NEEDS ASSESSMENT

This chapter covers the needs assessment process, the various levels, approaches, and issues. The
chapter thoroughly describes organizational level analysis, person analysis and task analysis and
what each entails. The section on person analysis breaks it down into the factors that influence
individual performance and motivation, including basic skills, abilities and self-efficacy of the
individual; inputs; outputs; consequences or rewards; and feedback. The section on task analysis
also goes into detail regarding tasks and the knowledge, skills and abilities required to perform
tasks, as well as describing the steps of a task analysis. The participants of needs assessment, and
what each player contributes is also discussed. Further, the various methods of needs assessment
are described, as are their strengths and weaknesses, giving the reader the information needed to
choose an appropriate method(s) to gather information. Overall, this chapter provides the
information needed to develop a general understanding of the needs assessment process and the
factors to consider in collecting appropriate information and choosing appropriate methods to
collect it.

Objectives

After reading and discussing Chapter 3, students should be able to

1. Discuss the role of organization analysis, person analysis, and task analysis in needs
assessment.
2. Identify different methods used in needs assessment and identify the advantages and
disadvantages of each method.
3. Discuss the concerns of upper-level and mid-level managers and trainers in needs assessment.
4. Explain how person characteristics, input, output, consequences, and feedback influence
performance and learning.
5. Create conditions to ensure that employees are receptive to training.
6. Discuss the steps involved in conducting a task analysis.
7. Analyze task analysis data to determine the tasks in which people need to be trained.
8. Explain competency models and the process used to develop them.

I. Introduction

A. Needs assessment refers to the process of determining learning needs and opportunities
and whether training is necessary.

B. There are three levels of analysis:

1. Organizational analysis involves determining the appropriateness of training, given
the company’s business strategy, resources, and managerial and peer support for
training.

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 2. Person analysis involves
a. Determining whether performance deficiencies are due to a lack of knowledge,
skills or abilities, to problems with motivation, or work design.
b. Identifying who needs training.
c. Determining employees’ readiness for training.
3. Task analysis involves identifying the important tasks performed as well as the
knowledge, skills and behaviors that are required to perform those tasks.

C. The needs assessment process produces information related to who needs training; what
they need to learn (i.e., what tasks and knowledge, skills, and behaviors to emphasize);
and what the climate is in the company. Needs assessment is the first step in the
instructional design process.
D. Reasons or “pressure points include:” legislation, lack of basic skills, poor performance,
new technology, customer requests, changes in customer preference, job redesign, new
products, higher performance standards, and new jobs.
E. Outcomes of the needs assessment process include: what trainees need to learn, who
receives training, the type of training needed, frequency of training, buy versus build
training decision, other options instead of training such as selection or job redesign.

II. Who Should Participate in Needs Assessment?

A. Managers, employees and trainers should be involved in the needs assessment process (see
Table 3-1, p. 93 for “Key Concerns” of upper-level managers, mid-level managers, and
trainers).
1. Upper-level managers can assess the role of training related to other human resource
functions and can determine whether training is related to the company’s business
strategy.
2. Mid-level managers are more concerned with the influence of training on the
attainment of their units’ financial goals; how much of their budgets to devote to
training; who should receive training; and for what jobs.
3. Trainers are primarily interested in needs assessment to provide them with information
that they need to administer, develop, and support training programs.
B. Subject matter experts (SMEs) are employees, academics, managers, technical experts,
trainers, customers, or suppliers who are knowledgeable with regard to
1. The tasks to be performed.
2. Knowledge, skills and abilities required to perform tasks effectively.
3. The necessary equipment.
4. Conditions under which tasks will have to be performed.
C. It is also important to get a sample of job incumbents involved in the process because
they tend to be most knowledgeable about the job and can be a great hindrance to the
training process if they do not feel they have had input into the needs assessment.

III. Methods Used in Needs Assessment (see Table 3-2, p. 95). Various methods may be used
to collect information. Multiple methods may be used.

