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An application of Clark and Estes gap analysis model to improve training transfer at a midsize pharmaceutical company
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Running head: AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 1
An Application of Clark and Estes Gap Analysis Model to Improve Training Transfer
At a Midsize Pharmaceutical Company
by
Frank Estrada
A Dissertation Submitted to the
FACULTY OF THE USC ROSSIER SCHOOL OF EDUCATION
UNIVERSITY OF SOUTHERN CALIFORNIA
In Partial Fulfillment of the
Requirements for the Degree
DOCTOR OF EDUCATION
August 2018
Copyright 2018 Frank Estrada
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 2
Dedication
This dissertation is dedicated first and foremost to my loving and supportive wife, Rosie for
her encouragement and unwavering support during this long and arduous academic endeavor.
Achieving this milestone in my life was only possible because she constantly encouraged me and
she understood that to reach this goal, it would require sacrificing time that otherwise we could
have spent together, I promise you sweetness, I will make it up. I also wish to dedicate this
dissertation to my mother for her lifelong example of what it means to work hard. As a child, I
saw my mother leave early and come home late, working minimum wage jobs, to provide for her
family, and I never heard her complain once. Thank you, mom, for providing for us and for your
courage to bring us to this country by yourself. Lastly, I also dedicated this accomplishment to my
darling daughters Rebekah and Monika who have been the joy of my life. I have always
encouraged you to grow and to be intellectually curious and my hope is that you pursue a journey
of lifelong learning.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 3
Acknowledgements
A doctoral dissertation is not just a single person’s accomplishment. It is the collective
work of many individuals over several years. I am grateful to all of those with whom I have had
the pleasure to work during this academic journey. First, I would like to acknowledge the OCL
program office at the USC Rossier School of Education, thank you for your support. I would also
like to thank the members of my Dissertation Committee, Drs. Helena Seli and Alison Keller
Muraszewski for their valuable guidance and recommendations during the completion of this
project. I would especially like to thank Dr. Kimberly Hirabayashi, my dissertation chair; her
comments and suggestions helped me shape key ideas throughout the dissertation process. She
encouraged me and pushed me because she wanted to make sure I was successful, and I will
always be grateful to her. I also wanted to acknowledge the members of my cohort. Their
willingness to talk, meet, think-through, change, innovate, and challenge has been the reason that I
have enjoyed this journey.
Lastly, nobody has been more important to me in the pursuit of this academic milestone
than the members of my family. I would like to thank my mother; whose hard work is a daily
inspiration to me and has been the ultimate role model. Most importantly, I am grateful to my
loving and supportive wife, Rosie, and my two wonderful daughters, Rebekah and Monika who
provide constant inspiration. And finally, to Popa, my faithful and angry little Chihuahua dog, for
keeping me company during the many nights that I spent working on my dissertation, and for
making me laugh when I most needed to laugh.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 4
Table of Contents
Dedication............................................................................................................................. 2
Acknowledgements ............................................................................................................... 3
List of Tables ........................................................................................................................ 8
List of Figures ....................................................................................................................... 9
Abstract .............................................................................................................................. 10
CHAPTER ONE: OVERVIEW OF THE STUDY .............................................................. 11
Introduction to Problem of Practice ..................................................................................... 11
Training Transfer ................................................................................................................ 12
Background of the Problem ................................................................................................. 13
Problem Statement .............................................................................................................. 16
Importance of Addressing the Problem ................................................................................ 17
Organizational Performance/Organizational Performance Goal ........................................... 19
Purpose of the Study and Research Questions ..................................................................... 19
Organizational Context and Mission.................................................................................... 20
Description of Stakeholder Group ....................................................................................... 21
Stakeholder Group Performance Goals ................................................................................ 21
Definitions .......................................................................................................................... 23
Organization of the Project .................................................................................................. 25
CHAPTER TWO: LITERATURE REVIEW ...................................................................... 26
Introduction ........................................................................................................................ 26
The Use of Subject Matter Experts in Pharmaceutical Training ........................................... 26
Problems Associated with Using SMEs in the Classroom ....................... 28
SMEs as Trainers in a Pharmaceutical Environment ............................... 29
Characteristics of Effective Trainers.................................................................................... 32
Training Strategies for Promoting Transfer ......................................................................... 33
Introduce New Content Outside The Classroom ..................................... 33
Model the Desired Behavior ................................................................... 34
The Current Pharmaceutical Training Classroom ................................................................ 35
Conceptual and Methodological Framework ....................................................................... 37
Stakeholder Knowledge ...................................................................................................... 40
Declarative Knowledge .......................................................................... 42
Procedural Knowledge ........................................................................... 42
Stakeholder Motivation ....................................................................................................... 44
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 5
Self-Efficacy Theory .............................................................................. 45
Corporate trainer self-efficacy. ................................................... 45
Goal Orientation Theory......................................................................... 46
Corporate trainer goal orientation ............................................... 46
Organizational Models and Settings .................................................................................... 48
Cultural Models ..................................................................................... 49
Cultural Setting ...................................................................................... 49
IC Biotech assumed organizational influences .............................. 50
Summary ............................................................................................................................ 52
CHAPTER THREE: METHODOLOGY ............................................................................ 53
Purpose of The Project and Research Questions .................................................................. 53
Methodological Approach and Rationale ............................................................................. 54
Data Collection and Instrumentation ................................................................................... 54
Participating Stakeholders ................................................................................................... 55
Interview Sampling Criterion and Rationale ........................................... 55
Interview Sampling (Recruitment) Strategy and Rationale ...................... 56
Interviews .............................................................................................. 56
Observation Sampling Criterion and Rationale ....................................... 57
Observation Sampling (Access) Strategy and Rationale .......................... 57
Observations .......................................................................................... 58
Documents and Artifacts ........................................................................ 59
Data Analysis ...................................................................................................................... 59
Credibility and Trustworthiness .......................................................................................... 60
Ethics .................................................................................................................................. 62
CHAPTER FOUR: RESULTS AND FINDINGS ................................................................ 65
Introduction ........................................................................................................................ 65
Participating Stakeholders ................................................................................................... 66
Findings .............................................................................................................................. 67
Knowledge Findings .............................................................................. 68
Declarative knowledge. .............................................................. 68
Results from interviews. ............................................................. 68
Results from document/artifact analysis. ..................................... 69
Results from observations. .......................................................... 71
Procedural knowledge. ............................................................. 73
Results from interviews. ............................................................. 73
Synthesis of Results and Findings for Assumed Knowledge Influences .. 75
Motivation Findings ............................................................................... 76
Assumed motivation influence #1. .............................................. 76
Results from interviews. ............................................................. 76
Results from observations. .......................................................... 77
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 6
Assumed motivation influence #2. .............................................. 78
Results from interviews. ............................................................. 79
Results from document/artifact analysis. ..................................... 79
Synthesis of Results and Findings for Assumed Motivation Influences ... 80
Results and Findings for Organizational Assumptions ......................................................... 81
Organizational Influence #1 ................................................................... 81
Results from interviews. ............................................................. 81
Results from document/artifact analysis. ..................................... 82
Organizational Influence #2 ................................................................... 82
Results from interviews. ............................................................. 83
Assumed Organizational Influence #3 .................................................... 84
Results from interviews. ............................................................. 84
Results from document/artifact analysis. ..................................... 85
Synthesis of Results and Findings for Organizational Influences ............ 86
Synthesis ............................................................................................................................. 86
CHAPTER FIVE: RECOMMENDATIONS ....................................................................... 87
Recommendations for Practice to Address KMO Influences................................................ 87
Knowledge Recommendations ............................................................... 87
Declarative knowledge solutions, description of needs or assets. . 89
Procedural knowledge solutions, description of needs or assets. .. 90
Motivation Recommendations ................................................................ 91
Self-efficacy. .............................................................................. 92
Goal orientation .......................................................................... 92
Organization Recommendations ............................................................. 93
Integrated Implementation and Evaluation Plan................................................................... 98
Implementation and Evaluation Framework ........................................... 98
Organizational Purpose, Needs, and Expectations................................... 99
Level 4: Results and Leading Indicators ............................................... 100
Level 3: Behavior ................................................................................. 101
Critical behaviors. ..................................................................... 101
Required drivers ....................................................................... 102
Organizational support. ............................................................. 104
Level 2: Learning ................................................................................. 104
Learning goals. ......................................................................... 104
Program. ................................................................................... 105
Components of learning ............................................................ 106
Level 1: Reaction ................................................................................. 108
Evaluation Tools .................................................................................. 109
Immediately following the program implementation ................. 109
Delayed for a period after the program implementation. ............ 109
Data Analysis and Reporting ................................................................ 110
Summary .......................................................................................................................... 110
Recommendations for Future Research ............................................................................. 112
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 7
Limitation and Delimitations ............................................................................................. 112
Conclusion ........................................................................................................................ 113
References ........................................................................................................................ 116
APPENDIX A - IC Biotech Interview Protocol ................................................................. 128
APPENDIX B - Observation Protocol ............................................................................... 130
APPENDIX C - Informed Consent/Information Sheet ....................................................... 131
APPENDIX D - Recruitment E-mail ................................................................................. 133
APPENDIX E - Training Manager Job Description ........................................................... 134
APPENDIX F - IC Biotech Trainer Net Promoter Score Card ........................................... 136
APPENDIX G - IC Biotech Prgram Evaluation Tool #1 .................................................... 137
APPENDIX H - IC Biotech Prgram Evaluation Tool #2 .................................................... 140
APPENDIX I - IC Biotech Prgram Evaluation Tool #3 ..................................................... 142
APPENDIX J - IC Biotech Performance Dashboard .......................................................... 150
Running head: AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 8
List of Tables
Table 1. Organizational Mission, Goals and Stakeholder Performance Goals ............................ 23
Table 2. Structure of the Knowledge Dimension of the Revised Taxonomy............................... 41
Table 3. Knowledge Influences, Types, and Assessments for Knowledge Influences................. 43
Table 4. Motivation Influences, and Assessments for Motivational Influences .......................... 48
Table 5. Organizational Influences, and Assessments for Organizational Influences .................. 51
Table 6. Field Observation Information .................................................................................... 58
Table 7. Trainer Demographic Information .............................................................................. 67
Table 8. Summary of Knowledge Influences and Recommendations ......................................... 89
Table 9. Summary of Motivation Influences and Recommendations......................................... 91
Table 10. Summary of Organization Influences and Recommendations..................................... 94
Table 11. Outcomes, Metrics, and Methods for External and Internal Outcomes ..................... 101
Table 12. Critical Behaviors, Metrics, Methods, and Timing for Evaluation ............................ 102
Table 13. Required Drivers to Support Trainer’s Critical Behaviors ........................................ 103
Table 14. Components of Learning for the Program. ............................................................... 107
Table 15. Components to Measure Reactions to the Program .................................................. 108
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 9
List of Figures
Figure 1. Pharmaceutical job cuts since 2001 ............................................................................ 15
Figure 2. Previously held roles of pharmaceutical trainers. Adapted from TGaS Advisors Career
Pathways ................................................................................................................... 30
Figure 3. Average time pharmaceutical trainers stay in the role. Adapted from TGaS Advisors
Career Pathways of Sales Trainers ............................................................................ 32
Figure 4. Knowledge, motivation and organizational factors that influence training transfer at IC
Biotech...................................................................................................................... 39
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 10
Abstract
In the United States, companies spend billions of dollars each year in employee training.
According to the Association for Training and Development (ATD), the world’s largest
association dedicated to workplace learning and performance; in 2011 U.S. companies spent
approximately $156.2 billion on employee training and development (ASTD, 2011). In spite of
these staggering investments in employee training, there is evidence in the literature suggesting
that only a small percentage of the investments in training are producing the desired training
transfer results (Grossman & Salas, 2010; Ringo & McDonald, 2008).
In this qualitative study, the Clark and Estes (2008) gap analysis framework was applied
to examine the effect that knowledge, skills, motivation, and organizational influences have on
training transfer at a mid-size biotech company. Interviews, observations and document/artifact
review were used to confirm the assumed knowledge, motivation, and organizational influences.
Participants in the study were current, and former pharmaceutical trainers and current and former
pharmaceutical training directors. The analysis of the garnered qualitative data validated all the
assumed knowledge, motivation, and organizational influences. That is to say, that the trainers
do not have the declarative knowledge about training transfer and the procedural knowledge to
deploy transfer strategies. Trainers also do not have the self-efficacy in their ability to promote
transfer and they do not have a mastery orientation. Lastly, the organization needs to promote
mastery orientation instead of competition, they also need to implement policies and practices
that lead to greater retention among trainers and the organization needs to adequately fund the
training department. Several recommendations are made to address the validated influences. An
implementation and evaluation plan is provided to, which is based on the New World Kirkpatrick
model (2016).
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 11
CHAPTER ONE: OVERVIEW OF THE STUDY
Introduction to Problem of Practice
In the United States, companies spend billions of dollars each year in employee training
and development initiatives. According to the Association for Training and Development
(ATD),
1
the world’s largest association dedicated to workplace learning and performance; in
2011 U.S. companies spent approximately $156.2 billion on employee training and development
(ASTD, 2011). The investments in training jumped to $164.2 billion according the 2013 annual
report by the same organization (ASTD, 2013). Senior executives make these significant
investments in training because they recognize that well-trained employees are critical elements
of the organizational strategy, and when you upgrade human capital, you can potentially
maximize organizational performance (Dean, Dean & Rebalsky, 1996; Hatch & Dyer, 2004;
Saks & Belcourt, 2006; Salas & Cannon-Bowers, 2001).
In spite of these staggering investments in employee training, there is evidence in the
literature suggesting that only a small percentage of the investments in training are producing the
desired results (Grossman & Salas, 2010; Ringo & McDonald, 2008). In the last few decades,
there has been an emergence of empirical evidence suggesting that most corporate training
programs are only marginally effective, and these programs and investments are not delivering
on the promise of well-trained employees (Curry, McCarragher & Dellmann-Jenkins, 2005;
Fitzpatrick, 2001). In other words, the training that an employee receives during a training event
rarely improves their work performance and is generally irrelevant or uninteresting, therefore the
application of new knowledge and skills learned during training do not always transfer to the job.
(Holton, Bates & Ruona, 2000). In 2010, McKinsey and Company conducted a survey of 1,440
1
On May 6
th
, 2014, the American Society for Training and Development (ASTD) was changed its name to the
Association for Training and Development (ATD).
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 12
executives, and the results showed that only 25% of respondents found that training improved
their employees’ performance (DeSmet, McGurk, & Schwartz, 2010). These findings highlight
the massive ongoing waste in corporate training programs and the pervasive nature of the
training transfer
2
problem.
Measuring the extent of the problem has been elusive. In the empirical literature, there
isexperts disagree about the exact rate of the problem. Some experts maintain the range is 10% to
15% (Broad & Newstrom, 1992; Facteau et al., 1995), whereas others believe it is as high as
40% (Saks, 2002). Although it remains difficult to quantify the extent of the problem, some
researchers believe that the problem is so pervasive that there is rarely a training intervention
where this problem does not occur (Broad & Newstrom, 1992). The inconsistency in opinions
among researchers and the difficulty in quantifying the transfer problem highlight the need to
establish standardized measures for training transfer. Currently, there is no single recognized
measure of training success (Bunch, 2007; Holton, Bates, & Ruona, 2000). However, et al.
(2000), have made strides in this area by developing the Learning Transfer System Inventory
(LTSI).
Training Transfer
Although there are various definitions of training transfer, it is generally agreed that
transfer refers to the application of knowledge, skills, and attitudes once an employee returns to
the job after a training event. This is defined in the literature, which defines transfer as to the
extent to which an employee applies the knowledge and skills learned during a training session
once they return to work (Burke & Hutchins, 2007; Ford & Weissbein, 1997; Holton et al., 2000;
Kozlowski & Salas, 1997). The definition of training transfer has remained constant for years
2
“Training transfer”, “learning transfer”, “transfer of training”, and “transfer” are used interchangeably in this
document
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 13
since Baldwin and Ford’s (1988) seminal description: “for transfer to take place, learned
behavior must be generalized to the job context and maintained over time on the job” (p. 63).
Training transfer is also considered the primary component that influences organizational
outcomes and results (Kozlowski, Brown, Weissbein, Cannon-Bowers & Salas, 2000).
Training transfer has been researched extensively. In the past 30 years, there have been
three landmark reviews of the transfer literature; Baldwin and Ford (1988) conducted a seminal
review that describes the “transfer problem” in organizational training, which is the poor transfer
of knowledge and skills to the job following costly corporate training programs. Ford and
Weissbein (1997) conducted the second comprehensive review, in which they identified gaps in
how transfer was viewed, studied, and measured. Their work laid the foundation for the latest
review by Burke and Hutchins (2007) in which they identified four factors that influence
transfer: learner characteristics, design, and delivery, as well as work environment influences.
Current transfer research continues to address these four areas because they are generally
accepted as the primary variables that influence the transfer of training (Burke & Hutchins,
2007). The “transfer problem” is widespread, but it is especially prominent in the
pharmaceutical industry because typically the training staff does not have a background in
learning and development, and for other various reasons that are outlined in the next section.
Background of the Problem
In the last decade, the pharmaceutical/biotech (pharma)
3
sector has experienced
turbulence that has triggered significant changes in how pharmaceutical/biotech companies
operate (Kim, 2015). The economic turmoil of the past decade triggered massive layoffs in this
3
Pharmaceutical industry and “pharma” are used interchangeably in this document.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 14
industry. Numerous mergers, acquisitions, and realignments, combined with the loss of patent
protection for many “blockbuster” drugs have caused the industry to shrink (Wilson, 2011).
Furthermore, governmental and Food and Drug Administration (FDA) regulations are
becoming increasingly strict with regards to interactions between pharmaceutical industry
personnel and health care professionals (HCPs). One example of the onerous regulations that
govern this industry is The Physician Payments Sunshine Act, which is designed to increase
transparency around the financial relationships between physicians, teaching hospitals, and
manufacturers of drugs, medical devices, and biologics. Under the Sunshine Act, manufacturers
now must submit annual data on payment and transfers of value made to HCPs—this means
recording anything of value. It does not matter how insignificant the value is, it must be recorded
by the drug manufacturers and submitted to The Centers for Medicare & Medicaid Services
(Mackey & Liang, 2013; “Physician Financial Transparency Reports,” n.d.).
This required reporting created an administrative burden for physicians and the
pharmaceutical industry (Grande, 2010). HCPs did not want the burden of tracking and
reporting any transfers of value, so they started to limit the number of representatives they would
see per day. Before the financial crisis of 2008 and the imposition of restrictive guidelines for
interactions between physician and pharmaceutical representatives, an HCP would typically meet
with three or four pharmaceutical representatives per day to discuss new drugs or new clinical
data. During and after the 2008 recession, many HCPs restricted the number of representatives
they would meet per day. Many stopped meeting with pharmaceutical representatives altogether.
According to a survey conducted by the research firm SK&A, the percentage of physicians who
restricted access to pharmaceutical representatives, grew to 36.5% in 2016, up from 22.9% in
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 15
2010 (Lowes, 2016) and the number of physicians restricting access to pharmaceutical
representatives continues to grow.
The increased restrictions in access had an immediate impact in the pharmaceutical
sector. Many pharmaceutical companies restructured their sales forces by reducing the number of
sales territories and regions. These changes triggered massive layoffs in which thousands of
pharmaceutical representatives lost their jobs in the last decade (Top 10 Layoffs, 2009;
McIntyre, 2010). Jobs layoffs in the pharmaceutical industry began in 2001 and rose sharply in
2006 (Figure 1) and have continued sporadically. The layoffs primarily affected pharmaceutical
sales representatives, although marketing also experienced massive job-loss casualties (Alazraki,
2001). In the end, almost all work functions were impacted by the downsizings, including
training departments. The reductions in training staff also meant reductions in training budgets
(Ramos, 2003) resulting in a significant work load for the remaining training staff.
Figure 1. Pharmaceutical job cuts since 2001.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 16
The massive restructuring of large and mid-size pharmaceutical companies during the
past decade resulted in a surplus of unemployed representatives and competition for
pharmaceutical jobs became fierce (Pain, 2011). Pharmaceutical companies now have the luxury
of being very selective in their hiring practices and only hire the “best of the best.” This issue
created an interesting set of dynamics in the industry: Pharmaceutical companies demanded
better skills of their representatives and expected “more with less;” sales quotas were set higher
and the size of territories expanded. At the same time, physicians became more demanding of
their representatives. Because they were only seeing two or three pharmaceutical representatives
per week, they wanted shorter visits and expected the representatives to have a wider base of
knowledge regarding products/diseases. These issues created a challenge for pharmaceutical
training departments because they also had to do more with less, meaning that they needed to
train on more products and diseases but without increasing the training time (Ramos, 2003).
This means that today’s training programs in the pharmaceutical industry have to be well
designed and more importantly, the training staff, especially the classroom trainers who have to
be effectively trained in adult learning and facilitation. Typically, this is not the case in the
pharmaceutical industry, and it creates down-stream training-transfer issues in pharmaceutical
classrooms.
Problem Statement
To meet its organizational goals, which are primarily financial, each year IC Biotech
4
allocates a significant amount of money to ensure that its field representatives are well trained. A
well-trained employee in the pharmaceutical industry should be able to competently
communicate clinical and marketing messages to physicians and generate revenue within six
4
(For the purposes of this dissertation, the name of the organization will be masked and the pseudonym “IC
Biotech” will be used throughout this document).
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 17
months of employment. A review of the 2016-2017 Field Training Net Promoter Scores
5
(FTNPS) by the commercial leadership team of IC Biotech showed that scores measuring
training transfer of new employees
6
had a modest increase from 65% to 67%. Additionally, the
team reviewed the Trainer’s Net Promoter Scores (TNPS),
7
and the review showed an average of
71% overall effectiveness for the 2016 training team. Moreover, the training department
received several anecdotal reports from field managers indicating that some of the
representatives who recently graduated from training did not seem as prepared as other new hires
who were trained the previous year. The organizational leadership attributed this problem to the
trainers and they wanted to know what could be done to remedy this situation and improve the
skills of the trainers. They specifically asked that TNPS scores be raised to a minimum of 80%
8
for all trainers by the end of 2017. They also requested that that the FTNPS scores for new hires
be raised to a minimum of 80% by year’s end.
