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CHAPTER 3
Needs Assessment
This chapter provides a thorough treatment of the needs assessment process, which is a critical first step in designing and revising training courses and other learning activities. Without a proper needs assessment, training may not target the appropriate content, and the right individuals may not be identified for training. To help ensure that training is appropriately focused, it is important that a thorough needs assessment be conducted. Toward this end, this chapter addresses the needs assessment process from multiple perspectives and describes a variety of methods that can be utilized to conduct a needs assessment. This chapter highlights that assessing training needs is more complex than might be typically assumed and addresses the most important factors to consider in this fundamental step of the training design process.
OBJECTIVES
1. Discuss the role of organization analysis, person analysis, and task analysis in needs assessment.
2. Identify different methods used in needs assessment and identify the advantages and disadvantages of each method.
3. Discuss the concerns of upper-level and mid-level managers and trainers in needs assessment.
4. Explain how person characteristics, input, output, consequences, and feedback influence performance and learning.
5. Create conditions to ensure that employees are receptive to training.
6. Discuss the steps involved in conducting a task analysis.
7. Analyze task analysis data to determine the tasks in which people need to be trained.
8. Explain competency models and the process used to develop them.
INTRODUCTION
Needs assessment refers to the process of determining learning needs and opportunities and determining whether training is necessary. Needs assessment involves organizational analysis, person analysis, and task analysis. This multi-level perspective helps to guarantee that different perspectives are taken into account during the assessment process.
· Organization analysis involves determining the appropriateness of training for the organization overall, given its strategy, resources, and support for training.
· Person analysis involves determining whether performance deficiencies result from lack of ability or from a motivational or work-design problem. It also involves determining who needs training and employee readiness for training.
· Task analysis identifies the important tasks, knowledge, skills, and behaviors that need to be addressed in training.
WHY IS NEEDS ASSESSMENT NECESSARY?
If needs assessment is not properly conducted, the following situations could occur.
· Training may be incorrectly used as a solution to a performance problem.
· Training programs may have the wrong content, objectives, or methods.
· Trainees may be sent to training programs for which they do not have the basic skills, prerequisite skills, or confidence to learn.
· Training will not deliver the expected learning, behavior change, or financial results.
· Money will be spent on training programs that are unnecessary because they are unrelated to the company’s business strategy.
There are many pressure points that might suggest that training is necessary. Examples of such pressure points include:
· legislation
· lack of basic skills
· poor performance
· new technology
· customer requests
· customer dissatisfaction
· new products and innovations
· higher performance standards
Pressure points do not automatically mean that training is the correct solution. Depending on the specific circumstances, employee selection, better on-the-job supervision, or job redesign might be a better solution.
It is important to consider the outcomes of needs assessment, which set the stage for the remaining steps of the training design process. Knowledge of outcomes will help ensure that the most appropriate data are collected during the needs assessment process. Examples of outcomes include:
· what trainees need to learn
· who receives training
· type of training needed
· frequency of training
· buy versus build training decision
· other HRM solutions
WHO SHOULD PARTICIPATE IN NEEDS ASSESSMENT?
Because the goal of needs assessment is to determine whether a training need exists, it is important that all relevant stakeholders be involved. Stakeholders include those who have an interest in training and whose support is important for determining its success.
Key stakeholders include company leaders, mid-level managers, trainers, and employees.
· Company leaders want to anticipate training needs, align them with business strategy, and ensure that learning efforts are integrated in a way that adds value to the company.
· Mid-level managers are more concerned with how training might affect the attainment of financial goals for their particular units. They must determine how much of their budget will be devoted for training, the types of employees who should receive training, and what jobs should be the focus of training.
· Trainers need to consider whether training is aligned with business strategy, whether training should be purchased or developed in-house, what content should be the focus of training, what training methods employees find preferable, and the degree of management support for training.
· Employees should diagnose their own learning needs for their current job and future employment prospects. Employees should also consider their motivation to learn.
Subject matter experts (SMEs) should also be consulted in the needs assessment process. SMEs have expertise knowledge about the training issue at hand. SMEs could include a variety of individuals such as employees, managers, technical experts, suppliers, and academics who are knowledgeable. SMEs could lend their expertise regarding:
· training issues, including the tasks to be performed
· knowledge, skills, and abilities required to perform tasks effectively
· the necessary equipment
· conditions under which tasks will have to be performed
METHODS USED IN NEEDS ASSESSMENT
Various methods may be used to collect information. No one method is necessarily superior to another. There are strengths and limitations of each, and each may be more relevant in some contexts than others.
