York:

Macmillan.

Thompson, D. W. (1978). Managing people: influ-

encing behavior. St. Louis: The C. V. Mosby

Stajkovic, A. D., & Luthans, F. (2003). Behavioral

Company.

management and task performance in organiza-

tions: conceptual background, meta-analysis, and

Thorndike, E. L. (1898). Animal intelligence: An

test of alternative models. Personnel Psychology,

experimental study of the associative processes in

56, 155-194.

animals. Psychological Review Monograph

Supplements, 2, 1-109 (Serial 8).

Stoddard, L. T., Serna, R. W., & McIlvane, W. J.

(1994). A note on stimulus control shaping and

Thurkow, N. M., Bailey J. S., & Stamper, M. R.

one-trial learning in two- and three-year-old chil-

(2000). The effects of group and individual mon-

dren. Psychological Record, 44 (2), 289-299.

etary incentives on productivity of telephone

interviewers. Journal of Organizational Behavior

Stone, Clement. (1962). The success system that never

Management, 20 (2), 3-25.

fails. Englewood Cliffs, NJ: Prentice Hall.

Todd, J. T., Morris, E. K., Fenza, K. M. (1989).

Stuart, R. B. (1970). Assessment and change of the

Temporal organization of extinction-induced

communicational patterns of juvenile delinquents

responding in preschool children. Psychological

and their parents. In R. D. Rubin (Ed.), Advances

Record, 39, 117-130.

in behavior therapy. New York: Academic Press.

Tosti, D. T. (1987). Formative feedback. Performance

Sulzer-Azaroff, B. & Mayer, R. G. (1991). Behavior

& Instruction, 26, 18-21.

analysis for lasting change. New York: Holt,

Rinehart and Winston.

REFERENCES

321

Trevino, L. K. (1992). The social effects of punish-

Yankelovich, D., & Immerwahr, J. (1983). Putting

ment in organizations: A justice perspective.

the work ethic to work–a public agenda report on

Academy of Management Review, 17 (4), 647-676.

restoring America’s competitive vitality. New York:

The Public Agenda Foundation.

Van Houten, R. (1980). Learning through feedback.

New York: Human Sciences Press.

Zander, A., Forward, J., & Albert, R. (1969).

Adaptation of board members to repeated failure

Watson, J. B., & Watson, M. I. (1913). A study of the

or success by their organization. Organizational

responses of rodents to monochromatic light.

Behavior and Human Decision Processes, 4 (1), 56-

Journal of Animal Behavior, 3 (1), 1-14.

76.

Wilk, L.A. & Redmon, W.K. (1990). A daily-adjust-

ed goal-setting and feedback procedure for

improving productivity in a university admissions

department. Journal of Organizational Behavior

Management, 11 (1), 55-75.

323

GLOSSARY

4:1 Rule: see Four-to-One Rule.

ACORN: an acronym that describes a criterion test

developed by Thomas Gilbert for determining the

80:20 Principle (Pareto’s Law): the idea that 20

appropriateness of a job mission statement. Any

percent of employee behaviors probably produce 80

result that might be the job mission is tested against

percent of the results. Dem ing refers to this as focus-

the criteria of Accomplishment, Control, Overall ing on the “Impor tant Few (20 percent) rather than

Objective, Reconcilable, and Numbers.

the Trivial Many (80 percent).”

Antecedent: circumstances, including signals and

A-B Design: an experimental design in which base-

signs in our internal and external environment,

line data are collected (A), then followed by an inter-

which set the occasion for behavior.

vention (B), usually separated by some marker to

clearly indicate the difference between A & B.

Applied Behavior Analysis: a branch of psycholo-

gy that seeks to extend the findings of laboratory

A-B-A Design: an experimental design in which a

research to everyday problems.

baseline (A) is followed by an intervention (B) that is

subsequently withdrawn or stopped, creating a

Backward Chaining: building a behavior chain by

return to baseline (A). (Also referred to as a reversal

beginning with the last behavior–the one closest to

design because the intervention is reversed).

the reinforcer–then proceeding backward in

sequence toward the first behavior.

A-B-A-B Design: an experimental design in which

a baseline (A) is followed by an intervention (B) and

Baseline (A): experimental condition in which data

the reversal of the intervention to baseline (A), after

are collected prior to introducing an intervention (B)

which the intervention (B) is reintroduced.

for the purpose of evaluating the effectiveness of

Essentially, it is an A-B-A design with an additional

your intervention.

intervention (B).

Behavior: any activity of a living creature.

ABC Analysis: a systematic way to investigate the

causes of behavior by analyzing what comes before

Behavior Analysis: a field of study that uses the

and after the behavior.

principles and techniques of science to determine the

relationships between behavior and its interaction

ABC Model: a description of the behavior-change

with the environment.

process expressed in terms of Ante cedent, Behavior, and Consequence (also known as the three-term con-Behavior Chain (or, Chain): a sequence of behav-tingency).

iors in which the reinforcer for one behavior serves

as an antecedent for a subsequent behavior.

Accomplishment: the output of behavior to which

one assigns value.

Behavior Checklist: a list of behaviors that can be

observed and counted as they happen.

324

GLOSSARY

Behavior Class: a group of topographically differ-

Chaining: building a behavior chain by reinforcing

ent behaviors that produce the same effect on the

one behavior to some criterion and then increasing

environment.

the chain by adding new behaviors one at a time.

Chaining can be done forward or backward.

Behavior Pinpoint: a specific description of behav-

ior that contains four components: action, object,

Class: a subcategory of the measurement of quality.

condition, and criterion.

Class involves the comparison of one performance to

another on the basis of something other than accura-

Behavior State: a condition of the person that

cy or errors, e.g., art, academy awards, athletic com-

requires no action to maintain. For exam ple, sleep-

petitions such as ice-skating and diving.

ing, wearing clothes, conscious, or ugly.

Competitive Benchmarking: a method of settings

Behavioral Consequence: see Consequence.

goals that compares performance to that of your

competitors. Goals are set toward widening or clos-

Behavioral y Anchored Rating Scale (BARS): a ing the gap between your performance and the per-judgment technique in which numbers on a scale are

formance of your competition.

described (anchored) by a specific set of observable

behaviors.

Consequence (or, Behavioral Conse quence):

something that happens as a result of an action, or

Bottom Line: the overall result of the behavior of

behavior.

an organization, usually expressed in financial terms.

Contingency Contract: the application of an

Bribery: where the reinforcer produces the behavior

explicit or implicit contingency e.g., “When you do

rather than the behavior producing the reinforcer

X, then you can do Y.”

(contingent). Usually this means the reinforcer

comes before the behavior.

Contingent: an implicit or explicit statement, of an

if-then relationship. Usually it is be tween a behavior

CARE: an acronym for Controllable, Available, and a consequence (usually a positive reinforcer) in

Repeatable, and Efficient, which refers to the four which the consequence is available only when the

key characteristics of effective reinforcers.

behavior or performance is completed.

Cause and Effect (or, Causation): when one event Continuous Schedule of Reinforcement (CRF): is dependent on another.

a schedule of reinforcement in which every instance

of the behavior is reinforced (FR1 schedule).

Celebration: an opportunity to relive an accom -

plishment.

Correcting: punishing or penalizing undesirable

behavior and reinforcing desirable be havior.

Certain/Uncertain Consequence (C/U): a way of classifying consequences in the PIC/NIC Analysis®.

Correlation: the simultaneous change in value of

C/U asks the question, How likely is it that the per-

two numerical y valued random variables; when two

son will receive the consequence?

events are related, yet one event does not necessarily

cause the other event.

Chain: see Behavior Chain.