Importance of Addressing the Problem
Given the nature of the pharmaceutical industry and the extent of the transfer problem in
corporate training, it is very important to address it for three critical reasons. First, corporate
training programs are the primary medium through which most employees acquire the
knowledge and skills to perform a job in a highly restricted environment. If employees are
inadequately trained, and there is a failure or deficit in transfer, it can have a detrimental effect
on the organization (Carnevale, 1990). In a pharmaceutical environment, if a representative gives
incorrect information regarding their products (knowingly or unknowingly), it can harm the
5
Developed internally at IC Biotech, the FTNPS is a variation of Net Promoter Scores that generates a numerical
value to evaluate the application of skills on the job by new hires.
6
New employees are those employees with less than six months on the job.
7
Developed internally at IC Biotech, the TNPS is a variation of the Net Promoter Scores that generates a numerical
value to evaluate the overall effectiveness of classroom trainers.
8
A score of 80% using a Net Promoter Score is considered a very good score.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 18
patient, and the reputation of the doctor. If this happens, the government holds the
pharmaceutical organization primarily accountable. Over the years, the federal government has
held pharmaceutical companies liable for alleged illegal promotion, typically through the False
Claims Act. In 2010 alone, the top 10 cases settled involved health care—for a total of $2.7
billion, out of the year's $3.16 billion overall—and eight of those involved pharmaceutical
companies (“Off-label Use: The Fine Line Between Illegal Promotion and Useful Information,”
n.d.).
Second, U.S. businesses spend billions of dollars each year in corporate training
programs. If there is a poor return on the investment (in terms of training transfer and improved
performance), it can impact the organization’s bottom-line and overall business performance
(Kozlowski et al., 2000; Salas et al., 2012). Deficits in training transfer can impact businesses
because training transfer is considered the main way organizations remain competitive and is
how organizational outcomes can be influenced (Saks & Burke‐Smalley 2014). IC Biotech
spends approximately $80,000 to train a new hire over the course of four months. Therefore, for
IC Biotech, ensuring that all new hires are adequately trained is critical not just because of the
cost, but more importantly, because of the liability new hires pose if they give the wrong
information to physicians.
Finally, poorly trained employees can negatively impact the overall reputation of the
training profession, the training function, and can result in diminished budgets and training
resources. Additionally, organizational leaders are fed up with ineffective training programs and
practices. They are demanding human resources (HR) and training leaders yield a better return
on the enormous training investments they make (Kirkpatrick & Kirkpatrick, 2010).
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 19
Organizational Performance/Organizational Performance Goal
IC Biotech is a publicly held company that is focused on the development and
commercialization of innovative medicines for cancer patients. IC Biotech is a for-profit
pharmaceutical corporation and its goals are primarily commercial and financial. Secondary
organizational goals are clinical and focused on developing a strong product “pipeline.”
One of the commercial organization’s goals is to improve the effectiveness of all the
trainers to a minimum of 80% as measured by the TNPS by the end of 2018. A secondary goal
is to increase training transfer from 67% to 80% for all new employees, also by the end of 2018
(as measured by the TNPS instrument). The commercial team established these objectives on
January 1, 2018, after a year of relatively flat sales in 2017 and concern about the trainers’ TNPS
scores.
Purpose of the Study and Research Questions
The purpose of this qualitative study was to examine the effect that knowledge, skills,
motivation, and organizational influences have on the trainers conducting the training and the
delivery of corporate training, as well as to examine ways to improve training transfer at IC
Biotech. Determining how these factors influence transfer has considerable implications for
improving the quality of training at IC Biotech but may also benefit other similar pharmaceutical
training programs.
9
Furthermore, this study makes recommendations based on the literature,
data collection, and data analysis process for enhancing training transfer at a midsize biotech
organization.
The following research questions were raised:
1. To what extent is IC Biotech meeting its commercial training goal?
9
Most pharmaceutical training programs are similar in design and structure.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 20
2. What is the stakeholder knowledge and motivation related to training transfer at
IC Biotech?
3. What is the interaction between organizational culture and context and
stakeholder knowledge and motivation?
4. What are the recommendations for organizational practice in the areas of
knowledge, motivation, and organizational resources?
Organizational Context and Mission
IC Biotech is a midsize biopharmaceutical company located on the East Coast of the
United States. IC Biotech focuses on the discovery, development, and commercialization of
proprietary therapeutics for treating hematologic cancers. The mission of the organization is to
make a difference in the lives of patients through scientific discovery.
10
IC Biotech accomplishes
its mission through the rigorous application of science to discover and deliver novel medicines
that will address serious unmet medical needs in oncology and other diseases.
A team of chemists, scientists, and finance personnel, as well as medical marketing and
commercial teams support the mission of the organization. The collective effort begins in the lab
with the chemists and scientists isolating molecules that have the potential to fight cancer cells.
The process continues with the finance teams securing funding to study promising molecules
followed by the medical teams conducting the studies to show safety and efficacy. After the
clinical studies are concluded, marketing develops appropriate clinical and marketing messages
to convey to HCPs. Finally, when the FDA approves the drug, the commercial team takes over
and trains the pharmaceutical representatives who deliver the product and related clinical
messages to physicians. In this long chain of events, everyone plays an important part.
10
The mission was modified to mask the identity of the organization.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 21
However, the corporate trainers play a critical role because they train the customer-facing staff,
and these are the representatives who will deliver the clinical data to physicians, who, in turn,
will use the drugs in cancer patients.
Description of Stakeholder Group
The most common business definition of a stakeholder is a large investor who has the
clout to hold a viable “stake” in an organization. In business, a stakeholder is usually an
investor whose actions determine the outcome of business decisions in an organization
(Roeder, 2013). However, stakeholders do not necessarily have to be shareholders; they can
also be employees, who have a stake in the company’s success. They can also be business
partners, who rely on the organization’s success to keep the supply chain going. Every
organization takes a different approach its various stakeholders and the roles of stakeholders
vary among organizations; it all depends on the rules and responsibilities laid out at within the
organization’s road map (Choi, 2009).
IC Biotech has very aggressive business goals (Table 1) and achieving these goals is a
cross-functional effort between several stakeholders in the organization. In particular, meeting
financial goals is a combined effort between commercial marketing, the training department,
and the sales team. The performance of the sales team is in large part directly related to the
quality of training the representatives receive. Therefore, the stakeholders of focus for this
study will be the corporate trainers at IC Biotech.
Stakeholder Group Performance Goals
IC Biotech has a strong culture of competition and performance. Each team in the
organization has an overarching set of goals and team members derive their goals from the
departmental goals. For the most part, trainers in the organization have the same individual
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 22
performance goals, which are achieving a minimum rating of “Meets Expectations” on annual
evaluations, achieving a ≥ 80% TNPS scores on every class led, and conducting a minimum of
eight classes per year. Individual goals for trainers tend to be very tactical in nature because of
the performance culture of the organization. However, in light of the request from the
commercial leadership team to increase TNPS scores to above 80% for all trainers, the director
of training declared that all trainers would implement strategies to promote transfer of learning
in all the training classes as a departmental goal. This goal will be measured using a transfer
rubric that was developed internally (Appendix F).
Unlike other employees at IC Biotech, corporate trainers are constantly evaluated.
They are evaluated annually, bi-annually, monthly, and after every class. The annual and bi-
annual evaluations are conducted across the organization and the process applies to all
employees; however, because the commercial team conducts three to four commercial training
classes per month, corporate trainers undergo additional evaluations conducted by the training
director and the students after every class.
The trainer evaluations are conducted primarily using an instrument that was developed
internally at IC Biotech and is derived from the Net Promoter Score (NPS). The NPS is a
consumer satisfaction tool used during market research to gauge whether or not a customer
would recommend a product or a service to others (“What Is Net Promoter,” n.d.). A score of
80% and above is considered very positive and an indication that a customer would
recommend the product/service to others. This instrument was modified and rebranded as the
Training Net Promoter Score (TNPS) and was adapted by the IC Biotech training department
to quantitatively measure and score corporate trainers in all dimensions of conducting a class.
A different version of the TNPS is used to measure the transfer of training of all field
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 23
employees. A regional manager or a member of the training team conducts the evaluation
during a “field day.” A field day consists of the manager or a member of the training team
spending the day with pharmaceutical representatives evaluating their selling skills,
interactions with customers, and their effectiveness in delivering key clinical messages and
selling skills. A sample of the Field TNPS instrument is included in the Appendices section of
this document.
Table 1. Organizational Mission, Goals and Stakeholder Performance Goals
Organizational Mission
IC Biotech is committed to making a difference in the lives of patients through rigorous
scientific discovery.
Commercial Organizational Performance Goal
IC Biotech has established a goal for the commercial team to increase TNPS scores to 80%
for all trainers by December 31, 2018, as measured by the TNPS instrument.
Stakeholder’s Goal
All trainers will implement strategies to promote transfer of learning in their trainings by the
end of the year.
Definitions
Several terms are used in the course of conducting this study, which are defined here to
help the reader understand the narrative in this document:
Food and Drug Administration: Usually abbreviated as “FDA;” the FDA is an organization
responsible for protecting public health by assuring products made for human and veterinary
consumption, biologics, medical devices, food, cosmetics, and products that emit radiation are
pure, safe, and effective.
Health Care Professional (HCP): An individual who provides preventive, curative, promotional,
or rehabilitative health care services in a systematic way to people, families, or communities.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 24
Human Resource Development (HRD): HRD helps organizations to enhance workforce
effectiveness and productivity through education and other performance improvement activities.
Kirkpatrick Model: A framework for analyzing and evaluating the results of training and
educational programs. It accounts for any style of training, both informal and formal, to
determine aptitude based on four levels of criteria.
Off-Label Use: The use of pharmaceutical drugs for an unapproved purpose or in an unapproved
age group, dosage, or route of administration.
Net Promoter Score (NPS): The Net Promoter Score is an index ranging from -100 to 100 that
measures the willingness of customers to recommend a company’s products or services to others.
It is used as a proxy for gauging the customers’ overall satisfaction with a company’s product or
service and the customer loyalty to the brand.
New World Kirkpatrick Model: A revised version of the original Kirkpatrick Model. Updated in
2010 by the Kirkpatrick Institute, the new model provides expanded definitions of the original
four levels of evaluation.
Pharmaceutical Representative: Also known as “pharma” representatives, drug representatives,
or pharmaceutical salespeople. They provide drug and disease information to physicians in a
given geographic territory.
Trainer: An HRD professional who analyzes performance problems and design, deliver,
evaluate, manage, and/or support training in a variety of ways.
Pharmaceutical Trainer: A pharmaceutical trainer is responsible for organizing, managing, and
facilitating sales, as well as product and disease training.
Subject Matter Expert (SME): Subject matter experts are individuals who are experts in their
field.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 25
Training Transfer: Training transfer refers to the application of knowledge, skills, and attitudes
once an employee returns to work after a training event and is generally defined in the literature
as the extent to which an employee applies the knowledge and skills learned during a training
event.
Organization of the Project
This project is organized in five chapters. In Chapter One the problem of practice is
introduced, including the background and the importance of solving the problem. Chapter One
also describes the organization and the stakeholders of focus. Chapter Two offers a review of the
literature associated with this project, which includes scholarly publications that deal with
training transfer, and the knowledge, motivation, and organizational influences that impact
training transfer. Chapter Two also introduces the conceptual framework for this project. Chapter
Three details the methodological approach and rationale used to select the appropriate data
collection and analysis technique, the recruitment of participants for the study, and the
conceptual framework of how stakeholder knowledge, motivation, and organizational contexts
interact and affect performance. Chapter Four assesses and analyzes all collected data and
results. Chapter Five uses the findings and literature to yield a solution set for the problem of
practice and provides a recommendation on how the organization can overcome perceived gaps
in performance.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 26
CHAPTER TWO: LITERATURE REVIEW
Introduction
Leveraging subject matter experts
11
(SMEs) as trainers in a technical environment is a
common practice. SMEs bring instant credibility to the classroom, but their effectiveness is often
compromised by their inability to implement learning theories and to facilitate classes (Johnson
& Leach, 2001). Pharmaceutical companies only use SMEs to train employees, and they rarely
hire a trainer who has not “carried the bag.”
12
Unfortunately, most SMEs lack knowledge of
adult learning principles and training techniques (Saundra, 2001) and this can cause problems in
the classroom. It has been established in the literature that having a high level of knowledge and
skills in one domain can be problematic when it comes to sharing that information with a trainee
(Johnson & Leach, 2001; Sappington, 2003). This phenomenon happens because SMEs tend to
overload students with information unrelated to the job (Saundra, 2001). In this literature review,
the researcher examines the knowledge, motivation, skills and organizational factors that
influence training transfer in a corporate training environment.
The Use of Subject Matter Experts in Pharmaceutical Training
Using experienced employees or subject matter experts as instructors in pharmaceutical
training programs is a common practice among most pharmaceutical and medical device
companies. Companies in this sector use this approach to train representatives because of the
immediate benefits associated with using an experienced employee to train others; they know
how to do a very complex job well, and new employees can derive an immediate benefit from
this experience. While using experienced employees or SMEs as instructors is efficient, there are
also challenges that are magnified in the classroom because expertise in an area or domain alone
11
Subject matter experts are defined as individuals who are experts in their field (Sugar & Schwen, 1995).
12
A term used in pharma to indicate that the person has been a field sales representative.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 27
is not sufficient to be an effective instructor. This issue surfaced in the literature more than five
decades ago (Bartlett, 2003) and it is still an issue in today’s technical training programs.
The practice of using masters of a craft or experts in a profession to teach others dates
back to antiquity when apprenticeship programs first surfaced in Greece (Swanson & Torraco,
1995). Today, the practice is not very different in a pharmaceutical environment; companies use
experienced employees or SMEs to train new pharmaceutical representatives. This practice is
essential in an environment where delivering accurate medical information is required and where
job-related skills are so technical that it is more efficient to use a skilled SME rather than a
professional trainer (Williams, 2001). The practice of using SMEs in technical training has
grown in the last 30 to 40 years (Clark, 1999) and in the pharmaceutical space, it is the preferred
method for training new representatives. This is why training positions are only filled with
experienced pharmaceutical trainers or very technical internal employees.
There are clear benefits to using technical experts as instructors. These benefits are the
reasons why companies place them in training roles: (a) They bring instant credibility to the
classroom (Williams, 2001) and this is crucial in a technical environment; (b) they bring subject
matter expertise in the job skills that need to be learned (Trautman & Klein, 1993); and (c) SMEs
can also teach courses by simply having an outline of the topic because the assumption is that
they have mastery of the content, and there is little to no learning curve (Everman, 2008;
Williams, 2001). Therefore, it is not unreasonable for organizations to leverage their most skilled
employees to train others, especially in a pharmaceutical environment, and this has been the
practice for more than a hundred years.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 28
Problems Associated with Using SMEs in the Classroom
As previously noted, while there are several benefits of using SMEs as instructors in
pharmaceutical training programs, there are also challenges associated with this practice that
must be considered before placing an SME in an instructor role. One of the most difficult
problems with SMEs is extracting the relevant knowledge from their heads (Johnson & Leach,
2001; Sappington, 2003). Having a high level of knowledge and skills in one domain can be
problematic when it comes to sharing that information with a trainee. This phenomenon is due
to having almost a mechanical approach to job-related tasks, thus rendering SMEs incapable of
explaining how to perform a task to trainees (Johnson & Leach, 2001). The inability to clearly
and logically explain job-related information is magnified in the classroom when SMEs are
trying to explain nuances of job-related procedures, and they have difficulty articulating the
information (Siegfried, 2010). The inability to explain concepts in a manner that can be
understood by a new employee is one of the biggest disadvantages of using unskilled SMEs as
trainers.
Other problems with using SMEs as instructors in a technical environment are their
unstructured approach to teaching, inconsistencies in content presentation, lack of documentation
and supervision, and lack of awareness of adult learning concepts (Bunch, 2007; Furst-Bowe, &
Gates, 1998; Johnson & Leach, 2001). These challenges highlight the fact that having technical
expertise in a domain is not enough for individuals to be effective trainers, particularly if they
lack competencies in training and development. Human Resource and Development (HRD)
professionals need to work with training leaders to ensure that SMEs are properly trained before
allowing them to assume the role of an instructor (Bartlett, 2003).
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 29
The reason for providing training to an SME is simple; without training-related skills, it
is unlikely that the technical knowledge will transfer to the trainee (Johnson & Leach, 2001).
Unskilled SMEs may deliver accurate information and provide the necessary knowledge and
skills to do the job, but if the content is unstructured, not engaging, and inconsistent, it may
result in failure of transfer to the job (Bunch, 2007; Furst-Bowe & Gates, 1998). This is one of
the biggest issues affecting training transfer in a pharmaceutical environment. It is also common
in a pharmaceutical training environment to put SMEs in training roles with minimal, or in most
cases, no training in adult learning or training methodologies. SMEs in training roles will
become better trainers if they receive professional development in adult education or training
delivery (Castner & Jordan, 1989; Chance, 1995). Providing SMEs with the knowledge and
skills in learning and facilitation can improve their performance in the classroom and improve
the overall effectiveness of training (Castner & Jordan, 1989).
SMEs as Trainers in a Pharmaceutical Environment
In a pharmaceutical environment, trainers are chosen primarily from within the sales
organization. As was previously noted, to become a trainer in the pharmaceutical industry, the
individual must have “carried the bag” as a sales representative or must have worked as trainer in
another company. Although some exceptions are made from time to time, it is rare to place
someone in a trainer role without sales experience (Kravitz, 2017). TGaS Advisors
13
(2016)
conducted a survey of training leaders in the pharmaceutical industry. The purpose of the survey
was to explore sales trainers’ professional backgrounds, skill development and evaluation, and
time spent in-role before pursuing new opportunities (Figure 2).
13
TGaS® Advisors is a benchmarking and advisory company in the pharmaceutical environment. It conducts
regular surveys to measure operational excellence among pharmaceutical peer companies.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 30
Figure 2. Previously held roles of pharmaceutical trainers. Adapted from TGaS Advisors Career Pathways
When pharmaceutical companies promote or hire new trainers, they generally look for
individuals with a very specific skills-set; these skills usually include project management,
clinical acumen, facilitation, strong communication skills, strategic thinking, learning abilities
and the capacity to influence others (Kravitz, 2017). If these individuals come from within the
organization, their immediate supervisors typically have recognized them as potential trainers.
To be recognized as such, individuals need to have strong clinical knowledge and having
favorable ratings on their annual reviews (usually “exceeds expectations” to “outstanding”).
They are also considered leaders among their peers, are typically in a field trainer role, and are
generally viewed as potential future leaders in the field organization (Kravitz, 2017).
Regrettably, when pharmaceutical field representatives are promoted into a corporate
training role, they are rarely given training on facilitation skills, learning theories, adult learning,
or classroom instruction. Instead, they are typically rushed into the role. Placing a successful
individual contributor into a training role is not enough. The individual must be properly trained,
0 1 2 3 4 5 6 7 8 9 10
Pharmaceutical sales representative
Pharma or Biotech trainer from other companies
Pharmaceutical sales management
Management or leadership development program
candidate
* Medical or product development
* Trainer in another division within the organization
PREVIOULSY HELD ROLES BY PHARMA TRAINERS
*Cited as other
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 31
otherwise, it is an invitation for the practice of current fads and untested interventions (Bunch,
2007). Individuals placed in training roles without preparation usually learn the job by watching
others, and the setting where they work will likely influence the kind of instructors they become.
Another unique aspect of a typical pharmaceutical trainer is that the position tends to be
transitory; most employees in the pharmaceutical industry come into the training department
with the expectation that they will stay in the role for approximately two years. After two years,
they hope to move into a field managerial position or other positions of greater responsibility.
This creates a lack of continuity in training because approximately every two years the training
staff rotates approximately every two years, which includes the person leading the department
(Figure 3). This also has a significant impact on training transfer because the new training lead,
or director, will typically want to change the entire training program, including how instruction is
conducted regardless of its effectiveness. They do this because they want to have their own
training footprint in the organization (Holland, 2002; Yavuz, 2005).
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 32
Figure 3. Average time pharmaceutical trainers stay in the role. Adapted from TGaS Advisors Career Pathways
of Sales Trainers
Characteristics of Effective Trainers
The extant literature on training transfer identifies several characteristics that effective
classroom instructors use to promote transfer. First, trainers must be expressive when conveying
concepts and information. An expressive trainer is one who displays a great deal of confidence,
is articulate, and uses the proper vocal inflections (Abrami, Dickens, Perry, & Leventhal, 1980).
This attribute is particularly important in pharmaceutical training because of the amount of
technical information that is introduced—a monotone instructor would be ineffective.
Effective trainers also must be organized, not just in general, but especially in the way
they organize and deliver content. Effective trainers organize the presentation and flow of their
content in such a way that it is easy for students to follow the lecture (McNamara, Kintsch,
Songer, & Kintsch, 1996). In the pharmaceutical industry, this is one of the hardest things for
new instructors because they tend to overwhelm students with technical information.
0 1 2 3 4 5 6 7
Less than 18 months
18 months to 2 years
2 - 4 years
Time Spent as a Pharmaceutical Trainer
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 33
Effective trainers should also be direct with trainees (MacKeracher, 2004) and provide
accurate feedback to improve performance. Sometimes new trainers have problems giving direct
feedback because they want to be nice and they want to be liked. The researcher spent many
years as the head of pharmaceutical training and spent countless hours coaching new trainers.
When they do not give trainees accurate information about their progress, they are hurting the
employee and the organization.
Other important characteristics are being collaborative and enabling (MacKeracher,
2004), having a supportive attitude, using feedback to identify specific areas for attention, being
approachable, and being willing to answer questions (Farrant, Cohen, & Burge, 2008). Kirkwood
and Pangarkar (2004) believe that successful trainers should have domain expertise, a friendly
personality, strong interpersonal skills, and lots and lots of patience.
Training Strategies for Promoting Transfer
Training transfer has long been a fundamental concern in organizational contexts
(Grossman & Salas, 2011). Companies spend billions of dollars in training each year and are
demanding better outcomes (Kirkpatrick & Kirkpatrick, 2010; Paradise, 2007). In order to meet
these expectations, it is imperative that training practitioners focus on deploying evidence-based
training strategies that promote transfer instead of unproven training practices that do not work
(Goldstein, 1991). The next section highlights some of the strategies from the literature. The list
of strategies only focuses on the strategies that would be effective within a pharmaceutical
environment and when the content is very technical in nature.
