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Chapter 1 Needs Assessment
and Performance ImprovementWhat’s in This Chapter?
• Howtoclearlyjustifyyourorganization’sdirection
• Understandingyourassessmentchoicesandhowtorelatemeansandends
• Defining“needs”asagapinresults,notamethods,means,orresourcediscrepancy
• Therelationshipbetweenneedsassessmentandevaluation
• Howtoensurestakeholderparticipationandbuy-in
FindingYourWayItisimportanttomakecertainthatyouandyourorganizationareheadedintherightdirection;
thismeansthatyouhavejustifiedexactlywhereyouareheadedandyouknowhowtotellwhen
youhavearrived.Findingtherightdirectionisabsolutelyvital.Thischapterprovidesthebasic
conceptsandtoolstoassurethatwhenyoudoneedsassessment,youhavevalidandreliable
datauponwhichtomake,andjustify,decisions.
Theprecisedefinitionofwordsandconceptsareabsolutelyvital,andevenifsomewords
sound familiar,weprovideuniquedefinitions formany. It ismore thansemanticsandbeing
preciseiscentraltoyoursuccess.
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Introduction:SettingtheRightDestinationMostjourneyswetakeareconsideredsuccessfulifwearriveattherightplace,attherighttime,
andingoodcondition.The“rightplace”isvital.Identifyingwhereyoushouldheadandjustifying
why you should get therewill provide youwith the critical data uponwhich to do planning,
design,development,implementation,andmonitoringandevaluation.Likewise,performanceis
notmerelyaboutwhatwedoorhowwedoit,itisfirstandforemostaboutaccomplishments(or
“arriving”atadesiredandappropriatedestination).
Whenwetalkabout improvingperformance,wearetalkingabout improvingouraccom-
plishments,theresultsofwhatwedoandhowwedoit.Itdoesuslittlegoodtoimprovewhat
wedoandhowwedoit,ifitdoesn’timprovetheresultswewanttoaccomplish.First,wedefine
theresultswewanttoaccomplish;andthenweconsiderwhatweshoulddoandhow,inorder
toaccomplishthem.Andthatiswhereneedsassessmentcomesin.Itprovidesconcretedataon
whereyoushouldhead,whyyoushouldgothere,andhowtotellwhenyouhavearrived.Here
aresomejourneytipsandthoughtstoconsider.
Avoid flaws in conventional thinking and models. If thereisauniversalmistakein
howorganizationsdecidehowtoimprovetheireffectivenessandefficiency,it’sthattheytend
tostartdevelopmentwithoutaproperreviewto:
•Ensurethattheirobjectives(includingvisionsandmissions)arestillappropriateandhaveenoughspecificitysothatpeoplecanappropriatelyplantomeetthem.
•Providerigorousandclearcriteriaformanagement,development,evaluation,andcontinualimprovement.Conventionalpracticefororganizationalimprovementdeniesitselfthedataaboutwheretheorganizationshouldbegoing,howtoknowwhenitishavingsuccess,andhowtomanageimprovementintheorganization.
Ananalogymightbe ifanairliner left itshomeairportwithnobetterguidancethan“to
haveagoodtriptoSanDiego,”withoutapractical,tangible,andagreeduponnavigationplan
forgettingthere.Conventionalpracticevaluesquickactionundertheguiseofdecisiveness,and
often,quickactionleadstocostlymistakes.Quickactioninandofitselfisnotabadthing,ifit
doesn’tentailpickingsolutionsbeforeunderstandingproblemsandopportunities.
Start with a needs assessment to provide the data for front-end alignment to en-
sure you’re going to the right place.Thefirstactionproposedinthisbookisapragmatic
needsassessment.Theapproachinthisbookwillremedytheproblemslurkingincurrentap-
proaches by focusing on useful ends defined inmeasurable performance terms. If someone
didn’tchallengethestatusquoinmeasurableterms,wewouldstillbelivingonaflatearth.This
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bookdefersapproaches,methods,means,activities,andtoolsuntilallorganizationaleffective-
nessandimprovementpartnerscanmeasurablyarticulate,justify,andcommunicatewhereto
headandwhygothere.Thisapproachavoids“solutionsinsearchofproblems”andstartingout
a journeywithvaguenotionsofwheretohead(forexample,“beworldclass,”“excellence,”
“delightedcustomers,”“becomenumberone”).
