Running head: THEORETICAL FOUNDATIONS OF HRD: CONCEPTUAL VISUAL 1

EXPANSION

Theoretical Foundations of Human Resource Development: Conceptual Visual Expansion

Matthew W. Hurtienne
Bojan Ljubenko
Moraine Park Technical College

Laura E. Hurtienne
School District of Mayville

Copyright © 2017 Matthew W. Hurtienne, Bojan Ljubenko, Laura E. Hurtienne

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Abstract

Human Resource Development is a very diverse field of inquiry that utilizes

organizational development and personal training to improve performance of organizational

members. A great deal of research has been developed around how to unleash human expertise,

and multiple models have been developed to help provide a visual reference for scholars and

practices. HRD recognizes that the theoretical foundations can have an impact on process

improvement, and that individuals are still key to the effective initiation of the analyses and

development of the process improvement plan. The recommendation is to enhance the visual of

theoretical foundations of human resource development by adding an individual on top of the

stool. This addition will help to show the importance that individual(s) have in the analysis,

decision, and implementation of HRD processes. Human Resource Development focuses on the

interactions of human beings; therefore, it is fitting to have a model that includes the central

focus of HRD, a human being.

Keywords: human resource development, HRD stool, theoretical foundations of human

resource development.
THEORETICAL FOUNDATIONS OF HRD: CONCEPTUAL VISUAL EXPANSION 3

Theoretical Foundations of Human Resource Development: Conceptual Visual Expansion

Introduction

The world we live in is a very amazing, yet finicky, place to grow and learn. The world

is a melting pot of cultures, ethnicities, values, and beliefs, all of which shape who we are as

individuals and what countries strive to become. At the very core of this melting pot are

humans, both individually, and as organized groups. Until very recently our interactions across

boundary lines and water masses made our interactions challenging. Now, through the use of

technology, we have the chance to experience life enrichments in mere seconds, which would

have originally taken months or even years.

Human resource development (HRD) has a similar background in growth and knowledge.

The age of global economy has had an impact on our profession, and it continues to help shape

our HRD function in various regions and countries across our vast globe. There is not always

one right, prescribed HRD method to follow, as individual experiences, cultures, and beliefs all

play a part in forming a strategy for success. How organizations function in Japan might be quite

different from how organizations operate in the United States. For the immediate future, there

will continue to be strategic operational differences; however, no matter the organization, the

core of management and leadership lies within human action, interaction, and interpretations.

Problem Statement

Human potential and expertise is, and continues to be, a vital component to developing

and implementing effective Human Resource Development principles. Our profession has spent

a considerable amount of time studying and analyzing how an individual can impact an

organization, and at the same time a significant amount research has been created on how change

affects both an individual or an organization. Sometimes such research can blur the vision
THEORETICAL FOUNDATIONS OF HRD: CONCEPTUAL VISUAL EXPANSION 4

within the field and its understanding, thus making process improvement seem rather murky.

However; this lack of clarity can help the HRD profession to grow, evolve, and become more

relevant. Human Resource Development professionals should keep in mind that it is ok to have

some cloudiness, “because it is then possible to reshape it as our understanding of its many

implications improve” (Guba, 1970, p. 17). As our understanding evolves then our meaning of

the world will be shaped as the world around us changes.

Individuals have played, and will continue to play, a vital role in performance

improvement within organizations and teams. Decisions made by individuals, management or

support staff, can lead to impactful change, or even failure. The lens we look through and our

current beliefs are shaped through individual experiences. These experiences will likely impact

how a problem is analyzed and a solution is proposed. Through research and practice the

strategies of management and leadership are continuously changing, and discoveries are being

made for HRD to stay relevant in turbulent times. As cultural beliefs, technology, and climate

shape the world that is known, HRD will also need to reshape and focus to maintain relevancy.

To help ensure HRD stays relevant for practitioners, it is then important for our profession to

continually review and add to the body of HRD knowledge, models, and core theoretical

foundations.