GLOSSARY

325

Cost: one measured aspect of performance, typically

Differential Reinforcement of Low Rates

expressed in monetary terms, which can be subdivid-

(DRL): reinforcing a behavior only when its fre-ed into labor, material, and management costs.

quency falls below a certain level. DRL often is used

when the behavior is appropriate but its frequency is

Counting: to name or list (the units of a group or

too high.

collection) one by one in order to determine a total

number; the most objective measurement method.

Discretionary Effort®: that which a person could

do if he/she wanted to do, but if they didn’t do it,

Criteria-Based Ranking: a judgment technique

nothing bad would happen to them.

used to measure the class or novelty of performance.

Performance (individual or group) is ranked against

Discriminative Stimulus: see SD.

others on the basis of specified criteria. For example:

“Claude ranked next to last on the Customer Service

Establishing Operation (EO): see M.O. Now

Survey score.”

more commonly referred to as a Motivating

Operation or M.O.

Criteria-Based Rating: a judgment technique used

to measure the class or novelty of performance.

Extinction: when a previously contingent reinforcer

Performances compared on some scale to specific cri-

is no longer available. This causes the behavior to

teria rather than to other performers. All performers

decrease gradually to its previously unreinforced

matching the criterion earn that score. “”Jenny

baseline level.

earned 4 points (of 5) on customer responsiveness by

responding to 90 percent of customer requests the

Extinction Burst: a temporary increase in the fre-

same day.”

quency of behavior when the behavior no longer

produces the reinforcer.

Dead Man’s Test: a test devised by Dr. Ogden

Lindsley to determine if something is a behavior; if a

Feedback: information about behavior or perform-

dead man can do it, it’s not a behavior. Some exam-

ance that allows a person to change his/her behavior.

ples of behavior that fail the Dead Man’s Test are

being at your desk, stop smoking, have no accidents.

Feedback Graph: a graph, usually a line graph, of

group or individual performance; also the best visual

Deming’s Four Ms: see Four Ms.

device for presenting feedback.

Deprivation: unavailability of a reinforcer to the

Fixed Interval (FI) Schedule: schedule of rein-extent that its effectiveness increases e.g., the longer

forcement in which a reinforcer is delivered for the

one goes without water the more desirable it

first behavior after a fixed amount of time has

becomes.

passed.

Differential Reinforcement of Alternative

Fixed Ratio (FR) Schedule: schedule of reinforce-Behavior (DRA): a technique for dealing with ment in which a behavior is reinforced after the

unwanted behavior, in which reinforcers for undesir-

behavior occurs a fixed (pre-determined) number of

able behavior are removed (extinction) and desirable

times.

alternative behavior is reinforced.

326

GLOSSARY

Fixed Time (FT) Schedule: schedule in which a Intervention (B): the introduction or implementa-reinforcer is delivered after a fixed amount of time

tion of planned change to produce a change in

independent of behavior.

behavior. Behavior during Inter vention B is com-

pared with behavior under Baseline A to assess the

Forward Chaining: building a behavior chain by

effectiveness of the change.

establishing the first behavior and then add ing in

sequence one behavior at a time as you build toward

Job Aid: antecedents, usually in the form of descrip-

the terminal behavior.

tions, instructions, or flowcharts, that facilitate per-

formance.

Four Ms: Deming’s classification for the sources of

process variation: Materials, Machinery, Methods, Job Mission: the most important result of a job.

and Manpower.

Judgment: a subjective method of measurement

Four-to-One Rule: a guide that states that the

that involves rating or ranking performance based on

number of reinforcers one delivers over a period of

opinion or pre-established criteria.

time should exceed the number of punishers and

penalties by at least four to one. This applies to all

Learned Helplessness: a condition where a person

the reinforcers one gives, not just those to a particu-

does not respond in the presence of a reinforcer

lar person.

caused by the inability to control the delivery of

consequences (gain reinforcers or avoid punishers

Generality: imprecise description of performance or

and penalties) despite wide variation in behavior.

behavior, such as “creative.”

Loose-Tight Control: managing optimal perform-

Goal: an antecedent that describes a terminal level

ance by knowing when to increase (tighten) or

of performance to be attained.

decrease (loosen) direct supervision.

Goal Setting: defining a specified, or preset, level of Management By Exception: ignoring employee

performance to be attained.

performance when they are doing what they are sup-

posed to do, and focusing on and responding to per-

Immediate/Future Consequence (I/F): a way of formance deficits.

classifying consequences in a PIC/NIC Analysis®. I/F

asks the question, Does the consequence occur

Measurement: the use of counting or judgment to

immediately (during or at the conclusion of the

define the quality, quantity, timeliness, and cost of

behavior) or is the consequence delayed until some

performance.

future time?

Mission: the most important result either of a job

Incompatible Behavior: behavior that cannot occur

(job mission) or an organization (organizational mis-

at the same time as the target be havior. For example,

sion).

sitting down is incompatible with standing up.

MOR: an abbreviation for three important charac-

Intermittent Schedule of Reinforcement (INT): a teristics of a pinpoint: Measurable, Observable, and schedule of reinforcement in which behavior is rein-Reliable.

forced occasionally; i.e., not every instance of the

behavior is reinforced (e.g., FI, FR, VI, VR schedules).

GLOSSARY

327

Multiple-Baseline Design: an A-B experimental

Opinion-Based Ranking: a judgment technique

design in which the intervention is replicated, yet

used to measure the class or novelty of performance.

introduced at different times, across subjects, set-

The performance of a group or individual is ranked

tings, or performance variables. The baseline and

with others on the basis of someone’s opinion. For

intervention for one subject, setting or variable can

example, “In comparing all the programmers in the

be compared to the baseline and intervention of

section on initiative, I rank Alfie third.”

another subject, setting, or variable. The prime

objective in using a multiple-baseline intervention is

Opinion-Based Rating: a judgment technique

to demonstrate that change in behavior is function-

used to measure the class or novelty of performance.

ally related to the onset of the intervention and not

The performance of a group or individual is scored

to other factors.

on an opinion scale. For example, “I would rate your

sales presentation as a 9 on a 10-point scale.”

Negative/Immediate/Certain Consequence

(NIC): a category of consequence described on a Organizational Mission: the most important result

PIC/NIC Analysis® that tends to inhibit or stop

of an organization.

behavior.

Penalty (P-): a consequence that decreases the fre-

Negative Reinforcement: strengthening of behav-

quency of behavior where something valued or

ior when that behavior results in the escape or avoid-

desired is taken away contingent on behavior.

ance of something aversive.

Performance: a unit consisting of situation, behav-

Negative Reinforcer (R-): a consequence that

iors, and results that are combined to produce a spe-

increases behavior when it is removed. People will

cific accomplishment.

increase behavior in order to escape from a situation

where they are being shocked or will increase activity

Performance Appraisal System (PAS): an attempt to avoid such a situation, for example.

to manage individuals by periodic review of their

performance (often mistakenly confused with

No-But Rule: the rule that a positive consequence,

Performance Management).

e.g. compliment, should not be followed by a “but”

and a negative consequence, e.g. criticism. For exam-

Performance Feedback: see Feedback.

ple, “Great presentation, but we need to talk about

one of your slides.”

Performance Improvement Plan (PIP): a written

plan for improving performance that includes all the

Non-Contingent: a term used to describe reinforce-

necessary elements for maximizing performance: pin-

ment given without regard to behavior i.e., a rein-

pointing, measurement, feedback, positive reinforce-

forcer that is not earned. See also FT schedule.

ment, and follow-up. (Not to be confused with

Gilbert’s PIP (Potential for Improving Performance)).

Novelty: a subcategory of the measurement of quali-

ty. Refers to performances that are important for

Performance Management (PM): a technology for their newness or creativity.

creating a workplace that brings out the best in people

while generating the highest value for the organization.