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 A. Observation involves analyzing employees’ job performance by watching them directly.
1. Advantages include generating contextual data; and minimal interruption of workflow.
2. Disadvantages include the need for a skilled observer; and the effect that observing
may have on employees’ performance.
B. Questionnaires are a paper and pencil or on-line instrument that asks employees questions
regarding their work, their coworkers, the work environment, etc.
1. Advantages include the low cost; the ease of collecting data from a large number of
individuals; and obtaining data that is typically easy to summarize.
2. Disadvantages include the time requirement; and possible low return rates or
inappropriate answers.
C. Interviewing involves asking questions typically face-to-face and one-on-one to gather
data, although interviews can also be conducted with a group. Focus groups are a type of
SME interview that involves a face-to-face meeting with groups of SMEs in which the
questions that are asked relate to specific training needs.
1. Advantages include that this is a good means of uncovering feelings and causes and
solutions for problems.
2. Disadvantages include the large amount of time required; the need for a skilled
interviewer; and the difficulty in analyzing or summarizing the data collected.
D. Focus groups are a type of SME interview that involves a face-to-face meeting with
groups of SMEs in which the questions that are asked relate to specific training needs.
E. Technical manuals and records are printed materials about company performance,
technology, tasks, the business environment, etc., which can be used as a source of
information for needs assessment.
1. Advantages include the objectivity and large amount of information that can be
obtained; and they are a good source of task information.
2. Disadvantages include the highly technical nature and language of some of these
sources; and the materials may be obsolete.
F. Online technology is available to monitor and track employee performance.
1. Advantages include objective report of behaviors, quickly summarization of date into
reports, does not require a SME, and minimizes work interruptions.
2. Disadvantages include it is suitable for only a small number of jobs and to be effective
managers need to ensure that the information is used to train and not to punish
employees.
G. Benchmarking is often used by companies to determine best practices. This information
is summarized and shared with participating companies.

IV. The Needs Assessment Process

A. If the organizational analysis indicates the company wants to devote time and money to
training, a person and task analysis is then conducted. Organizational Analysis focuses
on three factors to examine when determining if training is the appropriate intervention:

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 1. The company’s strategic direction influences training to the extent that, in
companies where training plays a significant strategic role, more money is invested in
training and the training function is more likely to be structured as a virtual training
organization or a corporate university.
2. Support of Managers and Peers for Training Activities is critical.
a. A key factor is a positive attitude among peers and managers about participation in
training.
b. Another key factor is managers’ and peers’ willingness to help create opportunities
to use new skills, knowledge, and behaviors back on the job and to make trainees
aware of those.
3. Training resources, including money, time and expertise, need to be identified in the
organizational analysis phase.
a. When external consultants will be used for training, a request for proposal (RFP),
or a document outlining to potential consultants what services the company is
seeking, the timeline, funding, etc., may be made. This creates a standard set of
criteria upon which to evaluate consultants.
b. Questions to ask vendors and consultants include: What type of experience does
your company have? What are the qualifications and expertise of your staff? What
evidence do you have that your programs have been effective?
c. When choosing an external consultant, it is important to consider how customized
the training will be to one’s company.
B. Person Analysis helps to identify who needs training by examining whether current and
expected performance match.
1. Employees’ readiness for training (or readiness for learning) refers to whether
a. Employees have the ability, attitudes, beliefs, and motivation to learn
b. The work environment will maximize learning.
c. Performance improvement needs are indicated by customer complaints, low
performance ratings, accidents, errors and unsafe behavior.
2. Figure 3-3, p. 101, identifies factors that influence employee performance and learning,
by way of the motivation to learn:
a. Person characteristics, including knowledge, skill, abilities, attitudes and
motivation.
b. Input, or the instruction and resources provided.
c. Output, which refers to the job’s performance standards.
d. Consequences, referring to the incentives employees receive for performing well.
e. Feedback, or information employees receive while they are performing about their
performance.
3. Person characteristics
a. Basic skills are those that are necessary for employees to perform successfully on
the job as well as learn the content of training. A literacy audit can be used to
indicate employees’ basis skill levels (see Table 3-5, p. 104).
b. Cognitive ability, related to successful job performance, includes three
dimensions:
1.) Verbal comprehension, which is an individual’s capacity to understand and use
written and spoken language.

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 2.) Quantitative ability is how fast and accurately one can solve mathematical
problems.
3.) Reasoning ability is the person’s capacity to create solutions to problems.
c. Reading ability is related to job performance and training success such that
inadequate reading ability impedes performance and learning. Training material
should be presented at an appropriate reading level for the trainees.
1.) The difficulty of written materials is referred to as readability.
2.) Readability can easily be determined by analysis of sentence length and word
difficulty.
3.) If reading ability doesn’t match what is needed to comprehend training
materials, it should be determined if audiotape or videotape could be used
instead; employees’ reading skills could be assessed and those lacking the
necessary skill could be reassigned to more appropriate positions; or provide
remedial training to those with reading deficiencies.
d. Self-efficacy is the employee’s belief that he/she can successfully perform on the
job or master the content of a training program. It can be increased by:
1.) Letting employees know that the purpose of the training is to improve
performance rather than reveal incompetencies.
2.) Providing as much information as possible about the training program and its
purpose prior to the training.
3.) Showing employees the training success of their peers.
4.) Making employees aware that learning is under their control and that they have
the ability as well as the responsibility to overcome learning obstacles they
experience.
e. Awareness of training needs, career interests, and goals helps employees be
motivated to learn. The link between training and areas where employees need to
improve should be emphasized.
4. Input relates to the instructions that guide employees on how, what and when to
perform.
a. Situational constraints include lacking the necessary tools and equipment,
materials and supplies, budgetary support, and time to perform.
b. Social support is the managers’ and peers’ willingness to provide feedback and
reinforcement and to provide opportunities.
c. To ensure that the work environment supports trainees’ motivation to learn:
1.) Provide materials, time, information, and work aids necessary for employees to
use new skills before the training begins.
2.) Speak positively about the company’s training initiatives to employees.
3.) Reinforcement employees’ using new skills, knowledge or behaviors.
4.) Provide feedback to encourage work-group members to support each other in
using new skills and behaviors.
5.) Provide the time and opportunities to practice and apply new skills and
behaviors.
5. Output refers to the job’s performance standards.
a. Lack of awareness of performance standards may result in substandard
performance.