Introduce New Content Outside The Classroom
One practice is a strategy of “flipped learning” or “flipping the classroom.” In the flipped
or inverted environment, lectures and homework switch places and lectures happen outside of the
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 34
classroom (Talbert, 2012). This allows the learner to see the new content before class and
classroom time can be used for working out problems and answering questions instead of
lecturing (Davies, Dean, & Ball, 2013). The content is typically delivered using video lectures,
screencasts, podcasts and assigned reading. This methodology moves the students from passive
receptors of the information to active participants during instructor-led sessions.
Model the Desired Behavior
Behavior modeling training or BMT is one of the most widely used and well-researched
training interventions (specifically in sales) that has been proven to facilitate transfer (Taylor et
al., 2005). The BMT model is commonly used in pharmaceutical training and is based on
Bandura’s social learning theory (1977) and has five components:
1) Describing to trainees a set of well-defined behaviors (skills) to be learned;
2) Providing a model or models displaying the effective use of those behaviors;
3) Providing opportunities for trainees to practice using those behaviors;
4) Providing feedback and social reinforcement to trainees following practice;
5) Taking steps to maximize the transfer of those behaviors to the job.
In a pharmaceutical training environment, the trainers should demonstrate how a physician
visit or “call” is conducted and what is “best practice” and also indicate what trainees should not
do during a call. Following the demonstration, the students should be allowed to practice (either
with each other or with the instructor) and feedback should be given immediately to reinforce
best practices to increase self-efficacy (Blume et al., 2010; Burke & Hutchins, 2007) and to note
where they could improve or to conduct error management (Burke & Hutchens, 2007).
Another strategy that leads to transfer and is highly applicable in a pharmaceutical
training environment is to conduct training and practice in an environment that is realistic and
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 35
resembles the workplace (Burke & Hutchins, 2007; Kraiger, 2003; Salas et al., 2006). Trainers
at IC Biotech should conduct the training in an environment that simulates a doctor’s office (to
the extent possible) to increase the likelihood of transfer.
The Current Pharmaceutical Training Classroom
Pharmaceutical corporate classrooms have traditionally been managed by experienced
pharmaceutical employees with several years of experience in the field—individuals who have
“carried the bag.” While these would-be trainers possess a wealth of knowledge about how to
do a specific job, they are generally put in a training position without any instruction on adult
learning principles, or learning and development techniques (Saundra, 2001). Pharmaceutical
companies do not always provide formal training or “train the trainer”
14
development
opportunities to these new instructors. There may not be the budget for this training, and
sometimes companies do not see the need. Without this support and development, new trainers
could become discouraged early in their training careers (Saundra, 2001).
Pharmaceutical training typically begins at home, with new hires spending one or two
weeks on “home study.” During this time, new pharmaceutical representatives study disease
and product modules, learn the operational aspect of their jobs, and familiarize themselves with
the myriad of FDA regulations that govern the conduct of pharmaceutical representatives.
Home study is then followed by “headquarters training,” which can last one to four weeks,
depending on the number of products and diseases the new representatives must learn.
In the last decade, the U.S. labor force has changed in terms of employee demographics.
A large number of baby boomers are retiring and millennials became the largest generation in
the labor force in 2015 (Fry, 2015). Millennials were born between 1982 and 2002 and are also
14
“Train the trainer” refers to the formal process of training a classroom trainer on adult learning, facilitation, and
principles of instructional design.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 36
a growing employee population in the pharmaceutical sector (Howe & Strauss, 2007). The
literature also suggests that millennials prefer interactive and experiential learning experiences
(Phillips & Trainor, 2014), and they reject the traditional approach of monolithic lectures,
which is the preferred method of training in pharmaceutical classrooms. Millennials also grew
up with computers, the internet, social media, and YouTube, but leveraging these technologies
is not a widely accepted practice in pharmaceutical training because trainers are not aware of
how teachers use these technologies in K-12 classrooms.
Although employee demographics continue to change, the approach to pharmaceutical
training has been slow to adapt to the influx of millennial learners and the emergence of
learning technologies. In addition, the instructional design methodologies and delivery
practices that are typically employed in the pharmaceutical industry are not aligned with
evidence-based practices. Consequently, pharmaceutical trainers encounter conflict with the
way they are conducting training and the way students are choosing to learn (Parslow, 2012).
Overwhelmingly, pharmaceutical training has been slow to adapt because, in many
organizations, training typically occurs on a two-year rotation. Trainers in the pharmaceutical
industry will typically work in the training department for two years, and then they hope to
rotate out to do other jobs. Therefore, there is no continuity or growth of the training programs,
and thus pharmaceutical training usually lags behind the latest trends in training and education.
There is a wealth of literature and research that shows that there is a wide variety of learning
styles (Lage, Platt, & Treglia, 2000) and that increasing student participation increases learning
(Brophy & Good, 1986; Fisher & Berliner, 1985; Greenwood, Delquadri, & Hall, 1984), and
the venerable lecture-style training approach no longer meets the needs of current employees.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 37
Conceptual and Methodological Framework
The purpose of the conceptual framework in a research project is to serve as a guide or a
“roadmap” of the research being conducted. The conceptual framework considered a key
element in the design of a research project. It is useful in clarifying how variables interact with
each other to explain a phenomenon (Maxwell, 2013). Similarly, a conceptual framework keeps
a research project anchored so that it does not go off topic, and it provides a summary or an
outline of key assumptions, concepts, and ideas. Maxwell (2013) defines the conceptual
framework as a “system of concepts, assumptions, expectations, beliefs, and theories that support
and inform research” (p. 33).
The conceptual framework guiding this project is based on the Clark and Estes (2008)
Gap Analysis Model for improving organizational performance. This model identifies three key
influences that affect organizational performance: knowledge, motivation, and organizational
barriers (also known as KMO). The KMO influences or elements are referred to as the “Big
Three” by Clark and Estes (2008). KMO influences must be examined closely when conducting
a performance gap analysis. Clark and Estes (2008) assert that organizations fail to reach goals
when individuals or stakeholders do not have the knowledge they need (factual, conceptual,
procedural, and metacognitive) to execute their jobs. Moreover, goals are not reached when
employees or stakeholders lack motivation, or when organizational barriers prevent them from
goal attainment. Therefore, to solve performance problems, the organization must examine the
current performance against current organizational goals, identify performance gaps, hypothesize
and validate how KMO influence the performance gaps, create solutions and evaluate the
effectiveness of those solutions.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 38
The KMO elements identified in this project are presented in different sections of this
document. These elements may appear to be independent of each other, but they do not operate
autonomously; in fact, throughout this project the researcher demonstrates how these elements
interact with each other to influence the performance of corporate trainers and how it impacts
training transfer (Figure 4).
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 39
Figure 4. Knowledge, motivation and organizational factors that influence training transfer at IC Biotech
Conceptual Framework and Concepts
IC Biotech Organizational Influences
- The organization needs to promote a mastery orientation for sales
trainers rather than a competitive orientation
- The organization needs to implement policies and practices that lead to
greater retention in sales training positions
- The organization needs to provide resources and training for the trainers.
IMPLEMENT STRATEGIES TO PROMOTE TRANSFER
Knowledge, motivation and organizational influences that impact training transfer
at IC Biotech
Knowledge:
-Trainers need to know how to implement
strategies to promote transfer in training
-Trainers need to know how to articulate what
training transfer is
Corporate Trainers
Motivation:
-Trainers need to feel confident in their ability to
promote transfer in their instruction
-Trainers need to have a mastery goal orientation
and focus on improving their instructional
practices
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 40
The Gap Analysis Model also defines the steps that must be taken to move from the
current performance to a future desired state of performance. The steps of the Clark and Estes’s
(2008) Gap Analysis are listed below:
Step 1: Goals: Identification of Specific, Measurable Actionable and Time-bound goals
(SMART Goals);
Step 2: Current Performance: Quantify the current performance;
Step 3: Gaps: Determine the existing gaps in current performance;
Step 4: Causes: Evaluate how KMO influences gap in performance;
Step 5: Solutions: Identify potential solutions to close the gap in performance;
Step 6: Implementation: Implement solutions;
Step 7: Evaluate: Assess effectiveness of solutions and modify for continual
improvement.
Stakeholder Knowledge
According to Krathwohl (2002), in the revision of Bloom’s Taxonomy, there are now
four types of knowledge that are recognized as the four dimensions of the cognitive process.
Krathwohl (2002) asserts that these four types or knowledge are fundamental for optimal
performance outcomes: (1) factual knowledge or the “what”; (2) conceptual knowledge, which
can be the “what” but also can be the “why”; (3) procedural knowledge or the “how”; and (4)
cognitive knowledge, which is knowledge about self. These four dimensions of the cognitive
process are further detailed in Table 2. For the purposes of this project, the focus will be on the
declarative and procedural knowledge that is required by IC Biotech trainers to meet their
performance goals.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 41
Table 2. Structure of the Knowledge Dimension of the Revised Taxonomy
Knowledge Type Description Example
Factual Knowledge The basic elements that
students must know to be
acquainted with a
discipline or solve
problems in it.
Knowledge of
terminology
Knowledge of specific
details and elements
Conceptual Knowledge
The interrelationships
among basic elements
within a larger structure
that enable them to
function together.
Knowledge of
Classifications and
categories
Knowledge of principles
and generalizations
Knowledge of theories,
models, and structures
Procedural Knowledge How to do something;
methods of inquiry, and
criteria for using skills,
algorithms, techniques,
and methods.
Knowledge of subject-
specific skills and
algorithms
Knowledge of subject-
specific techniques and
methods
Knowledge of criteria
for determining when to
use appropriate
procedures
Metacognitive Knowledge Knowledge of cognition in
general as well as awareness
and knowledge of one's own
cognition.
Strategic knowledge
Knowledge about
cognitive tasks,
including appropriate
contextual and
conditional knowledge
Self-knowledge
Note: Adapted from “A Revision of Bloom's taxonomy: An overview,” by Krathwohl, D. R. (2002).
Theory into Practice, 41(4), 212-218.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 42
Declarative Knowledge
Declarative knowledge refers to information that can be stated verbally (Oosterhof,
2011). Declarative knowledge involves the recollection of specific facts, principles, trends,
criteria, and ways of classifying events (Oosterhof, 2011). An example of declarative knowledge
is recalling that you saw five red cars on the way to work, as opposed to stating that you saw five
cars. Declarative knowledge is equivalent to what Bloom’s Taxonomy calls knowledge; it is
knowing that something is the case. It is information that can be conveyed in words, orally or in
writing, i.e., knowledge that can be declared (Oosterhof, 2011). Presumably, corporate trainers
will have extensive declarative knowledge regarding their specific domain. This is the case with
IC Biotech trainers; they have a broad spectrum of product and clinical knowledge, but for this
project, the focus will be on the declarative knowledge about training transfer. In other words,
can they articulate, and do they understand what training transfer is?
Procedural Knowledge
Procedural knowledge, also known as imperative knowledge, is the type of knowledge
that considers how to do something. It is the knowledge required to perform certain activities or
tasks. Krathwohl (2002) defines it as the knowledge of how to do something: methods of inquiry,
and criteria for using skills, algorithms, techniques, and methods. Procedural knowledge is
further described in the literature as the ability to perform a defined set of steps or procedures to
solve problems (Baroody, Feil, & Johnson, 2007; Rittle-Johnson & Schneider, 2015). Procedural
knowledge differs from other types of knowledge in that it can be applied to perform a task;
applying the knowledge of the procedures for driving a car is an example of procedural
knowledge. For an individual who is serving as a trainer, procedural knowledge is knowing how
to explain the procedures for doing a very specific job (Johnson & Leach, 2001). In this case, for
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 43
IC Biotech’s corporate trainers, it is not enough to explain the compliant procedures for engaging
physicians, they must also know how to deploy transfer strategies in the classroom. This
knowledge is critical because new trainers tend to gravitate toward “faddish” or untested training
practices that result in training that fails (Goldstein, 1991).
Table 3 describes the organizational mission, organizational goal, and descriptions of
knowledge influences, knowledge types, and knowledge assessments. The table shows the
factual, metacognitive, procedural, and conceptual knowledge influences that are necessary for
goal achievement at IC Biotech.
Table 3. Knowledge Influences, Types, and Assessments for Knowledge Influences
Organizational Mission
IC Biotech is committed to making a difference in the lives of patients through rigorous
scientific discovery.
Organizational Commercial Goal
IC Biotech has established a goal for the commercial team to increase TNPS scores to 80%
for all trainers by December 31, 2018, as measured by the TNPS instrument.
Stakeholder Goal
All trainers will implement strategies to promote transfer of learning in their classes
Knowledge Influence
Knowledge Type
(i.e., declarative (factual or
conceptual), procedural, or
metacognitive)
Knowledge Influence
Assessment
Trainers need to articulate
what training transfer is
Declarative
Assessing declarative
knowledge can be done through
interviews.
Trainers need to know how
to implement strategies to
promote transfer in training.
Procedural
TNPS Score Card after every
class.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 44
Stakeholder Motivation
Motivation is the result of beliefs and experiences about ourselves (Clark & Estes, 2008).
Motivation and its influence on performance have been researched extensively. There are several
theories or models that have been developed to explain an individual’s decision on whether they
will perform a task, the persistence to achieve those tasks, and the drive or motivation in carrying
out those tasks (Eccles, Wigfield, & Schiefele, 1998; Pintrich & Schunk, 1996). In other words,
motivation is the willingness to engage in a task, or as Clark and Estes (2008) describe it:
“motivation gets us going, keeps us moving and tells us how much effort to spend on work
tasks” (p. 80).
There are many aspects of a trainer’s job that are unique and influenced by motivation.
For example, trainers work long hours, and they are constantly preparing for classes, reviewing
homework or tests, and if they receive low marks in a survey result after conducting a class, it
can be very demotivating. However, pharmaceutical trainers know that they will typically only
be in the role for an average of two years, and they are likely to be promoted (Kravitz, 2017) and
this is a motivating factor. Trainers also do not mind the hard work because they find the job
interesting and they see the value in what they do. Ultimately, they believe that the training they
provide is beneficial to employees and the organization, and according to Eccles (2006) and
Pintrich (2003) personal interest and value are key variables of improved performance and
motivation.
One of the motivational models examined in the course of this research is self-efficacy
theory. Researchers that subscribe to this theory maintain that individual’s belief in their own
abilities determines success in any given situation (Bandura, 2000; Gist, 1987). This is what is
commonly known as self-confidence. Another theory that will be is examined in this project is
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 45
goal orientation theory, which is a theory that examines the degree to which a person (or an
organization) focuses on tasks and the results of those tasks; in other words, how goals influence
a person’s motivation and behavior.
Self-Efficacy Theory
According to this theory, individual’s belief in their abilities is a predictor of their success
in carrying out a future task or a future problem (Bandura, 2000; Pajares, 2006). In other words,
if individuals believe that they are brilliant at doing a task, they have high self-efficacy because
they believe they can successfully complete the task. It does not matter if they can or cannot
complete it, only that they believe they can. According to Bandura (2008), self-efficacy is not an
attribute with which you are born with. Instead, he suggests that anyone—regardless of their
upbringing or their environment—has the capacity to develop and increase in their self-efficacy.
Self-efficacy plays a major part in determining our chances for success because individuals with
higher self-efficacy and greater belief in their own competence have “higher expectancies for
positive outcomes will be more motivated to engage in, persist at, and work hard at a task or
activity” (Rueda, 2011, p. 41).
Corporate trainer self-efficacy. For a corporate trainer working at IC Biotech, self-
efficacy plays a critical role in motivation and goal achievement. These individuals come into the
training role regarded as subject matter experts and everyone expects them to come into the role
and “hit the ground running.” This means it is expected that they can start to teach classes right
away, and while they can explain clinical data and how to do the job, they need to feel confident
that the way they are conducting classes is conducive to transfer. This is why it is critical that
new pharmaceutical trainers receive proper training before putting them in front of a class. If
untrained pharmaceutical trainers conduct a class and they receive poor evaluation marks, it can
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 46
be very discouraging for them. Conversely, if they have been trained in evidence-based practices
that lead to transfer, and they are given an opportunity to implement those practices, their self-
efficacy will be high, and they are more likely to stay motivated.
Goal Orientation Theory
Another theory that influences motivation and is linked to increased performance is goal
orientation theory. It has been well established in the literature that setting goals leads to
increased performance in the completion of various tasks and positively influences motivation
(Locke & Latham, 1990; Locke, Shaw, Saari, & Latham, 1981; Mento, Steel, & Karren, 1987).
Goal orientation theory examines the reasons why an individual engages in a task
(Yough & Anderman, 2006), in other words, this theory attempts to link individual goals to
motivation and achievement. According to Pintrich (2000), goals fall into two major categories:
mastery goals and performance goals. Individuals who are mastery-oriented are interested in
self-improvement and are more inclined to compare their current level of achievement to their
own prior achievement. In contrast, individuals who are performance-oriented are more inclined
to compare their ability to others. Individuals who are performance-oriented are interested in
competition, demonstrating their competence, and outperforming others. They tend to use other
individuals as points of comparison, rather than themselves (Yough & Anderman, 2006).
Corporate trainer goal orientation. Corporate trainers working at IC Biotech have a
predisposition to performance goal orientation. They are salespeople by nature and are used to
competing with others, so their goals are structured to compare goal achievement at local and
national levels. When they are put in a trainer role, their performance orientation surfaces when
they compare themselves with other trainers. They want to be better than the next trainer by
doing the most classes, earning the best evaluation scores, and getting the best annual rating.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 47
This constant proclivity toward competition among trainers at IC Biotech is not necessarily
undesirable, except that the drive to outperform each other often causes trainers to “burn out”
rapidly.
15
Interestingly, IC Biotech trainers also have a mastery-goal orientation. They became
field trainers
16
because of their clinical acumen. This means that they have an inherent desire to
learn and increase their clinical acumen, so they can become an asset to their teams and
customers, and they simply like to help train others. But, because they are salespeople by nature,
the performance-goal orientation becomes a priority for the trainers. However, to become a
successful trainer at IC Biotech, trainers need to focus on mastery-goal orientation and
concentrate their efforts on improving their instructional practices.
Table 4 also describes the organizational mission, organizational goal, and descriptions of
motivational influences and assessments for motivational influences. The table shows the
relationship of established value and performance orientation to goal achievement.
15
The burn out factor among trainers is also a reason why the training rotates about every two years.
16
Field trainers are field-based trainers and it is usually a prerequisite to become a corporate trainer.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 48
Table 4. Motivation Influences, and Assessments for Motivational Influences
Organizational Mission
IC Biotech is committed to making a difference in the lives of patients through rigorous
scientific discovery.
Organizational Global Goal
IC Biotech has established a goal for the commercial team to increase TNPS scores to
80% for all trainers by December 31, 2018, as measured by the TNPS instrument.
Stakeholder Goal
All trainers will implement strategies to promote transfer of learning in their classes
Motivational Influencer Assessment
Self-Efficacy
Trainers need to feel confident in their ability
to promote transfer in their instruction
Assessing self-efficacy can be done
through observations and interviews.
Goal Orientation-
Trainers need to have a mastery goal
orientation and focus on improving their
instructional practices
Assessing goal-orientation can be done
through interviews.
Organizational Models and Settings
The final element of the Clark and Estes (2008) Gap Analysis Model that impacts
stakeholder performance is organizational influences. The next few paragraphs offer a review of
the literature related to organizational/cultural influences for corporate trainers. Since there is a
lack of data regarding organizational influences of corporate trainers in a pharmaceutical
environment, the researcher conducted an examination of the literature related to industrial
trainers to extrapolate concepts regarding the organizational influences that affect performance in
a pharmaceutical training environment. The researcher also has first-hand knowledge of IC
Biotech and will comment on the organizational influences and culture present at IC Biotech that
influence the performance and goal achievement for the corporate trainers. When assessing the
influences that the organization and culture bear on its members, it is important to consider the
cultural models and cultural settings of the organization (Gallimore & Goldenberg, 2001).
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 49
Cultural Models
Gallimore and Goldenberg (2001) define cultural models as the “mental schema or
normative understanding of how the world works or ought to work” (p. 47). In other words,
cultural models can be the norms and the rules of behavior in an organization. Others describe
culture as shared assumptions in a group (Schein, 2004). Denison (1990) defines it as underlying
beliefs; Martin (2002) describes it as not only what is shared within a group, but also what is not
shared; and Clark and Estes (2008) describe it as “core values, goals, beliefs emotions and
processes learned as people develop over time” (p. 108). How organizational culture is defined
varies in the literature (Table 5), and the term can be confusing, but the simplest definition is,
“culture is the way we do things around here” (Deal & Kennedy, 1982, p. 49).
Cultural Setting
Another concept that is important to consider when evaluating organizational culture is
the cultural setting. This construct is rather obscure and harder to define because according to
Gallimore and Goldenberg (2001) a cultural setting exists whenever “two or more people come
together, over time, to accomplish something” (p. 9). One of the best definitions of cultural
setting comes from Tharpe and Gallimore (1988). They define it as:
The social furniture of our family, community, and work lives. They are the small
recurrent dramas of everyday life, played on the stages of home, school, community, and
workplace—the father and daughter collaborating to find lost shoes; the preschooler
recounting a folk tale with sensitive questioning of an adult; the child who plays a board
game through the help of a patient brother; the Navajo girl who assists her mother’s
weaving, and in the fullness of time, becomes a master weaver herself (p. 72).
In an organizational environment, it is the “social furniture” that determines how
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 50
everyone in the organization interacts, reacts, and behaves. Organizational culture exists within a
cultural setting, and while these are two very different concepts, they are inextricably connected
(Gallimore & Goldenberg, 2001).
IC Biotech assumed organizational influences. There are several cultural models that
exist within IC Biotech; 90% of commercial employees “carried the bag” and therefore there is a
strong competitive culture prevalent in the organization. Competition can be motivating in
certain work situations, but it can also have the opposite effect if constant (Trikha, 2012).
Corporate trainers at IC Biotech sometimes feel demotivated by the constant pressure to earn
higher scorecards than other peers. This competitive culture is tied to individual goals because
they often derive from “how and what” other trainers are doing. Therefore, if trainer “A”
conducted 20 classes last year, trainer “B” then should do 30 or 40 classes. This competitive
environment also causes trainers to “burn out” rapidly. One possible way to mitigate this
situation would be for IC Biotech to promote a culture of mastery goal orientation for sales
trainers rather than a competitive orientation.
