CH-3-4 Needs Assessment – Employee Training and Development : Book Guide

This Document Contains Chapters 3 to 4 Chapter Three Needs Assessment This chapter provides a thorough treatment of the needs assessment process, which is a critical first step in designing and revising training courses and other learning activities. Without a proper needs assessment, training may not target the appropriate content, and the right individuals may not be identified for training. To help ensure that training is appropriately focused, it is important that a thorough needs assessment be conducted. Toward this end, this chapter addresses the needs assessment process from multiple perspectives and describes a variety of methods that can be utilized to conduct a needs assessment. This chapter highlights that assessing training needs is more complex than might be typically assumed and addresses the most important factors to consider in this fundamental step of the training design process. OBJECTIVES 1. Discuss the role of organization analysis, person analysis, and task analysis in needs assessment. 2. Identify different methods used in needs assessment and identify the advantages and disadvantages of each method. 3. Discuss the concerns of upper- and mid-level managers and trainers in needs assessment. 4. Explain how person characteristics, input, output, consequences, and feedback influence performance and learning. 5. Create conditions to ensure that employees are receptive to training. 6. Discuss the steps involved in conducting a task analysis. 7. Analyze task analysis data to determine the tasks in which people need to be trained. 8. Explain competency models and the process used to develop them. INTRODUCTION Needs assessment refers to the process of determining learning needs and opportunities and determining whether training is necessary. Needs assessment involves organizational analysis, person analysis, and task analysis. This multi-level perspective helps to guarantee that different perspectives are taken into account during the assessment process. • Organization analysis involves determining the appropriateness of training for the organization overall, given its strategy, resources, and support for training. • Person analysis involves determining whether performance deficiencies result from lack of ability or from a motivational or work-design problem. It also involves determining who needs training and employee readiness for training. • Task analysis identifies the important tasks, knowledge, skills, and behaviors that need to be addressed in training. WHY IS NEEDS ASSESSMENT NECESSARY? If needs assessment is not properly conducted, any one or more of the following situations could occur. • Training may be incorrectly used as a solution to a performance problem. • Training programs may have the wrong content, objectives, or methods. • Trainees may be sent to training programs for which they do not have the basic skills, prerequisite skills, or confidence to learn. • Training will not deliver the expected learning, behavior change, or financial results. • Money will be spent on training programs that are unnecessary because they are unrelated to the company’s business strategy. There are many pressure points that might suggest that training is necessary. Examples of such pressure points include: • legislation • lack of basic skills • poor performance • new technology • customer requests • customer dissatisfaction • new products and innovations • higher performance standards Pressure points do not automatically mean that training is the correct solution. Depending on the specific circumstances, employee selection, better on-the-job supervision, or job redesign might be a better solution. It is important to consider the outcomes of needs assessment, which set the stage for the remaining steps of the training design process. Knowledge of outcomes will help ensure that the most appropriate data are collected during the needs assessment process. Examples of outcomes include: • what trainees need to learn • who receives training • type of training needed • frequency of training • buy versus build training decision • other HRM solutions WHO SHOULD PARTICIPATE IN NEEDS ASSESSMENT? Because the goal of needs assessment is to determine whether a training need exists, it is important that all relevant stakeholders be involved. Stakeholders include those who have an interest in training and whose support is important for determining its success. Key stakeholders include company leaders, mid-level managers, trainers, and employees. • Company leaders want to anticipate training needs, align them with business strategy, and ensure that learning efforts are integrated in a way that adds value to the company. • Mid-level managers are more concerned with how training might affect the attainment of financial goals for their particular units. They must determine how much of their budget will be devoted for training, the types of employees who should receive training, and what jobs should be the focus of training. • Trainers need to consider whether training is aligned with business strategy, whether training should be purchased or developed in-house, what content should be the focus of training, what training methods employees find preferable, and the degree of management support for training. • Employees should diagnose their own learning needs for their current job and future employment prospects. Employees