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A Practical Guide to Needs Assessment, Third Edition by Catherine M. Sleezer, Darlene F. Russ-Eft and Kavita Gupta

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Toolkit Form

2.1 Tools and Strategies for Assessing Systems

Directions: Review the first column and identify the type of system pattern for your situation. Then consider the various assessment strategies and tools for that pattern that are listed in the second column.

2.2 Advances Over Time in Our Knowledge About Learning, Training, and Performance

To prepare for a planning meeting with a client, skim the material in the following table, which summarizes various ideas about learning, training, and performance in the workplace. Such ideas inform instruction, organization development, and performance improvement practices. While the table is not exhaustive, it highlights some key ideas and shows when they initially affected organizations.

As you skim the table, notice how our understandings of learning, training, and performance changed over time and were influenced by technological advances and other historic events.

Spend some extra time on the jargon, which is italicized, so that you are prepared in case the client uses one of these terms. Consider using the additional resources for this tool that are in the References section of the book or searching the Internet to further explore the specific ideas that might be relevant for your upcoming needs assessment.

Because learning and training are so closely related, they are grouped together in the table. Learning focuses on the acquisition of knowledge and skills; training focuses on the presentation of knowledge and skill

Types of System Patterns

Assessment Strategies and Tools

Visible patterns that are easily measured

Identify the visible patterns using such complexity metaphors as the butterfly effect and edge of chaos.

Distinguish among linear, nonlinear, and random; systemic and nonsystemic patterns.

Use mathematical models (such as the Balanced Scorecard) to track mutually causal factors.

Use the 15 percent concept. Gareth Morgan (2006) states that in a work situation, a person has only about 15 percent control, because 85 percent of the control is shaped by the structures, systems, events, and culture in which they operate. The same is true for organizations. Morgan recommends not trying to change the 85 percent that is out of control, but instead knowing where the influence lies and where it can be exercised.

Patterns that are only partially visible or invisible, but easily measured

Become knowledgeable about the focus issue from the literature and practice, so you know where and how to look for these patterns.

Describe or model the subtle relationships and structures that shape human system dynamics.

Influence the self-organizing process in human systems by shifting components that are visible and that influence the nonlinear dynamics.

Use mathematical tools to represent the subtle, nonlinear dynamics of a human system.

Diagram a network by using network analysis as described in Linked: The New Science of Networks by Barabasi (2002). Software can be used to diagram networks.

Use social network analysis tools to map and mea- sure the informal relationships between people. These tools can reveal key value creators and informal knowledge communities that drive performance.

Patterns that are invisible and not easily measured

Use facilitated individual and group reflections to identify nonlinear dynamics.

Use mathematical models (such as data mining, computer simulation, and artificial intelligence) to make visible the emerging patterns that are deeply embedded in the phenomena.

Note: The information in this table was adapted from Eoyang, G. (2004). Practitioner's landscape. Emergence: Complexity & Organization, 6(1, 2), 55–60.

Stone Age Through Industrial Revolution

Stone Age 500 BC to 500 AD 300 to 1300 (Middle Ages)

1400 to 1700 (The Renaissance)

1760-1850 Industrial Revolution

Technological Advances and Historical Events

People began amassing knowledge and developing tools.

Survival depended on hunting, collecting, and farming.

The Greek and Roman influence included law and philosophy.

The first universities were established in the Arab world.

During feudal times in Europe, communities formed around the lord or master. Children were apprenticed to craftsmen to learn specialized skills.

Merchant guilds and craft guilds provided mutual protection.

The printing press was invented, and books were written in a language that people could understand.

Scientific inquiry was important.

New manufacturing processes were introduced that relied on machines rather than hand production.

The factory system of work was introduced.

Performance Tools were developed.

Merchant guilds and craft guilds controlled the quality of work.

The following economic concepts were introduced:

Workers were paid based

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on their production.

Division of labor where workers focused on specific sub-tasks and became skilled and proficient on them.

Learning/Training Technical skills were passed from generation to generation.

Skills such as agriculture and construction were taught through on-the- job training (OJT) and apprenticeships.

Education, logic, and reasoning were valued.

Merchant and craft guilds controlled the transmission of technical expertise.