Another cultural influence is the widely-held organizational notion in the organization
that trainers should only be in the role for two years. This is an assumed organizational influence
that impacts training transfer because it takes time for a Subject Matter Expert (SME) to become
an effective trainer (Saundra, 2001). After two years in the role, just when they are becoming
proficient, trainers are removed and placed in a different role; then new trainers come in, and the
process starts all over again. This is widely practiced in the pharmaceutical industry and it is
counterproductive. Instead of moving trainers from the role after two years, the organization
needs to implement policies and practices that lead to greater retention in sales training positions.
Finally, at IC Biotech, organizational leaders are cutting training budgets and want the
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 51
training department to cover more clinical content without increasing training time. This
initiative has created a great deal of stress among trainers because they are forced to restructure
lesson plans, and shorten coverage of clinical topics, while learners are being impacted because
of content overload. In addition, because budgets are limited, and trainers’ time is pushed to the
limit, trainers rarely receive any development nor are there funds allocated to send trainers to
conferences or to pay for train-the-trainer courses. To change this organizational influence, IC
Biotech needs to provide necessary resources to the trainers and ensure that all the trainers
receive the necessary training to do the job.
Table 5. Organizational Influences, and Assessments for Organizational Influences
Organizational Mission
IC Biotech is committed to making a difference in the lives of patients through rigorous
scientific discovery.
Organizational Global Goal
IC Biotech has established a goal for the commercial team to increase TNPS scores to
80% for all trainers by December 31, 2018, as measured by the TNPS instrument.
Stakeholder Goal
All trainers will implement strategies to promote transfer of learning in their classes.
Organizational Influencer Assessment
The organization needs to promote a mastery
orientation for sales trainers rather than a
competitive orientation
Assessing the promotion of mastery
orientation can be done through
interviews.
The organization needs to implement policies
and practices that lead to greater retention in
sales training positions.
Assessing policies and practices can be
done through interviews.
The organization needs to provide resources
and training for the trainers.
Assessing the provision of resources can
be done through interviews.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 52
Summary
A modified version of the Gap Analysis Model developed by Clark and Estes (2008)
guided this literature review. According to this model, performance gaps are typically
attributable to three factors: knowledge, motivation, and organizational influences. The literature
demonstrates that organizations fail to reach organizational goals when employees lack the
knowledge (factual, conceptual, procedural, and metacognitive) to execute their jobs. For trainers
at IC Biotech, knowledge of strategies to promote transfer in training is paramount.
The literature also shows that employee motivation is also a key factor that influences
performance. Motivation has been researched extensively; two of the theories that emerge as
models for this project are the self-efficacy theory, which is the “confidence” or an individuals’
belief in their own abilities to successfully carry out a task, and goal orientation theory, which
examines how goals influence motivation and behavior. According to this theory, goals fall
into two major categories: mastery goals and performance goals. Performance goals are
focused on demonstrating personal ability compared to others. Mastery goals are focused on
self-improvement and the focus is to compete against the self instead of others. Self-efficacy
and goal-orientation are two assumed motivational influences that impact transfer at IC
Biotech.
Finally, organizational influences also play a role in training transfer. At IC Biotech,
commercial leaders have cut training budgets. These budgetary constraints have caused trainers
to be overworked, leaving no time or money for personal development. The organization needs
to provide resources and training for the trainers.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 53
CHAPTER THREE: METHODOLOGY
Purpose of The Project and Research Questions
In the United States, companies are spending billions of dollars each year in corporate
training initiatives to up-skill employees and hopefully gain a competitive edge (Salas et al.,
2006). Despite the significant investment made by corporate leaders, a large number of the
trained competencies ostensibly do not transfer to the work environment (Grossman & Salas,
2011). Organizations and researchers have long recognized the “transfer problem” (Michelak,
1981) and there have been several comprehensive reviews of the existing literature, empirical
studies, and meta-analyses that have yielded a great deal of information about the transfer
problem. However, conclusive findings about the factors that impact training transfer remain
elusive (Salas, et al., 2006). Nonetheless, the extant literature seems to indicate that the trainer
delivering the training plays a key role.
The purpose of this qualitative study is to examine how the trainer’s knowledge, skills,
motivation, and organizational influences impact the training transfer at IC Biotech. Defining
how these elements influence transfer has significant implications for improving the quality of
training at IC Biotech but may also benefit similar pharmaceutical training programs.
Additionally, the researcher will make recommendations to address potential performance gaps
based on the Kirkpatrick’s New World Model (2016).
The following research questions were raised:
1. To what extent is the IC Biotech meeting its commercial training goal?
2. What is the stakeholder knowledge and motivation related to training transfer at
IC Biotech?
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 54
3. What is the interaction between organizational culture and context and
stakeholder knowledge and motivation?
4. What are the recommendations for organizational practice in the areas of
knowledge, motivation, and organizational resources?
Methodological Approach and Rationale
The research design for this project was a basic qualitative approach. The data collected
in this study consisted of interviews, observations, and several documents and artifacts. The
qualitative data collected through these methods provided insight into the potential cause and
effect factors involved in training transfer at IC Biotech. The data also provided contextual
insight into how organizational or individual factors impact training transfer.
The rationale for choosing a basic qualitative approach was based on the fact that the
researcher knew in advance that sample size would be limited (no more than 10 potential
participants). Although the sample size was small, the researcher was confident that it would
yield sufficient data to answer the research questions.
Data Collection and Instrumentation
The data collection process for this study consisted of interviews, observations, and the
review of documents and artifacts, which were instrumental in providing insights into the
research questions listed above. Interviews were the optimal tool to capture the perspective of
trainers at IC biotech as it relates to the potential influences that impact training transfer.
Interviews were also ideal instruments to generate ideas and opinions about possible solutions to
the training transfer problem. Observations generated data on trainer activities and behaviors
while conducting instruction, and they also generated data in terms of what practices and
activities influence training transfer at IC Biotech. Document and artifact review generated data
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 55
regarding the current influences of the training transfer problem in general, and provided ideas
for potential solutions. Data sources such as training agendas, Trainer Net Promoter Score cards
(TNPS), job-aids, emails, and internal communication provided insight into the assumed
influences that impact training transfer at IC Biotech.
Participating Stakeholders
The stakeholder population of focus for this study was IC Biotech employees in a training
capacity. Because this was a qualitative study about improving training transfer at a midsize
biotech company, the selection criteria for the participants was relatively simple: Participants
needed to be in a training capacity for at least one year and must have been employed at IC
Biotech for at least three years. Similarly, the supervisor’s criteria were simple: Participants
needed to have managed the training function for a minimum of two years. Therefore, the overall
sample size for this qualitative study, approximately eight identified participants met the required
specific criteria.
Interview Sampling Criterion and Rationale
Criterion 1. Participants needed to be in a commercial training capacity for a minimum
of one year and be responsible for conducting commercial classes.
Criterion 2. Participants needed to be employed at IC Biotech for a minimum of three
years.
Criterion 3. Participants needed to have been in a commercial training capacity at IC
Biotech, and while no longer in the role, they still need to be employed at IC
Biotech.
Criterion 4 (for supervisors): Participants needed to have managed the training function
for a minimum of two years.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 56
Interview Sampling (Recruitment) Strategy and Rationale
Subjects at IC Biotech that met the criteria listed above were included in the potential list
of participants. Because the researcher knew all the potential participants personally, a total of
eight participants were identified through a convenience sampling technique. Accessibility and
proximity to the researcher were a primary driver for using this sampling technique. Participants
were contacted by email first, followed by a phone call to discuss the goals of the project. All
subjects agreed to be interviewed, however, two trainers who were transitioning to sales manager
positions had difficulty finding a convenient time to conduct the interviews. Therefore, a total of
six confirmed interviews were conducted over the course of two months. All participants
received an email from the researcher confirming the date and time of the interview, how long it
would take, and the format of the interview. No surveys were used in this study because of the
small sample size, but six observations were also conducted as part of the data collected.
Interviews
The researcher conducted six interviews over the course of two months starting late in
December 2017 with most occurring in January 2018. The researcher anticipated that completing
the interviews would take approximately four to eight weeks because of challenges in
coordinating with the schedules of the participants. Each of the interviews took approximately 45
minutes and the goal was to complete at least one interview per week (including transcription).
Fortunately, all six participants made themselves available and the goal of one interview per
week was achieved. The format of the interviews was informal because the researcher knew all
the study participants. The interviews were conducted by telephone and although the format of
the interviews was informal, the structure of the interviews was semi-formal because the goal
was to keep the interviews within a 45-minute block of time and the researcher needed to control
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 57
the pace of conversation. The questions were open-ended to allow respondents to share feelings,
attitudes, and understanding of the assumed influences. The open-ended questions allowed the
researcher to gain access to the participants’ true feelings about training transfer at IC Biotech.
The conceptual framework guiding this study identified several key influencers that are
based in Clark and Estes (2008) Gap Analysis Model, Knowledge, Motivation and
Organizational Influences (KMO). These influencers may affect a trainer’s performance at IC
Biotech and thus, diminish the transfer of training; therefore, the researcher asked eight open-
ended questions that were primarily focused on these three key influences (see Appendix A).
Observation Sampling Criterion and Rationale
Criterion 1. Six field observations were conducted in this project (one observations per
study participant). The observations were conducted in six different
locations.
Criterion 2. The observations included a trainer with one year of experience but less than
two, trainers with more than two years but less than three, and trainers with
more than three years of experience.
Observation Sampling (Access) Strategy and Rationale
The sampling strategy adopted for the observations was also relatively simple: IC Biotech
conducts several classes every month in different locations, and six observational events were
identified based on the timing of this project and the location where they would be conducted.
Because the researcher knew all the trainers, they were comfortable having the researcher
observe for a few hours a day during the morning session (see Table 6).
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 58
Observations
Additional data was collected through six observational episodes that focused on
validating some of the data collected during the interviews. A secondary focus was to
observe first-hand the facilitation and instructional skills of the instructors. The
researcher attended two classes in late December 2017, and four classes in January 2018
(see Table 6). These six classes were very similar in structure to the classes conducted at
the home office, except that they are conducted remotely when new hires predominantly
live in a concentrated area. In this case, the new hires were from the Western Region
(west of the Mississippi). The researcher conducted observations during the morning
sessions (8:30 a.m.-noon). The researcher agreed that the instructors would introduce the
researcher as an external consultant, and the assumption was that it would not create an
issue with the students. This approach enabled the researcher to observe the skills and the
knowledge of the instructors, as well as the instructional strategies used by each trainer.
Table 6 shows the location, date, time and participant observed. All participants
expressed a desire for their identity to be masked during observations, therefore each
participant was identified with a number, i.e., Participant 1, 2, 3, etc. The researcher used
a checklist during the observations to record class activities and class dynamics (see
Appendix B).
Table 6. Field Observation Information
Location Date Day Time Participant
Location 1 12/19/17 Tuesday 8:30 AM-12:00 PM Participant 2
Location 1 1/11/18 Thursday 8:30 AM-12:00 PM Participant 4
Location 2 1/15/18 Monday 8:30 AM-12:00 PM Participant 1
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 59
Location 3 1/18/18 Thursday 8:30 AM-12:00 PM Participant 6
Location 1 1/25/18 Thursday 8:30 AM-12:00 PM Participant 5
Location 2 1/31/18 Wednesday 8:30 AM-12:00 PM Participant 3
Documents and Artifacts
Documents and artifacts are part of qualitative inquiry (Merriam & Tisdell, 2016); in this
study, the researcher used TNPS scorecards (all trainers agreed to share their latest scorecards
with the researcher). The TNPS scorecards are instruments used by IC Biotech to evaluate the
trainers after every class. Trainers also agreed to share a sampling of the anonymous class
evaluation forms that students complete at the end of every class. Additionally, they agreed to
share their individual goals for 2017. These two artifacts gave some insight into each trainer’s
knowledge and skills. Finally, the researcher examined lessons plans, class agendas, and training
job aids to assess activities and deployed training strategies that could lead to training transfer.
Data Analysis
For interviews and observations, data analysis began during data collection. The
researcher wrote analytic memos after each interview and each observation. The researcher also
documented personal thoughts, concerns, and initial conclusions about the data in relation to the
conceptual framework and research questions. Once the researcher left the field, interviews were
immediately transcribed and coded. In the first phase of data analysis, the researcher used open
coding, looking for empirical codes and applying a priori codes from the conceptual framework.
A second phase of analysis was conducted where empirical and a priori codes were aggregated
into analytic/axial codes. Finally, in the third and final phase of data analysis, the researcher
identified pattern codes and themes that emerged in relation to the conceptual framework and
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 60
study questions. The researcher also analyzed documents and artifacts for evidence consistent
with the concepts in the conceptual framework.
Bias is defined as any propensity, that inhibits unprejudiced consideration of a question
or an issue (Dictionary.com, 2018). In research, bias happens when errors are introduced into
sampling or testing by the investigator(s) when selecting or encouraging one outcome or answer
over others. In other words, bias is introduced when the researcher deliberately or inadvertently
does something that influences or skews the outcomes in a certain direction. In this case, the
researcher knew all the study participants personally; therefore, to minimize bias during the data
collection process, (a) the interview questions were designed to ensure there were no leading
questions or wording biases; (b) the researcher maintained a neutral stance, limiting verbal
feedback to participant’s answers so they would not be construed as agreement or disagreement
to the participant’s answers; (c) triangulated data by verifying answers with observations,
documents, and artifacts; (d) constantly “checking in” with participants during interview to
confirm their answers and eliminate assumptions; (e) during the observations, the researcher also
limited feedback and body language to prevent bias. The investigator acknowledges that
sponsor bias was the most challenging aspect of the data collection process because the
participants knew the researcher and there was a tendency for participants to want to give the
answers that they believed the researcher wanted to hear. For this reason, painstaking care was
provided in the design of the interview protocol (Appendix A).
Credibility and Trustworthiness
Credibility and trustworthiness are terms that are used in qualitative inquiry; these terms
are synonymous with validity and reliability in quantitative studies, however different
terminology is used to describe their meaning. Credibility refers to the confidence of the
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 61
investigator in asserting that the findings are true and accurate (Maxwell, 2013; Merriam &
Tisdell, 2016). Trustworthiness refers to the assertion that the study is credible; the findings are
transferable, confirmable, and dependable. When conducting a qualitative inquiry, the researcher
always has to be concerned with how to increase/maintain the credibility and trustworthiness of
the study or the internal validity and credibility of the data (Merriam & Tisdell, 2016). Therefore,
the methodology and protocols for data collection must be designed to mitigate the threats to
credibility and trustworthiness of the data integrity (Maxwell, 2013). Since the researcher did not
use any instruments with established metrics about validity and reliability in the data collection,
the researcher adopted several strategies to triangulate the validity and reliability of the data
collected to ensure that it is credible, transferable, confirmable, and dependable. The researcher
used the data from the observations, documents/artifacts, and the Trainers Net Promoters Scores
to triangulate responses from interviews. The triangulation process also served to mitigate any
bias that the researcher might have introduced during the analysis phase and by only using one
data collection methodology (Maxwell, 2013).
In this study, the researcher used a variety of strategies as outlined by Maxwell (2013):
respondent validation, triangulation, member checks, soliciting feedback, data and artifact
reviews, and collecting rich data through the process of interviews. Member checks and
soliciting feedback from the supervisors also triangulated the data collected through interviews
and reviewing scorecards, class evaluations, and MBO progress served as an additional
validation checkpoint. Additionally, the researcher maintained a reflexive journal where the
researcher captured the details of the interactions with the study participants during the
interviews. In this journal, the researcher detailed how he may have influenced the direction and
results of each interview. The journal entries served useful purposes. First, they were used in the
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 62
final analysis of the data collected. Second, the entries served as a tool to mitigate any
researcher biases that could have resulted throughout the interaction with the participants and
because the researcher knew them personally. Last, the journal entries also contributed to the
overall credibility of the study.
Ethics
Research ethics are an important consideration while conducting a research project that
involves human participants. The need to protect participants’ interests, confidentiality, and
safety are important considerations that must be preserved while conducting the research. In
addition, research ethics are an important consideration because it guides the conduct of the
researchers and aids them in preventing potential ethical dilemmas. Therefore, having explicit
guidelines for conducting this qualitative research was an important consideration while
designing the study because of the close interface between the researcher and participants. This
was especially important during the interviews because the researcher was familiar with all the
participants in the study. The researcher was also aware that his views, training beliefs, and
experiences would play a crucial role in the final data analysis. Therefore, to mitigate
constructing meaning though the researcher’s own experiences, the researcher briefly discussed
the concept of ethics with participants. The researcher also explained that throughout the
interviews, there would be “checkpoints” along the way to ensure that the researcher was
interpreting responses correctly.
Furthermore, when doing a research project that directly involves human participants, it
is necessary that all potential participants undergo through the informed consent process. The
informed consent process ensures that participants are willingly participating in the research with
a full understanding of any potential risks and benefits (Smith, 2003). In this study, it was the
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 63
researcher’s responsibility to educate the participants of the risks and benefits, obtain their
consent before asking them in to participate in the research, and keep them informed of the
results. Although the consent process is indeed a procedure and not necessarily a form, the
researcher created a form. The form was written in plain English that contained reasonable
information about the nature of the research and it was presented via email in comprehensible
language so that the potential subjects could make an informed decision about participation
(Appendix C).
Additionally, the Ethics Code from the American Psychological Association (APA),
mandates that researchers conducting research that involves humans should inform participants
of the following:
1. The purpose of the research;
2. Expected duration and procedures;
3. Participants' rights to decline to participate and to withdraw from the research once it
has started, as well as the anticipated consequences of doing so;
4. Reasonably foreseeable factors that may influence their willingness to participate,
such as potential risks, discomfort or adverse effects;
5. Any prospective research benefits;
6. Limits of confidentiality, such as data coding, disposal, sharing and archiving, and
when confidentiality must be broken;
7. Incentives for participation;
8. Who participants contact if they have questions.
For this research project, the researcher submitted an Institutional Review Board (IRB)
request to the University of Southern California (USC), and the researcher followed the approval
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guidelines issued by this committee. In order to mitigate any ethical concerns, all participants in
this study were advised of the APA recommended steps outlined above.
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CHAPTER FOUR: RESULTS AND FINDINGS
Introduction
The purpose of this qualitative study was to examine the effect that knowledge, skills,
motivation, and organizational (KMO) influences have on training transfer at IC Biotech, a
midsize biotech company. A secondary purpose was to examine ways to improve training
transfer at IC Biotech. Determining how these KMO factors influence transfer has considerable
implications for improving the quality of training at IC Biotech but may also benefit similar
pharmaceutical training programs at other midsize pharmaceutical companies. Assumed
knowledge, motivation and organizational influences were developed as a result of the literature
review process. Furthermore, this study makes recommendations based on the literature and the
data collection process for enhancing training transfer in organizational training programs. Six
participants were selected to participate in semi-structured interviews and observations for this
study. The participants were in a training capacity at IC Biotech, and it included one director of
training, four current home-office trainers, and one field trainer. All participants had a
minimum of one year of classroom experience as pharmaceutical trainers.
The Clark and Estes Gap Analysis framework (2008) was modified and served as a
principal guide for this project. Their framework was used to establish whether training transfer
is influenced by a lack of knowledge, motivation, and/or organizational barriers. After the gaps
were identified throughout the course of the data analysis process, recommendations are
proposed to close these gaps. The following research questions were raised:
1. To what extent is the IC Biotech meeting its commercial training goal?
2. What are the stakeholder’s knowledge and motivation related to training transfer
at IC Biotech?
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3. What is the interaction between organizational culture and context and
stakeholder knowledge and motivation?
4. What are the recommendations for organizational practice in the areas of
knowledge, motivation, and organizational resources?
Participating Stakeholders
The most common business definition of a stakeholder is a large investor who has the
clout to hold a viable “stake” in an organization. In business, a stakeholder is usually an
investor in an organization whose actions determine the outcome of business decisions in an
organization (Roeder, 2013). However, stakeholders don’t necessarily have to be
shareholders; they can be employees who have a stake in the company’s success. They can
also be business partners who rely on the organization’s success to keep the supply chain
going. Every organization takes a different approach to its various stakeholders and the roles
of stakeholders vary among organizations; it all depends on the rules and responsibilities laid
out at within the organization’s road map (Choi, 2009).
The principal stakeholder group of the study was comprised of IC Biotech employees
who were in a training capacity. All participants had at least two years’ tenure at IC Biotech, and
all came from within the sales ranks. The average age of the study participants was
approximately 41 years old, and all were college graduates
17
(average education level =16 years),
and some had advanced graduate degrees, although not in education. All participants expressed a
desire for their identity to be masked, therefore each participant was identified with a number,
i.e., Participant 1, 2, 3, etc. Table 7 shows the demographic information for study participants.
17
A minimum of a four-year college degree is required to be employed in the pharmaceutical industry
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Table 7. Trainer Demographic Information
Participant Years in
Pharmaceutical
Industry
Immediate
Preceding Job
Before
Training
Training Job
Title
Years in
Training
Previous Adult
Learning
Experience
Participant 1 15 Sales Director Training
Director
2.7 Yes
Participant 2 10 Field Trainer Training
Manager
1.8 No
Participant 3 20 Field Trainer Associate
Director
2.1 No
Participant 4 18 Field Trainer Associate
Director
2.3 No
Participant 5 6 Sales
Representative
Training
Manager
2.1 Yes
Participant 6 5 Sales
Representative
Training
Manager
1.5 No
Findings
The purpose of this qualitative study was to evaluate the impact that the assumed
influences of knowledge, skills, motivation, and organizational factors had on training transfer at
IC Biotech, a midsize biotech company. A secondary purpose was to examine ways to improve
training transfer at IC Biotech. During this study, if an assumed influence was confirmed
through the data analysis, observations, and artifact review, then it was assumed that the
influence was a factor and it required a recommendation as discussed in Chapter Five. If an
assumed influence was not confirmed through the same process outlined above, it was assumed
that it was not present and no recommendations were made.
In this project, data was collected through interviews, observations, and document/artifact
review. If the findings were uniform across all three data sources, then it was assumed that
influence was a need and it required a recommendation as discussed in Chapter Five.