should also consider their motivation to learn. Subject matter experts (SMEs) should also be consulted in the needs assessment process. SMEs have expertise knowledge about the training issue at hand. SMEs could include a variety of individuals such as employees, managers, technical experts, suppliers, and academics who are knowledgeable. SMEs could lend their expertise regarding: • training issues, including the tasks to be performed • knowledge, skills, and abilities required to perform tasks effectively • the necessary equipment • conditions under which tasks will have to be performed METHODS USED IN NEEDS ASSESSMENT Various methods may be used to collect information. No one method is necessarily superior to another. There are strengths and limitations of each, and each may be more relevant in some contexts than others. Observation Advantages: relevant data, minimizes interruption of work Disadvantages: requires skill in observation, employee behavior may be affected by being observed Survey Advantages: inexpensive, can collect data from a large number of individuals, data easily summarized Disadvantages: potentially low response rates, may lack detail Interview Advantages: good at uncovering detail, can explore unexpected issues Disadvantages: time consuming, potentially socially desirable responses, difficult to analyze Focus groups and crowdsourcing Advantages: useful for complex or controversial issues, can explore unexpected issues Disadvantages: time consuming, potentially socially desirable responses, difficult to analyze Existing documentation Advantages: good source of information, objective Disadvantages: may be difficult to understand, potentially obsolete Online technology Advantages: objective, minimizes work interruption, limited human involvement Disadvantages: low response rates, may threaten employees, managers may use data to punish versus train Historical data review Advantages: provides data related to performance and practices Disadvantages: data may be inaccurate, incomplete, or not fully reflective of performance THE NEEDS ASSESSMENT PROCESS Companies need to consider information from organizational, person, and task analyses before the decision is made to devote time, money, and resources to training. Organizational analysis Organizational analysis focuses on three factors to examine to determine if training is the appropriate solution: the company’s strategic direction; support of managers, peers, and employees for training; and training resources. The company’s strategic direction, as discussed in Chapter Two, influences what competencies are required to help the company achieve its goals and objectives and the role of training in helping to develop human capital. Social support is important to ensure that individuals are motivated to attend training, engage in the learning process, and transfer knowledge and skills to the workplace upon completion of training. As such, it is important to assess whether support is present during the needs assessment process. Training resources—including money, time and expertise—need to be identified in the organizational analysis phase. One of the key questions that needs to be answered is whether the organization should develop training itself or whether it should buy training from an outside consultant or vendor. Person analysis Personal analysis helps to identify who needs training. This process is also known as gap analysis, which involves determining what is responsible for the differences between employees’ current and expected performance. Personal analysis involves obtaining information on person characteristics, inputs, outputs, consequences and feedback. Person characteristics refer to employee knowledge skills, ability, and attitudes. • Basic skills are those necessary for employees to perform successfully on the job and learn the content of training programs. A literacy audit can be used to indicate employees’ basic skill levels. • Cognitive ability relates to intellectual capacity and general intelligence. Cognitive ability includes verbal comprehension, quantitative ability, and reasoning ability. A number of standardized “paper and pencil tests” are available to assess cognitive ability. Assessing cognitive ability is particularly important because it is one of the strongest determinants of training success. • Reading ability is important to consider because training materials should be properly aligned. As such, material used in training should be evaluated to ensure that its reading level does not exceed that required by the job and trainees’ abilities. If trainees’ reading ability is low, other training methods could be employed, employees could be reassigned to different positions, or remedial training could be provided. • Self-efficacy relates to employees’ beliefs that they can master training content and perform on the job. Self-efficacy can be improved by: 1) letting employees know that the purpose of the training is to improve performance rather than reveal incompetence; 2) providing as much information as possible about the training program and its purpose prior to the training; 3) explaining to employees the training successes of their peers; and 4) emphasizing to employees that learning is under their control and that they have the ability to overcome obstacles. • Awareness of training needs, career interests, and goals helps employees be motivated to learn. The link between training and areas where