Needs Assessment for Learning and Performance: Theory, Process, and Practice 9780367253868, 9780367253875, 9780429287510

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Needs Assessment for Learning and Performance

Needs Assessment for Learning and Performance offers comprehensive coverage of the knowledge and skills needed to develop and conduct needs assessments and to analyze, interpret, and communicate results to clients and organizations. Though critical to planning any performance improvement system, needs assessments can feel abstract and vague to students who have not yet managed the process in a professional setting. This first-of-its-kind textbook uses a variety of real-world examples to connect major theories and models to effective principles for practice. Each chapter offers guiding questions, key terms and concepts, recommended reading, and case studies illustrating how needs assessment training can be applied. Graduate students and researchers of instructional design, human resources, performance improvement, program evaluation, and other programs will find this volume relevant to a range of academic and organizational contexts. Jill E. Stefaniak is an Assistant Professor in the Learning, Design, and Technology program in the Department of Career and Information Studies at the University of Georgia, USA. Her research interests focus on the professional development of instructional designers and design conjecture, designer decision-making processes, and contextual factors influencing design in situated environments.

Needs Assessment for Learning and Performance Theory, Process, and Practice

Jill E. Stefaniak

First published 2021 by Routledge 52 Vanderbilt Avenue, New York, NY 10017 and by Routledge 2 Park Square, Milton Park, Abingdon, Oxon, OX14 4RN Routledge is an imprint of the Taylor & Francis Group, an informa business © 2021 Taylor & Francis The right of Jill E. Stefaniak to be identified as author of this work has been asserted by her in accordance with sections 77 and 78 of the Copyright, Designs and Patents Act 1988. All rights reserved. No part of this book may be reprinted or reproduced or utilised in any form or by any electronic, mechanical, or other means, now known or hereafter invented, including photocopying and recording, or in any information storage or retrieval system, without permission in writing from the publishers. Trademark notice: Product or corporate names may be trademarks or registered trademarks, and are used only for identification and explanation without intent to infringe. Library of Congress Cataloging-in-Publication Data A catalog record for this title has been requested Names: Stefaniak, Jill E., 1984- author. Title: Needs assessment for learning and performance : theory, process, and practice / Jill E. Stefaniak. Description: New York, NY : Routledge, 2021. | Includes bibliographical references and index. Identifiers: LCCN 2020012600 (print) | LCCN 2020012601 (ebook) | ISBN 9780367253868 (hardback) | ISBN 9780367253875 (paperback) | ISBN 9780429287510 (ebook) Subjects: LCSH: Problem solving. | Needs assessment. | Evaluation. | Project management. | Performance. Classification: LCC HD30.29 .S74 2021 (print) | LCC HD30.29 (ebook) | DDC 658.4/03–dc23 LC record available at https://lccn.loc.gov/2020012600 LC ebook record available at https://lccn.loc.gov/2020012601 ISBN: 978-0-367-25386-8 (hbk) ISBN: 978-0-367-25387-5 (pbk) ISBN: 978-0-429-28751-0 (ebk) Typeset in Dante and Avenir by Swales & Willis, Exeter, Devon, UK

To NGK – My compass

Contents

  1 The Practitioner’s Role in Needs Assessment

1

  2 Needs Assessment Basics: Understanding the Process

15

  3 Needs Theory

26

  4 Understanding the System

46

  5 Contextual Analysis

57

  6 Needs Assessment Models and Processes

73

  7 Project Management as It Relates to Needs Assessment90   8 Data Collection Tools and Techniques

103

  9 Making Sense of Your Data

126

10 Decision-Making during Needs Assessment

138

11 Prioritizing Needs

148

viii Contents

12 Aligning Instructional and Non-instructional Solutions160 13 Enacting Change

173

14 Embracing Design Thinking to Manage Project Constraints

193

Index200

The Practitioner’s Role in Needs Assessment

1

Case: Declining Sales for Woodward Manufacturing Alexis Culpepper1 has been hired to do some contract work for Woodward Manufacturing, a leading manufacturer of aftermarket car products. Jim Matthews, the CEO, has shared with Alexis that the company has experienced a decline in sales over the past five years. He attributes this to several leaders who have recently retired and an inexperienced younger workforce. During their meeting, Jim expresses to Alexis that he needs her to create a leadership development and mentoring program to train his younger workforce, as he believes the decline in sales is due largely in part to their lack of experience in the aftermarket industry. As Alexis and Jim continue their conversation, she is not entirely convinced that a leadership development program is going to fix Woodward Manufacturing’s decline in sales. She asks Jim if his organization has conducted a needs assessment. He shares with her that he has not, but that he feels very confident that the issue rests with the need for ­leadership development. Alexis is not sure how to proceed. She wants to provide Woodward Manufacturing with a solution that it needs and she hopes it will result in future contract work; however, she is skeptical that a leadership development program is going to solve all of the performance problems. She thinks a needs assessment would be helpful for providing a better understanding the organizational issues, but Jim does not think it is needed.

2  The Practitioner’s Role in Assessment

Guiding Questions 1. 2. 3. 4. 5.

What is a needs assessment? What is the difference between needs assessment and needs analysis? What is the practitioner’s role during a needs assessment? What is the difference between an internal and external consultant? What items are typically included in a needs assessment plan?

Key Terms Need Needs assessment Needs analysis Internal consultant External consultant Consultant

Chapter Overview This chapter will discuss the role of the needs assessor in a needs assessment. When conducting a needs assessment, the needs assessor needs to remain objective and gather data from multiple sources to validate the needs that have been presented by the client or identify actual needs. Emphasis will be placed on why individuals need and should conduct needs assessments, the importance of interfacing with their clients and organizations, and how to create a plan for addressing needs presented in initial meetings. This chapter will also distinguish the difference between needs assessment and analysis and the role that the needs assessor serves in each of these phases of a project. A needs assessment is the process of identifying or verifying needs while analysis focuses on addressing the causal factors that contribute to or cause those needs.

Is Needs Assessment Necessary If the Project Need Has Been Identified? Consultants are often presented with a project after a need has been identified. A need is a gap or discrepancy between a present state and the desired

The Practitioner’s Role in Assessment  3

state (Altschuld & Kumar, 2010). Oftentimes, they are approached by a client asking them to provide a service or a solution. “We need training.” “We need to reduce staff.” “We need to hire additional employees.” These are examples of solutions; not needs. More often than not, a client has identified the desired solution without actually determining or verifying that it aligns with the actual needs. Regardless of the type of project, a consultant’s role should be to identify, validate, and verify that desired solutions align with the actual needs of the organization. The process of needs assessment can help the consultant gather the necessary information that they need to acquaint himself or herself with the organization, ­situation, and project needs. One way that a consultant can determine if the need being presented by the client is an actual need is by exploring how the word “need” is being used in a grammatical sense. Altschuld and Kumar (2010) point out that a “need in grammatical usage is a noun, not a verb” (p. 3). If the need is being presented in a sentence by the client and they are using the word “need” as a verb, then it is a solution strategy rather than an actual need statement. Lots of needs assessment experts have pointed out that there are discre­ pancies with how the word “need” is being used when clients are seeking assistance from consultants (Altschuld & Kumar, 2010; Russ-Eft & Sleezer, 2020; Watkins, Meiers, & Visser, 2012). If a client has approached a consultant with an expressed need and a pre-identified solution, the consultant should ask their client the following questions at the beginning of a project: • • • • •

Has a needs assessment been conducted? Who was involved in conducting the needs assessment? What types of data sources were used? Why is it important for the organization to address this need? Is the client open to the consultant gathering additional information?

If a needs assessment has not yet been conducted, it is in the organization’s best interests to gather some preliminary information to verify that the needs that have been identified will align with the identified and requested solution. In most cases, a need will not be fully identified until the consultant has time to gather data to fully understand the gap or discrepancy between the client’s current state of affairs and where they would like to be in the future. The need is not the solution; it is the gap that exists between the two states (Figure 1.1). Failing to do so will result in recurring problems and outputs that may not be measuring the specific areas of performance

4  The Practitioner’s Role in Assessment

Figure 1.1  Differentiation between needs and needs assessment

related to the problem. Chapter 3 will provide more details regarding how to identify and distinguish between different types of needs.

What Is Needs Assessment? A needs assessment is the process of determining the gap in performance between the current state and the desired state (Altschuld & Kumar, 2010). When conducting a needs assessment, the needs assessor needs to gather sufficient data from their clients to gain a deep understanding of the current situation. Examples could include identifying challenges with individual employees or work units, reviewing the types of services and products being provided by the organization, and assessing annual sales reports. The second stage of a needs assessment is to work with the client to identify the desired state of performance. How does the organization want to be performing if it were not faced with any current barriers or challenges? How should each work unit function? What would it like its position to be in their respective market or industry? Once the current and desired states of performance have been identified, the needs assessor’s role is to then identify the gaps in performance. The goal of any needs assessment is to be able to provide recommendations to a client to help them bridge the gap and move towards achieving the identified

The Practitioner’s Role in Assessment  5

desired goals. To effectively identify the gap in performance, a needs assessor must have access to the necessary data that demonstrates a gap truly exists. Needs assessments are typically conducted for the following three reasons: (1) to address a recurring problem that has been identified within an organization, (2) to identify strategies to improve the quality of existing organizational practices, and (3) to identify opportunities for growth or expansion. Table 1.1 provides an overview of different types of reasons why an organization may request a needs assessment. Needs assessments are not limited to any particular industry or discipline. They can be beneficial to business and industry settings, healthcare, higher education, primary and secondary school (often referred to as K–12), and military/governmental sectors. Table 1.2 includes examples Table 1.1  Reasons to Conduct a Needs Assessment Reasons for Needs Assessment

Examples

Performance Problem

• Company A has been experiencing decreased profits with its new sports product line for three consecutive quarters. • A local elementary school has not been meeting state standards for reading comprehension. • A call center is looking to explore whether it can reduce the number of minutes a customer is waiting to speak with an agent. • An automobile dealership is exploring the possibility of transferring mandatory training materials to an online format to allow salesmen the opportunity to complete training materials from a distance. • Administration in a prominent medical school is looking to offer a master’s degree in medical education that medical students could take while completing their medical degree.

Quality Improvement

Exploring Opportunities

6  The Practitioner’s Role in Assessment

Table 1.2  Needs Assessments in Different Contexts Context Business and Industry

Needs Assessment Topics

• Examining cross-cultural work adjustment training (Selmer, 2000) • Identifying information needs for small scale businesses (Banda, Mutula, & Grand, 2004) • Identifying employee training needs in the banking sector (Ferdous & Razzak, 2012) Healthcare • Supporting needs of emergency medicine staff (Chinnis, Paulson, & Davis, 2001) • Needs assessment to improve leadership development programming (Grandy & Holton, 2013) • Exploration of strategies to improve waste management in healthcare (Mbongwe, Mmereki, & Magashula, 2008) • Assessing palliative care needs of patients (McIlfatrick, 2007) Higher • Assessment of career needs of undergraduate Education students (Weissberg, 1982) • Assessing graduate students’ mental health needs (Hyun, Quinn, Madon, & Lustig, 2006) • Faculty development opportunities for online education (Ali et al., 2005) K–12 Education • An environmental education needs assessment in Kentucky (Meichtry & Harrell, 2002) • Teachers’ preferences for Science, Technology, Engineering, and Mathematics (STEM) professional development (Owens, Sadler, Murakami, & Tsai, 2018) • Exploring mobile learning training needs of educators (Crompton, Olszewski, & Bielefeldt, 2016) • A needs assessment examining the adoption of Next Generation Science Standards (Harris, Sithole, & Kibirige, 2017) Military/ • Assessment of military population-based Government psychological resilience programs (Morgan & Bibb, 2011) • Clergy roles serving military families (Brown, 2012) • Assessing military leaders’ abilities to handle operational stress (Adler et al., 2008)

The Practitioner’s Role in Assessment  7

of different types of needs assessments that have been explored in different contexts. During a needs assessment, the needs assessor will gather data from multiple sources such as interviews and conversations with organizational leaders, reviews of organizational documents, direct observations and interactions with employees on the job, and conversations with employees representing multiple layers (or units) of the organization. The needs assessor must gather data from multiple sources so that they can recognize a recurring pattern in performance and justify any recommendations that may be a result of the needs assessment.

Differentiating between Needs Assessment and Needs Analysis A common misconception is that needs assessment and needs analysis are synonymous when, in actuality, they are two separate events. Needs assessment has been previously explained in this chapter as the process for identifying the gap in performance between the current state and the desired state of affairs. The process of needs assessment stops at the identification of a performance gap. Needs analysis involves delving deeper into the situation and identifying what is contributing to or causing the gap in performance (Clark & Estes, 2000; Guerra-Lopez, 2008; Kaufman & Guerra-Lopez, 2013; Wedman & Graham, 1998). Strategies often used during the needs analysis phase involve conducting a root cause analysis (Kaufman & Guerra-Lopez, 2013). Both needs assessment and analysis must be conducted during a project. If a needs assessor merely identified a gap without going further to understand what is causing the gap in performance, they will be at a disadvantage to make recommendations to the client that are sustainable and that are measuring appropriate performance indicators over an extended period. Specific tools and strategies to aid in the analysis phase of a project will be shared in chapters 8 and 9.

The Needs Assessor’s Role: Interfacing as a Consultant The term “needs assessor” will be used throughout this book to maintain consistency and is meant to refer to the individual who is involved in leading and/or participating in a needs assessment project. This also

8  The Practitioner’s Role in Assessment

extends to employees to have been tasked by their organization to conduct a needs assessment, performance improvement consultants, educators, or researchers seeking to better understand the environment in which they conduct their research studies. Regardless of a needs assessor’s official job title and description, any individual who is involved in conducting a needs assessment can be classified as either an internal or external consultant. An internal consultant is an individual who is an employee of an organization or work unit seeking to conduct a needs assessment. Examples could include, but are not limited to, the following: • A training manager who has been tasked with identifying opportunities for employee development • A professor interested in identifying gaps in their current curricular offerings and comparing them to job market needs • A strategy department looking to identify opportunities to expand their growth in a new or existing market An external consultant is an individual who is not a direct hire or employee of the organization seeking a needs assessment. Individuals working as freelancers or contract employees hired to complete a particular project are considered external consultants. Verlander’s (2012) definition of a professional consultant is “one who can be trusted to use standard consulting methods and procedures, who gives advice and produces solutions on behalf of clients” (p. 16). This definition is relevant to any individual responsible for leading a needs assessment in an organization. It is also important to note that needs assessments can vary in terms of scalability. They could be conducted to identify performance gaps at an individual, work unit, department, division, or large-scale organizational level. Timelines will vary for needs assessment projects depending on the size of the organization and needs that have been expressed by the client. Regardless of whether an individual is serving in an internal or external consultancy role, the strategies they employ for conducting the needs assessment and interfacing with their client (or organization) are very much the same. A common misconception that some organizations have is that they can hire a consultant and they will not have to do any additional work other than providing the consultant with access to the information they need to complete the project. It is important the needs assessor and their point of contact for the organization establish guidelines and expectations

The Practitioner’s Role in Assessment  9

Table 1.3  Expectations of Client and Needs Assessor Roles Client’s Role and Expectations

Practitioner’s Role and Expectations

Provide the practitioner with access to employees and leaders who can inform them of the situation being explored Make organizational documents readily available

Meet with multiple constituents to examine the situation from different viewpoints

Communicate any changes in the organization that may impact the needs assessment Assist the practitioner in identifying data sources to be used during data collection

Use multiple data sources to develop an understanding of the situation Will not omit information from the report that may skew the results of the needs assessment Communicate findings or any items that may impact the organization

regarding the consultant’s role during the needs assessment (Block, 2011; Hale, 2006). Table 1.3 provides an overview of common expectations and roles expected of a needs assessor and client during a project. The success of any needs assessment rests on the client’s ability to provide the needs assessor with access to the materials and resources that he or she may need. The needs assessor must be given access to the right people. These people are individuals who know about the issue, care about the issue, and can make the change happen (Cavanagh & Chadwick, 2005). A list of individuals should be created by the needs assessor in consultation with the client. As the needs assessor begins meeting with individuals within the organization, they should be asking themselves the following three questions: • Does this individual know about the issue being explored? • Does this individual care about the issue? • Does this individual have the autonomy to help facilitate potential changes in performance in the organization? If the response to any of these questions is a resounding “No!”, the needs assessor must meet with the client and try to identify individuals and data sources that will provide the necessary data needed to verify and validate the needs being explored.

10  The Practitioner’s Role in Assessment

The consultant and client must agree upon the needs that are to be investigated during the needs assessment project. Oftentimes, the needs that are agreed upon are considered expressed needs, based on the clients’ observations, feelings, or general hunches. Chapter 3 will provide an overview of the various types of needs that may be explored during a needs assessment project. These needs may be updated or modified throughout the project as additional information becomes available. It is also important that the needs assessor create a plan for conducting a needs assessment that is approved by the client before commencing their data collection and investigations (Witkin & Altschuld, 1995). Details as to what should be included in the plan are discussed in the following section.

Creating a Plan to Address Needs Before embarking on collecting data for a needs assessment, the needs assessor must create a plan to address the expressed needs that are being explored (Block, 2011). The items detailed in the needs assessment plan serve as the contract or memorandum of understanding between the needs assessor and the client. Each chapter throughout this book will expand on the topics identified in this section in more detail. Common items to be addressed in the needs assessment plan include the needs to be explored, data sources to provide additional information to better understand the needs associated with the project, the roles of the needs assessor and client, a designated individual to serve as the point of contact for the needs assessor to the organization, estimated timelines for completing the tasks, and expectations for how recommendations may be made. Oftentimes this includes a written report or presentation that is made to a group of leaders in the organization. If a needs assessor is serving in an external consultancy role, they should also include budgetary items associated with various phases or tasks pertaining to the needs assessment.

Summary The role of the needs assessor in a needs assessment project is to gather sufficient data that will inform the existing gaps in performance between the current and desired states as well as the underlying causes contributing to those gaps. Throughout the project, the needs assessor must interface regularly with the individual(s) serving as the designated point of contact

The Practitioner’s Role in Assessment  11

for the organization to establish and follow a plan for conducting the needs assessment and exploring the needs expressed by the client (organization). Most important, the needs assessor must be able to verify and validate that the expressed needs are the actual needs related to the issue and make recommendations that will help the organization move from their current state to the desired state of performance.

Professional Practice Revisited: Declining Sales for Woodward Manufacturing The case at the beginning of this chapter introduced Alexis, who has been hired by Woodward Manufacturing to create a leadership development training program to address a recurring decline in sales. The more she talks with the CEO, Jim Matthews, the less inclined she is to believe that a leadership development program is going to address his organization’s needs. What should Alexis do? She thinks that it needs to conduct a needs assessment. If you were Alexis, how would you continue your conversation with Jim? What should you include in your project plan?

Connecting Process to Practice 1. If you were going to work with Alexis in the previously presented case, what conversation might you have with Jim Matthews regarding the “needs” of the project? 2. Make a list of situations where the word “need” was used to describe an issue going on in the organization. How was the word “need” used? Was it used as a noun or a verb? If it was used as a verb, what was the actual need? 3. If you were to work as a consultant on a needs assessment, what are some of the items you would want the client to help you with during the project?

Note 1. All the people and organizations mentioned in the case studies in this book are fictional and any resemblance to any individual, living or dead, or organization is unintended and entirely coincidental.

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Recommended Reading Addison, R. M., & Haig, C. (2006). The performance architect’s essential guide to the performance technology landscape. Performance Improvement, 45(10), 38–47. Fisher, C. J., & Alford, R. J. (2000). Consulting on culture: A new bottom line. Consulting Psychology Journal: Practice and Research, 52(3), 206. London, M. (2012). Job feedback: Giving, seeking, and using feedback for performance improvement (2nd ed.). New York, NY: Psychology Press. Miller, J., & Maloney, C. (2013). Practitioner compliance with risk/needs assessment tools: A theoretical and empirical assessment. Criminal Justice and Behavior, 40(7), 716–736. Robinson, D. G., & Robinson, J. C. (2006). Performance consulting: The art and the science. Performance Improvement, 45(4), 5–8. Sarthory, J. A. (1977). Needs assessment and the practitioner: Problems and prospects. Educational Technology, 17(11), 24–26. Sleezer, C. M., Russ-Eft, D., & Gupta, K. (2014). A practical guide to needs assessment (3rd ed.). San Francisco, CA: John Wiley & Sons.

References Adler, A. B., Cawkill, P., Van den Berg, C., Arvers, P., Puente, J., & Cuvelier, Y. (2008). International military leaders’ survey on operational stress. Military Medicine, 173(1), 10–16. Ali, N. S., Hodson-Carlton, K., Ryan, M., Flowers, J., Rose, M. A., & Wayda, V. (2005). Online education: Needs assessment for faculty development. The Journal of Continuing Education in Nursing, 36(1), 32–38. Altschuld, J. W., & Kumar, D. D. (2010). Needs assessment: An overview. Los Angeles, CA: SAGE. Banda, C., Mutula, S. M., & Grand, B. (2004). Information needs assessment for small scale business community in Zambia: Case study of Chisokone Market, Kitwe. Malaysian Journal of Library & Information Science, 9(2), 95–106. Block, P. (2011). Flawless consulting: A guide to getting your expertise used (3rd ed.). San Francisco, CA: Pfeiffer. Brown, T. M. (2012). A needs assessment of congregation and clergy roles in serving military families. Journal of Religion & Spirituality in Social Work: Social Thought, 31(4), 348–371. Cavanagh, S., & Chadwick, K. (2005). Health needs assessment: A practical guide. United Kingdom: Health Development Agency.

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Chinnis, A. S., Paulson, D. J., & Davis, S. M. (2001). Using Q methodology to assess the needs of Emergency Medicine support staff employees. The Journal of Emergency Medicine, 20(2), 197–203. Clark, R. E., & Estes, F. (2000). A proposal for the collaborative development of authentic performance technology. Performance Improvement, 39(4), 48–53. Crompton, H., Olszewski, B., & Bielefeldt, T. (2016). The mobile learning training needs of educators in technology-enabled environments. Professional Development in Education, 42(3), 482–501. Ferdous, T., & Razzak, B. M. (2012). Importance of training needs assessment in the banking sector of Bangladesh: A case study on National Bank Limited (NBL). International Journal of Business and Management, 7(10), 63–73. Grandy, G., & Holton, J. (2013). Leadership development needs assessment in healthcare: A collaborative approach. Leadership & Organization Development Journal, 34(5), 427–445. Guerra-Lopez, I. (2008). Performance evaluation: Proven approaches to improving organizational performance. San Francisco, CA: Jossey-Bass. Hale, J. (2006). The performance consultant’s fieldbook: Tools and techniques for improving organizations and people (2nd ed.). San Francisco, CA: Pfeiffer. Harris, K., Sithole, A., & Kibirige, J. (2017). A needs assessment for the adoption of Next Generation Science Standards (NGSS) in K–12 education in the United States. Journal of Education and Training Studies, 5(9), 54–62. Hyun, J. K., Quinn, B. C., Madon, T., & Lustig, S. (2006). Graduate student mental health: Needs assessment and utilization of counseling services. Journal of College Student Development, 47(3), 247–266. Kaufman, R., & Guerra-Lopez, I. (2013). Needs assessment for organizational success. Alexandria, VA: ASTD Press. Mbongwe, B., Mmereki, B. T., & Magashula, A. (2008). Healthcare waste management: Current practices in selected healthcare facilities, Botswana. Waste Management, 28(1), 226–233. McIlfatrick, S. (2007). Assessing palliative care needs: Views of patients, informal carers and healthcare professionals. Journal of Advanced Nursing, 57(1), 77–86. Meichtry, Y., & Harrell, L. (2002). An environmental education needs assessment of K–12 teachers in Kentucky. The Journal of Environmental Education, 33(3), 21–26. Morgan, B. J., & Bibb, S. C. G. (2011). Assessment of military population-based psychological resilience programs. Military Medicine, 176(9), 976–985. Owens, D. C., Sadler, T. D., Murakami, C. D., & Tsai, C. L. (2018). Teachers’ views on and preferences for meeting their professional development needs in STEM. School Science and Mathematics, 118(8), 370–384.

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Russ-Eft, D. F., & Sleezer, C. M. (2020). Case studies in needs assessment. Los Angeles, CA: SAGE. Selmer, J. (2000). A quantitative needs assessment technique for cross‐cultural work adjustment training. Human Resource Development Quarterly, 11(3), 269–281. Verlander, E. G. (2012). The practice of professional consulting: The journey of the trusted consultant. San Francisco, CA: John Wiley & Sons Inc. Watkins, R., Meiers, M. W., & Visser, Y. L. (2012). A guide to assessing needs: Essential tools for collecting information, making decisions, and achieving development results. Washington, DC: The World Bank. Wedman, J., & Graham, S. W. (1998). Introducing the concept of performance support using the performance pyramid.  The Journal of Continuing Higher Education, 46(3), 8–20. Weissberg, M. (1982). An assessment of the personal, career, and academic needs of undergraduate students. Journal of College Student Personnel, 23(2), 115–122. Witkin, B. R., & Altschuld, J. W. (1995). Planning and conducting needs assessments: A practical guide. Thousand Oaks, CA: SAGE.

Needs Assessment Basics

2

Understanding the Process

Case: Increasing Online Course Offerings at Mill Creek University Mike Woods is the newly appointed Vice President of Online Learning at Mill Creek University. He has over 20 years of experience in instructional design and distance education. Before his new appointment as Vice President, Mike was the Director of Instructional Design at Piedmont University. Within that role, Mike was responsible for managing a team of instructional designers who assisted faculty with the instructional design of their online courses. In his new role, Mike will be overseeing several work units including academic technology services, network support services, site operations, and instructional design and technology. Mill Creek University currently serves 20,000 students with 10,000 registered as distance learners. The university currently offers three undergraduate degrees, 25 graduate degrees, and eight graduate certificates that can be offered at a distance. Due to recent trends in higher education, Mill Creek University has established a goal to increase online course offerings by 30 percent over the next five years. While Mike is very eager to begin his new role and has lots of ideas for ways Mill Creek University can create the infrastructure needed to support the increase in online course offerings, he wants to do his due diligence and conduct a needs assessment to help address the resources needed in the future. Mike has assembled a meeting with five of his employees from

16  Needs Assessment Basics

the Office of Online Learning who will be helping him with the needs assessment project. Before he jumps into sharing some of his ideas for the project, Mike wants to review the needs assessment process with his team so that they do not skip any important steps along the way.

Guiding Questions 1. 2. 3. 4.

What is a needs assessment? What steps are typically covered in a needs assessment? Why is it important to gather data from multiple sources? Who should be involved with identifying data sources for a needs assessment? 5. How can a needs assessment benefit an organization?

Key Terms Data collection Data analysis Data source Needs analysis Needs assessment Problem identification Recommendations

Chapter Overview This chapter will provide a basic overview of the entire needs assessment process. This will assist learners who are new to conducting needs assessment by providing them with a frame of reference as they proceed throughout the book. Each of the items/steps identified in this chapter will be elaborated upon in subsequent chapters throughout the book.

What Is a Needs Assessment? As previously mentioned, a needs assessment is the process of identifying a gap in performance by comparing the actual state of performance to the desired state of performance. During a needs assessment, the needs

Needs Assessment Basics  17

assessor is responsible for gathering data that can serve as an informative reference to the current and desired state of affairs. Needs analysis tasks the needs assessor with relying on the data collected during the needs assessment to determine what is causing the gap in performance (Kaufman & Guerra-Lopez, 2013). Several books have been written on needs assessment by needs assessors touting what they believe to be the most effective approach to needs assessment. Some of these publications present the author’s five-step process or 10-step process to solving all of your organization’s or team’s needs; others present details of how to conduct a needs assessment following a step-by-step model for a particular discipline such as K–12 education or public health. Regardless of the multitude of approaches that exist, commonalities exist in that each approach, process, or model contains the same fundamental components that comprise needs assessment (Altschuld & Kumar, 2010; Altschuld & Watkins, 2014; Kaufman, Guerra-Lopez, Waktins, & Leigh, 2008; Sleezer, Russ-Eft, & Gupta, 2014): (1) identification of problem(s), (2) identification of needs, (3) identification of data sources, (4) data collection, (5) data analysis, and (6) recommendations to client (Figure 2.1). While a brief overview of these components is presented in this chapter, additional details and strategies will be presented in subsequent chapters in this book.

Figure 2.1  Overview of needs assessment process

18  Needs Assessment Basics

Identification of Problem(s) An individual will rarely be approached to conduct a needs assessment “just for fun!” Most often, there is some type of problem, opportunity, or event that is driving a need to discuss whether a needs assessment is warranted (Pershing, 2006). This phase of a needs assessment is typically launched during a meeting between the needs assessor (or team that will be conducting the needs assessment) and the client. During the initial meeting, the client typically provides an overview of a situation that is impacting performance in some capacity and their concerns. Examples could include high employee turnover, difficulties retaining customers, a decrease in student test scores, or an increase in individuals soliciting services from a free health clinic. Regardless of the situation, the client will most likely express their interest to resolve (or bridge) a gap in performance. This discussion will often yield the purpose of the needs assessment that is to follow.

Identification of Needs Depending on the organization or group and what knowledge the client has regarding the identified performance gap, the identification of needs will likely be presented in a few different ways. If the client is familiar with the situation, they may feel very confident talking with the needs assessor and articulating what the performance needs are as they relate to the needs assessment. This identification of needs is typically what serves as the backdrop for identifying what specific areas need to be examined during the assessment (Burton & Merrill, 1991). If the client does not feel as though they have a solid grasp of the situation or problem, they may not be able to articulate their needs. This will require the needs assessor to cast a wide net during their assessment to fully investigate the problem and determine what is contributing to the gap in performance. When this occurs, the needs assessor needs to ask lots of questions during the initial meetings with the client and work with the client to identify some perceived or felt needs as a place to start the needs assessment. It is important to remember that in any of the cases described above, the needs assessor must remember that the initial needs are most often

Needs Assessment Basics  19

perceived or felt by the client. It is the responsibility of the needs assessor to verify that these are the actual needs associated with the performance problem they are exploring. This is accomplished by collecting sufficient data from a variety of sources to answer the questions associated with the project. Chapter 3 will address the various classifications and types of needs in more detail.

Identification of Data Sources Once the purpose of the project and needs have been identified and agreed to by the needs assessor and the client, the needs assessor can then begin moving forward with the needs assessment. It is important to mention that the initial needs that the needs assessor begins investigating are not always the needs that they address at the end of the project. Sometimes, as additional information becomes available, the needs will be modified or changed altogether (Altschuld & Watkins, 2014). It is very rare and ­infrequent that the needs will not be adjusted at all during a project. During this phase of a needs assessment, the needs assessor will begin to identify what types of data they will need access to in order to verify the needs that have been presented or discussed with the clients. It is recommended that the needs assessor makes a list of the needs and then make an exhaustive list of all the various data sources and resources they may need to answer questions surrounding the individual needs. There may be overlap between certain data sources that could provide answers to or information about multiple needs (Carter, Bryant-Lukosius, DiCenso, Blythe, & Neville, 2014; Joslin & Müller, 2016). In the early planning stages, it is recommended that the needs assessor addresses the needs on an individual basis and then consolidates the list of data sources after this initial activity. Once the needs assessor has identified all of their desired data sources that they would like to have access to during the project, the next step is to review these data sources with their client to see what the client (or the organization) is willing to provide to them in terms of access. The client may have suggestions regarding the timing of when certain data collection methods are conducted depending on regular business operations. They may also have suggestions for individuals that should meet with the needs assessor during the needs assessment. While this can be helpful, the needs

20  Needs Assessment Basics

assessor should always ask the client to provide a rationale when they are making recommendations for whom the needs assessor should speak with, to ensure that the situation is being approached from multiple viewpoints. I also recommend that the needs assessor asks the clients if they perceive any challenges with gathering data from any of the sources that have been initially identified. It is important to discuss these in case certain data sources may be off-limits, for several reasons. For example, if there are personnel issues involving a few individual employees, the needs assessor may need to be cautious, or avoid them altogether, when determining how to collect data from these individuals. Another example might be avoiding conducting focus groups or placing specific individuals in the same focus groups if there is a history of challenges or disagreements. Additional details regarding the types of strategies and tools to use to identify data sources for a needs assessment are discussed in Chapter 8.

Data Collection Once data collection sources and tools have been identified, the next phase is the actual act of collecting data. The amount of time dedicated to this stage will vary from project to project. It is important that the needs assessor discusses (or proposes) a timeline for data collection with the client so that they can schedule data collection around optimal times for the organization in an attempt to achieve an optimal response rate. Depending on the nature of the project and the type of organization, the needs assessor may need to obtain special approval to collect data. For instance, if a needs assessor is collecting data within a higher education institute and they plan on publishing the data, they will need to obtain approval from an institutional research board that will review the data collection tools and project design to ensure that the information being collected does not violate any laws or rights of the human subjects. If the needs assessment study is being conducted within a health care system, they often will have their own form of a human subjects or institutional research board that will review the documents if the needs assessor has any intentions of publishing or presenting the data in a public forum. These review boards will require the needs assessor to include the necessary information sheets or consent forms to prospective participants to notify them of their rights. Similar boards or committees may be required to review data collection tools, regardless of the needs assessor’s intent to publish, in corporate, military, or governmental settings.

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I do recommend that needs assessors provide some cushioning to their data collection timeline, by adding a few extra days to the process to account for any delays associated with obtaining necessary approvals before data collection as well as scheduling time to meet with individuals. Delays may occur for many reasons, such as participants failing to show up for a scheduled interview or focus group, or weather conditions that impact individuals’ abilities to travel to the organization site. Additional time may also be needed if the needs assessor has not received an adequate response rate for them to analyze data and make recommendations. When this happens, the needs assessor and the client may need to extend the data collection timeline and explain to participants the purpose of the needs assessment and why their participation is needed for the project.

Data Analysis Once data collection has commenced, the needs assessor may begin data analysis. The purpose of data analysis is to understand what is causing the problems or gaps that are identified in the needs assessment. This phase relies on the needs assessor to make sense of the data. This coincides with the differentiation between needs assessment and needs analysis. Needs assessment is the process of identifying the gap, whereas needs analysis entails exploring the root causes contributing to the gap (Watkins & Kaufman, 1996). The goal during the data analysis phase is to be able to make sense of the data, recognize patterns throughout the data, and be able to organize the information in a meaningful way that will help the client understand the recommendations that are included in the needs assessment report. There are a variety of ways in which the needs assessor may choose to analyze the data, such as the use of descriptive statistics (mean, median, and mode), SWOT analysis, causal analysis, Force Field Analysis, Fault Tree Analysis, and Fishboning. These will be discussed in detail in Chapter 9. Ethical guidelines will also be discussed as they relate to data collection, analysis, and presentation in chapters 8 through 11.

Recommendations to Client This final stage is completed after the needs assessor has collected and analyzed data. During this time, they will prioritize the needs according to

22  Needs Assessment Basics

what has taken place during data collection and analysis. They will make a list of short- and long-term recommendations to the client that addresses the needs that were verified during the needs assessment process. The needs assessment recommendations are typically written and provided to the client in a report, followed by a meeting with the client to review the contents of the report. There may be occasions where the client may ask the needs assessor to make a presentation to leadership or a group of individuals within the organization regarding the findings of the needs assessment. Suggestions for what should be included in a recommendations report to the client are discussed in detail in chapters 10 and 11.

Summary Regardless of the amount of the time that is allotted for a needs assessment, each project will involve some degree of data collection and analysis. As outlined in Figure 2.1, every needs assessment will follow six common steps: (1) identification of the problem(s), (2) identification of needs, (3) identification of data sources, (4) data collection, (5) data analysis, and (6) recommendations to client. Throughout the entire process, the needs assessor will be responsible for continuously monitoring the situation and verifying that the needs that are presented during the beginning of the project are corroborated by the data being collected and analyzed (Marshall, 2008; Wedman, 2009). Through continuous monitoring, the needs assessor may find that they will need to modify or add to the existing needs.