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 b. Understanding the need to perform up to standards is important for learning to
occur.
6. Consequences are the incentives that employees receive for good job performance.
a. If employees don’t believe reward or incentives are adequate, they may not be
motivated to perform, even if they have the necessary knowledge, skills, and
abilities.
b. Trainees’ motivation to learn can be enhanced by communicating the them the job,
personal and career-related benefits of learning.
c. Unmet expectations about training programs will hinder motivation to learn.
d. Work group norms may encourage employees not to meet performance standards.
Norms refer to accepted standards of behavior for work-group members.
7. Feedback is the information employees receive regarding their job performance and
whether they are meeting performance standards
a. Employees need specific, detailed feedback regarding performance.
b. Feedback also needs to be frequent to influence performance.
8. If employees lack the knowledge and skill to perform and other factors above are in
place, training is likely needed. To determine if training is the best solution, assess
whether:
a. The performance problem is important and could potentially cost the company
significant money or lost production.
b. Employees do not know how to perform effectively.
c. Employees cannot demonstrate the correct knowledge or behavior (i.e., an input
problem).
d. Performance expectations (input) are clear and there are no obstacles to
performing well.
e. There are positive consequences for good performance, and poor performance is
not rewarded.
f. Employees are receiving timely, relevant, specific, constructive feedback about
their performance.
g. Other solutions, such as job redesign or transferring employees to other jobs, are
not feasible or are too expensive.
C. Task analysis results in a description of tasks performed on a job as well as the
knowledge, skills and abilities required to perform those tasks.
1. A job is a specific work position involving and requiring the completion of a defined
set of related tasks.
2. A task is a specific work activity that is a component of a job.
3. Certain KSAOs, or Knowledge, Skills, Abilities and Other considerations, are required
to perform each task.
a. Knowledge includes facts, figures, and procedures.
b. Skill is the competency to perform a task
c. Ability refers to the physical and mental capacities required to perform a task.
d. Other considerations include conditions under which tasks are performed, such as
necessary equipment and environmental features, time constraints, safety
considerations, or performance standards.

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 4. There are four primary steps to a task analysis.
a. A job or cluster of jobs are selected to be analyzed.
b. A preliminary list of tasks performed on the job is developed by interviewing and
observing employees and managers as well as talking with others who have
performed a task analysis.
c. The preliminary list of tasks is validated or confirmed, typically by asking a group
of subject matter experts (SMEs) to indicate
1.) How frequently the task is performed.
2.) How much time is spent performing the task.
3.) How important or critical the task is for successful job performance.
4.) How difficult the task is to master.
5.) Whether performance on the task is required of entry-level employees.
d. The knowledge, skills and abilities required to successfully perform each task are
identified via interviews or questionnaires. Training content and prerequisites can
then be determined.
5. Key points to remember when conducting a task analysis (see Table 3-7, p. 117):
a. Task analysis should determine both what employees are actually doing on a job
and what they should be doing.
b. Task analysis starts by breaking jobs into their subunits of duties and tasks.
c. Use more than two methods for collecting task information to increase the validity
of the analysis.
d. Information should be gathered from subject matter experts (SMEs), including job
incumbents, managers and other employees familiar with the job.
e. Emphasis should be placed on tasks that are necessary to achieve company goals
and objectives, which may or may not be the same tasks that are the most difficult
or time-consuming.

V. Competency Models: A current trend in needs assessments is to focus on competencies.

A. A competency refers to areas of personal capability that enable employees to perform

their jobs successfully by achieving outcomes or completing tasks. It can be knowledge,
skills, attitudes, values, or personal characteristics.
B. A competency model identifies the competencies necessary for job performance and the
underlying knowledge, skills, behavior and personality characteristics (see Table 3-8, p.
114). It is used to identify training needs by comparing current competencies to those
required by the job.
C. To identify competencies and develop competency models:
a. First identify the job to be analyzed.
b. Then identify changes in business strategy that might change competency needs.
c. Identify effective and ineffective performers.
d. Identify the competencies responsible for effective and ineffective performance.
e. Validate the model.