employees need to improve should be emphasized. • Age and generation should be considered for a number of reasons. There is biological evidence that certain mental capacities decrease from age twenty to age seventy. At older ages, memory loss is much greater because mental resources are more depleted. However, with age comes experience, which can compensate. Regarding generational differences, Millennials are optimistic, willing to work and learn, embrace technology, and appreciate diversity. Gen Xers need feedback and flexibility, and they dislike close supervision. Baby boomers are competitive, hardworking, and concerned that all employees be treated fairly. Traditionalists are patriotic and loyal, and they have a great deal of knowledge of the history of organizations and work life. Inputs relate to resources employees need to help them learn. Inputs regarding two aspects of the work environment—situational constraints and social support—are important determinants of motivation to learn and performance. Situational constraints include lacking the necessary tools and equipment, materials and supplies, budgetary support, and time to perform. Social support refers to managers’ and peers’ willingness to provide feedback and reinforcement. To ensure that the work environment supports trainees’ motivation to learn: • Provide materials, time, information, and work aids necessary for employees to use new skills before the training begins. • Speak positively about the company’s training initiatives to employees. • Reinforce employees using new skills, knowledge or behaviors. • Provide feedback to encourage employees to support each other in using new skills. • Provide the time and opportunities to practice and apply new skills and behaviors. Outputs refer to a job’s performance outcomes. Therefore, it is important to assess employees’ perceptions of their performance expectations. Lack of awareness of performance standards may result in substandard performance. Understanding the need to perform up to standards is important for learning to occur. To ensure that trainees master training content at the appropriate level, trainees need to understand the level of proficiency that is expected of them. Consequences refer to the type of rewards that employees receive for performing well. If employees don’t believe rewards or incentives are adequate, they may not be motivated to perform. Furthermore, workgroup norms may encourage employees not to meet performance standards. Trainees’ motivation to learn can be enhanced by communicating to them the job, personal, and career benefits of learning. Feedback refers to the information that employees received. Employees need specific, detailed feedback regarding performance. Feedback also needs to be frequent to influence performance. Training may not always be the best solution. To determine if training is, managers should analyze the information discussed above. In doing so, managers need to ask themselves the following questions: • Is the performance problem important and potentially costly if not addressed? • Do employees know how to perform effectively? • Can employees demonstrate the correct knowledge or behavior? • Were performance expectations clear? • Were positive consequences offered for good performance? • Did employees receive appropriate feedback? • Were other solutions too expensive or unrealistic? Task analysis Task analysis results in a description of the tasks to be performed on the job and the knowledge, skills and abilities required to perform those tasks. A job is a specific work position involving the completion of a defined set of related tasks. A task is a specific work activity that is a component of a job. A task analysis should be undertaken only after the organization has determined that it will devote time and energy toward training. To complete a task, employees must possess the necessary knowledge, skill, ability, and other requirements (KSAOs) • Knowledge includes facts, figures, and procedures. • Skill is the competency to perform a task. • Ability refers to the physical and mental capacities required to perform a task. • Other considerations include conditions under which tasks are performed, such as necessary equipment, time constraints, safety considerations, or performance standards. There are four primary steps to a task analysis: • Select the job(s) to be analyzed • Develop a preliminary list of tasks to be analyzed by interviewing others or through observation • Validate the list of tasks with SMEs to determine how frequently the task is performed, how important it is, and its difficulty • After the most important tasks have been identified, identify the most important KSAOs. COMPETENCY MODELS A competency model identifies the competencies necessary for a given job. A competency refers to sets of KSAOs that enable employees to perform their jobs successfully. Competency models provide descriptions of competencies that are common for an entire occupation, organization, or job. The competencies used in company competency models vary according to business strategy. They may include sales, leadership, interpersonal, technical, or other types of competencies. Competency models are useful in several respects: • They identify behaviors needed for effective job performance. • They provide a tool for determining what skills are necessary to meet today’s needs and the company’s future skill needs. • They help to determine what