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ch9.pdf
IIIManaging a Needs Assessment
A Practical Guide to Needs Assessment Th ird Edition by Catherine M. Sleezer, Darlene F. Russ-Eft, and Kavita Gupta
Copyright © 2014 by John Wiley & Sons, Inc. All Rights Reserved.
Published by Wiley
231
NINE
PURPOSE
Th is chapter will enable you to accomplish the following:
• Explore the process of contracting a needs assessment.
• Review the purposes of a needs assessment proposal.
• Consider practical tips for writing a needs assessment proposal.
• Use the needs assessment checklist.
• Learn how to use the needs assessment proposal, the in-process
reports, and the fi nal report to manage the needs assessment.
• Learn how to manage needs assessment documents.
RELATED TOOLKIT JOB AIDS
Th e following job aids for use with the material in this chapter are avail-
able in the Needs Assessment Toolkit, which can be found in Section
Four of this book:
• Needs Assessment Checklist
• Needs Assessment Proposal Template
• Needs Assessment Interim Report Template
Writing Proposals and Reports
A Practical Guide to Needs Assessment Th ird Edition by Catherine M. Sleezer, Darlene F. Russ-Eft, and Kavita Gupta
Copyright © 2014 by John Wiley & Sons, Inc. All Rights Reserved.
Published by Wiley
A P R A C T I C A L G U I D E T O N E E D S A S S E S S M E N T , T H I R D E D I T I O N232
OVERVIEW
Managing a needs assessment project begins with the fi rst client meet-
ing and ends when the client accepts the fi nal report. With practical
project-management skills, a needs assessment can be completed effi -
ciently and in a way that builds goodwill among those who participate.
Regardless of which needs assessment approach or model you select,
you should consider how you will contract the needs assessment, man-
age documents, and report progress.
Working on a poorly managed needs assessment feels like fol-
lowing a runaway train. You may not know where the train is
going, but you sure can monitor its progress by following the
billowing steam, hot air, damage, and destruction.
CONTRACTING A NEEDS ASSESSMENT
Contracting is the fi rst and most critical step in the consulting process.
It includes meeting with the client for the fi rst time, writing the pro-
posal, and obtaining the contract. A needs assessment contract is an
agreement for a project that specifi es the desired outcomes or processes,
the timeline, what each party will do, and the budget.
Block (2011) defi ned a consultant as someone who has “some infl u-
ence over an individual, a group, or an organization but has no direct
power to make changes or implement programs” (p. 2). Most analysts,
whether they are hired from outside or work internally in an organiza-
tion, are consultants. Th ey report to a client or decision-maker who has
the authority to address the sensed need.
During their fi rst meeting, the analyst and the client size each other
up. Th ey decide whether they really want to work together, and they
consider the best ways to accomplish the needs assessment. Indeed, this
meeting is like a job interview. Usually, the fi rst meeting between the
analyst and the client centers on the following concerns:
Writing Proposals and Reports 233
• Th e nature of the sensed problem
• Th e context surrounding the problem
• Th e resources that various stakeholders, including the client and
the analyst, bring to the project
• Th e timeframe for the eff ort
Th e client wants to know whether the analyst has a strong work ethic,
a track record of producing the expected results in similar situations, the
competencies required to complete the project, ethical standards, and
the skills to limit the costs by applying effi cient methods. Implementing
an eff ective needs assessment requires many competencies (International
Board of Standards for Training, Performance, and Instruction®, 2005; King, 1998; Rothwell, 1996), including the following:
• Knowledge about the organization or community environment
• Knowledge about performance improvement, management, and
systems thinking
• Skill in consulting, problem-solving, negotiating, and advocating
for change
• Skill in collecting data using such methods as focus groups, inter-
views, observation, surveys, and archival data
• Skill in analyzing qualitative and quantitative data
• Skill in exchanging information in informal oral communications,
in writing, and in presentations
• Ability to collaborate eff ectively with the client and the project
stakeholders
• Knowledge and skills in applying relevant needs assessment theo-
ries and models
• Ability to manage the needs assessment project eff ectively
• Ability to negotiate outcomes that maximize performance and learning
• Knowledge of ethical standards and skills in following these standards
A P R A C T I C A L G U I D E T O N E E D S A S S E S S M E N T , T H I R D E D I T I O N234
Th e analyst wants to know the purpose of the needs assessment.