The following learning concepts were introduced:

The teacher arranges the learning environment and stimulates students to think

True learning is an active process.

Scholasticism dominated teaching. This method relies on debate, discussion, and inferences to resolve contradictions.

The scientific method required observing and describing phenomena, hypothesizing an explanation of the phenomena, and using experiments to test the hypotheses.

Classrooms were created within factories.

Vestibule training was introduced that combines OJT and classroom training. In vestibule training, classrooms are located close to the job site. In addition, training simulates the workplace and uses the same machines that are used on the job.

1900s to 1940s

1950s to 1900s

2000s

1900s

1910s (World War I) 1920s 1930s

1940s (World War II) 1950s 1960s 1970s 1980s

Technological Advances and Historical Events

Advances in the science of psychology and management occurred.

Increased industry production to support the war effort.

Radio and movies with sound and color were developed.

The Great Depression affected employment worldwide.

Television became available.

The microchip was invented.

Sputnik was launched.

Men returning from WWII replaced women in the workplace.

Most American men worked in blue-collar or agriculture jobs; women worked in the home.

The first moon walk took place.

China's Cultural Revolution was launched.

The precursor to the Internet and the Knowledge Industry, Arpanet, was developed.

Work shifted from traditional industries to industries that used computer information.

Space Shuttle Challenger exploded.

Personal computers were introduced.

Microcomputers were used in instruction.

Performance Scientific management was introduced,

Mahatma Gandhi began his nonviolent

Studies of workforce productivity were

General systems theory: A way to think about

The motivation- hygiene theory

Theory X (managers view employees

Organization development grew in popularity.

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relying on observing and studying tasks as the basis for optimizing work processes.

Binet-Simon test was introduced to measure intelligence of children.

resistance movement against British rule.

popular.

The U.S. government used computers for the census counts and military strategy.

entities that are composed of nested and interconnected parts (e.g., teams, organizations, training programs, etc.).

Action research: a problem- solving approach that involves using a systematic process to investigate and resolve an issue. Those who affect and are affected by the issue participate in the process.

Seminal research on overcoming resistance to organizational change involved people in the changes that affected them.

Sociotechnical systems theory: identifies the interactions of social and technical factors create the conditions for successful (and unsuccessful) job performance.

Critical incident technique was developed to identify effective and ineffective work behaviors.

identified workplace factors that satisfy employees and those that dissatisfy employees.

Work life quality and productivity were studied.

Modern management practices were introduced.

Total quality management (TQM), which emphasizes process measurement and continuous improvement, was adopted in many countries.

Techniques of using surveys for organizational diagnosis were developed.

as lazy) and Theory Y (managers view employees as self- motivated) were introduced.

Expectancy theory proposed that people select behaviors based on the value of the rewards and their beliefs that the behaviors will lead to performance and the performance will lead to the rewards.

The managerial grid model was introduced identifying leadership styles based on concern for production and people.

The growth of career counseling in the workplace reflected the insight that work should have meaning.

The International Board of Standards for Training, Performance, and Instruction (ibstpi®) was established to offer research- based competencies for such roles as instructor, online learner, instructional designer, evaluator, and training manager.

The idea of engineering human competence was introduced.

Learning/Training Classical conditioning examined the learning process that occurs through association.

The Four- Step Job Instruction Training Method (JIT) was developed that relies on (1) show, (2) tell, (3) do,

Advances were made in behaviorism, a school of psychology that focused on observable behaviors and how to

Behaviorism continued as a dominant theory in psychology.

Programmed instruction: Learners advance at their own rate, test their answers, and advance to new content based on correct

Research was published on the Hawthorne Effect, which recognizes that people who know they are being studied

Instructional objectives focused on the learners' desired performance at the end of instruction, rather than the learning process.

The ADDIE (analyze, design, develop, implement, and evaluate) model of instructional systems design was introduced.

Electronic performance support systems (EPSS) were developed comprised of computer-based tools that provide support for performing

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4.1 Knowledge and Skills Assessment Interview Guide

and (4) check.

manipulate them by changing the environment.

answers.

The U.S. military relied on training and testing. To support the war effort, the U.S. military funded Training Within Industry (TWI).

