CHAPTER ONE

Define the Training Need

The goal of doing a training needs assessment (TNA) is to determine whether a need exists, who needs training, and what tasks need to be trained. When conducting the TNA, it is important to remember to include managers, trainers, and employees. At one time, just trainers and training instructional designers were concerned with the TNA process. Today, as training becomes increasingly used by companies to achieve their strategic goals, upper and middle managers are involved in the assessment process as well.

Employees often can feel confident of their abilities to perform on the job and lack any motivation to improve their performance. A properly designed and implemented training program will instill both confidence and motivation in the people you train. Training based on a specific context and on techniques specific to the workplace will demonstrate that change is not only possible but also desirable, and thus will motivate employees to change and improve even more. If you conduct some frontend assessments and design your training based on your assessment results, you should be able to make final adjustments before the training begins.

How Do You Get Started?

Here’s an overview of the six steps that you will use to design and conduct a TNA:

1. Plan a preliminary and formal data-gathering session. Involve management early in the process; by doing this, everyone benefits. Management is often the driving force behind a TNA, and you must have their support before beginning an analysis. The training project agreement (shown in Figure 1-1) represents such support. By conducting a TNA in an environment that fosters mutual respect and honesty, you give yourself every advantage for reaching an agreement with management about the outcome.

Figure 1-1. Sample training project agreement.

2. Identify the types of data to gather. It saves time and money to determine if training is an appropriate response to a perceived problem. Providing training simply because it was requested does not guarantee success. You must decide if the situation calls for training. You must also establish the following:

How will the proposed training affect the audience?

How will the proposed training be accepted by the audience, supervisors, and management?

How will the training affect the entire organization?

3. Create well-stated questions. Questions guide the analysis process. Defining the problem clearly is critical to developing a successful training. Answers to the following two questions help define the area of need:

Why do or don’t people perform well?

What performance level is desired?

4. Gather the information. It is important to examine knowledge, skills, and attitudes (KSAs) in the analysis. The work environment is an important factor in the process; so, too, is examining individuals’ KSAs about their tasks, jobs, bosses, and organizations. Together, these factors influence your decision about whether to provide training. For example, they might show that the problem has to do with an environmental situation (e.g., poor lighting) or that it is the result of unrealistic deadlines, not inefficient training.

5. Prepare and analyze the data. It is important to differentiate between the two types of responses:

Training, which teaches an immediate job skill

Education, which provides theories, content, and knowledge to be applied in the future

6. Develop a presentation to show your findings. You may decide to share your preliminary findings by either a brief written report or a presentation. The format you choose depends on you and the organization. The specific message you want to deliver with either communication is that you will deliver training that has been identified as a need and that you are using the following three indicators to measure individual and organizational performance:

What should and does the organization consider baseline skills?

What is the group intelligence of the individuals, groups, departments, and organizations?

What is the expected change in performance?

Who Conducts the Training Needs Analysis?

A trainer or consultant performs a TNA to collect and document information concerning any of the following three issues:

1. Performance problems

2. Anticipated introduction of a new system, task, or technology

3. Organization’s desire to benefit from a perceived opportunity

Here, you will get a clear idea of the need, look at possible remedies, and report on the findings to management before deciding on the best solution. A TNA often reveals the need for well-targeted training. However, keep in mind that training is not always the best way to close a gap between the organization’s goals and its actual performance.

Where Does the Training Needs Analysis Fit?

Conducting a TNA is a systematic process based on specific information-gathering techniques. Each stage builds off the last; the findings of one stage will affect and help shape the next stage. There is no easy formula for carrying out this process. Each particular situation requires its own mix of observing, probing, analyzing, and deducing.

In many ways, the TNA process is like detective work: you follow up on every lead, check every piece of information, and examine every alternative before drawing any conclusions. Only then can you be sure you have the evidence on which to base a sound strategy for problem-solving a performance issue.

How Do You Manage the Training Needs Analysis Process?

It’s important to have realistic expectations for this process. Just what can you expect from a TNA? Find out if you’ve got the right idea by taking the quiz in Table 1-1.

A TNA begins with a snapshot of the current situation. You probably won’t need a telephoto lens for this part of the process, but you do need to look closely and objectively at both the operations and the people whom the coming changes will affect. Once you have a clear picture of what needs to change, you can assemble your task group and continue with the TNA.

The TNA process consists of four basic steps:

Step 1: Surveillance

Step 2: Investigation

Step 3: Analysis

Step 4: Report

Table 1-1. Training needs analysis quiz.

Step 1: Surveillance

As you embark on a formal TNA, you need an accurate idea of the situation. This preliminary step is an opportunity to determine if a need exists. Once you identify a need, you must determine the type of need.

To define the needs, you should consider the magnitude of each need. There are two levels, as shown in Table 1-2: micro and macro.

Table 1-3 shows examples of the two types of needs.

Once you determine the type of problem, the next thing to think about is how to define the gaps that exist between what is happening and what is desired.

Table 1-2. Levels of needs.

Micro Need	An isolated need that affects only a small number of individuals or a small segment of the organization—for example, training on Web page designs; not everyone in an organization designs Web pages.
Macro Need	A need that affects everyone in the organization—for example, all employees are required to complete sexual harassment training.

Table 1-3. Examples of micro and macro needs.

Micro Needs	Macro Needs
A new employee needs to understand critical job elements.	All employees need a benefits orientation.
A two-person unit has a piece of lab equipment installed.	All employees are expected to submit their time sheets online.
A supervisor is having problems giving employee feedback.	All first-line supervisors have been asked to initiate performance appraisal discussions.

Step 1a: Define the Gap

When a performance need exists or an organizational need surfaces, the first decision most managers make is to train the problem away. However, it’s important to consider other methods, too. Before thinking about a training program, you must determine if training is the appropriate response to the problem.

There are other good reasons to conduct a TNA before actually developing a training program. When you design training activities, it is extremely helpful to obtain case material directly from the workplace or participants’ individual work situations. That way, you can base your designs on real situations that participants face rather than on simulated material.