Royse, Staton-Tindall, Badger, and Webster (2009) noted that the pur-
pose can be crystal clear or somewhat vague. Th ey also suggested asking
questions, such as the ones below, if the expectations for the needs
assessment are unclear:
• Why is the needs assessment being planned at this point in time?
(What is the driving motivation behind the needs assessment? Has
a particular problem or issue arisen that is the catalyst?)
• What is the purpose of the needs assessment?
• Who will use the needs assessment? (Who must be convinced?
What data are needed?)
• How will the needs assessment be used?
• What do we hope to accomplish with the needs assessment?
• When is the report needed? (How much urgency is there?)
(p. 28).
The analyst also must consider whether the needs assessment
is likely to be successful. Key questions that the analyst should
answer before agreeing to implement a needs assessment include the
following:
• Can the project use his or her knowledge, skills, and abilities?
• Does the client seek information for making decisions and taking
action, or is the needs assessment window dressing for decisions
that have already been made?
• Does the decision-maker have the power to take action based on
needs assessment information?
• Do those who have a critical stake in the needs assessment, such as
the decision-makers, customers, or infl uential community mem-
bers, support the project?
Writing Proposals and Reports 235
• What are the expectations of the client and project stakeholders
regarding ongoing communications?
• Do the client and project stakeholders act ethically?
• Are suffi cient resources available to complete the project?
When answers to any of these questions reveal that issues exist,
consider ways to address them before agreeing to conduct the needs
assessment. Some additional potential obstacles and tips for overcoming
them are shown in Figure 9.1.
If possible, avoid conducting a needs assessment when there are
insuffi cient resources, the timeline is too short, the decision-maker lacks
the authority to take action based on the project fi ndings, or unethical
behaviors are promoted. If you cannot avoid the project, check out the
consulting strategies suggested by Block (2011) and McNamara (2005)
for ways to minimize the problems.
Following are some potential needs assessment obstacles (“O”) and their sug- gested solutions (“S”).
O Lack of consensus about goals. S Gain consensus by obtaining the commitment of the decision-maker(s) and
communicating that commitment throughout the organization. S Gain consensus by convening an advisory group consisting of a senior
leader, a mid-level manager, and members of the target group. S Revisit the goals of the organization and ensure that the assessment ties in
with one or more goals.
O Senior management supports the effort, but line managers or supervisors do not.
S Obtain buy-in from a line manager or supervisor who can infl uence other managers.
S Seek the intervention of senior management and make the assessment a priority for middle managers.
F IGURE 9.1 Potential Needs Assessment Obstacles and Tips for Overcoming Th em
A P R A C T I C A L G U I D E T O N E E D S A S S E S S M E N T , T H I R D E D I T I O N236
O Lack of a sponsor with authority. S Seek the support of someone in a higher position. S Create a needs assessment committee comprised of infl uential people who
have a stake in the needs assessment process and results.
O Too much background information to review in a reasonable time. S Revisit the goals of the assessment, establish priorities, and discard infor-
mation that is not relevant to the assessment. S Enlist one or more groups within the organization to summarize the critical
information for you. S Enlist the needs assessment committee to help prioritize and summarize the
critical information. S In a community, contact other social service agencies and fi nd
out whether they previously sponsored a needs assessment on the issue.
O Confl ict about types of data that must be collected. S Revisit the goals of the assessment. S Convene a needs assessment committee, as described earlier, to review the
data-collection plan and resolve the confl icts.
O Bias in favor of a particular instrument. S Show the benefi ts of other instruments.
O Resistance to questioning (such as from middle management or special interest groups).
S Promote awareness about the benefi ts of the assessment through informa- tional meetings.
