Every year companies spend thousands and thousands of dollars in training programs that fail. Why? Because they fail to provide programs that meet the specific business needs of the organization and the specific professional development needs of the employee.
A needs assessment is the core of any training program. It gives you the basis for program development and establishes the criteria for measuring the success of the program after its completion.
Needs assessors are much like physicians, who ask a series of questions and order a battery of medical tests to uncover and treat the causes rather than the symptoms of an ailment. Needs assessment is the process of determining the cause, extent, and appropriate cure for organizational ills. The process addresses the organizational context and combines organizational analysis, data gathering, and interviewing techniques to identify and shrink the gap between desired and actual knowledge, skills, and performance. It is a careful study of the organizational context, the job itself, and the knowledge, skills, and abilities of the job incumbents.
Simply put, the process identifies the desired performance and the current performance. The difference or the gap between the actual and the desired level of performance becomes the training need and provides the basis for the training design. The correct problem identification (cause) is the key to developing and implementing appropriate corrective measures (proper cure).
Before we address how to conduct a needs assessment, we need to take a look at the reasons for doing one. Overall, the purpose of a needs assessment is to prevent a quick-fix, bandage approach to business problems. Instead, a needs assessment, if you do it properly, will ensure that the solution(s) addresses the real issue(s) and effectively focuses the appropriate resources, time, and effort toward a targeted solution. The following are some valid reasons for conducting a needs assessment.
Poor performance is not always a training issue. Often performance problems are the result of poor management practices, organizational barriers, or inadequate systems or equipment. A needs assessment, if conducted properly, will determine whether training is necessary and avoid the mistake of applying a training solution to a nontraining problem. If it is determined that the problem does require training, the needs assessment will help you identify the performance issues that training should address.
As noted, poor performance can be the result of many other factors, including poor incentives, lack of internal motivation, the work environment, poor management, inadequate skills and knowledge, or the employees' lack of confidence. Sometimes, the cause may be poor management. Poor management practices might include poor hiring decisions, poor communication, unclear expectations, or inadequate coaching and feedback. For example, there is a saying that “ducks don't climb trees.” Unfortunately, corporations are full of “ducks” in positions that require “squirrels,” and no matter how hard they try, they will never succeed in their positions. In other words, if employees are put in positions for which they are unsuited, all the training in the world will not improve their performance. In other cases, managers fail their employees by not stating clearly their expectations or standards of performance.
Often employees do not know what is expected of them. They may have the knowledge, skills, and ability to do the job quite well but are not meeting the manager's expectations. If that is the case, then the training needs to be directed toward the manager rather than the manager's employees.
A needs assessment will help determine the type of training necessary to achieve results. Should it be workshop, self-study, or on-the-job? It will help you identify how long the training program should be and who the target audience is. It will also help you identify what should be included in the program and the degree of urgency.
The needs assessment will help you determine what knowledge, skills, and attitudes need to be addressed during the training. It will also help distinguish “need to know” from “nice to know.” By focusing on what the trainees actually need to know in order to do their jobs better, a program can be developed that will get results.
A needs assessment provides a baseline against which to measure results or changes. It is simply a starting point.
By involving line management and other key organizational players, you will find the support you need for the training program to succeed. Because they have had input, they will have a vested interest in the program. Management commitment comes if managers and supervisors see that you are developing training programs in direct response to their specific needs.
The needs-assessment process can be as detailed and involved as needed or desired. Many factors must be taken into consideration, including time, money, number of people involved, resources available, and so forth.
A full-blown needs assessment is both time-consuming and costly. Frankly, few organizations are willing to make that kind of investment. A typical alternative is to conduct an abbreviated form of needs assessment, using only two or three methods.
Table 1.1 offers a comparison between an in-depth and an abbreviated needs assessment.