To determine the gap, you must ascertain the current level of performance and then define the desired state of performance. Of course, you won’t see all of the needs by yourself. You will need to observe the day-to-day operations of the organization and interact with people at all levels, from the production line to management.

In many cases, a manager will bring a performance or training need to you. However, if you are not faced with an immediate problem, and you would like to provide training, you can begin with a macro scan of the organization. Here are two questions to help you get started.

1. What results does the organization currently achieve?

2. How do the actual results compare with the expected results?

Or, if a performance problem is involved, you should determine how the performance has changed from the past and what the desired performance is.

Figure 1-2. Worksheet for needs and performance gap analysis.

DIRECTIONS: Answer the following questions to determine the nature of the training problem.

Question	Response
1.	Why this problem?
2.	Whose need is it, and who is involved?
3.	What is the problem?
4.	When did this problem become a need?
5.	Where did the problem begin?
6.	What is the best way to solve this problem?

Figure 1-2 is a worksheet to help you make an initial assessment of current and desired results. You will gather more detailed data later on, in Step 2. For now, you’ll want to concentrate on identifying needs, not developing solutions. Look for trends. When you compare the organization’s needs with the employees’ perceptions, the issues will emerge.

During surveillance, you should regularly review the situation in your organization. Automatically circulated documents that provide state-of-the-organization themes or issues will give you an up-to-date, broad picture of what is happening, and you can begin scanning for performance problems and training opportunities.

In addition, make an effort to maintain informal contacts with individuals throughout the organization. Regularly assess the attitudes and feelings of the organization’s staff, even if your assessment is subjective. Stay abreast of all policies, procedures, and standards relating to work performance.

An easy way to find useful material is simply to ask the potential participants to identify their needs. Going directly to the participants for the information gives them a role in designing and developing the training. Also, they usually appreciate being involved, and this increases the program’s likelihood of success.

If you cannot collect information directly from each person in your target audience, consider the following two options:

1. Send a questionnaire to participants before meeting them. This gives you the opportunity to tell them about yourself and your plans for the upcoming program, and to learn about them.

2. Phone or visit some of the participants for an interview. By learning more about them and what they expect from the training, you can better focus the course content. It also minimizes any potential awkwardness when you meet in the classroom.

The sample audience analysis profile in Table 1-4 will help you formulate your questions and record employees’ responses.

The employees’ responses will help you complete the problem analysis profile; Table 1-5 is a typical problem analysis profile.

Table 1-4. Sample audience analysis profile.

Without the overall picture, you could overemphasize one need at the expense of others, wasting resources.

Once you have defined the gap, you’ll need to get some assistance in conducting a preliminary needs survey. In this step, you gather input from various constituencies that will be critical to your TNA. You might want to organize a task force; if so, you can start organizing your task force by doing the following:

Ask around to find out who is interested in joining the task force.

Select members from multiple departments.

Help the group appoint a contact person.

When you select your team, choose members who know and care about the situation and also some people who do not care but should. Also, try to identify a champion, a person committed to training who you can call upon for support and resources. You will need this support later to get through critical points in the TNA.

Table 1-5. Sample problem analysis profile.

Performance Area	Accounts receivable
Performance Goal	All reps should exhibit proficiency. Use upgrading for coding billings
Current Performance	30% staff exhibit appropriate competency; 50% to be trained and tested
Gap Between Goal and Performance	50% to be trained at all locations

Causes	Findings
Do employees have the skills and knowledge to meet the performance goals?	No, only 50% at headquarters
Do employees know the performance standards or expectations?	Yes, announced in bulletin
Do employees receive feedback about their performance?	Yes
Do employees have the necessary resources to perform?	Yes, will provide required training
Do employees receive appropriate incentives to perform?	Yes, profit sharing per group performance

Step 1b: Organize the Data

The next step is to organize the information you have gathered so far.

Sort the information into categories.

Separate training issues from nontraining issues. For example, some problems you find might be related to a policy issue such as the organization’s compensation package.

Identify content or training topic issues.

Determine whether an issue is a hands-on skill issue.

For the most part, training needs are performance related, such as helping employees do their jobs better, orienting new employees, or keeping employees informed of technical and procedural changes. Some training activities also provide employees with an opportunity to develop their skills and knowledge, usually in connection with performance-related needs. Once you classify the needs by types, organize and prioritize each list.

Step 1c: Prioritize the Training Needs

Review your list of needs, and rank each of the needs based on the cost of training to meet them versus the cost of ignoring the needs. Alternatively, you can carry out a cost–benefit analysis for each need or cluster of needs. Use these questions to help sort the data you gathered during this preliminary needs investigation:

What will a solution cost?

How much time will the solution take to resolve?

What is the cost of ignoring the problem?

Next, make a list of priorities and corresponding suggested actions for each priority entry. You can present this list to management to help you gain their support of your proposed solution.

Remember, a top priority for senior management is the bottom line. They will mostly be looking at the bottom line and the solution’s overall contribution to the organization. Line managers are interested in evaluating solutions based on their costs in terms of lost or delayed production, employees’ time, and possible overtime. Little will be accomplished without management support.

Your goal before the meeting is to write a well-defined problem statement. The pre-meeting guide in Figure 1-4 will help you organize your presentation. As you prepare, consider the following four factors:

1. Time: It’s important to have a good idea of how long your analysis phase will take. It’s a planned process that takes time to design and conduct; if there are many complex issues, the process will take longer.

Figure 1-3. Pre-meeting worksheet.

Needs Assessment Client Meeting #1

Date: _________________________________________________

Place: _________________________________________________

Time: __________________________________________________

Contact: ________________________________________________

Position: ________________________________________________

Training issue(s): __________________________________________

Guiding questions or topics: __________________________________

Next steps: ______________________________________________

2. Need: The assessment process requires resources. Make sure management understands the process and why it’s a necessary investment in the design process.