S Ask senior leaders to intervene and make the needs assessment a priority.
S Explain the needs assessment process and how the results will be used.
O Lack of access to those working night shifts or people assigned to restricted work areas.
S Find alternative personnel. S Obtain special permission to gather data.
F IGURE 9.1 Potential Needs Assessment Obstacles and Tips for Overcoming Th em (continued)
Writing Proposals and Reports 237
O Disagreement among team members about the methods for collecting or analyzing data.
S Seek the opinion of a third party, such as the decision-maker, the needs assessment committee, or a specialized expert (for example, a statistician).
O Lack of willingness on the part of people to change when implementing a new system or technology.
S Create a change readiness program. S Engage leaders as spokespersons indicating the need for the new system or
technology.
O Attitude of “Who has the time to complete another survey?” S Obtain buy-in by having the decision-maker(s) endorse the process. S Explain benefi ts to users. S Share the project timeline, which shows the dates for sharing survey results
and taking actions. S Offer incentives for completing the instrument.
O Lack of buy-in to needs assessment results (especially negative or contro- versial fi ndings).
S Present the positive fi ndings fi rst and emphasize the need to reinforce strengths and address issues.
S Present alternatives to overcome negative or controversial fi ndings. S Present “negative” fi ndings as opportunities for improvement.
F IGURE 9.1 Potential Needs Assessment Obstacles and Tips for Overcoming Th em (continued)
During the fi rst client meeting, the analyst gathers information to
use in drafting a written proposal. For example, the analyst records
When contracting, if your gut feels queasy or the hair on the
back of your neck stands up, consider whether you want to
be involved in the needs assessment and whether the planned
action is really appropriate, and at the same time, check the ethical
guidelines in Chapter Ten.
A P R A C T I C A L G U I D E T O N E E D S A S S E S S M E N T , T H I R D E D I T I O N238
precisely the client’s description of the need, including the words and
phrases that the client uses to describe the context, the stakeholders’
roles, and the problems or opportunities. After the analyst and the
client decide that a written proposal is warranted, the analyst may
request copies of organization documents that are relevant to the proj-
ect, including the mission statement, the strategic plan, marketing
materials, organization charts, annual reports, project descriptions,
and fi nancial information. Th ese documents can provide insights into
the ideas, language, and initiatives that are important in the organiza-
tion. Th e information in the documents that is relative to the needs
assessment can be summarized and included in the proposal.
Th e client and analyst also share expectations regarding how com-
munications and updates will occur during the needs assessment. Our
recommendation is that the process and results of each phase of the
project be shared with the client and appropriate stakeholders as soon
as the phase is complete. Some clients prefer that the information be
shared in person, and some prefer that the information be shared using
a combination of email and phone.
Some clients prefer that the needs assessment be billed at an hourly
rate, while others prefer that the consultant quote a cost for the entire
project in the proposal. In the latter case, the consultant should care-
fully consider specifi cs about what will be required to complete the
project. Toolkit Form 9.1 is a checklist for thinking about the impor-
tant aspects of gathering preliminary data, planning the needs assess-
ment, collecting data, analyzing the information, preparing the report,
and making the presentation. Figure 9.2 lists four of the questions
appearing in the Toolkit form.
To obtain written records that show the correct spellings of
stakeholders’ names and their current titles, exchange business
cards. You can encourage others to share their business cards
by passing out your own card when introducing yourself.
Writing Proposals and Reports 239
THE NEEDS ASSESSMENT PROPOSAL
Th e needs assessment proposal documents the consultant’s insights on
the project’s purpose, phases, processes, expected outcomes, timeline,
and expenses. At the beginning of a needs assessment, the proposal
frames an ambiguous situation to some extent and presents a plan of
action for completing the proposed project. It also establishes the tone
of the project—for example, that the project will be a collaborative
eff ort among the client, the analyst, and the stakeholders—and clarifi es
responsibilities. Figure 9.3 shows a sample needs assessment proposal.
(See Toolkit Form 9.2 for the template.)
