Mod3


 * module 3 > lesson 1 **

** Introduction **
Often, convincing someone to conduct a needs assessment (NA) will depend on your ability to communicate an effective and efficient NA plan. Gathering valid and reliable NA data also depends on effective planning and management. Needs assessment can be a complex process that may require you to address many different factors. Ineffective planning and management may result in a waste of considerable resources, the identification of an inappropriate solution to the performance problem, and ultimately, failure to reduce and/or eliminate the problem. Given a performance problem, draft the Method section of your NA plan by generating tables and narrative that describe the:
 * Context**
 * Objectives**
 * Sources and types of information you plan to collect
 * Tools and techniques you plan to use to collect data
 * Procedure you will use (in terms of who will do what, where and when) to gather data
 * Resources**
 * Rossett: Chapters 5-7
 * Mager and Pipe: Chapters 4-12
 * OACS Handout
 * Problems and Solutions Handout

**module 3 > lesson 2**

Optimals, Actuals, Causes, and Solutions
Let's assume for a moment that you've worked with your client and identified a results-oriented performance problem. The next step is to generate a needs assessment (NA) plan or proposal. > - Determine Information Type > - Determine Information Sources > - Determine Tools and Techniques One of Rossett's major contributions to needs assessment is her classification of different types of NA data (or purposes for conducting a needs assessment (i.e., to determine optimals, actuals, causes, feelings, and solutions). Before Rossett, there was neither a clear method for determining what types of NA information to gather, nor a clear method for interpreting and reporting NA results. To determine what types of NA data to gather, you first must determine why the NA was initiated. Rossett (1987) identifies three kinds of NA Initiators: Rossett then suggests that different types of NA data should be gathered based on the initiator. Table 1.1 lists the various initiators and data types, and notes which types of data to gather depending on the initiator. Table 1.1 **Purposes** || **Problems** ||  **New System** ||  **Automatic** || Optimals ||  x ||  x ||  x || Actuals ||  x ||   ||   || Feelings || x || x || x || Causes || x ||  ||   || Solutions || x || x ||  || Modifications ** Based on my knowledge and experience, I argue for a fourth kind of initiator: In addition, rather than gathering data on people's feelings about the problem, new system or habitual training (as a separate category), I recommend gathering **facts** and **feelings** about optimals, actuals, causes, and solutions. Table 1.2 depicts that types of information you should plan to gather for the purpose of this course and for your needs assessment (depending on what initiated the assessment). Table 1.2 **Purposes** || **Problems** || **New System** || **Automatic** || **Planning** || Optimals || x || x || x || x || Actuals || x ||  || x || x || Feelings || x ||  || x || x || Causes || x ||  || x || x || Solutions || x || x || x || x || In short, when confronted with a perceived problem, you should gather facts and feeling about optimal and actual performance, causes for discrepancies between optimal and actual performance and potential solutions. If you are conducting a needs assessment because a new system or technology is being introduced, you should gather facts and feelings about optimals and solutions. If you are conducting a needs assessment due to automatic or habitual training, you should gather facts and feelings about optimal performance, and if you are conducting a needs assessment to inform strategic planning, you should gather facts and feeling about optimals, actuals, causes and solutions. There is really no set method for determining the primary sources of NA data. The "best" sources are dependent on your specific context and problem. Let's take two examples to illustrate how you may determine the sources of NA data. For the first example, let's say a needs assessment is initiated because of a perceived problem that high school students are not acquiring the computer skills necessary to graduate and either obtain a job or pursue higher levels of education. Since the NA was initiated due to a perceived problem, you should plan to gather data on facts and feeling about (a) optimal computer skills, (b) actual computer skills, (c) causes for discrepancies between optimals and actuals, and (d) potential solutions for reducing or eliminating the problem. So, the question is, "Where or from whom should you gather data on optimals, actuals, causes and potential solutions?" Obviously, students may not have a good idea of what constitutes optimal computer skills. Teachers and administrators may not know what //optimal// computer skills are for high school students either depending on the areas of expertise. In this case, federal and state computer standards may provide good data on optimal computer skills. Potential employers and/or university admissions officers may also provide insights on optimal computer skills. Feelings about optimal computer skills, once identified, may be gathered from teachers, administrators, students and parents and/or caregivers. Good