3. Time Lines: Don’t spend all of your valuable time in the assessment process. Make sure you develop an appropriate and reasonable time line for the conducting and reporting phase of the TNA process.

4. Cause and Effect: Look for situations in which one situation affects another, and look for root causes. Separate problems from symptoms.

When you have your material ready, schedule the meeting. Don’t forget to invite other staff, if appropriate.

Use Figure 1-5 as a guide during the meeting with management to help you stay on track. It is designed to assist you in recording the decisions you and management reach. During this meeting, you must do the following:

Figure 1-4. Meeting guide.

Needs Assessment Client Meeting #1

About the Target Task	Responses
Organization’s performance standards
Work conditions
Supervisor’s performance expectations
About the Participants	Responses
Stated training needs
Current performance levels
Current knowledge levels
Attitude toward task
Attitude toward training
About the Training	Responses
Time frame for planning
Stakeholders
Conditions under which training will be conducted
Available resources (e.g., materials, tools)
Instructor’s skills

Define the task.

Agree on the needs.

State the desired outcome.

Establish shared responsibility.

Identify a contact person for the report.

Record management’s commitment to proceed.

Below is a list of categories that you should include in your guide:

1. Description of the target topic: performance standards, work conditions, and supervisor’s performance expectations

2. Description of the participants: stated need, current performance levels and knowledge, and attitude toward task and training

3. Description of training session: time frame for planning, stakeholders, conditions under which training will be conducted, available resources, and instructor skills

Step 1d: Complete the Post-Meeting Summary

As soon as possible after the initial meeting, complete the post-meeting summary memo. The memo should request a written commitment to continue the TNA, state agreed-upon allocation of resources, describe the goals you want to achieve, and establish a project time line that lists all of the steps in the needs process. Use the client summary memorandum in Figure 1-6 to record your findings. Below is a list of the items that you should think about when preparing the summary:

1. The sources of the information gathered

2. All names of individuals, groups, or documents

3. Indication of whether sources are internal or external to the organization

Step 1e: Draft the Problem Statement

You are now ready to start defining the need and gathering evidence to support the assertion that a need exists. The key element in the preliminary needs analysis process is the problem statement. Use the training needs outline in Table 1-6 to define your training need.

Figure 1-5. Client summary memorandum worksheet.

MEMORANDUM

To: Client
From: Trainer or facilitator
Date: October 16, 20xx
Subject: Needs assessment client meeting

1. Statement of Need

(Write a clear statement describing the assessment and training outcomes mutually agreed upon during the meeting.)

2. Description of Tasks

(Define the task you perceive to be involved in the needs assessment process.)

3. Summary of Analyses

(Summarize the information about the target tasks, the participants, and the training situation that would help management make a commitment to the process and the proposed training outcome.)

4. Proposed Plan

(Present your plan for conducting the assessment, including tasks, time line, and budget.)

5. Request for Management’s Commitment

(Ask for the client’s written commitment to the project.)

Table 1-6. Training needs outline.

Step 2: Investigation

In this step, you investigate the current circumstances at the organization to decide whether training is appropriate to resolve the need. To do this, you should find out what data are needed, develop appropriate data-collection methods, and collect and analyze the data.

Step 2a: Begin the Investigation

Use the following questions to help establish some guidelines for your investigation:

1. What results does the organization seek?

2. How do these results compare with the organization’s key objectives?

3. What contribution does the training department need to make to meet the organization’s key objectives?

4. What methods are currently in use to set priorities and justify training targets?

5. How are training results measured?

The outcome of a TNA will be only as good as the data you collect. The data will help you verify that a need exists and can be used for other purposes long after this application. In fact, it may save you time and effort in future endeavors.

Let’s look at factors that you should consider for defining what to look for when you begin gathering the appropriate information you need. Here’s a suggested process to follow:

Establish Your Goal: Draft a description of what you hope to reveal in your TNA based on your preliminary research findings during the surveillance stage. List your expectations, and note the situation prior to your assessment.

Define Your Reporting Needs: Decide who should receive what information and when. Also, consider at what levels you should gather data. Data collected for the TNA should be on the same level of the organization as the issues involved. It could be the entire organization, subunits, or individuals. By specifying the reporting levels early on in the TNA, you’ll be able to collect information at a sufficient level of detail to use in the reports and to make points during the decision-making meetings.

Identify the TNA Content Areas: Most applications of TNA emphasize the person component, ignoring the critical roles of the organization and the job components. However, training needs are generated from all three sources.

Table 1-7. Content-level matrix.

In the content-level matrix, as shown in Table 1-7, the intersection of each content factor with each organizational level suggests questions or issues that should be addressed in a comprehensive needs analysis. The framework is useful for identifying factors that can influence performance, and it provides a guide to what kinds of data you will be considering.

Step 2b: Determine the Key Data Sources

When conducting the TNA, you can collect data via questionnaires, surveys, interviews, observations, focus groups, documentation, job descriptions, and policies and procedures. As you proceed with your investigation, remember that you must clearly define a training need before you can solve it. Here are some tips that could help:

Ask who, what, why, when, and how questions.

Develop a clear and concise problem statement.

Document the causes of the problem.

Identify feelings about the problem.

Determine who is involved and why.

Separate facts from opinions.

A majority of the issues that you must address are going to be performance matters; therefore, you should gather data about the person(s) involved, the jobs, the performance levels, and the job expectations.

Step 2c: Collect Data from Key Sources

Now that you have defined the training need, you are ready to collect data to support your initial findings. Here is a list of the potential sources and contacts to use for your investigation, along with questions to focus your research:

1. Investigate all available data.

2. Ask questions of colleagues.

3. Network.

4. Get to know your potential audience.

5. Determine the causes: What kind of need is it?

Performance deficiency

Skill improvement or development

Skill needed for the future

6. Find out who or what is involved: Which does it pertain to?

An individual

A department

A division

An organization

7. Determine how the problem can be corrected: Which will you use?

Recruiting

Coaching

Assessing skills or placement

Training

Organization development (OD) intervention

8. Determine the causes of performance problems.

Lack of skill

Barriers to achievement

Lack of incentives

Lack of motivation

When conducting your investigation, you will collect information from several sources. You will encounter both soft and hard data. Hard data are factual and objective, found in reports, accounting records, statistics, and other official documentation. Soft data are subjective and come from observations, group discussions, individual interviews, and opinion surveys.