Instructional systems design (ISD), the systematic process of creating instruction, originated.

Audiovisual technology was introduced into the classroom.

Sensitivity training, or T- groups involved participants reflecting on their group experience using human behavior theories and group feedback.

The hierarchy of needs was introduced that defines needs as internal forces that produce tension, which the person is motivated to satisfy and thus reduce the tension.

modify their behaviors.

Bloom's Taxonomy classified learning objectives using three domains: psychomotor, cognitive, and affective.

The Four Level Evaluation Model for training was introduced:

Level 1: Reaction,

Level 2: Learning,

Level 3: Behavior,

Level 4: Results

Instructional system: A process for training an individual to achieve specific instructional goals.

Implicit learning occurs incidentally without the individual's awareness. Knowledge, such as riding a bike or playing soccer, is possessed by an individual, but hard to communicate using words and symbols.

Criterion— referenced tests assess learners on their performance, without comparison to others. Norm- referenced tests compare learners' performance on the test.

The introduction of learning domains, instructional events, and hierarchal analysis.

Andragogy identifies the principles and steps for planning learning experiences for adult learners.

Behavioral modeling involves demonstrating the desired behaviors to learners who are guided as they imitate the behaviors.

Performance needs were differentiated based on whether they could be addressed by training or non-training solutions.

The single- loop and double-loop learning models were identified. Single-loop involves repeating a pattern, and double-loop involves changing the goal or the strategy.

work (e.g., job aids, information, tools, software tutorials, job coaching, and so forth).

Experiential learning developed that focuses on acquiring knowledge and skills from experiences that are gained in or outside of a classroom.

Name:____________ Date:____________

Interviewer:____________ Interviewee:____________

General Questions

1. Why do you think training is needed?

____________________________________________

2. Describe specific instances of how workplace productivity has been affected by lack of knowledge and skills.

____________________________________________

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____________________________________________

3. Give specific examples of how shortfalls in performance have affected unit goals, overall organization goals, or customer-satisfaction indices. (Add other indicators that are specific to your organization).

____________________________________________

4. What other factors (internal or external) do you think are causing performance problems?

____________________________________________

Questions for Client Contact

5. What are the goals of the assessment?

____________________________________________

6. What resources (monetary and nonmonetary) will be available for conducting the assessment?

____________________________________________

7. Whose approval must be obtained in order to proceed with the assessment?

____________________________________________

8. Which groups must buy in to the concept?

____________________________________________

9. What are the most convenient times for collecting data?

____________________________________________

10. What is the projected timeline for implementing the solutions?

____________________________________________

11. List characteristics of the target audience, such as age, educational level, learning styles, attitudes toward learning, and computer literacy.

____________________________________________

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4.2 Skills Assessment Survey

The Human Resources Department is conducting a survey of the job requirements of all [name of job function] at [name of company]. The information collected will be used to prepare a training plan for all [name of job function]. Your input is vital for ensuring the success of this initiative.

Instructions: This survey should take approximately fifteen to twenty minutes to complete. For each of the following items, please circle the appropriate rating. For items that are not applicable, circle "N.A." Please be candid in your responses.

Key:

1 = Very low 2 = Low 3 = Medium 4 = High 5 = Very high N.A. = Not applicable

Current Level of Proficiency

[Enter skills here]

Example:

1. Obtain product information from customer

1 2 3 4 5 N.A.

[Add questions of your own]

Interpretation of Scores

All items that receive a rating of "3" or below indicate a need for training. The assumption is that the desired rating is "4" or above.

____________________________________________

12. What is the approximate size of the target audience by position, geographic location, and so forth?

____________________________________________

13. Has the target audience received prior training in this area? If so, what type of training?

____________________________________________

14. What are the prerequisites for the program or programs?

____________________________________________

15. Will certification be required?

____________________________________________

16. Who are the internal and external customers of the target audience?

____________________________________________

Name:_____________ Date:_____________

Position/Title:_____________ Unit:_____________

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To ensure accuracy of responses, because there is a possibility that ratings may be inflated, do the following:

n Conduct follow-up interviews with unit managers to corroborate information obtained from surveys.

n Consider sending anonymous surveys. (The major disadvantage of this method is that individualized training needs cannot be identified.)