Purpose

The focus of this conceptual paper is to continue the discussion regarding the evolution of

the three legged-stool that was a development by Richard Swanson. The stool was created and

widely discussed in the 1990’s in an effort to provide a visual representation of the theoretical

foundations that comprise human resource development: economics, psychology, and systems
THEORETICAL FOUNDATIONS OF HRD: CONCEPTUAL VISUAL EXPANSION 5

theory (Swanson, 1999a). The intent of this paper is to acknowledge the strength of this model

and suggest further development of its field applicability by enhancing the visual application.

Significance of the Inquiry

In this brave new world of increasing connectedness, complexity, confusion, and change,

the organizations that will not only survive, but thrive, will be those whose leaders embrace the

idea that it is not a process or product that is their most valuable asset, but knowledge of their

employees. These forward-thinking organizations are the ones that will discover how to realize

shared visions by tapping into their people’s sense of commitment and ability to learn and grow

(Senge, 2006).

This paper has significant implications to the HRD and HRM fields as “HRD polices are

closely associated with that aspect of HRM that is concerned with investing in people and

developing the organization’s human capital” (Armstrong, 2006, p. 535). The authors will

explore the current model developed by Dick Swanson and make a recommendation for future

research and potential model modification.

Literature Review

In the practical sense of human resource there are two main categories with different, yet

related, systemic value to an organization. These two categories are human resource

management (HRM) and human resource development (HRD). Armstrong (2006) defines

human resource management “as a strategic and coherent approach to the management of an

organization’s most valued assets - the people working there who individually and collectively

contribute to the achievement of its objectives” (p. 3). Swanson defines HRD as “a process of

developing and/or unleashing human expertise through organization development and personnel

training and development for the purpose of improving performance at the organizational,
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process, and individual/group levels” (Swanson, 1999b, p. 2-3). The “process of HRD is made

up of five core phases including: analyses, propose, create, implement and assess” (Swanson,

1999b, p 3). These core phases can also be found in Model of Human Resource Development

within the Organization and Environment (Figure 1). This model is helpful to bring the multiple

theories of HRD together and can align for a deeper understanding (Swanson and Holton, 2009).

Figure 1. System world-view of human resource development as a process within the

organization and its environment

History of Human Research Development

Human resource development “is essentially a business-led approach to developing

people with a strategic framework” (Armstrong, 2006, p. 529). According to Smith (2004),

HRD tends to concentrate on increasing knowledge, skills, and capability of workers as an

individual, as a team, and as an organization. Inside HRD there are multiple practices and

theories, each eventually leading to improve performance through one or all of the following:

training and development, career development, and/or organizational development (Salleh,

2012).
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In 1989, Storey described what human resource management is and what type of

structures and practices are needed to be successful. In the writings it is explained that the

employee, or worker, is a resource that is important to the competitiveness of the organization.

He also makes mention that the worker, or human, is considered a commodity capitalist business

environment. This is where the function of human resources, specifically human resource

development, is an important piece of the puzzle, as this is the point where the theories of human

resource development bridge the gap. It is that much more important to organizational success

for management to have an effective and integrated business strategy, find ways to gain

additional value from their employees through human resource development, and develop a

strong culture that is built through communication and training and performance management

processes (Armstrong, 2006).

Through the years, the field of HRD has developed three main core ideas that are central

to HRD practices, research and beliefs. The first belief is “organizations are human-made

entities that rely on human expertise in order to establish and achieve their goals” (Swanson,

2001, p. 304). The second belief is “human expertise is developed and maximized through HRD

processes and should be done for the mutual long-term and/or short-term benefits of the

sponsoring organization and the individuals involved” (Swanson, 2001, p. 304). The next belief

is “HRD professionals are advocates of individual and group, work process and organizational

integrity” (Swanson, 2001, p. 304).

In the field of HRD there are multiple definitions of Human Resource Development.

Since this paper is looking at the Three Legged Stool (Figure 2) that was proposed by Richard

Swanson, the following definition of Human Resource Development will be utilized: “human

resource development is a process of developing and/or unleashing human expertise through

THEORETICAL FOUNDATIONS OF HRD: CONCEPTUAL VISUAL EXPANSION 8

organization development and personnel training and development for the purpose of improving

performance” (Swanson 1995, p. 208).