The technology is derived from the science of behavior

analysis, making PM a branch of Applied Behavior

Analysis.

328

GLOSSARY

Performance Matrix: any combination of BARS,

Post-Reinforcement Pause (PRP): a period when checklists, and counts that covers the most impor-little or no behavior occurs following reinforcement,

tant aspects of a person’s or group’s job.

seen most easily under FI and FR schedules of rein-

forcement.

PIC/NIC Analysis®: a formal, but not scientific,

way of looking at a behavior and its antecedents and

Premack Principle: the observation that high-prob-

consequences from the perspective of the performer.

ability behavior (one that occurs predictably in a

choice situation) may serve as a positive reinforcer

Pinpoint: a specific description that refers to any

for a low probability behavior (one that occurs at a

action (behavior) or outcome (result) that a person

low or zero rate); e.g., “When you finish studying

does or produces.

(low probability behavior), you can go outside

and play (high probability behavior).

Pinpointing: being precise; defining a pinpoint.

Primary Reinforcer: an object, event or condition

PIP: see Performance Improvement Plan.

that is naturally reinforcing, i.e., no learn ing is

According to Thomas Gilbert it is Potential for

required for the stimulus to be a reinforcer, and it is

Improved Performance which is a way to assign a

usually biologically important (e.g., food, water, sex-

concrete value to difference in individual or organi-

ual stimulation).

zational performance by comparing individual per-

formance to an exemplar (the best performer.)

Progressive Discipline: a common, but behavioral-

ly flawed, method for dealing with unacceptable

PM: see Performance Management.

behavior where punitive consequences are increased

in size or intensity each time the problem behavior

Point System: a way of weighting different aspects

occurs.

of a job performance according to their value (priori-

ty) to the organization at a given time.

Punisher (P+): a consequence that decreases the frequency of the behavior it follows.

Positive/Negative Consequence (P/N): a way of classifying consequences in a PIC/NIC Analysis®.

Punishment: a procedure for reducing be havior

P/N asks the question, Is the consequence pleasura-

which involves the presentation of an aversive stimu-

ble or valuable to the person? These consequences

lus following some behavior or performance.

should not be confused with positive and negative

reinforcers as the PIC/NIC Analysis® is not scientific.

Punishment System: a system wherein completion

of one task must be followed by completion of a

Positive Reinforcement: the process of strengthening

less-preferred task, countering the Premack Principle.

a behavior by following it with a positive reinforcer.

Punishment Trap: the tendency to overuse punish-

Positive Reinforcer (R+): a consequence that fol-ment because the person delivering the punisher

lows a behavior and increases the frequency of that

often receives a PIC.

behavior.

Quality: one measured aspect of performance that

includes, among other things, performance accuracy,

class, and novelty.

GLOSSARY

329

Quantity: the most commonly measured aspect of

Reinforcement: the strengthening of behavior by

performance, usually described in terms of volume

following it with positive (R+) or

or rate.

negative (R-) reinforcers.

R+: an abbreviation for positive reinforcer and posi-

Reinforcement Log: a convenient way to track the

tive reinforcement. The context will tell you which.

reinforcement you deliver, which allows analysis of

who, when, what, and how you reinforce. It allows

Rank-Opinion: a judgment measurement technique

someone to analyze patterns of reinforcement. It

used for measuring the class or novelty of a perform-

often shows a restricted range of reinforcers, a nar-

ance. Groups or individuals are compared on the

row range of behaviors that are being targeted for

basis of someone’s opinion. For example, “In com-

reinforcement, and a restricted range of recipients of

paring all the programmers in the section on initia-

the reinforcement attempts.

tive, I rank Alfie third.”

Reinforcement System: an arrangement for deliv-

Rank Pre-Established Criteria: a judgment meas-

ering reinforcement that doesn’t depend solely on

urement technique used for measuring class or nov-

one person’s efforts. For example, a point system

elty of a performance. The performance of a group

allows opportunities for reinforcement to occur in

or individual is ranked with others on specified crite-

the absence of the person responsible for the per-

ria. For example, “Claude ranked next to last on the

formance being scored.

Customer Service Survey.”

Reinforcer (R+ or R-): consequences that increase Rate-Opinion: a judgment measurement technique

the frequency of behavior. There are two types of

often used for measuring the class or novelty of a

reinforcers: positive (R+) and negative (R-). In this

performance. Performance is scored on an opinion

book, for simplicity, the word reinforcer means posi-scale. For example, “I would rate your sales presenta-

tive reinforcer. Negative reinforcer is an aversive stim-

tion as a 9 on a 10-point scale.”

ulus which when removed strengthens a behavior.

Rate Pre-Established Criteria: see Behav ioral y

Reinforcer Survey: a questionnaire or checklist for

Anchored Rating Scale (BARS).

indicating objects, activities, and events on which

one spends, or would like to spend, money and/or

Ratio Strain: when the schedule of reinforcement

time.

will no longer sustain previous levels of behavior. We

frequently see, for instance, a disruption in high

Reliability: the degree to which independent

rates of behavior when there is an abrupt change in

observers agree on a measure or a score assign ed to

the ratio requirement for positive reinforcement e.g.,

some performance.

FR1 to FR100. This is usually caused by trying to

thin the schedule of reinforcement too quickly.

Result: the product of behavior.

Recovery: increase in behavior when punitive con-

Result Pinpoint: a specific description of an out-

sequences are no longer delivered following that

come that contains three components: the desired

behavior. The behavior quickly returns to pre-pun-

direction of change, the units of measure to be used,

ishment levels.

and a precise description of the outcome.

330

GLOSSARY

Resurgence: The reoccurrence of a previously rein-

Secondary Reinforcers: neutral stimuli that have

forced behavior that has undergone

been paired with primary reinforcers or other estab-

ex tinction.

lished secondary reinforcers to the extent that they

take on reinforcing characteristics.

Reversal Design: see A-B-A design.

Shaping: reinforcement of successive approx i -

Reward: usually a monetary award for some out-

mations, or steps, toward some final goal.

standing accomplishment. Rewards are often con-

fused with reinforcers, but are not the same.

Social Reinforcer: any consequence, verbal or sym-

Rewards are typically not immediate, frequent, nor

bolic, provided by one person to another that

personal. Since they are often given long after the

increases the frequency of the other person’s behav-

accomplishment, they may reinforce behavior other

ior; reinforcers that involve interaction between peo-

than that involved in the accomplishment.

ple. They may be verbal, written, or physical, e.g.,

Sampling: a way of collecting data on behavior

hugs and kisses.

where every instance of the behavior does not have

to be counted. Sampling involves counting behavior

SD: antecedent that signals that reinforcement is

at random times and frequently enough to obtain a

available.

reliable estimate of the actual frequency.

SΔ: antecedent that signals that reinforcement is not Sandwich Method: a common, but ineffective,

available.

method for correcting behavior in which criticism is

delivered (or, sandwiched) be tween two compli-

State: see Behavioral State.

ments.

Stimulus Discrimination: detecting which ele-

Satiation: a condition created when a reinforcer

ments/stimuli, or antecedents, in the environment

loses its effectiveness because of

predict desired consequences and which ones do not.

overuse.

Stretch Goal: a goal that is higher than the final

Scal op: the performance pattern created by FI

goal. Stretch goals are used by managers in an effort

schedules of reinforcement, characterized by little or

to produce performance at the level of the final goal

no behavior after reinforcement and increasing

but the use of stretch goals decreases the availability

amounts of behavior as the end of the interval, and

of reinforcement and, therefore, is ultimately ineffec-

reinforcement, approach es. On a cumulative graph

tive.

this creates a visual scalloped effect.