Observation
Advantages: relevant data; minimizes interruption of work
Disadvantages: requires skill in observation; employee behavior may be affected by being observed
Survey
Advantages: inexpensive; can collect data from a large number of individuals; data easily summarized
Disadvantages: requires time; potentially low response rates; may lack detail; only provides information directly related to questions asked
Interview
Advantages: good at uncovering detail; can explore unexpected issues; questions can be modified
Disadvantages: time-consuming; difficult to analyze; needs skilled interviewers; can be threatening to SMEs; difficult to schedule; SMEs provide only such information they think you want to hear
Focus groups and crowdsourcing
Advantages: useful for complex or controversial issues; can explore unexpected issues; reduces risk that training based on needs assessment will be rejected by stakeholders
Disadvantages: time consuming to organize; group members provide only information they think you want to hear
Documentation
Advantages: good source of information; objective; good source of task information for new jobs and jobs in the process of being created
Disadvantages: may be difficult to understand; potentially obsolete
Technology
Advantages: objective; minimizes work interruption; limited human involvement
Disadvantages: may threaten employees; managers may use data to punish versus train
Historical Data Review
Advantages: provides data related to performance and practices
Disadvantages: data may be inaccurate, incomplete, or not fully reflective of performance
Many companies are also using information about other companies’ training practices (benchmarking) to help determine the appropriate type, level, and frequency of training.
THE NEEDS ASSESSMENT PROCESS
Companies need to consider information from organizational, person, and task analyses before the decision is made to devote time, money, and resources to training.
Organizational Analysis
Organizational analysis focuses on three factors to examine to determine if training is the appropriate solution:
1. the company’s strategic direction
2. support of managers, peers, and employees for training
3. training resources
The company’s strategic direction influences what competencies are required to help the company achieve its goals and objectives and the role of training in helping to develop human capital.
Training resources—including money, time and expertise—need to be identified in the organizational analysis phase. One of the key questions that needs to be answered is whether the organization should develop training itself or whether it should buy training from an outside consultant or vendor. This is known as the “buy versus build” decision.
Person Analysis
Person analysis focuses on identifying whether there is evidence that training is the solution, who needs training, and whether employees have the prerequisite skills, attitudes, and beliefs needed to ensure that they master the content of training programs. Because performance problems are one of the major reasons that companies consider training for employees, it is important to investigate how personal characteristics, input, output, consequences, and feedback relate to performance and learning.
A gap analysis includes determining what is responsible for the difference between employees’ current and expected performance. The need for training may result from the pressure points discussed beforehand.
Person analysis also helps determining employees’ readiness for training. Readiness for training refers to whether (1) employees have the personal characteristics necessary to learn program content and apply it on the job, and (2) the work environment will facilitate learning and not interfere with performance.
The Process for Person Analysis
Person analysis involves obtaining information on person characteristics, inputs, outputs, consequences, and feedback.
Person Characteristics
Person characteristics refer to employee knowledge skills, ability, and attitudes.
Basic skills are those necessary for employees to perform successfully on the job and learn the content of training programs. A literacy audit can be used to indicate employees’ basic skill levels.
Cognitive ability relates to intellectual capacity and general intelligence. Cognitive ability includes verbal comprehension, quantitative ability, and reasoning ability. A number of standardized tests are available to assess cognitive ability. Assessing cognitive ability is particularly important because it is one of the strongest determinants of training success.
Reading ability is important to consider because training materials should be properly aligned. As such, material used in training should be evaluated to ensure that its reading level does not exceed that required by the job and trainees’ abilities. If trainees’ reading ability is low, other training methods could be employed, employees could be reassigned to different positions, or remedial training could be provided.
Self-efficacy relates to employees’ beliefs that they can master training content and perform on the job. Self-efficacy can be improved by: 1) letting employees know that the purpose of the training is to improve performance rather than reveal incompetence; 2) providing as much information as possible about the training program and its purpose prior to the training; 3) explaining to employees the training successes of their peers; and 4) emphasizing to employees that learning is under their control and that they have the ability to overcome obstacles.
Awareness of training needs, career interests, and goals helps employees be motivated to learn. The link between training and areas where employees need to improve should be emphasized.
Age and generation should be considered for a number of reasons. There is biological evidence that certain mental capacities decrease from age twenty to age seventy. At older ages, memory loss is much greater because mental resources are more depleted. However, with age comes experience, which can compensate.
Regarding generational differences, each generation may have specific preferences for the arrangement of the learning environment, type of instruction, and learning activities. For example, traditionalists prefer a stable, orderly training environment and expect the instructor to provide expertise. However, Gen Xers prefer more of a self-directed training environment in which they can experiment and receive feedback.
Inputs
Inputs relate to resources employees need to help them learn. Inputs regarding two aspects of the work environment—situational constraints and social support—are important determinants of motivation to learn and performance. Situational constraints include lacking the necessary tools and equipment, materials and supplies, budgetary support, and time to perform. Social support refers to managers’ and peers’ willingness to provide feedback and reinforcement. If employees have the knowledge, skills, attitudes, and behavior needed to perform but do not have the proper resources and support, their performance will suffer.