The following are ways to collect data.

Questionnaires. The intention of the questionnaire is to create questions that you would like to have answered. The questionnaire is sent either via e-mail or on paper. Using the questionnaire as a data-collection source is inexpensive. You can collect data from a large number of persons, and the data are easily summarized. The advantages and disadvantages of questionnaires are listed in Table 1-8.

Table 1-8. Advantages and disadvantages of questionnaires.

Interviews. You can talk with individuals in person or by telephone. Interviews don’t just give you information; they can also reveal feelings, opinions, and unexpected insights or suggestions, including potential solutions to needs. But there are disadvantages. Interviews require more time and resources. In addition, you must leave any biases at home, which is not easy. A good interviewer listens well and does not judge, interrupt, nor distort responses.

There are five types of interview formats you should review to determine which best fits your client, the situation, and the type of information you would like to uncover:

1. Unstructured: This kind of interview is exploratory. Only the area of interest is chosen for discussion. Interviewers follow their instincts in formulating and ordering questions.

2. Partially Structured: The interviewers choose an area for discussion and formulate questions, but the order is up to the interviewer. Interviewers may add questions or modify them as they deem appropriate. Questions are open-ended; responses are recorded almost verbatim.

3. Semi-Structured: The questions and their order of presentation are predetermined and open-ended. Interviewers record the essence of each response.

4. Structured: The questions are predetermined, and interviewers code responses as they are given.

5. Totally Structured: The question order is discussed, and coding is predetermined. Respondents are presented with alternatives for each answer so that the phrasing of responses is structured.

The key to success is defining and developing your training to make sure that the data you gather support a training need (or that the need does not exist). Spend time establishing the reasons for choosing the questions you will ask, and write the questions with care. The model telephone interview shown in Figure 1-6 will help with this.

Computer-assisted telephone interviews use a computer to guide the respondents through the questions. The interview begins with a series of questions that determine whether the person who answered the telephone is part of the target sample. The computer is programmed to end the call if the person is not from the target group.

Figure 1-6. Model telephone interview.

1. Introduce yourself.	Name Where you are located Why you are specifically calling
2. Outline a need in the organization for which you believe training might be appropriate. Be as specific as possible.	What is it? Why is it a problem?
3. Develop short sentences or phrases to ask about the need.	1. 2. 3. 4.
4. Is this a macro or micro need?	What actions are they suggesting?
5. Classify the problem.	a. Do not know (lack of knowledge) b. Cannot do (lack of skill) c. Can do, but aren’t motivated to do (lack of good attitude)

Telephone interviews tend to elicit shorter responses than do face-to-face encounters, but this kind of interview has some of the same advantages as face-to-face interviews. This should be the method of choice when results must be obtained in a short time. However, many people are put off by electronic interviewers, so be sure to feel out your potential interviewees before making a decision. You may feel it better to spend your time and money on person-to-person phone interviews, especially if your target sample is small.

Observations. Another process to consider for collecting data is observation. One reason to use observation is that it can reveal the context in which performance takes place. Observation can give you valuable nonverbal information about what goes on at what level that may not coincide with a person’s verbal opinion. A disadvantage of observation is that you can have an effect on the setting and the way people perform their jobs. Naturally, you will also bring bias to the situation, thus gathering information subjectively rather than objectively.

The use of a question guide is essential in this process. The question guide should be easy to understand and use, and it should consist of a few questions that solicit what is going on now, what would you like to see happening, and what your suggestions are on making the change. Remember to keep the questions short, so that the responses from your interviewee could be yes or no, and if you require a more descriptive response, try to focus the responses to be short and factual.

As you prepare, keep in mind the purpose of the observation. Limit the guide to the parts of the work you’re concentrating on, and allow room for both qualitative and quantitative information. Because you must prepare your question guide ahead of the observation, you might overlook useful information, so be sure to leave plenty of space in the guide format to record additional comments. Make sure you gather facts, not opinions.

When you decide what and whom to observe, you can use either suggestions from management or a random sample. Your observations can be covert or overt. If you choose to do a covert observation, which is the most common, you should introduce yourself and then fade into the background. Do not be the center of attention; it can alter your discussions.

To conduct successful observations, do the following:

Identify what performance aspect you plan to observe.

Familiarize yourself with the job or system you will observe.

Design and use a simple, clearly written observation guide.

Choose an observation method that will provide valid results.

Blend into the observed environment.

Be patient.

Consider both the big picture and the details.

Follow up.

To help make a decision as to what appropriate observation method to use, review the advantages and disadvantages in Table 1-9.

Focus Groups. Here, you will gather information from a select group of people. A focus group consists of multiple interviews with small groups that discuss an assigned question. Focus groups can help determine the significance of a particular situation to various individuals, find the needed range of alternatives from close-ended questions, or determine how people feel about an issue or product.

Table 1-9. Advantages and disadvantages of observations.

Focus groups are most successful when the group membership is relatively small and homogeneous. One of the disadvantages of this method is that it is difficult to assemble the right mix of people; if your group is widely diverse, some members may not be as willing to open up. Another hurdle is finding a time that fits everyone’s schedule.

Once you get everyone together, seat them in a circle. This facilitates spontaneous responses and conversation. To make the most of your focus group, do the following:

Limit the group to 12 people.

Use a structured question guide for the discussion.

Have one group administrator take notes or record responses on a flipchart and another facilitate discussion.

Audio record responses if you can do so discreetly.

Arrange the group so members are seated by their rank in the organization (managers and their supervisors should be together).

Use a variety of group-facilitation tools (e.g., brainstorming, listing by priority) to stimulate responses.