Sub-Goal: intermediate goals met along the way to

Schedule of Reinforcement: a way of organizing

the terminal goal.

reinforcer delivery according to the amount of

responding that has occurred, the length of time that

Tangible Reinforcer: any object or activity with

has passed, or both.

economic value that increases the frequency of a

behavior when presented following that behavior

(e.g., money and plaques).

GLOSSARY

331

Task: A sub-set of an accomplishment, greater than a

Trust: measured behaviorally by a high correlation

single behavior, which has no economic value in and

between antecedents and consequences. People who

of itself. The term usually implies that the important

do what they say they will do are trusted; those who

aspect is the effort involved. Usually we do not con-

do not are not trusted.

cern ourselves with measures of volume, rate or cost

but emphasize the aspects of quality and timeliness.

Variable Interval (VI) Schedule: schedule of rein-Example: When filling out a time card, we are most

forcement in which a behavior is reinforced after a

concerned with the timeliness and accuracy of the

variable amount of time has passed.

entries, not the number of cards turned in.

Variable Ratio (VR) Schedule: schedule of rein-Terminal Result: see Bottom Line.

forcement in which a behavior is reinforced after a

variable number of times it has occurred.

Thinning: gradually increasing the amount of

behavior or length of time required before reinforce-

Variable Time (VT) Schedule: schedule in which a ment is available.

reinforcer is delivered independent of behavior after

a variable amount of time.

Three-Term Contingency: see ABC Model.

Timeliness: one measured aspect of performance

Weighted Checklist: a behavior checklist in which

related to when a job is completed or the amount of

some items on the list earn more points than others.

time required to complete some behavior or per-

formance (cycle time).

WHIP: an acronym for What you Have In your Possession, which refers to reinforcers that are readi-Troubleshooting Tool: a systematic way to discover

ly available (a characteristic of effective reinforcers).

functional relationships between behavior and

results.

333

NAME INDEX

Abernathy, B, 77

Connellan, Thomas K., 173

Forward, J., 74, 94, 190-191,

Agnew, J., 304, 309

Cooper, J. O., 5, 11, 215,

242, 245, 252

Alavosius, M. P., 163

232, 297

Foster, D., 3, 251

Albert, R., 245

Crosby, Philip, 189

Fox, D. K., 304

Allison, D. B., 285

Crowell, C. R., 215

France, K. G., 152, 189

Anger, W. K., 32, 46, 255,

Cummins, K. A., 3

Franklin, Benjamin, 13, 201

269-270

Cunningham, T. R., 157, 243

Frederick, J., 174

Antoniotti, W., 295

Daniels, Aubrey C., Works:

Fredrickson, L. W., 5

Ashworth, C., 309

Bringing Out the Best in

V.Galileo, 13

Austin, J., 1, 157-158, 243,

People, 20, 144, 289, 304

Gawande, Atul, 84

297

Daniels, James, 276, 284

Geller, E. S., 158, 303

Ayllon, T., 214, 222

Darley, J. M., 158

Gilbert, Thomas F., Works:

Azrin, N. H., 153, 260-261

Deming, W. Edwards, 22-24,

Human Competence, 36, 57,

Baer, D. M., 1

36, 73, 102, 143, 158, 250

74-75, 158

Bailey, J. S., 101, 162, 243,

Denny, A. T., 243

Gladwell, Malcolm, 312

301

deSouza Barba, L., 55

Goleman, Daniel, 30

Balcazar, F. E., 161-162,

Dickinson, A. M., 1, 4, 222,

Grabowski, J., 153

166-167, 170

234

Green, C. W., 13, 125, 128,

Barnett, F., 159-160

Downing, C. O., 243

218, 241

Barwick, K. D., 298

Dumler, M. P., 272

Hake, D. F., 153, 261

Baum, W. M., 154

Duncan, P. 1989, 2

Hantula, D. A., 158, 215

Becker, L. J., 158

Durocher, Leo, 201

Hart, B., 18, 39, 200

Becker, W. C.,

Edison, Thomas, 214

Heinrich, H.W., 303

Bell, M., 54, 132, 178, 219,

Einstein, Albert, 12-13

Heron, T. E., 5, 11, 215, 232

230, 232

Eisenberger, R., 217, 225,

Heward, W. L., 5, 11, 232

Bennett, R. H., 153

229, 244

Hogan, L.C., 219, 232

Bennett, R. J., 257

Elkind, P., 28

Holder, D., 25, 58, 158

Biggs, J., 158

Epling, W. F., 5, 178

Homme, L. E., 178

Blood, M., 25, 160

Epstein, R., 154, 265

Hopkins, B. L., 161

Brethower, D. M.,

Fein, Mitchell, 2

Hrycaiko, D., Works: Behavior

Brewer, A., 164-165

Fellner, D. J., 243, 251

Modification and Coaching:

Brobst, B., 243

Fenza, K. M., 153

Principles, procedures, and

Bucklin, B.R., 1, 222, 234

Feren, D. B., 243

research, 5, 160

Bunch, J. F. S., 250, 272

Ferster, C. B., 214-215

Huber, V. L., 243, 251

Burch, M. R., 101

Field, D. P., 1, 28, 226,

Hudson, S. M., 152

Carnegie, Dale, 127

303-305, 312

Huitema, B. E., 236

Catania, A. C., 214, 217, 238

Fisher, C. D., 162

Hutchinson, R. R., 153, 261

Cherek, D. R., 153

Ilgen, D. R. 162

334

NAME INDEX

Imai, Masaaki, Works:

Matthews, G. A, 234

192, 223, 231

KAIZEN, 241

Mayer, R. G., 5, 214, 259,

Pritchard, R. D., 244

Immerwahr, J., Works: The

261

Rantz, W., 157-158

Public Agenda Report on

McCaleb, V. M., 243

Redmon, W. R., 243

Restoring America’s

McCall, C. A., 3

Reid, D. H., 218

Competitive Vitality, 146

McGee, H. M., 234

Reisel, W. D., 245

Iversen, I. H., 12

McIlvane, W. J., 3

Riggs, J. L., 90

Iwata, B. A., 152, 189

McKean, K. J., 259

Risley, T., 1, 200

Johnson, D., 20

McLean, Bethany, 28

Roberts, P., 2, 165

Johnson, D. W.,285

Mechner, F., 154

Roosevelt, Theodore, 21, 132

Johnson, G. A., 133

Methot, L. L., 236

Rosow, M.P., 5

Johnson, R., 285

Michael, J. L., 106, 189

Roth, P. L., 244

Jones, S. D., 244

Millenson, J. R., 5, 153

Sahoo, F. M., 259

Kazdin, A. E., 5

Mills, Courtney, 29, 258

Schepis, M. M., 218

Kelly, T. H., 153

Mirman, R., 150

Schmitt, D. R., 285

Kissinger, Henry, 200

Morris, E. K., 153

Schnake, M. E., 272

Kolko, D. J., 214, 222

Morse, E., 290

Schneider, S., 107

Komaki, Judy, 25, 29, 68, 70,

Neef, N. A., 232

Schneider, W., 188

159-160, 298, 304

Nelson, B., Works: 1501 Ways

Scott, L. R., 298, 303

Kopelman, R. E., 245

to Reward EmployeesNelson,

Segal, J., 16, 128

Krause, T. R., 304

D., 147-148, 282

Seligman, C., 158

Lalli, J. S., 153

Nevin, J. A., 154, 215

Seligman, M. E. P., 259

Laraway, S., 106

Newland, C., 3

Serna, R. W., 3

Lattal, K. A., 5, 232

Nicol, N., 158

Shank, D. M., 225

Lay, Kenneth, 136

Niehoff, B. P., 272

Shannon, W. V., 63

Leblanc, Peter, 197

Norman, Donald, 127

Shaw, K. N., 243

Lerman, D. C., 152

O’Brien, R. M., 4-5, 241

Shewart, W. A., 73

Leslie, J. C., 5, 153

Olson, R., 219, 232

Sigurdsson, S. O., 157-158

Lindsley, Ogden R., 25, 42,

Pareto, Vilfredo, 64

Simek, T. C., 241

49, 52, 178, 294

Parsons, M. B., 218

Skinner, B. F., Works: About

Locke, E. A., 243

Paul, R. J., 272

Behaviorism; The Technology

Lowey, S., 162

Peale, Norman Vincent, 127

of Teaching, 1, 3, 5-6, 11, 46,

Ludwig, T. D., 158

Perone, M., 5, 144

200, 214-215, 303

Lundin, R. W., 214-215

Peters, Tom J., Works : In

Smith, R. G., 189

Luthans, F., 205, 245

Search of Excellence, 15, 22,

Smithwick, S., 128

Lyons, T., 179

232

Spiga, R., 153

Madsen, C. H., Jr., 200

Petersen, D., Works: Safe

Stahelski, A. J., 243

Madsen, C. R., 200

Behavior Reinforcement;

Stajkovic, A. D., 205

Mager, R. F., 109, 146, 163

Safety Management: A

Stamper, M. R., 301

Maier, S. F., 259

Human Approach, 303-304

Steinberg, J. L., 153

Mal, M. E., 3, 189, 203

Pierce, W. D., 5, 178

Stengel, Casey, 49

Mandino, Og, 127

Pipe, P., 109, 146, 163

Stoddard, L. T., 3

Martin, G. L., 5, 160, 184

Poling, A., 106

Stone, Clement, 127

Maslow, Abraham H., 147

Premack, David, 177-180,

Stuart, R. B., 200

NAME INDEX

335

Suarez, Y., 161

Thurkow, N. M., 301-302

Wilk, L. A., 243

Sulzer-Azaroff, B., 5, 163,

Todd, J. T., 153

Wohn, T. , 153

214, 243, 251, 261, 304

Tosti, D. T., 164

Wolf, M. M., 1

Sundberg, M. L., 189

Trevino, L. K., 272

Woods, Tiger, 31, 184

Taleb, N. N., Works: Fooled by

Tripathy, S., 259

Yankelovich, D., Works: The

Randomness: The Hidden Role

Van Houten, R., 157-158

Public Agenda Report on

of Chance in the Markets and

Wagner, S., 158

Restoring America’s

in Life, 15

Wallace, M. D., 152

Competitive Vitality, 146

Taylor, A., 3

Ward, P., 243, 268, 290, 300

Zander, A., 245

Taylor, M. S., 162

Waterman, R. H., Works : In

Zanolli, K., 153

Tebow, Tim, 141

Search of Excellence, 15, 22

Thompson, D. W., 46

Watson, J. B., 1

Thorndike, E. L., 1

Watson, M. I., 1

337

SUBJECT INDEX

A-B, A-B-A, and A-B-A-B design ( see also Multiple-

BCBS ( see Blue Cross and Blue Shield (BCBS) of

baseline design, types of ), 296-300

Alabama)

ABC Analysis ( see ABC Model; Correcting)

Backward chaining ( see also Behavior chain;

ABC Model ( see also Antecedents; Consequences),

Chaining; Goals), 242-243, 252

105-115, 117

BARS ( see Behaviorally Anchored Rating Scale)

PIC/NIC Analysis® and, 117-124

Baseline ( see also Graphing; Multiple-baseline

Three-term contingency and, 105

design;

About Behaviorism (Skinner), 5-6

Performance matrix) 299-300

ACORN test ( see also Mission; Pinpoints), 57-59,

Behavior ( see also Behavior change)

71

As focus of change, 24

Anchored rating scale ( see also Behaviorally

As focus of reinforcement, 64-67

Anchored Rating Scale (BARS)), 82-84

Attitude versus, 109-110

Antecedents

Checklist for, 84-87

ABC Model and, 105-106

Consequences of, 107-108

Characteristics of, 132-137

Defined (technically), 25

Communication and, 136-137

Discretionary, 106

Consequences as, 134

Emotional, 153, 155, 263-265

Defined, 125

External versus internal, 25

Effective use of, 125-137

Generalities and, 27-28

Establishing operations (EOs) and 106-107

Goal-directed, 136, 244, 246

Examples and effects of, 125-127

High-and-steady rates of, 26

Feedback as, 169-170

Laws of, viii, 6, 22, 24

Job aids as, 137

Misbehavior, non-behavior and, 48-49

Motivating operations (MOs), 106-107

Operant, 106

PIC/NIC Analysis® and, 118

Patterns of, 22, 24, 229, 272

Rule-governed behavior and, 129-130

Pinpointing of, 42-43

Stimulus discrimination and, 128-129

Relation to performance, 26-27

Three-term contingency and,

Socially sensitive, 65-66

Verbal behavior as, 135-137

States versus, 28-29

Applied Behavior Analysis, 1, 11, 17, 101, 103, 126,

Thoughts and feelings, 30-31

251, 263, 297, 304

Value-added, 25

Appraisal systems ( see also Performance appraisal,

Values and, 29-30

systems (PAS)), 83-84, 284, 289-291

Behavior analysis ( see Applied Behavior Analysis)

Association for Behavior Analysis International

Behavior chain ( see also Chaining)

(ABAI) The, 312

Pinpointing and, 43-45

Arkansas Eastman, 284

Behavior change ( see also Behavior variability)

Arthur Andersen, 21

Consequences and, 108

Attitudes, 11, 28, 38-40, 109

Correcting and, 265-267

Aubrey Daniels Institute, 312

Evaluation of, 296-299

338

SUBJECT INDEx

Incompatible behavior and, 154

Science and, 12-13

PIC/NIC Analysis® and, 229

Common ways of knowing (four), 12

Pinpointing and, 42

Competition ( see also Contests)

Punishment and, 145, 152, 202, 246

Counter productivity and, 29

Behavior class ( see also Pinpoints), 43, 75

Employee of the Month and, 288

Behavior variability ( see also Behavior Change)

Internal versus external, 285-286

Causes of, 23-24, 27-28, 43

International, 20

Punishment and, 153-154

Performance appraisal and, 288

Behavioral consequence ( see also Consequences)

Competitive benchmarking ( see also Goals), 292

Defined, 107

Consequences

Four types of, 113-115

ABC Model and, 107-115

Behaviorally Anchored Rating Scale (BARS) ( see also

Behavioral types of, 107-108

Point system, effective use of ), 82-83, 89-90

Crisis-oriented management and, 112-113

Benchmarking ( see Competitive benchmarking)

Effects of, 108-109

Blue Cross and Blue Shield (BCBS) of Alabama, 3

Safety and, 303-309

Bottom line

System, 115

Results and, 9, 20, 108, 231

Value of, 110-111

Break and run, 218

Contests ( see also Competition)

Bribery

Effective use of, 291

Reinforcement versus, 206-209

Guidelines for, 291-292

Bringing Out the Best in People (Daniels), 144

Contingent ( see Reinforcement)

Business ethics and values, 22

Contingency contract ( see also Premack Principle),

CARE ( see Reinforcers)

178

Cause and effect

Continuous improvement, 241, 304

Misreading of, 14-15, 296

Continuous schedule of reinforcement (CRF) ( see

Celebration

also Schedule of reinforcement, continuous and

As reinforcer, 197-198

intermittent), 211

Costs and, 181-182

Control-group designs, 299

Post-reinforcement pause (PRP) as, 224

Correcting

Tangibles and, 307

Differential reinforcement of alternative

Certain/Uncertain consequence (C/U) ( see

behavior (DRA) and, 273-274

PIC/NIC Analysis®)