sources data on high school students' //actual// computer skills may come from teachers, or may be discerned from school assignments or state-wide tests. Observations of students may also yield good data on actual computer skills. Feelings about actual computer skills may again come from teachers, administrators, students and parents and/or caregivers. Good information on //causes// or why there may be a discrepancy between optimal and actual computer skills may come from students, teachers and administrators, as well as parents or caregivers. Published articles on computer use in K-12 schools may also provide insights into causes, as well as solutions. Students, teachers, administrators and parents / caregivers may also provide good input on potential solutions. Table 1.3 illustrates potential NA data sources and types for the education example described above. Table 1.3. Information Sources and Types for Education Example **SOURCES** |||||||| **TYPES** || **Optimals** || **Actuals** || **Causes** || **Solutions** || Federal Tech. Standards || X ||  ||   ||   || State Tech. Standards || X ||  ||   ||   || Computer Assignments ||  || X ||  ||   || Students ||  || X || X || X || Teachers ||  || X || X || X || Administrators ||  || X || X || X || Parents ||  ||   || X || X || Now, let's take a look at a corporate example. Let's say the perceived problem is that overall sales figures are down for the year. Again, since the needs assessment is being initiated due to a perceived problem, we should consider gathering data on facts and feelings regarding optimals, actuals, causes and solutions. In this corporate case, existing strategic and business plans may provide information on optimal sales figures. Actual sales figures may be discerned from sales reports, and information about causes and potential solutions may be gathered from customers, managers, and sales staff (as depicted in Table 1.4). Table 1.4. Information Sources and Types for Corporate Example **TYPES** || **Optimals** || **Actuals** || **Causes** || **Solutions** || Strategic Plans || X ||  ||   ||   || Business Plans || X ||  ||   ||   || Sales Reports ||  || X ||  ||   || Customers ||  ||   || X || X || Managers ||  || X || X || X || Sales Staff ||  ||   || X || X || Again, it is important to emphasize that optimal information sources depends on the context and perceived problem. The examples were provided to illustrate how you might identify potential information sources, but are by no means, the sources you should use for your needs assessment. You must use common sense to identify the best sources of NA data for your particular context. However, in general, you should do you best to triangulate information; in other words, try to find three independent sources to help confirm the validity of the results. Rossett (1987) distinguishes NA tools from NA techniques. In short, Rossett notes and discusses four different tools and four different techniques: Analysis Tools Analysis Techniques Personally, I've found it difficult to explain the differences between tools and techniques to clients as I present NA plans or proposals. Therefore, when I prepare a needs assessment plan/proposal, I simply group tools and techniques together, as noted in Table 1.5. I recommend that you do the same, but you should be able to describe the differences between each tool and technique. Table 1.5. NA Data Sources, Types, Tools and Techniques **Sources** |||||||| **Information Type** || **Tools & Techniques** || **Optimals** || **Actuals** || **Causes** || **Solutions** ||^  || Federal Tech. Standards || X ||  ||   ||   || Subject Matter Analysis || State Tech. Standards || X ||  ||   ||   || Subject Matter Analysis || Computer Assignments ||  || X ||  ||   || Extant Data Analysis || Students ||  || X || X || X || Observations, Interviews || Teachers ||  || X || X || X || Facilitating Groups || Administrators ||  || X || X || X || Interviews || Parents ||  ||   || X || X || Surveys || Analysis Tools and Techniques:** Now that you have the basic information necessary to prepare a NA Plan, let's take an initial look at Step 3 and begin to identify various causes for performance problems and relate them to potential performance interventions (aka. solutions). Rossett (1987) notes four basic causes for performance problems, including the absence of: The key to reducing or eliminating a performance problem is to systematically identify the cause(s) of the performance problem, and then to recommend appropriate solutions based on a prioritized list of causes. Over the past 10 years, I've read numerous articles and books that have identified different causes for performance problems and related solutions. Table 1.6 table summarizes what I've found to date. Basic classes of performance problems are noted in bold with related performance interventions listed in plain text under each class of problem. Table 1.6. Various causes for performance problems and related solutions ** Rossett (1987) ** || **Mager & Pipe (1980)** || ** Harless (1992) ** || - Instruction - Training - Job Aids - Coach/Mentor - Training to see benefits - Training to develop confidence - Modeling by expert or mentor - Work redesign - New & better tools - Match person and job - Better processes or tools - New policies or contracts - Training