After the proposal is drafted, the client and the analyst review it
together to ensure that the analyst has accurately understood the sensed
problem and the context, and that the planned process for completing
the needs assessment is appropriate and achievable.
During the meeting, the analyst revises the initial proposal to refl ect
decisions on how the needs assessment will be implemented. Most mis-
understandings at this point can be negotiated. Th is review may occur
in person, by telephone, or online. Once the proposal is approved by
the client, it may serve as a written contract.
Gather Preliminary Data
1. Have you had preliminary meetings to gather information from your client and other key people?
2. Have you considered the ethical issues that may arise while gathering preliminary data and the ethical standards that can guide your actions?
3. Have you obtained senior management’s perspectives about the goals of the assessment?
4. Have you identifi ed the attitudes of learners and other stakeholders toward the needs assessment and the new program, process system, training, or technology?
F IGURE 9.2 Some Questions from Toolkit Form 9.1: Needs Assessment Checklist
A P R A C T I C A L G U I D E T O N E E D S A S S E S S M E N T , T H I R D E D I T I O N240
Draft Proposal: Needs Assessment for T & J Marine Products
Submitted to: Tom Sloboth Plant Manager T & J Marine Products Street City, State, Zip Phone number/email address
Submitted by: Sally Burns Human Resource Development Consultant Address City, State, Zip Phone number/email address
Date: XX/XX/XXXX
F IGURE 9.3 Draft Needs Assessment Proposal: T & J Marine Products
Version 1
Writing Proposals and Reports 241
Purpose
T & J Marine Products (T & J’s) manufactures and markets products for water sports and pleasure boating. The plant is not meeting its strategic goals of increasing market leadership in two areas: developing new products and imple- menting new product distribution systems. The plant manager believes that a lack of supervisory knowledge and skills contribute to the failure.
The needs assessment will accomplish the following:
1. Determine if, when, where, and how the lack of supervisory knowledge and skills affects workplace performance.
2. Prioritize the supervisory training that is needed to meet the strategic goals.
The needs assessment has fi ve phases. The table on the next page shows each project phase, the purpose of the phase, the process for completing the phase, the expected outcomes, and the projected due date. Upon completion of each phase, the analyst and the plant manager will review an interim report that details the phase’s process and outcomes. They will also review the proposed processes for completing the remainder of the project, especially the next phase. All data collection will be completed on-site; however, all data analysis and report writing will be completed off-site. The analyst will group the data; no individual data will be reported. Note that this needs assessment focuses on knowledge and skill needs. Consequently, if Phase 1 of the project, Gather pre- liminary data about the sensed needs, reveals that a lack of knowledge and skills does not contribute signifi cantly to the performance problem, the needs assess- ment will be redesigned or discontinued.
Staffi ng
Sally Burns, the consultant for this project, is a certifi ed performance technolo- gist. She has worked with many organizations to address their learning and performance needs. She subscribes to the ethical guidelines of ISPI and the Academy of Human Resource Development. She recognizes that training and non-training solutions can contribute to improved performance. She also values participation in the needs assessment by all those who may be affected by the solutions.
Cost
The costs are $150 per hour. The fi rm will reimburse the analyst for such agreed- upon expenses as travel and copying. The fi rm will also provide administrative assistance for scheduling interviews and observations and a work station for the duration of the project. This contract may be renegotiated at any time as needed.
FIGURE 9.3 Draft Needs Assessment Proposal: T & J Marine Products (continued)
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)
243
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Ways to Use the Needs Assessment Proposal
A written needs assessment proposal serves many purposes. As pre-
viously described, it initially frames the project and, once approved,
serves as a written contract for the needs assessment. As such it serves
as the benchmark for interim and fi nal reports and for renegotiating the
needs assessment, if necessary. Th e proposal is not written in stone; it
should be renegotiated as expectations shift. Of course, such renegotia-
tions may aff ect the project’s outcomes, costs, and timeline.