Figure 2. The theoretical foundations of human resource development

Theoretical Foundations of HRD: Visual

System improvement, organizational effectiveness, and personnel training is not new to

our world, but in comparison the formal study of human resource development is still in its

infancy. Throughout the years researchers and practitioners have developed a body of literature

and knowledge, that provides insight into the HRD field; however, “there is no universal view or

agreement on the theory or multiple theories that support HRD as a discipline” (Swanson &

Holton, 2009, P. 101). These multiple views have lead to multiple visual images that have been

developed to help provide a reference of human resource development. For Swanson (1995), he

set out to develop a reference that provides for a visual image of the theoretical foundations of

HRD. In his model he utilized a three-legged stool that has the “ability to stand secure on both

smooth and irregular surface” (p. 207), and each stool will stand for “psychological theory,

systems theory, and economic theory” (p. 207).

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According to Swanson & Holton (2009) the three-legged stool provides “great stability

for HRD as a discipline and field of practice required to function in the midst of uneven and

changing conditions (p. 102). On top of the three legs is the seat of the stool that represents the

fusion of the economic, system, and psychological theories “into the unique core theory of HRD”

(Swanson & Holton, 2009, p. 102). This same stool sits on top of an ethical rug which is “a

filter…between its three contributing theories and the context in which HRD functions”

(Swanson & Holton, 2009, p. 103). According to Swanson (2001), each theory on its own may

be “inadequate and produce unattainable results” (p. 307) as the belief is “the whole of any

integrated performance improvement theory will be larger than the sum of the parts and unique

to HRD” (Swanson, 2001, p. 307). The following provides a brief background of each unique

core principle.

Economic Theory

This theory is limited in organizational development literature compared to psychological

and system thinking theory (Swanson & Holton, 2009, p. 103). To develop a healthy

organization and for their own survival, organizations must find a way to generate more revenue

compared to expenses. When discussing economic theory, HRD professionals reflect on scarce

resources and production of wealth (Swanson, 2001). Economic theory should capture “the core

issues of the efficient and effective utilization of resources to meet productive goals in a

competitive environment” (Swanson, 2001, p. 304).

There are multiple viewpoints and theories regarding how to achieve economic viability;

however, there are three theories that tend to come to the top. According to Swanson & Holton

(2009) these three theories are: scarce resource theory, sustainable resource theory, and human

capital theory. These theories help to address the use of scarce sources, development of long-
THEORETICAL FOUNDATIONS OF HRD: CONCEPTUAL VISUAL EXPANSION 10

term economic outcomes, and development of “short-term and long-term value from investments

in the development of knowledge and expertise in individuals or groups” (Swanson, 2001, p.

308).

Psychological Theory

This is an area that does not have any shortage of literature for HRD professionals. This

area includes “theories of learning, human motivation, information processing, group dynamics,

and psychology-based theories of how we make decisions” (Swanson & Holton, 2009, p. 105).

This theory “captures the core human aspects of developing human resources as well as the

socio-technical interplay of humans and systems” (Swanson, 2001, p. 304). This theoretical

foundation has played an important role in looking at the relationship between learning,

performance, and change and other variables (Ferguson & Reio, 2010).

When detecting the psychology theory one looks to observable change in behavior (Reio

& Batista-Taran, 2014). Research finds that personal experience is an important variable that

helps to develop an individual’s knowledge and personal skills, and that this “knowledge and

skill and learning is useful in turn to inform better performance of daily tasks at home, school,

and work” (Reio & Batista-Taran, 2014, p. 4). This theory has been built from both strong

quantitive and qualitative research, which can provide metrics for HRD implications.

System Thinking

The study of HRD is vast and “is a discipline rooted in multiple theories” (Swanson &

Holton, 2009, p. 128), but not “all these theories are foundational or core to HRD” (p. 128).