Professional Practice Revisited: Increasing Online Course Offerings at Mill Creek University The case at the beginning introduced Mike Woods, who is tasked with overseeing the Office of Online Learning at Mill Creek University. Mike’s office is responsible for identifying and creating the necessary infrastructure to support the increase of online course offerings at Mill Creek University over the next five years. Mike has organized a team to assist him in conducting a needs assessment to help guide them through establishing a process to address the goals for increasing Mill Creek University’s online presence. What aspects of needs assessment are most important for Mike to convey to his team?

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Connecting Process to Practice 1. You have been recently hired by Mike Woods to assist with his needs assessment. What are 10 questions that you would want to ask Mike Woods if you were assisting him with his needs assessment? 2. If you were Mike and were leading a needs assessment for Mill Creek University, how might you monitor the project to verify the needs of the organization? 3. What data sources would you like to include in your needs assessment that you will be conducting with Mike Woods? Why are these sources important? 4. What are the key elements required in every needs assessment project? 5. Why is it important to gather data from multiple sources for a needs assessment? 6. How would you explain the importance of needs assessment and needs analysis if a client assumes they mean the same thing?

Recommended Reading Altschuld, J. W., & Lepicki, T. L. (2009). Needs assessment. In R. Watkins, & D. Leigh (Eds.), Handbook of improving performance in the workplace (pp. 771–791). San Francisco, CA: Pfeiffer. Borich, G. D. (1980). A needs assessment model for conducting follow-up studies. Journal of Teacher Education, 31(3), 39–42. Cekada, T. L. (2010). Training needs assessment: Understanding what employees need to know. Professional Safety, 55(03), 28–33. Costa, S. M., & Serrano-García, I. (1983). Needs assessment and community development: An ideological perspective. Prevention in Human Services, 2(4), 75–88. Leigh, D., Watkins, R., Platt, W. A., & Kaufman, R. (2000). Alternate models of needs assessment: Selecting the right one for your organization. Human Resource Development Quarterly, 11(1), 87–93. Marrelli, A. F. (2009). Data collection. In R. Watkins, & D. Leigh (Eds.), Handbook of improving performance in the workplace (pp. 792–816). San Francisco, CA: Pfeiffer. Rossett, A. (1997). Have we overcome obstacles to needs assessment? Performance Improvement, 36(3), 30–35. Rossett, A. (2006). Analysis and more. In J. A. Pershing (Ed.) Handbook of human performance technology (pp. 208–222, 3rd ed.). San Francisco, CA: John Wiley & Sons.

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Roth, J. (1990). Needs and the needs assessment process. Evaluation Practice, 11(2), 141–143. Scriven, M., & Roth, J. (1978). Needs assessment: Concept and practice. New Directions for Program Evaluation, 1978(1), 1–11. Sleezer, C. M. (1993). Training needs assessment at work: A dynamic process. Human Resource Development Quarterly, 4(3), 247–264. Watkins, R. (2005). Dimensions of a comprehensive needs assessment. Distance Learning, 2(4), 38–40. Watkins, R., Leigh, D., Platt, W., & Kaufman, R. (1998). Needs assessment – A digest, review, and comparison of needs assessment literature. Performance Improvement, 37(7), 40–53. Watkins, R., & Wedman, J. (2003). A process for aligning performance improvement resources and strategies. Performance Improvement, 42(7), 9–17.

References Altschuld, J. W., & Kumar, D. D. (2010). Needs assessment: An overview. Los Angeles, CA: SAGE. Altschuld, J. W., & Watkins, R. (2014). A primer on needs assessment: More than 40 years of research and practice. New Directions for Evaluation, 144, 5–18. Burton, J. K., & Merrill, P. F. (1991). Needs assessment: Goals, needs, and priorities. In L. J. Briggs, K. L. Gustafson, & M. H. Tillman (Eds.), Instructional Design: Principles and Applications (2nd ed., pp. 17–43). Englewood Cliffs, NJ: Educational Technology Publications. Carter, N., Bryant-Lukosius, D., DiCenso, A., Blythe, J., & Neville, A. J. (2014). The use of triangulation in qualitative research. Oncology Nursing Forum, 41(5), 545–547. Joslin, R., & Müller, R. (2016). Identifying interesting project phenomena using philosophical and methodological triangulation. International Journal of Project Management, 34(6), 1043–1056. Kaufman, R., & Guerra-Lopez, I. (2013). Needs assessment for organizational success. Alexandria, VA: ASTD Press. Kaufman, R., Guerra-Lopez, I., Watkins, R., & Leigh, D. (2008). The assessment book: Applied strategic thinking and performance improvement through selfassessments. Amherst, MA: HRD Press, Inc. Marshall, K. (2008). Interim assessments: A user’s guide. Phi Delta Kappan, 90(1), 64–68. Pershing, J. A. (2006). Human performance technology fundamentals. In J. A. Pershing (Ed.), Handbook of human performance technology (3rd ed., pp. 5–26). San Francisco: Pfeiffer.

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Sleezer, C. M., Russ-Eft, D., & Gupta, K. (2014). A practical guide to needs assessment (3rd ed.). San Francisco, CA: John Wiley & Sons. Watkins, R., & Kaufman, R. (1996). An update on relating needs assessment and needs analysis. Performance+ Instruction, 35(10), 10–13. Wedman, J. (2009). The performance pyramid. In R. Watkins, & D. Leigh (Eds.), Handbook of improving performance in the workplace (51–80). San Francisco, CA: Pfeiffer.

Needs Theory

3

Case: Differentiating Needs during the Onboarding Process at an Automobile Manufacturing Company Beau Sanders was recently hired as the Director of Performance Improvement for a large automobile manufacturer in the United States. This is a newly developed position that has been created to support several performance functions ranging from employee development to organizational safety and performance effectiveness. One of Beau’s goals for his first year is to identify potential areas to target over the next three years that require additional performance support. Once he generates a list of potential programming opportunities, he can then begin prioritizing how he will approach the organizational needs as well as determining how he should expand his Performance Improvement team. During his first week of onboarding, Beau meets with Tim Davis, the Vice President of Operations. Tim has provided Beau with a list of 10 areas that the organization would like him to focus his attention on. Business leaders have recognized that these areas warrant additional attention and could benefit from someone developing specific interventions to improve performance. Tim has asked Beau to conduct a needs assessment to ­determine which areas should be prioritized.

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Guiding Questions 1. What is a need? 2. What are the differences between felt, perceived, normative, and critical needs? 3. How might a needs assessor differentiate between normative and descriptive decision theory? 4. What types of questions might a needs assessor ask during a project? 5. What are the three levels of needs?

Key Terms Need Felt needs Perceived needs Normative needs Critical needs Decision theory Human needs theory General systems theory Systems Theoretical framework Typology

Chapter Overview This chapter will provide an overview of theories that guide and influence needs assessment and analyses. Human behavior needs theories, general systems theories, and decision-making theories will be presented as they relate to needs assessment. Maslow’s hierarchy of needs and Bradshaw’s taxonomy of social need will be addressed. This chapter will help the reader understand the theoretical frameworks that support needs assessments at learner/performer and organizational levels. Both needs assessors and researchers must be grounded in the theoretical foundations related to needs assessment as it helps them identify a lens for which to analyze data and prioritize needs during a needs assessment project.

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Recap: What Is a Need? Before we explore the theoretical foundations surrounding needs, I would like to revisit what was initially discussed in Chapter 1. If a needs assessor is responsible for identifying and verifying the needs of a client during a needs assessment, it is important to understand the term “need” in its most primitive sense. As previously mentioned, a need is a gap or discrepancy between a present state and the desired state (Altschuld & Kumar, 2010). Commonly, a needs assessor who is meeting with a client to discuss a needs assessment will be told what the need is during that initial meeting. Anyone familiar with needs assessment practices will realize that this negates the needs assessment process in that the solution is being presented prematurely. Watkins, Meiers, and Visser (2012) warn individuals who are planning to conduct a needs assessment to be careful of clients presenting need statements at the initial meeting, such as: • “Our employees need training on how to address customer service needs.” • “We need to transfer our face-to-face training materials to an online platform.” • “We need to offer additional products because our competitor has expanded its offerings.” The challenge with these statements is that they are not explicitly stating a need; rather, they are solution statements. Upon closer inspection, a needs assessor would see that the statements are proposing a solution rather than stating a gap in performance. Table 3.1 differentiates between need statements and solution statements. If we were to further dissect the statements that are included in Table 3.1, we would notice that the need statements included in the first column do not contain the word “need.” We can see that the solution statements are driven by the need statements. The need statements provide the rationale for the solutions that are being proposed. It is important to understand the difference between the two because the majority of the time, the client will present the solution statements in a meeting. When this happens, the needs assessor must conduct the needs assessment to identify what the actual needs and gaps are that are warranting that solution or other solutions that have yet to be determined.

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Table 3.1  Differentiating between Need Statements and Solution Statements Need Statements

Solution Statements

There has been an increase in the number of customer service complaints. Customers have submitted comments that they do not feel that the call center agents can adequately address their needs. There has been an increase in the organization hiring employees to work from a remote location. The manufacturing plant has recently started a third shift that will work from 11:30 pm to 7:30 am. An outdoor sporting goods store continues to report lower revenues compared to its identified competitor.

Our employees need training on how to address customer service needs.

We need to transfer our face-to-face training materials to an online platform.

We need to offer additional products because our competitor has expanded its offerings.

A Theoretical Framework for Approaching Needs Assessment There are a number of needs assessment books that are desired to assist needs assessors with conducting needs assessments. A criticism of the majority of needs assessment publications that exist is that they skim over the theoretical foundations that influence needs assessment. Some publications jump immediately into presenting a process for conducting a needs assessment or applying needs assessment strategies to a performance problem without having defined a need. Other publications have defined the word “need” without going into a further explanation as to how needs may be classified according to different theories and typologies. If this book is to be used to guide students or novices on how conduct needs assessments, it will be highly beneficial to them if they ­understand the theoretical foundations that influence needs assessment as well as the system in which the needs assessment takes place.

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Chapter  4 will go into more detail exploring how the needs assessor can, and should, interact within a system. Having a strong theoretical understanding of needs and needs theory will help needs assessors and those that are new to needs assessment better position themselves within the project to differentiate between the different types of needs relative to the situation being examined, categorize and prioritize those needs according to importance, and align solutions with the verified needs and the overarching goals of the organization as a whole (Lepmets, McBride, & Ras, 2012; Paarlberg & Perry, 2007; Van Eerde, Simon Tang, & Talbot, 2008). When a researcher prepares to explore a particular research question, they develop a research design and plan that they will adhere to examine their topic of interest. Their research design is informed by the review of preexisting research studies and literature that have been disseminated related to their topic. Every research study is guided and informed by a theoretical framework. This framework gives the researcher the ability to emphasize key areas of their project and helps to establish the space in which their research study will be contained. Needs assessments share a lot of similarities with research studies in that they both involve asking questions and gathering data to inform decisions. For a research study, this involves the ability to answer the research question. In the context of a needs assessment, this entails determining the need or gap between the current state and the desired state. Both needs assessments and research studies rely on the use of a variety of data collection tools such as direct observations, extant data, interviews, focus groups, and surveys. They both rely on the use of quantitative and ­qualitative data analysis techniques and recognize the benefits of ­triangulating findings to make sustainable recommendations. Every researcher or needs assessor should have a theoretical foundation that is guiding their understanding of the project. For purposes of conducting needs assessments, a needs assessor may develop a theoretical framework specific to the industry that they are working within, such as healthcare or K–12 education. In this chapter, I will present a theoretical framework that I have used to guide the majority of needs assessment projects that I have been involved with in some capacity. Over time, you may find that your theoretical framework may deviate from the one presented in this chapter, and that is okay. It is more important than you can identify a framework that guides your work, helps you understand the pivotal needs of the organization or project, and helps you to see the connections between different elements related to the needs assessment.

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Figure 3.1  Theoretical framework to guide needs assessment

I have been involved with needs assessments in a variety of different industries and have taught novice needs assessors how to design plans to facilitate and conduct needs assessments. The theoretical framework that I rely on to guide my understanding and philosophy towards needs assessment is informed by human needs theory, general systems theory, and decision theory (Figure 3.1). This framework emphasizes the need (no pun intended) for the assessor to recognize the relationship that exists between the needs of the situation, how those needs interact with other functions of the organization (or system), and how those discrepancies can be addressed in real time. Decision theory serves as the third construct for this framework because the assessor needs to understand how their decision-making process can greatly impact the outcomes of the needs assessment. It is also imperative that as the assessor makes recommendations for how an organization can minimize the discrepancy in performance between the actual and desired states, they think about the implications that their proposed interventions will have on the overall system. The following are some of the questions the assessor should be asking themselves: • Are there systemic relationships between certain interventions and organizational needs? • Should certain interventions be implemented first and then followed by others afterward? • How will their recommendations impact other functions of the organization?

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• Can different types of needs be addressed through the design of one intervention? • What non-instructional interventions are needed to support the proposed instructional interventions? • How will these interventions be carried out in the actual environment?

Human Needs Theory To better understand the first construct of this framework, it is important to differentiate between the different types of needs that may exist within a system. Human needs theory emphasizes the importance of managing the conflict that exists when basic needs are being met (Burton, 1990). This theoretical framework is significant to human development in that it demonstrates how conflict can be managed when basic needs are satisfied (Rubenstein, 2001). This theoretical construct serves as the foundational concept that drives the dissection of needs according to types presented in various human needs models, frameworks, and typologies. Doyal and Gough (1984) suggest that a fundamental concept of assessing human needs is the ability to formulate a feasible view of what the future could be. This serves as the impetus for a needs assessor to begin determining what is the desired state for their audience (or client). In psychology, there have been several theorists who have presented strategies and frameworks to determine typologies and hierarchies of needs. Regardless of the type of need being explored, each one has social indicators that impact the means that are needed to satisfy the need and minimize the ­discrepancy that exists (Strumpel, 1976). The next few sections in this chapter will provide an overview of several frameworks that are commonly recognized and utilized by needs assessors when working on needs assessment projects. While these theorists may not be directly cited or referenced by the assessor, their theoretical frameworks indirectly inform the practices carried out in the majority of needs assessment projects.

A Hierarchy of Needs One of the most commonly recognized frameworks for assessing human needs that have greatly influenced a number of other frameworks and theories found in the fields of psychology, sociology, and economics is

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Abraham Maslow’s hierarchy of needs. Maslow greatly contributed to the discussion of human needs by purporting that humans are motivated to achieve certain needs (Maslow, 1943). Depending on the situation, humans are apt to be more motivated to address or prioritize certain needs over others depending on the impact that the need has on their everyday life. Essentially, a human being will be more inclined to address one need over another if the discrepancy of that need not being satisfied is greater than other existing discrepancies. Maslow’s early work conceptualized needs according to basic human needs, psychological needs, and self-fulfillment needs (Maslow, 1943). He developed a pyramid, consisting of five levels of needs, to demonstrate the hierarchy of human needs. Maslow argues that every human being has fundamental basic needs that must be addressed before any other needs can be addressed. These physiological needs include access to food, water, warmth, and rest. The second level of needs are safety needs and comprise an individual’s need for safety and security. The third level of needs addresses belongingness and love. These include relationships with friends, loved ones, and intimate partners. The fourth level of needs addresses esteem. These needs are rooted in an individual’s need to feel prestige and a sense of accomplishment. The peak of the pyramid suggests that once all other needs are being met, an individual can then begin addressing self-actualization. This encompasses an individual’s ability to meet their full potential as a contributing member of society. As demonstrated by the use of the pyramid shape to convey the types of needs, Maslow’s work suggests that human beings are better positioned to address higher-level needs once lower-level needs on the pyramid are sufficiently addressed. Malow also contends that there is a direct correlation between an individual’s ability to self-actualize based on their esteem, love, and sense of security. Over several decades, Maslow expanded his hierarchy of needs to also include aesthetic needs (1970a). These needs address one’s ability to appreciate and search for beauty in objects within our environment. Examples may include nature, other human beings, relationships we have with objects in our environment, and life experiences in general. In addition to aesthetic needs, Maslow suggested that to appreciate the beauty that exists in an environment, one must be knowledgeable. His expansion included the idea that cognitive needs addressing the acquisition of knowledge can be achieved once an individual has met their esteem needs (1970a).

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Transcendence Self-actualization Selfactualization

Esteem

Aesthetics

Cognitive Social Esteem

Safety

Social

Safety Physiological Physiological

Figure 3.2  Evolution of Maslow’s hierarchy of needs

An additional layer of needs that was later added to his hierarchy includes transcendence needs – helping others to achieve self-actualization (1970b). This all-encompassing need suggests that, as human beings, we need to help other individuals meet their fundamental needs. We cannot help others reach their full potential until we do ourselves. This is dependent upon all other lower needs being met. Figure 3.2 provides an overview of how Maslow’s hierarchy of needs has expanded over several decades.

Bradshaw’s Taxonomy of Social Need (1972) Since Maslow’s (1943, 1954) introduction of the hierarchy of needs, additional frameworks have emerged to categorize needs from different angles, such as policy reform, the promotion of health and wellness, and social needs (Bradshaw, 1972). One of the more commonly referenced typologies of needs is Bradshaw’s (1972) taxonomy of social need. Within his taxonomy, Bradshaw suggested that social needs could be delineated into four categories: (1) normative, (2) felt, (3) expressed, and (4) comparative. There are several needs assessment publications that explicitly draw on Bradshaw’s work when providing an overview of needs assessment approaches (Higginson, Hart, Koffman, Selman, & Harding, 2007; Stark & Ewers, 2019; Toyama, 2018).

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Normative Needs

Normative needs are typically defined by a professional body that draws from a recognized knowledge base (Morrison, Ross, Kalman, & Kemp, 2013). The process of identifying a normative need consists of comparing the need for a particular individual or group to a national standard. The normative need is the discrepancy between the individual’s or group’s performance compared to the national standard of performance. Examples of normative needs include comparing students’ academic performance to a normative distribution in national achievement tests such as the Scholastic Aptitude Test (SAT). Felt Needs

Felt needs are needs that are associated with an individual’s wants (Bradshaw, 1972). These needs are limited by the perceptions of the individual and may not necessarily address actual needs. An example of felt needs could be individuals expressing their desires for a superb health care system. All of their potential patient needs may already be sufficiently addressed in actuality; however, the individual’s felt need (or perception) may be that there are other resources that they wish were available. Expressed Needs

An expressed need is a “felt need turned into action” (Bradshaw, 1972, p. 73). These types of needs typically represent individuals’ demands for particular services or actions. An example could be an individual upgrading their smartphone to the latest version offered by a provider because they have expressed a need for the latest technology. The individual sees value in a particular object or service and would like to satisfy their identified need. Other examples related to learning and performance in the workplace could include an employee expressing an interest in registering for a particular training course (Morrison et al., 2013). The employee is saying that they believe there is a gap in performance or their knowledge base that they would like to fulfill. Comparative Needs

Comparative needs consist of comparing the needs of an individual, group, or organization to other groups and organizations that may have

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similar needs. Examples could include a graduate program at a university comparing its course offerings to peer institutions. If during its analysis the program discovered that it was not offering a course that was being offered by all of the other institutions, its comparative need might be that it needs to develop a new course to remain competitive. Other examples of data items that might be reviewed in comparison could include minimum grade point average requirements, or the need for students to complete a national achievement test such as the Graduate Record Exam (GRE) or Graduate Management Admission Test (GMAT).

Additional Need Categories In addition to the need categories identified by Bradshaw’s (1972) taxonomy for social needs, other researchers in various disciplines have expanded these categories to include a few extras. Burton and Merrill (1991) acknowledge Bradshaw’s categories as being necessary when conducting needs assessments for instructional design purposes. They also expand this ­category to include anticipated needs. Anticipated Needs

Anticipated needs are needs that an individual does not need in the present day but may soon need in the future. Examples could include a hospital preparing to adopt an electronic medical records system. Hospital administrators may have an anticipated need that their healthcare providers will need training on how to use the new health records system. An additional anticipated need could also include the need for the hospital to acquire additional computers for its staff to use as more are required to enter patient data electronically. Critical Incident Needs

Another category of needs described by Morrison et al. (2013) is critical incident needs. These are needs that have been identified due to the severity of an incident occurring in an organization that may warrant an immediate example. These types of needs are more apt to appear if an individual has been physically harmed. Examples could include providing additional training to police officers if there has been an increase in violent police–citizen encounters (Preddy, Stefaniak, & Katsioloudis, 2019)

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Types of Needs In addition to Bradshaw’s (1972) taxonomy of needs that is often referred to when classifying needs, Altschuld and Kumar (2010) offer additional characteristics to classify and organization needs for a project. Their ­typology includes: • • • • •

Present needs versus future needs Severe needs versus slight needs Maintenance and upgrade needs Collaborative needs Retrospective needs

As a needs assessor begins to gather data to verify the needs of the project, they will begin to start thinking about potential recommendations they may share with the client upon completion of the needs assessment. Depending on the type of needs being explored, the needs assessment may be able to classify needs according to how much time will be required to address the needs. Present needs are typically classified as being needs that can be addressed in three years or less, whereas future needs are needs that the organization may anticipate having to address at a later time (Altschuld & Kumar, 2010). Determining the severity of the need aligns with Bradshaw’s typology addressing critical incident needs. Severe needs are examples of events or situations occurring within the organization that warrants immediate attention. Slight needs typically do not pose a threat to individuals within the organization so there usually is not a sense of urgency associated with addressing those needs. Maintenance needs are not driven by a problem in the organization. They are needs that the needs assessor needs to be aware of to maintain a certain level of quality in the organization. Maintenance needs can turn into more significant or severe needs if they are not attended to within a reasonable amount of time. As a needs assessment begins to prioritize how they will address needs, as discussed in Chapter 11, they should review how many maintenance needs should be factored into the post-assessment timeline. Sometimes organizations may choose to partner with another organization to pool their resources and conduct a larger scale needs assessment. An example of this could be a group of K–12 schools in the same school district or state working together to conduct a needs assessment impacting

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curricular decisions being made at the local level (Savage, Springborg, & Lagerstrom, 2017; Shernoff, Sinha, Bressler, & Ginsburg, 2017; von de Embse, Rutherford, Mankin, & Jenkins, 2019). Other examples could include local hospitals across a network pooling their resources to conduct a needs assessment to improve processes and improve consistency among patient services (Golden, Hager, Gould, Mathioudakis, & Pronovost, 2017; Mehta, Najjar, May, Shah, & Blackhall, 2018; Nayar et al., 2017). Lastly, Altschuld and Kumar (2010) present the importance of exploring retrospective needs related to a project. They classify these needs as those that generally appear (or are discovered) after a project is underway. As previously mentioned in chapters 1 and 2, the needs assessor is responsible for verifying that the needs presented at the beginning of a project are the actual needs. It is very common for the needs assessor to modify the needs, remove needs, or add new needs depending on what information is uncovered during the data collection and analysis phases of the needs assessment. Additional needs may present themselves post-needs assessment when the needs assessor begins to work with their client on implementing recommendations in the organization.

Levels of Needs Altschuld and Kumar (2010) categorize needs in one of three levels in the system. Level 1 is typically considered to be the primary level that focuses on recipients of services provided by the system. Level 2 is considered a secondary level that focuses on needs related to the deliverers of services. Level 3 focuses on the tertiary level in organizations and comprises needs related to the infrastructure needed to support the functioning of the system. While the needs of a project can be categorized according to these three levels, the needs assessor must work to ensure alignment between the three levels. Altschuld and Kumar (2010) warn that because individuals who work in Level 2 areas of an organization are typically responsible for leading needs assessments, it is quite common for them to prioritize Level 2 and 3 needs as they directly impact their day-to-day operations. There may be instances where needs that have been identified for a needs assessment belong to one or two of the levels. If no needs have been assigned to one of the levels of the system, the needs assessor should not ignore that level altogether. It will still be important to ensure that the necessary resources are being allocated to that particular level of the

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organization. This is essential because, as previously mentioned, new needs may arise during the implementation of recommendations postneeds assessment.

General Systems Theory General systems theory provides a theoretical framework for viewing environments by examining the objects, processes, and interactions that occur among objects in a system. General systems theory originated in biological research; however, this theoretical lens transfers nicely to understanding the complexity of other living and non-living systems (Skyttner, 2001). Most disciplines that promote systematic and systemic approaches will most likely refer to general systems theory as a theoretical construct guiding interpretation of the complexity of the discipline. Examples of disciplines that have roots in general systems theory include engineering, biology, instructional design, and medical education. Over the years, there have been many definitions offered to describe the essence of systems. Characteristics of systems include anything that is not chaos (Boulding, 1985); interrelated entities that work together to reduce entropy (Hitchins, 1992); and a set of objects working together to establish relationships between other objects and their attributes (Hall & Fagen, 1975). Ackoff (1981) contends that three conditions must be met for a group of objects to be classified as a system. These conditions include: • The behavior of each element affects the behavior of the whole. • The behavior of the elements, on the whole, is interdependent. • However subgroups are formed, all affect the behavior of the whole, but none has an independent effect on it. General systems theory poses a significant influence on needs assessment. When a needs assessor begins to gather data to verify the needs identified at the beginning of the project, they are put into a position that requires them to explore the intricacies and complexities of the environment related to the needs assessment. They need to recognize the objects, processes, and people involved, directly and indirectly, with the system. The system can range in size and can include an organizational system as it relates to a business, school, hospital, etc. General systems theory helps support the needs assessor as they begin to attempt to understand the interactivity and

40  Needs Theory

interdependency that occurs in the system as this will ultimately influence the types of recommendations that will be given post-needs assessment.

Decision Theory As needs are identified or assigned a typology and the needs assessor begins to delve into understanding the complexity of the system(s), they must then start making decisions regarding how to proceed with the project. Typical decisions (note: this is not an exhaustive list) that are made by the needs assessor during a needs assessment include: • • • • • • • • • •

What types of needs are being presented by my client? What data sources do I need to access to verify the needs? What information will each data source yield? Do patterns exist among the information gathered from multiple data sources? Are the needs related, or are they mutually exclusive? Who is responsible for leading change within the system? What is the culture of the system? Is the organization ready for the recommendations I am prepared to share? What resources are needed to support implementing the recommendations? What metrics will be used to evaluate the implementation of the recommendations?

The needs assessor will be required to make a variety of decisions at several checkpoints during a project. Decision-making “is a typical information processing activity and as a scientific area, it is called praxeology” (Skyttner, 2001). Decision-making includes both normative and descriptive decision theories. Normative theories consist of providing a prescriptive method for engaging in decision-making that is goal-driven. Descriptive theory focuses on the process individuals adhere to when making decisions. Regardless of whether someone is conducting a needs assessment for a small group of individuals or a large organization, for an individual to engage in decision-making Skyttner (2001) suggests that a decision situation must exist. Regardless of the context of where decision-making will occur (i.e. business and industry, government, healthcare, K–12,

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military, etc.), every decision situation shares common characteristics. These include: • • • •

A problem exists. At least two alternatives for action remain. Knowledge exists of the objective and its relationship to the problem. The consequences of the decision can be estimated and sometimes quantified. (Skyttner, 2001, p. 340)

All needs assessment projects meet the guidelines required to be considered a decision situation. Most needs assessments are problem-oriented, in that a client has approached a needs assessment to identify the gap between the actual state and desired state of performance. There are usually a variety of alternative solutions and combinations a needs assessor may consider when making recommendations to the client and providing suggested timelines for how to address multiple needs or issues existing in the current system. An understanding of the system is needed to make decisions that impact the relationship of objects and individuals to the problem. Lastly, the consequences of proceeding with the needs assessor’s recommendations as well as the alternative: to not make any changes and leave things as the status quo. Decision-making, as it relates to needs assessment, will be discussed in greater detail in Chapter 10. Successful decision-making also relies on the needs assessor’s ability to make decisions based on their understanding of the needs to be examined and their understanding of the inner workings of the system. This further supports the theoretical framework presented in Figure 3.1 that suggests that human needs theory, general systems theory, and decision theory all work together to support the functions of a successful needs assessment.

Summary This chapter presents an overview of three theoretical constructs that influence one another to support the needs assessment process. Emphasis was placed on each of these constructs separately as well as their alignment with other constructs. These constructs are further elaborated upon throughout this book, particularly in Chapter 4 (Understanding the System), Chapter 10 (Decision-Making During Needs Assessment), and Chapter 11 (Prioritizing Needs).

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Professional Practice Revisited: Differentiating Needs during the Onboarding Process at an Automobile Manufacturing Company The case at the beginning of this chapter introduced Beau Sanders, who has been hired to lead Performance Improvement programming at a large automobile manufacturing company in the United States. After reviewing the list of 10 areas the organizational leaders would like him to further explore, Beau thinks that the best way to determine which areas to address first will be to determine the types of needs. From there, he can discuss with organizational leadership the need for prioritizing one need over another. If you were assisting Beau with this project, what are some questions you would ask to help categorize the types of needs being presented in Tim’s list? What are some resources you might ask for depending on the types of needs?

Connecting Process to Practice 1. Make a list of all of the needs you have encountered in the past 48 hours. After reviewing these needs, how would classify them according to Bradshaw’s (1972) taxonomy? 2. What challenges might a needs assessor encounter if they do not address all three levels of needs (primary, secondary, and tertiary) within an organization? 3. Think of a time you were involved with deciding about something at work. What was the decision? What other aspects of the organization would be impacted by your decision? 4. How important do you think it is for a needs assessor to consider a client’s felt or expressed needs? How might these needs influence the needs assessment project? What would happen if the needs assessor ignored these needs altogether? 5. Think of a task (or project) that you recently completed at work. How did this task impact recipients of your organization’s services? How did this task impact the deliverers of services (most likely you and your peers)? What infrastructure was in place to support your work? If something was missing from the infrastructure, how did it affect you in carrying out the task?

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Recommended Reading Fisher, R. J. (1990). Needs theory, social identity and an eclectic model of conflict. In J. W. Burton (Ed.), Conflict: Human needs theory (pp. 89–112). New York, NY: St. Martin’s Press. Freitas, F. A., & Leonard, L. J. (2011). Maslow’s hierarchy of needs and student academic success. Teaching and Learning in Nursing, 6(1), 9–13. Jackson, T., Jager, W., & Stagl, S. (2004). Beyond insatiability: Needs theory, consumption and sustainability. ESRC Sustainable Technologies Programme Working Paper Series, 2, 1–34. McWalter, G., Toner, H., Corser, A., Eastwood, J., Marshall, M., & Turvey, T. (1994). Needs and needs assessment: Their components and definitions with reference to dementia. Health & Social Care in the Community, 2(4), 213–219. Mitchell, C. (1990). Necessitous man and conflict resolution: More basic questions about basic human needs theory. In J. W. Burton (Ed.), Conflict: Human needs theory (pp. 149–176). New York, NY: St. Martin’s Press. Watson, M. C. (2002). Normative needs assessment: Is this an appropriate way in which to meet the new public health agenda? International Journal of Health Promotion and Education, 40(1), 4–8.

References Ackoff, R. (1981). Creating the corporate culture. New York, NY: John Wiley. Altschuld, J. W., & Kumar, D. D. (2010). Needs assessment: An overview. Los Angeles, CA: SAGE. Boulding, K. E. (1985). Systems research and the hierarchy of world systems: General systems in special chaos. Systems Research, 2(1), 7–11. Bradshaw, J. (1972) Taxonomy of social need. In G. McLachlan (Ed.), Problems and progress in medical care: Essays on current research (pp. 71–82). London: Oxford University Press. Burton, J. (1990). Conflict: Human needs theory. New York, NY: Springer. Burton, J. K., & Merrill, P. F. (1991). Needs assessment: Goals, needs, and ­priorities. In L. J. Briggs (Ed.), Instructional design: Principles and applications (pp. 17–43). New York, NY: Educational Technology Publications. Doyal, L., & Gough, I. (1984). A theory of human needs. Critical Social Policy, 4(10), 6–38. Golden, S. H., Hager, D., Gould, L. J., Mathioudakis, N., & Pronovost, P. J. (2017). A gap analysis needs assessment tool to drive a care delivery and research

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agenda for integration of care and sharing of best practices across a health system. The Joint Commission Journal on Quality and Patient Safety, 43(1), 18–28. Hall, A. D., & Fagen, R. E. (1975). Definition of system. In B. D. Ruben & J. Y. Kin (Eds.), General systems theory and human communication (pp. 52–65). Rochelle Park: Hayden Book Company, Inc. Higginson, I. J., Hart, S., Koffman, J., Selman, L., & Harding, R. (2007). Needs assessments in palliative care: An appraisal of definitions and approaches used. Journal of Pain and Symptom Management, 33(5), 500–505. Hitchins, D. (1992). Putting systems to work. New York, NY: John Wiley. Lepmets, M., McBride, T., & Ras, E. (2012). Goal alignment in process improvement. Journal of Systems and Software, 85(6), 1440–1452. Maslow, A. H. (1943). A theory of human motivation. Psychological Review, 50(4), 370. Maslow, A. H. (1954). Motivation and personality. New York, NY: Harper and Row. Maslow, A. H. (1970a). Motivation and personality. New York, NY: Harper & Row. Maslow, A. H. (1970b). Religions, values, and peak experiences. New York, NY: Penguin. Mehta, A. K., Najjar, S., May, N., Shah, B., & Blackhall, L. (2018). A needs assessment of palliative care education among the United States adult neurology residency programs. Journal of Palliative Medicine, 21(10), 1448–1457. Morrison, G. R., Ross, S. M., Kalman, H., & Kemp, J. (2013). Designing effective instruction (7th ed.). Hoboken, NJ: John Wiley & Sons. Nayar, P., Apenteng, B., Nguyen, A. T., Shaw-Sutherland, K., Ojha, D., & Deras, M. (2017). Needs assessment for behavioral health workforce: A state-level analysis. The Journal of Behavioral Health Services & Research, 44(3), 465–473. Paarlberg, L. E., & Perry, J. L. (2007). Values management: Aligning employee values and organization goals. The American Review of Public Administration, 37(4), 387–408. Preddy, J. E., Stefaniak, J. E., & Katsioloudis, P. (2019). Building a cognitive readiness for violent police–citizen encounters: A task analysis. Performance Improvement Quarterly, 32(1), 55–76. Rubenstein, R. E. (2001). Basic human needs: The next steps in theory development. International Journal of Peace Studies, 6(1), 51–58. Savage, T. A., Springborg, H., & Lagerstrom, L. (2017). An environmental scan tool to assess district and school readiness to support transgender and gender diverse youth. Communique, 46(1), 14. Shernoff, D. J., Sinha, S., Bressler, D. M., & Ginsburg, L. (2017). Assessing teacher education and professional development needs for the implementation of integrated approaches to STEM education. International Journal of STEM Education, 4(1), 13. Skyttner, L. (2001). General systems theory: Ideas and applications. Singapore: World Scientific Publishing.

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Stark, S., & Ewers, M. (2019). Healthcare needs of vulnerable patient groups: Available data and existing gaps in Germany with respect to long-term mechanical ventilation. Journal of Public Health, 28, 1–8. Strumpel, B. (1976). Economic means for human needs: Social indicators of well-being and discontent. Ann Arbor, MI: Institute for Social Research, University of Michigan. Toyama, K. (2018). From needs to aspirations in information technology for development. Information Technology for Development, 24(1), 15–36. Van Eerde, W., Simon Tang, K. C., & Talbot, G. (2008). The mediating role of training utility in the relationship between training needs assessment and organizational effectiveness. The International Journal of Human Resource Management, 19(1), 63–73. von der Embse, N., Rutherford, L., Mankin, A., & Jenkins, A. (2019). Demonstration of a trauma-informed assessment to intervention model in a large urban school district. School Mental Health, 11(2), 276–289. Watkins, R., Meiers, M. W., & Visser, Y. L. (2012). A guide to assessing needs: Essential tools for collecting information, making decisions, and achieving development results. Washington, DC: The World Bank.