Aseriousorganizationmeasurablydetermineswhereitisandshouldbeheaded,andthen
concernsitselfwitharrivingontimeandingoodcondition.Thenitdecidesonhowtogetthere.
Allthreeareimportant,butfirstandforemostwedefine“wheretohead.”
Thesensibleroadmapforasuccessfuljourney—formeasurablyimprovingwhatyourorga-
nizationcontributes—isbasedonthegeneralperformanceimprovementprocess:Assessment,
Analysis,Design,Development, Implementation,andEvaluation (AADDIE) (Guerra,2003),de-
pictedinFigure1.1.ThisisamoreresponsiveframeworkthantheconventionalADDIEframe-
workbecauseitdoesn’tassumethatoneknowswhattoanalyze,butfirstassesseswhereone
shouldhead.
Themajoremphasisofthisbookisonneedsassessment,causalandothertypesofanalyses,
aswellastheongoinglinkagefromneedsassessmenttoevaluationandcontinualimprovement.
Choosingtheproperdestinationfororganizationalimprovementandorganizationaleffec-
tiveness involves change, choices, and consequences (Kaufman, 2006). Change is inevitable
anditisamatterofwhetheryoubecomethemasterofchangeorthevictimofit.Thisleadsto
choices:Doyouchoosetocreateanewandbetterfutureorjustreacttoit?Andthenthereare
consequencesofyourchoicesaboutthechange.Doyoumeasurablyaddvaluetoyourorganiza-
tionordoyousubtractvalue?
Thechoicesare yoursandyourorganization’s tomakeand theconsequencesare yours
torealize.Hesitanttomakechoices?Notmakingadecisionisadecision(Greenwald,1973).
Whenfacinguncertainty,whichseemstoalwaysbewithus,managementexpertPeterDrucker
advisesus,“Ifyoucan’tpredictthefuture,createit.”Thisapproachtoneedsassessmentwill
allowyoutodefineandcreatethebetterfutureforyouandyourorganization.Andthatmeans
tangiblydefininganddeliveringsuccess;successthatyoucanprove.
Defining and arriving at the right place (at the right time and in the right condition) is
facilitatedbyneedsassessments.We’lldefinewhatthatisandthentellyouabouttheunderlying
conceptsandtoolsthatcanhelpyoudeliverorganizationalimprovementandsuccess.
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Figure 1.1 AADDIE Model
Implementation• Prepareforchange• Implementsolutionsandmanagechange
Development• Producesolution/meansbasedondesignspecifications• Formativelyevaluateandmodifysolution/means
Design • Selectorderivesolutions/meansbasedonsolutioncriteria
Analysis• Identifycausesforgaps• Identifysolutioncriteriabasedongaps
Assessment• Identifygapsinresults(WhatIsvs.WhatShouldBe)• Prioritizegapsbasedonthecostsandconsequences
Evaluation and Continual Improvement
• Formativelyevaluateprogressandreviseasrequired• Summativelyevaluateimpactandcontinuetoreviseasrequired
Endsvs.MeansMeasurableperformance improvementstartswith identifying theendswewant toaccomplish
(not themeansweprefer) and thendeterminingour currentpositionwith regards to those
ends.Thedistinctionbetweenendsandmeanscannotbeoverstated.
•Endsareresults,impacts,andconsequences.Theyarewhathappensafterweuseanddosomething.
•Means arethewaysweachieveends.Theyarethehow-to-doit.
Both are important, related, and different. Ends definewherewe should finish and the
means(therightmeans)getusthere.Figure1.2furtherdefinesthesetwoimportantelements.
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Figure 1.2 Differentiating Ends vs. Means
ENDS are the results, impacts, or accomplishments we get from applying the means. They are what is achieved.
MEANS are the way in which we do something. They are processes, activities, resources, methods or techniques we use to deliver a result.
What’s the Difference?
MEANS
MEAN
NDS
END
Source:Kaufman,R.(2011).The Manager’s Pocket Guide to Mega Thinking and Planning.Amherst,MA:HRDPress.
WhatIsaNeed?Ifwearegoing toassessneeds,anduse them tosetourdirectionandplanning toachieve
organizationalsuccess,let’sdefinesometerms.First,let’sdefine:Whatisaneed?Aneedisa
gapbetweencurrentresults(andconsequences)anddesiredresultsandconsequences.