4.3 Customer-Service Knowledge and Skills Assessment Survey

The Training Department is conducting a customer-service training needs assessment at [name of company]. The information collected will be used to prepare a training plan for all customer-service personnel. Your input is vital for ensuring the success of this initiative.

Instructions: This questionnaire will take approximately fifteen minutes to complete. Please be candid when responding to the questions.

1. What are the five main responsibilities of your job? List the approximate percentage of time you spend on each job responsibility.

____________________________________________

2. What knowledge and skills do you require to be successful in your job?

____________________________________________

3. What are the critical success factors for effective performance in your job?

____________________________________________

4. What are the main barriers to your success?

____________________________________________

5. What are the most difficult aspects of your job?

____________________________________________

6. What should the training priorities for your job function be?

____________________________________________

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____________________________________________

7. What prior customer-service training have you received? List all training received, including in previous jobs.

____________________________________________

8. What are your preferred learning styles (self-paced, computer-based, classroom)? Describe any others.

____________________________________________

Note: The following portion of the questionnaire can also be distributed to supervisors and other internal or external customers if the instructions are modified.

9. Please complete the following self-assessment, using the following scale:

1 = Very Poor 2 = Poor 3 = Average 4 = Good 5 = Excellent N.A.= Not Applicable

The Training Department is conducting a company-wide training needs assessment at [name of company]. The information collected will be used to prepare a training plan for all [name of job function] personnel. Your input is vital for ensuring the success of this initiative.

Instructions: This questionnaire will take approximately twenty minutes to complete. Please be candid when responding to the questions.

1. What are the five main responsibilities of your job? List the approximate percentage of time you spend on each job responsibility.

2. What knowledge and skills do you require to be successful in your job?

____________________________________________

a . Knowledge of customer-service standards 1 2 3 4 5 N.A.

b. Knowledge of customer-service phone etiquette 1 2 3 4 5 N.A.

c. Knowledge of products 1 2 3 4 5 N.A.

d. Knowledge of product rules and regulations 1 2 3 4 5 N.A.

e . Ability to handle customer-service calls 1 2 3 4 5 N.A.

f. Ability to respond promptly to requests 1 2 3 4 5 N.A.

g. Ability to handle customer complaints 1 2 3 4 5 N.A.

h. Ability to solve problems quickly 1 2 3 4 5 N.A.

i. Ability to make decisions quickly 1 2 3 4 5 N.A.

j. Ability to negotiate 1 2 3 4 5 N.A.

k. Ability to listen carefully 1 2 3 4 5 N.A.

l. Ability to manage stress 1 2 3 4 5 N.A.

[Add questions of your own.]

Name:__________ Date:__________

Position/Title:__________ Unit:__________

Responsibility Percentage of Time Spent

__________________________ __________________________

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____________________________________________

3. What are the critical success factors for your effective performance?

____________________________________________

4. What are the main barriers to your success?

____________________________________________

5. What are the most difficult aspects of your job?

____________________________________________

6. What should the training priorities for your job function be?

____________________________________________

7. What prior management training have you received? List all such training received, including in previous jobs.

____________________________________________

8. What are your preferred learning styles (self-paced, computer-based, classroom)? Describe any others.

____________________________________________

Instructions: This survey will take only a short time to complete. Please rate your [managers/subordinates] on the following items, using the key below. Please be candid when responding. Circle your choices.

Name:________ Date:________

Position/Title:________ Unit:________

Key: 1 = Strongly Disagree 2 = Disagree 3 = Somewhat Agree 4 = Agree 5 = Strongly Agree N.A. = Not Applicable

Leadership

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1. They are visionaries. 1 2 3 4 5 N.A.