Documentation. Several types of organizational documents can provide information about employees. For example, personnel files, accident reports, and customer complaints can help you establish the level of employees’ skills and knowledge.

Using documents has several advantages. Mainly, they are an inexpensive needs-analysis tool because the company has already collected the information. There are some disadvantages of using documents, however. They’re not necessarily complete because they may have been influenced by the viewpoints of the people who prepared the documentation. It’s important to keep this in mind because you must be careful not to generalize from the information you gather. Another problem with documents is that they may be difficult to obtain.

You should work closely with the human resource (HR) manager throughout the process. It is up to that person to establish whether it is appropriate for you to see certain records. For example, reviewing performance appraisal forms may help you identify performance gaps, but these records are confidential and HR may decide not to release them or even discuss them in general terms.

To use documents effectively, you should do the following:

Explain clearly why you need each document.

Prepare to make a case for the need to review documents.

Describe how you will ensure that confidentiality is preserved.

Review all relevant documents from a random sample.

Examine documents twice, first to gain a broad perspective and second to identify all relevant aspects of performance.

Decide whether to share general impressions with the manager who provided access to the documents.

Job Descriptions. The job description consists of position duties, responsibilities, reporting relationships, working conditions, and supervisory responsibilities. Job descriptions state the required behaviors, skills (both job and technical), and knowledge. Additionally, these descriptions include required education, certification, and professional work experiences.

Policies and Procedures. Every organization has guidelines for managing people and managing work. A policy is a plan of action to guide decisions and achieve rational outcomes. A procedure is a specified series of actions or operations that have to be executed in the same manner to always obtain the same results under the same circumstances (e.g., emergency procedures, safety checks). An advantage of having policies and procedures is their ability to standardize business practices; a disadvantage is that, given the dynamics of the workplace and the diversity of various cultures in the organization, everyone will not agree with those standards regarding work practices, procedures, and treatment.

Step 2d: Obtain Management’s Approval to Proceed

Now that you are armed with data that support the need for training, you are ready to get permission from management to proceed. To do this, you should create a client commitment letter, as shown in Figure 1-7.

Step 2e: Determine the Knowledge, Skills, and Attitude

Figure 1-7. Sample Client Commitment Letter

Sunshine Corporation 2350 West First Street Fort Myers, FL 12345 (111) 123-4567
	Date:
Ms. Dew Wright, Director Human Resources Department 1234 The Street Fort Myers, FL 12345
Dear Ms. Wright:
As president of Sunshine Corporation, I hereby fully support the project’s objectives and proposed training outcomes, as stated in your January 25 summary memorandum. Concomitant with this commitment is the agreed-upon availability of resources as requested.
With best wishes for success.
Sincerely yours,
Philip Phillips President

The next step is to determine if KSAs are involved in the performance need. As you conduct your needs analysis, investigating KSAs is critical so you can be sure your need can be solved with training. Explore the following factors that cause performance needs:

Lack of Skills and Knowledge to Do the Job: Can employees do the tasks needed to meet the performance goals?

Lack of Specific Standards or Job Expectations: Do employees know and understand their performance expectations?

Lack of Feedback: Do employees receive constant feedback about their performance?

Lack of Necessary Resources to Perform: Do employees have everything they need to do their jobs adequately?

Step 3: Analysis

Up to this point, you’ve been finding out what kind of information you’ll need, a way to get that information, and then how to actually get it. Now you’re ready to analyze what you’ve found so you can discover what needs to be addressed in the training.

The analysis step provides a clear picture of what issues currently exist. There are three types of analyses that you can perform: goal analysis, organizational analysis, and job/task analysis. Each helps you determine the type of problem, where it exists, and who owns the problem. This section will give you the tools to record and present the findings of your investigation. When you complete this step, you will be able to easily determine the type of need and the best solution.

Until now, your primary focus has been on identifying the need, possible causes, and alternative solutions. Now, the question becomes how to meet the need. To determine whether training or another solution can do that, you must find the root cause of the need, or problem. This is the most critical stage of the needs-analysis process.

If the need is caused by a lack of information, knowledge, or skill, training can solve the problem. If the need is a result of poor communication, lack of feedback, inadequate supervision, inappropriate or inadequate rewards, or inferior procedures, training is not the answer. You must investigate further to ensure that other reasons are not responsible, in whole or in part, for the problem.

If training is a viable solution for meeting the need, the analysis should include the critical KSAs required for optimal performance to be addressed in the training design. Include the following three elements in your analysis before you move ahead with organizing your collected data:

1. Confirm the need for training.

2. Select the methodology for developing the training.

3. Establish exactly what participants need to learn.

Step 3a: Organize the Data

There are three sources of training needs: the people, the job, and the organization. Use the data summary sheet in Table 1-10 to help you make decisions about the appropriateness of training to resolve the problems that you identified during your investigation stage.

Often, the first sign that training might be needed is when a specific need emerges from one of the sources. Once you are aware of the problem, you must decide whether it is:

Performance related

Short or long term

New or recurring

Affecting a few or many employees

Urgent, important, or unimportant

The data summary sheet also helps you prepare a well-defined problem statement, determine if the issue is micro or macro, classify the need, and propose a solution.

Table 1-10. Data summary worksheet.

DIRECTIONS: Answer the following questions as they pertain to your organization’s need for training.

1. What is the need in the organization for which you believe a training program might be appropriate? Be as specific as possible.

2. Is the need performance-related? Why or why not? (If the need is related to performance, proceed to number 3. If the need is not related to performance, proceed to number 5.)

3. Is this a macro or micro need? What action are you suggesting?

4. Is the need you have identified something your employees a. do not know (lack of knowledge)? b. cannot do (lack of skill)? c. can do, but aren’t motivated to do? (If it is a lack of knowledge or skill, a training program is an appropriate response. If it is a lack of motivation, proceed to number 5.)

5. What are the possible solutions for meeting the need other than with training?

Step 3b: Analyze the Data

There are three types of analyses to organize needs according to type:

1. Goal analysis

2. Organizational analysis

3. Job analysis

Which method you choose depends upon the category of need you will address, as follows.