skills are needed at different career points. • They provide a framework for ongoing coaching and feedback to develop employees for current and future roles. • They create a “road map” for identifying and developing employees who may be candidates for managerial positions (succession planning). • They provide a common set of criteria that are used for identifying appropriate training activities for employees, as well as for evaluating and rewarding them. This helps integrate and align the company’s HR systems and practices. The process used in developing a competency model includes five steps: • Identify business strategy and goals • Identify jobs, positions, or job families • Conduct interviews and focus groups with top performers • Develop competencies and the competency model • Validate and review the model SCOPE OF NEEDS ASSESSMENT Often managers and trainers may avoid conducting a needs assessment. They may provide a variety of excuses, citing that doing so would be too costly, time consuming, complex, and unnecessary. However, without conducting a proper needs assessment, training will not be well targeted, and training will fail to meet its desired objectives. This chapter highlights that a wide variety of information can be collected in conducting a needs assessment. A needs assessment in practice would not collect all such information, but should be tailored to the specific training and organizational context. Due to time constraints, sometimes a rapid needs assessment needs to be conducted. A rapid needs assessment refers to a needs assessment that is done quickly and accurately, but without sacrificing the quality of the process or the outcomes. DISCUSSION QUESTIONS 1. Which of the factors that influence performance and learning do you think is most important? Which is least important? Student answers would vary. Person characteristics, input, output, consequences, and feedback are the factors that influence performance and learning. These factors also influence motivation to learn. It is important that students justify their responses. 2. If you had to conduct a needs assessment for a new job at a new plant, describe the method you would use. A number of methods could be used, and students should justify their choices. Below are the pros and cons of various methods to conduct a needs assessment. It is important that students not used all methods. They should be selective. Observation Advantages: relevant data, minimizes interruption of work Disadvantages: requires skill in observation, employee behavior may be affected by being observed Survey Advantages: inexpensive, can collect data from a large number of individuals, data easily summarized Disadvantages: potentially low response rates, may lack detail Interview Advantages: good at uncovering detail, can explore unexpected issues Disadvantages: time consuming, potentially socially desirable responses, difficult to analyze Focus groups and crowdsourcing Advantages: useful for complex or controversial issues, can explore unexpected issues Disadvantages: time consuming, potentially socially desirable responses, difficult to analyze Existing documentation Advantages: good source of information, objective Disadvantages: may be difficult to understand, potentially obsolete Online technology Advantages: objective, minimizes work interruption, limited human involvement Disadvantages: low response rates, may threaten employees, managers may use data to punish versus train Historical data review Advantages: provides data related to performance and practices Disadvantages: data may be inaccurate, incomplete, or not fully reflective of performance 3. If you were going to use online technology to identify training needs for customer service representatives for a web-based clothing company, what steps would you take to ensure that the technology was not threatening to employees? Efforts should be made to communicate to the employees that the information will be used to train and not to punish them. Furthermore, if employees are completing an online survey to communicate their perceived training needs, ensure that survey responses are anonymous or confidential. In addition, highlight that general trends across all employees will be identified and that no one will be singled out personally. 4. Needs assessment involves organization, person, and task analysis. Which one of these analyses do you believe is most important? Which is least important? Why? Student answers would vary, and they should explain their choices. Arguably, all levels are equally important. However, individuals may place different emphases on the levels based on their experience or preference. Students with a more macro focus may select organizational analysis as most important and those with a more micro focus may select task analysis as most important. Organization analysis involves determining the appropriateness of training, given its strategy, resources, and support for training. Person analysis involves determining whether performance deficiencies result from lack of ability or from a motivational or work-design problem. It also involves determining who needs training and employee readiness for training. Task analysis identifies the important tasks, knowledge, skills, and behaviors that need to be addressed in training. 