Four-to-one rule/4:1 ratio and, 271

Chain ( see Behavior chain)

Guidelines for, 267-273

Chaining ( see also Behavior chain; Goals, chaining

Incompatible behavior and, 270

and)

Progressive discipline and, 275-276

Backward, 242-243, 252

Punishment and, 265-266

Forward, 242

Sandwich method and, 271

Innovation and, 241-243

Correlation/Causation, 14-15, 47, 128-129, 134-

Tasks and, 242-243

135, 296

Changing behavior ( see Behavior change)

Costs ( see also Measurement, categories of )

Class ( see also Measurement, categories of ), 43, 75-Labor, 77

76, 78, 85

Management, 78-79

Coaching ( see Shaping)

Material, 77

Common sense

Counting ( see Measurement, methods of; Sampling)

SUBJECT INDEx

339

Criteria-based ranking, 81

Shortcuts and, 154

Cultures ( see Positive reinforcers (R+), cultural dif-Variability and, 153

ferences)

Extinction burst, 152-153, 155, 263-264

Data ( see also Measurement, data collection)

False logic, 31

Collection of, 93

Fear-driven organizations (Deming), 144

Feedback and, 157

Feedback

Goals and, 169

Antecedents and, 161

Reinforcement and, 169-170, 196-197, 200-

Biofeedback, 160

201

Characteristics of effective, 162-170

Dead Man’s Test ( see also Pinpointing), 25, 49, 167

Conditioned reinforcement and, 162

Decision making, 215

Defined, 157

Deming’s Four Ms ( see Four Ms)

Formative feedback, 164-165

Deprivation ( see also Satiation), 107, 189

Graphing and, 168-179

Differential reinforcement of alternative behavior

Reinforcement and, 161-162

(DRA)

System, 158, 161, 198

Defined, 265, 273

Thematic, 169

Guidelines for, 274

Value of, 157-158

When to use, 274

Fixed interval (FI) schedule ( see also Schedule of

Discipline

reinforcement, interval schedules), 217-223, 230,

Performance Management and, 200, 274-275

233-234, 238

Progressive programs of, 261, 275-277

Fixed ratio (FR) schedule ( see also Schedule of reinPunishment and, 268-269

forcement, ratio schedules), 188, 222-223, 230-

Discretionary effort, 47, 148, 172, 287

232, 234, 264

Discriminative stimulus, 11, 128, 162

Fixed time (FT) schedule ( see also Schedule of rein-

80-20 Principle ( see also Pareto’s Law), 64

forcement, response independent reinforcement),

Emotional behavior, 153, 155, 264-265

230, 238

Employee burnout, 21

Fooled by Randomness: The Hidden Role of

Employee of the Month ( see also Competition;

Chance in the Markets and in Life (Taleb, N. N.),

Schedules of reinforcement), 286

15

Enron, 21, 28, 41, 136, 144

Forced distribution ( see also Performance appraisal, Escape-and-avoidance behavior ( see also

systems (PAS)), 288

Punishment), 257

Formative feedback ( see also Feedback), 165

Establishing operations (EOs), 107, 189

Forward chaining, 242

Ethics and values ( see also Performance Management,

Four Ms (Deming’s) ( see also Variance), 23-24

values and), 22

Four-to-one rule/4:1 ratio ( see also Correcting), 200-Extinction

201, 254, 271, 273

Behavior under, 151-155

Goals and standards (Deming), 143

Creativity and, 153

Goal-directed behavior, 244, 246

Emotional behavior and, 153

Goals ( see also Graphing)

Forgetting versus, 154-155

Chaining and, 241-243

Habit breakdown and, 153-154

Competitive benchmarking and, 250

Resurgence and, 154, 265

Defined, 243

Schedules of reinforcement and, 211, 214-215,

Proper use of, 244-247

230

Setting, 243

340

SUBJECT INDEx

Participative goal setting, 251

Leadership

Shaping and, 246

Management versus, 46-47

Sources of information and data for, 247-249

Learned helplessness, 245, 259

S-shaped learning curve and, 248-249

Learned industriousness

Stretch, 245, 247

Reinforcement histories, 216-217

Sub-goals and, 246

Loose-tight [form of ] control ( see In Search of

Grandma’s Law ( see also Premack Principle), 178

Excellence)

Great Santini, The, 111

Malicious compliance, 259

Habits ( see Behavior, patterns of )

Management by exception, 256, 262

Hierarchy of Needs (Maslow), 147

Management by Objectives (Ordiorne), 21

High-and-steady rate ( see also Behavior; Schedule of Management techniques, 173

reinforcement), 67-68, 113, 225

Marble exercise (Deming’s), 23

History of reinforcement ( see PIC/NIC Analysis®)

Mary Kay Cosmetics, 184, 290

Housekeeping, 76, 86, 126, 218, 260-261

Matrix ( see Performance matrix)

Immediate/Future consequence (I/F) ( see PIC/NIC

MBWA ( see Managing by Wandering Around)

Analysis®)

Measurement

Improshare, 3

Accountability and, 87

In Search of Excellence (Peters; Waterman), 15

As key to progress, 72

Incompatible behavior ( see Behavior change;

Barriers to, 73-74

Correcting)

Categories of ( see also Cost), 74-79

Inter-rater reliability ( see Measurement)

Credibility and, 72-73

Intermittent schedule of reinforcement (INT) ( see

Data collection and, 93

Schedule of reinforcement, continuous and inter-

Emotionalism and, 73

mittent)

Importance of, 71

International competition ( see Competition)

Inter-rater reliability and, 84

Interval schedules ( see Schedule of reinforcement)

Methods of, 80-83

Intervention ( see also Graphing; Multiple-baseline

Performance matrix and, 90-92

design), 2-4, 12, 14, 17, 37, 49, 97, 99-100,

Ranking versus rating, 83-84

103, 112, 146, 160, 229, 246, 293, 296-299, 305

Rate, 83-84

Job aid ( see also Antecedents), 126-127, 137

Relevance of, 79-80

Job measurement ( see Measurement, barriers to;

Reliability and, 84

tools of )

Summary of methods, 94

Job mission ( see also Pinpoint), 56-59, 61-62

Tools of, 84-88

Journal of Applied Behavior Analysis, 17, 160

Micromanagement, 21, 71

Journal of Experimental Analysis of Behavior, 215

Milestones, 51, 65

Judging/Judgment, 73, 78, 80-85, 87, 89-90, 93-95,

Milliken and Company, 312

269

Mind games ( see Behavior), 30-31

KAIZEN (Imai), 241

Mission

Labels

ACORN test and, 57-58

Behavioral, 6, 38, 83

Types of, 57

Graphing and, 97

Motivating operations (MOs) ( see also Antecedents),

Law of gravity, 22

106-107, 110, 303

Laws of behavior, 6, 22, 24, 179

Multiple-baseline designs

Laws of learning, 7

Control-group designs, 299

SUBJECT INDEx

341

Effective use of, 299-301

Performance change ( see also Behavior change)

Intervention with, 298

Evaluation of, 296-299

Research designs and, 300

Performance feedback ( see Feedback)

Negative behavior ( see Behavior change)

Performance Improvement Plan (PIP), 216

Negative/Immediate/Certain consequence (NIC)

Performance Management (PM)

( see PIC/NIC Analysis®)

Applicability of, 2

Negative reinforcement, 62, 64, 72, 93, 103, 114,

Average improvement with, 2

140, 142-145, 155, 245, 250, 253, 263, 266, 276

Celebrations and, 65

Negative reinforcer (R-), 141, 145

Defined, 312

No-but rule, 204, 240

Discipline and, 274-277

Non-contingent ( see Reinforcement, contingency

Ethical decision making and, 8-9

of )