Understanding the System

4

Case: Working Toward a Common Goal at Wayburn University Amelia Quinton is the Executive Director for the Center for Teaching and Learning at Wayburn University. She has been tasked by the university’s provost to chair a committee to address challenges that have continued to emerge surrounding the faculty’s ability to teach online instruction. In recent years, there has been a push to increase the university’s online offerings to remain competitive with other institutions within the state. Amelia has been asked to form a group of organizational leaders who can provide recommendations for how Wayburn University can provide a higher degree of consistency among online courses, streamline student support services to alleviate the additional workload that may fall on the instructors, and provide the necessary faculty development resources to support faculty in improving their teaching skills. While observing the university’s structure, Amelia makes a note of all of the different organizing units that have a significant hand in online instruction offered at Wayburn University. Amelia notes the following groups: the Office for Distance Learning, the Center for Teaching and Learning, and the Office of Instructional Technology. Each of these departments (or functions) is intended to contribute to the infrastructure needed to support students and faculty in online education. While Amelia is familiar with the goals of the Center for Teaching and Learning, she realizes that she is not entirely aware of the composition

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of the other groups. Over the past two years, she has attended meetings where there appears to be an overlap in responsibilities, or confusion regarding which office is responsible for particular tasks. Amelia recognizes that before she can begin making recommendations for improvements, her committee needs to understand how each of these different groups functions within the university.

Guiding Questions 1. 2. 3. 4. 5.

What is a system? What is the difference between open and closed systems? What are the inputs and outputs within a system? Why should a needs assessor be aware of components in a system? What are the systemic implications within a system?

Key Terms Closed system Environment Inputs Open system Outputs Systems System analysis Systems approach Systemic implications

Chapter Overview Individuals conducting needs assessments must have a solid understanding of the system that they operate within during a needs assessment project. A system is composed of several objects that interact and interrelate with one another. Examples of objects that may comprise a system include, but are not limited to, workers, different departments, customers, organizational politics, financial resources, competitors, and programs and initiatives. The needs assessor must ensure they are gathering sufficient data that accounts

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for the variety of objects comprising the system to effectively validate the needs of the project. This chapter will delve into general systems theory as it relates to needs assessment and analysis. Emphasis will be placed on understanding the systematic and systemic nature of needs assessment and considerations the needs assessor must make while undertaking a needs assessment project.

What Is a System? A common theme that emerges during most needs assessments is that unexpected data or findings typically appear once a needs assessor begins uncovering more information. The needs assessor may interview with a supervisor and they will mention that they are unsure how or why a particular policy was created in the organization. They might recommend that you speak to another individual in the organization who may possess greater institutional memory and can inform on how certain changes occurred within the workplace. If you were tasked with conducting a needs assessment to better understand why employees were not participating in professional development opportunities being offered by an organization, you may find that you are gathering information spanning several different departments. As you gather data from each of these departments, it becomes quite apparent that while they are all a part of the same organization, each department values professional development opportunities differently. There may be some supervisors who do a better job of communicating these opportunities to their employees. Others may have meetings with their subordinates to discuss their professional goals and identify strategies to support them. In any of the abovementioned examples, it is important to know that a lot of components or different groups of people and processes may emerge that will implicate the findings of the needs assessment. These distinct and different groups or parts comprise a system. The word “system” is a term that is often thrown around to describe an organization or a large group of entities. Examples may include referring to the education system when discussing state standards for K–12 education practices. Another example may include referring to the healthcare system when discussing how a patient felt they were being treated when having to undergo m ­ edical care for an illness. All systems, regardless of type, consist of a group of components that assemble to create a whole. Hall and Fagen’s (1975) definition of a system

Understanding the System   49

describes “a set of objects together with relationships between the objects and between their attributes” (p. 52). A car can be considered a system because there are several functions, such as the engine, brake system, air conditioning unit, dashboard commands, and signaling devices, that must operate independently as well as together for a car to function safely and comfortably. While each of these functions is independent of one another, there are times where if one of these functions (or systems) fails to work correctly, it can impact other functions. The human body is viewed as a system among biologists in that it is composed of several systems that must work together (von Bertalanffy, 1968). Examples of some of these systems found in the human body including circulatory, nervous, and respiratory systems. Within each of these are several bodily parts that much work together to carry out and support different bodily functions. When an individual experiences the failure of one of these systems, such as respiratory, the other systems are compromised. When conducting needs assessments that involve people, Witkin and Altschuld (1995) define a system as being “a regularly interacting or interdependent group of people forming a unified whole and organized for a common purpose” (p. 13). Systems come in all different shapes and sizes depending on the organization. A classroom could be classified as a system consisting of the students and their instructor. A department within a college could be considered a system. The variety of programs that may be housed under that particular department would be considered subsystems of the department system as well as a separate functioning system. When examining systems involving human beings, Richey, Klein, and Tracey (2011) explain that every system or subsystem is composed of persons, processes, and objects. Depending on the level of interactivity that occurs among the parts, a system may be classified as being a closed system or an open system. How a system is labeled is dependent on the extent that the system interacts with its environment. A closed system operates independently of its environment, whereas an open system interacts with its environment (von Bertalanffy, 1968, 1972). An environment is defined as “both that which is outside of the direct control of the system and any phenomenon influencing the processes and behavior of the system” (Skyttner, 2001, p. 59). The environment encompasses the system(s) and provides the inputs that contribute to each system. Within each system is a certain level of entropy. This is defined as a degree of disorder and randomness that exists within the system (Skyttner, 2001). Closed systems typically experience increased levels of entropy, which leads to destruction because they are not interacting with other

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systems within their environment, whereas open systems tend to consist of a more elaborate structure as there are often processes in place that ­promote self-regulation (Katz & Kahn, 1966).

Components of a System Because the emphasis throughout this book is on needs assessments that impact and involve people, the systems discussed in this chapter and subsequent chapters will be focused on organizational systems. Regardless of the type of system, they all share common components. Richey et al. (2011, p. 13) provide an example overview of a system and its general components and processes, which can be seen in Figure 4.1. Figure 4.1 demonstrates how an environment may include a number of systems. Richey et al. also present the term “supra system,” which represents a larger system containing several smaller systems. Supra system is used to demonstrate that several possible levels of hierarchy may exist within a given system and/or its environment (Miller, 1978). Environment Suprasystem

Resources

Constraints

Objects

System Subsystem

Subsystem

Persons

Persons

Processes

Objects

System Products

Objects

Feedback

Persons

Processes

Information

Figure 4.1  Overview of a general system Source: Richey, R.C., Klein, J.D., & Tracey, M.W. (2011). The instructional design knowledge base: Theory, Research, and practice. New York, NY: Routledge. Figure 2.1- Overview of a General System (p. 13). Used with permission.

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Regardless of the number of systems or supra systems, each type is composed of persons, processes, and objects (Richey et al., 2011). These components interact with one another to carry out the functions (or goals) of the system. The overarching environment typically provides inputs to the systems that contribute to the systems’ goals. These inputs could include financial resources, individuals, or equipment. From there, it is expected that the system can generate outputs that will then be released into the environment. If there are multiple systems within the environment, the outputs of one system may serve as inputs to another system. As previously mentioned, all systems are designed to be working toward a goal. Within the structure of the system, we must promote a degree of transformation within the system where inputs from the environment are transformed into outputs. Common characteristics of systems are that they include a degree of entropy, self-regulating processes, and transformation (Litterer, 1969; von Bertalanffy, 1955). Figure 4.2 depicts how the degree of transformation that occurs within a system is dependent on the relationship between the degree of entropy and existing self-regulating processes. As depicted in Figure 4.2, higher degrees of entropy exist when there are fewer self-regulating processes in place within the system. The process of regulation consists of “the interrelated objects constituting the system being regulated in some fashion so that its goal can be realized” (Skyttner, 2001). There are more difficulties with transforming inputs from the environment into outputs when there is a higher degree of disorder or randomness (entropy) within the system. Systems that utilize self-regulating

Figure 4.2  Influence of entropy and self-regulating processes on system transformation

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processes typically mitigate entropy that can constrain the transformation processes needed for the system to achieve its goal(s).

Systemic Considerations for Needs Assessment The purpose of this chapter is not to overwhelm any individuals who may be considering a role in a needs assessment project. The needs assessor must understand that every needs assessment project involves an overarching environment that may consist of more than one system. It is important to recognize that different hierarchies may exist within each of these systems. In terms of organizational systems, these hierarchies may include the politics and group norms that promote or hinder the infrastructure needed to carry out specific goals within the group. As depicted in Figure 4.1, there are a number of components that comprise a system and an environment, and the level of interactivity that occurs among these components is variable. When conducting a needs assessment, the needs assessor must be aware of the extent of interactivity that occurs, the types of processes that help regulate the system and support the goals and functions of the group, and the degree of entropy that exists. Having an in-depth understanding of the functionality of the system will help the needs assessor make the necessary determinations of the existing situation and state of affairs, and recommendations to help the organization (system) meet its desired state of performance. From a practical standpoint, it is also important for the needs assessor to recognize that components within the system have the potential to positively or negatively influence other components within the system. Recognizing the positive and/or negative implications is critical when making recommendations in the final needs assessment report. The needs assessor must understand the systemic implications inherent in their recommendations. For example, if an individual was going to recommend changing the process for how customer orders are processed within the sales department, they also need to be aware of how this affects the production staff in fulfilling the customer orders in a timely fashion. If departments are using significantly different systems for tracking incoming and outgoing orders, proposing a new process for one department without considering the impact it may pose for another will not sufficiently address the goals of the organization (system).

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Summary A needs assessor must be mindful of the overarching environment and systems that directly and indirectly impact the situation that is being examined through the needs assessment. Identifying systems and understanding how components within the system interact with each other and system inputs will support the data sources identified when collecting data during the project. A needs assessor who understands the role of systems within an organization will be better positioned to recognize the hierarchies that exist within the environment as well as the influence these components may have for different functions and goals of the organization.

Professional Practice Revisited: Working Toward a Common Goal at Wayburn University The case at the beginning of this chapter introduced us to Amelia, who is getting ready to conduct a needs assessment involving several systems within one organization. While these systems are intertwined with one another, each will have its own individuals, processes, and objects that adhere to group culture. If you were assisting Amelia with the needs assessment, what are some questions that you would want to know about each department (or individual system) involved in online learning? In addition to that, what are boundaries Amelia may want to impose to make this project more ­manageable for her team?

Connecting Process to Practice 1. Make a list of the different groups that you belong to, both personally and professionally. What is the purpose of each group? What are the components of the groups (systems)? 2. Think of a system of which you are a member. Create a table that has two columns. In the first column, create a list of items that would describe the self-regulating functions that help the system work efficiently. In a second column, create a list of challenges experienced in the system. What are some of the disorderly functions that exist?

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Once you have created these two lists, review Figure 4.2 to see how you would measure your system’s ability to engage in transformation. 3. What challenges do you think exist for open and closed systems, in general? When might a closed system be more effective than a closed system? 4. Think of a time you experienced a change at work. Who was responsible for leading the change? How was the change implemented? Was the implementation of the new change successful? If so, what strategies were put in place within the system to support the change? If it was not successful, why did the change fail? 5. If you were a consultant who was hired by Wayburn University to assist Amelia and her new team, what are some questions you may ask about the individual groups mentioned in the case study? While this book has not yet discussed data collection in detail, think about the types of information (or sources) you might like to have access to in order to better understand the situation.

Recommended Reading Ashmos, D. P., & Huber, G. P. (1987). The systems paradigm in organization theory: Correcting the record and suggesting the future. Academy of Management Review, 12(4), 607–621. Carlucci, D., Lerro, A., & Skaržauskiene., A. (2010). Managing complexity: Systems thinking as a catalyst of the organization performance. Measuring Business Excellence, 14(4), 49–64. Cavaleri, S. A. (1994). “Soft” systems thinking: A pre-condition for organizational learning. Human Systems Management, 13(4), 259–267. Churchman, C. W. (1964). An approach to general system theory. In M. C. Mesarovic (Ed.), Views on general systems theory: Proceedings of the Second Systems Symposium at Case Institute of Technology (pp. 173–175). New York, NY: John Wiley. Cortes, F., Przeworski, A., & Sprague, J. (1974). Systems analysis for social scientists. New York, NY: John Wiley. Jackson, M. C. (2010). Reflections on the development and contribution of critical systems thinking and practice. Systems Research and Behavioral Science: The Official Journal of the International Federation for Systems Research, 27(2), 133–139. Kast, F. E., & Rosenzweig, J. E. (1972). General systems theory: Applications for organization and management. Academy of Management Journal, 15(4), 447–465.

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Kaufman, R. (1970). Systems approaches to education: Discussion and attempted integration. In Social and technological change: Implications for education. Eugene: Center for Advanced Study of Educational Administration, University of Oregon. Lazslo, E. (1972). The world system. New York, NY: Braziller. Leischow, S. J., Best, A., Trochim, W. M., Clark, P. I., Gallagher, R. S., Marcus, S. E., & Matthews, E. (2008). Systems thinking to improve the public’s health. American Journal of Preventive Medicine, 35(2), S196–S203. Maon, F., Lindgreen, A., & Swaen, V. (2008). Thinking of the organization as a system: The role of managerial perceptions in developing a corporate social responsibility strategic agenda. Systems Research and Behavioral Science: The Official Journal of the International Federation for Systems Research, 25(3), 413–426. McClelland, S. B. (1993). Training needs assessment: An “open‐systems” application. Journal of European Industrial Training, 17(1), 12–17. Montuori, L. A. (2000). Organizational longevity‐Integrating systems thinking, learning and conceptual complexity. Journal of Organizational Change Management, 13(1), 61–73. Romiszowski, A. J. (1981). Designing instructional systems: Decision making in course planning and curriculum design. London: Kogan Page. Rousseau, D. (2015). General systems theory: Its present and potential. Systems Research and Behavioral Science, 32(5), 522–533. Rousseau, D., Billingham, J., Wilby, J., & Blachfellner, S. (2016). The synergy between general systems theory and the general systems worldview. Systema: Connecting Matter, Life, Culture and Technology, 4(1), 61–75. Senge, P. M., & Sterman, J. D. (1992). Systems thinking and organizational learning: Acting locally and thinking globally in the organization of the future. European Journal of Operational Research, 59(1), 137–150. Stevenson, B. W. (2012). Application of systemic and complexity thinking in organizational development. Emergence: Complexity and Organization, 14(2), 86–99. van Eijnatten, F. M. (2004). Chaordic systems thinking. The Learning Organization, 11(6), 418–429.

References Hall, A. D., & Fagen, R. E. (1975). Definition of system. In B. D. Ruben, & J. Y. Kin (Eds.), General systems theory and human communication (pp. 52–65). Rochelle Park, NJ: Hayden Book Company, Inc.. Katz, D., & Kahn, L. (1966). The social psychology of organizations. London: John Wiley.

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Litterer, J. (1969). Organizations: Systems, control, and adaption. New York, NY: John Wiley. Miller, J. G. (1978). Living systems. New York, NY: McGraw Hill. Richey, R. C., Klein, J. D., & Tracey, M. W. (2011). The instructional design knowledge base: Theory, research, and practice. New York, NY: Routledge. Skyttner, L. (2001). General systems theory: Ideas and applications. Singapore: World Scientific Publishing. von Bertalanffy, L. (1955). An essay on the relativity of categories. Philosophy of Science, 22(4), 243–263. von Bertalanffy, L. (1968). General systems theory (Vol. 1). New York, NY: Braziller. von Bertalanffy, L. (1972). The history and status of general systems theory. The Academy of Management Journal, 15(4), 407–426. Witkin, B. R., & Altchuld, J. W. (1995). Planning and conducting needs assessments: A practical guide. Thousand Oaks, CA: SAGE.

Contextual Analysis

5

Case: Exploring Factors Contributing to Efficiency of Hospital Blood Bank Facilities Abigail Richardson is the Manager for the Quality and Patient Safety Department at Bellevue Hospital. One of her main responsibilities is to coordinate with various hospital units on ways quality and patient safety can be improved. To ensure that Bellevue Hospital maintains hospital accreditation and meets the Joint Commission’s hospital standards, Abigail attends several meetings with physicians where morbidity and mortality (M&M) cases are discussed. During these meetings, the health care professionals debrief their peers on what happened in a particular case, the patient outcomes, and root causes that contributed to the case. In recent months, there appear to be several cases where one of the root causes of failure was the delayed response in having the blood bank deliver units of blood to the operating rooms for patients requiring emergency surgeries. During the M&M debriefing meetings, there appears to be a lot of tension between staff who work in the blood bank, emergency room staff, and the operating room teams. No one seems to be able to pinpoint what is causing the delays; however, each department believes that it is not to blame. Abigail’s department has been tasked with identifying what is causing the delay. Because she has worked with each of these departments on numerous projects, she knows that everyone there takes pride in their jobs. Before she jumps to any conclusions as to why there may be delays in

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blood bank services reaching the operating rooms, she decides that she is going to conduct a needs assessment. Abigail has received approval from senior administrators at the hospital. Due to the tensions existing between the various departments, Abigail needs to be very careful of the contextual factors linked to this project. She is not quite sure what those factors are, but she knows they exist, and her team needs to maneuver around them carefully.

Guiding Questions 1. What is a contextual analysis? 2. How does contextual analysis align with needs assessment practices? 3. What are the different types of contextual factors a needs assessor must address during a project? 4. What is the relationship between contextual factors and the system as a whole? 5. What is environmental analysis?

Key Terms Application context Context Contextual analysis Contextual factors Environmental analysis Learning environment Organizational analysis Orienting context Instructional context Transfer context

Chapter Overview During the needs assessment process, the needs assessor needs to be able to identify needs and then determine what’s causing the performance challenges. This chapter will address contextual factors that influence the outcomes of a needs assessment. Research exploring factors that assessors

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should take into consideration when exploring the problem/challenge initially presented will be discussed. Examples of contextual factors include politics, organizational culture, financial resources, competing initiatives, individual performers/workers/learners, workplace environment, learning environments, training materials, and resources, etc. Strategies for how to examine problems and the need to identify contextual factors influencing analysis will also be presented.

Context Defined The term “context” has already been mentioned in previous chapters. This chapter will extend strategies to assist the needs assessor with dissecting the interactivity occurring within an organization. Building upon Chapter 4, this includes understanding the interactivity that occurs between components of the system. Context is defined by Oxford Dictionaries (2020) as “the circumstances that form the setting for an event, statement, or idea, and in terms of which it can be fully understood and assessed.” When conducting a needs assessment, the assessor must understand the context of the organization or group that he or she is assisting. The previous chapter discussed the composition of systems in general, and explained how the level of entropy (disorder and chaos) that exists with the system influences the ability of a system to transform inputs to outputs that contribute toward achieving the goals established by the system. While a good thorough needs assessment should discover the unique contextual factors that contribute to or hinder performance within a system, a contextual analysis, as it relates to needs assessment, is the process of exploring contextual factors that promote or hinder performance in the organization. When exploring contextual factors that may influence individuals or groups within an organization, the assessor may choose to employ a series of assessments to help gain an understanding of the unique nuances specific to that group or system. Contextual analysis has been written about a fair amount in the instructional design literature, focusing on the impact contextual analyses have on designing instruction. Contextual analysis as it relates to designing instruction is defined as the process of identifying factors that inhibit or promote the ability to design instruction that is relevant to what occurs in real-world settings (Morrison, Ross, Kalman, & Kemp, 2013; Richey & Tessmer, 1995; Tessmer & Richey, 1997).

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The contextual analysis enables the instructional designer to “anticipate task perceptions of relevance, difficulty, content structure, and opportunity to perform” (Tessmer & Richey, 1997, p. 96). These analyses focus on how instruction reflects what occurs in the real world (Duffy, 2004). It is important to note that while these assessments could be viewed as being mutually exclusive and independent of one another, oftentimes these analyses overlap and inform one another throughout the overarching needs assessment process. This chapter will provide an overview of these different types of analyses as well as strategies to assist the needs assessor with gathering more information about the context. Each of these analyses has a specific focus or goal; it is up to the needs assessor to determine if they need to spend time focusing on one particular aspect of analysis over another.

Understanding the Underlying Culture of the System Chapter 3 provides a theoretical framework for how to interpret the needs assessment process. This interpretive lens requires the needs assessor to understand basic human need theory, decision-making theory, and general systems theory. These theoretical constructs are woven together to help individuals conduct a thorough needs assessment by delving into an organization and understanding the systemic relationship among these constructs. Chapter 4 provides an overview of the general operation and functions of a system. As previously mentioned, a lot of general systems theory is rooted in biological and living systems (Skyttner, 2001), but offers much insight into the structure of organizational systems. It is important to reiterate that regardless of whether a system is considered to be living or non-living, the objects within a system are always (or should be) carrying out functions that are working toward a common goal. As mentioned in Chapter 4, while it is not a requirement it is fairly common for hierarchies to exist within systems. This is almost always prevalent in systems composed of human beings in organizations. It is important to recognize that hierarchies exist within organizational systems and greatly influence how system functions are carried out. Sometimes these hierarchies exist within one large system, and sometimes multiple systems and subsystems are operating within the overarching environment. It is important to recognize that the hierarchy that exists within each system and its subsystem contributes to or guides the culture of that

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system. The term “culture” “consists of group patterns of behavior and beliefs which persist over time” (LeCompte & Schensul, 1999). A culture begins to permeate through a group (or system) as more and more individuals within the system begin adopting the behaviors and patterns as acceptable practices. When conducting a needs assessment, the needs assessor needs to account for these systems and hierarchies as they determine how they are going to approach data collection to make informed recommendations to their client. Collecting data that reflects what is occurring within each system and their respective hierarchies will also enable the needs assessor to triangulate data to further support their recommendations. Triangulation is the process of using multiple data sources to validate findings and provide additional credibility of findings (Putman & Rock, 2018). Chapter 8 explores data collection strategies to assist needs assessors with gathering data from multiple types of data sources to convey the reality that is occurring within a system. Gathering this data enables the assessor to identify patterns consistent in the system as well as interpreting the unique culture of the system from multiple perspectives.

The Role of Contextual Analysis in a Needs Assessment A needs assessor’s interpretation of the culture existing with a system is dependent on their level of familiarity with the organization. They may have only interacted with a few departments, functions, or individuals before conducting a needs assessment. If they are considered an internal consultant to the project, they might have preconceived notions about how things work in the system because they are currently employed with the organization. These preconceived notions may be accurate or inaccurate; they are limited to the individual’s experiences and encounters with others in the system. Regardless of whether a needs assessor is internal or external to the organization, they are exploring ethnography strategies that can assist them with interpreting and defining the organizational culture within the system. Ethnography is a research methodology that is focused on describing the culture of a group (Spradley, 1980). In ethnographic studies, the researcher engages in participant observation and immerses himself or herself in the environment (system) in varying degrees to gain a better understanding of what is taking place. These varying degrees of immersing oneself in the environment are described in more detail in Chapter 8.

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Similar to ethnographic research practices, it is common for needs assessors to spend some time observing individuals within the system during a needs assessment to better understand the interactions between components in the system. It is important to mention that in most cases, the reality is that the needs assessor never has enough time to conduct data collection the way they would like. They are often constrained by a timeline that has been proposed by the client. Clients who are employing someone to conduct a needs assessment usually want to move forward with implementing recommendations as soon as possible. Oftentimes, the clients have already identified the solutions that they think they need before a needs assessment ever occurring, as discussed in previous chapters. The purpose of Chapter 4 was to emphasize the complexity of systems. I also introduce the idea of how the needs assessor can impose boundaries to help them maneuver through the system and make the needs assessment a more manageable process. While the needs assessor wants to cast a wide net to really understand all of the possible factors that may be contributing to the current state of affairs, the reality is that they do not have to turn over every stone within the system or overall environment. If they did not impose boundaries on the project, they would be in a constant state of gridlock. I proposed the idea of adopting a bounded rationality where the needs assessor makes decisions based on their previous experience, current knowledge of the situation (or system), and their ability to make assumptions (Simon, 1957). This technique has been used in a variety of design disciplines. To address the reality that systems are complex, Meloncon (2017) suggested that individuals need to employ scalability to focus on localized contextual usages. This translates to needs assessment in the sense that the needs assessment would identify or review the needs that have been presented at the beginning of the project as items warranting further exploration. From there, the needs assessment may localize the contextual usages within the system by looking specifically at which components of the system are directly aligned with the needs being explored. This enables the needs assessor to impose some boundaries in terms of how to localize the context and work within a subset of the environment. The extent that the needs assessor can localize the context for purposes of a needs assessment project is going to vary from project to project and will be dependent on the environment, the number of systems and hierarchies in existence, and the degree of entropy that is contributing to the gap in performance.

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Recognizing that constraints or limitations will need to be imposed to examine the environment within a reasonable timeframe, there are a variety of tools and analyses that a needs assessor may seek to employ to expedite data collection. Throughout the duration of a needs assessment, there are a variety of analyses that the assessor may choose to employ to help them gain a sufficient understanding of the needs specific to the project. Examples of other analyses that may be used include, but are not limited to, goal analysis, contextual analysis, environmental analysis, and task analysis. It is up to the needs assessor and their team to determine if and when certain analyses are needed to support the project goals. This chapter focuses explicitly on the use of contextual analyses to identify contextual factors that impact performance. A primary motive for conducting a contextual analysis during a needs assessment is to identify the contextual factors that hinder and support performance within the organization. Any recommendations made at the end of the needs analysis to minimize the gap between the current state and desired state of affairs should accommodate or address these factors. Failure to do so will most likely result in the implementation of solutions that are unsustainable or unsuccessful.

Contextual Factors Impacting Performance There are a number of contextual factors that can impact performance within an organization. These factors may include monetary limitations, organizational politics, degrees of diversity that exist within the organization, application settings of where performance tasks are carried out and performed, interpersonal factors involving employees, and process factors (Pershing, 2006). These factors can influence group norms and also contribute to established rules or protocols that are followed in the workplace. Examples of contextual factors that may be considered in the initial case presented at the beginning of the chapter most certainly would include organizational politics, personnel factors such as perceptions associated with how training may be developed, and organizational factors in terms of the formation of teams in emergencies. The needs assessor needs to see that when the health care teams are formed to assist a patient arriving in the emergency room, it is often difficult to plan as the emergency needs arise within a matter of mere minutes. Politics can sometimes play a role in these health care scenarios in who is considered to be in charge during a trauma resuscitation. Thinking back

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to the discussion surrounding hierarchies in Chapter 4, hierarchies within hospitals are certainly prevalent in the majority of health care settings. While doctors, nurses, and allied health team members all have specific job functions they are responsible for during patient care, there are a lot of unwritten rules that take place that are more political in nature. Depending on the organization, a nurse or allied health employee may not feel comfortable challenging a physician’s authority if they have observed them making a mistake while treating a patient. Other health care systems may be more open to promoting team communication and seeking clarification if someone thinks a mistake has been made. Other political issues may occur within a health care system in terms of how resident physicians (physicians in training) are assigned cases. Some individuals may feel that they are not assigned high-profile or complex cases due to personal interactions with other leaders in the department. These contextual factors are present in all health care settings; however, the culture of the system will vary, thus emphasizing the need for conducting a contextual analysis. What may work in five hospitals will not work in others. There are several ways to dissect or organize contexts that exist within an environment and its systems. There is no particular number of contexts that exist in every system; again, this is for the needs assessor to determine during a project. This section will provide an overview of the types of contexts a needs assessor may consider exploring during a project. A seminal piece that was written about context as it relates to the instructional design field (Tessmer & Richey, 1997) proposes that all training programs should address three contexts: orienting, instructional, and transfer. It is important to note these contexts and how context is approached through an instructional design lens because many recommendations resulting from a needs assessment and analysis warrant instructional solutions. Regardless of whether a needs assessor is planning to recommend instructional solutions, this paper emphasizes how multiple contexts should be considered when designing an intervention. Table 5.1 provides an overview of the types of contexts a needs assessor may examine during a needs assessment project. As mentioned throughout this book, the needs assessor may decide to focus on a select group of factors depending on the project needs. The orienting context addresses factors concerning learners as employees as they relate to performing job functions (Tessmer & Richey, 1997). Factors concerning this contextual lens include employee and learner demographics. Other factors include an individual’s perceptions of utility relating to different job functions. Understanding learners’ perceptions

Table 5.1  Types of Contexts and Factors to Be Considered during a Needs Assessment Context

Description

Examples of Factors

Orienting

This context addresses factors concerning learners and employees as they relate to performing job functions within an organization.

Instructional

This context considers the environment in which training solutions are delivered to individuals within an organization.

Transfer

This context comprises where or how an individual will apply changes and recommendations that result from the needs analysis.

Environmental

An environmental context consists of all factors that may contribute to the overall success of an environment.

• Employee demographics • Learner demographics • Individuals’ perceptions of utility as it relates to performance functions • Organizational infrastructure to support performance functions • Organizational culture • Platform (i.e. classroom instruction, online instruction, hybrid) • Roles of the instructors and learners during instruction • Incentives associated with completing training • Culture nuances present in the training • Organizational support available to support changes resulting from training • Location of where job functions are carried out • Incentives associated with implementing change in the workplace • Equipment required to support the transfer context • Economics • Legal • Political • Social responsibility • Technological

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offer indications as to how certain recommendations may be received upon the conclusion of the needs assessment process. It also offers insight to the needs assessor to ensure perceptions of utility are adequately explained when making recommendations for implementing change. Other factors that are typically addressed in the orienting contextual lens include the organizational culture and the current infrastructure in place to support functions of the organization (Driskill, 2018). In addition to understanding the organizational culture, needs assessors should also explore what incentives are currently in place to motivate individuals to function productively within the organization (Warrick, 2017). If it is commonplace for certain incentives to be available for particular types of work or training, the needs assessor should factor information about incentives into any recommendations that they may include in their final report. They may be inclined to include similar incentives for new changes they are proposing so that they are presenting a change in a manner that employees will recognize and appreciate. Examples of questions that may be asked when examining the orienting lens include, but are not limited to: • What is the make-up of the organization (i.e. what are the various departments and their functions within the organization)? • What are the employee and/or learner profiles? • What is the level of morale among individuals within the organization? • What infrastructure is in place to support performance functions within the organization? • What types of political issues influence employees’ performance within the organization? • How would you describe your organization’s culture? The instructional contextual lens focuses on how instructional interventions are delivered within an organization (Tessmer & Harris, 1990). Factors that are typically examined in the instructional context include the types of training platforms that are used by the system (i.e. face-to-face instruction, online instruction, or a hybrid of both). Expectations of the instructor and learner roles during instructional events are also addressed to help those designing instructional interventions to identify opportunities for learning transfer (Tessmer & Wedman, 1995). The following are examples of the types of questions a needs assessor may ask when seeking additional information regarding how training is delivered in an organization:

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• How often are employees required to participate in training activities? • What incentives exist for employees to seek out professional development opportunities? • How is instruction typically delivered? • What are learners’ opinions about the various types of learning platforms? • What types of instructional activities or strategies are commonly used? • How is training perceived by individuals within the organization? • Is training valued by individuals within the organization? The transfer context, as it relates to needs assessment, explores how and where changes in performance will take place. When examining the transfer context, it is important to understand if there a smooth transition from a training environment to the actual work environment. While political, technological, and infrastructural questions are posed during an overarching environmental analysis, the transfer context certainly highlights how these types of factors impact performance (Wathne, Roos, & von Krogh, 1996). Examples of questions that may be asked of the transfer setting include: • How does the transfer context differ from the content that may have been presented in the instructional context? Is there a smooth transition from one to the other? • What incentives are provided to employees to implement changes in the transfer context? Are the incentives attainable? Are employees enticed by the incentives being offered? • What equipment or support is needed to provide an infrastructure that can support performance functions in the actual setting? Environmental analysis explores internal and external factors that impact how the overall function of the organization (Rothwell, 2005). Referring to Chapter 4, the environmental analysis goes beyond looking at a particular system or systems to examine the entire overarching environment. Contextual factors that are typically examined from an environmental standpoint include those focused on economics, legal practices, ­politics, social responsibility, and technological supports (Tessmer, 1990). The  following are examples of questions that may be asked during an environmental analysis: • Are there political trends on the horizon that may impact the overall function of the organization?

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• What are potential threats that may affect performance within the organization? • What opportunities are available for the organization to grow within the environment? • What are the societal expectations of the organization? • How do the outputs of the organization impact the environment?

Strategies for Examining Contextual Factors There are several data sources a needs assessor may employ when conducting a contextual analysis to understand more individualized factors that may contribute to organizational performance. Data collection techniques typically include surveys, interviews, direct observations, document analysis, and focus groups. These are discussed in more detail in Chapter 8, along with suggested strategies for how to gather data using these methodologies. There are no particular contextual analysis tools or assessments to guide a needs assessor through conducting a contextual analysis. This is something that they must account for while gathering data and analyzing data for patterns of performance. Table 5.2 is an example of a table a needs assessor may refer to when determining what they know about the needs assessment project through various contextual lenses.

Summary Taking the time to examine contextual factors in depth enables the needs assessor to identify patterns and behaviors within the system as they relate to specific components. Contextual analysis also provides a means for the needs assessor to analyze and group data from a variety of sources to begin understanding how recommendations should be aligned to address the existing culture within the organization.

Professional Practice Revisited: Exploring Factors Contributing to Efficiency of Hospital Blood Bank Facilities The case at the beginning of this chapter introduced us to Abigail Richardson, who is embarking on a needs assessment involving multiple

Environmental

Transfer

Instructional

Orienting

Contextual factors

What is already known about these factors?

What information is needed about these contextual factors?

What data sources are needed to address questions?

Table 5.2  Organization of Information Related to Context Factors How do these contextual factors impact the needs of the project?

Do these contextual factors present other needs that should be included in the needs analysis?

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units within a hospital. Abigail recognizes that it will be imperative for her team to understand the unique contexts of each of the units, as well as how they align (or not) with one another. Take a moment and think back to Chapter 4’s discussion about general systems. What are some questions that Abigail’s team should ask to understand how the system(s) operate within Bellevue Hospital, as well as the contextual factors contributing to the current state of affairs? How might Abigail begin establishing a needs assessment plan?

Connecting Process to Practice 1. What do you believe is the most important data for Abigail’s team to gather to begin understanding the underlying culture among the three departments in the case study? 2. Describe why gathering data from multiple contextual lenses would be beneficial to an individual preparing to make recommendations for an instructional remedy. 3. Describe a scenario where you believe a contextual analysis would not need to be conducted. 4. Consider a project that you recently worked on that involved other individuals. How would you go about conducting a contextual analysis? What information would a contextual analysis yield regarding your project? 5. If you were Abigail Richardson, what are some boundaries that you would impose on the contextual analysis to make the project more manageable?