for supervisors || - Formal Training - On-Job Training - Practice - Feedback - Change Job - Transfer/Terminate - Remove Punishment - Positive Consequence - Consequence - Remove Obstacles || - Instruction - Training - Job Aids - Coach/Mentor - Redesign work - Better input - Better tools - Better atmosphere - Give control over pace - Allow more time - Remove hazards - Feedback - Recognition - Compensation - Increase criteria - Empower worker - Hire/Fire - Assign - Reassign || ** Gilbert ** ** ** Alden ** ** **NSPI (1990)** || - Performance criteria - Feedback - Job documentation - Job aids - People - Money - Equipment - Time - Organizational design - Job design - Ergonmics - Compensation - New opportunities - Career planning/ development - Personnel selection - Succession planning - Training & Education - Quality orientation - Empowerment - Leadership || - Education/Training - Career development - Individual feedback systems - Individual incentives/ rewards - Health/Wellness - Organizational Design - Group process - Culture change - Team building - Group feedback system - Group incentives /rewards - Supervision & Leadership - Compensation planning - Benefits - Employee relations - Sucession planning - Personnel selection - Ergonomics - Facilities design - Job aids - Sociotechnical systems design - Expert systems - Documentation - Job design - Technology & information systems || - Job documentation - Information systems - Job aids - Organizational design - Job design - Cultural Change - Environmental engineering - Performance Support - Supervision - Team Building - Compensation - Career development - Health & Wellness - Staffing - Training & Education - Coaching - Appraisal Systems - Leadership || You may also download the Problems and Solutions Handout so that you can add additional lists of performance problems and solutions over time if you so desire. As long as you completed all of the recommended readings and events associated with previous modules, you should now have sufficient knowledge to prepare an basic needs assessment plan. You should also be developing you knowledge of various causes of performance problems and related solutions. Your knowledge of solutions, and ability to prescribe appropriate solutions based on NA results, however, will continue to increase over the second part of the course that covers non-training interventions. For now, and as you begin to conduct your needs assessment, you should be aware of the basic causes of performance problems to help you identify the causes of the problem that is being addressed by your needs assessment.
 * Needs Assessment (NA) Process**
 * 1) Identify results-oriented problem or opportunity (Performance Analysis)
 * 2) **Prepare and generate NA plan**
 * 1) Determine optimals, actuals, causes and potential solutions
 * 2) Identify and recommend solution(s)
 * 3) Prepare and generate NA report
 * NA Data Types**
 * When there is a perceived performance problem
 * When introducing a new system and technology
 * When confronted with automatic or habitual training
 * Prior to Strategic Planning
 * Facts and Feelings related to each Purpose
 * Optimal and Actual Results (Products, Output, Outcomes)
 * Data Sources**
 * SOURCES** ||||||||
 * NA Tools and Techniques**
 * Interviewing
 * Observing
 * Facilitating Groups
 * Surveys and Questionnaires
 * Extant Data Analysis (Actuals)
 * Needs Assessment (Optimal, Actuals, Feelings, Causes, and Solutions)
 * Subject Matter Analysis (Optimals)
 * Task Analysis (Optimals)
 * Modified TNA (Hirumi)
 * Extant Data Analysis (Actuals)
 * Subject Matter Analysis (Optimals)
 * Task Analysis (Optimals)
 * Critical Incident Analysis (Actuals)
 * Interviewing (OACS)
 * Observing (Actuals)
 * Facilitating Groups (OACS)
 * Surveys and Questionnaires (OACS)
 * See OACS Handout and Rossett Chapter 3 for purposes, benefits, challenges and procedures*****
 * Linking Solutions to Causes**
 * 1) Identify results-oriented performance problem or opportunity (Performance Appraisal
 * 2) Prepare and generate NA plan
 * 3) **Determine optimals, actuals, causes and potential solutions**
 * 4) Identify and recommend solution(s)
 * 5) Prepare and generate NA report
 * Skill or knowledge
 * Incentives or improper incentives
 * Environmental support
 * Inappropriate personnel
 * Inappropriate policies and procedures
 * Inappropriate or insufficient tools
 * Motivation
 * Value x Expectancy = Motivation
 * Skills & Knowledge**
 * Skills & Knowledge**
 * Lack of Motivation**
 * Environmental Support**
 * Incentives**
 * Skill Deficiency**
 * Performance Punishing**
 * Nonperformance Rewarding**
 * Performance Matters**
 * Obstacles**
 * Information**
 * Environment**
 * Motivation/Incentives**
 * Selection/Assignment**
 * (Cited in Rosenburg, 1990, p. 8) ** ** ||
 * (Cited in Rosenburg, 1990, p. 6) ** ** ||
 * Data**
 * Data**
 * Resources & Tools**
 * Consequences, Incentives, & Rewards**
 * Capacities**
 * Skills & Knowledge**
 * Motives & Expectations**
 * Human Resource Development**
 * Organizational Development**
 * Human Resource Management**
 * Environmental Engineering**
 * Data, Information, Feedback**
 * Environmental Support, Resources & Tools**
 * Consequences, Incentives, & Rewards**
 * Individual Capacities**
 * Skills & Knowledge**
 * Motives & Expectations**