Table 1.1 In-Depth versus Mini Needs Assessment
In-Depth | Mini | |
Types of Information | Quantitative | Qualitative |
Methods | Multitiered approach Surveys Observation Interviews Focus groups Document reviews |
Interviews Focus groups |
Scope | Widespread organization involvement Broad-ranging objectives |
Fewer people involved Short-term focus |
Length | Several months to a year | Few days to a week |
Cost | Expensive | Inexpensive |
Focus | Linked to defined outputs Long-term |
Immediate, quick results |
Exposure/Visibility | High profile and risk | Lower risk |
The Trainer's Handbook, 4th Ed. Copyright © 2016 by Karen Lawson. Reproduced by permission of Pfeiffer, an imprint of John Wiley & Sons, Inc.
The people assessed depends on the goal and the required depth of the assessment. Consider the following categories of people and then decide which groups to target as data sources.
To get a clear picture of the problem and its business impact, start with senior management. Ask more strategic questions that address the direction of the organization as well as anticipated industry changes. In other words, start with an organizational context. If you are an internal consultant, you should already have a good idea of the issues driving the need for training. If you are external, you will probably need to do some research first and then ask specific questions to gain better insight into the organizational issues that can be addressed through training.
Here are some questions that will help you gain a better understanding of the organization's business needs:
It is also important to identify the target population, those who will receive the training. Often they are overlooked. They should be contacted to find out both their perceived and real training needs. If they are not consulted, it is unlikely they will have a sense of ownership or “buy-in,” and they will most likely approach the training experience with resistance and resentment.
Those who manage members of the target population are a critical source of data, because the purpose of the training is to help the line manager solve a business problem or meet a business need. These business needs may include improved productivity, decreased errors, fewer accidents, increased business, decreased turnover or absenteeism, or fewer customer complaints.
When the target population consists of managers or supervisors, good sources of data are those who report to these people. Direct reports can often provide valuable insight into the skills that managers and supervisors need to improve.
More and more organizations are using 360-degree feedback as part of their assessment process, providing employees with performance feedback from multiple sources. Talking with or surveying the target population's co-workers or peers, for example, can provide valuable insight into the skills necessary for a successful team environment. The more organizations that use cross-functional teams, the more critical the need becomes to involve other team members in the assessment process.
The human resources (HR) department is probably the best source of records and documents. It, of course, will have data on turnover, grievances, safety violations, and so forth, as well as performance appraisals and the like. The HR professionals can also provide interesting insight into the organization's culture.
Vendors are a good source of qualitative data. They can share their perceptions of the organization or specific departments with which they interact, plus give some valuable insights into industry standards and practices.
Customer surveys provide quantitative data that can help pinpoint specific deficiencies, that is, gaps between desired and actual behavior. Survey data will provide information on the level of satisfaction relative to customer-service practices, the quality of the product or service, and delivery systems.
For example, an organization may survey external customers to determine customer satisfaction regarding a call center's activity, such as response time in answering the telephone, friendliness of the service representative, ability to solve the customer's problem, and turnaround time for a request. An internal customer satisfaction survey will include similar items but would be targeted to a specific department. The systems or information technology (IT) department, for example, may choose to send a survey to all the other internal departments it supports to identify how well IT is meeting the needs and expectations of its internal customers.
Published competitor data such as sales results, market share, stock prices, and financial reports help to identify the organization's position in relation to its competitors and helps to pinpoint areas for improvement. Gather these data from an organization's annual report or from trade publications.
Industry experts have their thumbs on the pulse of the business in which your organization is engaged. They identify trends and industry standards against which your organization can measure itself. Experts may be identified through trade publications, where they may have written about the industry or may have been cited by others as experts in the field. One can also learn about and from experts by attending their sessions at professional conferences and “surfing the Internet” for appropriate websites.
Exhibit 1.1 provides an overview of the needs-assessment process.
A good place to start is to take a look at the organization's statements of vision, mission, values, and goals. Ask to look at the strategic plan. If these organizational data do not exist, suggest that these statements and documents be developed before addressing any training issues. Because the purpose of training is to help solve organizational problems, you must have a clear understanding of what the business problems are.