Goal Analysis. If your goal is to correct a performance need, which could include a specific job/task issue, use the goal-analysis process. Goal analysis is also important when a training program is charged with developing people to serve in new positions, creating a corporate culture, or changing attitudes or beliefs.

Goals analysis requires that you identify key organizational objectives and their behavioral indicators. Behavioral indicators are the abstract qualities (such as feelings) that help a person perform well or badly in a particular position. The objectives and behavioral indicators provide a baseline to measure improvement. Goal analysis ends when you have a complete list of behavioral indicators for each goal. A sample goal analysis is shown in Table 1-11.

Table 1-11. Sample goal analysis.

Organizational Analysis. The second form of analysis is organizational; a sample is shown in Table 1-12. You will use this for gathering information to solve a problem involving the makeup of a company or organization. Answer the following questions to make sure that the training supports the organization’s performance standards:

What are the organization’s business goals?

What are the organization’s key products?

How is the organization structured?

What are the roles and responsibilities of staff within the organization?

What resources are available?

What perceived needs do the organization’s members express?

What is the typical way that people are trained in the organization?

What general needs exist within the organization that may affect the training?

While these questions can be valuable tools in building an effective training program, they do have their drawbacks. If you suspect that a performance need exists, use the problem-analysis profile in Table 1-5 to guide your investigation. And don’t forget to consider all of the information you have gathered. If you decide to create a data-gathering questionnaire, review the topics presented in Table 1-13.

Table 1-12. Types of organizational needs analyses.

Type	Description
Organizational needs analysis	The needs of the organization are macro:
	• Productivity • Personnel structure and job satisfaction • Surviving in a competitive market, etc.
	Needs are met by organizational interventions.
Group needs analysis	Group needs help to determine the organizational interventions required to meet organization needs.
Individual employee needs analysis	Individual needs are determined by finding out what general knowledge, skills, and abilities are required to work in the organization.
Job needs analysis	Job needs are determined by figuring out the tasks of each job and identifying the skills and knowledge for each task.

Once you have organized the information and have entered it on the data summary sheet organizer, as shown in Table 1-14, you can pull it all together before you proceed to Step 4.

Job Analysis. Job analysis involves recording information about a particular job and breaking it down into tasks to pinpoint where the training or performance need exists. Start by reviewing job descriptions, observing job performance, and questioning people on the job. The simplified job analysis questionnaire in Table 1-15 can substitute for face-to-face interviewing or serve as a guide when conducting the interviews.

Table 1-13. Topics for data-gathering questionnaire.

General Questions

1 What is the job role and tasks performed? 2. What are the competencies required for the job or tasks? 3. What is the level of experience in the job? 4. What is the attitude about training? 5. What successes or problems have you encountered performing the job? 6. What is the supervisor’s attitude about training?

Performance Problems

1. Is there a lack of skills and knowledge to do the job? 2. Is there a lack of specific standards or job expectations? 3. Is there a lack of feedback? 4. Is there a lack of resources and equipment to do the job? 5. Is there a lack of appropriate consequences for performance? 6. Are there combinations of problems that contribute to poor job performance?

General Information

____ Participant’s stated needs

____ The nature of the participant’s work

____ Participant’s knowledge

____ Participant’s skills

____ Participant’s attitudes or abilities

____ Conditions affecting participant involvement

____ Methods desired

____ Observations

____ Questionnaires

____ Print media

____ Interviews

____ Consultations

____ Group discussions

____ Tests

____ CBTs

____ Records, reports

____ Simulations

____ Work samples

Table 1-14. Data summary sheet organizer.

Table 1-15. Simplified job analysis questionnaire.

After you have surveyed a representative sample of your training audience, summarize their responses on the job-analysis profile, as shown in Table 1-16. You now have a general overview of what is or is not happening among groups of people with the same job title, and this overview can help you determine the need.

Table 1-16. Job analysis profile.

Job Title of Training: _____________________________________
Write a 30-minute training module.	Define objectives. Develop a topical outline. Decide on instructional strategies. Produce course materials.
Evaluate a 30-minute training session.	Determine level of education. Include test items in design. Determine methods of data collection, analysis, and reporting.

After breaking down the functional responsibilities into tasks, validate the job and the analysis with an advisory group (subject-matter experts, management representatives, and client contacts) to be sure that the job analysis matches the job. Then ask the advisory group to help select the key functions and tasks that will be the focus of your training.

Step 3c: Present the Findings

There are three ways to present your findings visually: check sheets, line graphs, and Pareto charts.

Check Sheets. Check sheets, a sample of which is shown in Figure 1-8, are easy to design and use. They use hash marks to show the frequency of a number of events. Starting with a check sheet allows you to decide what events to record, determine the time period for the observation (e.g., hours, days, months), and develop the format. Information from check sheets is easily transferable to a frequency graph.

Figure 1-8. Sample check sheet.

Line Graphs. A line graph displays trends in a particular activity over a specific time period to identify changes as soon as they occur, a sample of which is shown in Figure 1-9. By noting the change immediately, you can recommend taking prompt action.

Figure 1-9. Sample line graph.

Pareto Charts. A Pareto chart, a sample of which is shown in Figure 1-10, is a bar graph that displays the relative importance of different events or needs. The most frequent events or greatest needs (the higher numbers) appear at the end of the chart. The Pareto chart is similar to the check sheet in its ability to identify root causes of problems.

Figure 1-10. Sample Pareto chart.

Step 3d: Choose the Trainers

Once the organization has a clear picture of the training priorities, the next step is to decide the best way to meet the identified needs. There are a few routes to make this happen. The organization can design, develop, and deliver the training in-house; it can contract with an outside consultant or vendor to develop the coursework for in-house delivery; it can contract with an outside facility to handle all aspects of the training; or it can purchase a commercially marketed training program and train in-house.