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CHAPTER 3 SUMMARY

Chapter 3 addressed the important needs assessment phase of the training and development
process. A fundamental knowledge of assessing needs, the factors to consider, information to
collect, and means of collecting it is essential. The first step in a successful training effort is to
determine that a training need exists. This chapter provided a sound and thorough discussion of
the three levels of analysis, i.e., organizational, person, and task, and what each entails. It brought
to light the various players in needs assessment and the role of each. Methods of data collection
for assessing needs were presented, along with the strengths and weaknesses of each. Finally,
competency models and the steps to develop them were described.

Discussion Questions

1. Which of the factors that influence performance and learning do you think is most important?
Which is least important?

Answer:
Person characteristics, input, output, consequences, and feedback also influence motivation to
learn. Motivation to learn is related to knowledge gained, behavior change, or skill
acquisition resulting from training. The way a person feels about him or herself is strongly
related to learning ability and performance. All the factors are important. (p. 102)

2. If you had to conduct a needs assessment for a new job at a new plant, describe the method
you would use.

Answer:
If the trainer was familiar with the manufacturing process, direct observation would be a good
method to use. Focus groups would get potential trainees involved in the needs assessment
process. (p. 95-96)

3. If you were going to use online technology to identify training needs for customer service
representatives for a web-based clothing company. What steps would you take to ensure that
the technology was not threatening to employees?

Answer:
Online technology is available to monitor and track employee performance. The use of online
technology in needs assessment is best suited for only a small number of jobs requiring
interactions with customers through the use of a computer or telephone. Also, for online
technology to be effective, managers need to ensure that the information is used to train and
not to punish employees. Otherwise, employees will feel threatened, which will contribute to
employee dissatisfaction and turnover. (p.96)

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4. Needs assessment involves organization, person, and task analysis. Which one of these
analyses do you believe is most important? Which is least important? Why?

Answer:
Person analysis focuses on identifying whether there is evidence that training is the solution,
who needs training, and whether employees have the prerequisite skills, attitudes and beliefs
needed to insure they master the content of training programs. A task analysis may ne the
least important aspect of the needs assessment. (p. 91)

5. Why should upper level managers be included in the needs assessment process?

Answer:
Upper level managers are involved in the needs assessment process to identify the role of
training in relation to other human resource practices in the company (e.g. selection,
compensation). Upper-level managers are also involved in identifying what business functions
or units need training (person analysis) and in determining if the company has the knowledge,
skills, and abilities in the work force that are necessary to meet its strategy and be competitive
in the marketplace. (p. 92)

6. Explain how you would determine if employees had the reading level necessary to succeed in
a training program.

Answer:
A literacy audit can be used to determine employees’ basic skill levels. See Table 3-5 on page
104.

7. What conditions would suggest that a company should buy a training program from an outside
vendor? Which would suggest that the firm should develop the program itself.

Answer:
It is necessary to identify whether the company has the budget, time, and expertise for
training. If a company decides to purchase a training program from a consultant or vendor,
rather than build the program in-house, it is important to choose a high quality provider.
Table 3.4 (p. 100) contains several important questions to ask vendors and consultants.

8. Assume you have to prepare older employees with little computer experience to attend a
training course on how to use the World Wide Web. How will you ensure that they have high
levels of readiness for training? How will you determine their readiness for training?

Answer:
Observations and interviews would be an acceptable needs assessment. Increasing their
motivation level, and willingness to learn will be very important in ensuring they have a high
readiness level for training. Explaining benefits of computer literacy may also be helpful.
(p. 95-96)

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9. Review the accompanying sample tasks and task ratings for the electronic technician’s job.
What tasks do you believe should be emphasized in the training program? Why?

Answer:
Replacing components and the use of small tools should be emphasized first. Once a trainee
has built up his or her confidence in this area, then the training can move on to more complex
areas such as: repair of equipment and the interpretation of instrument readings.

10. Discuss the types of evidence that you would look for in order to determine whether a needs
analysis has been improperly conducted.

Answer:
The purpose of a needs assessment is to determine the necessity of the instructional design
process. Once that “gap” is recognized, the instruction can then be evaluated for its
effectiveness. (p. 91)

11. How is competency modeling similar to traditional needs assessment? How does it differ?

Answer:
In a traditional needs assessment, three different types of analyses are involved. They are
organizational, person and task analysis. A competency model identifies the competencies
necessary for each job as well as the knowledge, skills, behavior, and personality
characteristics. (p. 114)

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