Recommended Reading Banker, R. D., Lee, S. Y., Potter, G., & Srinivasan, D. (1996). Contextual analysis of performance impacts of outcome-based incentive compensation. Academy of Management Journal, 39(4), 920–948. Basi, R. S. (1998). Administrative decision making: A contextual analysis. Management Decision, 36(4), 232–240. Bednar, P. M. (2000). A contextual integration of individual and organizational learning perspectives as part of IS analysis. Informing Science, 3(3), 145–156. Ferris, G. R., Arthur, M. M., Berkson, H. M., Kaplan, D. M., Harrell-Cook, G., & Frink, D. D. (1998). Toward a social context theory of the human resource

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management-organization effectiveness relationship. Human Resource Management Review, 8(3), 235–264. Fourné, S. P., Rosenbusch, N., Heyden, M. L., & Jansen, J. J. (2019). Structural and contextual approaches to ambidexterity: A meta-analysis of organizational and environmental contingencies. European Management Journal, 37(5), 564–576. Hung, D., Gray, C., Martinez, M., Schmittdiel, J., & Harrison, M. I. (2017). Acceptance of lean redesigns in primary care: A contextual analysis. Health Care Management Review, 42(3), 203–212. Kimberly, J. R., & Evanisko, M. J. (1981). Organizational innovation: The influence of individual, organizational, and contextual factors on hospital adoption of technological and administrative innovations. Academy of Management Journal, 24(4), 689–713. Lyon, A. R., Cook, C. R., Brown, E. C., Locke, J., Davis, C., Ehrhart, M., & Aarons, G. A. (2018). Assessing organizational implementation context in the education sector: Confirmatory factor analysis of measures of implementation leadership, climate, and citizenship. Implementation Science, 13(1), 5. Oliver, C. (2019). A Group Analytic Approach to Work with Staff Teams and Organizations: A contextual framework. In A. Novakovic, & D. Vincent (Eds.), Group analysis: Working with staff, teams and organizations (pp. 37–48). New York, NY: Routledge. Rusu, G., Avasilcaˇi, S., & Hut¸u, C. A. (2016). Organizational context factors influencing employee performance appraisal: A research framework. Procedia-Social and Behavioral Sciences, 221, 57–65. Wang, Q., Dou, J., & Jia, S. (2016). A meta-analytic review of corporate social responsibility and corporate financial performance: The moderating effect of contextual factors. Business & Society, 55(8), 1083–1121. Witt, L. A., Kacmar, K. M., Carlson, D. S., & Zivnuska, S. (2002). Interactive effects of personality and organizational politics on contextual performance. Journal of Organizational Behavior: The International Journal of Industrial, Occupational and Organizational Psychology and Behavior, 23(8), 911–926.

References Driskill, G. W. (2018). Organizational culture in action: A cultural analysis workbook. New York, NY: Routledge. Duffy, T. (2004). Theory and the design of learning environments: Reflections on differences in disciplinary focus. Educational Technology, 44(3), 13–15. LeCompte, M. D., & Schensul, J. J. (1999). Designing and conducting ethnographic research. New York, NY: AltaMira Press.

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Meloncon, L. K. (2017). Patient experience design: Expanding usability methodologies for healthcare. Communication Design Quarterly, 5(2), 20–28. Morrison, G. R., Ross, S. M., Kalman, H., & Kemp, J. (2013). Designing effective instruction (7th ed.). Hoboken, NJ: Wiley. Pershing, J. A. (2006). Human performance technology fundamentals. In J. A. Pershing (Ed.), Handbook of human performance technology (3rd ed., pp. 5–34). San Francisco, CA: Wiley. Putman, S. M., & Rock, T. (2018). Action research: Using strategic inquiry to improve teaching and learning. Thousand Oaks, CA: SAGE. Richey, R. C., & Tessmer, M. (1995). Enhancing instructional systems design through contextual analysis. In B. B. Seels (Ed.), Instructional design fundamentals: A reconsideration (pp. 189–199). Englewood Cliffs, NJ: Educational Technology Publications. Rothwell, W. (2005). Beyond training and development: The groundbreaking classic on human performance enhancement (2nd ed.). New York, NY: Amacom. Simon, H. A. (1957). Models of man. New York, NY: Wiley. Spradley, J. P. (1980). Participant observation. New York, NY: Holt Rinehart and Winston. Skyttner, L. (2001). General systems theory: Ideas and applications. Singapore: World Scientific Publishing. Tessmer, M. (1990). Environment analysis: A neglected stage of instructional design. Educational Technology Research and Development, 38(1), 55–64. Tessmer, M., & Harris, D. (1990). Beyond instructional effectiveness: Key environmental decisions for instructional designers as change agents. Educational Technology, 30(7), 16–20. Tessmer, M., & Richey, R. C. (1997). The role of context in learning and instructional design. Educational Technology Research and Development, 45(2), 85–115. Tessmer, M., & Wedman, J. (1995). Context‐sensitive instructional design models: A response to design research, studies, and criticism. Performance Improvement Quarterly, 8(3), 38–54. Warrick, D. D. (2017). What leaders need to know about organizational culture. Business Horizons, 60(3), 395–404. Wathne, K., Roos, J., & von Krogh, G. (1996). Towards a theory of knowledge transfer in a cooperative context. In G. von Grogh, & J. Roos (Eds.), Managing knowledge: Perspectives on cooperation and competition (pp. 55–81). Thousand Oaks, CA: SAGE.

Needs Assessment Models and Processes

6

Case: Novice Needs Assessor at Training Solutions, Inc. Baron Ryan recently graduated with a degree in industrial and organizational psychology and accepted a position with a local consulting firm, Training Solutions, Inc. The consulting firm provides consultative services to businesses that are interested in expanding their training resources, such as developing e-learning training modules and learning management systems to support employee development. After working with Training Solutions for three months on several projects, Baron has been assigned to lead a needs assessment for a small coffee business looking to establish more consistency with training practices across its five locations. Baron has never led a needs assessment before. While he has participated in them at different phases of a project, he wants to take extra care and ensure that he is addressing the necessary steps. After doing a few searches on needs assessment models, Baron begins to feel overwhelmed; he is unsure which model is the best one to use for this project.

Guiding Questions 1. What is a needs assessment model? 2. What purpose does a model serve during a needs assessment project? 3. What questions should a needs assessor ask when selecting a needs assessment model?

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4. What differences exist among needs assessment models? 5. What are the limitations associated with the use of models?

Key Terms Front-end analysis Model Needs analysis Performance analysis

Chapter Overview This chapter will provide an overview of needs assessment models. To date, there is a multitude of models that are used for different types of projects in a variety of contexts. The following models will be discussed: Gilbert’s Behavioral Engineering Model, Harless’ Front-End Analysis Model, Kaufman’s Organizational Elements Model (OEM), Mager and Pipe’s Performance Analysis Flow Diagram, Rummler and Brache’s NineVariable Framework, Wedman’s Performance Pyramid, and Witkin and Altschuld’s Three-Phase Needs Assessment Model. Emphasis will be placed on distinguishing between training needs assessment models, organizational needs assessment models, and community needs assessment models. This chapter will also provide guidelines and heuristics for helping the practitioner select the most appropriate needs assessment model for their project.

A Need for Models As discussed in Chapter 1, a needs assessment is the process of determining the gap in performance between the current state and the desired state (Altschuld & Kumar, 2010). The first half of this book has spent a lot of time dissecting general systems theories, taxonomies of needs, and ­strategies for conducting contextual analyses. To date, there are a number of needs assessment models available to needs assessors and researchers of a variety of disciplines. Models are typically relied upon to help practitioners by providing a sequence for how particular ideas should be carried out in a real-world setting, to provide

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overviews and summaries of best practices, and to provide examples of the model being utilized in various contexts (Reigeluth, 1983). Models are typically very prescriptive and outline a series of steps that should be applied during any one project. The needs assessor needs to strike a balance between utilizing a needs assessment model and accommodating the authenticity of the situation. The process of conducting a needs assessment is not linear; it is recursive and requires the needs assessment to revisit various aspects to continue ensuring alignment between the components of the project and alignment with the system being examined. Instead, the needs assessor should rely on a needs assessment model to serve as a guide and a reminder of different checkpoints that need to be accounted for throughout the project. Recognizing the degree of authenticity that exists in needs assessments, it is important to recognize that certain needs assessment models have been developed for particular sectors. Some may be limited to assessing particular needs, such as training needs assessment models, while others have been designed to support a larger view of organizational processes. “The proliferation of models, however, has also been accompanied by conflicting usage of key terminology by proponents of the differing models” (Leigh, Watkins, Platt, & Kauffman, 2000, p. 87). This chapter does not provide an exhaustive overview of every needs assessment or training needs assessment model in existence; rather, it highlights some of the most revered models in the performance ­improvement literature.

Gilbert’s Behavioral Engineering Model Thomas Gilbert (1978) developed the Behavioral Engineering Model to support the causal analysis that occurs once a gap in performance has been addressed. Gilbert believed that information, instrumentation, and motivation were the three most prevalent factors that influenced performance. Gilbert’s framework explores information, instrumentation, and ­motivation at the employee and environmental levels to determine if the infrastructure is supporting or hindering performance, as well as if there is a discrepancy in alignment between the two layers of analysis. It is important to know that while the term “performer” is referenced throughout Gilbert’s Behavioral Engineering Model, it is not limited to employees with an organization. Performer can be used interchangeably with an employee, a student, a volunteer, or any other description for an

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individual who has a role within the system being explored during the needs assessment project. When exploring information as it relates to the system, Gilbert’s model examines this through data at the environmental level and knowledge as it relates to the performer (i.e. the employee). At the environmental level data consists of the need for “complete, clear, unambiguous, and up-to-date data on performance expectations and information regarding correct procedures” (Van Tiem, Moseley, & Dessinger, 2012, p. 168): job descriptions, instructions on how to complete tasks, and feedback on any other factors of which a performer should be knowledgeable. The performer level explores information in terms of the knowledge and  skills an individual espouses that demonstrates they are equipped to complete the tasks that are assigned. Gilbert (1978) describes this ­knowledge and these skills as a repertory of behaviors. Instrumentation, the second factor, is composed of the resources and tools provided by the organization to the performer to support the completion of their tasks. An individual’s capacity to complete the tasks is considered the instrument at the performer level. A high-performing individual may experience significant challenges in an organization if they are not provided with the necessary infrastructure to support their performance. Likewise, an organization could be providing sufficient resources and tools but have an unqualified individual fulfilling a position with the organization. Motivation is the final factor that Gilbert (1978) recognizes as influencing performance. The environmental level envelopes motivation by communicating incentives and rewards to individuals within the organization as well as enforcing consequences, either positive or negative, dependent on the performer’s ability to complete their responsibilities in the system. At the individual level, motivation encompasses a performer’s expectations in terms of what they will gain in return for completing their assigned tasks. When dissecting a system across two levels, the environmental and the performer, the incentives that the environment is offering must align with the performer’s expectations. If the performer does not see the value in the incentives or rewards being offered or if they do not believe the goals are attainable in the first place, they are more apt to avoid putting forth effort toward completing the task. To date, there have been several studies that have been conducted using Gilbert’s (1978) Behavioral Engineering Model as the framework to guide their needs assessments and causal analysis. Table 6.1 provides an overview of studies that have documented how they utilized Gilbert’s model during a performance-related project.

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Table 6.1  Application of Gilbert’s Behavioral Engineering Model Industry

Study

Health care

Examining opportunities to increase blood donations (Russell, 2010)

Business and industry

K–12

Examining the delivery of training and feedback in health care (Ross & Stefaniak, 2018) Evaluating performance preferences of disability service managers (Wooderson, Cuskelly, & Meyer, 2017) Examining factors influencing participation in optional e-learning training (Slade, 2008) Identifying strategies to improve customer service (Austin, Olson, & Wellisley, 2001) Identifying risks of losses in construction (Borkovskaya & Passmore, 2018) Identifying barriers to technology integration (King & Cennamo, 2016)

Harless’ Front-End Analysis As has already been discussed in Chapter 5, there are many terms such as “performance analysis,” “environmental analysis,” “learner analysis,” and “needs analysis” that are referred to by needs assessors. Harless (1970) coined the term “front-end analysis” when he advocated for the need to fully understand the problem before making recommendations for solutions. “The purpose of front-end analysis is to better understand the performance problem” (Rossett, 1982, p. 30). While Harless’ framework may not be considered a model in its most primitive sense, it does offer a prescriptive approach for asking questions to gain a better understanding of the problem driving the needs assessment. His approach to front-end analysis consists of the needs assessor asking 13 questions at the beginning of a project before any decisions are made to determine appropriate interventions. These questions consist of the following: 1. Do we have a problem? 2. Do we have a performance problem?

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3. How will we know when the problem is solved? 4. What is the performance problem? 5. Should we allocate resources to solve it? 6. What are the possible causes of the problem? 7. What evidence bears on each possibility? 8. What is the probable cause? 9. What general solution type is indicated? 10. What are the alternate subclasses of solution? 11. What are the costs, effects, and development times of each solution? 12. What are the constraints? 13. What are the overall goals? Often a client will know that a performance problem exists when they contract a needs assessor for a project; however, this does not always mean that they know what the exact problem is and what is causing the problem. In many cases, they may be observing or experiencing the symptoms or side effects of the problem. Harless’ (1970) 13 questions provide the needs assessor with the ability to dig a little deeper as they begin to gather ­information about the problem or need that is driving the project.

Kaufman’s Organizational Elements Model The OEM provides a framework for conducting a needs assessment that is inclusive of multiple levels within an organization by examining outcomes, outputs, products, processes, and inputs (Kaufman, 1998, 2000). In addition to the five organizational elements, Kauffman describes four levels of needs assessment, consisting of mega, macro, micro, and quasi. A unique feature of the OEM is that it places focus on societal implications resulting from the organization’s performance. To date, this is the only needs assessment framework to embed a social responsibility mindset. The outcomes element encompasses the impact that the organizational results will pose for society. This element aligns with a mega needs assessment level. The mega-level is often used to support an organization’s strategic planning activities or situations requiring significant or immediate radical change because it assesses the gap between actual and desired states of performance as measured by the usefulness of performance outcomes to society (Kaufman & Guerra-Lopez, 2013). The output element is focused on organizational results. This element aligns with the macro needs assessment level. The macro-level is often

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used to support an organization’s tactical planning activities or situations requiring solutions that yield immediate results. This type of needs assessment assesses the gap between actual and desired states of performance as measured by organizational outputs (Kaufman & Guerra-Lopez, 2013). Examples of outputs may include profits, the number of students graduating from a university, an increase in customers, or a reduction in time on-task. This level differs from the mega-level in that it does not emphasize the societal impact of the outputs. The product element are the outcomes of a micro-level needs assessment. The micro-level is often used to support an organization’s operational planning activities that are related to specific jobs or performers within the organization. This type of needs assessment assesses the gap between actual and desired states of performance at the individual, group, or department performance level (Kaufman & Guerra-Lopez, 2013). Examples of products resulting from a micro-needs assessment could include employees being properly trained on a system information ­technology system or product quotas being met. A quasi needs assessment level encompasses the remaining two organizational elements: processes and inputs. Processes include the strategies and interventions that are employed throughout the organization to contribute to supporting all other levels of the organization. Inputs encompass the resources that are needed for the organization to function, such as money, human capital, and equipment. A quasi needs assessment assesses gaps that exist “in a method, resource, or process” (Kaufman & Guerra-Lopez, 2013). Kaufman and Guerra-Lopez (2013) say that “most organizational improvement efforts limit themselves to a microfocus and thus endanger the entire organization” (p. 18). The OEM provides a framework to support assessment, analysis, and strategic planning required to enable the extended reach and impact of the organization’s performance outcomes. This model is very useful for an experienced needs assessor who is preparing to conduct a needs assessment involving complexities and hierarchies within the system.

Mager and Pipe’s Performance Analysis Flow Diagram Mager and Pipe’s (1997) performance analysis flow diagram presents a series of questions a needs assessor should ask to help identify the causes contributing to problems, and determine whether problems are worth

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solving. The questions are presented in a flow diagram that directs the needs assessor to the next appropriate question depending on the response to the previous question. The flow chart guides the needs assessment through questions addressing problem recognition, development of solutions, and the feasibility of proposed solutions. While all needs assessors should consider the costs associated with conducting a needs assessment when determining if a problem is worth solving, Mager and Pipe’s (1997) flow diagram explicitly posts questions to guide the needs assessor through conducting a cost-benefit analysis. While Mager and Pipe suggest that cost-benefit analysis is the most appropriate strategy to employ to evaluate whether particular solutions are worth implementing, criticisms of the model are that “they do not explicitly detail a process by which alternate solutions are generated” (Watkins, Leigh, Platt, & Kaufman, 1998, p. 46).

Rummler and Brache’s Nine-Variable Framework Influenced by Gilbert’s (1978) Behavioral Engineering Model, Rummler and Brache (2013) proposed nine variables to dissect an organization across three levels. Similar to Gilbert’s model that separates the performer from the organizational environment (or infrastructure), Rummler and Brache have further divided the environmental level to create a separate level for examining processes across the organization. Their three performance levels include the organizational level, process level, and performer level. Their framework explores how performance is occurring in these three levels in terms of goals, design, and management. Through the goals lens, they seek to ensure alignment between the vision set forth by the organization, goals as they pertain to processes that have been designed to carry out work in the system, and goals related to the actual job and the extent that the outputs of a performer align with the process and organizational goals (Rummler, 2006). The design lens examines whether the organization has allocated sufficient resources to support different functions within the organization. At the organizational level, this consists of looking at an organizational design structure. How are various functions set up within the organization? Process design examines to what extent instructions are documented to support the organizational goals and job functions. Job design ensures that job functions and expectations are documented in job descriptions and communicated to the individuals responsible for completing the tasks.

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The management lens looks at how various organizational functions are being supervised. At the organizational level, attention is placed on ensuring resources are appropriately allocated. At the process level, the management lens seeks to determine how resources are allocated to support individual processes within the organization. Management at the job level involves the organization providing timely feedback to the performer. It also evaluates how participants become aware if they are not performing to the organization’s standards.

Wedman’s Performance Pyramid Wedman’s Performance Pyramid (2010) offers a conceptual framework for conducting needs assessments by examining the degree of alignment among various components of the organization to inputs, processes, and results. Wedman’s framework depicts a systemic view of the organizational system. Resources and an organization’s mission, vision, and objectives are viewed as being inputs into the organization’s culture. Within the organization, a culture is formed based on the interactivity that occurs between the following organizational components: (1) tools, environments, and processes; (2) expectations and feedback; (3) rewards, recognition, and incentives; (4) performance capability; (5) motivation, values, and self-concept; and (6) knowledge and skills. The first three elements are recognized as the foundation for the organizational culture. Individuals’ abilities to perform within the organization and the motivators driving their performance are influenced by the infrastructure that is put in place by the organization. The outputs resulting from the interactivity among the six components are the skills and accomplishments recognized by the organization. These accomplishments are what drive the resources and vision of the organization, thereby demonstrating a cyclical organizational pattern of performance.

Witkin and Altschuld’s Three-Phase Needs Assessment Model Witkin and Altschuld’s (1995)’s Three-Phase Needs Assessment Model divides the needs assessment and needs analysis processes into preassessment, assessment, and post-assessment. Phase 1 (Pre-assessment)

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tasks the needs assessment with determining the purpose of conducting a needs assessment and the particular needs to be explored during the project. During this phase, the needs assessment begins to identify data sources that they need to access to gain an understanding of the system and the project needs. The outcomes of this phase serve as direct inputs to phases 2 and 3 of the model. Phase 2 (Assessment) encompasses data collection and analysis. During this phase, the needs assessor begins collecting data based on the data sources identified in Phase 1. As the needs assessor begins to gather data, they will begin to prioritize the needs or make the necessary modifications to the previously identified needs. The outcomes of Phase 2 serve as direct inputs to Phase 3. Phase 3 (Post-assessment) emphasizes how the results of the needs assessment and needs analysis will be utilized. During this phase, the needs assessor will finalize their prioritization of the needs and present their recommendations to the client. This phase also provides guidelines for how to establish action plans for implementing the proposed recommendations and methods for evaluating the outcomes of the needs assessment. While all needs assessment researchers and models will allude to postassessment, a unique characteristic of Witkin and Altschuld’s (1995) model is that they explicitly integrate assessment, analysis, and post-assessment into one model. This model utilizes a systems thinking approach to the overall three phases of needs assessment, and places checkpoints to ensure that alignment exists between the purpose of the project, data analyses, and proposed recommendations.

Heuristics for Selecting an Appropriate Needs Assessment Model When identifying an appropriate needs assessment model to serve as a framework or guide for the project, the needs assessor must know enough about the problem to determine the purpose of the project. Watkins et al. (1998) proffer several questions to assist needs assessors with determining which model is most appropriate. Table 6.2 is adapted from Watkins et al.’s (1998) guidelines for identifying one of the models discussed in this chapter based on a series of questions.

Behavioral Engineering Model

Is the goal of the needs assessment (NA) to contribute value to society? Is the sole focus of the NA to add value to the organization? Is the sole focus of the NA to only add value for individuals and small groups in the organization? Is the sole focus of the NA to X only improve the efficiency of what the organization currently does? Is the organization concerned with addressing a continuous plan upon implementing recommendations?

Questions

X

X

NineVariable Framework

X

ThreePhase Model

X

X

Organizational Elements Model

X

Performance Analysis Flow Diagram

(Continued)

X

X

Performance Pyramid

Table 6.2  Determining an Appropriate Needs Assessment Model (Adapted from Watkins et al., 1998)

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Behavioral Engineering Model

Is the organization (or needs X assessor) concerned with making assumptions regarding linkages between performance results and processes to support them? X Is the goal of the project to address performance requirements before they become a problem? Does the project require an NA model that provides a variety of tools and methods? Am I concerned with the need to triangulate data during the needs assessment process?

Questions

Table 6.2  Continued

X

X

X

X

X

X

X

Organizational Elements Model

X

X

ThreePhase Model

X

X

NineVariable Framework

X

X

X

Performance Analysis Flow Diagram

X

X

X

X

Performance Pyramid

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The Art of Conducting a Needs Assessment A needs assessor will most likely deviate from a prescriptive needs assessment model as they gain additional experience. Altschuld and Kumar (2010) remind us that “needs assessment is partly technical and partly artistic and relies on the good sense of the needs assessment committee and its facilitator” (p. 29). A needs assessment is a balance between science and art. The science aspect comprises strategies for identifying and classifying different types of needs, strategies employed for solving problems, and techniques for analyzing quantitative and qualitative data during data analysis. The artistic aspect of needs assessment requires the needs assessor (and individuals assisting with the project) to immerse themselves in the system to better understand the complexities of the relationships that exist among the people, processes, and objects of the systems. Sometimes, there are one or two instances that are observed or experienced first-hand that direct the needs assessor to consider alternative solutions. The artful side of needs assessment is directly related to the authenticity of needs assessment and the needs assessor’s ability to customize their data collection processes and recommendations to meet the needs of the system. An experienced needs assessor will recognize that the science and art lens of needs assessment should work together simultaneously to support the discovery, design, and recommendations.

Summary The purpose of this chapter was to provide an overview of commons needs assessment models. Examples of how each model can be applied in different contexts were also included. While this chapter provided heuristics to support a needs assessor’s decision-making process for selecting models to support their projects, it is also important that the needs assessor does not become constrained by the model. Instead, they must adopt a recursive mindset to deliberate on the authenticity of the needs assessment process and project.

Professional Practice Revisited: Novice Needs Assessor at Training Solutions, Inc. The case at the beginning of this chapter introduced us to Baron Ryan, who is preparing to lead a needs assessment project for the very first time.

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Baron wants to make a good impression at work and has begun researching different types of needs assessment models. After a few hours of searching, he is beginning to feel overwhelmed; there are so many models to choose from! If you were to assist Baron with identifying an appropriate needs assessment model to guide his first needs assessment project, what advice would you impart to help him select an appropriate model? What questions might you ask of him to determine his project needs? What suggestions do you have for Baron in terms of relying on a model?

Connecting Process to Practice 1. If you were working with a colleague who was new to needs assessment, what advice would you offer in terms of whether they should use a needs assessment model? What are the advantages and disadvantages of relying on models throughout the needs assessment process? 2. Think of a job that you had in the past. Using Gilbert’s (1978) Behavioral Engineering Model, make a list of how information, instrumentation, and motivation were addressed at the performer level and the environmental level. Are there major discrepancies between any of these categories? How might this impact the overall success of the organization? 3. Wedman’s Performance Pyramid identifies six constructs that ­contribute to organizational culture. Think of a group to whom you currently belong. How are these six constructs addressed in the system? What relationship exists among these six constructs? 4. After reviewing the needs assessment models presented in this chapter, which model would you recommend to Baron Ryan in the case study? Provide a rationale for your suggestion. 5. Kaufman’s OEM (1998, 2000) provides a framework for conducting needs assessment at multiple levels within an organization (i.e. mega, macro, micro, and quasi). Discuss the systemic nature of this model. Discuss the advantages of this model. What should the needs assessor be aware of when utilizing a model such as the OEM?

Recommended Reading Abernathy, W. B. (2010). A comprehensive performance analysis and improvement method. Performance Improvement, 49(5), 5–17.

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Altschuld, J. W. (2004). Emerging dimensions of needs assessment. Performance Improvement, 43(1), 10–15. Binder, C. (2007). The six boxes: A descendant of Gilbert’s behavior engineering model. Retrieved from www.binder.riha.com/sixboxes.html Chevalier, R. (2003). Updating the behavior engineering model. Performance Improvement, 42(5), 8–14. Lauer, M. J. (2002). Doing cause analysis. Performance Improvement, 41(4), 42–45. Park, S. H., & Ertmer,P. A. (2008). Examining barriers in technology‐enhanced problem‐based learning: Using a performance support systems approach. British Journal of Educational Technology, 39(4), 631–643. Rossett, A. (1989). Training needs assessment. Englewood Cliffs, NJ: Educational Technology Publications. Rossett, A. (1999). First things fast: A handbook for performance analysis. San Francisco, CA: Pfeiffer. Wedman, J., & Graham, S. W. (1998). Introducing the concept of performance support using the performance pyramid. The Journal of Continuing Higher Education, 46(3), 8–20.

References Altschuld, J. W., & Kumar, D. D. (2010). Needs assessment: An overview. Los Angeles, CA: SAGE. Austin, J., Olson, R., & Wellisley, J. A. (2001). The behavior engineering model at work on a small scale: Using task clarification, self‐monitoring, and public posting to improve customer service. Performance Improvement Quarterly, 14(2), 53–76. Borkovskaya, V. G., & Passmore, D. (2018). Behavioral engineering model to identify risks of losses in the construction industry. In The international science and technology conference “FarEastCon” (pp. 243–250). New York, NY: Springer. Gilbert, T. F. (1978). Human competence: Engineering worthy performance. New York, NY: McGraw-Hill. Harless, J. (1970). An ounce of analysis is worth a pound of objectives. Newman, GA: Harless Performance Guild. Kaufman, R. (1998). Strategic thinking: A guide to identifying and solving problems. Alexandria, VA: The International Society for Performance Improvement and ASTD Press. Kaufman, R. (2000). Mega planning: Practical tools for organizational success. Thousand Oaks, CA: SAGE. Kaufman, R., & Guerra-Lopez, I. (2013). Needs assessment for organizational success. Alexandria, VA: ASTD Press.

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King Jr, C. L., & Cennamo, K. (2016). The use of Gilbert’s Behavior Engineering Model to identify barriers to technology integration in a public school. In Society for information technology & teacher education international conference (pp. 1224–1228). Association for the Advancement of Computing in Education (AACE). Leigh, D., Watkins, R., Platt, W. A., & Kaufman, R. (2000). Alternate models of needs assessment: Selecting the right one for your organization. Human Resource Development Quarterly, 11(1), 87–93. Mager, R., & Pipe, P. (1970). Analyzing performance problems or “You really oughta wanna”. Belmont, CA: Fearon. Mager, R. F., & Pipe, P. (1997). Analyzing performance problems: Or, you really oughta wanna (3 ed). Atlanta, GA: Center for Effective Performance. Reigeluth, C. M. (1983). Instructional design: What is it and why is it? In C. M. Reigeluth (Ed.), Instructional design theories and models. (Vol. 1, pp. 3–36). Hillsdale, NJ: Erlbaum Associates. Ross, M., & Stefaniak, J. (2018). The use of the behavioral engineering model to examine the training and delivery of feedback. Performance Improvement, 57(8), 7–20. Rossett, A. (1982). A typology for generating needs assessments. Journal of Instructional Development, 6(1), 28–33. Rummler, G. A. (2006). The anatomy of performance: A framework for consultants. In J. A. Pershing (Ed.), Handbook of human performance technology (3rd ed., pp. 986–1007). San Francisco, CA: Pfeiffer. Rummler, G. A., & Brache, A. P. (2013). Improving performance: How to manage the white space on the organizational chart (3rd ed.). San Francisco, CA: Jossey-Bass. Russell, H. G. (2010). Through the use of Gilbert’s Behavioral Engineering Model: What changes can management make to increase blood donations. Doctoral Thesis, Capella University, Minneapolis, United States. Slade, S. E. (2008). Employer provided optional e-training: Employing Gilbert’s Behavioral Engineering Model in analyzing environmental and individual factors impacting ­participation. (Unpublished doctoral dissertation). Capella University, USA. Van Tiem, D. M., Moseley, J. L., & Dessinger, J. (2012). Fundamentals of performance improvement: Optimizing results through people, process, and organizations (3rd ed.). San Francisco, CA: Pfeiffer. Watkins, R., Leigh, D., Platt, W., & Kaufman, R. (1998). Needs assessment—A digest, review, and comparison of needs assessment literature. Performance Improvement, 37(7), 40–53. Witkin, B. R., & Altschuld, J. W. (1995). Planning and conducting needs assessments: A practical guide. Thousand Oaks, CA: SAGE.

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Wooderson, J. R., Cuskelly, M., & Meyer, K. A. (2017). Evaluating the performance improvement preferences of disability service managers: An exploratory study using Gilbert’s Behavior Engineering Model. Journal of Applied Research in Intellectual Disabilities, 30(4), 661–671. Wedman, J. (2010). The performance pyramid. In R. Watkins & D. Leigh (Eds.), Handbook of improving performance in the workplace: Volume 2, Selecting and implementing performance interventions (pp. 51–79). San Francisco, CA: Pfeiffer.

Project Management as It Relates to Needs Assessment

7

Case: Project Management at Compass Communications Solutions Penelope Michaels is the Training Manager at Compass Communications Solutions. The company provides consultative services in the areas of instructional design and performance improvement. In the past five years, it has grown from a small office with 10 staff members to a staff of 50 employees. While Compass has worked with clients in a variety of industries, the majority of work involves the design and implementation of human resources training, leadership development, and information technology. Projects within each of these areas are handled differently. When the company first started, training staff worked a variety of projects spanning these foci. With the growth of the company, Penelope and other leaders at Compass believe that training staff can begin to develop expertise in one of these areas. Recognizing that each of these foci has specific needs, Penelope has agreed to conduct a needs assessment to help Compass identify the differences between how business is handled in each of these areas. The leadership development programs have garnered the most success and have received higher ratings compared to the other courses and programs. Three employees have been assigned to Penelope to assist with the needs assessment. As she begins to plan the project, she realizes that there are a lot of moving parts that she will have to manage throughout the process.

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Guiding Questions 1. 2. 3. 4. 5.

What is a project? What is project management? What are the steps to managing a project? What are the different types of project planning? How should a needs assessor integrate project management into the needs assessment process?

Key Terms Leadership Planning Project Project management Project manager Strategic management Technical skills

Chapter Overview This chapter provides an overview of project management strategies for the practitioner to consider when preparing to start a needs assessment project. Emphasis will be placed on project planning, identifying resources, and establishing timelines.

Recap: Needs Assessor as Consultant If you have read the first six chapters of this book, it has probably become quite apparent to you that a needs assessor is responsible for coordinating several tasks during a needs assessment project. Needs assessment teams can vary in size, ranging from one needs assessor to a needs assessment committee with multiple individuals. Chapter 1 discussed the role of the needs assessor as a consultant during a project. The needs assessor must begin to think of themselves as a consultant, either internal or external to their client, for the following reasons:

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• It helps needs assessors emphasize the need for the client’s involvement in the project. • It enables needs assessors to objectively position themselves in the project. • It promotes a shared autonomy between the needs assessor and client early in the project. The needs assessor and the client need to share ownership of the needs assessment. While a needs assessor may take the lead in all activities related to the project, the client needs to be readily available to provide the needs assessor with access to data and contribute to decision-making at various checkpoints during the process. Regardless of whether needs assessors are internal or external to the organization, they need to view themselves in a consultancy role. This can help them separate themselves from the activity occurring within an organization. A needs assessor must remain objective during a needs assessment project. While this can be a difficult task, incorporating checkpoints and including others in various decision-making activities during the project can help the needs assessor remain objective through the process.

Dissecting the Elements of a Project In its most primitive sense, a project is “a problem scheduled for solution” (Lewis, 1997, p. 4). Projects are temporary endeavors that often involve the assembly of a team for a specified amount of time. These endeavors typically last until the goals and objectives have been met. Most projects are created as a result of a need for a change in performance. Typically, an organization or group of individuals have recognized that there is a discrepancy between the current state of performance and the desired state. The goal of most projects is to work toward addressing the discrepancies. There are several similarities between the basic definitions and characteristics of projects and needs assessments. Many factors may contribute to the creation of a project, such as new technologies, competitive forces, political changes, economic changes, stakeholder demands, business process improvements, strategic opportunities, social needs, and environmental considerations (Project Management Institute, 2017).

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What Is Project Management? Project management is “the practice of initiating, planning executing, controlling, and closing the work of a team to achieve specific goals and meet specific success criteria at the specified time” (Phillips, 2003, p. 354). A project manager is an individual responsible for managing the activities related to project management. Several elements comprise project management. These elements include establishing the scope of the project, accommodating change, planning, management, monitoring, and establishing metrics to measure the success of the project (Project Management Institute, 2017). A project manager needs to identify the scope of the project. This entails establishing clear goals and objectives for the individuals contributing to the project to work toward. This also establishes goals for which performance criteria will be determined to measure if there is a change in performance. The project management process’ central focus is leading the efforts of a project that are working toward achieving a change in performance. Similar to needs assessment, the emphasis is placed on improving the current state of performance and working toward a more desirable state. This shift or transition in performance ultimately leads to organizational change. Depending on the magnitude of the situation, this change may vary in the level of significance. Project management requires the leader of a team to partake in a lot of planning to coordinate various aspects of the project. During a needs assessment, the needs assessor should coordinate several activities at various stages of the project. It is important that they coordinate meetings with the client and other key constituents relevant to the project, maintain communication with the clients throughout the project, schedule data collection at convenient times, and plan subsequent phases of data collection as necessary. While many steps outlined in numerous needs assessment models suggest a systematic and linear approach, the needs assessor should be in a constant state of monitoring the progress of the project. This extends beyond typical project management responsibilities such as adhering to predetermined deadlines or operating within a given budget. Alignment has been stressed as a key component of a needs assessment; ensuring alignment between all activities in the needs assessment process, ranging from identifying and validating organizational needs, identifying

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appropriate data sources to validate these pre-identified needs, and determining the root causes contributing to gaps in performance to making recommendations to minimize or eliminate these gaps. To ensure alignment is occurring at the necessary points, the needs assessor must be keeping a watchful eye on the project. If other individuals are involved in collecting data or analyzing data, the individual serving as the lead of the project needs to maintain open communication with their team and involve the necessary people throughout the project. Lastly, the needs assessor is responsible for establishing criteria to measure the success of the project. Establishing criteria is two-fold: the needs assessment is responsible for identifying appropriate performance indicators that will give them an accurate understanding of the current state of affairs as well as the progress of the needs assessment itself. This will enable them to establish the necessary benchmark data needed to determine the extent of any change that may occur as the organization works toward a desired state of performance. Establishing criteria to measure the success of the project is dependent on the needs assessor’s ability to monitor and manage the activities of the needs assessment project.

A Needs Assessor’s Role in Project Management As previously stated, whether a needs assessor is conducting a needs assessment on their own or with a group of people, they are responsible for coordinating several activities throughout the process. Table 7.1 provides an overview of some of the tasks and activities a needs assessor will be responsible for coordinating during a project. The responsibilities listed in Table 7.1 may require the needs assessor to manage multiple tasks at the same time, coordinate communication between the client and other members of the organization (or system) being explored, and schedule a time for when certain tasks need to occur. The Project Management Institute (2017) emphasizes the need for individuals engaged in project management to demonstrate competency and proficiency across three dimensions: (1) technical project management, (2) leadership, and (3) strategic and business management. Table 7.2 provides a framework for how a needs assessor should embrace these project management dimensions during a needs assessment. Technical project management encompasses an individual’s declarative knowledge as it relates to specific domains of the project and their role managing or leading a project.