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Knowledge Findings
Declarative knowledge. The assumed influence for this type of knowledge was that
trainers at IC Biotech need to be able to define training transfer. The assumption is that if they
can properly articulate the definition of training transfer, then they would be able to apply
training strategies that lead to training transfer.
As defined in Chapter Two, declarative knowledge refers to information that can be
stated verbally (Oosterhof, 2011). Declarative knowledge involves the recollection of specific
facts, principles, trends, criteria, and ways of classifying events (Oosterhof, 2011). It is
information that can be conveyed in words, orally or in writing; that is, knowledge that can be
declared (Oosterhof, 2011). Ostensibly, corporate trainers would have comprehensive
declarative knowledge of their specific domain. In this case, IC Biotech trainers have a broad
spectrum of product and clinical knowledge, but for this project the focus was on the declarative
knowledge about training transfer. In other words, can the trainers define training transfer, and
do they understand the concept? The findings demonstrated that trainers at IC Biotech do not
have the declarative knowledge to explain the concept of training transfer.
Results from interviews. The results of the interviews confirmed the knowledge
assumption that trainers at IC Biotech lack a clear understanding of the training transfer
construct. None of the six participants interviewed could articulate the concept of training
transfer. Participant 1 defined it by saying: “It is the efficiency with which you can
communicate your learning objectives to your learners.” When asked to further expand on the
answer, he added: “It is the ability of the actual training curriculum to have applicability, and the
job that you intend to inform from training.” Similarly, Participants 2, 3, 4, and 5 believed that
training transfer was following the learning objectives. They collectively believed that if they
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followed the learning objectives/curriculum that it would result in transfer. Participant 2
captured the sentiment of the group by expressing it this way: “To me, training transfer is when
the subject or the learners, after spending time in training is able to execute the established
learning objectives.” Participant 1 mentioned application on the job, but the trainer was referring
to the curriculum, i.e., “the ability of the actual training curriculum to have applicability on the
job.” Participant 3 said: “Training transfer to me is delivering the information and then assessing
whether the students received the information.” Participant 4 said: “Off the top of my head, I
would assume is the transfer of knowledge through the training process to the people that you are
trying to impart that knowledge to.” Participant 5 said: “Well, when I think of transfer, there are
links, for lack of a better word, along the way in that somebody that goes through training, comes
out of training…how does that transfer continue beyond training?” Finally, Participant 6 said: “I
have to be honest, that is not a word that I have heard recently,” (referring to training transfer). It
should be noted however that Participant 6 had the least amount of experience as a trainer and
the least amount of tenure in the pharmaceutical industry.
Results from document/artifact analysis. Document/artifact analysis consisted of
reviewing class agendas for all levels of training conducted at IC Biotech (initial and advanced
training) and the training plans. It also included all job aids currently used by trainers on
when/how to use role-play and other classroom activities. The agendas provide a roadmap to the
trainers about how much time to devote to each subject and activities. The training plans are
comprehensive guides about how to conduct instruction. For example, the guides typically have
three columns: The first column shows the time allocated to the activity; the middle column is a
description of the activity, and the right column contains a suggested script and questions to ask.
The training plans are similar to a lesson plan, but they are typically not designed by an
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instructional designer. Once the internal regulatory teams have approved a training plan, the
trainers must adhere to it and cannot alter it or deviate from it.
The role-play job-aids and other group activities only include instruction for how to
execute the activity, i.e., “pair students, have them role play for 15 minutes, at the end of the
exercise, have students give feedback to each other.” The instructions do not go beyond that
level of detail. A “Leaders Guide” was also included in the document/artifact review. The guide
provides more in-depth instructions about how to conduct certain group activities throughout the
day. The guide also provides suggested language to use during the activities, and it follows a
similar design of training plan described in the previous paragraph.
The document/artifact review also included a review of the PowerPoint slides that were
shown during the observations. The slide review consisted of five disease lecture decks, and
nine internal policies titled “Physician Payments Sunshine Act; HCP Interactions and Meals;
Healthcare Compliance Training; Anti-Bribery Training; Patient Privacy; Appropriate
Promotional Activities; Promotional Speaker Training; Grants & Sponsorships; and Interactions
with Government Employees.” The same slides were used in each observation because in the
pharmaceutical industry, once a set of slides has been approved for training by members of the
legal, medical, and regulatory teams have approved a set of slides they cannot be altered in any
way. The review of the slides showed that the content of the slides is purely technical in nature.
There are no principles of adult learning or transfer strategies incorporated into the slides. For
example, there were no slides shown about the agenda, objectives, how long the lecture/section
was going to be, what students would learn during the lecture, the benefits of learning the new
content, and how they could apply it to their jobs. The reason why there were no adult learning
principles in the slides could be attributed to the fact that IC Biotech does not employ
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instructional designers to develop training assets. The trainers develop the slides with help from
other internal teams such as legal, regulatory and medical teams.
Results from observations. As noted in Table 6 of this document, the researcher
conducted six classroom observations for this project. One observation per participant was
conducted in three different locations in Southern California. Some observations took place in
the same location but on different dates (see Table 6). Most of the observations were conducted
in January, although one observation was conducted in December. The researcher conducted the
observations from 8:30 a.m. to noon for a total of approximately 21 hours of observation.
Participants 2, 4, 5 and 6 began their day of instruction by showing a slide with the
agenda for the day and jumping to instruction without taking any questions. Participant 1 started
his session with some jokes and jumped to instruction, and Participant 3 asked if students had
any questions about the content from the previous day.
Introduction of content was done primarily through PowerPoint presentations that were
heavily didactic. On the days that the researcher observed participants 2, 4 and 5, they
conducted instruction from 9:00 a.m. to noon with only one break. Participants 1 and 3 did not
give any breaks and Participant 6 also did not give any breaks but told students, “If you need a
bio break, just get up and take it, we have lots to cover this morning.” Participants 2, 3 and 4
spent most of the time talking during lectures and did not ask questions during lectures to check
for comprehension. Observing the trainers and the trainees from the back of the room allowed
the researcher to see how the combination of heavy technical content and the lack of breaks
quickly contributed to cognitive overload. The researcher observed the trainees checking their
mobile devices, yawning and “fidgeting” in their seats. From the back, the researcher could also
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 72
see that some trainees were checking social media sites on their iPads. Not allowing trainees to
take a break every hour and pushing cognitive overload, are not strategies conducive to transfer.
The classroom agenda was a blended approach that includes lectures, table exercises,
group discussions, presentations and several hours dedicated to role-play, especially toward the
end of the week. During the 21 hours of classroom observation, the researcher did not see any of
the trainers demonstrate what is expected of the trainees during role-play. Trainers only
described the expectation, but the researcher did not observe the trainers demonstrate to the
students what “good looks like.” Demonstrating how to properly conduct the role play is an
essential step and is a critical training strategy in pharmaceutical training. Additionally, the
researcher did not observe the use of a rubric to gauge whether the role-play was done properly.
The role-play was done in pairs of trainees. The trainer(s) did not always observe all the trainees
because there was only one trainer in the classroom and an average of six to eight students.
Therefore, the trainer could not properly observe and validate that all trainees were making
progress. They tried to rotate to all students, but inevitably, they did not get to suitably supervise
all the trainees. Moreover, and perhaps more critically, after each role-play exercise, it was
primarily the trainees who gave feedback to each other. The trainer listened to the feedback
from the trainees and occasionally provided additional comments or feedback, but not to all
students. Therefore, trainees were receiving feedback from other trainees, which is not
appropriate, because trainees do not have a full grasp of the competencies that need to be
mastered. The trainer should be the primary individual giving feedback to new trainees, but
instead, participants only provided cursory comments. For example, Participant 4 was giving
feedback to a trainee who was struggling with the pronunciation of medical terminology and her
only comments were “nice job, I want to see you practice more.” Participant 5 only said “good
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 73
job” after each role-play, no further feedback was observed. In other observations, Participants 2
and 6 gave the following feedback to the trainee: “Good job, what do you think you could have
done better?” Only Participants 1 and 3 gave detailed feedback that began with “this what I
heard you do well” and ended with “this is what you need to work on.”
Procedural knowledge. Procedural knowledge is the knowledge required to
perform certain activities or tasks. Krathwohl (2002) defines it as the knowledge of how to
do something: methods of inquiry, and criteria for using skills, algorithms, techniques, and
methods. Procedural knowledge differs from other types of knowledge in that it can be
applied to perform a task, for example applying the knowledge of the procedures.
The assumed influence for this type of knowledge was that trainers need to know how to
deploy transfer strategies in the classroom that will lead to training transfer. Procedural
knowledge is the knowledge required to perform certain activities or tasks. Krathwohl (2002)
defines it as the knowledge of how to do something: methods of inquiry, and criteria for using
skills, algorithms, techniques, and methods. Procedural knowledge differs from other types of
knowledge in that it can be applied to perform a task, for example applying the knowledge of the
procedures.
The assumed procedural knowledge gap that trainers need to know how to deploy
effective training transfer strategies in the classroom was confirmed. The results showed that
trainers at IC Biotech do not have the procedural knowledge to deploy effective training
strategies in the classroom.
Results from interviews. The results of the interviews confirmed the knowledge
assumption that trainers at IC Biotech lack the procedural knowledge about effective training
transfer strategies in the classroom. When asked about key training strategies that they believed
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 74
led to training transfer, Participant 1 said: “My favorite training strategies is to use whatever tool
is necessary to get my message across. Sometimes it is hands-on, exercises, teach-backs and
then circling the wagons to give feedback.” Participant 2 expressed his thoughts this way: “A
key strategy for transfer to take place is to involve the supervisor as soon as they are done with
training.” When asked to expand on this answer, Participant 2 added: “It goes down to setting
your learning objectives with the front-line managers who are going to evaluate the application
of those learning objectives.” Participant 3 said: “A key strategy for me is to have them write key
ideas down, writing helps students imprint it in your mind.” Participant 4 said: “For me the key
training strategy is to have them practice, practice, practice. It is the only way to learn how to do
this job.” Participant 5 indicated that she liked to have students to “flip-charting as a way to help
student remember facts,” and Participant 6 mentioned verbalization exercises as a way to get
“knowledge out of their heads and into their mouths.” The strategies the participants described
during the interviews and strategies observed in the classroom included activities such as:
Writing, assessments, consideration of learning styles, flip charting, and brainstorming. It should
be noted that the participants did not mention all of the principles of Behavior Modeling Training
(BMT). BMT is one of the most widely used and well-researched training interventions that
promote transfer, especially in sales training (Taylor, et al., 2005). BMT includes five critical
steps that are necessary for pharmaceutical training:
1. Describing to trainees a set of well-defined behaviors (skills) to be learned;
2. Providing a model or models displaying the effective use of those behaviors;
3. Providing opportunities for trainees to practice using those behaviors;
4. Providing feedback and social reinforcement to trainees following practice;
5. Taking steps to maximize the transfer of those behaviors to the job.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 75
Also, it was noted that none of the participants interviewed mentioned modeling the behaviors,
allowing the learners to practice and giving feedback and social reinforcement after the practice.
Lastly, all the participants uniformly believed that the only requirement to be a successful
pharmaceutical trainer is to be a subject matter expert. Participant 1 captured the sentiment of all
participants by saying: You have zero chance of being a trainer if you do not know your stuff.
You absolutely have to be a disease and product expert.” Participants 1, 2, 3, 5 and 6 also
mentioned that aside from clinical knowledge, to be a successful pharmaceutical trainer strong
communication skills are needed. While this is an important skill, it was noted that none of the
participants interviewed mentioned instructor or classroom competencies.
Synthesis of Results and Findings for Assumed Knowledge Influences
IC Biotech trainers have the procedural knowledge about the technical and clinical
requirements to be a pharmaceutical representative. However, they lack the declarative
knowledge about training transfer. All of the trainers were unable to define the concept, and they
confuse training transfer with activities that, while helpful to students, are not clearly conducive
to transfer. It was striking to the observer that collectively all trainers believed that execution of
the learning objectives in the classroom would lead to training transfer. Similarly, it was striking
that while all the trainers mentioned one or two elements of strategies that lead to transfer, there
was no indication that they fully understood the transfer strategy. For example, when Participant
2 said: “A key strategy for transfer to take place is to involve the supervisor as soon as they are
done with training.” This statement demonstrates a lack of understanding of the training strategy
because not only does the supervisor need to be engaged before, during and after the training, but
it should not be just to evaluate the application of learning objectives on the job. It should
include a discussion with the supervisor to ensure that the trainee is given ample opportunities to
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practice, to provide positive consequences when the new skills are applied and to create a work
environment that includes social support not just from the supervisors, but support from peers as
well. The strategies they believe are transfer strategies play a small part in the transfer process
but lack comprehension of the training transfer process. Recommendations for the assumed
causes related to the lack of declarative and procedural knowledge are presented in Chapter Five.
Motivation Findings
Assumed motivation influence #1. The first assumed motivation influence was that
trainers at IC Biotech need to feel confident in their ability to promote transfer in their
instruction. In other words, they need to have a high degree of self-efficacy because according to
Bandura (2008), self-efficacy plays a major part in determining an individual’s chances for
success while performing a task. Additionally, individuals with higher self-efficacy and greater
belief in their own competence have “higher expectancies for positive outcomes will be more
motivated to engage in, persist at, and work hard at a task or activity” (Rueda, 2011, p. 41). For
a corporate trainer working at IC Biotech, self-efficacy plays a critical role in motivation and
goal achievement. When they assume the role, they normally have a high degree of self-efficacy
based on their technical abilities. The findings confirmed, that trainers at IC Biotech do have a
high degree of self-efficacy in their technical and domain expertise. This is an asset, and
therefore their self-efficacy and motivation must be preserved as they learn to deploy training
strategies that are conducive to transfer. While this influence is not a gap, recommendations are
made in Chapter Five to preserve the trainer’s self-efficacy.
Results from interviews. The interviews revealed that 100% of the trainers interviewed
were motivated to be engaged in the task of training. All six participants stated that they felt
they had a high degree of confidence. When asked to describe the source of confidence, the
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 77
participants revealed that their self-efficacy is derived from their subject matter expertise.
Participant 1 expressed his confidence by saying: “There were few people in this company that
know more about this drug than me, and I am very proud of that.” Participant 2 said: “I feel very
confident that when I walk into that classroom, I know more than anyone sitting there.”
Participant 3 stated: “I take pride in the fact that when it comes to product and disease
knowledge, I feel very confident about what I know.” Participant 4 stated: “I feel very confident
that after spending a week with me, they will be ready to launch and ready to sell by the time
they leave here.” Participants 5 and 6 indicated that their self-confidence stemmed from the
knowledge that to be a trainer in the pharmaceutical space “you really have to know your stuff.”
After each interview, the researcher confirmed that there was a palpable sense of
confidence in each participant. When asked how confident they were that training transfer is
taking place during their instruction, all participants stated that if they were assessing their
training, role-playing, reinforcing, writing, verbalizing, and providing some level of certification,
that undoubtedly transfer would take place. All participants appeared very confident that if they
did some or all of these activities, there would be transfer. Additionally, they all firmly believed
that their individual methodologies of instruction were effective.
Results from observations. The results of the observations confirmed that all
participants have a high degree of self-efficacy. When the participants walked in the classroom
early in the morning, they appeared very confident as they were preparing the projector to show
slides. There were no noticeable signs of nervousness. As the participants began to speak and
go through slides, they exuded a palpable degree of confidence that seemed to stem from their
technical and clinical knowledge. The slides that all participants used contained mostly product
and disease technical knowledge. All participants, except for Participant 6, appeared to have
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 78
memorized most of the slides because they rarely looked at the screen. Although Participant 6
occasionally looked at the slides, she did not read them; it appeared that she only looked at the
slides as a reminder of the topic being presented. Additionally, at the end of the morning
session, and before going to lunch, each of the trainers conducted an exercise called “Stump the
Trainer.” The purpose of the exercise is to review the material presented during the morning
session, and it gives the students an opportunity to ask the trainers difficult questions. If a trainer
cannot answer the question, then the trainer is “stumped,” and the student gets an iTunes card.
Participants 1, 2, 3, 4, and 6 successfully answered all difficult questions and appeared to beam
with pride at the fact that they were not stumped. Participant 5 ran out of time and did not have
an opportunity to conduct the exercise.
Assumed motivation influence #2. The second assumed motivation influence was that
trainers need to have a mastery goal orientation and focus on improving their instructional
practices. According to Pintrich (2000), goals fall into two major categories: mastery goals and
performance goals. Individuals who are mastery-oriented are interested in self-improvement and
are more inclined to compare their current level of achievement to their own prior achievement.
In contrast, individuals who are performance oriented are more inclined to compare their abilities
to others. Individuals who are performance-oriented are interested in competition, demonstrating
their competence, and outperforming others; they tend to use other individuals as points of
comparison, rather than themselves (Yough & Anderman, 2006). Corporate trainers working at
IC Biotech have a strong proclivity toward performance goal orientation. Because they are by
nature salespeople, when they are put in a trainer role, their performance orientation emerges,
and they are constantly trying to outshine each other. The results show that trainers at IC Biotech
are predisposed to performance goals and lack a mastery goal orientation.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 79
Results from interviews. The results of the interviews validated the assumed motivation
gap in IC Biotech trainers. The interviews revealed that 100% of the trainers have a
performance- goal orientation and not a mastery orientation. When asked to discuss their goals
in training, all six participants, described performance goals. Universally, all six participants
said that their main goal was to make sure that all their MBO’s
18
(management by business
objectives) were completed. The interviews clearly revealed that the participants seemed only
interested in “checking the box” on each of their MBOs and marking it as complete.
Participant 1 expressed the collective sentiment of the group by saying: “We live and die
by our personal and departmental MBOs, so we have to make sure that we all complete our
individual goals each month. Every Monday we share our progress during staff meetings, this is
how we keep each other accountable.” Participant 2 stated, “My MBOs are what guides my
goals, I have to make sure that everything on the list is complete.” Participant 3 indicated that a
primary goal was to “complete all my classes each month and make sure the projects assigned to
me are on track.” Participants 4 said: “My primary goal is to make sure I deliver on my MBOs
each month, otherwise, it affects my annual rating and my bonus.” Participant 5 said: “Our goals
in training are largely determined by the MBOs that are set by the director and the VP, our goals
cascade from down to us from those MBOS and our job is to make sure we deliver.” Participant
6 said: “when I was in the field, I was evaluated on my sales and my quota achievement, in here
you do not have a sales number, but you have MBOs, and that is how you get evaluated, so we
make sure that we execute on each of our MBOs.”
Results from document/artifact analysis. Document/artifact analysis consisted of
reviewing each trainer’s objectives and goals for the year otherwise known as MBOs. All
18
Management by Business Objectives or MBOs is a term used in the pharmaceutical industry to describe annual
performance goals
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participants sent the researcher their MBOs for the year. The format was the same for all
participants: It listed the departmental goals at the top of the document (number of classes and
training initiatives for the year). Departmental goals were followed by individual goals for each
trainer. It should be noted that all participants (except for the one) had a number of classes they
needed to lead each month and they had a number of training projects they needed to complete
each year. Lastly, the document indicated that all trainers were expected to achieve a minimum
rating of “Meets Expectations” on annual evaluations, achieving a ≥ 80% TNPS scores on every
class led.
Synthesis of Results and Findings for Assumed Motivation Influences
Trainers at IC Biotech have a high degree of self-efficacy in their role as trainers, and
consequently, they are highly motivated to do the job. Their self-efficacy is based on their
technical expertise, and it is an asset. However, their self-efficacy needs to be re-directed to
stem from knowing that they are deploying proven strategies that lead to training transfer.
Trainers at IC Biotech appear overconfident that what they are doing in the classroom is
effective, yet, their practices do not align with strategies found in the empirical literature. It will
be important to preserve their self-efficacy as they learn strategies that lead to training transfer
and as they learn to become more effective classroom instructors.
Trainers at IC Biotech are by nature salespeople by nature. They are used to competing
with others and have a proclivity toward competition and achieving performance goals.
Therefore, their annual goals are mostly performance goals that are based on the number of
classes led and number projects completed. This situation causes trainers to have a mechanical
approach to goal completion; they are more concerned with “checking the box” than setting
goals that lead to mastery as trainers.
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Results and Findings for Organizational Assumptions
Organizational Influence #1
The first assumed organizational influence was that IC Biotech needs to promote a
mastery orientation for sales trainers rather than a competitive orientation. Because IC Biotech is
a sales organization, and because a competitive culture exists among all commercial employees,
the assumption was that IC Biotech does not promote mastery orientation among trainers. The
results confirmed that the organization unintentionally promotes a culture of competition among
trainers.
Results from interviews. The results of the interviews confirmed the assumed
organizational influence. The interviews revealed that the culture of the organization promotes
continuous competition among commercial employees. The rewards and compensation are based
on the employee who delivers the highest sales number, the highest number of new accounts, the
highest numbers of training classes, etc. Participants 1 stated: “We are all salespeople, and we
are subconsciously competing with each other every day. We do not want to, it just happens, it
is kind of our culture.” Participant 2 said: “The organization rewards high performers, so there is
a tendency to want always do more than what you are asked. We do this because if we do just
enough to meet the goal, you feel average and there is not one salesperson in this organization
that wants to be average.” Participant 3 stated: “Because you are only in the job for a short time,
the expectation is that you come in do a bang-up job, in other words, stand out and be the very
best trainer. To be the best trainer, you have to outshine your peers. Our compensation plans are
structure to reward us when we go the extra mile.” Participant 4 said: “I am not sure why, but I
always feel the pressure to do one more class and honestly, it is very exhausting.” Participants 5
and 6 agreed that being a trainer was a rewarding job, but both stated that “it is very exhausting
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because we go from class to class with very little time to prepare, and sometimes you feel like
you are flying by the seat of your pants.” Participants 5 and 6 also commented that circulating
the NTPS scores for the month “creates a lot of pressure for the team because the scores are
circulated among the team, and nobody wants to see their name at the bottom of the list.”