Th e table in the proposal, the Overview of the Needs Assessment,
can be used as a standalone document to prevent project creep or proj-
ect shrink. Project creep occurs when the scope of a project keeps
growing. Project shrink occurs when the scope of the project
keeps getting smaller. To prevent either situation, use the table to guide
the implementation of your needs assessment. Complete the needs
assessment in phases as specifi ed on the table. At the end of each phase,
provide the client an interim report that documents the processes and
outcomes for the phase. Before moving to the next phase, meet with
the client to review the interim report, obtain the approval for the
completed work, and use the Overview of Needs Assessment to con-
fi rm that the expectations for the next phase. As conditions change in
organizations, such reviews can prevent wasted eff orts. When changes
do occur, you and the client can document them using the table, thus
creating a record for the needs assessment.
You also can use the Overview of the Needs Assessment as a visual
map of the project. When meeting with stakeholders, interviewees, and
those who will provide documents or be observed, share a copy of the
Before reviewing the draft proposal with a client, the analyst
can state that changes in the document are expected. Normally,
the client and analyst together identify a few terms or steps
in the process that require clarification. The client’s revisions to
the proposal indicate his or her commitment to the project. When the
draft proposal is revised, be sure to include these edits.
Writing Proposals and Reports 245
table. It enables others to quickly understand the project phases and the
ways in which individual eff orts contribute to the larger needs assess-
ment project.
Finally, the Overview of the Needs Assessment serves as an organizer
for the fi nal report. We describe this nifty use of the table later in the
chapter.
Practical Tips for Writing a Needs Assessment Proposal
Following are some practical tips for writing a needs assessment
proposal:
• Th e cover page should contain the project name, the client’s name
and contact information, the analyst’s name and contact informa-
tion, and the date. If you ever have dug through a pile of papers
on your desk to fi nd important information about a project, you
will realize the importance and convenience of having contact
information on the cover page.
• Check and double-check spellings, especially names, proper
nouns, and organization-specifi c terms.
• Write the proposal in business language. Use organization-specifi c
language and keep to the point. Most needs assessment propos-
als for business are three to six pages, but there are times when
a longer proposal is needed. Typically, proposals for government
agencies are longer, so check with your client about the proposal
format, length, and content.
• In the purpose section, remind the reader why the project is
important and the value of the expected accomplishment.
• Because most problems require both training and non-training
solutions, consider addressing both in the needs assessment pro-
posal. Do so in a way that considers the analyst’s skills and that is
appropriate for the client and the organization. (Note: this often
requires conferring with the client.)
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• Verify budgetary constraints so that recommendations are reason-
able and on target.
• Place the cost section at the end of the document so the client sees
it after he or she understands the way in which the needs assess-
ment is framed and the plans for completing it.
• Document each revision to the needs assessment proposal in writ-
ing, update the version number, and date the document. (Th e
revised document can be referenced if a new client joins the proj-
ect or if any disagreement later arises about the project.)
• Number the pages of the proposal, and staple or bind the proposal
if sending a paper copy.
In business, a proposal that is accepted or approved by the client
usually becomes the contract for the needs assessment. In a government
agency, the contracting offi ce often refers to the proposal in the offi cial
contract. To protect both the client and the analyst, it is usually best
to document the contract in writing. With the contract in place, the
analyst can focus on completing the phases of the needs assessment.
MANAGING NEEDS ASSESSMENT DOCUMENTS
A quick review of Figure 9.3, the draft needs assessment proposal,
reveals that every phase involves collecting, analyzing, and synthesizing
data. Consequently, the number of documents that the analyst uses
and creates can become overwhelming unless they are organized and
well managed, especially in a large needs assessment. To avoid losing
information that is irreplaceable or wasting time thumbing through
documents to fi nd just the right one, analysts create a project manage-
ment system and routinely organize needs assessment information as
it is collected.