Organizations that don’t have a way to train in-house usually look for outside assistance for all but the most basic types of on-the-job training. For organizations that do have internal training staffs, the decision is more complex. Answers to the following questions can help narrow the choice:

How often will the training be offered?

How many employees will the training be offered to?

Does the organization have a content expert with credible delivery skills?

Will training involve generic skills or a specific technical need?

What is the trainee job level?

Will the content of the program involve proprietary or competitive information?

In thinking about the questions, you might consider cost-effectiveness. If training will not be often, using an outside consultant may be most cost-effective. Alternatively, ongoing training needed by many employees may be more cost-effective, if developed and delivered in-house. When training involves technology, equipment, or skills unique to the organization and its jobs, in-house design and delivery may be the only option. For top management, a consultant with a broad range of experience with other companies may enhance the program’s credibility.

Support staff and supervisors may be more likely to be onboard with a training program if it is developed and delivered by someone familiar with day-to-day needs. For many types of training, qualified course instructors can be found within the organization. For instance, each executive has expertise in a certain area and most can make time to conduct at least one or two training sessions. Other potential instructors include supervisors and managers, HR personnel (especially those with career counseling or similar experience), and professional employees, particularly ones who have had previous teaching experience.

Also, part- and full-time faculty at area colleges and universities are ideal candidates to recruit as trainers. Depending on the nature of the course, other outside professionals to consider as instructors or guest speakers include consultants, lawyers, psychologists, systems analysts, or efficiency experts. Professional and trade associations, as well as local chambers of commerce, may have the names of experts willing to make presentations.

Step 3e: Design the Training and Course Module

The instructional specifications are your guidelines for content delivery and timing. They are critical components of the module design template. This template organizes all of the necessary training components and serves as a blueprint for development. Once you design your training, you can use this blueprint to evaluate the completed training.

Specifying instructional content is a joint effort between training and subject-matter experts. In this part of the analysis, the trainers and experts will define the critical content of each course module. They will also decide which strategies to use when introducing the content, determining the appropriate learning techniques, providing opportunities for practice, and incorporating the right forms of mediation.

The last stage of Step 3 is to develop a sample training module. This sample module provides a preview of the course content design and treatment. Figure 1-11 shows a 30-minute training module that was designed to teach someone how to record a message on an answering machine. This training module is a result of a training needs assessment.

Figure 1-11. Sample training module.

Step 4: Report

Reporting your findings allows you to show management and other stakeholders what you have investigated, what needs to be changed, how the proposed changes will be made, and how the change fits.

You should use both a written report and an oral presentation. The written report summarizes your findings from the investigation and analysis, presents your recommendations, and suggests material the training manager should use for each stage of the project. The report should identify performance gaps and what needs to change, how changes will be made, and how the changes fit into the organization’s goals. Think of this report as a sales pitch to management. It should state the needs and provide the business justification for using a training program.

You don’t have to pick just one presentation method. Communicating the results both verbally and orally usually improves your chances of having management support the proposed program.

Step 4a: Prepare the Training Design Report

Be concise, and use clear language and short sentences when you prepare the training design report. Table 1-17 shows the eight components that constitute the training design report.

Step 4b: Complete the Final Report

The final report identifies performance gaps between the position in question and the function of the position as defined by the job description and job and task analysis. Again, this report is just like a sales presentation to management, in that it outlines the needs and provides the business justification for using a training program to address the needs.

There are eight components that make up this final report, as outlined in Table 1-18.

Table 1-17. Components of training design report.

Purpose	Describe the training need, the training format, and the history of the need in the organization. (This section should be one paragraph.)
Summary of Analyses	Briefly describe your training needs analysis. Clearly define the performance gaps that the proposed training program will address. Describe the audience, the job, the tasks that make up that job, and the key performance elements needed to fulfill the job requirements. (An extensive description is necessary because the performance gap is probably located in a task, in a performance element of the task, or in a lack of knowledge needed to perform the task.)
Scope	Establish the format for the course, and present an overview of the materials the trainer will use, the content (topics and subtopics) to be covered, and the instructional strategies to deliver the course.
Learning Objectives	Describe what the learner is to exhibit once the training is completed. Include three parts: performance condition (tools that the learner needs to accomplish the task), performance statement (action verb), and performance criteria (quality, quantity, time, or standard to be met). (The learning objective will guide the course material and the learning activities to ensure participants succeed.)
Test Item Strategy	Imagine a mirror image of the learning objective. Change the learning-objective verb to the past tense.1 (This section describes how the learner will demonstrate mastery of the topic. It explains how and why you will conduct the test and what happens after the testing. For example, if the participants fail a test item, you should decide whether the test item should be rewritten or whether the training materials are a problem.)
Course and Module Design	Establish a blueprint (training outline), and include course and module title, learning objectives, content, and instructor/learner activities that are designed to teach the stated learning objectives.
Delivery Strategy	Describe the instructional methods, the length of the course, and the training format, timing, and location.
Evaluation and Measurement Tools	Explain how you are going to measure the learners’ reactions to the training, their degree of learning (the results of the test items), and the learners’ behavior (how the concepts mastered in the training will be translated back on the job).

Table 1-18. Components of the final report.

Executive Summary	Answer the question, “If readers are too busy to look at the entire report, what’s the least amount of information they need to make an informed decision about supporting the proposed training?” (This section should be short. One page is ideal, and it should be no more than two pages.)
Training Needs Analysis Objective	Explain in detail the objectives of the training needs analysis, and answer the question, “What information did the training needs analysis hope to learn?”1
Brief Summary of Findings	Discuss optimal performance (what the organization hopes to achieve), actual performance (the organization’s current level of performance), and how to bridge the gap between the two.
Proposed Change or Training Project	Explain the expected commitment required for this project, and answer the following questions, “How long before we see results?” “Who will be involved?” “How will the program be implemented?” “What resources are needed for the program to succeed?”
Data-Collection Method	Explain why the data are collected and the process used to analyze the information.
Expanded Discussion of Findings	Discuss the study results in detail. Use descriptive terms in your narrative and simple graphics or tables.
Recommendations for Future Action	Present specific recommendations, including at least the knowledge, skills, and attitude required for a particular position; a training strategy (what a training might look like—a module design in graphic form); and other problems you uncovered that management should resolve before proceeding.
Appendix	Include relevant supporting data, such as sample surveys and other data-collection methods, detailed analysis of the results, a cost breakdown, and a time line of the proposed change.