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Table 7.1  Responsibilities of Needs Assessors Needs Assessment

Needs Analysis

Post-Assessment

• Identify needs to be initially explored during the needs assessment • Identify data sources that can contribute to the development of an understanding of the current state of performance • Schedule data collection according to a timeline that accommodates the needs of the organization • Explain if there are shifts or adjustments to the goals of the needs assessment project

• Identify factors promoting a desired state of performance • Identify factors inhibiting a desired state of performance • Recognize existing relationships between organizational factors influencing the current state of performance • Validate needs identified at the beginning of the needs assessment project • Explain if there are shifts or adjustments to the goals of the needs assessment project

• Prioritize needs • Align recommendations with the validated needs • Make recommendations to a client that align with the goals of the needs assessment • Provide a rationale for recommendations • Explain if there are shifts or adjustments to the goals of the needs assessment project

Leadership encompasses the knowledge, skills, and attitudes required to motivate, support, and lead others involved in the project (Aga, Noorderhaven, & Vallejo, 2016; Gehring, 2007). A needs assessor must demonstrate the necessary soft skills to interact and communicate with individuals within the organization. They must maintain an awareness of what is occurring in the organization that may be relevant to the needs assessment. If a needs assessor is conducting the needs assessment with a team of individuals, it is important they provide their team members with the necessary resources to complete their jobs. They must demonstrate an openness to discussing new data and themes that may emerge and shift

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Table 7.2  Dimensions of Project Management during Needs Assessment Technical Skills

Leadership

Strategic Management

• Demonstrate an • Communicating with • Proficiency understanding of clients and key constituents scoping the industry and involved with the project a needs systems related • Motivating team members assessment to the needs to make meaningful project assessment contributions to the • Experience • Provide a clear project with data rationale for the • Support needs assessment collection sequencing and • Quantitative team by allocating implementation and qualitative appropriate resources to of proposed data analysis various tasks related to the interventions project • Listen to the client, team • Align proposed interventions with members, and other organizational individuals in the system goals who provide information about the needs assessment

the project needs. They must also lead their team on how to maintain an objective view during data assessment and analysis. Strategic and business management encompasses the “knowledge of and expertise in the industry and organization that enhance performance and delivers business outcomes” (Project Management Institute, 2017, p. 56). A needs assessor will be at a disadvantage if they do not understand the industry in which they are conducting the needs assessment. They must be aware of the trends related to the field so that they can work with their client to identify competitive forces that may influence the goals of the needs assessment.

Addressing Human Factors in the Management of Needs Assessment Projects When engaging in project management, a leader needs to be mindful of addressing some human factors that contribute to the success of project

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management. These factors include leadership, negotiation, team-building, motivation, communication, and decision-making (Lewis, 1997). These factors are not addressed at one particular time of a project; rather, they are characteristics that should be embodied throughout a project. Chapter 3 presented a theoretical framework to guide a systemic approach to needs assessment. Human needs theory, general systems theory, and decision-making theory serve as theoretical constructs guiding a needs assessor’s approach to needs assessment and analysis. These constructs help the needs assessment to align decision-making strategies with contextual factors in a system that may contribute to or inhibit a gap in performance. The above mentioned human factors serve as strategies that support the overarching theoretical constructs. A needs assessor must engage the individuals that they encounter during a needs assessment such as their client(s), other organizational constituents, and members of the needs assessment team. It is their responsibility to set standard protocols for carrying out data collection and analysis during the project. Negotiation is a fundamental skill required of project managers. During a needs assessment, a needs assessor negotiates and attempts to maintain balance as they accommodate the needs of the client and any other additional pieces of information that may become present once a needs assessment is started. There is a notion of shared meaning as the needs assessor balances the client’s perceptions or felt needs, the actual needs (or the needs that can be verified with data sources), and other pieces of information that emerge that may redirect the initial needs assessment plan. Maintaining open and frequent communication with all stakeholders of a needs assessment project is important. These open lines of communication also enable the needs assessor to engage in timely decisionmaking by providing reciprocal exchanges of information between project stakeholders, the needs assessor, and their team.

Steps to Managing a Project While there are many variations of project management models, the following steps are described by Lewis (1997) to guide people on how to manage a project: 1. Define the problem 2. Plan the project

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3. Execute the plan 4. Monitor and control progress 5. Close project

(p. 7)

The initial step, Define the project, is the most important step of the project in that the scope should be clearly defined. This step tasks the needs assessor with establishing goals and objectives for moving forward with subsequent phases of the needs assessment. While this book has mentioned that there are times where the needs of a project may shift as additional information is brought forward during the assessment, the initial phase of defining the problem should not be skipped or rushed. During this phase, the needs assessor will most likely meet with their client and any of their designees to discuss the purpose of the needs assessment. These conversations and meetings will determine the initial needs that the needs assessor will begin to explore. It is important that during this phase of the project the needs assessor has a clear understanding of any particular nuances that the client is aware of regarding the organization (the system). The needs assessor and the client should also discuss what their respective roles will be during the needs assessment, expectations for communicating progress made during the assessment, and any other individuals who need to be included in future meetings. The second step, Plan the project, consists of the needs assessor determining what tasks are required for them to verify that the needs identified at the beginning of the project are the actual needs. This phase covers the logistics related to the project, such as identifying specific tasks to be completed, individuals responsible, the timing associated with the various activities, and resources needed to support the activities of the needs assessment. Kaufman (1998) differentiates planning according to the purpose of the project into the following categories: strategic, tactical, operational, and action. Strategic planning is conducted to determine what gaps exist between current and desired societal results. This level of planning places additional focus on understanding the societal implications of business operations. Operational planning is typically conducted when the needs assessor is looking to minimize the gap between the current and desired state of performance as it relates to overall organizational results. These results do not necessarily have to have a societal impact. Operational planning focuses efforts on the gaps in the performance of particular

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functions within the organization. This could be limited to a select few departments or groups within the organization. Lastly, action planning is focused on determining the gap between the current and desired state of performance as it relates to specific processes or interventions that have been implemented in the organization. The third step, Execute the plan, requires the needs assessor to execute the plan outlined in the previous step. A successfully executed project will be dependent on the quality of the plan. It is important that the needs assessor follow the plan as closely as possible and communicates with their client(s) if there is a need to deviate at any point during the project. The fourth step, Monitor and control progress, consists of the needs assessor surveilling the project. This involves aligning data sources and data collection needs with specific needs, assessing the level of entropy within the system, and cross-referencing data with the initial goals of the needs assessment and the initial timeline outlined in the project plan. Kaufman and Guerra-Lopez (2013) differentiate between hard and soft data. Hard data can be independently verified and often include facts and figures obtained from organizational reports. Soft data consists of individuals’ perceptions, beliefs, and opinions that are shared with the needs assessor. These data cannot be independently verified. Gathering both hard and soft data will help the needs assessor with understanding the context behind what may be reported solely by the hard data. The fifth and final step, Close the project, requires the needs assessor to submit their final recommendations to the client and debrief on the project. This debriefing may be two-fold. The needs assessor is responsible for meeting with the client to explain if any deviations from the initial needs took place during the project. As they present their recommendations, they should discuss with the client how they prioritized particular needs and provide a rationale for their proposed interventions. They should also debrief with the client and their team, how well they were able to execute the needs assessment according to the plan outlined in the second step. If any challenges arose, they must discuss what may have contributed to them. It is also important that they discuss any limitations associated with the data collected during the needs assessment, such as limited sample size, lack of hard data sources, availability of individuals in an organization, or the need to obtain additional data. These debriefing meetings can serve as a means to provide closure to the project for all individuals involved, as well as providing the needs assessor (and their team) with an opportunity to reflect on the overall success of the project. As the project nears completion, they may reflect upon what went

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well during the project, any challenges faced, and whether any particular activities of the needs assessment project will inform their future practice.

Summary A needs assessor should be in the habit of continuously monitoring the status of activities related to their needs assessment project. Project management strategies can help to provide structure for how one should establish parameters for a project, plan project activities, ensure alignment between various activities and system components, and report on progress. Demonstrating competency in technical knowledge, leadership, and strategic management can position the needs assessor to be a vital resource to a client.

Professional Practice Revisited: Project Management at Compass Communications Solutions Penelope Michaels is responsible for conducting a needs assessment with a team to explore how work functions may be further refined according to foci. Her team must spend a lot of time planning the logistics of their needs assessment to ensure that they are adequately addressing the three branches of services provided by Compass Communications Solutions.

Connecting Process to Practice 1. As Penelope begins to plan the needs assessment, what are some questions she should ask herself to determine if she should carry out a strategic, tactical, operational, or action plan? 2. What strategies could Penelope employ to assist with monitoring the progress of her needs assessment? 3. Why is it important for a needs assessor to demonstrate competency in leadership? 4. What resources should Penelope ask for to help her lead the needs assessment? 5. Discuss how the human factors presented in this chapter contribute to shaping a needs assessor’s understanding of the organization as a system.

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Recommended Reading Besner, C., & Hobbs, B. (2006). The perceived value and potential contribution of project management practices to project success. Project Management Journal, 37(3), 37–48. Caniëls, M. C., Chiocchio, F., & van Loon, N. P. (2019). Collaboration in project teams: The role of mastery and performance climates. International Journal of Project Management, 37(1), 1–13. de Andrade, P. A., Martens, A., & Vanhoucke, M. (2019). Using real project schedule data to compare earned schedule and earned duration management project time forecasting capabilities. Automation in Construction, 99, 68–78. de Oliveira, G. F., & Rabechini, J. R. (2019). Stakeholder management influence on trust in a project: A quantitative study. International Journal of Project Management, 37(1), 131–144. Fabi, B., & Pettersen, N. (1992). Human resource management practices in project management. International Journal of Project Management, 10(2), 81–88. Hornstein, H. A. (2015). The integration of project management and organizational change management is now a necessity. International Journal of Project Management, 33(2), 291–298. Imran, S. M. J. I., Nawaz, M. S., Siddiqui, S. H., & Kashif, M. (2019). Does project teamwork matter? Investigating the relationship between transformational leadership and project success. Journal of Management Sciences, 6(1), 79–95. Kerzner, H. (2019). Using the project management maturity model: Strategic planning for project management. John Wiley & Sons. Khaldi, M., & Erradi, M. (2019, October). Design of an e-Learning project management system: Project needs. In Proceedings of the 4th International Conference on Big Data and Internet of Things (pp. 1–5). Kliem, R. L., & Ludin, I. S. (2019). Reducing project risk. Routledge. Kloppenborg, T. J., & Petrick, J. A. (1999). Leadership in project life cycle and team character development. Project Management Journal, 30(2), 8–13. Maqbool, R., Sudong, Y., Manzoor, N., & Rashid, Y. (2017). The impact of emotional intelligence, project managers’ competencies, and transformational leadership on project success: An empirical perspective. Project Management Journal, 48(3), 58–75. Tereso, A., Ribeiro, P., Fernandes, G., Loureiro, I., & Ferreira, M. (2019). Project management practices in private organizations. Project Management Journal, 50(1), 6–22. Unterhitzenberger, C., & Bryde, D. J. (2019). Organizational justice, project performance, and the mediating effects of key success factors. Project Management Journal, 50(1), 57–70.

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References Aga, D. A., Noorderhaven, N., & Vallejo, B. (2016). Transformational leadership and project success: The mediating role of team-building. International Journal of Project Management, 34(5), 806–818. Gehring, D. R. (2007). Applying traits theory of leadership to project management. Project Management Journal, 38(1), 44–54. Kaufman, R. (1998). Strategic thinking: A guide to identifying and solving problems. Alexandria, VA: ASTD Press. Kaufman, R., & Guerra-Lopez, I. (2013). Needs assessment for organizational success. Alexandria, VA: ASTD Press. Lewis, J. P. (1997). Fundamentals of project management. New York, NY: American Management Association. Phillips, J. (2003). PMP project management professional study guide. New York, NY: McGraw-Hill. Project Management Institute. (2017). A guide to the project management body of knowledge (6th ed.). Newtown Square, PA: Project Management Institute, Inc.

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8

Case: Figuring Out Factors Contributing to Patient Safety Incidents Oliver Hilton was hired by the Alexandria Health System (AHS) to conduct a needs assessment to explore issues related to team training in the intensive care unit (ICU) at its largest hospital. There have been several patient safety incidents reported, and upon further investigation communication was identified as being a contributing cause. AHS has hired Oliver to further examine the issues and develop a training program to assist the ICU team in reducing the number of safety issues related to lack of communication. After meeting with the Director of Patient Safety and the Director of the ICU, it has become apparent that while they have a hunch that some of the patient safety issues are related to poor communication, they are unsure of the specifics. Oliver has been tasked with collecting data to assess the situation and provide data-driven recommendations. After meeting with the two directors three times to discuss the purpose of the project, Oliver has written down the following notes: Need 1: Reduce the number of patient safety errors related to communication. Need 2: Identify the root cause contributing to the increase in patient safety errors occurring within the ICU. Need 3: Develop a training program for ICU staff to improve their ­communication skills.

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While Oliver has made a note that Need 3 is not a need in its truest sense, he has chosen to leave it on his list for the time being. The two directors have assumed that training will be needed. Oliver has communicated to them that he will be able to verify this once he has an opportunity to collect data and make sense of the situation. Oliver is now working on developing a plan for data collection that he will share with the two directors during their next meeting. While he is still working on the details, Oliver is certain that he needs to collect data from different sources so he can get to the center of what is contributing to the patient safety issues.

Guiding Questions 1. Why is it important to gather data from multiple sources during a needs assessment? 2. What strategies can help a practitioner adhere to ethics during data collection? 3. What are the advantages of using surveys, interviews, focus groups, document analysis, and observations as data collection tools? 4. What are the disadvantages of using surveys, interviews, focus groups, document analysis, and observations as data collection tools? 5. How can a practitioner identify and prioritize different data collection strategies for a project?

Key Terms Critical incident technique Data collection Data collection protocols Direct observation Document analysis Extant data Focus groups Interviews Surveys Triangulation

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Chapter Overview This chapter will provide an overview of the various types of data collection methods that are utilized throughout a needs assessment project. Examples include the use of surveys, interviews, direct observations, document analysis, and focus groups. The advantages and disadvantages of each type of data collection method will be discussed. The importance of triangulating data will be addressed throughout the chapter for practitioners to gather sufficient data to address project needs. Case studies will be included to help learners select appropriate data collection tools. Additional guidance will be placed on ethical considerations as they relate to identifying data sources.

Identifying Data Sources As previously mentioned in Chapter 2, once the practitioner has identified the initial needs that they will be exploring during the needs assessment, they can begin with identifying data sources that are needed to gather sufficient data to gain a better understanding of the project and make data-driven recommendations. This chapter will provide an overview of the various types of data collection sources a practitioner might consider as well as some strategies for how to organize and create a data collection plan. Altschuld and Kumar (2010) remind us that “a need or a discrepancy from a quantitative perspective is a numeric indication that something is missing; something is wrong and requires attention” (p. 97). The practitioner must identify appropriate data sources to provide the information needed to understand why the gap is occurring and how it can be minimized. When conducting a needs assessment, the practitioner needs to gain a solid understanding of the organization and the situation related to the needs assessment. To accomplish this, they need to approach the situation (or needs) as objectively as possible. Gathering data from multiple sources and approaching the situation from multiple lenses will assist the practitioner with being as objective as they possibly can be during the project. Most practitioners face challenges when creating a data collection plan for a needs assessment project. They may have a strict timeline that they

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have to adhere to which may limit how many data sources (and people) they will have access to during data collection. There may be other data sources that the organization (or client) will deem off-limits due to access and security clearances, organizational politics, and/or personnel issues. In most cases, the client will ask to see and possibly review the data collection tools that are to be used for the project. I recommend that practitioners list each need that has been identified to be explored during the project. From there, the practitioner can make an exhaustive list of every possible data source that they would like access to address the individual need that has been identified. This should be done for each need. Table 8.1 provides a chart to help the practitioner identify data sources. During this stage of creating a data collection plan, the practitioner should not worry about what they will or will not have access to through the organization (or client). A benefit to creating a table to map out the potential data sources is that it provides the practitioner with the opportunity to see how many data sources may be available to address the individual needs as well as Table 8.1  Identification of Potential Data Sources Types of Information Need 1

Need 2

Need 3

Need n

Direct observations Document analysis Focus groups Interviews Surveys Other (source n) Note: certain data sources may be used to address more than one need listed on the table. This table is meant to see what data sources can be cross-referenced across all needs and to streamline the data collection process.

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the various viewpoints and perspectives that may be offered to address the needs. The table can provide a visual representation if there is a lack of sources available to address particulars related to the project. The practitioner will most likely find that certain data sources will address more than one of the needs identified for the project. The goal is to ensure that multiple data sources are being identified. Once this list has been generated, the practitioner should meet with the client to review what they may or may not have access to for purposes of data collection. During this meeting, the client may also offer suggestions for when to gather data from certain data sources as well as recommendations for particular individuals to approach interviews or focus groups.

Ethical Considerations The practitioner needs to remain as impartial and objective as they can be during data collection. I recommend that they keep a field journal to log their notes as they work on their project. They may choose to include notes or meeting summaries after each interaction with their client, observations made during meetings or visits to the organization, and any hunches or feelings that they may be experiencing. Sometimes you never know what will become an important note or observation until after you have made subsequent observations. Another ethical consideration is protecting participants’ identities during the data collection process. Depending on the nature of the project, it may or may not be important to disclose the names of the individuals who have provided information during interviews, focus groups, or surveys. This should be discussed with the client ahead of time, and appropriate measures should be taken before the start of data collection. Before the start of data collection, the practitioner must coordinate with the client and determine where approval is needed from a human subjects or institutional review board (IRB). If there are plans to publish the findings of the needs assessment, this must be communicated to participants prior to data collection. If the project is taking place within a hospital, higher education or K–12 setting, or governmental entity, IRB approval is necessary. Some businesses have review boards

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or panels that review data collection instruments. If there is no IRB that oversees data collection for an organization, it is still best practice to obtain written consent from participants if there is intent to publish the findings. The next suggestion that is included in this chapter is indirectly related to ethics but is something that the practitioner should make a conscious effort to do during data collection. The direction and tone of the recommendations that are made at the end of a needs assessment are reliant on the findings yielded by the data. To make recommendations that fully address the reality of the situation, the practitioner must gather data that reflects multiple viewpoints and involvement with the topic(s) being explored through the needs assessment. It may be necessary for the practitioner to see additional data sources as more information becomes available or shared during the needs assessment. For example, during an interview, a participant may share information regarding organizational procedures or issues. This may prompt the ­practitioner to look into these issues further. Failing to explore multiple viewpoints hinders the practitioner’s ability to take an objective view of the situation. It may also limit the sustainability and longevity of the recommendations and solutions that are proposed after the project. A similar issue may also arise from omitting these perspectives when making recommendations. Gathering data from multiple sources enables the practitioner to see the situation from multiple viewpoints and determine where discrepancies may exist.

Developing Guidelines and Protocols The practitioner must use consistent strategies during data collection for a needs assessment. Developing guidelines and protocols helps the practitioner and any other individuals who may be assisting with the project in similarly collecting data and asking the same questions when meeting with individuals within the organization. Information sheets and consent forms are often used to communicate to prospective participants the purpose of data collection and explain their role in the process. These forms are also used to ensure confidentiality during the process, and their safety. Figure 8.1 is an example of an information sheet that may be administered to a participant. Examples of how protocols can be used with various types of data collection strategies are discussed in the following section.

UNIVERSITY ABC Information Sheet  Online Survey PROJECT TITLE: An Exploration of Studying Habits Among College Students INTRODUCTION You are being asked to complete a survey that will explore the studying habits of college students. You are being asked to participate in this study because you are a college student. The feedback you provide will be used to further enhance and improve training programs to be offered by our Office of Student Learning. DESCRIPTION OF STUDY If you take part in the study, you will be asked to participate in an online survey will consists of approximately 10 questions regarding your study habits as a college student. The online survey should take approximately 10-15 minutes to complete. RISKS AND BENEFITS RISKS: There are no known risks at this time to participate in this study. BENEFITS: There will be no costs to you for participation in this research study. COSTS AND PAYMENTS There will be no costs to you for participation in this research study. The researchers are unable to give you any payment for participating in this study. NEW INFORMATION If the researchers find new information during this study that would reasonably change your decision about participating, then they will inform you. CONFIDENTIALITY All information obtained about you in this study is strictly confidential unless disclosure is required by law. The results of this study may be used in reports, presentations and publications, but the researcher will not identify you. WITHDRAWAL PRIVILEGE It is OK for you to say NO. Even if you say YES now, you are free to say NO later, and walk away or withdraw from the study -- at any time. Your decision will not affect your relationship with University ABC or otherwise cause a loss of benefits to which you might otherwise be entitled.

110  Data Collection Tools and Techniques QUESTIONS If you have any questions about this study now or in the future, you may contact  “Project Lead” at the following phone number: 555-XXXX or at [email protected] VOLUNTARY CONSENT By participating in this interview, you are agreeing to participate in this study.

Figure 8.1  Example of an information sheet

Types of Data Collection Tools The practitioner must consider using different data collection tools to help better understand the situation from different perspectives. Triangulating data ensures that the practitioner has gathered data from multiple sources and each data source is supporting the themes and findings (Flick, 2004). The most common data collection tools used in needs assessment projects include direct observations, document analysis, focus groups, interviews, and surveys.

Direct Observations Direct observation is a data collection tool where an individual observes individuals in a particular environment (Creswell, 2015). Observational roles vary in terms of how active the individual (or practitioner in the case of a needs assessment) may be in the environment. The varying levels of participation will be discussed later in this section. Direct observations can provide the practitioner with an opportunity to observe at first hand the day-to-day operations within an organization. Examples may include attending departmental meetings, observing employees operating a machine to complete a task in a plant, or sitting in to observe an instructor teaching their class to students. Direct observations provide the practitioner with the opportunity to see many different types of data in situ and understand the context of this data. By better understanding how people are engaging with one another within an organization, performing specific tasks, and seeing at first hand challenges individuals may experience when performing particular job functions, the observer will be better informed to prepare additional data

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collection tools such as interview questions or survey items. Observations can also significantly contribute to the practitioner’s understanding of the situation by seeing what is occurring in real time as opposed to what has been reported second-hand. This also allows the practitioner the opportunity to better understand the emotional response to certain actions being performed within the environment by experiencing it at first hand (Gill & Johnson, 2002). If a practitioner is planning to conduct multiple observations, experts in needs assessment recommend beginning with an unstructured method. This provides the analyst with the opportunity to collect “information on all aspects of interest in a situation” (Sleezer, Russ-Eft, & Gupta, 2014). Utilizing an unstructured approach can help the practitioner identify what needs to be addressed in subsequent observations. Unstructured observations allow the practitioner to identify the recurring issues or items that they would like to track in a more structured manner for future observations. While there are certain benefits to beginning with an unstructured approach, I would recommend that practitioners should not utilize an unstructured approach for all observations because it increases the potential for bias, does not guarantee that all observations are being observed in the same manner, and may offer inconsistencies during the data analysis phase of the project. A structured approach to conducting observations requires the practitioner to conduct and track each observation in a similar manner to ensure the reliability of the observation process. To applying a consistent approach to direct observations, the practitioner should make a list of the specific items that they would like to observe. These data points should be tracked similarly for all observations. Experts in needs assessment and qualitative data collection involving direct observations recommend designing an observational protocol. These are similar to what qualitative researchers typically employ when designing an interview protocol for data collection. A direct observation protocol helps to provide consistency with what is being tracked and recorded during the observation. These protocols also help the practitioner identify particular aspects of performance related to the specific needs of the project. Direct observation checklists typically include the day and time that the observation is being made, the name of the individual conducting the observation, and the types of behavior being observed. Figure 8.2 provides an example of an observation sheet that a practitioner may use if they were observing team a team in a work setting.

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Observer:

Date of Observation:

Location:

Individual(s) Being Observed:

Task

Completed

Not Completed

Time

Frequency

Notes

Task 1:

Task 2:

Task 3:

Task (n):

Figure 8.2  Sample observation sheet

Depending on the nature of the project and the number of individuals involved with the project, the practitioner may choose to adopt a particular observational role while conducting direct observations. Spradley (1980) has identified five types of participatory roles an individual may undertake during direct observations. Table 8.2 provides an overview of the five types as well as examples of when they might be used.

Description

The observer has no direct contact with the individual(s) being observed.

The observer serves as a bystander and does not directly interact with anyone in the environment.

The observer balances between being an insider and outsider.

Type

Non-participatory

Passive participation

Moderate participation

This can be useful for social situations that do now allow for direct participation or interaction with the population. This allows for the observer to avoid interfering with individuals performing particular tasks and/or interacting with others in the environment. This provides the observer with the ability to engage directly with the environment while still being able to detach from the environment in order to remain objective.

Strengths

Table 8.2  Overview of the Types of Participant Observation

(continued)

While not specifically a limitation, it is important that the observer understands their roles as an insider and an outsider in order to be objective.

Similar to a non-participatory role, the observer is unable to build a rapport or ask individuals for follow-up information.

The observer is unable to ask follow-up questions to the population as new information emerges.

Limitations

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The observer becomes a member of the group being observed and actively participates in order to gain an understanding of the environment. The observer is a member of the group being observed prior to the needs assessment (or study).

Active participation

Complete participation

Description

Type

Table 8.2  Continued

This provides the observer with an opportunity to perform tasks first-hand in order to see how an individual interacts with others within an environment. The observer is familiar with the culture of the environment being observed.

Strengths

There are a number of risks of the observer not being able to maintain objectivity during the project.

Challenges may arise if the observer becomes so entrenched in the environment that they are unable to detach and make objective observations.

Limitations

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Document Analysis Another form of data collection is document analysis. Sometimes this term is used interchangeably with content analysis or artifact analysis. This type of data collection involves the practitioner reviewing existing items that may provide insight into how day-to-day operations may be impacting the needs that have been identified for the project. Examples of items that may be included in document analysis are: • • • • • •

Organizational policies and procedures Strategic planning documents or annual reports Archived emails, memos, and organizational correspondence Comparing information provided on organizations’ websites Examples of employee work products (i.e. completed projects) Examples of completed student assignments that have been turned in for a grade

Similar to conducting direct observations, if the practitioner is planning to review multiple documents of a similar nature (i.e. examples of work products or student assignments), it is recommended that they create some type of analysis sheet to ensure consistency with how documents are being reviewed. Depending on the purpose of the document analysis, the practitioner may choose to create a checklist or create a rubric to assess the artifacts that are being examined. In any case, it is recommended that the practitioner utilizes an unstructured approach in the beginning as they review the first few documents. This will help them identify any particular items that need to be highlighted on their forms or tracking sheets that they are creating. Figure 8.3 provides an example of an analysis sheet a practitioner may employ if they were to conduct a needs assessment for an academic program in higher education. As part of their needs assessment, they may wish to see what differences exist between their client’s program offerings in comparison to peer institutions. Another example of a needs assessment could entail a practitioner evaluating employee work products to determine if any errors were occurring when fulfilling client orders. Depending on how the work process is tracked, they may choose to develop a checklist to track the frequency of completion related to specific steps in the process. Figure 8.4 is an example of a checklist that could be used to ensure that organizational steps have

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Institution Website Program Degrees Admissions Years to Courses Contact Offered Requirements Complete Available A B C D E

Figure 8.3  Sample website analysis document

Task

Yes

No

Comments

Purpose of instruction is identified Learner profile has been created All elements of the design document are complete Learning objectives have been developed A storyboard for the e-learning module has been created with narrative Storyboard content has been proof-read A multimedia producer has been assigned to the project Project is ready to move into production

Figure 8.4  Checklist to evaluate work product

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been completed during the development of e-learning. Similarly, a rubric may also be used if the practitioner finds that there are varying degrees of completion and quality.

Focus Groups Focus groups provide an opportunity for the practitioner to meet with multiple individuals at the same time to discuss a particular topic. In an attempt to provide an opportunity for all individuals to actively participate in the discussion, it is recommended that the size of focus groups be limited to six to eight participants (Plummer-D’Amato, 2008). If a practitioner chooses to facilitate a focus group during a needs assessment, they must communicate guidelines regarding the expectations of participant behavior during a focus group. Examples of guidelines that should be communicated to participants include the following: • Avoid interrupting participants while they are speaking. • Allow other individuals to participate in the discussions. • Respect the confidentiality of the group by not discussing what has been discussed in the focus group with other individuals.

Interviews Interviews provide the practitioner with an opportunity to meet one-onone with individuals involved directly with the needs being explored for a project. Interviews allow individuals to provide detailed accounts of their experiences and also provide the practitioner with an opportunity to ask follow-up questions to gain clarification of the situation. Interviews can be structured, unstructured, or semi-structured (Creswell, 2015). Structured interviews require the practitioner to plan ahead of the interviews and make a list of questions that they will ask everyone. Using a structured approach ensures consistency with the questions being asked and helps the practitioner avoid bias by requiring them to stick to a script, otherwise known as an interview protocol. Figure 8.5 is an example of an interview protocol that a practitioner may use. An unstructured interview does not adhere to any particular questions; rather, it consists of a more organic conversation between the practitioner and the individual being interviewed. An unstructured

Sample Interview Protocol Introduction: First, I’d like to thank you for taking the time to talk to me today. Before we begin, wanted to verify that you are still willing to participate in the study. I also wanted to verify that I have your permission to record our audio conversation. I am conducting a study to explore the extent that safety protocols are being followed at Organization XYZ. The information you share with me will be kept confidential and will not be used to identify you individually. It will be analyzed along with the responses from other employees in order to determine what types of safety training is needed. Your participation is strictly voluntary, and you may withdraw from the study at any time. The interview should take approximately 20 minutes to complete. Do you have any questions before we begin? Participant Name:______________________________ 1. How long have you worked at Organization XYZ? 2. Tell me a little bit about your job and your primary responsibilities. 3. Can you share an example of a time where you observed good safety practices at Organization XYZ? 4. Can you share an example of a time when did you not observe good safety protocols being followed at Organization XYZ? Closing Remarks: My next step is to conduct interviews with other employees, analyze the data, and create a final report. It would be great help if you could review the final report and make corrections if you feel like I have misstated anything or left anything out. Do you have any questions? Thank you for sharing your time and input. I really appreciate your help.

Figure 8.5  Example of an interview protocol

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interview enables the practitioner to steer the conversation in any direction of their choosing and ask follow-up questions to gain further clarification of what is being shared.

Surveys A survey is a data collection tool that is commonly used to gather attitudes and perceptions, and practices pertaining to a particular topic (Creswell, 2015). Survey design provides the potential for an individual to gather a lot of data within a relatively short about of time. There are two types of survey designs that an individual may choose to employ during data collection: cross-sectional survey design and longitudinal survey design. Cross-sectional survey design examines individuals’ attitudes and opinions at one particular time, whereas a longitudinal survey design involves administrating a survey to individuals multiple times over an extended period. An advantage of conducting longitudinal surveys is that it can track whether participants have experienced a change in their attitudes, perceptions, or practices over time, or if they have been influenced by a ­particular change in their environment. Depending on the types of questions being asked in a survey, the individual administering the survey may choose to allow anonymity with the participant responses. This may be an easier way to gather data from multiple individuals who may not feel comfortable participating in an interview or focus group due to the ­sensitive nature of the situation being explored. The types of questions used in survey designs will vary depending on the nature of the subject matter. Table 8.3 provides an overview of the types of question formats that may be used. Table 8.3  Types of Survey Questions Type

Description

Example

Checkbox

This provides several options where participants can pick a number of answers that may apply to them.

What shifts do you work at Organization ABC? _____ Morning _____ Afternoon _____ Evening _____ Weekends (continued)

Type

Description

Example

Likert Scale

These questions typically My supervisor answers my post a list of items or questions in a timely statements to participants manner. and ask them to indicate _____ 1 – Strongly their level of agreement. Disagree _____ 2 – Disagree _____ 3 – Neutral _____ 4 – Agree _____ 5 – Strongly Agree

How many years have you This provides participants worked at Organization with a list of options and ABC? requires them to select the answer that they think _____ Less than 1 year is most accurate. These _____ 1–5 years types of questions are _____ 6–10 years helpful when you want the _____ More than 10 years participant to select only one answer, or if you are collecting demographic data. Open-ended This gives the participants Describe a time when space and flexibility to you observed someone answer a question in their who was not following own words. appropriate safety protocols at Organization ABC. Ranking Ranking questions include Rank the following items in those listing several terms of how important statements or items and they are to a college asking the participants student at University AAA. to order them in terms of _____ Finding a quiet place how they are prioritized to study or valued. _____ Good cafeteria food _____ Parking on campus _____ Buses running on a routine schedule _____ Extended hours in the computer lab Multiplechoice

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When writing survey questions, it is important to use clear language that will be commonly understood by the participants. If a participant does not understand what the survey is asking of them, they will not be able to answer the questions effectively, or they might not address the question at all. The individual designing the survey must pay close attention to avoiding ambiguous survey items. Table 8.4 provides an overview of the question structure to avoid when designing a survey. Table 8.4  Question Structures to Avoid When Designing Surveys Structure Doublebarreled

Description

Example of a Bad Question

These questions I enjoy taking combine more than classes in one object in the Building statement, which A and makes it impossible Building B. for the participant to provide an answer regarding both objects individually. Leading These questions hinder We are really questions a participant’s ability proud of to answer a question the safety objectively. The training at Organization questions are worded ABC. Tell us in a way that steers what makes the direction of a our program conversation. so wonderful! Ambiguous These questions are Do you think just plain confusing. that college It is unclear what the students question is asking the take enough participant. There are courses? typically a number ____ Agree of unknowns in the ____ Neutral question that prohibit ____ Disagree the participant from being able to answer the question.

Example of a Better Question I enjoy taking classes in Building A. I enjoy taking classes in Building B.

Describe your experiences involving safety training at Organization ABC.

Do you think that enrolling in four undergraduate courses per semester is reasonable for a college student? ____ Agree ____ Neutral ____ Disagree

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Ensuring Reliability and Trustworthiness Standards of trustworthiness must be maintained when collectively qualitative data through interviews and/or focus groups. Lincoln and Guba (1985) developed a term, “truth value,” that addresses to what extent the researcher is confident of the truth of their findings and that there are minimal threats to the credibility of the data source and how data were collected. Several strategies can be used to establish trustworthiness when collecting and reporting on qualitative data (Krefting, 1991). Credibility can be achieved through the use of interview protocols to ensure that participants are asked similar questions. Such protocols can include providing participants with an opportunity to participate in member-checking where they can review the transcripts of their interview and provide clarification if certain statements are unclear and warrant further explanation. Gathering data from multiple sources, otherwise known as “triangulation,” is another way to ­demonstrate credibility among the individual data sources (Shenton, 2004). Keeping a field journal and using tables to organize data to highlight different perspectives as they relate to the needs being explored will help the practitioner keep track of the various perspectives, patterns, and frequencies that may arise. If the needs assessment is being conducted by a group of individuals, peer debriefing is a strategy that can be employed to help validate the interpretations that emerge from data collection. Peer debriefing is a strategy commonly used in qualitative research where multiple researchers analyze thematic relationships associated with qualitative data and meet to discuss their findings (Lincoln & Guba, 1985, 1989). If there are any discrepancies or differences of opinions among the researchers, a discussion is followed to better understand each individual’s interpretation of the data (Spall, 1998). The goal is that through discussion a consensus is formed. This adds to the validity of data analysis by ensuring that more than one individual is interpreting the data in a particular way (Creswell & Miller, 2000).

Summary When gathering data to address the discrepancies between the actual and desired states of performance, the needs assessment practitioner must be intentional with the types of data they collect to be able to offer datadriven recommendations that are relevant to the situation. Considering that multiple needs often emerge during a needs assessment project, triangulating data can help the practitioner identify patterns occurring within an

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organization or the environment being explored as well as contributing to the credibility of the data collection techniques employed during the project.

Professional Practice Revisited: Figuring Out Factors Contributing to Patient Safety Incidents After meeting with the Director of Patient Safety and the Director of the ICU, Oliver is very aware that he needs to gather data from multiple sources to truly begin understanding why the AHS is experiencing an increase in reported patient safety incidents. Who are some of the individuals (or job functions) that Oliver should meet with to learn more about the ICU? What types of data should he consider gathering? How should Oliver ­consider triangulating his results?