The first step is to identify the problem or need, stated in dollar terms, if possible. Find out what the problem is costing the organization in errors, turnover, lost business, or additional help. Remember that the desired outcome minus the current outcome identifies the need.
After the need has been determined, define the specific objective the training program should meet. The objective must state the desired performance or behavior and be measurable, observable, realistic, and “fixable.” Working with line managers, determine what to measure and how to tie it to organizational goals. Outcomes relate to the specific need. For example, the goal or outcome of safety training is to reduce accidents by a particular percentage. Customer service training should result in fewer customer complaints.
While examining possible causes, it is important to ask, “Is the problem due to a lack of knowledge or skill or is it operational?” For example, improper telephone use may have been identified as the problem. Incoming calls are being disconnected when the person who answers the call tries to transfer his or her calls. At first glance, it might appear that the people handling inbound calls need telephone skills training. However, if the telephone system is not set up to handle multiple functions, then training will not solve the problem.
To determine the true causes, not just the symptoms, of the problem or need, employ several investigative tools and techniques, including interviews, surveys, questionnaires, observation, and document examination. Choose investigative or data-collection methods on the basis of their appropriateness to the problem. The choice of methods will depend on various criteria such as time, cost, or available resources. These criteria, as well as the advantages and disadvantages of various data-collection methods will be explained later in this chapter.
Many methods are available for conducting a needs assessment.
Data-Collection Methods and Tools
From the rather extensive list of methods, select those most appropriate for the situation. Many factors will determine which methods to select. Look at the criteria in Exhibit 1.2, think about your own needs-assessment situation, and determine which criteria you believe should be taken into consideration.
Data-collection methods fall roughly into six categories: open-ended questionnaires, closed-ended questionnaires, survey instruments, interviews, observation, and document examination.
To help determine which data-collection methods to use, it is a good idea to look at the advantages and disadvantages of each, as shown in Table 1.2. Weigh these considerations against your chosen criteria.
Table 1.2 Advantages and Disadvantages of Data-Collection Methods
Advantages | Disadvantages | |
Open-Ended Questionnaires | Allow respondent to introduce new topics. Easy to develop. Inexpensive to administer. |
Communication is one-way. Respondents may not want to put comments in writing. Prone to ambiguity and opinions. |
Close-Ended Questionnaires | Easier to answer. Inexpensive to administer. Feeling of anonymity and confidentiality ensured. Less time-consuming. |
Limited information. Require more skill and work to prepare. Items subject to misinterpretation. Difficult and time-consuming to construct. |
Instruments | Validated through research. Quick and easily administered in groups. Scored quickly. |
Administration and coordination needed. Difficulty in choosing most appropriate. Difficult and time-consuming to construct. Need to research different types. |
Individual or Group Interviews | Can read nonverbal messages. Easier to talk. Build commitment for training. Clarifies expectations. Can introduce new topics. More detailed information. |
Time-consuming. Some people may feel threatened. Can be affected by interviewer bias. Difficult to organize and analyze data. People may be influenced by peers. |
Observation | Better understanding of variables. Provides real-life data and examples that can be used in course material. Real situations, highly relevant. Relatively low cost |
Time-consuming. Requires some knowledge of the job. People may be anxious, nervous. Difficult to record data. |
Analysis of Existing Information | Factual, highly valid. Easy access to many sources in one place. Inexpensive and not very time-consuming. Unobtrusive. Provides specific examples. |
May be outdated. Many not cover all areas needed; too generic. Risks misinterpretation. May be biased. |
The Trainer's Handbook, 4th Ed. Copyright © 2016 by Karen Lawson. Reproduced by permission of Pfeiffer, an imprint of John Wiley & Sons, Inc.
The most common approaches are covered in detail next.