Figure1.3illustratesthisdefinitionofaneedasagapbetweencurrentanddesiredresults
andtheconsequencesofthatgap.
The Inherent Conflict of Language Ordinary language usage provides a challenge for conducting a useful needs assessment.
Commonusageof“need”oftentakesustosolutions—weneed moremoney,weneedmore
time,weneedmorepeople,weneedtooutsource,weneedtoreorganize—andthisalways
leadsustoselectingandapplyingsolutions(moretime,moremoney,etc.)beforeweknowthe
problemandbeforeweknowwhatresultsweshoulddeliver.Thus,without thinking,people
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unknowinglyjumpintosolutionsbeforedefiningandjustifyingaproblem(aproblemisaneed—a
gapinresults—chosenforreductionorelimination).Thisbookhasanemphasisonresultsand
relevantevidence.Thequickwayforyoutobesuccessfulatneedsassessment—andmaintain
astrategicfocus—istoactontherealizationthatneed is a noun: a gap between current
results and desired results. It is not a verb.
Figure 1.3 Definition of Need
Needs, Ends, Means
• First select the NEEDS, then (and only then):
• Identify and select the means, solutions, or processes to close the gap in results.
Needs
Current Results
DesiredResults
ENDS ENDSMEANS
Source:Kaufman,R.(2011).The Manager’s Pocket Guide to Mega Thinking and Planning.Amherst,MA:HRDPress.
Ifweuseneedasanoun,wewillbeabletojustifybothusefulobjectivesaswellaswhat
wedoanddeliver.Wewillbeabletoprovidevalidrationaleandevidenceforeverythingweuse,
do,produce,anddeliver.Itistheonlysensiblewaywecandemonstratevalueadded.
By jumping into a solution (ameans,methods, intervention, technique, or tool) through
theuseofneed as a verb, disagreementsoftenbeginaboutwhat peoplewant, rather than
focusingstakeholdersonwhatmustbeaccomplished.Wecanarguealmostendlesslyabout
whichmeans is better—training, Six Sigma, benchmarking, technology—ifwe don’t define
whichgapinresultsafavoredmeanswillclose.Toreduceconflictandthepracticeofselecting
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solutionsinsearchofproblems,gobacktobasics:Firstdefinetheneeds(asgapsinresults)and
thenconsiderandselectthemeanstoclosethosegapsinresults.
The Need WordNeedisanoverusedword.Justlistentoeverydayconversation,includingperhapsyours.And
thewaythewordisusedconventionallyinneedsassessmentoftenleadsonetomeansbefore
definingandjustifyingtheendstobeaccomplished.Peopleconfuseneedsandwants(endsand
means)allthetime.Andtheconsequencesofgettingtheseconfusedarenotpretty.Everheara
familymembersaythingslike:
I need a new car.
I need more time.
I need him/her.
I need more technology.
I need more people.
I need a new dress/suit.
I need to go to the mall.
I need more money.
Thedifferencebetweenendsandmeansisclear,butitbecomesblurredwhenweuseneed
asaverb.Whenyouuseneedasaverb,itisverydemandingandtakesawayyourchoices.There
arenolongeroptions,justthesolution(moremoney,moretraining,morebenchmarking,new
technology)thathavebeenpre-selected.Thus,peopleareconstantlypickingsolutionsbefore
theyknowtheproblems.
Nowthatwehaveadefinitionofneed—agapinresults—wehavethebasisforstartingto
determinetheobjectivesforourorganization;foreverythingweuse,do,produce,anddeliverin
termsofaddingvalueoutsideourorganization;fordefiningandjustifyingtherightplaceforus
toheadandarrive.Thetoolforthisisneeds assessment.
WhatIsaNeedsAssessment?Aneeds assessment identifiesgapsbetweencurrentanddesired results—notmeans—and
placesthoseinpriorityorderonthebasisofthecoststomeettheneedsascomparedtothe
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coststoignoretheneeds.Thesegapsarecalledneeds,andneedschosenforresolutioncanalso
bereferredtoasproblems.Bydefiningneedasthegapbetweencurrentandrequiredresults,
wehavethebasisforjustifyingnotonlywhereweshouldheadbutalsotheevidenceforproving
the costs ofmeeting the need—getting to the ‘right’ destination—aswell as the costs for
ignoringtheneed.Wehavetooperateinanenvironmentoftrust,andtrustisbestbuiltthrough
objectiveevidence.