To ensure that the work environment supports trainees’ motivation to learn:
· Provide materials, time, information, and work aids necessary for employees to use new skills before the training begins.
· Speak positively about the company’s training initiatives to employees.
· Reinforce employees using new skills, knowledge or behaviors.
· Provide feedback to encourage employees to support each other in using new skills.
· Provide the time and opportunities to practice and apply new skills and behaviors.
Outputs
Outputs refer to a job’s performance outcomes. Therefore, it is important to assess employees’ perceptions of their performance expectations. Lack of awareness of performance standards may result in substandard performance. Understanding the need to perform up to standards is important for learning to occur. To ensure that trainees master training content at the appropriate level, trainees need to understand the level of proficiency that is expected.
Consequences
Consequences refer to the type of rewards that employees receive for performing well. If employees do not believe rewards or incentives are adequate, they may not be motivated to perform. Furthermore, workgroup norms may encourage employees not to meet standards. Trainees’ motivation to learn can be enhanced by communicating to them the job, personal, and career benefits of learning.
Feedback
Feedback refers to the information that employees received. Employees need specific, detailed feedback regarding performance. Feedback also needs to be frequent to influence performance.
Determining Whether Training Is the Best Solution
A root cause analysis is often used to determining whether training is the best solution. A root cause analysis refers to the process of determining whether training is the best or most likely solution to a performance problem or gap. Managers need to ask themselves the following questions:
· Is the performance problem important and potentially costly if not addressed?
· Do employees know how to perform effectively?
· Can employees demonstrate the correct knowledge or behavior?
· Were performance expectations clear?
· Were positive consequences offered for good performance?
· Did employees receive appropriate feedback?
· Were other solutions too expensive or unrealistic?
Task Analysis
Task analysis results in a description of the tasks to be performed on the job and the knowledge, skills and abilities required to perform those tasks. A job is a specific work position involving the completion of a defined set of related tasks. A task is a specific work activity that is a component of a job. A task analysis should be undertaken only after the organization has determined that it will devote time and energy toward training.
To complete a task, employees must possess the necessary knowledge, skill, ability, and other requirements (KSAOs)
· Knowledge includes facts, figures, and procedures.
· Skill is the competency to perform a task.
· Ability refers to the physical and mental capacities required to perform a task.
· Other considerations include conditions under which tasks are performed, such as necessary equipment, time constraints, safety considerations, or performance standards.
There are four primary steps to a task analysis:
· Select the job(s) to be analyzed.
· Develop a preliminary list of tasks to be analyzed by interviewing others or through observation.
· Validate the list of tasks with SMEs to determine how frequently the task is performed, how important it is, and its difficulty.
· After the most important tasks have been identified, identify the most important KSAOs.
COMPETENCY MODELS
A competency model identifies the competencies necessary for a given job. Competency models provide descriptions of competencies that are common for an entire occupation, organization, job family, or specific job. Competency models can be used for performance management. However, one of the strengths of competency models is that they are useful for a variety of human resource (HR) practices, including recruiting, selection, training, and development.
Competency models typically include the name of each competency, the behaviors that represent proficiency in the competency, and levels that include descriptions representing demonstrated levels of mastery or proficiency.
The process used in developing a competency model includes five steps:
· Identify business strategy and goals.
· Identify jobs, positions, or job families.
· Conduct interviews and focus groups with top performers.
· Develop competencies and the competency model.
· Validate and review the model.
Competency models are useful in several respects:
· They identify behaviors needed for effective job performance.
· They provide a tool for determining what skills are necessary to meet today’s needs and the company’s future skill needs.
· They help to determine what skills are needed at different career points.
· They provide a framework for ongoing coaching and feedback to develop employees for current and future roles.
· They create a “road map” for identifying and developing employees who may be candidates for managerial positions (succession planning).
· They provide a common set of criteria that are used for identifying appropriate training activities for employees, as well as for evaluating and rewarding them. This helps integrate and align the company’s HR systems and practices.
SCOPE OF NEEDS ASSESSMENT
Often managers and trainers may avoid conducting a needs assessment. They may provide a variety of excuses, citing that doing so would be too costly, time consuming, complex, and unnecessary. However, without conducting a proper needs assessment, training will not be well targeted, and training will fail to meet its desired objectives. This chapter highlights that a wide variety of information can be collected in conducting a needs assessment. A needs assessment in practice would not collect all such information, but should be tailored to the specific training and organizational context. Due to time constraints, sometimes a rapid needs assessment needs to be conducted. A rapid needs assessment refers to a needs assessment that is done quickly and accurately, but without sacrificing the quality of the process or the outcomes.
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