Module 3 Activity **Procedure** Table 1. Table template for depicting NA Information Sources, Types, Tools and Techniques
 * 1) This **group** activity is worth 20 points and is due by 11:59 PM January 31th.
 * 2) Read and / or click the following:
 * Rossett: Chapters 5-7
 * Mager and Pipe: Chapters 4-12
 * OACS Handout
 * Problems and Solutions Handout
 * 1) To earn credit for Activity 3, post your team's NA Methods section (Word document) to your WebCT group discussion topic thread. We will discuss answers in the next f2f meeting or online.
 * 2) Draft three of the four major components of the Methods section of your NA Plan including:
 * Information sources and types
 * Data gathering tools and techniques
 * 1) Use tables to help readers readily interpret information whenever appropriate. For example, prepare a table to depict NA information sources, types and data gathering tools and techniques (Table 1 below) and a table to list procedures (Table 2 below). Look at the sample NA plans under the Resources link for format. Keep in mind, every time you use a table or figure, you should label it with a title, as well as refer to and describe it in narrative.
 * 2) For more detail, refer to the description of Project 1 - NA Plan.
 * 3) Ensure that you post the results (e.g., Tables 1 and 2, along with narrative) on your group topic thread by the specified due date.

**Source** |||||||| **Information Type** || **Tools &** **Optimals** || **Actuals** || **Causes** || **Solutions** ||^  ||
 * Techniques**** ||

Table 2. Sample template for table depicting NA Procedure **Task** || **Lead** || **Start Date** || **Finish Date** ||


 * Products**
 * Post Word document to your team's discussion topic thread that contains your NA Methods section (including tables).

** Assessment Rubric for Class Participation **
This activity is one of several that will be used, along with other indicators (e.g., completion of instructional units prepared by classmates) to calculate your overall class participation score for the course using the rubric below. **Distinguished (100-90pts)** || * Completes all Activities by specified due date in complete and professional manner. **Proficient (89-80pts)** || * Completes most Activities by specified due date in complete and professional manner. **Developing (<79pts)** || * Fails to complete Activities by specified due date in complete and professional manner.
 * Activities clearly demonstrate authors have completed related readings.
 * Completes all assessments prescribed by classmates for P2 (Instructional Units).
 * Exhibits positive, supportive attitude toward course, teamwork and class members.
 * Consistently contributes to in-class and/or on-line discussions. ||
 * Activities demonstrate authors have completed some related readings.
 * Completes most assessments prescribed by classmates for P2 (Instructional Units).
 * For the most part, exhibits positive, supportive attitude toward course, teamwork and/or classmates.
 * Contributes to in-class and/or on-line discussions. ||
 * Activities fail to demonstrate authors have completed related readings.
 * Does not complete assessments prescribed by classmates for P2 (Instructional Units).
 * Exhibits negative attitude toward course, teamwork and/or classmates.
 * Does not contribute to in-class and/or on-line discussion. ||