Connecting Process to Practice 1. If you were Oliver, what are some of the data collections sources you would include to gather enough information to address the three needs identified by the client? 2. When identifying different data collection tools to gather information for a project, what factors must you consider when selecting one data source over another? 3. Review one of the publications listed in the Recommended Reading section of this chapter. Make a list of the various data collection sources that were included. What information did each source provide the practitioner who led the needs assessment? What would happen if we relied on only one of those sources? 4. What ethical considerations should a practitioner be mindful of when identifying data sources and collecting data?

Recommended Reading Amankwaa, L. (2016). Creating protocols for trustworthiness in qualitative research. Journal of Cultural Diversity, 23(3), 121–127. Barker Steege, L. M., Marra, R. M., & Jones, K. (2012). Meeting needs assessment challenges: Applying the performance pyramid in the US Army. Performance Improvement, 51(10), 32–41.

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Bell, R. A., Lin, E., & Warheit, G. (1977, August). Issues in need assessment data collection strategies. Paper presented at the annual meeting of the American Psychological Association, San Francisco, CA. Currow, D. C., Allingham, S., Yates, P., Johnson, C., Clark, K., & Eagar, K. (2015). Improving national hospice/palliative care service symptom outcomes systematically through point-of-care data collection, structured feedback and benchmarking. Supportive Care in Cancer, 23(2), 307–315. Doody, O., & Noonan, M. (2013). Preparing and conducting interviews to collect data. Nurse Researcher, 20(5), 28–32. Finlayson, M., Baker, M., Rodman, L., & Herzberg, G. (2002). The process and outcomes of a multimethod needs assessment at a homeless shelter. American Journal of Occupational Therapy, 56(3), 313–321. Gill, P., Stewart, K., Treasure, E., & Chadwick, B. (2008). Methods of data collection in qualitative research: Interviews and focus groups. British Dental Journal, 204(6), 291–295. Granello, D. H., & Wheaton, J. E. (2004). Online data collection: Strategies for research. Journal of Counseling & Development, 82(4), 387–393. Levy, S. R., Anderson, E. E., Issel, L. M., Willis, M. A., Dancy, B. L., Jacobson, K. M., … Ochoa, M. (2004). Using multilevel, multisource needs assessment data for planning community interventions. Health Promotion Practice, 5(1), 59–68. Lundberg, C., Elderman, J. L., Ferrell, P., & Harper, L. (2010). Data gathering and analysis for needs assessment: A case study. Performance Improvement, 49(8), 27–34. McCawley, P. F. (2009). Methods for conducting an educational needs assessment: Guidelines for cooperative extension system professionals. University of Idaho. Palinkas, L. A., Horwitz, S. M., Green, C. A., Wisdom, J. P., Duan, N., & Hoagwood, K. (2015). Purposeful sampling for qualitative data collection and analysis in mixed method implementation research. Administration and Policy in Mental Health and Mental Health Services Research, 42(5), 533–544. Preskill, H. (1991). A comparison of data collection methods for assessing training needs. Human Resource Development Quarterly, 2(2), 143–155. Robertson, L. A., Boyer, R. R., Chapman, B. J., Eifert, J. D., & Franz, N. K. (2013). Educational needs assessment and practices of grocery store food handlers through survey and observational data collection. Food Control, 34(2), 707–713. Spradley, J.P. (1980). Participant observation. New York, NY: Holt, Rinehart, and Winston. Stefaniak, J. E., Mi, M., & Afonso, N. (2015). Triangulating perspectives: A needs assessment to develop an outreach program for vulnerable and underserved populations. Performance Improvement Quarterly, 28(1), 49–68. Whiting, L. S. (2008). Semi-structured interviews: Guidance for novice researchers. Nursing Standard, 22(23), 35–41.

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References Altschuld, J. W., & Kumar, D. D. (2010). Needs assessment: An overview. Los Angeles, CA: SAGE. Creswell, J. W., & Miller, D. L. (2000). Determining validity in qualitative inquiry. Theory into Practice, 39(3), 124–130. Creswell, J. W. (2015). Educational research: Planning, conducting, and evaluating quantitative and qualitative research (5th ed.). New York, NY: Pearson. Flick, U. (2004). Triangulation in qualitative research. In U. Flick, E. V. Kardorff, & I. Steinke (Eds.), A companion to qualitative research (pp. 340–348). London, SAGE. Gill, J., & Johnson, P. (2002). Research methods for managers. London: Paul Chapman Publishing Ltd. Krefting, L. (1991). Rigor in qualitative research: The assessment of trustworthiness. American Journal of Occupational Therapy, 45(3), 214–222. Lincoln, Y. S., & Guba, E. G. (1985). Naturalistic inquiry. Beverly Hills, CA: SAGE. Lincoln, Y. S., & Guba, E. G. (1989). Ethics: The failure of positivist science. The Review of Higher Education, 12(3), 221–240. Plummer-D’Amato, P. (2008). Focus group methodology Part 1: Considerations for design. International Journal of Therapy and Rehabilitation, 15(2), 69–73. Shenton, A. K. (2004). Strategies for ensuring trustworthiness in qualitative research projects. Education for Information, 22(2), 63–75. Sleezer, C. M., Russ-Eft, D., & Gupta, K. (2014). A practical guide to needs assessment (3rd ed.). San Francisco, CA: John Wiley & Sons. Spall, S. (1998). Peer debriefing in qualitative research: Emerging operational models. Qualitative Inquiry, 4(2), 280–292.

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9

Case: Organizing Data at Avondale Elementary Owen Crosby is an assistant principal at Avondale Elementary. Over the past five years, Avondale has experienced an increasingly high turnover rate with teachers that have raised concerns at the district level. Owen has been tasked to lead a needs assessment to understand why turnover is continuing to occur at such high rates. Owen has assembled a team to assist with the needs assessment, consisting of himself, a school counselor, three teachers with varied years of experience at Avondale, and a representative from the school district. Owen’s team has reviewed state and school reports for each grade level. It has reviewed attrition trends at the district and state levels. It has surveyed staff and teachers who currently work at Avondale and has conducted interviews with a sample of those teachers. It has also reached out to teachers who have left the school on good terms, but has only been able to speak with a few of them regarding some of the factors that influenced their decision to seek other employment. As it nears the end of data collection, Owen’s team is meeting to determine what it needs to do to organize the data.

Guiding Questions 1. What is a needs analysis? 2. When might a needs assessor conduct a SWOT analysis?

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3. What are the types of analyses common in needs assessment? 4. How should a needs assessor address discrepancies among data? 5. What tools can be used to assist a needs assessor with conducting a causal analysis?

Key Terms Causal analysis Central tendency Data analysis Deductive coding Inductive coding Mean Median Mode Needs analysis Triangulation Variance

Chapter Overview This chapter will provide guidelines for how to analyze data gathered during a needs assessment. Attention will be placed on triangulating results from multiple data solutions and aligning these results with i­dentified needs.

What to Do after Data Collection? Once a needs assessor and their team have gathered data from various sources related to the project, their next step is to decide what to do with the data. The process of data analysis contributes to needs assessment in two ways. First, it involves the review of collected data to verify that the needs identified at the beginning of the project are real. Once these needs are determined to be the actual needs, data analysis is then used as a mechanism to assist the needs assessor with shifting from needs assessment to needs analysis. To recap what has been stated in previous chapters, needs assessment is the process of determining that a gap exists between the current

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Table 9.1  Data Sources Informing Needs Need

Data Source 1 Data Source 2 Data Source 3 Data Source n

Need 1 Need 2 Need 3 Need n

state of performance and the desired state of performance (Altschuld & Kumar, 2010). This gap or discrepancy between performance states is the need. Once gaps (needs) have been identified, the needs assessor begins needs analysis to understand what is contributing to, or causing, this gap in performance (Kaufman & Guerra-Lopez, 2013). During analysis, the needs assessor will seek to identify factors that are contributing positively to the situation, as well as factors that are posing a negative impact on the situation. Chapter 8 discussed the importance of gathering data from multiple sources. This helps the needs assessor establish patterns, and strengthens their position to make recommendations. Before delving into the different types of analyses for quantitative and qualitative data, the needs assessor should revisit their data sources consulted during data analysis and cross-reference these with the project needs. Table 9.1 provides a means to organize data to track data sources according to needs.

Descriptive and Inferential Statistics There are two different types of statistics: descriptive and inferential. Descriptive statistics are a means to provide a needs assessor with information to describe participant responses to individual questions posed during data collection (Creswell, 2015). This allows the needs assessor to break down surveys and tests by individual items or questions to present an overall distribution of data. Inferential statistics assist the needs assessor with making generalizations from a sample of participants to understand what they could expect from the larger population (Creswell, 2015).

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Measures of Central Tendency Measures of central tendency provide a means for the needs assessor to look at a distribution of scores. The most common measures of central tendency include mean, median, and mode.

Mean The mean is the computation of the average among scores. To calculate the mean, a needs assessor would compute the sum or total of all values (scores) and then divide the total or sum of scores by the number of scores. For example, if a needs assessor were to conduct the mean of the following scores, they would do the following steps: Scores: 4, 6, 12, 6, 3 Step 1: Compute the sum of all scores: (4 + 6 + 12 + 6 + 3) = 31 Step 2: Divide the sum of scores by the number of scores: 31 divided by 5 = 6.2 The average of the five scores listed above would be 6.2.

Median The median is the midpoint in a set of scores. If a needs assessor were to calculate the median with an odd number of scores, the median would be the score in the middle. If they were to calculate the median of an even number of scores, the median would be average of the two scores in the middle. Calculating median for an odd number of scores: 2, 5, 6, 7, 8 → The median would be 6 Calculating median for even number of scores: 2, 5, 6, 7, 8, 9 → The median would be 6.5

Mode The mode is the most frequent score reported in a large set of scores. For example, if a needs assessment were to identify the mode of the following scores, they would look for the score most frequently reported: Scores: 4, 5, 5, 6, 3, 5, 2, 1, 5, 6, 2, 1, 4 The mode would be 5.

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Measures of Variability Variance measures how wide or narrow the distribution of scores or individuals’ responses may be among a group of participants. The range is the difference between the highest and lowest scores. It is a good indicator of whether there is a wide or narrow distribution of scores. The standard deviation “measures how much an individual value varies from the mean” (Sleezer, ­Russ-Eft, & Gupta, 2014). A low standard deviation means that the participants’ responses vary little from the mean score, whereas a high standard deviation suggests that the participants vary greatly from the mean score.

Determining Relationship between Factors There may be times where the needs assessment is interested in exploring whether a relationship exists between two factors or variables. To measure the relationship between two factors, it may be appropriate to calculate the correlation coefficient. If both factors change in the same direction, it is considered to be a positive correlation. If variables change in opposite directions, it is a negative correlation. Correlations can range from –1 to +1. Table 9.2 provides an overview of the types of correlations. GuerraLopez (2008) suggests the following guidelines for determining weak and strong correlations: .00 to .20 Weak .30 to .40 Moderate .50 to .60 Moderate to strong .70 and above Strong

Table 9.2  Types of Correlations Type of Correlation

Variable A

Variable B

Value

Positive Positive Negative Negative

A increases A decreases A increases A decreases

B increases B decreases B decreases B increases

Range from 0 to +1 Range from 0 to +1 Range from –1 to 0 Range from –1 to 0

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Analyzing Qualitative Data When analyzing qualitative data, the needs assessor will need to determine if they will use deductive or inductive coding techniques. A deductive coding approach involves a needs assessor establishing codes before completing their analysis. As they review transcripts from interviews or other documents included in the analysis, they will assign codes based on the set that they established at the beginning of the project. Often, these predetermined codes are based on factors that have been identified by the needs assessor and the client at the beginning of the needs assessment, trends in the industry or field, or best practices that have been identified in the relevant literature (Rivas, 2012). An inductive approach to coding is a more organic process where codes are determined while the needs assessor is reviewing codes. As codes continue to be established, the needs assessor may combine related codes to reduce the overall number. This approach may be more suitable when a  needs assessor is not entirely sure what factors are influencing ­performance in the organization (Rivas, 2012).

Discrepancies with Findings There may be instances when a needs assessor will find discrepancies in the information presented by the various data sources. Table 9.3 provides a chart to help organize key themes where there is convergence among the data as well as when divergence exists. Table 9.3  Determining Consistencies and Discrepancies among Data Need

Need 1 Need 2 Need 3 Need n

Data Sources (list all)

Consistencies among Data Sources

Discrepancies among Data Sources

Comments

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Where there are conflicting opinions or data among different data sources, it is important to look at where the discrepancy lies. If a needs assessor has conducted interviews with a group of individuals, they need to look for any outliers who have presented either positive or negative opinions. It is then helpful to compare that information against other data sources to see if there are other types of data that support the statements shared by the outliers. This is an instance where it is important to gather data from multiple sources to conduct triangulation. If a needs assessor and their client believe that they may have conflicting data that emerges during a needs assessment, it is recommended that the needs assessor form a committee to assist with data collection and analysis. It is important for the needs assessor to discuss what the discrepancies may be, the location of these discrepancies, and whether they represent sufficient information to support or discount certain differences when ­preparing recommendations to the client.

Strategies and Tools to Explain What Is Going On The most important outcome of a needs assessment is to determine what is contributing to or causing the need. Once the needs assessor and their team have reviewed their data and begun to identify some preliminary themes that have emerged, the next step is to organize the information to determine what is causing the gap in performance. Any recommendations that are presented to the client at the end of the project should be focused on strategies to minimize or eliminate the gap. Causal analysis is the process of examining a situation and determining the root causes contributing to the current state of performance. Kaufman and Guerra-Lopez (2013) warn that “assessing needs before analyzing them reduces or eliminates the potential risks of assuming that what is being analyzed is the root cause of performance deficiencies” (p. 90). Once the causes have been determined, the needs assessment needs to consider the following questions: • Is there the potential to fix the problem? • What solutions might be possible to address the problem or gap in performance? • It is worth the cost to fix the problem?

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There are several tools and strategies that a needs assessment team may consider to support the organization of information when examining the potential causes of a need. This chapter will provide an overview of some of the more frequently used tools to facilitate the process.

Methods-Means Analysis Methods-means analysis is a process where a needs assessor would make a list of potential solutions and identify the advantages and disadvantages of moving forward with that solution (Kaufman, 2000). Kaufman and Guerra-Lopez (2013) present the process in five steps: 1. 2. 3. 4. 5.

List the solution requirements. List the potential solutions. List the pros and cons of each solution. Rank-order the solutions. Select the optimal solution.

Table 9.4 provides a framework to assist the needs assessment team by organizing its information for a methods-means analysis.

Cost-Consequence Analysis A cost-consequence analysis is “an analysis that looks at the costs and consequences of a given decision” (Kaufman & Guerra-Lopez, 2013, pp. 87). If a needs assessor were to conduct a cost-consequence analysis, they would make a list of each possible solution and identify costs, both financial and non-financial, associated with proceeding with that solution Table 9.4  Conducting a Methods-Means Analysis Possible Solution Solution 1 Solution 2 Solution 3 Solution n

Advantages

Disadvantages

Rank Order

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Table 9.5  Conducting a Cost-Consequence Analysis Possible Solution

Costs Associated with Implementation

Costs if Solution Is Not Implemented

Rank Order

Solution 1 Solution 2 Solution 3 Solution n

or choosing not to proceed. Table 9.5 provides a job aid to assist with ­organizing information for a cost-consequence analysis.

SWOT Analysis A SWOT analysis is a means to organize information based on the strengths and weaknesses of, opportunities for, and threats to the group or organization. If a needs assessor chose to conduct a SWOT analysis, they would look at the organization’s (or group’s) overall performance and identify the strengths of the organization that could serve as an advantage. They would do the same by identifying any weaknesses that currently exist. The strengths and weaknesses are internal to the organization (or group) being examined. Opportunities and threats look at factors external to the organization or group. Opportunities are other factors or things occurring in the environment that might be advantageous to the organization moving forward. Threats are factors or things occurring in the environment that might pose challenges to the organization in the future.

Force-Field Analysis A force-field analysis is conducted to provide a means to look at the forces (factors) that are influencing a situation (Lewin, 1943). The goal of the force-field analysis is to determine if the forces (factors) supporting or driving the change are more powerful than the forces (factors) restraining the change. Table 9.6 provides a tool to assist the needs assessor with conducting a force-field analysis.

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Table 9.6  Conducting a Force-Field Analysis Driving Forces (list)

Desired State

Restraining Forces (list)

Summary The purpose of this chapter is to provide needs assessors with some guidance in terms of the common quantitative and qualitative data analyses that are typically performed in needs assessment projects. This chapter does not provide an exhaustive list of all statistical analyses considered by needs assessors. Additional references are provided for a more in-depth look at data analysis techniques.

Professional Practice Revisited: Organizing Data at Avondale Elementary Owen Crosby has been tasked with conducting a needs assessment to understand what is causing alarming rates of turnover among teachers at Avondale Elementary School. His team has neared completion with data collection and is preparing to review the data to begin making recommendations. What are some tools Owen’s team should consider using to determine the causes contributing to the high rates of turnover?

Connecting Process to Practice 1. Think of a project or a program that you have been involved with in the past year or two. What was the project? Make of list of any changes that took place within that project or program. What were the strengths, weaknesses, opportunities, and threats that influenced the decision to proceed with a change?

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2. If you were meeting with a client to discuss potential data sources for an upcoming needs assessment and they only wanted you to survey individuals in their organization, what might you say to explain the importance of gathering data from multiple sources? 3. What would you do if you were amid data analysis and realized that you had a lot of conflicting information among your data sources?

Recommended Reading Downing, S. M. (2003). Validity: On the meaningful interpretation of assessment data. Medical Education, 37(9), 830–837. Fereday, J., & Muir-Cochrane, E. (2006). Demonstrating rigor using thematic analysis: A hybrid approach of inductive and deductive coding and theme development. International Journal of Qualitative Methods, 5(1), 80–92. Nowell, L. S., Norris, J. M., White, D. E., & Moules, N. J. (2017). Thematic analysis: Striving to meet the trustworthiness criteria. International Journal of Qualitative Methods, 16(1), 1–13. Owen, G. T. (2014). Qualitative methods in higher education policy analysis: Using interviews and document analysis. The Qualitative Report, 19(26), 1–19. Rapley, T. (2007). Doing conversation, discourse and document analysis. Los Angeles, CA: SAGE. Russ-Eft, D. F., & Sleezer, C. M. (2020). Case studies in needs assessment. Los Angeles, CA: SAGE. Saldana, J. (2013). The coding manual for qualitative researchers (2nd ed.). Los Angeles, CA: SAGE. Salkind, N. J. (2017). Statistics for people who (think they) hate statistics (4th ed.). Los Angeles, CA: SAGE. Spradley, J. P. (1980). Participant observation. New York, NY: Holt, Rinehart and Winston. Swanson, D. J., & Creed, A. S. (2014). Sharpening the focus of force field analysis. Journal of Change Management, 14(1), 28–47. Willig, C. (2008). Discourse analysis. In J. A. Smith (Ed.), Qualitative psychology: A practical guide to research methods (pp. 160–185, 2nd ed.). London, SAGE.

References Altschuld, J. W., & Kumar, D. D. (2010). Needs assessment: An overview. Los Angeles, CA: SAGE.

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Creswell, J. W. (2015). Educational research: Planning, conducting, and evaluating quantitative and qualitative research (5th ed.). New York, NY: Pearson. Guerra-Lopez, I. (2008). Performance evaluation: Proven approaches for improving program and organizational performance. San Francisco, CA: Jossey-Bass. Kaufman, R. (2000). Mega planning: Practical tools for organizational success. Thousand Oak, CA: SAGE. Kaufman, R., & Guerra-Lopez, I. (2013). Needs assessment for organizational success. Alexandria, VA: ASTD Press. Lewin, K. (1943). Defining the field at a given time. Psychological Review, 50(3), 292–310. Rivas, C. (2012). Coding and analysing qualitative data. Researching Society and Culture, 3, 367–392. Sleezer, C. M., Russ-Eft, D., & Gupta, K. (2014). A practical guide to needs assessment (3rd ed.). San Francisco, CA: John Wiley & Sons.

Decision-Making during Needs Assessment

10

Case: Accident at the Recycling Plant Blake Bloom is the Quality and Safety Manager for a regional recycling company that repurposes plastics. Over the weekend, an employee had a fatal accident operating a piece of machinery during the night shift. Blake and his supervisor have been included in meetings to explore whether modifications are needed to the company’s existing health and safety modules. There are several decisions to be made regarding health and safety standards, employee training, and the need for additional data collection.

Guiding Questions 1. What is a decision? 2. What are the characteristics of a decision situation? 3. How might a needs assessor differentiate between normative and ­descriptive decisions? 4. When should a needs assessor use a narrative-based decision-making model?

Key Terms Acceptance Choices

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Construction Decision Decision situation Decision-making theory Descriptive decisions Evaluation Normative decisions Rejection

Chapter Overview This chapter will discuss the decision-making process the practitioner may follow when conducting a needs assessment. Emphasis will be placed on exploring the various types of decisions they may encounter during a project. Decisions involving interactions with the client, ­determining needs assessment models, data collection tools, and corroborating data will be explored. Strategies for how to make decisions and communicate decisions with clients and project constituents will also be discussed.

Decision-Making as a Theoretical Construct for Needs Assessment Chapter 3 presented a theoretical framework to assist needs assessors with conducting needs assessments. This framework consisted of three constructs: human needs theory, general systems theory, and decisionmaking theory. Other chapters have explored the human needs and general systems constructs in more detail. This chapter emphasizes decisionmaking during a needs assessment. While decisions are made frequently and continuously during a needs assessment, this chapter has intentionally been included after chapters focused on data collection and analysis. As the needs assessor embarks on data analysis, they must begin to make decisions that will heavily impact the direction of the project and subsequent initiatives led by the client.

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For a needs assessor to engage in decision-making, a decision situation must exist. Skyttner (2001) suggests that every decision situation much include the following characteristics: • • • •

A problem exists. At least two alternatives for action remain. Knowledge exists of the objective and its relationship to the problem. The consequences of the decision can be estimated and sometimes quantified (Skyttner, 2001, p. 340)

When thinking about decision-making during needs assessment, the needs assessor should make decisions about what needs are to be explored during the needs assessment (the scope of the project), what is to be collected to address those needs, what time is most appropriate to collect data, and how the data will be analyzed. A goal of decision-making is to enact change. This aligns nicely with needs assessment in that the goal of needs assessment is to minimize any gaps that exist between an organization’s current state of performance and its desired state of performance. The results of a needs assessment are intended to produce recommendations that will enact change to eliminate these existing deficiencies in performance.

Types of Decisions Decisions can be categorized according to types, such as choices, acceptances/ rejections, evaluation, and constructions (Yates & Tschirhart, 2006). Choices consist of selecting an option from a large set of options. Acceptance/­ rejection decisions consist of a binary decision where the option (or solution) is accepted or not. Evaluative decisions involve an individual assigning worth to a possible option and determining their level of commitment if they were to proceed with that option (Fitzpatrick, Sanders, & Worthen, 2011; GuerraLopez, 2008). Decisions of a more constructive nature involve trying to “identify ideal solutions given available resources” (Jonassen, 2012, p. 343). Table 10.1 provides an overview of their typology along with the types of decisions a needs assessor may need to make at some phase during a needs assessment. Jonassen (2012) suggests that decisions fall under two models of decision-making: normative and naturalistic. Normative models involve an individual evaluating the situation and considering several options before

Table 10.1  Design Typologies as They Relate to Needs Assessment Type

Example of Needs Assessment Decisions

Choices

A needs assessor has been asked to assist an automobile company with exploring its marketing needs. During a meeting to review possible marketing strategies, they discuss the possibility of using radio advertisements, nationally televised commercials, regional televised commercials, postcards to past clients, and web ads as possible options. A needs assessment committee submits a draft of its recommendations to their client. The client must decide to accept or reject the recommendations. Their decision will ultimately impact whether the needs assessment committee will continue to work with the client to enact change. A consulting firm that specializes in safety training meets with a not-for-profit organization to discuss its training needs. During a few of the initial conversations, the firm realizes that its client would not be able to pay the typical fees it charges for its consultative services. The training manager who typically conducts the preliminary meetings with clients sees the impact that the not-for-profit has made in the local community and decides that they can conduct the needs assessment and assist with safety recommendations as pro bono services. During a needs assessment exploring online degree programs at a local community college, the needs assessment committee discusses the need to prioritize the list of needs provided by its client and focus on online degree programs within a few select colleges. The committee members and their client’s designees meet to discuss possible programs to focus their efforts. During their meeting, they discuss possible technological support, curricular plans, and recruitment strategies.

Acceptances/ Rejections

Evaluation

Constructions

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deciding on a solution that yields the optimal solution given any constraints or resources related to the situation. He further categorizes normative models of decision-making as falling into three categories (rational-choice, cost-benefit, and risk-assessment). Rational-choice models involve the needs assessor evaluating alternative options for addressing a problem and weighing the option to determine what is the most viable of the solutions. Oftentimes, the instructional designer will evaluate the strengths and weaknesses of each solution using decision-making tools such as SWOT or force-field analyses. A cost-benefit analysis seeks to select solutions based on the potential for their return-on-investment. There may be instances where it is worth foregoing training if an organization cannot justify incurring the costs associated with training. A risk-assessment model is when a needs assessor will evaluate the risks associated with not proceeding with a particular solution (Stefaniak, in press). Naturalistic models are suggested to assist in the decision-making ­process when decisions are more contextually-embedded. These models “stress the role of identity and unconscious emotions in decision-making” ( Jonassen, 2012, p. 348). Narrative-based models place value on the explanations that accompany the various decision options. More emphasis is placed on the explanation rather than the cost-benefit analysis associated with a particular solution. Identity-based decisions are centered around how any individual relates to solutions on a personal level. Table 10.2 provides examples of needs assessment-related decisions that may fall under normative or ­naturalistic decision-making models.

Communicating Decisions with Clients While different situations will warrant different decisions being made, a good practice is for a needs assessor to be familiar with how decisions are typically made by their client or organization. While this does not necessary dictate the types of decision-making strategies a needs assessor will employ during their needs assessment, it will provide additional insight into how decisions are made within the organization, as a system, and a client’s receptivity to participate decisions that are made during the project. Chapters 8 and 9 have discussed in detail the importance of the needs assessor making data-driven decisions. They should constantly be monitoring the incoming data and analyses to determine if particular pieces of information can be leveraged to aid in their decision-making practices.

Table 10.2  Examples of Normative and Naturalistic NeedsAssessment-Related Decisions Type of DecisionMaking

Model

Examples in Relation to Needs Assessment

Normative DecisionMaking

Rational choice

A manufacturing company is looking to conduct Kaizen events as a means to create a lean manufacturing environment. To date, there have been many issues reported and logged by employees related to inefficiencies related to production. The manufacturing supervisors and the Director of Continuous Improvement meet to rank the performance issues. They will begin by developing training and Kaizen events around the top three issues that have been prioritized by the team.

Cost-benefit analysis

A local hospital has conducted a needs assessment to explore the root causes of patients catching sepsis in the intensive care unit. While safety practices are utilized, they need to determine whether or not it is advantageous to add additional safety requirements and training for staff or remain with the status quo.

Risk assessment

An automobile supplier has sought input from the Human Resources Development and Safety Manager to explore whether additional mandatory training should be required of new hires after an employee was recently injured operating a piece of machinery in the plant. (continued)

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Table 10.2  Continued Type of DecisionMaking

Model

Examples in Relation to Needs Assessment

Naturalistic DecisionMaking

Narrative-based

Staff at a drug and alcohol rehabilitation program are meeting to discuss if there is a need to modify and update the curriculum for their residency programs. A staff member has expressed concerns that the current curriculum does not emphasize the unique needs of homeless patients. As they talk during the meeting, the staff member mentions the names of several past patients to discuss the challenges they incurred while participating in the program. A K–12 school district recently hired a new director of professional development. Two teachers who sit on the advisory board for professional development have participated in online professional development opportunities. When the new director mentions the possibility of offering online opportunities for teachers in the district, the two members of the advisory board who have experience with online instruction are inclined to support it because they have their own experiences with such a platform.

Identity-based

Oftentimes, data-driven decisions provide a significant layer of support to the needs assessor and their team when making suggestions that their clients may not have been inclined to support otherwise. A data-driven approach not only supports the rationale behind the decision-making strategies used by the needs assessment team, it also provides e­ vidence of the deficiency in current performance.

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Summary This chapter provides an overview of the different types of decisions a needs assessor may have to make during a project. Needs assessors must leverage the data and results of their analyses to make informed datadriven decisions. This will support the rationale for proposed changes and inevitably aid in conversations with clients about recommended solutions.

Professional Practice Revisited: Accident at the Recycling Plant It is most likely that Blake and his supervisor will employ a normative approach to decision-making by conducting a risk assessment to determine the need for updating existing modules or developing new courses. The following are examples of some questions that Blake may ask during his meeting with the organizational leadership: • How many accidents have occurred on the plant floor in the past year? • How many of these accidents were related to the particular machine? • What training had the injured employee received before operating the machinery? • Are safety practices related to the machine covered in the existing health and safety training modules?

Connecting Process to Practice 1. Make a list of all of the potential options you might consider if you were to assist Blake with the project. 2. Think of a time you were involved with deciding about something at work. What was the decision? What other aspects of the organization would be impacted by your decision? 3. Table 10.1 provides an overview of decision typologies. Think of a time you have worked on a project that required you to make decisions. What were the decisions? How would you classify those decisions according to the typology? 4. What are some examples of situations that may be more receptive to naturalistic decision-making approaches? 5. What are the advantages and disadvantages of employing a normative decision-making process?

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Recommended Reading Jonassen, D. H. (2011). Learning to solve problems: A handbook for designing problemsolving learning environments. New York, NY: Routledge. Lepmets, M., McBride, T., & Ras, E. (2012). Goal alignment in process improvement. Journal of Systems and Software, 85(6), 1440–1452. Marston, M., & Mistree, F. (1997, October). A decision-based foundation for systems design: A conceptual exposition. In CIRP 1997 International Design Seminar Proceedings on Multimedia Technologies for Collaborative Design and Manufacturing (pp. 1–11). Los Angeles, CA: University of Southern California. Paarlberg, L. E., & Perry, J. L. (2007). Values management: Aligning employee values and organization goals. The American Review of Public Administration, 37(4), 387–408. Stefaniak, J., Baaki, J., Hoard, B., & Stapleton, L. (2018). The influence of perceived constraints during needs assessment on design conjecture. Journal of Computing in Higher Education, 30(1), 55–71. Tessmer, M. (1990). Environment analysis: A neglected stage of instructional design. Educational Technology Research and Development, 38(1), 55–64. Verschaffel, L., de Corte, E., de Jong, T., & Elen, J. (Eds.). (2010). Use of representations in reasoning and problem solving: Analysis and improvement. New York, NY: Routledge. Watkins, R., Meiers, M. W., & Visser, Y. L. (2012). A guide to assessing needs: Essential tools for collecting information, making decisions, and achieving development results. Washington, DC: The World Bank. Zhang, J. (1997). The nature of external representations in problem solving. Cognitive Science, 21(2), 179–217.

References Fitzpatrick, J. L., Sanders, J. P., & Worthen, B. R. (2011). Program evaluation: Alternative approaches and practical guidelines (4th ed.). Upper Saddle River, NJ: Pearson. Guerra-Lopez, I. (2008). Performance evaluation: Proven approaches for improving program and organizational performance. San Francisco, CA: John Wiley & Sons, Inc. Jonassen, D. H. (2012). Designing for decision making. Educational Technology Research and Development, 60(2), 341–359. Skyttner, L. (2001). General systems theory: Ideas and applications. Singapore: World Scientific Publishing.

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Stefaniak, J. (In press). Documenting instructional design decisions. In J. McDonald & R. West (Eds.), Instructional design: An introduction and student guide. Ed Tech Books. Yates, J. F., & Tschirhart, M. D. (2006). Decision-making expertise. In K. A. Ericsson, N. Charness, P. J. Feltovich, & R. R. Hoffman (Eds.), The Cambridge handbook of expertise and expert performance (pp. 421–438). New York, NY: Cambridge University Press.

Prioritizing Needs

11

Case: Assembling the Puzzle at Global Safety Enterprises Global Safety Enterprises (GSE) is a leading safety and performance ­company that employs 5,000 employees who provide consultative services to manufacturing organizations across the United States. While there are several employee branches, GSE’s headquarters resides in Chicago, IL. The majority of the project management and coordination is conducted at the headquarters location. In the past year, GSE was recently acquired by a safety equipment manufacturing company. While the owners have insisted that they want GSE to continue functioning as a separate entity, the new CEO is concerned with productivity in terms of sales, and project completion times. To explore these gaps in performance, Trinity Beauregard was recently hired by GSE to conduct a needs assessment to better understand what is contributing to the varying levels of productivity being reported across all GSE locations. Upon conducting several meetings with GSE executives and collecting data for several months, Trinity is under the impression that there are several needs to be addressed that will help GSE improve productivity. Some of these needs include unclear roles and responsibilities among employees in several business functions, inconsistency with project management strategies being employed, employees failing to follow protocols when providing consultative services, and a lack of sales results to inform the ­development of future products and services.

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Guiding Questions 1. When should a needs assessor begin to prioritize needs? 2. Who should be responsible for prioritizing the needs of a project? 3. What are the differences between low-, moderate-, and high-priority needs? 4. What methods can be used to assist in the prioritization of needs? 5. How should a needs assessor consider time when prioritizing needs?

Key Terms High-priority needs Low-priority needs Moderate-priority needs Prioritization

Chapter Overview This chapter will assist the practitioner by providing strategies for how to organize data gathered during the needs assessment and align the findings with the identified project needs. Strategies for how to prioritize needs and/ or modify existing needs will also be discussed. The practitioner will take into consideration the amount of time, money, and additional resources required to implement solutions; plans for monitoring interventions; and the probability of sustainable results based on organizational factors (discussed in chapters 3, 4, and 7).

What Follows Data Analysis? One of the challenges that a lot of needs assessors experience when working on a needs assessment, regardless of their level of experience, is that they have collected a lot of data, performed analyses, and now have to decide what they will do with the data. Chapter 9 provided an overview of some of the common data analysis techniques that are used to analyze quantitative and qualitative data. While these analyses will identify where there are statistically significant or common themes being observed

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Recommendations Identification of Patterns and Trends Determination of Statistical Significance Data Sources

Data Collection

Data Analysis

Post-Analysis

Figure 11.1  Information inputs for recommendations

or reported within the organization, they will not tell the needs assessor how recommendations should be prioritized. In reality, the data analyzed serves as an output from the data collection phase of the needs assessment process and an input into the recommendations phase (see Figure 11.1). By now, you have probably realized that there is a high degree of authenticity in a needs assessment. This means that the decisions that are made are going to be unique and contextualized to the particular situation; there is no one-size-fits-all approach to needs assessment. During this phase of the project, the needs assessor has to determine what relationships occur between various components of the needs assessment process (see Figure 11.2). Once data analysis is complete, the needs assessor must take a step back and view all of the information available to them to begin making datadriven decisions. During this period, they need to be mindful of the types of data accessed during the needs assessment (i.e. hard and soft data). They must then cross-reference these data sources to determine whether or not they have gathered sufficient data to verify the needs that were presented at the beginning of the project. Once they have determined if they feel strongly that they can verify the needs of the project and have gathered data to understand what is contributing to any gaps or deficiencies within the organization, they must explore what relationships exist among those needs. When determining how to prioritize those needs, the needs assessor will look to see the extent of the relationships that exist among the identified needs, the degree of entropy that exists in the system concerning the needs, and other contextual factors (i.e. organizational politics, personnel issues, strategic planning opportunities, and availability of resources) that may be contributing to this existing gap or have the potential to influence

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Contextual Factors Degree of Entropy

Time

Hard and Soft Data

Prioritization of Needs

Availability of Resources

Relationship Between Needs

Types of Needs

Figure 11.2  Factors influencing the prioritization of needs

any proposed recommendations. Altschuld and White (2010) liken this to assembling puzzle pieces of the need, current condition, desired condition, and any existing discrepancies. As the needs assessor reviews the factors described in Figure 11.2, they must consider how each of these factors relates to the overarching puzzle pieces of the project. The prioritization of needs occurs after needs analysis. During the needs analysis phase of the project, the needs assessor should have been able to focus on the context in which the needs were existing, the causes contributing to those needs or gaps in performance, and whether the problems could be fixed (Watkins & Guerra, 2002). It is also important to consider the amount of time it would take to address the particular needs of the project.