Fun at work and, 7

Normal curve ( see Competition)

Motivational tricks and, 8-9

Novelty, ( see also Measurement, categories of )

Psychological training and, 3-7

As dimension of quality, 76

Relationships and, 7-8

Defined, 76

Research and, 5

Objectives Matrix, 90

Results with, 2-3, 144

Objectivity ( see also Performance appraisal), 6, 124

Return on investment with, 105

OBM Network, 312

Successful intervention with, 2

Off-task behavior, 7

Value of, 2-9

Operant ( see Behavior)

Values and, 19-22

Opinion-based ranking, 81

Performance matrix

Opinion-based rating, 81

Baseline and, 90

Organizational change initiatives, 106

Defined, 90-92

Organizational hierarchy, 8

Objectives matrix (OMAx), 90

Organizational mission ( see also Mission, types of ), Performance measurement ( see Measurement)

55

Performance reviews ( see Performance appraisal)

Pareto’s Law ( see also 80-20 Principle), 64

PIC/NIC Analysis®

Parsimony, 11, 45

ABC Model and, 117

Participative goal setting, 251

Antecedents and, 123

Pay and performance, 197, 222

Certain/Uncertain consequence (C/U), 121

Penalty (P-), ( see also Punishment), 114, 140, 142,

Consequence types using, 122-124

144-145, 189, 221, 253-257, 259, 262, 265-266,

History of reinforcement with, 123-124

270, 277

Immediate/Future consequence (I/F), 120

Performance

Negative/Immediate/Certain consequence

Defined, 26

(NIC), 120

Evaluating change in, 35

Performer consequences and, 123-124

Self-monitored, 165-166

Positive/Immediate/Certain consequence

Performance appraisal

(PIC), 120

Competition and, 288, 290-292

Positive/Negative consequence (P/N), 113,

Forced distribution, 288-290

119-123

Lack of value and, 289

Pinpoints

Objectivity and, 84

ACORN test and, 57-59

Ranking and, 289-290

Active vs. inactive, 49

342

SUBJECT INDEx

Behavior chain and, 43-46

Finding and creating effective, 150, 171-177

Behavior class and, 43

Methods for identifying, 174-175

Behavior-focused, 42-43

Post-reinforcement pause (PRP), 223

Behaviors versus results, 40-43

Predictable and dependable, 12

Characteristics of, 35-41

Pre-established criterion ( see also Measurement,

Checklist for evaluating, 53

methods of ), 82, 84

Dead Man’s Test, 49

Premack Principle ( see also Contingency contract;

Defined, 35

Grandma’s Law; Positive Reinforcers, methods

Job mission and, 56-57

for identifying, and time-management system),

Performance and, 53

177-180, 192

Reliability of, 37

Primary and secondary reinforcers

Results-focused, 49-51

Defined, 149

Selecting, 55

Natural, 150

Stereotyping, labeling and, 38

Social, 151

Value of, 53-54

Tangible, 150

Verbal behavior and, 46-47

Problem solving, 31, 47, 73, 122, 257

Writing of, 51-53

Procrastination, 180, 207

P- ( see Penalty)

Progressive discipline programs ( see Discipline, pro-P+ ( see Punishment)

gressive programs of )

PIP ( see Performance Improvement Plan)

“Public Agenda Report on Restoring America’s

PM ( see Performance Management)

Competitive Vitality, The” (Yankelovich,

Point system ( see also Measurement, tools of )

Immerwhar), 146

Behaviorally Anchored Rating Scale (BARS)

Punisher (P+) ( see also Punishment), 114, 140-142,

and, 83, 89

144-145, 180, 196, 254, 256-257, 260, 271-273

Defined, 87

Punishment

Effective use of, 88-90

Aggression and, 259

Positive/Negative consequence (P/N) ( see PIC/NIC

Brainstorming and, 258, 274

Analysis®)

Discipline and, 268-269

Positive reinforcement ( see also Positive reinforcers Escape-and-avoidance behavior and, 257

(R+))

Learned helplessness and, 259

Accountability and, 148

Management by exception and, 262

Aversion and, 149

Negative side effects of, 256-260

Behavior as focus of, 68

Penalty versus, 254-257

Coercive control and, 145

Workplace violence and, 259-260

Discretionary effort™ and, 148

Punishment system, 180

Ethical issues and, 149

Punishment trap, 255-256

Measurement and, 71-72

Quality ( see also Measurement, categories of )

Planning of, 91-92

Marble exercise (Deming’s), 22-24

Primary and secondary, 149-150

Three dimensions of, 74-76

Rewards and, 183

Quantity, 49, 57, 60, 74, 76-79, 87, 93-94, 133, 285

Thematic, 169

R- ( see Negative reinforcer)

Why use, 145-149

R+ ( see Positive reinforcers)

Positive reinforcers (R+)

Rank pre-established criteria, 94

Cultural differences and, 172, 176

Rate buster, 109

SUBJECT INDEx

343

Rate opinion, 83, 94

No-but rule, 204

Rate pre-established opinion ( see also Behaviorally

Reward versus, 206

Anchored Rating Scale (BARS)), 84, 94

Samples of, 183

Ratio schedules ( see also Schedules of

Sandwich method, 202

Reinforcement)

Satiation and, 205

Defined, 211

Social, 151

High-and-steady rate (HSR) and, 225

Tangible, 182-185

Post-reinforcement pause (PRP) and, 223

Trial and error, 180

Types and effects of, 217-226

WHIP, 181

Ratio strain ( see also Schedules of Reinforcement),

Reliability ( see Measurement; Pinpoints)

236-238

Response independent reinforcement ( see Schedule

Recovery, 261-262

of reinforcement)

Reinforcement

Results ( see also Pinpoints, result-focused)

Bribery versus, 206-207

Defined, 36

Contingency and, 207

Pareto’s Law and, 64

Defined, 12

Re-engineering and, 20, 24

Engineered, 188

Resurgence

Four characteristics of effective, 181-182

Defined, 154

Goal setting and, 203-205

Extinction and, 154-155

Manipulation versus, 207

Reversal ( see Multiple-baseline designs, types of )

Potential, 250

Reward

Reward versus, 184

Reinforcer versus, 184

Trial and error, 180

Rings of Quality, 189

Reinforcement histories, 216-217

Rule-governed behavior, 137

Reinforcement log, 201, 203

SD, 128-129, 162, 170

Reinforcement system, 165, 188, 281, 283-285

S∆, 128-129

Reinforcer survey ( see also Positive reinforcers, meth-Safety conscious, 28, 48

ods for identifying)

Sampling ( see also Measurement, methods of ), 61,

Defined, 174

68-70, 81

Example of, 175

Sandwich method, 271, 273

Potential problems with, 174

Satiation ( see also Deprivation), 72, 141-142, 211,

Reinforcers ( see also Reinforcement; Schedules of

215-216, 226, 235

reinforcement)

Scallop, 220

CARE and, 181

Schedules of reinforcement

Celebrations as, 181, 197

Continuous and intermittent, 211

Classes of, 182-188

Extinction and, 211, 214-215, 230

Contingency for, 281

High-and-steady rate and, 67-68, 113, 225

Defined, 139

Interval schedules, 217-218, 220-222, 233,

Distinguishing characteristics of, 140-142

238

Four-to-one rule (4:1 ratio), 200-201, 254,

Progressive ratio (PR), 232

271, 273

Progressive interval (PI), 232

Guidelines for delivery of, 194-205

Ratio schedules, 222

Identifying, 172-180

Ratio strain, 236

Invisible, 229

Resurgence and, 235

344

SUBJECT INDEx

Tangibles and, 237

3M, 281-282

Thinning and, 234-237

Three-term contingency ( see ABC model)