Most needs assessment projects include digital documents (such as
electronic reports and fi les) and printed documents (such as company
brochures and business cards), so the project management systems
Writing Proposals and Reports 247
should accommodate both online and printed documents. A project
management system can include a physical folder for each of the fol-
lowing elements:
• Contact information (such as business cards)
• Background information
• Each phase of the project
• Project notes
• Budget and cost information
• Miscellaneous information
• Copies of project documents
An inexpensive fi le box works well for storing such materials: it
keeps everything organized in one place and does not take up much
space in the offi ce. Furthermore, it is portable, so project materials can
be available at meetings.
Th e project management system also usually includes electronic
folders for online documents, such as background materials, reports,
collected data, and analyzed data. Having prearranged locations for all
needs assessment materials and reports and back-up copies of computer
fi les makes it easier to write reports and can save hours of work.
Reports
A needs assessment project typically includes interim reports and a fi nal
report. An interim report documents the purpose, process, outcomes,
and timeline for one phase of the needs assessment. Toolkit Form 9.2 is a
template for an interim needs assessment report. Such reports, which are
reviewed with the client at the completion of each needs assessment phase,
are a key to successfully completing the needs assessment as proposed.
With a government contract, there may be the need for reports that
are produced on a quarterly basis and not necessarily linked to a phase of
the project. Also, check with your client about whether the fi nal report
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can consist of a compilation of the proposal and all the interim reports,
together with a brief introduction or if another format will be needed.
(Alternative forms of reporting can be found in Torres, Preskill, &
Piontek, 2005.)
Each report typically begins with an Executive Summary that briefl y
summarizes the report and is positioned between the report’s cover page
and the other report sections. Th e Executive Summary provides a frame-
work for understanding the larger report. It is especially important that
the Executive Summary be clear and concise and that it contain the
information to support the needs assessment results. Remember that
your audience may read only the executive summary and not the larger
report (Watkins, Meiers, & Visser, 2012). Because of its importance,
the Executive Summary is typically written after the fi nal report has
been completed.
During the needs assessment, the client and other stakeholders
review the interim reports and provide feedback that keeps the needs
assessment project on track. Equally important, the process of review-
ing reports engages stakeholders in the needs assessment, which facili-
tates later implementation of its solutions.
A needs assessment report highlights some aspects of a situa-
tion and minimizes other aspects. Th ink carefully about what
you highlight and minimize!
To quickly draft an interim report, use the Overview of the Needs
Assessment table from the approved proposal. Use your word processing
program to copy and paste the column for the current phase into a new
document. Revise the text to refl ect what actually occurred, add a cover
page, format the document, and add the Overview of Needs Assessment
as an attachment. (See Toolkit Form 9.3 in Section Four of this book.)
Figure 9.4 shows an interim report for Phase 1 of the T & J Marine
Products Needs Assessment.
Writing Proposals and Reports 249
Draft Interim Report Needs Assessment for T & J Marine Products
Phase 1: Gather preliminary data about the sensed needs
Submitted to: Tom Sloboth Plant Manager T & J Marine Products Street City, State, Zip Phone number/email address
Submitted by: Sally Burns Human Resource Development Consultant Address City, State, Zip Phone number/email address
Date: XX/XX/XXXX
F IGURE 9.4 Phase 1 Interim Report for T & J Marine Products
Version 1
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F IGURE 9.4 Phase 1 Interim Report for T & J Marine Products (continued)
Executive Summary
This fi rst phase of the needs assessment gathered preliminary data about the sensed needs. The outcomes of this phase provide the foundation for Phase 2 of the needs assessment. The goals, process, fi ndings, and recommendations for this phase are summarized here.
Goals:
1. Establish goals for the assessment.
2. Determine whether and how the lack of supervisory knowledge and skills affects T & J’s performance.
Process:
The needs assessment process for this phase included the following steps:
1. Review organizational, performance, and industry data.
2. Interview two managers, two supervisors, and the human resource director.
3. Summarize each interview and review the document with the interviewee.
Findings
1. The market for water sports and pleasure boating is changing. To com- pete effectively, T & J must meet its strategic goals.
2. Lack of consistent processes and walking the talk by upper management caused some lack of trust.
3. Interviewees recognized that the boating industry has become more com- petitive, and they wanted more timely information to use in improving their performance.