However, “arguments can be made that system theory is core to HRD” (p. 128). When looking

at this theory, researchers and practitioners take interest in “understanding systems with a

particular emphasis on the interdependencies and dynamics of the parts, how they are organized,
THEORETICAL FOUNDATIONS OF HRD: CONCEPTUAL VISUAL EXPANSION 11

and how they work together to produce results” (Swanson & Holton, 2009, p. 128). These steps

are taken with the intention of understanding the system and to developing methods to improve

the individual system and/or the organization.

When thinking of system theory, consider how the systems of the human body function

separately and together (Hurtienne, 2015). “For example, the respiratory, cardio-vascular, and

nervous systems are separate from each other, but each system works together to sustain life.

Without one system, it is difficult if not impossible to survive” (p. 123), and without studying the

whole body it is difficult to know what impact an individual system has on the whole. In HRD, a

system is considered “a collection of elements where the performance of the whole is affected

by every one of the parts and the way that any part affects the whole depends on what at least

one other part is doing” (Swanson & Holton, 2009, p. 130).

“The basic systems theory model includes inputs, processes, and output of a system as

well as a feedback loop” (Swanson & Holton, 2009, p. 18). System thinking is seen by HRD

researchers and professionals as an open system that has the capability of being influenced by

external forces (Swanson & Holton, 2009).

Discussion

Over time literature and research have produced multiple models of HRD, and each

originator has taken the time to explain the case as to why their model is more applicable to

HRD. Some of these models have received much more traction than others. There is one model

that is commonly referred to in literature reviews and HRD foundational discussions, the

Theoretical Foundation of HRD model developed by Richard Swanson. As described above,

The Theoretical Foundation of HRD model is displayed as three-legged stool that represents the

core theories of HRD.

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The intent of this paper is not by any means to criticize the Theoretical Foundation of

HRD model; it is the intention of this paper to provide a possible evolution of the model to

further aid the visual representation of HRD to practitioners, students, and even academia. This

concept is being offered as a way to further develop and build HRD theory and to strengthen the

profession of HRD. Even Swanson has called for “fully developed rival theories that can inform

and challenge the profession” (Swanson, 1999b, p. 3). In this case, the suggestion is not to create

a rival theory, but only to strengthen the current model.

Understanding HRD theories should help to provide rationale for decision-making. If

this is true, a manager and a leader should be able to enhance and shorten the learning curve of

“real life” or practical experience by analyzing and examining the appropriate theory. As a result

of this mindset, academia and practitioners challenge the thought process that practical, on the

job experience is enough to be successful, and there is a trend to start providing more

management and leadership training in formal education (Bush, 2003). It is probably important

to point out that a theory is only useful so long as it has relevance to the situation at hand. The

relevance of the chosen theory should be judged by the extent to which it informs the manager to

take action and can contribute to the resolution of the situation (Hoyle, 1986).

Development and theory building is a process that only strengthens the profession.

According to Swanson (1999) “a well-structured HRD theory is powerful and practical in doing

the primary work of the profession” (p. 4). Sometimes the theory building journey can be

difficult as the discussion impacts individual’s strong opinions and beliefs; however, the

discussion can produce a healthier, more viable product that evolves with time and further

research. The hope is that this “theory-building journey will continue as long as the profession

exists and it will always be a ‘work in progress” (Swanson, 1999b, p 3).

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Human resource development is much more than a set of checklists, methods, and/or

processes. Human Resource Development is around us on a daily basis, both in our professional

and personal lives, whether you are working for a fortune 500 company, an academic institution,

or volunteer at a local service club. As a practitioner and now a researcher it has become much

clearer that humans, individuals or groups, are interwoven through each theoretical foundation of

human resource development. It takes an individual(s) to analyze, design, develop, implement,

and evaluate a new programs or processes in the effort to unleash human expertise, under the

umbrella of human resource development.

As human resource development “is business led, its policies have to take into account

individual aspirations and needs” (Armstrong, 2006, p. 534); however the business-led decisions

start with an individual or a group of individuals. “Knowledge and skills are thought to be an

accumulation of each individual’s personal experiences with his or her environment. The

accrued knowledge and skills and learning are useful in turn to inform better performance” (Reio

and Batista, 2014, p 4).