Results from document/artifact analysis. Document/artifact analysis consisted of
reviewing each trainer’s objectives and goals for the year, otherwise known as MBOs. It also
included the job description (Appendix E) and the incentive compensation plan for corporate
trainers. The documents revealed that incentive compensation plan for trainers is mostly based
on percent achievement to goal. For example, if a trainer is assigned to lead seven classes per
year and only does six, he or she only gets 90% of that bonus. Conversely, if the trainer does
eight classes, the trainer will get 110% of the bonus, showing that internal competition is built on
how they are rewarded. This compensation approach is suited for salespeople to encourage them
to achieve higher sales numbers, but it is not suited for a training department that lacks the
personnel and resources to complete its goals. Using this compensation approach with trainers
could result in trainer burn-out. A similar approach was noted in the number of MBOs
completed. This type of compensation plan places trainers under remarkable pressure to compete
with each other.
Organizational Influence #2
The second assumed organizational influence was that the organization needs to provide
resources and training for the trainers. Trainers at IC Biotech have a number of training
initiatives that require adequate funding. Instead of having to “do more with less” as they have
been asked to do, the organization needs to provide the necessary resources to meet all the
organizational training demands. The findings confirmed that IC Biotech does not adequately
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provide the resources needed to cover all training initiatives. Furthermore, IC Biotech does not
offer any training or personal development to trainers before they assume that role.
Results from interviews. All participants agreed that there are never enough resources
to adequately execute all training initiatives. Participant 1 added: “I always feel that we never
have enough funding to pay for all the training projects we have to deliver.” Participant 1 also
described the budgeting process as “flawed” and said: “Every year, my supervisor asks me to
submit a budget request for the department. We start the year by finance giving me the money I
need, but it is only paper. As we get into the 3
rd
and 4
th
quarter, if sales are not going well, my
budget always gets cut. I know why we do it, I get it, but it is very disrupting to what we are
trying to accomplish.” Participant 3 agreed and stated: “There is always that feeling that the
company is not fully supporting sales training.” When asked to expand on the answer, Participant
3 added: “Well, I always feel like I am begging for funds to do what I am tasked with doing, for
example, mid-year I was tasked with launching a new eLearning course on a new product
indication. It costs $20,000 to develop an hour eLearning course, and in the end, I only got half
of that amount. You can’t work like that.” Participant 6 expressed a similar sentiment by
stating: “It seems like every year when we are running out of money, the first place they cut is
the training budget, and we always scramble at the end of the year to do more with less. It is
weird, it is like they are asking us to help improve the performance of the organization and train
all these people, but they don’t want to give us the budge to do it, its nuts. ”
The results of the interviews confirmed the assumed organizational influence that the
organization does not provide adequate resources to the training department and it does not
provide adequate development to its trainers. Participant 1, the most tenured trainer (2.7 years),
stated that he took an adult learning online class six months after he became a trainer. However,
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he is so busy now that “he barely has time to breathe.” Participants 3 and 4 were enrolled in new
trainer online classes but could not attend because of class conflicts. Participant 5 attended a one
day seminar in adult learning. Participants 2 and 6 had no professional development as trainers.
Assumed Organizational Influence #3
The third assumed organizational influence is that the organization needs to implement
policies and practices that lead to greater retention in sales training positions. The organization
rotates trainers approximately every two years. IC Biotech does not encourage trainers to stay in
the role beyond the two years. Culturally, it is the norm that a trainer only remains in the role for
not more than the two years, and it is rare when a trainer stays in the role beyond that period of
time. The findings confirmed that IC Biotech does not have policies and practices in place that
lead to higher retention in sales training.
Results from interviews. When asked what the organization could do to retain trainers
in the position for longer than two years, Participant 1 said: “Well, for one, they should not cut
my budget and give me the money I need to run this department. Also, If the organization had
an expanded career ladder, I would consider staying, right now there is nothing beyond the
director position, and I want to continue to grow professionally.” Participant 2 said that she
would stay longer if the company “would give me a seat the decision-making table, right now I
do not feel included in key decisions about training. For example, the marketing department is
notorious for asking us to train people on a new marketing piece without involving us in the
development of the piece. So, then we have to scramble to turn training around with very little
notice. It would be great to be involved at the beginning of the development process so we can
be planning how we are going to conduct the training. Instead, they say ‘here, I need to you
develop training for this piece,’ and that feels very disrespectful.” Participant 3 indicated that he
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“wanted to opportunity to grow in the role.” He was referring to promotional opportunities in
training. Participant 4 indicated that she wanted “the same level of respect” as other managers.
She thought that managers in other functions are treated with more respect than training
managers. Participants 5 said that the organization should only promote people into training
positions if they did it for the “right reason.” In other words, trainers should be people who “love
to train,” and they do it because of the passion they have for learning, not because they want to
get promoted and they see training as a stepping-stone. Participant 6 said that if the organization
would “integrate” the entire training team in decisions about training, “it would be very
motivating.” The general sentiment was that trainers feel left out of key training decisions that
impact the department. Participants 1, 3, and 4 indicated that the problem stems from “hiring
practices.” When asked to clarify, the participants added that the organization hires trainers with
the expectation that they only stay in the job for two years. Participant 6 agreed and added: “I
think it is part of the expectation of how the company views sales training.” Participant 2 stated
that jobs in training have no “parity” to other similar roles in the organization and Participant 5
said that after two years the company urges trainers to move into other roles like marketing,
market research “but nobody in the organization ever asks you if you want to continue in
training, and it is the expectation of the company that after two years, you do something else, it’s
crazy.”
Results from document/artifact analysis. Document/artifact analysis consisted of
reviewing the job trainer description. The job description document indicates that the job is a
two-year rotation and no career progression description was included in the document. No career
progression is listed because the expectation from the organization is that an individual only
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stays in the role for approximately two years. After two years, they are expected to transition
into a field management job.
Synthesis of Results and Findings for Organizational Influences
The results confirm that there are organizational gaps. The results confirm that the
organization promotes a culture of performance goals instead of mastery among trainers.
Additionally, the results show that the training department is typically underfunded, and trainers
do not receive any personal development to prepare them to take the job. Finally, the results
also confirmed that organization does not have policies and procedures in place to retain
trainers in the role for more than two years.
Synthesis
The data confirmed the assumed knowledge influences that trainers at IC Biotech do not
have the declarative knowledge of training transfer, and that trainers do not know how to deploy
training transfer strategies in the classroom. The data also confirmed all the assumed motivation
influences: 1) trainers need to feel confident in their ability to promote transfer in their
instruction, and 2) trainers need to have a mastery goal orientation and focus on improving their
instructional practices.
The data confirmed all the assumed organizational influences: 1) that the organization
needs to promote a mastery orientation for sales trainers rather than a competitive orientation, 2)
that the organization needs to provide resources for trainers, and 3) the organization needs to
implement policies and practices that lead to greater retention in sales training positions.
Solutions for the validated knowledge, motivation, and organizational influences are presented in
Chapter Five.
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CHAPTER FIVE: RECOMMENDATIONS
In Chapter Four of this project, the data presented confirmed the assumed knowledge,
motivation, and organizational factors (KMO) that influence training transfer at IC Biotech. For
the gaps that were confirmed, a list of recommendations, as well as an implementation and
evaluation plan are outlined in this chapter. The New World Kirkpatrick Model was used to
integrate the recommendations, implementation and evaluation plan.
Recommendations for Practice to Address KMO Influences
Knowledge Recommendations
In the course of this project, the researcher identified several assumed knowledge
influences that would be examined. The assumed knowledge influences that could possibly
impact training transfer at IC Biotech are listed in Table 6. The assumed knowledge influences
listed in this table were thought to play a key role in training transfer based on the literature
review. The knowledge influences listed in Table 6 were confirmed through interviews,
observations, and a document/artifact review process.
Declarative knowledge is foundational in training transfer, and it is prioritized as such. It
seems logical that for pharmaceutical trainers, having declarative knowledge of training transfer
is fundamental to their goal achievement. When trainers have command of this type of
knowledge, then effective procedural knowledge can be executed. Clark and Estes (2008) posit
that procedural knowledge is augmented when the declarative knowledge required to perform the
skill is available or known. Finally, Table 6 also lists the contextual recommendations for those
influences based on various theoretical principles.
The framework used to guide the knowledge influence discussion is based on
Krathwohl’s Revision of Bloom’s Taxonomy (2002). This taxonomy provides
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educators/practitioners with a framework to understand and organize instructional learning
objectives. One of the six cognitive domains listed in the original taxonomy is knowledge, and
according to Benjamin Bloom (1956), the knowledge dimension originally had three categories:
factual (the what), conceptual (also considered the what), and procedural knowledge (the how).
Krathwohl (2002) added a fourth knowledge category in his revision: cognitive knowledge
(knowledge of self). Declarative knowledge (knowing that) was neither listed in the original nor
the revised taxonomy. Declarative knowledge refers to information that can be stated verbally
(Oosterhof, 2011). It involves the recollection of specific facts, principles, trends, criteria, and
ways of classifying events (Oosterhof, 2011). It is knowing that something is the case. For
example, knowing that income taxes are usually due on April 15 is declarative knowledge,
whereas sitting down to fill out the forms, and filing the taxes is procedural knowledge. In recent
years, some have argued that declarative knowledge is part of conceptual and procedural
knowledge (Nickols, 2000), this argument has merit since being able to articulate concepts or
how to do something can be considered declarative knowledge (Nickols, 2000).
In the case of IC Biotech’s pharmaceutical trainers, declarative knowledge is one of the
most critical knowledge influences because trainers need to know what training transfer is and
how to deploy effective training transfer practices in the classroom. By having declarative
knowledge about transfer, they can describe it and teach it to others, and most importantly, when
conducting instruction, they can incorporate the practices into the delivery of their training.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 89
Table 8. Summary of Knowledge Influences and Recommendations
Knowledge
Influence
Knowledge
Type*
Principle and Citation Context-Specific
Recommendation
Trainers need to
know how to
articulate what
training transfer is
(D)
Declarative
(factual)
Acquiring skills for
expertise frequently
begins with learning
declarative knowledge
about individual
procedural steps (Clark
& Estes, 2008).
Create a job aid that
defines what training
transfer is a described in
the literature and
strategies for increasing
training transfer at IC
Biotech
Trainers need to
know how to deploy
transfer strategies in
the classroom. (P)
Procedural To develop mastery,
individuals must acquire
component skills,
practice integrating
them, and know when to
apply what they have
learned (Schraw &
McCrudden, 2006).
Provide training to
trainers to understand
evidence-based
classroom practices that
lead to transfer.
*Indicate knowledge type for each influence listed using these abbreviations: (D)eclarative;
(P)rocedural.
Declarative knowledge solutions, description of needs or assets. In pharmaceutical
training, declarative knowledge is foundational for training transfer, and it is prioritized as
such. It seems logical that for pharmaceutical trainers, having declarative knowledge of training
transfer is fundamental to their goal achievement. When trainers have developed the declarative
knowledge of training transfer and can articulate how it is described in the peer-reviewed
literature, then they can effectively execute procedural knowledge. According to Clark and Estes
(2008), declarative knowledge is foundational for procedural knowledge, in fact, they propose
that procedural knowledge is enhanced when declarative knowledge is known.
The data analysis confirmed that the trainers at IC Biotech do not have the declarative
knowledge of the concept of training transfer. When asked to describe it, only one
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participant articulated a definition that was close to the definition given in the literature, i.e., that
training transfer refers to the application of knowledge, skills, and attitudes once an employee
returns to the job after a training event. Training transfer is also generally defined in the
literature as the extent to which an employee applies the knowledge and skills learned during a
training session once they return to work (Burke & Hutchins, 2007; Ford & Weissbein, 1997;
Holton et al., 2000; Kozlowski & Salas, 1997). To address this deficit, it is recommended that a
“train-the-trainer” session be conducted specifically on training transfer for all new and existing
trainers and that it becomes a standing topic of discussion during weekly staff in-services.
Additionally, the development of a training transfer job aid or a “toolkit” with key concepts,
principles and implementation guide is also recommended. These recommendations are further
elucidated in subsequent paragraphs of this chapter.
Procedural knowledge solutions, description of needs or assets. Procedural
knowledge is the knowledge required to perform certain activities or tasks. Krathwohl (2002)
defines it as the knowledge of how to do something: methods of inquiry, and criteria for using
skills, algorithms, techniques and methods. Procedural knowledge differs from other types of
knowledge in that it can be applied to perform a task, for example applying the knowledge of the
procedures. The preliminary analysis shows that trainers at IC Biotech have the procedural
knowledge about how to perform the job of a pharmaceutical representative, but not all trainers
have the procedural knowledge and skills necessary to deploy evidence-based strategies that
promote training transfer in the classroom. In this case, in addition to providing “train the
trainer” training to all trainers about basic instructional design principles, it is recommended that
a “toolkit” be developed highlighting training transfer strategies. This toolkit can be used when
trainers are designing classroom activities.
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Motivation Recommendations
The assumed motivational influences that could potentially influence the trainers at IC
Biotech are listed in Table 9. The assumed motivational influences listed in this table were
thought to play a key role in training transfer. The motivational influences listed in Table 9 have
been confirmed through interviews, observations, and the document/artifact review process.
Finally, Table 9 also lists the recommendations for those influences based on various theoretical
principles.
Table 9. Summary of Motivation Influences and Recommendations
Assumed Motivation
Influence: Cause, Need, or
Asset*
Priority
Yes, No
(Y, N)
Principle and
Citation
Context-Specific
Recommendation
Self-Efficacy
Trainers need to feel
confident in their ability to
promote transfer in their
instruction
Y
High self-efficacy
can
positively influence
motivation (Pajares,
2006).
Feedback and
modeling
increases self-
efficacy
(Pajares, 2006).
Once trainers learn
training transfer
strategies, trainers should
then be given an
opportunity to practice
strategies. The strategies
should be designed to
incorporate their product
knowledge to preserve
self-efficacy
Goal Orientation
Trainers need to have a
mastery goal orientation and
focus on improving their
instructional practices
Y
Focusing on
mastery, individual
improvement,
learning, and
progress
promotes positive
motivation (Yough
& Anderman, 2006).
When a new trainer takes
the role, the supervisor
should have a joint goal
discussion with trainer
that focuses on acquiring
mastery of training
transfer techniques. The
supervisor should help
the trainers identify
mastery goals
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Self-efficacy. Self-efficacy is a theory that is built on the work Alberto Bandura (2000).
According to this theory, individuals’ belief in their abilities is a predictor of their success at
carrying out a future task or solving a future problem (Bandura, 2000; Pajares, 2006). The theory
posits that if an individual believes that he or she is highly competent at doing a task, that
individual has high self-efficacy because that individual believes he/she can successfully
complete the task. Only the belief matters, not whether or not they can actually complete it. The
data analysis shows that trainers at IC Biotech have a high self-efficacy about their clinical and
technical competence. However, they are unsure what training transfer is, and they cannot
measure it. Therefore, their self-efficacy about training transfer is not currently present, and this
is critical for their motivation because if they do not have a high degree of self-efficacy, their
motivation will falter (Pajares, 2006). Therefore, the recommendation is that once trainers are
familiar with training transfer strategies, trainers should then be given an opportunity to practice
strategies. The practice should be designed to incorporate the trainers’ technical expertise to
preserve their self-efficacy. Immediately after the exercises, experienced staff should give
feedback.
Goal orientation. Another motivational influence listed in Table 9 is goal orientation,
which is a theory that examines the reasons why individuals engage in a task (Yough &
Anderman, 2006). The theory attempts to link individual goals to motivation and achievement,
and as was stated earlier, goals fall into two major categories: mastery goals and performance
goals (Pintrich, 2000). Individuals who are mastery-oriented are interested in self-improvement.
In contrast, individuals who are performance-oriented are interested in competition,
demonstrating their competence, and outperforming others; they tend to use other individuals as
points of comparison, rather than assessing their personal progress (Yough & Anderman, 2006).
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The preliminary analysis shows that trainers at IC Biotech, who are salespeople by nature, lean
more toward performance goals rather than a mastery orientation or mastery goals. Therefore,
the recommendation is that focused discussions should take place with all new trainers upon
taking the trainer role. Those discussions should be centered on acquiring mastery of training
transfer techniques. Additionally, the supervisor should set goals that are focused on mastery of
training transfer and not on the number of classes conducted.
Organization Recommendations
The assumed organization influences are listed in Table 10. These influences were
believed to play a role in stakeholder goal achievement, and they were validated through
interviews, observations, document/artifact review, and the examination of IC Biotech’s culture.
Additionally, their probability of being validated through the data analysis process is also listed.
Finally, Table 10 also lists the recommendations for those influences based on various theoretical
principles.
Clark and Estes (2008) posit that another influence that impacts organizational and
stakeholder goals achievement is the organizational itself. This influence often takes the form of
resources, processes, policies, and culture of the organization. When defining culture, Gallimore
and Goldenberg (2001) suggest two constructs; – cultural models or the observable beliefs and
values shared by individuals in groups, and cultural settings, or the activities in which
performance occurs. The organizational influences that are believed to impact goal achievement
are listed in Table 10.
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Table 10. Summary of Organization Influences and Recommendations
Assumed Organization
Influence: Cause, Need,
or Asset*
Principle and Citation
Context-Specific
Recommendation
The organization needs to
promote a mastery
orientation for sales
trainers rather than a
competitive orientation
Effective change
begins by addressing
motivation influencers;
it ensures the group
knows why it needs to
change. It then
addresses
organizational barriers
and then knowledge
and skills needs (Clark
& Estes, 2008).
Effective organizations
insure that
organizational
messages, rewards,
policies and procedures
that govern the work of
the organization are
aligned with or are
supportive of
organizational goals
and values (Clark &
Estes, 2008)
The organization needs to write
policies that encourage trainers
to stay in the role for more than
two years
The organization needs to write
policies that encourage mastery
among trainers instead of
competition.
The organization needs to
provide resources and
training for the trainers.
Effective change
efforts ensure that
everyone has the
resources (equipment,
personnel, time, etc.)
needed to do their job,
and that if there are
resource shortages,
then resources are
aligned with
organizational priorities
(Clark & Estes, 2008).
The organization needs to
allocate adequate resources to the
training team. Resources should
enough budget to cover all
training initiatives, staff
development, and to replace
training equipment. (projectors,
iPads, video cameras, etc.)
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The organization needs to
implement policies and
practices that lead to
greater retention in sales
training positions.
Effective organizations
ensure that
organizational
messages, rewards,
policies and procedures
that govern the work of
the organization are
aligned with or are
supportive of
organizational goals
and values (Clark &
Estes, 2008)
The organization needs to
expand the career ladder for the
training team to include
Associate Director, Senior, and
Executive Director positions.
The commercial organization at IC Biotech inherently promotes a culture of competition
because almost everyone in the commercial group came from the sales ranks. Competition can
be beneficial in some work environments, but it can also be demotivating if constantly practiced
(Trikha, 2012). Trainers could be demotivated by the constant pressure to outperform their
peers, and it can also rapidly “burn” them out. IC Biotech would be best served by promoting a
culture of mastery goal orientation for sales trainers rather than a competitive orientation. Clark
and Estes (2008) posit that by addressing the influencers that prevent change; it creates an
awareness in the organization as to why it needs to change. This awareness clears the way to
solve organizational barriers, motivation, gaps in knowledge and skills and thus facilitates
effective change. This implies that the commercial leadership needs to be made aware of the
faulty process of driving competition among trainers and the benefits of promoting a culture of
mastery, so they become more effective instructors.
According to Clark and Estes (2008), “when organizational processes are inadequate or
misaligned with business goals, the risk of failure is great” (p. 104). The opposite is true when
organizational processes and policies are efficient and aligned with business goals; the results
can be extraordinary achievements (Clark & Estes, 2008). This principle is illustrated by O’Neal
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and Bertrand (1991) and Businessweek Editors (1994). They each give an example of two very
different organizations that achieved dramatic business results when they redesigned inefficient
work processes and made adjustments to the accompanying knowledge, skills, and motivation.
Similarly, to improve the performance of trainers at IC Biotech, the inefficient process of
promoting competition among trainers must be redesigned to promote mastery among them.
Another assumed organizational influence is the lack of adequate resources and
professional development for trainers at IC Biotech. Trainers at IC Biotech are not always
adequately resourced to address all organizational training needs. Training budgets are often cut
toward the end of the year, and the department does not have enough trainers, as such, the
existing trainers are doing classes back to back without rest. This pace prevents them from
finding the time to develop themselves in the profession of training. Clark and Estes (2008)
suggest that operationalizing effective change requires that employees have the necessary
resources to perform their jobs. If there are resource shortages, then resources are aligned with
organizational priorities. This notion would suggest that the organization needs to support the
training department in terms of equipment, personnel, time, and personal development.
Therefore, the recommendation is to have the organization allocate adequate resources to the
training team. Adequate budget to cover all training initiatives, staff development, and to replace
training equipment. (projectors, iPads, video cameras, etc.) should be allocated.
The economic turmoil of the past decade has triggered significant changes in the
pharmaceutical industry. Numerous mergers, acquisitions, and realignments have caused the
industry to shrink (Wilson, 2011). Also, there have been massive layoffs that affected almost all
the major pharmaceutical companies (Alazraki, 2001). The downsizing in personnel impacted
all departments including training. Consequently, training budgets were reduced causing a
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significant workload for the remaining training staff (Ramos, 2003). Trainers were asked to do
more with less, meaning that they needed to train on more products and disease states but
without increasing the training time (Ramos, 2003). This dynamic creates stress among trainers
because they feel undervalued, under-sourced, and overworked, and consequently they feel
stressed (Ongori & Agolla, 2008). This situation can affect the performance of the trainers. It is
well documented that a lack of resources is a primary cause of occupational stress and that
occupational stress leads to a decrease in performance (McHugh, 1993; Murphy, 1995;
Schabracq & Cooper, 2000). Therefore, to mitigate this organizational influence, IC Biotech
needs to make sure that it is adequately providing the resources that are necessary for trainers to
execute their jobs.
The last assumed organizational influence listed in Table 10 is policies and practices that
the organization needs to implement to lead to greater retention in sales training
position. Currently the organization views training positions as transitory, that is to say, the
organization expects that trainers only spend an average of two years in the position and then
they are expected to move into other positions (typically a field manager position). The two-year
rotation expectation is highlighted in the job description (Appendix E), and monetary rewards are
built into the two-year rotation. Clark and Estes (2008) suggest that effective organizations
ensure that organizational messages, rewards, policies, and procedures that govern the work of
the organization are aligned with or are supportive of organizational goals and values. This
suggests that IC Biotech needs to change how it incentivizes trainers and how the expectations of
the role are communicated. The recommendation would be for the organization to expand the
career ladder for the training team to include Associate Director, Senior Director and Executive
Director positions. Additionally, the two-year rotation expectation should be removed from the
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job description. Lastly, professional development should be offered for those trainers who show
talent, a proclivity toward teaching and have expressed a desire to stay in the position.