Definingneedasagapinresultsprovidesatriplebonus:
•Youdetermine“whatshouldbe,”whichisderivedonthebasisofperformancedata;thisbecomesyourobjectives.
•Youhavethebasiccriteriaforevaluation;youonlyhavetocomparethenewdistancebetweenWhat IsandWhat Should Bebasedontheneedsidentifiedandjustified.
•Youhavethebasisforunimpeachableproposalsbecauseyoucanprovideboththeconventional“costtomeettheneed”withthe“coststoignoretheneed.”
Takingthisapproachhasanadditionalorganizationalpoliticalbenefit.Ifyouprovidesuch
datainaproposalanditisturneddownbythepersonmakingtheprojectdecision,thenany
responsibilityforfailureandtheconsequencesshiftsawayfromyou.
NeedsAreNotWants,andMeansAreNotEndsItiscriticaltounderstandthatthereisawiderangeofperceptionsaboutwhatiscalledaneed
oraneedsassessment.Infact,manyso-calledneedsarenotneedsatall,butpreferredwants.
Likewise,manyso-calledneedsassessmentsarenotneedsassessments,butratherasurveyof
wants.Forexample,pickingtrainingasasolution,andthenaskingyouremployeestocomeup
with10reasonswhytheyneed trainingorinwhatareastheywouldliketrainingisnotaneeds
assessment.Thisisanexampleofhowtojustifypreferredsolutionsthroughincompletedata(in
thiscase,popularwants)withoutfirstcollectingevidenceaboutrealgaps,actualcausalfactors,
andarangeofrelevantoptions.
NeedsAssessmentvs.Needs(orPerformance)AnalysisVariations of this process have also been referred to as performance analysis (International
SocietyforPerformanceImprovement,2011;Pershing,2006),orassumedtobepartofafront-
endanalysis(Harless,1975),orafiguringthingsout(FTO)study(ZemkeandKramlinger,1982).
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However,wecautionaboutblurringassessmentwithanalysis, asoneseeks to identifygaps
inresults,whiletheotherseekstounderstandtherootcausesandessentialelementsofsuch
gaps.IfwerefertoabasicWebster’sdefinitionofanalysis,wefindthatanalysisisdescribedas
theprocessofstudyingthenatureofsomethingordeterminingitsessentialfeaturesandtheir
relations.Inthissense,bothneedsassessmentandneedsanalysisarepartofanessentialand
preliminarystageinanylearningandperformanceimprovementeffort.
Needsassessmentprovidesdataaboutgapsinresults,andthereforesetsuptheevaluation
frameworktobeusedwhenevaluatingthesolutionsthatwereimplementedtoclosesuchgaps
(Guerra-López,2008).Needsanalysisshouldcomeafteraneedsassessmentinordertoprovidedata
aboutthecausalfactorsofthegaps,andthereforecriticalinputaboutwhatsolutionalternatives
shouldbeconsideredtoclosesuchgaps.Indeedanalysisisanimportantandsupportingaspect
ofevaluation—andallperformanceimprovementphases—asoneshouldalwaysseektobetter
understandgapsbetweenWhatIsandWhatShouldBe(orwhatwasintended).
TrainingNeedsAssessmentCaveatItisalsoworthnotingthedistinctionbetweenaperformance-basedneedsassessmentanda
trainingneedsassessment.Thepurposeofatrainingneedsassessmentistoidentify“thethings
wemust knowbeforewe train….” (Rossett,1987,p.14),whichsuggestswealreadyknow
training is the solution to theperformanceproblem. Fromaperformanceperspective, needs
assessmentscanbeconductedatvarious levelsoforganizational results, includingstrategic
(externalimpact),tactical(overallorganizationalresults),andoperational(internaldeliverables),
independentlyofanypre-imposedsolution(s).
Withinaninstructionalcontext,needsassessmentscouldbeconductedatthelearnerlevel,
eitherlookingatgapsinknowledge,orpreferably,lookingatgapsinhumanperformanceand
behaviors first, and then seeking to identify the relevant gaps in knowledge so as to better
targetdesiredresults.ThisisechoedbyDick,Carey,andCarey(2009),whosuggestthatneeds
assessment,inthecontextofinstructionaldesign,beginsbyaskingwhatlearnersmustbeable
todoorperform,ratherthanwhattheymustknow(Guerra-LópezinRichey,2012).