Researchers do spend a considerable amount of time studying the implications of the

theoretical foundations of HRD, along with their potential relationship to practitioners. In

general these HRD researchers have developed core theories, and sub-theories, that have

impacted practitioners, many of these theories have value to unleashing human expertise;

however, there are variables that can play a part in theories not reaching full potential. For

example, organizations are complex systems made of multiple complex sub-systems. The

collective behavior of organizational subsystems forms a unique set of circumstances managed

by strategy. With many circumstances there are also reasons why one intervention or

improvement strategy works for one organization and not another. Success is often dependent
THEORETICAL FOUNDATIONS OF HRD: CONCEPTUAL VISUAL EXPANSION 14

on how an individual adopts and views the Systems Model of Performance Improvement

(Swanson & Holton, 2009,, p. 25)

The implication of the lens that a leader or leadership team looks through can help to

properly analyze a given situation in the hopes to design, develop, and implement an effective

strategy. But, if the analyzation of a situation is inaccurate how can the correct process

improvement strategy be developed, unless only by fate? Practitioners cannot effectively design

and develop an appropriate strategy if the analysis was inadequate or inappropriate.

Leaders at all levels of an organization inertly have different experiences and

backgrounds, as each individual have all come from different life experiences. Their unique

background plays a role in the function of performance at a process, organizational, and/or

individual level. To analyze contributing factors for success or failure one needs to study the

relationship between learning, expertise, performance (Figure 3). The following “seemingly

simple metric of questions leads the analyst to the HRD disconnects from performance”

(Swanson, 1995, p. 209).

Figure 3. Relationship between learning, expertise, and performance

If learning, either effective or ineffective, leads to a disconnect of HRD performance,

then the expertise of the individual or individuals leading can, and surely will, impact how one

views and analyzes a situation. HRD literature will often stay at the organizational level when

discussing performance, but what some literature skips over is the importance or need of an
THEORETICAL FOUNDATIONS OF HRD: CONCEPTUAL VISUAL EXPANSION 15

individual to make a decision on how to increase performance. Swanson (2007) details the

Taxonomy of Performance Model (Figure 4). This model “provides a lens that helps operational

performance improvement theory for those who work in complex organizations” (Swanson,

1997, p. 23). As figure 4 displays there are five tiers and two categories that represent painting

the system and changing the system. “However, since almost all organizations are regularly

struggling with the two categories, they often get them mixed up” (Swanson, 1997, p. 24). The

struggle and jumping might be so bad that Swanson refers to it as “performance improvement

schizophrenia” (p. 24).

Figure 4. Taxonomy of Performance Model

Often organizations do not take the time to analyze a situation effectively, or they don’t

have sufficient human expertise to effectively grasp performance issues. For example, a poor

ineffective leader will determine a course of casual action at one level, expecting to see an

impact to performance at another level. According to Swanson (1997), HRD professionals and

leaders need to take the proper steps to understand performance concerns by classifying the

problem. “Asking the general questions as to what is going on here with the taxonomy in mind

(understand, operate, troubleshoot, improve, and invent) can lead to an initial judgement that will

save a great deal of analysis time” (Swanson, 1997, p. 25). Yet, in this instance, it still takes an

individual to analyze and diagnose the problem.

THEORETICAL FOUNDATIONS OF HRD: CONCEPTUAL VISUAL EXPANSION 16

HRD recognizes that the theoretical foundations can have an impact on process

improvement, and that individuals are still key to the effective initiation of the analyses and

development of the process improvement plan. Without an individual(s) to make such a decision

you will not see an affective change occur. In this mode of thinking there seems to be an

implication that the individual, formal or informal leader, will have an impact on process

improvement by deciding on a course of action. The lived experience and educational

experience will have an impact on the course of action that is chosen. There is a complex human

interaction required for a process improvement to be initiated and carried out. Swanson (2001)

mentioned that system theory “captures the complex and dynamic interactions of environments,

organizations, work process and group/individual variables operating at any point in time and

over time” (p. 304). Literature also suggests that improvement efforts can “hit a brick wall

because there is no documentation of expertise required” (Swanson, 1997, p. 24). Expertise is

developed from learning, and for an individual to make a decision, expertise has to be released

through a series of decisions.