4. Some interviewees are competent in telling managers what they want to hear rather than in reporting the actual situation.
5. Supervisors need additional knowledge and skills in people management in order to achieve the strategic goals.
6. Non-training needs that should be addressed to improve performance include improving feedback from managers and improving work pro- cesses by eliminating unnecessary process steps.
Recommendations: The Phase 1 results indicate that, for T & J to achieve its strategic goals, the supervisors need additional knowledge and skills in people management. To improve performance most effectively, non-training needs should be addressed at the same time.
Version 1
Writing Proposals and Reports 251
Phase 1: Gather preliminary data about the sensed needs
Goal
The goal of this fi rst phase of the project was twofold:
1. Establish goals for the assessment.
2. Obtain a broad understanding of whether and how the lack of supervisory knowledge and skills affects T & J’s performance and whether the solution should include training. (See Attachment A: Overview of Needs Assessment.)
Process
Completing this phase of the needs assessment involved the following steps:
1. Review organizational, performance, and industry data.
2. Interview two managers, two supervisors, and the human resource devel- opment director .
3. Summarize each interview and review the document with the interviewee.
Step 1: Review organizational, performance, and industry data
To complete this step, the following organizational data were reviewed:
• Strategic plan • Organization chart • Marketing reports for product areas • Product development plan • Product distribution plan • T & J’s culture survey results for 2011 and 2013
The following performance data were reviewed:
• The performance reports for each unit
The following industry data were reviewed:
For the boating industry:
• Boating Industry (magazine) annual statistical review • Recreational Boat Building Industry home page: http://www.rbbi.com
For water sports:
• www.roho.co.uk • www.boothandel.nl • www.nauticfriend.com
F IGURE 9.4 Phase 1 Interim Report for T & J Marine Products (continued)
Version 1
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Step 2: Interview a manager, two supervisors, and the human resource director
The analyst conducted these unstructured interviews between April 6 and April 10. The Interview Guide is in Appendix B. The interviewees were chosen based on their key roles in contributing to the organization’s strategic goals. The ana- lyst began each interview by describing the purpose of the needs assessment, how the interviewee was chosen to participate in the needs assessment, and how information from the interview would be used. Each interviewee was told that information would be grouped for reporting and that only triangulated information (that is, information that was obtained from more than one person or one data-collection method) would be reported. Notes were taken during each interview, and they were also digitally recorded as a back-up.
Step 3: Summarize each interview and review the document with the interviewee
After the analyst summarized the interviews, each interviewee reviewed the text of his or her interview and noted points of clarifi cation. The interviews were revised to refl ect these changes.
Phase 1 Findings
The fi ndings below were obtained from at least two people or by at least two data-collection methods:
1. The market for water sports and pleasure boating is changing. To com- pete effectively, T & J must meet its strategic goals.
2. Lack of consistent processes and walking the talk by upper management caused some lack of trust.
3. Interviewees recognized that the boating industry has become more com- petitive, and they wanted more timely information to use in improving their performance.
4. Some interviewees are competent in telling managers what they want to hear rather than in reporting the actual situation.
5. Supervisors need additional knowledge and people management skills in order to achieve the strategic goals.
6. Non-training needs that should be addressed to improve performance include improving feedback from managers and improving work pro- cesses by eliminating unnecessary process steps.
F IGURE 9.4 Phase 1 Interim Report for T & J Marine Products (continued)
Version 1
Writing Proposals and Reports 253
Recommendations
Summary: For T & J to achieve its strategic goals, the supervisors need addi- tional knowledge and skills in people management. One example is to motivate and communicate with their teams using strategic performance reports. The outcomes of this phase provide the foundation for Phase 2 of the needs assess- ment. To improve performance most effectively, non-training needs should be addressed at the same time.