Itisalsoworthnotingthatalthoughsometimesthetermsneeds assessmentsandevalua-
tionsareusedinterchangeably,theyarequitedifferent.
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NeedsAssessmentandEvaluation—RelatedbutDifferentWhileassessorsandevaluatorsmaysharedatacollectiontechniques,thetypesofquestionsthey
seek to answer differ. In this sense, the roles of assessor and evaluator differ in purpose or
function,ratherthanimportanceandmethods.Needs assessorshelpdefine,justify,andcreate
the future by providing hard and soft data for the identification of performance-based vision,
alignedmissions,andbuilding-blockobjectives,aswellasthegapsbetweencurrentanddesired
results.Additionally, theyhelp identify thebestsolutions forclosing thesegaps,and thereby
ultimatelyreachingtheorganizationalvision.
Ontheotherhand,evaluatorshelptodeterminewhetherwedidinfactreachthefuture
wesetouttocreateduringtheneedsassessmentprocess.Oneoftheprimarywaystheydothis
isbydeterminingtheeffectivenessandefficiencyoftheimplementedprogramsandsolutions,
aswellasthecausalfactorsassociatedwithanygapsbetweenexpectedandaccomplished
results.Measurably improvingorganizationaland individualperformancedependsheavilyon
thesetworolesandprocesses.
While both assessors andevaluators collect datawith regards to the current results of
process or activity, evaluators collect data to determine whether current results match the
results expected from solutions (such as new programs, new technologies, new processes,
training,oranyothermeansweselecttohelpusachieveourobjectives)thathavealreadybeen
implemented.Theassessor,incontrast,seekstoanticipatetheexpectedreturn-on-investment
ofpotential interventionsbefore theyare implementedbycollectingdatabothaboutcurrent
results (What Is)aswellas thepotential results (WhatShouldBe).With thisdata,decision
makersareablechooseamongcompetingalternatives(Guerra-López,2008).
StakeholderParticipationandBuy-InAnysuccessfulorganizational improvementeffort isdependentonthe involvementandbuy-in
ofitsorganizationalpartners.Needsassessmentisnodifferent.Youwillwanttoincluderepre-
sentativesofallrelevantstakeholdergroupsinyourneedsassessment.Iftheverysamepeople
chargedwithdefiningandaccomplishing the results that theorganization commits to deliver
arenotpartoftheprocess,theywilldoubtfullybeawillingpartnerafterthefact.Moreover,the
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needsassessmentfindingsandrecommendationswilllikelybemetwithskepticismandresent-
ment,whichonlyleadstofailedimprovementefforts.
Whilenoteverystakeholderhastobephysicallypresentinneedsassessmentactivities,
itiscriticalthattheyfeeltheirinterestsarewellrepresentedandconsideredintheprocess.A
comprehensiveandrepresentativestakeholdergroupshouldbe identifiedfor revisions, feed-
back,andapproval.Asubsetofthisgroupshouldformamoreactivecoreworkgroupthatwill
collaboratecloselywiththoseneedsassessors.
Asyoureadthrougheachoftheneedsassessmentlevels,keepinmindthatalleffortsare
tobecarriedoutasaneedsassessmentandplanningteam.
Needsassessmentensuresthatyouareheadedintherightdirection,providesthecriteriafor
designinganddeliveringsuccess,andprovidesthecriteriafordeterminingifyouweresuccessful.
ChapterSummaryOrganizationalimprovementandorganizationalsuccessreliesondefiningandjustifyingwhere
weareheadedandhowtoknowwhenwearrive.Needsaregapsinresults,notinprocesses,
methods,ormeans.Needsassessmentsidentifythegapsbetweencurrentresultsandtheir
consequencesanddesired resultsandtheirconsequences.Theyalsowillprovide important
datasowecan identify thecostsofmeetingtheneedsascomparedtothecosts to ignore
them.Needsassessmentsarenot thesamethingasneedsanalysis,performanceanalysis,
orevaluation.Inthenextchapterwewillintroducethebasictoolsyourequiretobeginyour
needsassessment.