Step 4c: Make the Oral Presentation

When presenting your findings orally, it is critical that you know your audience. As much as possible, learn about their values, attitudes, needs, and work culture. The presentation should focus on answering the question, “What’s in it for me?” from their perspective.

When making a presentation, it is a good idea to have visual aids. Below are a few tips about using PowerPoint slides and computer graphics for framing content:

Limit the words per frame to seven words across and seven words down.

Use pleasing and easy-to-see colors (e.g., use blue as a foreground or background and don’t use yellow, which fades, or red, which is difficult to read).

Use bulleted lists.

Use readable graphics.

Keep charts and graphs simple.

Remember, the oral presentation reinforces the material provided in the written reports. Even if you prepare the “perfect” presentation, it may not be accepted immediately. You may face opposition for any number of reasons. Or, perhaps the opposing staff member does not see the value in the proposed change.

The best way to overcome this situation is to diffuse it before it emerges. Be prepared for any objections that may come up by reviewing your proposal with a critical eye to identify soft spots ahead of time. Add some facts or responses to possible objections in the body of your presentation. That way the question never gets asked because you have already provided the answer.

How Do You Get Top Management Support?

To develop a training program or to introduce a comprehensive organizational change process, you will need management support. Management support is not just a memo or a speech; it’s a philosophy. You know when you have it when you see consistent words and actions that reflect a strong personal commitment to support the individuals and the learning. In particular, you will know that management is serious about the training when you see them:

Take an interest in thoughtfully completing, on time, performance appraisals that include individual training plans.

Think about cross-training and identify and develop position backups.

Endorse staff participation in seminars, university courses, in-house workshops, and other development activities.

Promote staff participation in transfers, task forces, special projects, and on-loan assignments.

When creating your final presentation, consider integrating one or all of the following six points, which promote the audience’s thinking of the many uses of your proposed training:

1. Promote the thinking that training and development are an integral part of the business enterprise and its operation. Obtain a copy of the organization’s strategic plan. Review the plan for opportunities that might call for training or development. Meet with key managers, and find out their plans. Determine where the company will need training support, and begin with high-priority and high-impact work. Look for new technology, organizational changes, new product lines, and new organizational direction.

2. Learn the business. You’ve simply got to know what you are talking about. Do you know what the organization’s earnings per share were last year? Do you know the net profit? Do you know the contribution of the major division? Get to know the financial people so you can be comfortable with financial objectives, return-on-investment (ROI) and sales figures, debt equity, and cash flow. Then, go back to those strategic plans to make sure you understand the “what” and “how” of the new business venture or organizational direction.

3. Develop programs and activities that line managers can get involved in. Start with departmental managers; you can worry about staff departments later. Use your study of the strategic plans and operating reports and your discussions with managers as a starting point. In your presentation of needs, you can and should give managers the guidance to recognize what training is necessary. Be sure that what you do reflects what the managers really want and need.

4. Involve top management. Ask them which needs are most important. After you’ve completed the survey at all levels of the organization, develop a master plan covering those levels or general types of training. Your plan should encompass all activities either in place or to be developed. Obtain top management’s agreement, and get them involved in the training and development process by offering them an opportunity to train.

5. Develop practical how-to programs that give people tools they can use on the job immediately. Stay clear of fads. It’s probably best to tackle these hot topics after job training is completed.

6. Get a handle on ROI. Becoming involved in ROI includes identifying existing programs or activities that have a direct measurable effect on performance. Design evaluations of these trainings, and carry them out. Use before-and-after results to compare groups and measure the effect of training and if savings occurred as a result of the training. Once you have accumulated some meaningful statistics, publish the results to illustrate a positive training effect.

These six steps are not easy to implement. They take time and a well-developed plan to establish and monitor the actions. However, following them is certainly possible, and the rewards are worth the investment. Organizational alignment and productive people in the right jobs are only a few of the outcomes.

Chapter Summary

Sometimes the opportunity to assess training needs is limited, or there is a lack of available data. Gathering information about the training need and the actual or potential participant need or expectation is the first step. Below is a list of information to gather each time you conduct an assessment; this will help define the training outcome and promote meaningful learning strategies:

Nature of the role and tasks performed

Skills needed for the role or task

Number of participants

How familiar the participants are with the subject

Attitudes and beliefs about the topic

Successes or problems participants have encountered

The competence level of the participants

How well do the participants know one another

Whether the training is mandatory

Expectations of management about the training

After your training program is completed, it’s important to continually add data and information to the files that you started in Step 1. That way, you’ll be prepared whenever a future training or performance issue comes up. By keeping an up-to-date master file system, with related data about your company and your industry, whenever a training or performance possibility arises, you will have the background information and a clear idea of how the issues have evolved.

Analysis is the most critical element when creating your training program. For a successful training program, ensure that you do the following:

Include the six training design success strategies—management commitment, stated outcome for the training, training need/outcome questions that guided your analysis, identified factors that influenced the process both positive and negative, types of training, and performance standards and criteria.

Identify the trainees’ needs.

Follow the four-step needs-analysis process: surveillance (scan the organization to determine if there is a need or performance gap); investigation (determine the type of data you need to guide your decision about the training and determine the data collection method); analysis (obtain a clear picture of the problem, the evidence, and the data sources to help determine type of problem and determine the best source for training—in-house personnel, hiring consultants, or purchasing a complete package); and reporting (present your findings to management).

Consider time, need, and timeliness for addressing the identified training need.

In the next chapter, you will begin to write your instructional materials and learning activities by looking at the steps to design a training program and by discussing learning theory.