A Phased Approach to Guide the Prioritization of Needs There are several methods that a needs assessor may employ when prioritizing needs. Their strategies typically depend on the size of their team, the involvement of their client, the existence of a needs assessment

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committee, and their overall familiarity with the context (i.e. industry/ sector). Regardless of how many individuals are involved in determining the ordering of needs based on priority, Altschuld and White (2010) suggest three phases to structure the needs in preparation for recommendations: • Phase 1: Initial thoughts of the project with a broad set of needs • Phase 2: Collection of data focused on a smaller set of potential needs • Phase 3: Formal prioritization of a smaller set of needs. In Phase 1, the needs assessor and their team should review the initial purpose of the needs assessment and the needs they sought to verify. At this point in the needs assessment, they should have completed data collection and analysis and have verified whether the initial needs were truly the actual needs associated with the project. If there were any deviations in the development of the project needs, these adjustments will have already been made and agreed upon by the client. This initial phase entails the needs assessor and their team reviewing the outcomes of their data analysis. They should review each need in terms of supporting data, urgency, priority, magnitude, and resources required to mitigate the gap. Table 11.1 provides a table to help the needs assessor and their team map out information pertaining to each need to assist with their decision-making. Kaufman and Guerra-Lopez (2013) recommend reviewing each need according to whether they are low-, moderate-, or highpriority. Low-priority needs are needs that do not pose major challenges to the organization or system if ignored. Addressing these needs carries minimal costs and consequences. Examples of low-priority needs may Table 11.1  Reviewing Data Outcomes in Association with Needs Need

Need 1 Need 2 Need 3 Need n

Supporting Level of Priority Magnitude Data to Urgency (Low, (Cost/ Verify Need Moderate, consequences) High)

Potential Resources Required to Address the Need

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include the need to adjust meeting times so that additional people can be in attendance. If any organization did not address this need immediately, it would not pose any significant threats to the well-being of the organization. Needs that are classified as moderate-priority carry some costs and consequences if they are ignored. Examples of moderate needs may be an organization experiencing an increase in turnover with its engineering staff. While business operations will most likely be able to continue for a while with a reduced staff, overall productivity may experience strain if the organization does not address why there is an increase in turnover. High-priority needs are those that carry significant consequences and costs if they are ignored. Examples of high-priority needs could include a company choosing not to address safety needs as a result of employees being injured on a job. Another example could include administration at an elementary school not addressing security needs after experiencing a threat of a child being abducted during school hours. To determine the magnitude of the need, a needs assessor should evaluate the costs and consequences associated with each need. Table 11.2 provides a guide to identify potential costs associated with addressing the need or ignoring it. These exercises described for Phase 1 are meant to help the needs assessor and their team in reviewing all of the needs associated with the project and assigning initial labels of priority. Based on the types of supporting data related to each need, the needs assessment team may then choose to focus on a smaller subset of the needs. Phase 2 involves collecting data to explore a smaller set of needs that have been identified in Phase 1. These are needs that the needs assessor and team realize are important and may warrant more attention from the client. During this phase, the needs assessor will review the data sources and results of their data analysis that they initially conducted earlier in the Table 11.2  Cost-Consequence Comparison Need Need 1 Need 2 Need 3 Need n

Potential Costs Associated with Not Addressing the Need

Potential Costs Associated with Addressing the Need

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project. Depending on the amount of information they have, the needs assessor and team may also communicate to their client that they need to collect additional data to make inferences. Once the needs assessor believes that they have sufficient data about the needs on which they have chosen to focus their efforts, they can then move into the third and final phase of needs prioritization. During this last phase, the needs assessor will conduct a more formalized prioritization of the smaller set of needs from Phase 2. The goal of this phase is to “develop a core set of prioritized needs and action plans” (Altschuld & White, 2010, p. 7). The needs assessor needs to determine what criteria will be used to evaluate and prioritize the needs. Criteria may vary depending on the needs being evaluated. To date, some studies have explored different strategies for establishing criteria for prioritizing needs during a needs assessment (Altschuld & Witkin, 2000; Sork, 1998). Examples of criteria include, but are not limited to, short- and long-term risk, political risk, economic risk, feasibility, importance, resources required to allocate resources, and ­societal impacts. While not all of these may apply to one project, the needs assessor and their team should identify and define the criteria they will use to prioritize the needs of a project. Table 11.3 provides an example of how a needs assessor might organize their data.

Methods for Prioritizing Needs There are several methods a needs assessor may employ when prioritizing needs. Before formalizing this process, it is recommended that the needs assessor consults with the client to provide some initial thoughts resulting from the data analysis. The client should be involved at least in

Table 11.3  Establishing Criteria to Prioritize Needs Need Need 1 Need 2 Need 3 Need n

Criterion 1

Criterion 2

Criterion 3

Criterion n

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the preliminary discussions regarding the prioritization of the needs. In many cases, the client will defer to a needs assessment committee or a few designees to work with the needs assessor to review the needs, discuss the supporting data, prioritize the needs, and begin to identify potential recommendations to minimize or eliminate the existing gaps in performance. It is also important to remember the importance of selecting appropriate people to assist with prioritizing the needs. Chapter 1 emphasized the need to have access to the right people; individuals who know about the issue, care about the issue, and can make the change happen (Cavanagh & Chadwick, 2005). It is important to obtain buy-in and support from these individuals as there is a good likelihood they will be assisting with the implementation of any recommendations that may result from the project.

Group Discussion This method tasks the needs assessor and designees to engage in a discussion about each need according to some pre-established criteria. There is no formalized process for engaging in a group discussion, but it is common practice that the needs assessor will create guidelines for how individuals should communicate with one another. While group discussions are typically held in many needs assessment projects, it sometimes helps to have a more robust approach for ranking and prioritizing needs if there are ­several factors or consequences associated with them.

Rank-Ordering While there are several variations and methods for conducting a rankordering exercise to prioritize needs, it typically involves members of the needs assessment committee reviewing the list of needs and ranking them in order of importance. From there, the members would review how the overall group collectively ranked the needs and proceed with final decisions. This simplistic form of rank-ordering is suitable if there are relatively few needs to be explored and they are not overly complex. This is not suitable if the situation is complex and warrants further discussions regarding any known political, economic, or long-term risks to the group or organization.

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Importance and Feasibility Ratings Sork (1998) devised criteria according to a five-point Likert scale to assign points for criteria related to importance and feasibility. Using this technique, members of the needs assessment committee would assign ratings to each of the criteria identified. Depending on the criteria deemed most important and relevant to the situation, the needs assessor and designees may choose to create a modified version by identifying a set number of criteria and requiring each member of the committee to assign a rating. Other approaches may include giving each member a set number of points and allowing them to assign their points to the various criteria in terms of how important they view each criterion (Altschuld & Witkin, 2000). This method would enable an individual to place focus on assigning points to one criteria category and none to any other remaining criteria if they chose to do so.

Considering Alignment Regardless of the type(s) or method(s) employed to prioritize needs, the needs assessor and team must be considerate of hard and soft data collected earlier in the project. Soft data such as individuals’ perceptions, opinions, and feelings can provide additional insight into what is being demonstrated through hard data that can be independently verified (Kaufman & GuerraLopez, 2013). Having group discussions to discuss the relationship between these data sources is important and can help strengthen the argument to prioritize one need over another. It is also important for the needs assessor and team to consider the relationship of the needs that are being reviewed. Some needs may be mutually exclusive of one another where others may be dependent. The level of dependency should be considered when prioritizing needs, particularly if addressing one need will eliminate or minimize any existing secondary needs. In addition to the level of dependency among the needs, the needs assessor and team should also factor in the approximated time that it may take to address each need individually. Depending on the amount of time and resources required, other needs may be prioritized ahead of others in terms of how quickly action can be taken to minimize the gaps. Table 11.4 provides a table to assist the needs assessor and team with determining the amount of time it may take to address the needs of a project.

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Table 11.4  Time Required to Address Needs Need

Time to Address Individuals to Potential (Less than 1 Year, be Involved Resources 2–3 Years, More Needed than 3 Years)

Dependency on Other Needs or Organizational Actions

Need 1 Need 2 Need 3 Need n

Time to Implementation When determining how much time it may take to address the particular needs of a project, another consideration for the needs assessor is determining how receptive individuals in the organization may be to the possibility of change. If an organization is hoping to address needs of a greater magnitude that may take several years to fully implement, it may take a considerable amount of time before individuals in the organization begin to see favorable results of their efforts. If the needs assessor and team can identify some lower-priority needs that could be implemented and addressed in a relatively short amount of time, they may want to consider incorporating them earlier in the implementation as opposed to ignoring them altogether and focusing their efforts solely on the larger issues. By focusing on some of these minor or low priorities, they may have the opportunity to demonstrate immediate results to the individuals of the organization. This may help increase buy-in and receptivity regarding the larger needs that may take additional resources and time to fully address.

Summary This chapter continues the discussion of what to do after data analysis has been completed. The needs assessor must begin prioritizing needs before final recommendations and solutions are proposed to the client. While

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these priorities might be adjusted as potential solutions and their associated costs are outlined in detail, ranking them before generating solutions can provide insight into where the client should invest their resources to address the goals of the project.

Professional Practice Revisited: Assembling the Puzzle at Global Safety Enterprises Trinity Beauregard has been hired to conduct a needs assessment to address concerns regarding inconsistency among business operations and overall productivity. Upon data collection, she has realized that many needs must be addressed by GSE. Trinity’s a little unsure which needs she should ­recommend GSE address first. During her most recent meeting with the CEO, she has asked for a committee to assist with prioritizing the needs.

Connecting Process to Practice 1. Based on the information provided at the beginning of the case, what are some of the needs you might recommend that Trinity and the committee consider addressing first? 2. This chapter reiterated the importance of having the right people involved in a needs assessment. What types of people should Trinity consider including in the project? 3. Think of a project that you have recently completed. If you were to conduct a needs assessment to identify ways you could improve the impact of the project, what criteria might you consider?

Recommended Reading Chen, H. T., & Marks, M. R. (1998). Assessing the needs of inner city youth: Beyond needs identification and prioritization. Children and Youth Services Review, 20(9–10), 819–838. Jackson, K. M., Pukys, S., Castro, A., Hermosura, L., Mendez, J., Vohra-Gupta, S., .. & Morales, G. (2018). Using the transformative paradigm to conduct a mixed methods needs assessment of a marginalized community: Methodological lessons and implications. Evaluation and Program Planning, 66, 111–119.

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Shahin, A., & Mahbod, M. A. (2007). Prioritization of key performance indicators. International Journal of Productivity and Performance Management, 56(3), 226–240. Reisinger, H., Cravens, K. S., & Tell, N. (2003). Prioritizing performance measures within the balanced scorecard framework. MIR: Management International Review, 429–437.

References Altschuld, J. W., & White, J. L. (2010). Needs assessment: Analysis and prioritization. Los Angeles, CA: SAGE. Altschuld, J. W., & Witkin, B. R. (2000). From needs assessment to action: Transforming needs into solution strategies. Thousand Oaks, CA: SAGE. Cavanagh, S., & Chadwick, K. (2005). Health needs assessment: A practical guide. United Kingdom: Health Development Agency. Kaufman, R., & Guerra-Lopez, I. (2013). Needs assessment for organizational success. Alexandria, VA: ASTD Press. Sork, T. J. (1998). Program priorities, purposes, and objectives. In P. S. Cookson (Ed.), Program planning for the training and continuing education of adults: North American perspectives (pp. 273–300). Malabar, FL: Krieger. Watkins, R., & Guerra, I. (2002). How do you determine whether assessment or evaluation is required? In ASTD (Ed.), ASTD T&D Sourcebook (pp. 131–139). Alexandria, VA: ASTD Press.

Aligning Instructional and Non-instructional Solutions

12

Case: Leadership in the Emergency Room Justin Rodriguez is the Director of Emergency Practices at Aranell Hospital. With over 20 years of experience as a nurse manager in emergency medicine, Justin brings a wealth of experience and knowledge to his position that oversees emergency center policies and procedures, patient safety practices, and the training of emergency center staff. In recent months, a number of concerns have been voiced by the nursing staff that there is chaos and confusion when trauma accidents arrive in the emergency room. The nursing staff has shared that it is unclear who is in charge during trauma resuscitations. There have been several incidents where both emergency medicine physicians and surgeons were calling out contradictory commands. After several meetings with leaders in the emergency center, trauma medicine, emergency medicine, and general surgery, it has become apparent to Justin that there is an inherent need to identify and communicate the leadership structure for trauma resuscitations. As he begins to talk with more staff, Justin recognizes that the structure needs to align with accreditation standards set for the emergency center. As he reviews the accreditation standards, it becomes apparent that many documents need to be updated.

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Guiding Questions 1. What is an intervention? 2. What is the difference between instructional and non-instructional interventions? 3. What factors should a needs assessor consider when proposing an intervention? 4. What strategies can a needs assessor utilize to address factors contributing to and inhibiting the current state of performance? 5. What is the client’s role in the identification and selection of proposed interventions?

Key Terms Alignment Communication systems Feedback systems Human resources development interventions Instructional intervention Intervention Knowledge management Needs analysis Non-instructional intervention Work design

System Considerations When Considering Solutions Chapter 4 provided an in-depth view of how important it is for a needs assessor to understand the system. This not only helps with understanding the various constituents, processes, and objects that may be impacted by the current situation, it also provides insight into understanding why gaps exist in the current system. As previously mentioned, each needs assessment project should also account for needs analysis. To recap, needs assessment is the process of determining

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Figure 12.1  Alignment during needs assessment process

the gap between the current state (actual state) or performance and the desired state (future state) of performance. Needs analysis is the process of determining what is contributing to the gap in performance. The process of needs analysis must occur before any interventions can be proposed to a client. While needs assessment is somewhat of a systematic process, it is not linear. Throughout the entire project, the needs assessor must continue to review and confirm the extent to which factors are contributing to the existing needs (gaps in performance) that are being explored. This review continues into needs analysis, where the needs assessor determines why the gaps are occurring in the system. As the needs assessor begins to identify and consider potential interventions to eliminate the gap in performance, they must consider the extent that the proposed interventions are addressing the individual components of the system and the factors currently contributing to the situation at hand. Figure 12.1 demonstrates the alignment between various phases of the needs assessment process.

Differentiating between Instructional and Non-instructional Solutions Upon completion of data collection and analysis, the needs assessment will begin to prioritize the needs of the project, as discussed in Chapter 11. Once needs have been prioritized, the next step is to begin making

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recommendations regarding the types of solutions necessary to minimize the needs. The previous chapter emphasized the importance of prioritizing needs based on the level of urgency, resources available, and ease of implementation. The needs assessor needs to keep these prioritizations at the forefront of their decision-making as they begin to identify appropriate solutions. A theme that has been emphasized throughout several chapters of this book is the need to acknowledge the systemic needs of the situation. Chapters 3 and 4 discuss the importance of understanding the individual components comprising the system. The ability for these components to be productive is directly related to the level of entropy that exists within the system; therefore, the needs assessor must propose solutions that adequately address the levels of entropy and selfregulation of the system(s) directly impacted by the proposed solutions. Chapters 1 and 2 discussed how oftentimes clients will propose solution statements rather than needs statements to the needs assessor during their initial meetings, such as: • “We need training.” • “We need to hire two additional employees to handle customer support.” • “We need a new learning management system to track employee development.” The three statements listed above imply that the client only needs one solution. Upon closer inspection, a needs assessor would be able to determine that these statements do not address any specific needs. It is important to point out that once a needs assessor does arrive at the phase of needs assessment where they will begin to identify solutions, chances are that each need will warrant more than one intervention. It is quite common that clients will assume that training is the required solution, when in reality many studies have explored that training is often not the solution (Klein & Fox, 2004; Klein & Kelly, 2018; Larson & Lockee, 2009). When training is required, the needs assessor should be mindful of what types of supports are needed to support any instructional solutions that may be proposed to the client. Before a needs assessor begins to identify or plan out interventions to propose to their client, they should spend time identifying factors that are currently contributing to the gaps in performance so that they can ensure their proposed interventions address those particular factors; failure to do so will result in a lack of sustainability. Table 12.1 is an example of a tool a needs assessor may want to use to organize the factors contributing to specific needs related to their project.

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Table 12.1  Factors Influencing Project Needs Need

Factors Contributing to Desired State of Performance

Factors Inhibiting Desired State of Performance

Need 1 Need 2 Need 3 Need n

Interventions are “deliberate, conscious acts that facilitate change in performance” (Van Tiem, Moseley, & Dessinger, 2012, pp. 195). The size of an intervention is variable and can be designed to support change at an individual, group, organization, or societal level. When selecting an intervention, several factors are considered, such as the impact of the proposed solution, commitment required to support the intervention, feasibility of implementation, sustainability of the intervention, and resources required (Van Tiem et al., 2012). Interventions, regardless of size, can be classified as either instructional or non-instructional solutions. Instructional solutions are those solutions that require a training component. Any solution that requires face-to-face instruction, the design and development of e-learning modules, or on-the-job training would be considered instruction. Non-instructional interventions are solutions that do not have an instructional component (Sugar, 2014). Table 12.2 provides an overview of examples of instructional and non-instructional solutions. Table 12.2  Overview of Instructional and Non-instructional Solutions Instructional Solutions

Non-instructional Solutions

• • • • •

• • • • • • • • •

E-learning Classroom training Games and simulations On-the-job training Web-based instruction

Communication plans and systems Communities of practice Electronic performance support system Feedback systems Human resource development Job aids Just-in-time support Knowledge management Work design

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A Closer Look at Non-instructional Solutions It is quite common for people to jump to proposing training solutions. One could speculate that that is because training is viewed as an experience that is intended to provide individuals with new knowledge and inform them on how to complete a process or task correctly. A lot of educators, trainers, and instructional designers will resort to proposing instructional solutions because these are the types of interventions they are most comfortable with designing. Electronic performance support systems (EPSS) are “highly sophisticated job aids, offering access to large databases of information designed to coach users via a user-friendly question and answer format” (Van Tiem et al., 2012, pp. 627). These systems are typically put in place to provide answers and guidance on routine tasks. Examples of EPSS may include traditional job aids, procedure manuals, search engines, and computerized wizards to provide just-in-time support (Gery, 1991; Nguyen, 2010). EPSS are used to support existing training initiatives by housing training materials, as well in place of formalized training sessions. Knowledge management is the “process of identifying, organizing, storing, disseminating, using, and maintaining knowledge to support strategic goals” (Haney & Driggers, 2010, pp. 366). Several organizations have investigated their abilities to manage their tacit and explicit knowledge of functions within the organization to leverage performance. It provides a mechanism for gathering data and utilizing it in a way that provides a m ­ eaningful explanation to inform or justify actual and desired states of ­performance. While knowledge management can be used by all organizations, it is particularly helpful in any organization seeking to reduce redundancy, increase inter-departmental relations, and increase overall productivity (Liao & Wu, 2009). Work design interventions typically explore the organizational design of how positions are distributed throughout an organization. Job analysis, the examination of the tasks required of a particular job, is performed to ensure that the expectations surrounding particular tasks and employee expectations are up to date and accurate (Siddique, 2004). It is important to conduct job analyses if an organization is anticipating significant organizational change such as the launch of a new product or process that will impact employees, a merger or an acquisition, or a major shift in the organization’s overall mission.

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Considerations for the Alignment of Instructional and Non-instructional Solutions At the beginning of this chapter, several factors influencing the selection of interventions were introduced. The process of alignment in needs assessment means that there is continuity between each phase of the needs  assessment and needs analysis process. The ultimate goal of any needs assessment is to propose interventions that can minimize or eliminate the factors that are prohibiting individuals within a system from reaching their desired state of performance. With that goal in mind, the needs assessor should take the time to map out their interventions and identify what factors will be impacted upon implementation. While the needs assessor will have an idea of what factors may be affected, this exercise helps to ensure that all factors are being addressed. Upon completion of this exercise, the needs assessor may conclude that one or two factors that are currently prohibiting a desired state of performance are not being addressed by any of the proposed interventions. If that were to occur, the needs assessor would have to determine what additional interventions are needed to mitigate these issues. Table 12.3 provides an example of a chart a needs assessor may utilize when identifying possible interventions. As the needs assessor reviews how they have prioritized the needs of the project, they must take the time to determine what interventions are needed and if any relationships exist between any of the proposed interventions. It is also important to determine if the success of implementing an intervention is dependent on the implementation of a secondary intervention (Bernardez, 2009). Any dependency that may exist among the interventions will ultimately dictate when one intervention may be implemented first. Table 12.4 provides a chart that may be used by a needs assessor to determine an implementation schedule based on the dependency of interventions on others, resources, and level of commitment required by an organization. As the needs assessor begins to identify interventions and the resources required for implementation, they will also have to determine the order of implementation. It is quite common for more than one intervention to be proposed or needed to address a specific project need (or gap in ­performance). Depending on the situation and the types of interventions that are being proposed, the needs assessor may find that one intervention should be implemented well in advance of the others.

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Table 12.3  P  erformance Factors Addressed by Proposed Interventions Intervention(s)

Need 1

Current Factors Enabling Change

Current Factors Inhibiting Change

Interventions Required to Eliminate Factors Inhibiting Change

Intervention 1 Intervention 2

Need 2

Need 3

Need n

Intervention n Intervention 1 Intervention 2 Intervention n Intervention 1 Intervention 2 Intervention n Intervention 1 Intervention 2 Intervention n

This is particularly important when an organization is planning to make significant changes to its current structure. An example of this could be if an organization was planning to train its employees on a new process to be followed at work. Before training being developed and implemented, the organization may also have to make changes to organizational policies and documents, adjust job descriptions, and identify what positions in the organization are required to perform the new processes. If these non-instructional interventions were not addressed before training, there is a high possibility that the training would not be effective. There would be a great likelihood that employees would be confused by the changes because no policies and procedures had been laid out for how to support the content that is being presented in the training modules. The timing of implementation is just as important as the identification of the proposed interventions.

1 2 3 N

Intervention

NEED 2:

1 2 3 N

Intervention

NEED 1:

Type (i.e. Instructional/ non-instructional)

Type (i.e. Instructional/ non-instructional)

Commitment Required

Commitment Required

Resources Needed

Resources Needed

Timeline for Implementation

Timeline for Implementation

Table 12.4  Determining Resources Required to Support Interventions

Additional Interventions Needed for Support

Additional Interventions Needed for Support

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While the needs assessor can often provide an objective viewpoint as they map out potential interventions and align them with factors supporting or prohibiting performance changes, this should not be done in isolation. It is recommended that the needs assessor maintain contact with their client or a designated committee that is aware of the details about the needs assessment. Consultation with the client or designated individuals may provide additional insight into the factors that have been identified by the needs assessor and additional factors that the needs assessor may have not considered while mapping out a plan for implementation. As previously mentioned, the needs assessor and their client must address the level of commitment required and available for implementing each of the proposed interventions. There may be instances when the client will need to strategically plan when they can allocate particular resources to the project. Depending on the costs associated with the intervention, the client may need to implement solutions over an extended period. The client and their designees must take an active role in planning a potential implementation plan as they will most likely be responsible for carrying out the proposed interventions.

Summary As the needs assessor nears the final stages of the needs assessment ­project, they must examine potential interventions they are considering proposing to their clients from multiple perspectives to ensure alignment and goodness of fit between the proposed interventions and the factors influencing the organization’s current state of performance. In many cases, the needs assessor needs to determine what sequence is required for implementing multiple interventions, both instructional and noninstructional, as well as determining the extent that interventions are dependent on the ­implementation of others.

Professional Practice Revisited: Leadership in the Emergency Room As Justin has researched to better understand the leadership structure of the emergency center, it has become apparent that several documents need to be updated to meet accreditation standards. In addition to updating the documents, Justin has realized that he needs to communicate with

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all emergency center personnel the leadership structure during trauma resuscitations. As Justin begins to list what needs to be communicated to the staff, he realizes that this cannot be accomplished with training. More changes are needed. Justin is not quite sure where he should start.

Connecting Process to Practice 1. Without knowing the minute details of Justin’s case, what questions might you have in terms of understanding the hospital’s infrastructure? How might this assist you with developing training or communication with staff ? 2. What are some non-instructional interventions Justin may consider when addressing the confusion surrounding leadership in the emergency center? 3. Think of a time when you were required to complete training. What information was covered in it? Make a list of the non-instructional interventions that were needed to support the efforts of the training. 4. If you were conducting a needs assessment and needed to ­determine the interventions to be implemented, what are some ways you would like to involve your client? What are some particular tasks you would like them to assist with during the needs assessment process that would help you finalize your recommendations?

Recommended Reading Agola, E. A., & Stefaniak, J. E. (2017). An investigation into the effect of job‐aid design on customer troubleshooting performance. Performance Improvement Quarterly, 30(2), 93–120. Gery, G. (1995). Attributes and behaviors of performance-centered systems. Performance Improvement Quarterly, 8(1), 47–93. Humphress, R., & Berge, Z. L. (2006). Justifying human performance improvement interventions. Performance Improvement, 45(7), 13–22. Noruzy, A., Dalfard, V. M., Azhdari, B., Nazari-Shirkouhi, S., & Rezazadeh, A. (2013). Relations between transformational leadership, organizational learning, knowledge management, organizational innovation, and organizational performance: An empirical investigation of manufacturing firms. The International Journal of Advanced Manufacturing Technology, 64(5–8), 1073–1085.

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Rossett, A., & Schafer, L. (2006). Job aids and performance support. San Francisco, CA: Pfeiffer. Sánchez, C. M. (2000). Performance improvement in international environments: Designing individual performance interventions to fit national cultures. Performance Improvement Quarterly, 13(2), 56–70. Scott, W. (2003). Performance improvement interventions: Their similarities and differences. The Journal for Quality and Participation, 26(1), 26. Spitzer, D. R. (1996). Ensuring successful performance improvement interventions. Performance+ Instruction, 35(9), 26–27. Spitzer, D. R. (1999). The design and development of high-impact interventions. In H. S. Stolovitch & E. J. Keeps (Eds.), Handbook of human performance technology (2nd ed.) (pp. 173–180). San Francisco, CA: Pfeiffer. Watkins, R., & Leigh, D. (2010). Handbook of improving performance in the workplace: Vol. 2. Selecting and implementing performance interventions. San Francisco, CA: Pfeiffer.

References Bernardez, M. L. (2009). Surviving performance improvement “solutions”: Aligning performance improvement interventions. Performance Improvement Quarterly, 22(2), 111–127. Gery, G. (1991). Electronic performance support systems. Tolland, MA: Gery Associates. Haney, D., & Driggers, J. T. (2010). Knowledge management. In R. Watkins, & D. Leigh (Eds.), Handbook of improving performance in the workplace: Vol. 2. Selecting and implementing performance intervention (pp. 366–391). San Francisco, CA: Pfeiffer. Klein, J. D., & Fox, E. J. (2004). Performance improvement competencies for instructional technologists. TechTrends, 48(2), 22–25. Klein, J. D., & Kelly, W. Q. (2018). Competencies for instructional designers: A view from employers. Performance Improvement Quarterly, 31(3), 225–247. Larson, M. B., & Lockee, B. B. (2009). Preparing instructional designers for different career environments: A case study. Educational Technology Research and Development, 57(1), 1–24. Liao, S. H., & Wu, C. C. (2009). The relationship among knowledge management, organizational learning, and organizational performance. International Journal of Business and Management, 4(4), 64–76. Nguyen, F. (2010). Electronic performance support systems. In R. Watkins, & D.  Leigh (Eds.), Handbook of improving performance in the workplace: Vol. 2. Selecting and implementing performance intervention (pp. 325–343). San Francisco, CA: Pfeiffer.

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Siddique, C. M. (2004). Job analysis: A strategic human resource management ­practice. The International Journal of Human Resource Management, 15(1), 219–244. Sugar, W. (2014). Studies of ID practices: A review and synthesis of research on ID current practices. London: Springer. Van Tiem, D. M., Moseley, J. L., & Dessinger, J. C. (2012). Fundamentals of performance improvement: Optimizing results through people, process, and organizations (3th ed.). San Francisco, CA: John Wiley.

Enacting Change

13

Case: Looking Forward at Wayneburg Community College Thorben Lancaster is the Program Director of the Department of Human Resources Management (HRM) in the College of Business at Wayneburg Community College. There are approximately 15 full-time faculty who teach in his department and approximately 10 adjuncts that are hired throughout the year on an as-needed basis. The department recently undertook a program self-study, an activity required by Wayneburg to take place every five years, where other individuals teaching in HRM programs throughout the country conducted a SWOT analysis to assist Thorben’s department by making recommendations for the future expansion of their program. The results of the SWOT analysis and program study report include several suggestions for Thorben’s department to make substantial changes to its program, ranging from changing admissions requirements, sequencing of instruction, and modifying existing courses to offering courses that have yet to be developed. Another challenge that arose was that there were several faculty who were teaching material that was outdated and not aligned with current trends and industry standards related to HRM. Thorben sees the potential in the recommendations provided in the report, but he is unsure of how he should proceed. He knows that these changes cannot all take place overnight.

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Guiding Questions 1. What is change? 2. What is the difference between transformational change and incremental change? 3. What is change management? 4. Why does a needs assessor need to be mindful of change management during a needs assessment? 5. What does it mean to be a change agent?

Key Terms Adopters Change Change agent Change management Conflict Culture Incremental change Laggard Organizational change Resistance Systemic implications Transformational change

Chapter Overview This chapter will emphasize how to communicate findings to enact change within an organization. Strategies for how to communicate findings with clients will be presented. Topics related to change management, systemic change, and the diffusion and adoption of change initiatives will also be discussed. This chapter will reiterate the needs assessor’s role during a needs assessment (Chapter 1), as well as how to accommodate and/or address other influencing factors when implementing solutions (chapters 3 and 4).

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What Is Change? Before we explore how a needs assessor should factor change management into their needs assessment process, it is important to revisit the definition of change. While there are a number of variations that exist in the ­literature, a highly recognized definition of change it is “a difference in form, quality, or state overtime in an organizational entity” (Van de Ven & Poole, 1995, p. 512). Any attempt that is made to alter the direction of an activity with an organization is considered a change. The following are examples of change: • An organization decides to divide an existing department into two departments • Mandatory training required of all employees • An automobile supplier decides to stop production of an aftermarket part • A human resources department decides to convert all face-to-face training sessions into e-learning modules • Employee turnover • Increases or decreases to an organization’s operating budget Individuals’ perceptions of change will vary depending upon their level of involvement with the proposed change. Typically, people tend to be more open to change if the emphasis is placed on others having to change their behavior or mindset. When we are required to change, we tend to resist. This is especially true if we are not in agreement with the proposed changes. Change in the workplace often requires individuals to make changes to their routines, behaviors, processes, and familiarity within an organization. There are varying degrees of change that may be implemented at any one time. These are typically categorized as transformational or incremental change (Nutt & Backoff, 1997). Transformational change usually involves a radical change in everyday performance. Radical change is typically implemented on an infrequent basis in an organization. These types of changes are typically more formal than other changes. Examples could be an organization having to conduct massive layoffs due to an economic recession or an organization acquiring another company. Transformational

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change typically occurs when changes are made to organizational leadership, political influences, and access to resources needed for an organization (or system) to function). Incremental changes are often implemented gradually. They tend to be more informal compared to transformational change. These changes often involve frequent adaptation. Examples of incremental change could be a professional organization changing the requirements for certification. It may announce the pending changes months or years in advance and present a plan for how all organizational members can update their certification requirements. Another example of an incremental change could be an elementary school working to gain classification as a STEM school. School administrators may spend several years working with teachers on how they can integrate various STEM activities across all grade levels. They may begin with a few programs or changes and continue to expand on these offerings each year.

What Is Change Management? Once the need for change has been identified and the organization has decided that it is going to move forward with implementing change, the process of change management begins. Change management is “a process whereby organizations and individuals proactively plan for and adapt to change” (Varkey & Antonio, 2010, p. 268). It typically involves the actions taken to assist the transition between the current state of performance to the desired state. Given that needs assessment is the process of identifying the gap in performance between the actual state and desired state of performance, it is very reasonable for the needs assessor to consider elements of change management when preparing recommendations for their client. Figure 13.1 demonstrates the relationship between needs assessment, needs analysis, and change management During the needs assessment, the needs assessor is responsible for identifying the gap between the actual state of performance and the desired state of performance. During this phase of a project, the needs assessor gathers data to understand how an organization, group, or individual is currently performing. They then discuss with their client what their desired state of performance looks like. By cross-referencing the two states, the needs assessment should be able to identify the gap. It is also during this phase

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Figure 13.1  Relationship between needs assessment, needs ­analysis, and change management

that the needs assessor begins to verify that the needs that were initially presented by the client at the beginning of the needs assessment project are the needs in actuality. I emphasize that verifying the needs begins in this phase because it will continue into the needs analysis phase as the needs assessor continues to analyze data and interpret what is occurring within the system. It is also important to remember that the needs assessment process is not restricted to a linear process. Depending on what is revealed during the needs analysis phase, the needs assessor may need to go back and reassess the previously identified gaps in performance. They may also need to modify the needs that were serving as the impetus for the project. With that in mind, a needs assessor should think of this as a recursive process. It is also important to remind the reader that this is dependent on the authenticity of each needs assessment project. Every needs assessment process will be different; therefore, the layers of analysis required are dependent on the nature of the project, the types of needs being explored, and the willingness of the organization to provide the needs assessor with information.

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Phases of Change There are a number of change management models that a needs assessor may consider when implementing planned change (i.e. recommendations that are a result of a needs assessment). While the models presented in this section may vary in the number of steps included in their proposed change management process, they all emphasize the importance of gaining buy-in from individuals within the system and the need to assess an organization’s level of readiness as it relates to the needs for change. Lewin’s Three Stages of Change model (1947) breaks the change management process down to three stages that he has labeled (1) Unfreeze, (2) Freeze, and (3) Refreeze. During the Unfreeze stage, it is important that those responsible for implementing change can ensure that individuals within the organization are ready for the change. The second stage involves executing the planned change, and the third involves ensuring the permanence of the change. Table 13.1 provides an overview of how a needs assessor may address Lewin’s three stages of change during postneeds assessment. A common theme reiterated throughout this book is the need for alignment when conducting a needs assessment. Every needs assessment report should be followed by a meeting with the client to allow the needs assessor an opportunity to debrief their client on the results of the needs assessment. As recommendations are shared, it is helpful if the needs assessor can provide a rationale for their recommendations. This rationale should also be communicated to all members of the system who may be impacted by the recommended solutions or changes. It is also important that the recommendations that are made address the authenticity of the system. This is where the contextual analysis that occurred earlier in the needs assessment impacts post-assessment. Every recommendation should also be accompanied by a plan that will address specific system factors that may contribute to or inhibit the success of the intended changes. During this phase, the needs assessor should work with the client to determine if additional inputs (i.e. resources, human capital) are needed to support the changes being made in the system. When the needs assessor and the client decide to proceed with implementing the proposed recommendations, they should develop a timeline for implementing the recommendations as they relate to the urgency of the needs. As they develop a timeline, they should consider the systemic implications each recommendation may pose for various components or

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Table 13.1  Consideration of Change during Post-needs Assessment Stage of Change

Description of Change

Relation to Post-needs Assessment

Unfreeze

Ensure individuals are ready for change

Freeze

Implementing the planned change

Refreeze

Ensuring the permanence of the change

• Debriefing the client on the results of the project • Providing a rationale for the recommendations to all members of the system • Aligning recommendations with the authenticity of the system(s) components • Developing a timeline for implementing recommendations as they relate to the urgency of the needs • Consider systemic factors that may impact the implementation of the recommendations • Establish timelines for monitoring progress of intended changes • Identify metrics to determine the extent to which change has occurred • Align metrics with needs identified and verified during the needs assessment

processes within the system. Table 13.2 provides an example of an organizational chart to assist with prioritizing the timeline. Once recommendations have begun to be implemented, the needs assessor should work with the client to determine how they intend to monitor the progress of the intended changes. Different recommendations will warrant different metrics and needed checkpoints. Data collected during the needs assessment can serve as a performance benchmark that can be used when determining to what extent change has occurred. It is also important that the metrics that are identified to assess change postneeds assessment should align with the needs that were identified during the needs assessment.