In order to achieve organizational goals, it is critical that the organization ensures that
organizational goals are aligned with the mission, vision, and values of the organization
(Babelová & Vanová, 2014; Clark & Estes, 2008). However, this is not enough; the organization
also has to ensure that its policies, procedures, practices, and rewards are also in alignment with
organizational strategic values and priorities (Tarvyda & Kapel, 2002). For a commercial
organization, having the proper goals and links to rewards helps the organization improve the
bottom line (Tarvyda & Kapel, 2002). By rewarding trainers with promotions and bonuses and
communicating the expectation of a two-year commitment in a training role, IC Biotech is
promoting a misalignment of goals and rewards. The literature supports the necessity of having
IC Biotech change its approach to hiring and preparing trainers for the demands of the role. This
would improve trainer retention. Currently, IC Biotech expects trainers to move to another role
after two years. This is counter-productive because after two years, just when a trainer is
becoming an effective classroom trainer, they are moved to another position, and a new trainer
steps into the role, starting the process starts all over. This practice is ineffective, and the
organizations should promote the retention of trainers by changing the reward system for trainers
and offering long-term opportunities and developing them.
Integrated Implementation and Evaluation Plan
Implementation and Evaluation Framework
As a practitioner, when recommending a solution to solve an organizational problem, the
implementation and evaluation plan has to be well developed and defined. The implementation
and evaluation plan for this project is based on New World Kirkpatrick Model of Evaluation
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(Kirkpatrick & Kirkpatrick, 2016). The New World Kirkpatrick Model emerged in 2009, almost
50 years after the original Kirkpatrick framework of four levels was developed. The new model
seeks to incorporate some of the changes and circumstances that have occurred in training and
the workplace (Kirkpatrick & Kirkpatrick, 2016). Additionally, the new model suggests that
implementation and evaluation plans should meet two criteria: They should be useful to the
organization and credible based on reality. But perhaps the biggest change is that the original
Kirkpatrick model delineates four levels of training outcomes: reaction or Level 1, learning or
Level 2, behavior or Level 3 and results or Level 4 (Kirkpatrick, 1976). The model was designed
to be followed linearly, that is to say, from level 1 to level 4 (learning to results). The New
World Model suggests that evaluation process starts by working in reverse, i.e., from level 4 to
level 1 (results to learning). In other words, they posit that the end is the beginning. (Kirkpatrick
& Kirkpatrick, 2016). This approach maintains the focus on what is most important, which is
program outcomes or “the degree to which targeted outcomes occur as a result of the training”
(Kirkpatrick & Kirkpatrick, 2016, p. 443). Level 4 begins by identifying leading indicators,
which are short-term observations and measurements that suggest that critical behaviors are on
track to create a positive impact on the desired results. According to the New World Model,
there are two types of leading indicators: internal and external. The indicators for this project
are outlined below in Table 11.
Organizational Purpose, Needs, and Expectations
IC Biotech is committed to making a difference in the lives of cancer patients by bringing
life-saving medications to the market through rigorous scientific discovery. The product and
scientific information are communicated to physicians through IC Biotech’s pharmaceutical
representatives. Therefore, their training is a critical driver in the organization. To increase the
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 100
effectiveness of its training program, IC Biotech has established a goal for the commercial team
to increase TNPS scores to 80% for all trainers by December 31, 2018, as measured by the TNPS
instrument. The overarching goal is for all trainers to implement strategies to promote the
transfer of learning in their training. This project examined the effect that knowledge, skills,
motivation, and organizational influences have on the trainers, the delivery of corporate training
and to examine ways to improve training transfer at IC Biotech. The proposed solution plan
consists of a comprehensive training program for all trainers on classroom strategies that are
conducive to training transfer and changing the organizational view of the role of corporate
trainers. The careful implementation and evaluation plan for this project should produce the
desired outcome—an increase in TNPS scores greater than 80%.
Level 4: Results and Leading Indicators
Table 11 identifies the proposed Level 4 leading indicators for this project, which include
external and internal indicators. Table 11 also highlights the outcomes, metrics, and methods
used to measure the success of the implementation and execution plan. If all the internal
outcomes are met as expected, this should contribute to the organization reaching its goal of
NTPS scores >80% for all trainers. Additionally, if all internal outcomes are met, then it should
stand to reason that there would be a cascading effect that will result in also reaching external
leading indicators. That is to say, as trainers improve their transfer scores, it will result in better-
trained pharmaceutical representatives delivering improved clinical messages. The coaching
reports from field trainers and managers will confirm the results.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 101
Table 11. Outcomes, Metrics, and Methods for External and Internal Outcomes
Outcome Metric(s) Method(s)
External Outcomes
Improved delivery of key
clinical messages
Increased recall of key messages
given by pharmaceutical
representatives
Quarterly market research
reports
Positive field manager
training reports
Field coaching observations by
immediate supervisors
Review field coaching reports
with managers
Positive field trainer
training reports
Field training reports by field
trainers
Review field coaching reports
with field trainers
Internal Outcomes
Achieve NTPS scores
>80%
The NTPS scored attained after
each class
Track trainers scores after each
training class
Increased student
satisfaction
Positive/ negative feedback by
trainees
Review post training survey
with each trainer after class is
concluded
Increased number of
transfer strategies used in
classroom
Positive/negative feedback by
training supervisor
Review classroom evaluation
report with each trainer after
class is concluded
Increased trainer
satisfaction
Positive/negative feedback by
trainers
Collect and aggregate and
prepare quarterly trainer
satisfaction report
Change in organizational
policy regarding trainers
Organizational memorandum
announcing change in
compensation, promotional
guidelines, and career ladder for
trainers
Form cross functional team
(HR, commercial leadership,
and training function) to
develop language of
memorandum
Level 3: Behavior
Critical behaviors. According to the New World Model, critical behaviors are those
behaviors that when consistently practiced on the job; it will have the biggest impact on the
desired outcomes (Kirkpatrick & Kirkpatrick, 2016). In this case, the stakeholders of focus
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 102
(corporate trainers at IC Biotech) need to perform three critical behaviors to reach the desired
outcomes: First, they need to correctly define what training transfer is and how it should be
manifest once an employee returns to work. Knowing the correct definition, as defined in the
literature, will allow the trainers to align their classroom strategies to maximize transfer.
Second, the trainers need to know evidence-based strategies that lead to transfer. Knowing how
to define transfer is important, but knowing what strategies are proven to lead to transfer is
equally as important. Third, trainers need to demonstrate, that they understand when and how to
deploy transfer strategies in every single class they lead. The critical behaviors, methods, and
timing of each critical behavior are listed in Table 12.
Table 12. Critical Behaviors, Metrics, Methods, and Timing for Evaluation
Critical Behavior Metric(s)
Method(s)
Timing
Trainers need to
define what training
transfer is and how it
is manifested in the
workplace
Correct articulation of
training transfer as
defined in the
literature
Verbal certification
During onboarding,
as new trainers and
then quarterly
during in-service
Trainers need to know
evidence-based
transfer strategies
Number of correct
strategies in
assessment
Knowledge assessment
During onboarding,
as new trainers
Trainers need to
demonstrate
proficiency in
deploying transfer
strategies
Number of transfer
strategies deployed in
the classroom
Skills certification
During onboarding,
as new trainers
Required drivers. Required drivers are procedures and practices that are put in place to
reinforce, supervise, encourage and reward the performance of critical behaviors on the job
(Kirkpatrick & Kirkpatrick, 2016). Required drivers are a critical component of the integrated
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 103
implementation and evaluation plan, and they are central to the application newly acquired skills.
Required drivers mitigate the risk of an individual forgetting to apply critical behaviors or simply
choosing not to perform the required behaviors. The required drivers for this project will provide
support to the training director and training managers and will help in the reinforcement of newly
acquired knowledge. Table 13 identifies the recommendations in terms of required drivers to
support critical behaviors and the timing of each driver.
Table 13. Required Drivers to Support Trainer’s Critical Behaviors
Method(s) Timing
Critical Behaviors Supported
1, 2, 3 Etc.
Reinforcing
Job aids defining training
transfer
Ongoing 1, 2, 3
Job aids listing training
transfer strategies
Ongoing 1, 2, 3
Quarterly review and
discussions during in-services
Quarterly 1, 2, 3
Encouraging
Timely feedback to trainer by
training manager after each
class
After each class
1, 2, 3
Review post class surveys
focusing on the application of
sound training transfer
strategies
After each class
1, 2, 3
Rewarding
Tie MBO payments to
application of training transfer
strategies
Quarterly
1, 2, 3
Public acknowledgement of
trainers who are excelling in
application of transfer
strategies
Ongoing 1, 2, 3
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 104
Monitoring
Training manager monitors
classroom performance of
trainers
During each class
1, 2, 3
Post class surveys
After each class
1, 2, 3
Organizational support. According to the New World Model, organizations that play
an active role in supporting newly acquired skills can expect as much as 85% application on the
job (Kirkpatrick & Kirkpatrick, 2016). With so much at stake for IC Biotech, and because of the
financial investment that is made in training new trainers, it is imperative that the organization
play a visible and active role in supporting the reinforcement of critical behaviors. The support
will need to come “from the top” and cascade down to all the senior leaders in the commercial
organization. IC Biotech can show its support by posting a company-wide memorandum
announcing its commitment to the training department and outlining the changes to the role of
corporate trainers. The memorandum should also include expectations and action items.
Additionally, the organization needs to demonstrate its support by committing to offer personal
development to members of the training team. All new trainers should attend a “train the trainer
session” before they are allowed to lead a class. Finally, the organization can show its support
by providing a satisfactory budget aside each year, so the training team can accomplish all its
initiatives without the constraints of a limited budget.
Level 2: Learning
Learning goals. Kirkpatrick and Kirkpatrick (2016) provide the new definition of Level
2 in the New World Model. They define it as “the degree to which participants acquire the
intended knowledge, skills, attitude, confidence and commitment base on their participation in
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 105
training” (p. 65). The notable change in the new definition is the addition of the words
confidence and commitment. It was purposefully done to narrow the gap between learning and
behavior and to minimize training waste (Kirkpatrick & Kirkpatrick, 2016). With this in mind,
the learning goals for the stakeholders in this project are to acquire the knowledge, skills,
attitude, confidence, and commitment to support the outcomes and critical behaviors required for
this project. At the conclusion of this implementation and evaluation plan, the trainers at IC
Biotech should know and be able to do the following:
1. Trainers need to define what training transfer is and how is manifested in the workplace
2. Trainers need to know evidence-based transfer strategies
3. Trainers need to demonstrate proficiency in deploying transfer strategies in the classroom
Program. To achieve the learning goals described in the preceding paragraph, the
recommended training program for trainers at IC Biotech will consist of a blended approach that
will include different modalities. First, all current and future trainers will attend a five-day train-
the-trainer classroom session conducted by Red Nucleus, located in Yardley, Pennsylvania. Red
Nucleus focuses on providing the knowledge and skills to function as a trainer in the life
sciences
19
. Second, all current and future trainers will be required to attend the annual
Association for Training and Development (ATD) conference and should enroll in workshops
focused on training transfer. This international conference takes place every May; therefore, no
classes should be planned during this month. Upon returning from the annual conference, every
trainer that attended the conference will be required to give a summary of the workshops they
attended and their key takeaways to make at least one recommendation to improve the training
program at IC Biotech. Thirdly, all current and future trainers will be required to obtain at least
19
The pharmaceutical industry is considered part of the Life Sciences.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 106
one, but no more than three online certifications each year through the online ATD institute. The
first certification must be in training transfer strategies; other certifications can be recommended
by the training director/manager. Finally, one article from the literature on training transfer will
be discussed during quarterly training in-services. Each trainer will be assigned a peer-reviewed
article by the training director/manager at the beginning of each quarter, and the expectation is
for trainers to present the premise of the article, key takeaways and possible recommendations
for implementation in the classroom.
Components of learning. As it has been previously established, in earlier sections of this
document, declarative knowledge involves knowing that something is the case - that paper is
made from wood pulp, that Sacramento is the capital of California, etc. Declarative knowledge is
conscious; it can often be verbalized. According to Clark and Estes (2008), declarative
knowledge is foundational for procedural knowledge, in fact, they postulate that procedural
knowledge is enhanced when declarative knowledge is known. Articulating and demonstrating
declarative knowledge of training transfer is crucial for trainers at IC Biotech. Having a clear
understanding of the transfer concept will increase their knowledge, skills, attitude, confidence,
and commitment to apply transfer strategies in the classroom. In addition to declarative
knowledge, trainers at IC Biotech must value the transfer training they will receive as a
prerequisite to using their newly learned knowledge and skills on the job. Table 14 identifies the
evaluation methods and timing for each component of learning.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 107
Table 14. Components of Learning for the Program.
Method(s) or Activity(ies) Timing
Declarative Knowledge “I know it.”
Verbal assessment - trainers to correctly
articulate what training transfer is as defined in
the literature.
After train-the-trainer session
Verbal assessment - trainers to describe
evidence-based training transfer strategies from
toolkit.
After train-the-trainer session
Procedural Skills “I can do it right now.”
Demonstration of using the job aids and toolkit
to successfully perform transfer skills.
After train-the-trainer session and during each
class trainers lead
Quality of the feedback from peers and training
director/manager during demonstration.
During demonstration
Attitude “I believe this is worthwhile.”
Training director/manager’s observation of
trainer’s statements and actions demonstrating
that they see the benefit of what they are being
asked to do on the job.
After train-the-trainer session
Discussions of the value of what they are being
asked to do on the job.
After train-the-trainer session
Confidence “I think I can do it on the job.”
Discussions following practice and feedback.
After train-the-trainer session and after each
class they lead
Survey items using scaled items
After each class they lead
Commitment “I will do it on the job.”
Discussions following practice and feedback.
After each class they lead
Create an individual action plan.
After train-the-trainer session
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Level 1: Reaction
In the New World Model, the definition of Level 1 was expanded from “customer
satisfaction” to the degree to which participants find the training favorable, engaging, and
relevant to their jobs (Kirkpatrick & Kirkpatrick, 2016). While customer satisfaction is
important, it is equally as important to determine the relevance of the training and to what degree
the participants are engaged in the process. In this case, if the trainers at IC Biotech see the
relevance of knowing what training transfer is, how to deploy the strategies in the classroom and
the benefits of doing so, they are more likely to be engaged and apply what they learned when
they return to the job. Table 15 identifies the methods used to determine reactions by trainers
and their level of engagement.
Table 15. Components to Measure Reactions to the Program
Method(s) or Tool(s) Timing
Engagement
Observation by train-the-trainer
facilitator/instructor
During train-the-trainer session
Observations by training director/manager
After train-the-trainer session
Course evaluation
After train-the-trainer session
Completion of all pre-work
Before train-the-trainer session
Relevance
Course evaluation and feedback
After train-the-trainer session
Debrief post completion of course
After train-the-trainer session
Customer Satisfaction
Course evaluation and feedback
After train-the-trainer session
Debrief post completion of course
After train-the-trainer session
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 109
Evaluation Tools
Immediately following the program implementation. All the evaluation instruments
used to measure the impact/effectiveness of the recommended interventions will be based on the
Net Promoter Score Formula (NPS). The reason for using this approach is that the Net Promoter
Scores provides a quantitative measure or score that can be used to track progress. The Net
Promoter Score is calculated as follows: A 10-point scale is used, and a score of six or lower are
considered Detractors, a score of seven or eight are called Passives and do not count, and a nine
or 10 are considered Promoters. To calculate a Net Promoter Score, subtract the percentage of
Detractors from the percentage of Promoters. For example, if 50% of respondents were
Promoters and 10% were Detractors, the Net Promoter is a score of 40.
20
Upon completion of the train-the-trainer program, several evaluation instruments will be
used to measure the effectiveness of the program. For Level 1 parameters, the evaluation
instrument will use a 10-point scale asking trainers to rate their level of engagement, the
relevance of the content to their jobs, and their overall satisfaction (Appendix G). To measure
Level 2, a similar instrument will be used asking the trainers to rate the knowledge of training
transfer that they have gained through the course. They will also be asked to rate their attitude,
confidence, and commitment to apply the new knowledge (Appendix H).
Delayed for a period after the program implementation. Trainers at IC Biotech will
be surveyed several times after the program implementation to assess for the transfer and
application of skills to the job. Post-implementation assessments will be conducted quarterly, and
the evaluation instrument(s) that will be used will also be based on the Net Promoter Score. The
instrument will be used to gauge the trainers’ level of satisfaction and relevance of training
20
A Net Promoter Score of greater than or equal to 80% is considered a good score.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 110
regarding training transfer (Level 1); knowledge, skills, confidence, attitude, commitment and
value of applying new skills (Level 2); the application of transfer strategies in the classroom
(Level 3); and the extent to which their performance in the classroom is impacting the overall
NTPS scores or Level 4 (Appendix I).
Data Analysis and Reporting
The desired outcome(s) or Level 4 objectives for IC Biotech trainers is the degree to
which they apply training transfer strategies in the classroom and achieve NTPS scores greater
than 80%. The trainer director will maintain and report all classroom evaluations and NTPS
scores and will report to the commercial leadership team each month. The reporting instrument
will consist of a data dashboard that aggregates the quarterly results for several outcome
dimensions of this project (Appendix J). The dashboard will report a numerical score that will
be used to assess tracking toward the desired goal. Similar reporting instruments will be created
to monitor Levels 1, 2 and 3.
Summary
As a practitioner, every time a solution is deployed, it is critical to put in place an
integrated implementation and evaluation plan to not only to minimize wasted efforts and
resources but also to maximize organizational outcomes. The plan must be useful, practical,
credible, realistic and it must demonstrate value to the organization. In the development of the
implementation and evaluation plan for this project, the researcher used the New World
Kirkpatrick Model as the framework for this project because the new model goes beyond the
traditional “smiley sheets,” knowledge acquired, changed behaviors and the impact on
organizational outcomes. The Kirkpatrick New Model was chosen because the additions to the
old Kirkpatrick model significantly increases the accountability, not just of the stakeholders, but
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 111
of the organization at large. The addition of engagement and relevance to Level 1 quantify the
degree to which participants are actively involved in and contributing to the learning experience
and the degree to which training participants will have the opportunity to use or apply what they
learned during training on the job. The addition of confidence and commitment to Level 2
strengthens stakeholders’ self-efficacy and commitment to apply the new skills on the job. The
addition of required drivers to Level 3 identifies those processes and systems that reinforce,
encourage and reward performance. Finally, and perhaps most importantly, the addition of
leading indicators to Level 4, which are short-term observations and measurements suggesting
that critical behaviors are on track to create a positive impact on desired results. The fact the
implementation and evaluation plans begin at Level 4, or results, in the New Kirkpatrick World
Model makes it a powerful tool.
The expectation for this evaluation and implementation plan is for the training director to
own it and champion it across the organization. Buy-in from all key stakeholders is necessary
for the successful implementation of the program. All stakeholders must embrace and support the
plan because, without widespread support, nothing will change. Another expectation is for the
training director to diligently monitor the results of the recommended solution(s) and to regularly
and frequently report the results and the progress to the organizational leaders. There are several
compelling benefits of using this powerful implementation and evaluation framework. First, it
provides full transparency to all stakeholders in the organization about the plan, progress, results,
and impact on outcomes. Second, it provides an effective tool with tangible metrics to measure
the degree to which newly acquired skills are being applied to the job by trainees. Third, it
provides credibility to the department and the training director and opens the door to manage
future organizational change projects. Last, visibility and increased accountability of this project
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 112
provide a high level of assurance that the organization will meet its desired goal of improved
NTPS scores.
Recommendations for Future Research
Training transfer is of utmost concern for training researchers, organizational/training
leaders and practitioners in general. Notwithstanding the considerable research efforts, the
problem of low training transfer in corporate training programs continues to exist. Furthermore,
despite the substantial research that has been conducted in this area, very little research exists
regarding the extent of the transfer problem in the pharmaceutical industry.
The literature review for this project provided a range of insights into the background,
potential causes, recommendations and future research implications on the training transfer
problem. At the same time, several research gaps were identified, including the need to (1)
explore the impact of mastery orientation versus performance orientation among pharmaceutical
trainers, (2) develop a framework for conducting research on rotating trainers in short intervals,
(3) examine the specific organizational changes that could be made in the pharmaceutical
workplace that would support a learning culture instead of a performance culture, (4) analyze the
specific trainer competencies that are required for pharmaceutical trainers to maximize training
transfer, and (5) examine the impact of train-the-trainer programs in facilitating training transfer.
Limitation and Delimitations
There were several limitations associated with this qualitative study. One of the principal
limitations was the size of the sample. A larger participant group would obviously yield richer
data, but because this is a qualitative study of a medium-size biotech company, the sample size
was adequate to provide answers to the research questions. However, generalizability to the
whole population of pharmaceutical trainers would not be possible.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 113
Another constraint is the limited research that has been conducted among pharmaceutical
trainers. There is a large body of empirical data and research that exists regarding training
transfer and the knowledge and skills that are necessary for transfer to take place. While much of
this data can be applied to pharmaceutical trainers, there are certain nuances that are unique to
pharmaceutical training that limited the application of previous research. These distinct qualities
include the short rotations in training, the lack of background and preparation in training others,
the number of classes they are expected to lead each month/year, the extraordinary number of
FDA regulations that trainers must observe while training others and the constant pressure to do
“more with less.”
The delimitations of the study included the narrow emphasis of the literature review that
focuses primarily on the trainer’s knowledge, skills, and motivation that influence training
transfer. In their landmark qualitative review of the extant literature, Baldwin and Ford (1988)
identified three elements that influence transfer, which include training inputs, training outputs,
and conditions of transfer. This study focused primarily on training inputs that include, design,
delivery, and trainer attributes that facilitate training transfer.
Conclusion
In the United States, companies spend billions of dollars each year on employee training.
Despite these staggering investments in training programs, there is substantial evidence in the
literature suggesting that only a small percentage of the investments in training is producing the
desired training transfer results. This study focused on examining the effect that knowledge,
skills, motivation, and organizational influences (KMO) have on training transfer at IC Biotech,
a commercial midsize biotech company that is focused on the development and
commercialization of innovative medicines for cancer patients. The stakeholders of focus for
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 114
this study was the corporate trainers at IC Biotech. The conceptual framework guiding this
project is based on the Clark and Estes (2008) Gap Analysis Model for improving organizational
performance.