Attachments
A. Overview of Needs Assessment [Note: This section of the proposal could be inserted here.]
B. Interview Guide [Note that the Strategic Issues Worksheet (Toolkit Form 7.1) would be inserted here.]
F IGURE 9.4 Phase 1 Interim Report for T & J Marine Products (continued)
Most needs assessment projects also require a fi nal report. If you have
been providing interim reports and maintaining contact with the client,
the fi nal report with its fi ndings and recommendations will not come as
a surprise. Below is a list of the sections that are usually found in a formal
report, along with suggestions on how to create the sections effi ciently.
• Executive Summary (typically a page)
• Purpose (Copy and paste this from the proposal.)
• Process (Suggestion: Here’s a nifty use for the proposal’s Overview
of Needs Assessment. Use it to organize this section and follow it
with the executive summaries from the interim reports.)
• Findings (Create this section using all fi ndings from interim
reports. Include pie charts, graphs, and diagrams as appropriate to
highlight key fi ndings.)
• Recommendations (Create this section based on the fi ndings.)
• Appendix, including supporting instruments and data (Attach the
proposal and the interim reports, which should already contain all
supporting instruments and data.)
Version 1
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In-Person Oral Reports and Presentations
In-person oral reports and presentations provide an opportunity for the
client and other stakeholders to ask questions, discuss the fi ndings, and
consider the implications of the needs assessment. In other words, such
reports and presentations provide a forum that enables the needs assess-
ment stakeholders to own the results. Th e focus of discussion during
the fi nal needs assessment meeting is on the needs assessment report,
which documents both the needs assessment process and fi ndings.
Th e following are guidelines for these presentations:
• Report the positives that you found in the situation fi rst. Report
your fi ndings about potential improvements honestly and in a way
that respects all the stakeholders. Identify problem areas cited by
multiple sources, and recommend one or more feasible actions.
• Tailor the presentation style to the culture of the organization
and to the decision-makers’ preferences. Today, many oral pre-
sentations rely on PowerPoint slides, but check with the client
before preparing the presentation. Avoid the mistake made by the
consultant who presented a group of decision-makers in a fast-
paced organization with a fi fty-page report. Th at consultant, after
spending many hours writing the report, was disappointed when
nobody read it.
• Estimate the return on investment (ROI) for the proposed recom-
mendations, when appropriate. Some people are uncomfortable
forecasting the value of needs assessment recommendations by
estimating ROI. However, as Tobey (2005) pointed out, estimates
such as these are used every time people predict the future in busi-
ness and, moreover, such estimates are useful because they are
made by the people who are experts in a particular aspect of the
business. Before using the ROI calculation, confi rm with the client
and key stakeholders that the estimate is reasonable.
Additional information on how to calculate and use cost-benefi t
analysis can be found in Chapter Two. Also, you can fi nd additional
Writing Proposals and Reports 255
information and examples of ROI calculations in Kaminski and Lopes
(2009) and Phillips (2003).
• Structure the meeting to move from the known and easy to the
unknown and more diffi cult. Use the needs assessment proposal
to remind everyone about the situation at the start of the needs
assessment.
• Recognize that some people may want to edit the report. If their
edits are fi tting, accept them. If their edits are problematic, you may
need to explain why you did not include the ideas in your report.
• Support your recommendations with citations from authorities in
the fi eld and your knowledge of industry best practices.
Hale (2005) pointed out that performance improvement pro-
fessionals often cram their language and models into the cli-
ents’ head. While as experts we need to know the professional
ideas, language, and models, Hale advised that when we work with
clients we should avoid using our jargon and as much as possible talk
to clients in their own language.
CONCLUSION
Managing the needs assessment process is essential to completing the
project eff ectively and in a timely manner. Most needs assessments are
not implemented exactly as they are proposed and must be modifi ed.
For example, an interviewee may be on vacation during the time for
data collection or a new decision-maker may join the project and wish
to make changes. Manage the needs assessment process to allow for
fl exibility, stakeholder input, and progress, and thus increase the prob-
ability that the client will use the needs assessment fi ndings. Th e next
chapter focuses on ethics, which can also infl uence how needs assess-
ment projects are conducted and how fi ndings are used.