5. Why should upper level managers be included in the needs assessment process? Upper-level managers need to help determine if training is related to the company’s business strategy and what type of training may be required. Upper level managers are involved to identify the role of training in relation to other HRM practices and determine if the necessary support exists within the organization to support training. They should also determine what strategic competencies are necessary for organizational success and determine employees that would benefit most from training. It is necessary to include top management because they are central to creating the overall architecture and support for a learning organization. 6. Explain how you would determine if employees had the reading level necessary to succeed in a training program. How would you determine if employees had the necessary computer skills needed to use a web-based training program? A literacy audit can be used to determine employees’ basic skill levels. Employees without the necessary reading level could be identified through reading tests and reassigned to other positions more congruent with their skill levels. Remedial training can also be provided to them. The training content could also be modified. To determine if employees have the necessary computer skills needed to use a web-based training program, the company could survey employees about their computer literacy, conduct interviews with a group of employees, or create a work sample test. If employees lack the requisite skills, the training could also address how to use information technology. 7. What conditions would suggest that a company should buy a training program from an outside vendor? Which would suggest that the firm should develop the program itself? A company should buy a training program from an outside vendor if it lacks the time and the expertise to do it itself. The firm would also need the financial resources to buy the training. A firm would develop the program itself if it has the experts in-house who can help develop the program content and if it seeks to have greater control over the process. 8. Assume you have to prepare older employees with little computer experience to attend a training course on how to use the Internet. How will you ensure that they have high levels of readiness for training? How will you determine their readiness for training? To ensure that the employees have high levels of readiness, their motivation level and willingness to learn should be increased. Special care should be taken to see that the work environment facilitates learning and does not interfere with employee performance. Explaining the benefits of computer literacy may also be helpful. Furthermore, one might consider assessing trainees’ self-efficacy regarding computer literacy and the degree of social support in the work environment to facilitate transfer. Such information could be collected either via a survey or interviews. 9. Review the accompanying sample tasks and task ratings for the electronic technician’s job. What tasks do you believe should be emphasized in the training program? Why? Task Importance Frequency Learning Difficulty 1. Replaces components 1 2 1 2. Repairs equipment 2 5 5 3. Interprets instrument readings 1 4 5 4. Uses small tools 2 5 1 Repairs equipment should be emphasized in the training program followed by uses small tools, as these two tasks have greater importance and are performed frequently. Furthermore, repairs equipment is one of the most difficult tasks that would require training. Interpretation of instrument reading also should be better emphasized as it is performed more often and has higher difficulty level relative to the task of replacing components. 10. Explain the process you would use to determine the cause of a performance problem. Draw a picture showing the process. Training not may always be the best solution, and managers should consider a variety of issues when determining the root of performance issues. Examples of questions that should be asked include: • Do employees know how to performance effectively? • Can employees demonstrate the correct knowledge or behavior? • Were performance expectations clear? • Were positive consequences offered for good performance? • Did employees receive appropriate feedback? • Are there obstacles preventing effective performance? Do employees have the appropriate resources? • Are the right employees in the job? Do they possess the personal characteristics necessary to succeed in training? If the root of the problem is lack of knowledge, skill, or ability, then training may be the solution. If not, managers should consider other aspects of the work environment. Furthermore, the issue may be a selection problem and not one that could be solved by training. 11. Why would we consider age and generational differences as part of needs assessment? Is this important? Explain. Discuss the types of evidence that you would look for to determine whether a needs analysis has been conducted improperly. There is biological evidence that certain mental capacities decrease from age twenty to age seventy. Short-term memory and the speed at which people process information decline as we age. With older workers, you may need to simplify training content, break training into smaller sessions, or have additional practice opportunities. Generational difference may also be important because each generation may have specific preferences for the arrangement of the learning environment, type of instruction, and learning activities. For example, older employees may prefer traditional learning methods (e.g., lecture), while younger employees may be more comfortable with information technology, games, and activities. In this particular context, you could determine if a needs assessment was conducted properly by surveying employees upon completion of training to determine if they found the design and delivery of training to be effective. You could also examine whether the training resulted in performance improvements. 