Whether for an in-depth or an abbreviated needs assessment, one-on-one and group interviews are valuable data sources. When developing interview questions, be sure to ask open-ended rather than closed-ended questions. Closed-ended questions can be answered with a simple “yes” or “no.” For example, a question such as “Do you think there is a need for training?” elicits a one-word response. Probe further by asking an open-ended question. To get to the heart of the matter right away, ask a question that begins with “how” or “what” such as, “What would help you do your job better?” Try to avoid asking questions that begin with “why.” First, people may not know why. Also, “why” questions tend to put people on the defensive.
As mentioned earlier, communication is critical throughout the process. Interviews must be carefully planned and executed. The following guidelines will help you to conduct interviews smoothly and efficiently.
If I heard you correctly, you believe that…
Whatever you do, don't say, “What you mean is…” or “What you're saying is…” These statements imply that the speaker is not articulate enough to express himself or herself, and you have to help him or her out.
Observation involves a person who has received training in observation skills actually observing others on the job. Trained observers look for specific behaviors and are skilled in writing down their observations objectively in concrete behavioral terms. Observations are often used to validate information gathered by other methods such as interviews or questionnaires. Another observation technique makes use of an outside “shopper.” Some organizations (banks, retail sales) hire outside professionals to conduct telephone or face-to-face shopping surveys. With this method, representatives from the consulting company go into a store or branch office and pretend to be customers. They note specific behaviors such as how they were greeted, friendliness, and knowledge level of the employees. They may look for evidence of cross-selling efforts or an offer of further assistance.
An important consideration in using instruments is whether to develop them or purchase them. Questionnaires with open-ended questions are easy to construct, whereas questionnaires with closed-ended questions require more time and thought. Although published surveys can be costly, using them can not only save you time but will yield more accurate information because they have been tested for validity and reliability. Be aware, however, that published instruments may or may not be specific enough for a given situation. For both questionnaires and surveys, be sure to send a cover letter to participants explaining the purpose and what will be done with the results of the instrument. Make the instructions crystal clear.
Data analysis can be simple or quite complex, depending on the methods chosen. For qualitative data, such as individual or group interviews, as well as open-ended questionnaires and observation, do a content analysis, sorting information into categories (for example, positive and negative reactions) and identifying common themes. The goal of the content analysis is to categorize and quantify the data as much as possible with minimal interpretation.
For quantitative data (survey instruments and close-ended questionnaires), do a statistical analysis. Keep it as simple as possible. Do not become engulfed in number-crunching activities. Look at the data in terms of mean (the average, calculated by adding all the values and dividing by the number in the group), mode (the number that occurs most frequently), and median (the middle number in a numerical listing).
If your research indicates that training is appropriate, specify the type of training called for. Should it be workshop training, on-the-job, self-study, computer-based, or what? Training must address the problem specifically, and the systems must be in place to support the training outcomes. For example, you may identify a customer-service training program as the solution to customer complaints and lost business. Participants in the training will learn how to handle customer complaints tactfully and respond to customer inquiries politely and efficiently. Yet the program will fail if slow delivery makes it hard for the customer to buy the product.
Although the problem may have been stated at the beginning of the needs-assessment process by the key players in the organization, those are really perceptions of the problem. The data-collection process and subsequent analysis of that data will help to clarify and to define the real problem.
During the analysis phase, you will add to your perceptions of the problem through qualitative data such as interviews and focus groups. Verify your perceptions with survey results and other quantitative data. After categorizing the data, the next step is to identify priorities, always keeping in mind the business need. The prioritization process is extremely important since your needs assessment will probably result in a long list of training needs. Based on an analysis of the data, make your recommendations for specific training programs or interventions.
After the data have been collected and analyzed, identify the area(s) of need, design an action plan or strategies, and communicate your conclusions and recommendations to key personnel. This feedback should be delivered in both a written and an oral format. As you prepare to communicate your findings and recommendations, keep in mind that the goal is to get approval for your proposal. Plan a strategy for presenting the information in a positive light. Carefully think through what (and how much) to share, how to share, and with whom to share findings and recommendations.