Based on the definition of HRD, core theoretical framework, and common models found

in HRD it takes an individual(s) to research, develop, and set a series of action in motion with the

end result of process improvement. According to Ruona (1999), performance within an

organization, either at a group level or individual level, is a result of human effort and expertise.

The expertise of an individuals will help to drive the decision process in regards to what strategy

to implement, how to implement, how to monitor the outcomes, etc. It is for this reason the

following expansion of the model to include a person sitting on top of the stool will enhance a

visual reference of HRD for practitioners, scholars, and students (Figure 5). The addition of a
THEORETICAL FOUNDATIONS OF HRD: CONCEPTUAL VISUAL EXPANSION 17

person to the stool does not simply represent only one person, as it more correctly reflects the

role that an individual or individuals play in choosing and implementing a HRD strategy.

Figure 5. The theoretical foundations of human resource development: enhanced visualization

Conclusion

For HRD to stay relevant and critical, the core foundations of HRD should be discussed,

debated, and theories verified for accuracy through theory development. This is “the purposeful

process or recurring cycle by which coherent description, explanations, and representations of

observed or experienced phenomena are generated, verified, and refined” (Lynham, 2000, p.

161). Relevance of HRD to organizations and individuals is important to HRD. According to

Koranic and Shindell (2014) “a profession can only survive by remaining relevant to those who

utilize it” (p. 696). It is through taking practical steps and envisioning the future needs HRD can

stay relevant and applicable (Koranic and Shindell, 2014).

We are not purposing a new Theoretical Foundation Model for HRD, as Gary McLean

did with his widely discussed octopus model; we are suggesting an evolution to the

visualizations of the current model to reflect the role an individual plays in the establishment of
THEORETICAL FOUNDATIONS OF HRD: CONCEPTUAL VISUAL EXPANSION 18

HRD practices. Swanson (1999b, p.4) mentions that “theory-building research needs to go

forward” and that the “pursuit of the theory building journey is not a win-lose situation.” He

continues to say that our profession only loses if the “debate and serious inquire do not continue”

(Swanson, 1999b, p. 4). This type of inquiry and discussion helps to keep HRD relevant.

Swanson believes that having a defined “core theory of HRD - such as the three legged

stool or other well-developed alternatives - is practical and powerful.” (Swanson, 1999b, p 4). He

is also “perfectly willing to call upon any supporting theories that prove helpful for a particular

situation or a specific thread of work (Swanson, 1999b, p 4). The stool has had a positive impact

on providing a visual reference that displays the theoretical foundations of HRD (Swanson,

1995). The potential addition of an individual on top of the stool only enhances the role that

individual(s) play with implementation, adoption, and evaluation of HRD core functions.

Truth is evolving into new meanings and understandings. “It is never sufficient to rule

out the possibility that a much better theory might be devised to account for the phenomena that

our presently accepted theory also explains (Phillips, 1990, p. 35). In the body of knowledge for

HRD, there are multiple beliefs and understandings, and not one author, researcher, practitioner

finds themselves immune from criticism and truth is not absolute (Guba, 1990). Furthermore,

many HRD models make the assumption that individuals are always thinking rational about the

situation as hand. As the workplace evolves so should HRD, its implications, its practical

approaches to achieve effectiveness and visual representations.

In closing, the need of this visual expansion is backed up by Koranic and Shindell (2014)

who “envisions HRD as a field of respected problem solvers and knowledge creators in high

demand in response to changes facing the workplace” (p. 692). The problem solvers or

individuals will continue to play an important role in the decision making process of HRD. New
THEORETICAL FOUNDATIONS OF HRD: CONCEPTUAL VISUAL EXPANSION 19

concepts, models, processes, will not be developed without direct input from a problem solver or

individual and HRD initiatives will not be implemented and effective without individual(s) direct

input.

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