The data confirmed that the assumed knowledge influences that trainers at IC Biotech do
not have the declarative knowledge of training transfer and that trainers do not know how to
deploy training transfer strategies in the classroom. The data confirmed all the assumed
motivation influences: 1) trainers need to feel confident in their ability to promote transfer in
their instruction, and 2) trainers need to have a mastery goal orientation and focus on improving
their instructional practices. The data also confirmed all the assumed organizational influences:
1) that the organization needs to promote a mastery orientation for sales trainers rather than a
competitive orientation, 2) that the organization needs to provide resources for trainers, and 3)
that the organization needs to implement policies and practices that lead to greater retention in
sales training positions.
The findings of this project crystalized several vital areas for the researcher to consider as
a training practitioner in the pharmaceutical space. Firstly, we need to reconsider the role of the
training department in pharmaceutical organizations. That is to say, the training function needs to
be viewed as a strategic element of organization’s mission and vision. As such, the department
needs to be funded and resourced appropriately so it can accomplish all its training goals.
Secondly, we need to reevaluate the role of corporate trainers in the organization. We should
assess holistically assess the competencies required to be an effective trainer. While technical
expertise is an asset, it should not be the only determining factor for choosing trainers.
Additionally, the organization should ensure that new trainers are adequately trained in adult
learning, training transfer strategies, facilitation skills and classroom management strategies
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 115
before placing them in the classroom. Finally, we need to persuade organizational leaders to
focus on promoting a culture of mastery among trainers. Pharmaceutical commercial
organizations are made up primarily of former sales professionals. This means that a
competitive culture prevails in all teams. This competitive environment has a detrimental effect
on trainers because they tend to focus on tasks instead of focusing on mastering the training role.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 116
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APPENDIX A
IC Biotech Interview Protocol
Date and Time of Interview: ______________________________________
Location of Interview: ___________________________________________
Interviewee (Title and Name): _____________________________________
Interviewer: ____________________________________________________
Interview recorded? Yes No
Introduction
[Name] thank you for agreeing to speak with me today. As I mentioned to you in my email, this
interview will take about 45 minutes, in order facilitate our note-taking, we would like to audio
tape our conversations today, will you be okay with me doing this?
For your information, I will be the only person that will have access to the recordings, and I will
be eventually destroying them after they are transcribed. Additionally, I want to let you know
that all information discussed today will be confidential, and your participation is voluntary, and
you may stop at any time if you feel uncomfortable, and lastly, it is my intention not to inflict
harm in any way, shape or form. Any questions before we get started?
As I mentioned, I have planned this interview to about 45 minutes. During this time, I have
several questions that we would like to cover. If time begins to run short, it may be necessary to
interrupt you in order to push ahead and complete this line of questioning.
[Name] you have been selected to speak with me today because you have been identified as
someone who has a great deal to share about the corporate training at IC Biotech. As you know, I
am conducting a study on training transfer in corporate training programs and I am trying to
learn more about training transfer here at IC Biotech, so I am going to ask you a series of
questions about your experience as a trainer. Ready to start?
Knowledge
1) Training transfer is a “buzz word” that is becoming popular in pharmaceutical training,
when you think about training transfer, what comes to mind or how would you define it?
2) In your opinion, what do you consider the key training strategies for training transfer to
occur?
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3) Now that you have been in the role for a while…what particular skills or talents do you think
are most essential to be effective in a pharmaceutical trainer role?
Motivation
4) How confident are you in promoting training transfer for trainees?
a. Follow up: What contributes to that confidence.
b. What would help you feel more confident?
5) What is your general approach to your work as a trainer?
a. What are your goals as a trainer?
b. How did you come to identify those goals?
Organization
6) In what ways, do you feel your organization has affected your success as a trainer?
7) In general, what do you feel is the organization’s belief [or approach to] about training?
8) What kinds of things might affect your decision to remain a trainer in the organization?
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APPENDIX B
Observation Protocol
Live Observation Protocol
Date of Observation:
Time of Observation:
Location of Observation:
Observer:
1. Describe the physical setting where
the class is being held.
2. Describe the classroom layout (theater
style seating, U-shaped, rounds, etc.)
and description of attendees.
3. Describe the strategies used by the
trainers to promote transfer.
4. Describe how opportunities for
practice are integrated into the
training.
5. Does the trainer give feedback after
students had a chance to practice? And
how is the feedback given.
6. Other relevant observations:
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APPENDIX C
Informed Consent/Information Sheet
University of Southern California
Information Sheet for Research
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL TO IMPROVE
TRAINING TRANFER AT A MID SIZE PHARMACEUTICAL COMPANY
You are invited to participate in a research study conducted by Frank Estrada at the University of Southern
California. Please read through this form and ask any questions you might have before deciding whether or
not you want to participate.
PURPOSE OF THE STUDY
This research study aims to understand the effect that knowledge, skills, motivation, and
organizational influences have on the trainers, the delivery of corporate training and to examine
ways to improve training transfer at IC Biotech
PARTICIPANT INVOLVEMENT
If you agree to take part in this study, you will be asked to participant in a telephone interview that consists
of 8-10 open ended questions regarding your opinion on various topics regarding training transfer. You
do not have to answer any questions you do not want to.
PAYMENT/COMPENSATION FOR PARTICIPATION
You will receive a $50 Amazon Gift Card
CONFIDENTIALITY
If data are anonymous:
There will be no identifiable information obtained in connection with this study. At the completion of the
study, the anonymous data may be used for future research studies. If you do not want your data used in
future studies, you should not participate.
If data are coded or identifiable:
Any identifiable information obtained in connection with this study will remain confidential. At the
completion of the study, direct identifiers will be destroyed, and the de-identified data may be used for
future research studies. If you do not want your data used in future studies, you should not participate.
Required language for either condition:
The members of the research team and the University of Southern California’s Human Subjects Protection
Program (HSPP) may access the data. The HSPP reviews and monitors research studies to protect the rights
and welfare of research subjects.
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INVESTIGATOR CONTACT INFORMATION
If you have any questions or concerns about the research, please feel free to contact Frank Estrada at
festrada@usc.edu
IRB CONTACT INFORMATION
If you have questions, concerns, or complaints about your rights as a research participant or the research in
general and are unable to contact the research team, or if you want to talk to someone independent of the
research team, please contact the University Park Institutional Review Board (UPIRB), 3720 South Flower
Street #301, Los Angeles, CA 90089-0702, (213) 821-5272 or upirb@usc.edu.
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APPENDIX D
Recruitment E-mail
Date:
Dear [Name], as I mentioned to you during our brief conversation on [date], I am a doctoral
student at the University of Southern California (USC), and I am currently conducting a research
project on training transfer in corporate training programs in the pharmaceutical space.
I know you are a training professional and I am following up with an email to ask if you would
like to participate in the research by answering a few questions over the phone. The
conversation would be in an interview style where I will ask you approximately 8-9 questions
where I solicit your opinion on various training transfer topics.
The interview would take about 45 minutes to complete, and your participation is completely
voluntary, and your answers will be anonymous. All participants will receive a $50.00 Amazon
gift card.
If you are interested, please reply to this email. If you have any questions, please do not hesitate
to contact me festrada@usc.edu.
Thank you for your time.
Frank Estrada
Doctoral Candidate, University of Southern California
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APPENDIX E
Training Manager Job Description
Title: Commercial Training Manager Job Code:
Department: Commercial Workers Comp Code: 0953
Grade Level: 9 Date: 04-08-2014
Job Summary
Reporting to the Director of Commercial Training, this position is responsible for meeting and
exceeding the Sales and Management training requirements of the Commercial organization at XXX.
The Commercial Training Manager will work with the Director of Commercial Training, Regional
Business Directors and Regional Trainers to identify field training needs and to establish actionable
training plans for Territory Business Managers. The Commercial Training Manager will provide
specialized one-on-one training and skill development in hematological disease knowledge and sales
skills as needed to Territory Business Managers as needed. The Commercial Training Manager will
also oversee the onboarding and training of new hires and conduct field rides with local Territory
Business Managers to call on key customer or accounts as directed by the local Regional Business
Director and or the Commercial Training Department.
This position will also assist the Commercial Training Department in evaluating field training needs,
provide ongoing train-the-trainer training to local Regional Trainers, will assist in facilitating classroom
instruction of all new hires, help in the training execution during National/Regional sales meetings
and develop clinical training content as directed by the Director of Commercial Training and or
marketing partners.
Summary of the Essential Functions of the Job
• Partner with field sales leadership, Marketing, Medical and Human Resource organizations
and to assist in the execution of training programs in order to meet organizational goals
• Ensure organizational and training policies and procedures are consistently maintained and
present a positive impression of the organization through all training programs
• Responsible for ensuring personal and Company compliance with all Federal, State, local and
Company regulations, policies, and procedures
• Conduct new employee orientation sessions.
• Oversee the management of LMS
• Lead a minimum of 7 classes per year
• Complete a minimum of 6 training initiative per year as assigned by training director
• Conduct a minimum of 9 field rides
• Create brochures and training materials.
• Create testing and evaluation processes.
• Collaborates with Regional Business Directors and Field Trainers to develop a tailored
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training solution for individual & group competency needs in order to ensure commercial
excellence in the field
• Assists in the development of a robust infrastructure of Regional Trainers to aid in the
delivery of clinical training content
• Performs other duties assigned as needed
Minimum Requirements
• Bachelor’s Degree required,
• 5 years of successful sales experience in hematology/oncology
• If internal candidate, RBD Recommendation
• High level of integrity a must.
• Outstanding presentation Skills
• Must be familiar with LMS administration
• Ability to prioritize and handle multiple tasks.
• Strong knowledge of adult learning principles, LMS technology and E-Learning
development
• Must be willing to serve in the role for 2 years
• Must have prior experience in a former training role
• Must have formal experience in onboarding processes
• Excellent oral and written communication skills, with presentation experience to all
management levels
• Strong organizational skills, with the ability to manage concurrent cross-functional projects
• Willingness to travel up to 60-70%
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APPENDIX F
IC Biotech Trainer Net Promoter Score Card
Please rate the following areas using a scale of 1-10. In this scale, 1 represents the worst score and and 10
represents the best score.
Home Study
1 2 3 4 5 6 7 8 9 10
1. The objectives of home study were clearly communicated
2. The home study materials I received were well organized
3. The weekly touchpoints with my assigned trainer were useful
4. Prioritization of training department objectives
5. Prioritization of training department objectives
6. The logistical details regarding Phase One ILT were clearly
communicated
Phase One ILT
7. The objectives of Phase One ILT were clearly communicated
8. The classroom content was well organized and clearly explained
9. The instructor made me feel welcome and part of the class
10. I was challenged every day in the classroom
11. The instructor demonstrated how to do something before asking me to
do it
12. The instructor gave me plenty of time to practice role play
13. The instructor gave me feedback after every activity
14. How would you rate this training compared to other training you
received at previous companies?
15. I feel that what I learned in Phase One ILT is immediately applicable
in my job
16. The time spent in Phase One ILT was well worth it
17. How would you rate overall the entire Phase One ILT experience?
18. How would you rate the overall effectiveness of the instructor?
Feedback
19. What did like best about Phase One ILT?
20. What did you like least?
21. Phase One ILT would have been more effective if:
22. What recommendations or feedback do you have for the training staff
to improve future Phase One ILT sessions?
23. Other comments:
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APPENDIX G
IC BIOTECH PROGRAM EVALUATION #1
For Use Immediately Following Training
Instructions: Please use the 10-point scale to rate the areas below
LEVEL 1: REACTION
Engagement
Rating Scale Questions
Score 1-10 Question
I was engaged with what was going on during the program.
The class environment helped me to learn
This program held my interest.
Open-ended Questions
Was there anything about your experience that interfered with your learning? If so, what?
What suggestions do you have that would have increased your involvement?
Relevance
Rating Scale Questions
Score 1-10 Question
I understand how to apply what I learned on the job.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 138
The course material will be helpful for my future success.
I will be able to use what I learned immediately.
I understand why this program was offered.
The information in this program is relevant and applicable to my work
I am clear about what is expected of me on the job as a result of taking this class.
Open-ended Questions
What additional information do you suggest be added to the program?
Which modules did you find to be the most relevant to your job?
Which modules did you find to be the least relevant to your job?
Customer Satisfaction
Score 1-10 Question
I received helpful information prior to the session.
Taking this program was worth my time.
I will recommend this program to my co-workers.
I would be glad to help others with what I learned.
The presentation style of the instructor contributed to my learning experience.
I would like follow-up to help me apply what I learned.
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Open-ended Questions
How could this program be improved?
Please share any other comments you may have.
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APPENDIX H
IC BIOTECH PROGRAM EVALUATION TOOL #2
For Use Immediately Following Training
Instructions: Please use the 10-point scale to rate the areas below
LEVEL 2: LEARNING
Knowledge
Knowledge is measured primarily with formative exercises during the session or a quiz
near the end. At the end of the session (or shortly thereafter), you also may choose to
ask a few of the following open-ended questions.
Open-ended Questions
What are the major concepts that you learned during this session?
What were the most meaningful concepts you learned?
Skills
Skill is measured with activities and demonstrations during the session that show that
participants can perform the skill. With the exception of writing skills, written questions
cannot measure skill level accurately.
Attitude
Rating Scale Questions
Score 1-10 Question
I believe this course’s content is important to succeeding on the job.
I believe it will be worthwhile to apply what I learned on the job.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 141
Open-ended Questions
Why do you think this course was offered?
Explain the importance of applying what you learned on the job.
What are your thoughts about applying what you learned?
Confidence
Rating Scale Questions
Score 1-10 Question
I understand what resources are available to me on the job as I apply this new
knowledge.
I feel confident about applying what I learned back on the job*.
*If you circled 6 or below, check all that apply. My confidence is not high because:
* I do not have the necessary knowledge and skills.
* I do not have a clear picture of what is expected of me.
* I have other, higher priorities.
* I do not have the necessary resources to apply what I’ve learned.
* I do not have the human support to apply what I’ve learned.
* The training didn’t give me confidence to apply what I learned.
* I do not think what I learned will work.
* There is not an adequate system of accountability to ensure the
application of what I learned.
* Other (please explain):
__________________________________________
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 142
APPENDIX I
IC BIOTECH PROGRAM EVALUATION TOOL #3
For Delayed Use After Training
Instructions: Please use the 10-point scale to rate the areas below
DELAYED LEVEL 1: REACTION
Relevance
Score 1-10 Question
This course provided all of the information I need to be able to perform the skills I
learned successfully.
The information provided in this course is fully applicable to my job.
The timing of this course was appropriate for me.
Open-ended Questions
What information from this course has been most relevant to your job?
Was there any information in this course that is NOT relevant to your job? If so, what?
What information should be added to this course to make it more relevant to your work?
Customer Satisfaction
Score 1-10 Question
I would recommend this course to others with jobs similar to mine.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 143
Taking this course was a good use of my time.
Open-ended Questions
Looking back, how could this program have been improved?
Looking back, what would you change about this course?
DELAYED LEVEL 2: LEARNING
Knowledge / Skill
Open-ended Questions
Looking back on the training, what content do you remember most?
Looking back on the training, what content do you wish had been covered that wasn’t?
Attitude
Rating Scale Questions
Score 1-10 Question
t is clear why it was important for me to attend this training.
Open-ended Questions
In your own words, explain why it was important for you to attend this course.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 144
LEVEL 3: BEHAVIOR
On-the-Job Behavior
Rating Scale Questions
Score 1-10 Question
I have successfully applied on the job what I learned in training
I have been able to apply on the job what I learned in class
The timing of this course was appropriate for me.
Instructions: Using this rating scale, circle the rating that best describes your current
level of on-the-job application for each listed behavior.
Insert major performance objective #1 1 2 3 4 5
Insert major performance objective #2
1 2 3 4 5
Insert major performance objective #3 1 2 3 4 5
Score 1-10 Question
I applied what I learned to my work:
* Within a week
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 145
* Within 2-4 weeks
* Within 5-12 weeks
* I have not applied it, but plan to in the future.
* I have not applied it, and do not expect to apply it in the
future.
I have applied what I learned to my work.
If you circled 7 or above for the previous question, rate the contributions of each of the
following factors to your effective performance of (insert major task or objective):
Not at all Low Medium High Coaching from my supervisor
Not at all Low Medium High Support and / or encouragement
Not at all Low Medium High Effective system of accountability or monitoring
Not at all Low Medium High Belief that it would help me to be more effective in my work
Not at all Low Medium High Ongoing training I have received after the initial class
Not at all Low Medium High Payment of bonus for applying the knowledge
Not at all Low Medium High
Other (please specify):
____________________________________________
If you circled 6 or below, please indicate the reasons (check all that apply):
* I do not have the necessary knowledge and skills.
* I do not have a clear picture of what is expected of me.
* I have other, higher priorities.
* I do not have the necessary resources to apply what I’ve learned.
* I do not have the human support to apply what I’ve learned.
* The training didn’t give me the confidence to apply what I learned.
* I do not think what I learned will work.
* There is not an adequate system of accountability to ensure the
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 146
application of what I learned.
* Other (please explain):
__________________________________________
Open-ended Questions
Describe your experience in attempting to apply what you learned in training back on the job.
To what degree have you applied what you learned?
Have you struggled with application? If so, to what do you attribute your difficulty?
What steps do you plan to take in the future to continue your progress?
Drivers
Rating Scale Questions
Score 1-10 Question
My supervisor and I set expectations for this training before the class.
My supervisor and I determined how I would apply what I learned after training.
I have received performance support in order to apply what I learned successfully.
I receive support and encouragement for applying my learning to my job.
I have the necessary resources to apply what I learned successfully.
A system of accountability helps me to apply what I learned.
Incentives encourage me to apply what I learned.
Incentives encourage me to apply what I learned.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 147
Open-ended Questions
What additional training or support do you need to increase your effectiveness?
What kind of support have you received that has helped you to implement what you learned?
PREDICTIVE LEVEL 4: RESULTS
Leading Indicators
Rating Scale Questions
Score 1-10 Question
I am already seeing positive results from the training.
I am expecting positive results from this initiative in the future.
I have seen an impact in the follow areas as a result of applying what I learned
(check all that apply):
* Increased productivity
* Improved quality
* Increased personal confidence
* Increased customer satisfaction
* Stronger relationships with my colleagues
* More respect from my peers
* Better organization in my work
* Other (please explain):
Open-ended Questions
What early indicators of positive impact have you noticed from your efforts? How do you feel about
those successes?
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 148
What results have you seen since attending this training?
How has this initiative benefited the organization overall?
Please give an example of the success you have achieved since attending this training.
To what degree have the results you expected actually occurred?
What additional outcomes are you hoping to achieve from your efforts?
Desired Results
Rating Scale Questions
Score 1-10 Question
This training has positively impacted this organization.
This training has positively impacted organizational profitability.
This training has positively impacted mission accomplishment.
Open-ended Questions
What impact is this training having on the organization as a whole?
How has your participation in this training benefited the company?
How has this initiative benefited the organization overall?
Are you seeing any impact on sales and profitability as a result of this training? If so, please describe.
AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 149
Has this training / initiative helped your organization to accomplish its mission? If so, please describe.
Running head: AN APPLICATION OF CLARK AND ESTES GAP ANALYSIS MODEL 150
APPENDIX J
IC BIOTECH – Quarterly Report Trainer Performance Dashboard March 21, 2018
Number of
Classes
Number of
Trainers in
Classroom
Students
Trained
Avg. Required
Drivers Score
Avg. Leading
Indicators Score
Avg. NTPS Score Trend
6 8 21 76
77
77
Target Last Year
Target Last Year Target Last Year
Target Last Year
Target Last Year
Target Last Year
3.4% 1.4%
2.1% 2.0% 5.1% 2.9%
80% 76%
80% NA 80% NA
Level 1 January February March Level 2 April May June
Customer Satisfaction Knowledge
Engagement Skill
Relevance Attitude
Confidence
Required Drivers January February March Commitment
Reinforcing 67 78 77
Encouraging 66 78 77 L. Indicators April May June
Rewarding 68 76 78 72 73 77 75
Monitoring 69 75 75
60
65
70
75
80
Jan Feb March
NTPS Scores TY vs LY
NTPS TY NTPS LY
76 76
78
JANUARY FEBRUARY MARCH
NTPS Score Trend
NTPS Scores
Abstract (if available)
Abstract
In the United States, companies spend billions of dollars each year in employee training. According to the Association for Training and Development (ATD), the world’s largest association dedicated to workplace learning and performance
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Asset Metadata
Creator
Estrada, Frank Calderon
(author)
Core Title
An application of Clark and Estes gap analysis model to improve training transfer at a midsize pharmaceutical company
School
Rossier School of Education
Degree
Doctor of Education
Degree Program
Organizational Change and Leadership (On Line)
Publication Date
08/09/2018
Defense Date
08/08/2018
Publisher
University of Southern California
(original),
University of Southern California. Libraries
(digital)
Tag
corporate training,learning transfer,OAI-PMH Harvest,pharmaceutical company,pharmaceutical training,training transfer
Format
application/pdf
(imt)
Language
English
Contributor
Electronically uploaded by the author
(provenance)
Advisor
Hirabayashi, Kimberly (
committee chair
), Seli, Helena (
committee member
)
Creator Email
festrada@usc.edu,frankestrada@mac.com
Permanent Link (DOI)
https://doi.org/10.25549/usctheses-c89-63176
Unique identifier
UC11672289
Identifier
etd-EstradaFra-6712.pdf (filename),usctheses-c89-63176 (legacy record id)
Legacy Identifier
etd-EstradaFra-6712.pdf
Dmrecord
63176
Document Type
Dissertation
Format
application/pdf (imt)
Rights
Estrada, Frank Calderon
Type
texts
Source
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(contributing entity),
University of Southern California Dissertations and Theses
(collection)
Access Conditions
The author retains rights to his/her dissertation, thesis or other graduate work according to U.S. copyright law. Electronic access is being provided by the USC Libraries in agreement with the a...
Repository Name
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Repository Location
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Tags
corporate training
learning transfer
pharmaceutical company
pharmaceutical training
training transfer