12. How is competency modeling similar to traditional needs assessment? How does it differ? Both competency modeling and traditional needs assessment play a vital role in training and development. Both advocate a systematic approach to assessing human capital needs by focusing on the needs of the organization and specific jobs. These approaches are probably more alike than different. However, the competencies generated by competency modeling are more general and believed to have greater application to a wider variety of purposes, including selection, training, employee development, and performance management. 13. What is a rapid needs assessment? How would you conduct a rapid needs assessment so that it is valuable and accurately identifies training needs? A rapid needs assessment refers to a needs assessment that is done quickly and accurately, but without sacrificing the quality of the process or the outcomes. • The scope of needs assessment depends on the size of the potential pressure point. If the pressure point seems to be local and has a potentially small impact on the business, then the information-gathering part of needs assessment could consist of only a few interviews with managers or job incumbents. If the pressure point will have a large impact on the business, then more information gathering should be conducted. • Consider using already available data collected for other purposes. For example, error data, sales data, customer complaints, and exit interviews might provide valuable clues as to the source of performance problems. • If a person conducting the analysis is attuned to issues facing the organization, he or she will be able to anticipate training needs. Chapter Four Learning and Transfer of Training This chapter discusses theories of learning and transfer of training. Learning refers to a relatively permanent change in human capabilities, and transfer of training refers to trainees applying what they have learned on the job. A fundamental premise of this chapter is that learning is a complex process and that a variety of factors may help or hinder the successful application of trained skills. A number of theories and frameworks of learning and transfer are presented along with their implications for practice. With an understanding of the principles discussed in this chapter, those responsible for training will be better able to design, deliver, and support learning efforts to help ensure their benefits are realized. OBJECTIVES 1. Discuss the five types of learner outcomes. 2. Explain the implications of learning theory for instructional design. 3. Incorporate adult learning theory into the design of a training program. 4. Describe how learners receive, process, store, retrieve, and act upon information. 5. Discuss the internal conditions (within the learner) and external conditions (learning environment) necessary for the trainee to learn each type of capability. 6. Discuss the implications of open and closed skills and near and far transfer for designing training programs. 7. Explain the features of instruction and the work environment that are necessary for learning and transfer of training. INTRODUCTION Regardless of the training content and methods, a number of conditions must be present for learning to occur and for employees to use what they learned on the job. For example, trainees should complete prerequisites for training; training content must be meaningful; there must be opportunities for trainees to practice and receive feedback; and the work environment must support training and transfer. In order for training to be effective, both learning and transfer are needed. Learning refers to a relatively permanent change in human capabilities that can include knowledge, skills, attitudes, behaviors, and competencies. Transfer refers to trainees effectively and continually applying what they have learned in training to their jobs. There are two important goals for transfer—generalization and maintenance. Generalization refers to a trainee’s ability to apply what was learned to situations that are similar but not necessarily identical to those encountered during training. Maintenance refers to the process of trainees continuing to use what they learned over time. Effective learning and transfer require that consideration be paid to trainee characteristics, training design, and characteristics of the work environment. See Figure 4.1. WHAT IS LEARNING? WHAT IS LEARNED? Understanding learning outcomes is important because they influence characteristics of the learning environment that are necessary for learning to occur. Specific learning outcomes include: • verbal information: specialized knowledge, including names, labels, facts, and bodies of knowledge • intellectual skills: concepts and rules critical to solve problems, serve customers, and create products • motor skills: coordination of physical movements • attitudes: beliefs and feelings that predispose a person to behave in a certain way • cognitive strategies: strategies that regulate thinking and learning; they relate to decisions regarding what information to attend to, how to remember, and how to solve problems LEARNING THEORIES Reinforcement Theory The basic premise of reinforcement theory is that individuals are motivated to perform or avoid behaviors because of past outcomes of behavior. In other words, behavior is controlled by its consequences. Behavior modification is primarily based on reinforcement theory. • Positive reinforcement is a pleasurable outcome resulting from a behavior • Negative reinforcement is the removal of an unpleasant outcome • Extinction is the process of withdrawing positive or negative reinforcers to eliminate a behavior • Punishment involves providing an unpleasant outcome after a behavior Reinforcement theory suggests that trainers need to identify what outcomes learners find most positive and negative and then link these outcomes to learners acquiring new knowledge and skills. Social Learning Theory Social learning theory emphasizes that individuals learn by observing models of behavior, emulating such behavior, and then receiving reinforcement and rewards. Learning new skills results from directly experiencing the consequences of using a skill, as well as observing others and seeing the consequences of their behavior. Learning is also influenced by self-efficacy, which is an individual’s belief that he/she can successfully learn knowledge and skills. Self-efficacy can be increased several ways: • verbal persuasion: offering words of encouragement to convince individuals they are capable of learning • logical verification: creating a perceived relationship between a new task and a task already mastered • modeling: showing individuals how to successfully perform a task • past accomplishment: letting trainees build a history of successful accomplishments Social learning theory specifies four processes involved in learning—attention, retention, motor reproduction, and motivational processes. • attention: learners must be aware of the important aspects of performance as demonstrated by the trainer • retention: learners must be able to code the desire behavior in memory • motor reproduction: learners must practice desired behavior • motivational processes: learners must receive positive reinforcement for desired behaviors to continue Goal Theories Goal setting theories suggest that behavior results from a person’s conscious goals and intentions. Goals influence behavior by directing energy and attention, sustaining effort over time, and motivating the person to develop strategies for goal attainment. In training, goal setting theory suggests that learning can be effectively facilitated by setting specific, challenging goals. Goal orientation refers to the goals held by a trainee in a learning situation. Goal orientation can include learning orientation and performance orientation. Learning orientation relates to trying to increase ability and competence in a task. People with a learning orientation view mistakes as a useful part of the learning processes and not as something that should be avoided. They are focused on learning and not necessarily looking good. Performance orientation refers to a desire to look good in comparison to others. Individuals with a performance orientation value ability more than learning, and they avoid mistakes as they might make them appear “foolish” in the eyes of others. Trainers should strive to promote a learning orientation among trainees. Accordingly, they should set goals around learning and experimenting with new ways of having trainees perform trained tasks. They should also deemphasize competition among trainees, create a community of learning, and allow trainees to make errors. When trainees make mistakes, trainers should provide constructive feedback and avoid making trainees look incompetent. Need Theories A need is a deficiency that a person is experiencing at a given point in time. A need motivates a person to behave in a manner to satisfy the deficiency. Need theories help to explain the value that a person places on certain outcomes. Maslow’s model includes five needs—physiological, safety, social, esteem, and self-actualization. According to this model, trainees must satisfy lower level basic needs before progressing on to meet higher level growth needs. • physiological needs: air, food, drink, shelter, warmth, sleep • safety needs: protection from elements, security, stability, freedom from fear • social needs: friendship, intimacy, affection, and love • esteem needs: achievement, mastery, independence, status, dominance, prestige, self-respect, respect from others • self-actualization needs: realizing personal potential, self-fulfillment Alderfer’s model includes three needs—existence, relatedness, growth. • existence: relates to a person's physical needs such as food, clothing, and shelter • relatedness: relates to a person's interpersonal needs within his personal as well as professional settings • growth: relates to a person's needs of personal development McClelland’s need theory focuses primarily on the needs for achievement, affiliation and power, all of which can be learned. • need for achievement: these people need to achieve challenging goals, need to prove something, and seek recognition • need for power: these people have a need to dominate, influence others, and have power over them • need for affiliation: these people need to be a