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Table 13.2  Factors to Consider When Designing a Post-needsassessment Timeline Recommendation (Change)

Need

Required Resources

Priority (Low, Medium, High)

Expected Timeline

1 2 3 n

The needs assessor must take the time to verify that alignment exists because the scope of projects may change depending on how long the needs assessment project takes, any delays between the delivery of the needs assessment report and the debriefing session with the client, and any lapses in time before recommendations begin to be implemented in the system. Figure 13.2 demonstrates the process of alignment when establishing metrics to measure change post-needs assessment. As depicted in the image, ensuring alignment is a recursive step in the overall needs assessment process.

Figure 13.2  Ensuring alignment post-needs assessment

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Acknowledging Cultural Implications Associated with Change Chapters 4 and 5 discuss the authenticity surrounding needs assessment projects and the contextualization that pertains to the individual system(s) being explored. Each system has its own unique culture and strategies for working toward the overarching goals of the system. As organizations become more self-regulating, culture is established in terms of expected norms and allowances for obstacles. Chapter 8 discusses the need to obtain data that provides insight into the culture of the organization. The culture consists of the established norms that are typically accepted by members within the system. Before a needs assessor can make relevant recommendations, they must understand the inner workings of the system. Their level of understanding will ultimately impact their ability to align their recommendations with identified needs and establish appropriate metrics to determine if progress is made in ­minimizing any existing performance gaps. Inspired by Lewin’s Three Stages of Change model, Kotter (1996) has outlined an eight-step model to address the cultural implications that need to be addressed during the unfreezing, change, and refreezing stages. The steps include: 1. 2. 3. 4. 5. 6. 7. 8.

Create a sense of urgency. Build the guiding team. Develop a change vision and strategy. Communicate for understanding and buy-in. Empower others to act. Produce short-term wins. Do not let up. Create a new culture.

To obtain buy-in from members of the organization, the needs assessor and the client (or team of individuals responsible for implementing the recommendations) should create a sense of urgency surrounding the needs to be addressed. Members of the organization need to be aware of the performance gaps that exist and urgency for repairing issues related to the functionality of the system. Individuals will be more apt to participate and accept the recommendations being implemented if they have an understanding as to why these changes are needed.

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Kotter (1996) has also cited empowering others to act as a necessary step for implementing change within an organization. This is where it is particularly important to form a team that will be responsible for implementing the changes in the organization. If the needs assessor is the only individual working on planning and implementing the recommended solutions resulting from the needs assessment report, it is highly likely that the recommended changes will fail. Chapter 1 explained the roles of the needs assessor, as a consultant, and the client. The client’s level of involvement is important in that it demonstrates a commitment to the project, as well as providing insight that may assist the needs assessor as they begin to understand the inner workings of the system (Hale, 2006). Their level of involvement is of the utmost importance post-needs assessment when the decision to implement recommended solutions becomes the focal point of the project. Kotter’s last step involves creating a new culture. While existing cultures may not be completely abandoned, they will most likely experience change as the system adapts and accepts the changes that are being proposed and implemented. Drastic changes to the culture of the system are more likely to occur when radical transformational changes occur.

What the Needs Assessor Needs to Know When Making Recommendations Once the needs assessor has completed their data collection and analysis, they must then review the information they have and begin prioritizing how the various needs should be addressed. Chapter 11 provided strategies on ways to organize information regarding each need. This chapter continues this discussion of prioritization through a change management lens. A needs assessor should be mindful of how accepting their client will be in terms of implementing changes to address the needs. While clients may appear willing to conduct a needs assessment and hire a needs assessor to examine their organization and make recommendations, this does not always translate to them being willing to adopt or implement these recommendations. One of the most frustrating things for a needs assessor to experience is having a client ignore their recommendations altogether. At other times, an organization may choose to adopt a few changes, but not all. Sometimes, when this mindset is adopted the changes fail because they were only partially implemented.

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While the needs assessor certainly cannot force a client to implement the recommendations that result from their needs assessment report, they can explain to their clients the rationale behind their recommendations and the rationale for how they have prioritized the needs of the project. There is a saying that people do not know what they do not know. The needs assessor cannot assume that their client is going to understand why certain recommendations are needed or how they may have systemic implementations. The needs assessor should discuss their recommendations regarding how to implement the changes outlined in their recommendations with their clients. It is not just a matter of deciding to implement change; the client needs to provide an environment or infrastructure that can support the new changes. If we were to revisit Chapter 4, about how systems typically function, we would see that actions taken in change management would serve as inputs into the organization to reduce entropy. Table 13.3 provides an overview of actions that can foster or decrease the entropy in a system. One action that can increase the amount of entropy during a needs assessment is the failure to address the culture of the system when implementing recommendations contained in a needs assessment report. If one of the needs is to do a complete overhaul on the organizational Table 13.3  Change Actions and Their Impact on Entropy in the System Change Actions that Increase Entropy

Change Actions that Decrease Entropy

• Failing to align the changes with the accepted culture of the system • Not celebrating short-term wins • Allowing for too many obstacles to occur during the change process • Only implementing a few of the recommended changes • Failure to assemble the right team for leading the change

• Aligning changes with the culture of the system • Identifying and celebrating shortterm wins • Accommodating minor obstacles during the change process • Understanding the systemic relationship among various changes • Assembling a team of individuals who personify change agency

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(or system) culture, the needs assessment must be mindful of the existing culture and how some of the new changes may be internalized by individuals within the system (Alvesson & Sveningsson, 2015). If major changes are to occur to the existing culture, the needs assessor and leaders of the group or organization should consider an incremental approach for how they will integrate changes into the system (Austin & Ciaassen, 2008; de Vries, Ramo, & Korotov, 2009). Instead, the needs assessor and the leaders of the organization should anticipate potential challenges or conflicts that may arise during the implementation of changes within the system. One way that the needs assessor can address this post-assessment is by adopting a mediating role within the organization (Al-Ali, Singh, Al-Nahyan, & Sohal, 2017). During the post-assessment phase of a needs assessment project, the recommendations will typically outline a plan for implementing several changes to address how to minimize the gap between the current state of performance and the desired state. Oftentimes, these changes cannot occur immediately due to several factors. The needs assessor will most likely work with their client to identify a timeline for implementing the changes. When an organization is preparing to implement changes, it may take an extended period before the organization begins to see the results of the changes. One issue that may contribute to increased entropy within an organization is the avoidance of celebrating short-term wins. Successful or improved results from newly implemented changes can be classified as short- or long-term wins. Short-term wins occur when individuals within an organization can see, experience, or benefit from positive change occurring in the system. Short-term wins can occur immediately or within a few weeks or months. Long-term wins occur after changes have been implemented over an extended period. It may take several months or even years before an organization begins seeing the benefits of change. Most recommendations made by a needs assessor will include a combination of suggestions that will yield the potential for both short- and long-term wins. It is helpful for organizations to celebrate the short-term wins that occur post-implementation because it helps to emphasize to the individuals within the system that change was necessary, and it allows leadership to showcase events that are contributing to improved performance. This is especially important to emphasize when the majority of the recommendations will take several months or years to demonstrate major adjustments in performance.

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Celebrating short-term wins also helps improve morale among individuals in the system, as well as motivating them to continue adopting the proposed changes into their daily routines. It can be somewhat discouraging to an individual within a group to continue implementing changes that require them to drastically alter their routine or habits that they have developed. If most of the changes that are to be implemented are going to take several months or years to provide a positive return, individuals within the organization may become frustrated if they are not seeing improved results immediately. Celebrating short-term wins is a way to celebrate the positive changes that have begun to occur within the organization, and motivate individuals to continue to make changes that may take longer to demonstrate improvements. There are always going to be obstacles that will occur when implementing changes in any type of group or organization of individuals. The needs assessor and the organizational leadership need to determine what is an appropriate allowance for obstacles when implementing recommendations made in the needs assessment report. If the allowance is too big and there are too many obstacles occurring during the change process, entropy may increase within the system. This ultimately will have negative consequences on the organization’s abilities to implement changes and may sometimes cause additional problems that will need to be addressed. Another issue that can impose additional hardships on the organization is if the organizational leaders choose to implement a select few of the recommendations that were made by the needs assessor in the needs assessment report. Sometimes clients may choose to only implement the recommendations that will demonstrate an immediate improvement to performance. This can potentially cause more long-term problems depending on whether there are systemic implementations between the recommendations. Taking into account the systemic implications of a proposed change means that changes made to one particular area of a system may impact the performance of other components in the system, either positively or negatively. As outlined in Chapter 11, the needs assessor needs to consider what those implications may be as they begin to prioritize the needs of the project and make recommendations regarding a suitable timeline for implementing those recommendations. Chapter 1 discusses how the success of a needs assessment is dependent upon those who are involved. Cavanagh and Chadwick (2005) say that the individuals responsible for implementing the needs assessment and

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the recommendations resulting from it ought to understand the needs or issues being explored, care about the issues, and have the autonomy to facilitate the necessary changes resulting from recommendations of the needs assessment. Altschuld and Kumar (2010) suggest organizing a needs assessment committee to assist throughout the project from pre- to post-assessment. They recommend that if a decision is made to organize a committee, it should appoint people who represent a balance of stakeholders with interests in the system. The structure of needs assessment committees and the time when they may be formed is dependent upon the nature of the project, the organization, and the resources available to contribute to the committee. While some clients may choose to wait and form a committee to assist with implementing the recommendations during the post-assessment phase, there is significant value to having a needs assessment committee that can meet and deliberate throughout the various phases of the needs assessment. It helps those individuals become deeply familiar with the issues and analyses that emerge from data collection and can provide them with the much-needed insight to prioritize needs and establish an appropriate timeline for implementing the recommendations.

The Needs Assessor as Change Agent Change management is certainly something that is recognized as being a requirement of the needs assessor post-assessment (Stevan & King, 2010); however, it should be noted that the needs assessor’s role post-assessment will ultimately be determined by the client. Some clients will continue to work with the needs assessor during the implementation of changes, while others will choose to implement the changes on their own or hire consultants who are specialized in the areas of the recommendations. Regardless of what their role may be post-assessment, it is beneficial for the needs assessment to embody a change agent whether they are limited to just making the recommendations in the needs assessment report or if they are directly involved in implementing change. A change agent is an individual that promotes change within an organization and contributes to building an infrastructure that can support the changes (Al-Ali et al., 2017; Schabracq, 2007). This may include helping to identify the appropriate people to lead the changes, developing processes to facilitate change, anticipating challenges that may arise during the implementation of changes,

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and identifying metrics to be used to evaluate whether the changes that have been implemented are addressing the initial needs that were identified during the needs assessment.

Overcoming Resistance to Change Very rarely will a needs assessor and the client’s team implement changes that are unanimously accepted by members of the organization. Conflict is described as existing “whenever incompatible activities occur” (Deutsch, 1973, p. 10). Any change, positive or negative, will often pose some degree of conflict to the system. When a needs assessor is faced with conflict when attempting to implement recommended solutions, they must be able to determine where the breakdown is occurring in the system. • • • •

What are the incompatibilities? What is the degree of conflict that exists? Are there particular individuals contributing to the conflict? What resources are needed to mitigate the conflict?

Stevan and King (2010) warn that “regardless of the issue or who is involved, every conflict holds the potential to disrupt, derail, or abruptly halt change” (p. 97). To mitigate conflict that may arise post-needs assessment, the needs assessor needs to rely on their analyses from when they conducted a contextual analysis and identify the possible factors that are contributing to the conflict. Most often, these are components or processes within the system that are not compatible with the proposed changes. Having individuals who are intimately involved with the organization and change serve as the change agents needed to support the recommendations of the needs assessment is pivotal when addressing resistance. These are the individuals that are most likely able to gain credibility with others in the system. Rogers (2003) suggests that there are four types of individuals when it comes to classifying the adoption of proposed change: (1) innovators, (2) opinion leaders, (3) middle adopters, and (4) laggards. Innovators are individuals who are typically highly respected in the organization and are often considered to be forward thinkers. They usually demonstrate a willingness to try new things and are comfortable operating within a certain degree of entropy during the initial stages of change.

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Opinion leaders consist of individuals who hold power and authority with the system. These individuals are often respected within the organization and typically hold a great deal of knowledge regarding how the organization is functioning. Middle adopters are individuals who wait to see how the opinion leaders are going to embrace the changes that are proposed to the organization. This is usually the largest group of the four classifications. Once they see that the kinks are being worked out of the system, they will begin to take a more active role in accepting the change and incorporating those changes into their daily routines and practices within the system. Laggards are individuals that are the most resistive of the four classifications. Individuals in this category are the late adopters, with some never adopting the imposed changes. While the needs assessor and their team should be aware of these individuals and their perceptions surrounding the changes in the organization, it is more important the needs assessment team focuses on how to gain credibility with the middle adopters in the organization, as they represent the majority of the organization ( Jahanmir & Lages, 2016; Uhl, Andrus, & Poulsen, 1970). When addressing resistance, Rogers (2003) suggests communicating the rationale for the proposed changes in regard to relative advantage, simplicity, compatibility, adaptability, and social impact. Relative advantage emphasizes the benefits to be incurred from implementing the change. These benefits may be classified as immediate and long-term benefits. Simplicity relates to the level of difficulty involved in implementing the changes. Changes that are easy to implement will more than likely be more broadly accepted by individuals in the organization. Compatibility addresses how the proposed changes align with existing structures in the system. Changes addressing a higher degree of incompatibility within the system will most likely take longer to implement and gain buy-in from members of the organization. Adaptability emphasizes areas of the system that are to be modified to accommodate the proposed changes to the system. Adaptability determines whether a component or process within the system can be changed without losing its functionality. It is important to recognize that individuals are more apt to adopt the proposed changes if they see the benefits, as well as a high degree of compatibility with and adaptability to the current system. Rogers also suggests that change agents be cognizant of the social impact of the changes they are proposing to the system. By examining the situation through this lens, it is important to recognize the relationships

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that currently exist among key individuals in the system, as well as the relationships that need to be cultivated to support the changes.

Summary This chapter has emphasized the importance of the needs assessment communicating findings in order to enact change within an organization. While the needs assessor’s role may vary from project to project, it is important to recognize factors influencing or inhibiting solutions and maintain open communication with clients and key constituents.

Professional Practice Revisited: Looking Forward at Wayneburg Community College Thorben Lancaster recently received a report from a program study that was conducted to assess how his human resources department programs were operating in comparison to other HRM programs that are offered in community colleges throughout the country. The results of the report offered several recommendations. While some may be implemented within a short time frame, others will take longer and will need to involve many of his faculty. To ensure his team is ready to begin implementing these recommendations, what are some strategies Thorben can employ to ensure their readiness? How should Thorben approach a project timeline for implementing these recommendations?

Connecting Process to Practice 1. Think of a good change and a bad change you have experienced. What were the issues? Why was it a good change? Why was it a bad change? What was your role in the change process? 2. What competencies do you think Thorben must espouse to be a change agent in the case introduced in this chapter? 3. In Thorben were to adopt Lewin’s change management process, how might he approach the Unfreeze, Freeze, and Re-freeze stages? 4. Think back to a change that you experienced in your workplace. How would you describe the change that occurred concerning Rogers’ (2003)

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attributes for promoting change? What were the relative advantages of the change? How did they relate to the system in terms of simplicity, compatibility, and adaptability? What was the social impact on the system’s structure? 5. Implementing change can be a very intimidating experience if it is met with resistance. Make a list of perceived challenges you would be worried about encountering when making changes to organizational culture. After creating your list, look at how you might align the data collection process in a needs assessment project to gather data to support the need to implement change.

Recommended Reading Battilana, J., Gilmartin, M., Sengul, M., Pache, A. C., & Alexander, J. A. (2010). Leadership competencies for implementing planned organizational change. The Leadership Quarterly, 21(3), 422–438. Benn, S., Edwards, M., & Williams, T. (2014). Organizational change for corporate sustainability. Routledge. Burnes, B., & Jackson, P. (2011). Success and failure in organizational change: An exploration of the role of values. Journal of Change Management, 11(2), 133–162. Cameron, E., & Green, M. (2019). Making sense of change management: A complete guide to the models, tools and techniques of organizational change. Kogan Page Publishers. Carter, M. Z., Armenakis, A. A., Feild, H. S., & Mossholder, K. W. (2013). Transformational leadership, relationship quality, and employee performance during continuous incremental organizational change. Journal of Organizational Behavior, 34(7), 942–958. Choi, M. (2011). Employees’ attitudes toward organizational change: A literature review. Human Resource Management, 50(4), 479–500. Erwin, D. G., & Garman, A. N. (2010). Resistance to organizational change: Linking research and practice. Leadership & Organization Development Journal, 31(1), 39–56. Hornstein, H. A. (2015). The integration of project management and organizational change management is now a necessity. International Journal of Project Management, 33(2), 291–298. Hussain, S. T., Lei, S., Akram, T., Haider, M. J., Hussain, S. H., & Ali, M. (2018). Kurt Lewin’s change model: A critical review of the role of leadership and employee involvement in organizational change. Journal of Innovation & Knowledge, 3(3), 123–127.

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Jahanmir, S. F., Silva, G. M., Gomes, P. J., & Gonçalves, H. M. (2019). Determinants of users’ continuance intention toward digital innovations: Are late adopters different? Journal of Business Research. Kaltiainen, J., Lipponen, J., Fugate, M., & Vakola, M. (2019). Spiraling work engagement and change appraisals: A three-wave longitudinal study during organizational change. Journal of Occupational Health Psychology. Kaufman, H. (2017). The limits of organizational change. New York, NY: Routledge. Lewis, L. (2019). Organizational change. San Francisco, CA: John Wiley & Sons. Oreg, S., Bartunek, J. M., Lee, G., & Do, B. (2018). An affect-based model of recipients’ responses to organizational change events. Academy of Management Review, 43(1), 65–86. Oreg, S., Vakola, M., & Armenakis, A. (2011). Change recipients’ reactions to organizational change: A 60-year review of quantitative studies. The Journal of Applied Behavioral Science, 47(4), 461–524. Panayiotou, A., Putnam, L. L., & Kassinis, G. (2019). Generating tensions: A multilevel, process analysis of organizational change. Strategic Organization, 17(1), 8–37. Salmi, A., & Mattelmäki, T. (2019). From within and in-between–co-designing organizational change. CoDesign, 1–18. Sroufe, R. (2017). Integration and organizational change towards sustainability. Journal of Cleaner Production, 162, 315–329. Stouten, J., Rousseau, D. M., & De Cremer, D. (2018). Successful organizational change: Integrating the management practice and scholarly literature. Academy of Management Annals, 12(2), 752–788. Thomas, R., & Hardy, C. (2011). Reframing resistance to organizational change. Scandinavian Journal of Management, 27(3), 322–331. Thomas, R., Sargent, L. D., & Hardy, C. (2011). Managing organizational change: Negotiating meaning and power-resistance relations. Organization Science, 22(1), 22–41. Van de Ven, A. H., & Sun, K. (2011). Breakdowns in implementing models of organization change. Academy of Management Perspectives, 25(3), 58–74.

References Al-Ali, A. A., Singh, S. K., Al-Nahyan, M., & Sohal, A. S. (2017). Change management through leadership: The mediating role of organizational culture. International Journal of Organizational Analysis, 25(4), 723–739. Altschuld, J. W., & Kumar, D. D. (2010). Needs assessment: An overview. Los Angeles, CA: SAGE.

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Alvesson, M., & Sveningsson, S. (2015). Changing organizational culture: Cultural change work in progress. New York, NY: Routledge. Austin, M. J., & Ciaassen, J. (2008). Impact of organizational change on organizational culture: Implications for introducing evidence-based practice. Journal of Evidence-Based Social Work, 5(1–2), 321–359. Cavanagh, S., & Chadwick, K. (2005). Health needs assessment: A practical guide. UK: Health Development Agency. de Vries, M. K., Ramo, L. G., & Korotov, K. (2009). Organizational culture, leadership, changes and stress. In C. L. Cooper, J. C. Quick, & M. J. Schabracq (Eds.), Interational handbook of work and health psychology (3rd ed., pp. 411–426). Chicester, UK: Wiley-Blackwell. Deutsch, M. (1973). The resolution of conflict: Constructive and destructive processes. New Haven, CT: Yale University Press. Hale, J. (2006). The performance consultant’s fieldbook: Tools and techniques for improving organizations and people (2nd ed.). San Francisco, CA: Pfeiffer. Jahanmir, S. F., & Lages, L. F. (2016). The late-adopter scale: A measure of late adopters of technological innovations. Journal of Business Research, 69(5), 1701–1706. Kotter, J. P. (1996). Leading change. Boston, MA: Harvard Business School Press. Lewin, K. (1947). Frontiers in group dynamics: Concept, method and reality in social science; Social equilibria and social change. Human Relations, 1, 5–41. Nutt, P. C., & Backoff, R. W. (1997). Facilitating transformational change. The Journal of Applied Behavioral Science, 33(4), 490–508. Rogers, E. M. (2003). Diffusion of innovations (5th ed.). New York, NY: Simon & Schuster. Schabracq, M. J. (2007). Changing organizational culture: The change agent’s guidebook. San Francisco, CA: John Wiley & Sons. Stevan, L., & King, J. A. (2010). Needs assessment: Taking action for change. Thousand Oaks, CA: SAGE. Uhl, K., Andrus, R., & Poulsen, L. (1970). How are laggards different? An empirical inquiry. Journal of Marketing Research, 7(1), 51–54. Van de Ven, A. H., & Poole, M. S. (1995). Explaining development and change in organizations. Academy of Management Review, 20, 510–540. Varkey, P., & Antonio, K. (2010). Change management for effective quality improvement: a primer. American Journal of Medical Quality, 25(4), 268–273.

Embracing Design Thinking to Manage Project Constraints

14

Case: Considering Solutions for the Displaced Freya Williams is a social worker at a wellness center for home-insecure individuals. The majority of her clientele are homeless and rely on access to homeless shelters. Freya’s organization does not provide overnight shelter, but it does coordinate resources with some shelters in the local area. Freya’s office develops several programs to aid individuals who are home-insecure, such as identifying sources of aid, providing clothes for job interviews, providing space for individuals to bathe, and other professional skills programs. Recently, Freya has been informed that it will have to cut the organization’s operating budget by 25 percent. Before the organization makes any cuts to projects, staff, or resources, her boss has asked her to conduct a needs assessment to determine what are the high-priority needs of the center.

Guiding Questions 1. What is design thinking? 2. How can a needs assessor demonstrate empathy during a needs assessment? 3. Why is it important for a needs assessor to develop prototypes? 4. How does the process of ideation align with data analysis during needs assessment? 5. How can a needs assessor establish boundaries for a project?

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Key Terms Design thinking Ideate Prototype

Chapter Overview This chapter will explore how learners can use principles of design thinking to manage project constraints that are presented during a needs assessment. Emphasis will be placed on how practitioners can manage uncertainty and ambiguity during projects and take control of the system by imposing their constraints throughout a project.

Addressing Project Constraints in Needs Assessment A needs assessor may find themselves feeling as though they are juggling many roles and responsibilities when conducting a needs assessment. While they are accommodating the client’s perceived and felt needs and navigating an appropriate path to collect data within a system, additional information emerges that sheds new context on the situation. This book has attempted to provide some tools to support the needs assessor at varying phases of a needs assessment project. These tools can be leveraged to their fullest potential if the needs assessor has an appropriate mindset to navigate the situation. A needs assessment will inevitably include complexity and require the needs assessor to operate amidst uncertainty and ambiguity. It cannot be avoided; however, there are strategies a needs assessor can rely on to assist them with navigating through the complexities of the project. The concept of design thinking promotes a philosophy toward problem-solving that can assist the needs assessor in connecting with the context and brainstorming viable solutions that are aligned with the needs of the situation.

What Is Design Thinking? Design thinking is a philosophy that tasks individuals to demonstrate empathizing, defining, ideating, prototyping, and evaluating while solving problems (Brown & Wyatt, 2010). Design thinking does not consist of a

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linear or systematic process; rather, it emphasizes the need for continual monitoring throughout a project. While design thinking has its origins amidst several different design disciplines, such as engineering, architecture, and human factors, it has gained prevalence in many different businesses and industries outside of traditional design disciplines. Any project or situation that warrants problem-solving can benefit from an individual employing design thinking to facilitate the project. As previously mentioned, design thinking is comprised of five elements: 1. Empathizing. This involves an individual attempting to understand their audience’s needs. By empathizing with their audience, the problemsolver will be better positioned to design a solution that is customized and relevant. 2. Defining. This involves defining the situation. Too often, individuals have a sense of what is causing a problem. Defining the actual problem to be addressed helps the individual engaged in problem-solving to establish boundaries around the project. 3. Ideating. The process of ideating involves brainstorming all possible solutions for solving the problem. At this phase, the individual working to solve a problem will not discount ideas due to time, costs, or allocation of resources. The goal is to brainstorm as many possible ideas and then evaluate them based on feasibility. 4. Prototyping. Once a solution has been identified, it is recommended that a prototype is developed. This does not necessarily have to be a threedimensional image or model; depending on the situation, it can be a draft or pilot of the possible solution. The purpose of prototyping is to obtain feedback before the solution is finalized. 5. Evaluating. This last component of design thinking requires an individual to share their prototype with others and obtain feedback. This allows the individual to consider what worked well and what needs improvement.

Prevalence of Design Thinking in Structuring a Needs Assessment In many ways, a needs assessor can think of himself or herself as a designer. They are ultimately responsible for designing an infrastructure to define a problem, identify probable causes, and provide recommendations to a

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client. As this book has emphasized the importance of context throughout a needs assessment, a design-thinking mindset can help a needs assessor connect with their project and work toward achieving alignment between various activities of assessment and analysis. Chapter 5 provided an in-depth look at how contextual analysis is important for a needs assessor to obtain a clear impression of what is occurring in a system. This allows the needs assessor to understand what factors are contributing to or inhibiting performance within the system. It also helps the needs assessor see the connections between various components (people, processes, objects) and their interactions. Empathizing with the audience (or project constituents) can help the needs assessor maintain sight of the human elements associated with the project. It can become very easy to forget the humanistic aspects of projects once data collection begins and the needs assessor is engaged in data analysis. Not only does the act of empathizing help the needs assessor to connect with individuals within the system, but it also helps them deepen their understanding of what others are experiencing with the system. This ultimately impacts the types of recommendations they may suggest to their client. Defining the problem is something that the needs assessor completes early in the needs assessment process and continues to monitor throughout a project. While the initial problem is identified at the beginning of a project when they meet with a client, the needs assessor is responsible for verifying that the initial needs are the actual needs. This is verified through data collection and analysis. Defining the problem also assists the needs assessor by establishing boundaries around the project. Depending on the size of the organization or environment where the problem is occurring, defining the scope of the project can help identify the parameters and the reach expected of the needs assessor and their team; thus, limiting the possibility of scope creep. This will also inform the types of data sources included in data collection and can pose limitations for how much data the needs assessor needs to consider for purposes of the needs assessment. The needs assessor naturally ideates formally and informally throughout the needs assessment process. The formal ideation process occurs upon completion of data analysis. Utilizing means-methods and cost-consequence analyses allows a needs assessor to allocate specific amounts of money and potential associated risks with each possible solution. The needs assessor may also be informally ideating as they participate in data collection and analysis; however, they need to

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be careful that they do not jump to conclusions and begin formalizing recommendations until after data analysis is complete (Kaufman & Guerra-Lopez, 2013). This could potentially hinder the outcomes of the project by not adequately aligning solutions with factors identified and verified during data analysis. Prototyping, in design thinking, requires an individual to develop a prototype of a possible solution. The act of prototyping occurs in several different ways during a needs assessment. There may be times when the needs assessor will draft data collection instruments and share with the client to receive feedback. If the needs assessor is looking to conduct direct observations, they may develop a prototype of the documentation tool they plan to use for subsequent observations. Think-aloud protocols may also be used to understand what individuals within an organization are doing when performing tasks. Depending on the goals of the needs assessment project and the expectations of the needs assessor’s involvement in post-assessment activities, prototypes may also be used for introducing potential solutions to a client. There may be some instances where the needs assessor will know at the beginning of the project that they are expected to assist with the implementation of any solutions that are a result of the needs assessment findings. At other times, they may know that other individuals will be responsible for implementing solutions post-assessment. If a needs assessor is aware that they will be involved in implementing recommendations post-assessment, they may elect to develop drafts or materials to share with the client that would give insight into what the final solutions might address. This would provide the opportunity for the client to give feedback on the types of solutions being proposed and open the discussion for other contextual factors that may need to be considered during implementation. The last component of design thinking, evaluation, would consist of the needs assessor soliciting feedback on prototypes throughout the project. In addition to any prototypes that may be designed during a needs assessment project, the needs assessor is continuously seeking input and feedback throughout various phases of the project. The needs assessor must maintain open communication with their client and key constituents involved with the project to accommodate any additional information that may arise that will require adjustments to be made to the previously identified project needs. It also helps to ensure that the individuals involved in the needs assessment are aware of the project activities.

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Summary Needs assessments pose several challenges for needs assessors in that they are tasked with managing a lot of incoming information and trying to make sense of the data to inform project recommendations. Adopting a design-thinking mindset can support the needs assessor in maintaining an awareness of the human aspects of the project. It also helps support alignment between phases of problem-solving, the customization of solutions, and the importance of communication that are inherent to the success of any project.

Professional Practice Revisited: Considering Solutions for the Displaced During her needs assessment, Freya reviews enrollment numbers for different programs and classes that are offered at her center. While numbers are higher in some classes, Freya believes that some of the lower-enrolled courses are of a higher priority. How might she engage in design thinking while working on this needs assessment?

Connecting Process to Practice 1. If you were Freya, what are some questions you might ask to learn more about the differences between the higher- and lower-enrolled courses? 2. What are some ways a needs assessor could demonstrate empathy during a needs assessment? How might this support the project? Is there ever a concern that it could hinder the outcomes of a project? 3. What are strategies a needs assessor could use to remain objective while engaging with their needs assessment audience?

Recommended Reading Bjögvinsson, E., Ehn, P., & Hillgren, P. A. (2012). Design things and design thinking: Contemporary participatory design challenges. Design Issues, 28(3), 101–116. Brown, T., & Katz, B. (2011). Change by design. Journal of Product Innovation Management, 28(3), 381–383. Buchanan, R. (1992). Wicked problems in design thinking. Design Issues, 8(2), 5–21.

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Collins, H. (2013). Can design thinking still add value? Design Management Review, 24(2), 35–39. Cooper, R., Junginger, S., & Lockwood, T. (2009). Design thinking and design management: A research and practice perspective. Design Management Review, 20(2), 46–55. Coyne, R. (2005). Wicked problems revisited. Design Studies, 26(1), 5–17. Dorst, K. (2011). The core of ‘design thinking’ and its application. Design Studies, 32(6), 521–532. Dunne, D., & Martin, R. (2006). Design thinking and how it will change management education: An interview and discussion. Academy of Management Learning & Education, 5(4), 512–523. Fischer, M. (2015). Design it! solving sustainability problems by applying design thinking. GAIA-Ecological Perspectives for Science and Society, 24(3), 174–178. Jeong, I., & Shin, S. J. (2019). High-performance work practices and organizational creativity during organizational change: A collective learning perspective. Journal of Management, 45(3), 909–925. Li, M. (2002). Fostering design culture through cultivating the user-designers’ design thinking and systems thinking. Systemic Practice and Action Research, 15(5), 385–410. Mahmoud-Jouini, S. B., Midler, C., & Silberzahn, P. (2016). Contributions of design thinking to project management in an innovation context. Project Management Journal, 47(2), 144–156. McDonagh, D., & Thomas, J. (2010). Rethinking design thinking: Empathy supporting innovation. Australasian Medical Journal, 3(8), 458–464.

References Brown, T., & Wyatt, J. (2010). Design thinking for social innovation. Development Outreach, 12(1), 29–43. Kaufman, R., & Guerra-Lopez, I. (2013). Needs assessment for organizational success. Alexandria, VA: ASTD Press.

Index

acceptance 140–2 adopters 187–9 alignment 156–7, 166–7 behavioral engineering model; application of 77 causal analysis 21, 75–6, 132 central tendency 129 change 175; overcoming resistance 187–9; phases of 178–9 change agent 186–7, 189 change management 176–9, 182–3, 186 choices 140–2 closed system 49–50 construction 140–2 consultant 7–9; expectations of 8–10; role of 91–2 context 59–60; types of 64–66 contextual analysis 59–60; role of contextual analysis in needs assessment 61–3 contextual factors 63–5; strategies for examining 68 correlations 130–1 cost-consequence analysis 133–4 culture 60–1; acknowledging cultural implications 181–2

critical incident technique 36–7 critical needs 27, 36–7 Data analysis 21, 131; strategies for explaining 132–5 data collection 20–1 data collection protocols 108–10 data source 19–20; identifying 105–7 decision; types of 140–2 decision theory 31, 40–1 decision-making theory: goal of 140 deductive coding 131 descriptive statistics 128–9 design thinking 194–195; prevalence of 195–7 direct observation 110–2 document analysis 115–6 entropy 39, 49, 51–2, 62, 99, 150, 163, 183–7 environmental analysis 63, 67, 77 ethical considerations 107–8 extant data 30 external consultant 8 evaluation 140–2 feedback systems 164 felt needs 18, 27, 35, 97, 194

Index  201

focus groups 117 force-field analysis 134–5 front-end analysis 74, 77 general systems theory 31, 39, 41, 48, 60, 97, 139 high-priority needs 153 human needs theory 31–3, 41, 60, 97, 139 human resources development interventions 143 incremental change 175–6 inductive coding 131 inferential statistics 128–9 inputs 50–2 instructional context 66–7 instructional intervention 164–6 internal consultant 8 intervention; performance factors addressed 166–7 interviews 117; protocol 118 low-priority needs 152 mean 129 median 129 methods-means analysis 133 mode 129 model; heuristics for selecting 82–4 moderate-priority needs 153 naturalistic decision-making 140–5 need 3, 28–9 needs assessment 4–5, 16–7 needs analysis 7, 17 need statements 29 nine variable framework 80 non-instructional intervention 164–7; considerations for alignment 166–7 normative needs 35, 43

open system 49–50 outputs 50–2 organizational elements model 78–79 orienting context 64 participant observation 112–4 perceived needs 27, 194 performance analysis 74, 77, 79–84 performance analysis flow diagram 79–80 performance pyramid 81 prioritization; methods; 154 problem identification 18–19 project management 93–4; needs assessor’s role 94–5; steps to managing a project 97–100 project manager 93 recommendations 21–2; making recommendations to clients 22, 31 rejection 140–2 standard deviation 130 strategic management 96, 100 surveys 119; types of questions 118–9 SWOT analysis 134 systemic implications 39, 52, 60, 81, 97, 163, 178 systems 39, 47–9; components of 50 technical skills 96 theoretical framework 29–30 three-phase needs assessment model 81–82 transfer context 65–7 transformational change 175–6 triangulation 61, 122, 132 variability 130 variance 130 work design 164–5