Science of Consequences, The (Schneider), 107

Timeliness ( see also Consequences), 57, 60, 74, 77-

Scientific methods, 1

79, 93, 233

Secondary reinforcer ( see Primary and secondary

Time-management system, 180

reinforcers)

Time-series graph, 101

Self-directed teams, 12, 14

Tipping point, 312

Shaping

Top Gun, 107, 169

Defined, 239

Troubleshooting Tool, 295

Sub-goals and, 246

Trust

Successive approximations, 100, 239, 240

Respect and, 134-135, 137

Six Sigma, 12, 236

Verbal behavior and, 135-137

Social reinforcer ( see also Celebration, as reinforcer; Turnover rates, 1

Reinforcers), 151, 182, 199

Validity, 42, 60-61

Sources of variance, 23-24

Values and ethics ( see also Performance Management,

SR+/-, 140

values and), 19-22

S-shaped learning curve, ( see also Goals, setting),

Variability ( see Behavior variability)

248-249

Variable interval (VI) Schedule ( see Schedule of rein-State ( see Behavioral state)

forcement, interval schedules)

Statistical process control (SPC), 73, 81

Variable ratio (VR) Schedule ( see Schedule of rein-

Stimulus discrimination ( see Discriminative stimu-

forcement, ratio schedules)

lus)

Variable time (VT) Schedule ( see Schedule of rein-

Stretch goal ( see also Goals), 245

forcement, response independent reinforcement)

Sub-goals ( see also Shaping), 65, 91, 100, 241-243,

Variance

246-247, 252, 281-283

Four Ms of, 23-24

Successive approximations ( see also Shaping), 241

In customer service, 23-24

Suggestive selling, 65

In manpower, 24

Tangibles ( see also Reinforcers)

Verbal behavior

Considerations for using, 186

Differential reinforcement of alternative

Money as, 186-188

behavior (DRA) and, 274

Point systems and, 186

Pinpointing and, 46-47

Task ( see also Chaining), 7, 23, 26, 35, 41, 43-45, 52, Trust and, 135-137

64-65, 71, 77, 86, 107, 128, 130, 132-133, 135,

Vigilance reinforcement hypothesis, 219

144, 148, 164, 171-172, 177, 179-180, 220-224,

Watergate, 21, 24, 62-63

231, 233-234, 242-243, 247-249, 251, 259, 283

Ways of knowing, 12-13

Teams ( see Self-directed and Self-managed)

Weighted checklist, 86

Team sports, 159-160

WHIP ( see also Reinforcers), 181

Teamwork, 27, 30, 196, 275, 282, 285, 287

Work sampling, 68-70

Technology of Teaching, The (Skinner), 200

World Economic Forum, 134

Thinning ( see also Schedule of reinforcement), 234-

WorldCom, 21

238

Performance Management Publications

Additional Resources

Bringing Out the

Measure of a Leader

Other People’s

Best in People

Aubrey C. Daniels

Habits

Aubrey C. Daniels

James E. Daniels

Aubrey C. Daniels

Safe By Accident

Oops!

Rapid Change

Aubrey C. Daniels

Judy L. Agnew

Joe Laipple

Aubrey C. Daniels

You Can’t Apologize

Removing Obstacles

Behaving Well

to a Dawg!

to Safety

Edmund Fantino

Tucker Childers

Judy L. Agnew

Gail Snyder

Pay for Profit

The Sin of Wages

Human Performance

Diagnostics

William B. Abernathy

William B. Abernathy

William B. Abernathy

For more information call 1.800.223.6191 or visit our Web site www.PManagementPubs.com Register Your Book

www.pmanagementpubs.com

Register your copy of Performance

Management and receive exclusive reader

benefits. Visit the Web site and click on

the “Register Your Book” link at the top

of the page. Registration is free.

ABOUT ADI

Regardless of your industry or expertise,

Seminars & Webinars: a variety of engaging

one thing remains constant: People power your

programs of practical tools and strategies

business. At Aubrey Daniels International (ADI),

for shaping individual and organizational

we help accelerate the business and safety per-

success

formance of companies worldwide by using posi-

Scorecards & Incentive Pay: an objective and

tive, practical approaches grounded in the science

results-focused alternative to traditional

of behavior and engineered to ensure long-term

incentive pay systems

sustainability.

Founded in 1978, and headquartered in

Safety Solutions: a robust suite of services

including surveys, assessments, behavior-

Atlanta, GA, we work globally with a diverse

based safety, and safety leadership training

spectrum of clients. Our clients accelerate strate-

and coaching, that build an optimal safety

gy execution while fostering employee engage-

culture

ment and positive accountability at all levels of

their organization.

Expert Consulting: specialized, hands-on

ADI provides clients with the tools and

direction and support from seasoned

methodologies to help move people towards posi-

behavioral experts in the design and execu-

tive, results-driven accomplishments. ADI’s prod-

tion of business-critical strategies and tac-

ucts, programs and consulting support help any-

tics

one improve their business:

Speakers: accredited and celebrated thought

leaders delivering messages on topics such

Assessments: scalable, scientific analyses of

as sustainability, accelerating performance,

systems, processes, structures, and practices,

and engagement

and their impact on individual and organi-

zational performance

Blitz Precision Learning®: web-based applica-

tion for developing, delivering, and admin-

Coaching for Rapid Change®: a systematic

istering training lessons that build mastery

process for focusing managers and leaders

and fluency

to shape positive actions and get change to

occur now

Surveys: a complete suite of proprietary sur-

aubreydaniels.com

veys to collect actionable feedback on indi-

vidual and team performance, culture, safe-

aubreydanielsblog.com

ty, and other key drivers of business out-

comes

pmezine.com

Certification: ADI-endorsed mastery of

aubreydanielsinstitute.org

client skills in the training, coaching, and

implementation of our key products,

aubreydaniels.com/follow-us

processes, and/or technology

Document Outline

- What is Performance Management

- The Science of Behavior

- Business IS Behavior

- Is it Behavior or Something Else?

- Pinpointing

- Pinpointing: Identify the Mission Using Both Behaviors and Results

- Measurement Tools

- Graphing Behavioral Data

- The ABC Model of Behavior

- PIC/NIC Analysis

- Antecedents = Precision Prompts

- Consequences that Increase Behavior

- Feedback: The Breakfast of Champions

- Finding Reinforcers, Creating Reinforcers

- Delivering Reinforcers Effectively

- Schedules of Reinforcement

- Using Schedules of Reinforcement to Increase and Maintain Productive Behavior

- Shaping, Chaining and Goal-Setting

- Punishers and Penalties: Effects and Side Effects

- Three Ways to Decrease Unwanted Behavior

- Planning Reinforcement

- Research Designs for Evaluating Performance Change: Keeping it Real

- Behavioral Safety

Table of Contents

What is Performance Management

The Science of Behavior

Business IS Behavior

Is it Behavior or Something Else?

Pinpointing

Pinpointing: Identify the Mission Using Both Behaviors and Results

Measurement Tools

Graphing Behavioral Data

The ABC Model of Behavior

PIC/NIC Analysis

Antecedents = Precision Prompts

Consequences that Increase Behavior

Feedback: The Breakfast of Champions

Finding Reinforcers, Creating Reinforcers

Delivering Reinforcers Effectively

Schedules of Reinforcement

Using Schedules of Reinforcement to Increase and Maintain Productive Behavior

Shaping, Chaining and Goal-Setting

Punishers and Penalties: Effects and Side Effects

Three Ways to Decrease Unwanted Behavior

Planning Reinforcement

Research Designs for Evaluating Performance Change: Keeping it Real

Behavioral Safety