2. They serve as mentors. 1 2 3 4 5 N.A.

3. They encourage teamwork. 1 2 3 4 5 N.A.

4. They treat employees fairly. 1 2 3 4 5 N.A.

5. They treat employees with respect. 1 2 3 4 5 N.A.

6. They project a positive view of the organization to customers. 1 2 3 4 5 N.A.

Communication

7. They clearly communicate what is expected of me. 1 2 3 4 5 N.A.

8. They clearly communicate what is expected of my coworkers. 1 2 3 4 5 N.A.

9. They keep me informed about critical business issues that may have an impact on my job. 1 2 3 4 5 N.A.

10. They keep me updated about the unit's accomplishments. 1 2 3 4 5 N.A.

11. They make effective presentations to others. 1 2 3 4 5 N.A.

12. They establish clear channels of communication between group members. 1 2 3 4 5 N.A.

13. They establish clear channels of communication between this unit and other units. 1 2 3 4 5 N.A.

Performance Management

14. They are genuinely concerned about my job performance. 1 2 3 4 5 N.A.

15. They provide employees with challenging tasks. 1 2 3 4 5 N.A.

16. They provide opportunities for professional growth and development. 1 2 3 4 5 N.A.

17. They conduct effective performance appraisal meetings. 1 2 3 4 5 N.A.

18. They resolve conflicts effectively. 1 2 3 4 5 N.A.

19. They provide feedback at the appropriate time. 1 2 3 4 5 N.A.

Project Management

20. They delegate tasks according to the appropriate skill level of the group members. 1 2 3 4 5 N.A.

21. They effectively forecast the workload of the group. 1 2 3 4 5 N.A.

22. They plan effectively. 1 2 3 4 5 N.A.

23. They take appropriate corrective action when necessary. 1 2 3 4 5 N.A.

Customer Service

24. They understand the needs of our customers. 1 2 3 4 5 N.A.

25. They are responsive to the needs of customers. 1 2 3 4 5 N.A.

26. They continually seek ways to improve customer service. 1 2 3 4 5 N.A.

27. They are aware of industry standards for customer service. 1 2 3 4 5 N.A.

Sales

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4.5 Knowledge and Skills Assessment Curriculum Plan

28. They demonstrate effective negotiation skills. 1 2 3 4 5 N.A.

29. They proactively identify sales opportunities. 1 2 3 4 5 N.A.

30. They forge strong relationships with customers. 1 2 3 4 5 N.A.

Core Curriculum

Year 1 Year 2 Year 3

Sales Executive

Sales Manager

Sales Associate

Advanced Curriculum

Year 1 Year 2 Year 3

Sales Executive

Sales Manager

Sales Associate

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5.1 Job Analysis Questionnaire

Purpose: The purpose of this questionnaire is to gather information about your job.

Directions: Answer all the questions. Return the survey to [name/departmentl by [date].

Name:_____________________

Sample Questions:

1. List all your major responsibilities. Then prioritize each item by assigning a number to it. For example, assign "1" to the responsibility you consider most important.

____________________________________________

2. Why are these responsibilities important to your job?

____________________________________________

3. What equipment and tools do you use in your job?

____________________________________________

4. Describe some specific duties or tasks you perform in your job that are related to your major responsibilities. List the responsibilities you mentioned previously. After you indicate the specific duty or task, please state how often you perform this duty or task.

____________________________________________

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____________________________________________

5. What knowledge do you require to perform your job successfully?

____________________________________________

6. What qualities are necessary to make you successful in your job?

____________________________________________

7. What prior knowledge, skills and abilities, or attitudes did you bring to your position that helped to make you successful in your job?

____________________________________________

8. List any courses, workshops, or training programs you attended in the past that you feel have helped you succeed in your job.

____________________________________________

9. Describe any other contributing factors you feel have made you successful in your job.

____________________________________________

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____________________________________________

5.2 Job Training and Non-Training Recommendations (Professional/Supervisory/Management)

Job Title (Professional/Supervisory/Management):

Department:

Location:

Job Responsibility 1 _________________________________________________________________________________________

1. Job Task:_____________________________________________________________________________

2. Job Task:_____________________________________________________________________________

3. Job Task:_____________________________________________________________________________

4. Job Task:_____________________________________________________________________________

5. Job Task:_____________________________________________________________________________

Competencies:____________________________________________________________________________________________

Training Requirements:____________________________________________________________________________________

Non-Training Requirements:________________________________________________________________________________

Job Responsibility 2 _________________________________________________________________________________________