The final report is a critical piece. It should be constructed in such a way that it presents the data in an easy-to-understand format along with conclusions and recommendations. The length of the final report, of course, depends on how extensive the assessment is. In any case, the written report should contain the following elements:
In addition to the written proposal, plan to present your information and recommendations to a selected audience. The oral presentation is an opportunity to hear reactions from the key players. Be prepared for questions and challenges. Anticipate what they may be and have responses and answers ready. Look at your presentation as a chance to sell your ideas. That means you will need to fine-tune your persuasion and influencing skills. Ask someone who is a skillful presenter and persuader to coach you before your presentation or, if you have the time and the opportunity, participate in a workshop on persuasive presentations.
Your selected audience depends on a number of factors such as the corporate culture and internal politics. In general, include key decision makers and representative stakeholders such as members of the target audience, their managers, and anyone who may have a vested interest in the program's success. Also, the number of meetings and the levels involved in receiving the feedback should relate to the scope of the assessment. For example, if everyone in the organization completed an employee-opinion survey, then every employee should receive feedback. This is generally done in various group meetings, with the managers sharing the results of the survey along with the appropriate action plan.
In many cases, you may have little control over the length of the presentation. Senior management will probably determine the time available based on their schedules, priorities, and other commitments. If they do not, then request an hour. That will give enough time to present your case and address any questions or concerns the executives might raise.
The key here is to present findings in summary form. Use slides of bulleted points and simple charts and graphs to illustrate and highlight important information.
After presenting the information and making recommendations, solicit reactions and feedback from the key players. It is possible that they will immediately approve your proposal. More likely, however, you will be asked to make some modifications. In some cases, you may have to go back to the drawing board several times.
Once your proposal has been approved, map out a plan for the design, development, and delivery of the program(s). Include specific action items with a time line and appropriate task assignments.
The next step in the process of designing a program that meets the specific developmental needs of the participants and the business needs of the organization is to write learning outcomes or objectives, which are addressed in detail in Chapter 5. However, before you begin the design and development process, examine some critical elements that are often overlooked: how adults learn, the different learning styles of your participants, and your own training style. Finally, examine some of the diversity issues in today's workplace that will have an impact on how you design, develop, and deliver effective training programs. These important considerations are addressed in Chapters 2, 3, and 4.
So far, we have looked at the needs-assessment process that serves as the basis of training design, development, and evaluation. It may seem that after you receive the go-ahead to design and develop a program targeted to specific needs, the needs-assessment task is over. Not so! You also must assess the knowledge, attitudes, and skill level of the participants prior to each session. Different audiences may have different needs. For example, let's say the organization has decided to implement a management development program to include all levels of management from first-line supervisor to senior manager level. The needs of a first-line supervisor will be different from those of a mid-level manager, and certainly different from those of a senior manager. Therefore, participants at each level must be further assessed.
A short, simple, and straightforward questionnaire such as the one shown in Exhibit 1.3 can be an invaluable tool in fine-tuning your program.
The information you receive from such a questionnaire will help you in the following ways:
A questionnaire allows you to identify those participants who have greater familiarity with the training topic so you can draw on them as resources.
Conversely, by identifying those with less familiarity with a topic, you will know who may need additional attention or encouragement.
Regardless of how extensive your needs assessment is, it is also a good idea to conduct an informal, on-the-spot, individual needs assessment at the beginning of the first session. Start by asking the participants what they expect from the session. Their answers will give you an indication of whether or not your design is on target. This on-the-spot assessment will also provide an opportunity to clarify participants' expectations. Reinforce those expectations that are on target with the training design or make last-minute adjustments to the program, to make sure participants' needs are met. Sometimes, participants may have expectations that you cannot possibly meet in the session. Chapter 8 covers some specific interactive on-the-spot needs-assessment activities.
Once you have completed the needs assessment and developed your action plan, the next step is to design the training program. Before doing so, however, you need to have a clear understanding of how adults learn so you reflect adult-learning principles throughout your training program.
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