part of something and highly desire social relationships Need theories suggest that to motivate learning, trainers should attempt to understand learners’ needs, explain how the training will help them meet their needs, and adapt training to meet their needs. If certain basic needs of trainees are not met, they are unlikely to be motivated to learn. Training should not necessarily attempt to meet all needs, however. Expectancy Theory Expectancy theory suggests that behavior is based on three factors—expectancy, instrumentality, and valence. • Expectancy beliefs relate to whether an individual believes he or she can perform a specific behavior. These beliefs are related to self-efficacy. • Valence is the value that individuals placed on an outcome or reward. • Instrumentality relates to beliefs whether performing will result in a particular outcome. Will individuals receive something valued if they perform well? Based on this model, trainers should: 1) ensure that trainees are confident in their ability to learn and perform (expectancy); 2) provide and communicate valued rewards (valence); and 3) ensure that valued rewards are receive if trainees successfully learn and transfer (instrumentality). Adult Learning Theory Adult learning theory, also called andragogy, is a theory or model of how adults learn. The theory is based on the following assumptions: • Adults have the need to know why they are learning something. • Adults have a need to be self-directed. • Adults bring more work-related experiences into the learning situation. • Adults enter into a learning experience with a problem-centered approach to learning. • Adults are motivated to learn by both extrinsic and intrinsic motivation. There are several implications for training based on this theory. • Mutual planning and collaboration in instruction • Use learner experiences as a basis for examples and applications • Develop instruction based on learners’ interests and competencies • Provide opportunities for immediate application • Ensure training is problem centered v. subject centered Information Processing Theory Information processing theory places greater emphasis on the internal processes that occur when training content is learned and retained. The theory proposes that information taken in by the learner undergoes several transformations in the brain. A message is received by the senses, is registered, stored in short-term memory, transformed to long-term memory, and a response to the message is organized. The final link in the model is feedback from the environment. This model highlights how external events, such as the following, influence learning. • Changes in the intensity or frequency of the stimulus affect attention • Informing the learner of the objectives to establish an expectation • Enhancing perceptual features of the material (stimulus) draws the attention of the learner to certain features • Verbal instructions, pictures, diagrams, and maps suggest ways to code the training content so that it can be stored in memory • Meaningful learning context creates cues that facilitate coding • Demonstration or verbal instructions help organize the learner’s response and facilitate the selection of the correct response TRANSFER OF TRAINING THEORY Closed vs. Open Skills A distinction needs to be made between closed skills and open skills. Performing a closed skill involves responding to predictable situations with standardized responses. In contrast, performing an open skill involves responding to variable situations with adaptive, tailored responses. There is a one best way to perform closed skills; whereas there are multiple ways to perform open skills that are contingent upon the situation at hand. Examples of closed skills include preparing food in a fast food restaurant, cleaning a hotel room, filling out a report, and checking in an air-line passenger. Examples of open skills include facilitating discussions in a training session, performing a role in a stage play, motivating employees, and responding to difficult customers. Means to promote transfer for closed skills involve providing detailed checklists to follow, providing high-fidelity practice, shaping favorable attitudes toward compliance, and rewarding compliance. Means to promote transfer for open skills include teaching general principles, shaping favorable attitudes toward experimentation, allowing trainees to make mistakes without fear of punishment, and providing rewards for experimentation. Theory of Identical Elements The theory of identical elements proposes that transfer is maximized when what is being learned is identical to what the trainee has to perform on the job. Transfer will be maximized when the tasks, materials, equipment, and other conditions in training are similar to those encountered in the work environment. Identical elements are particularly important for promoting near transfer. Near transfer refers to trainees’ ability to apply learned capabilities exactly to the work situation. Identical elements are particularly important for closed skills. Stimulus Generalization Approach The stimulus generalization approach suggests that the best way to promote transfer is to emphasize the most important features, or general principles, during training. It is also important to identify the range of work situations in which these general principles can be applied. The stimulus generalization approach is particularly important to promote far transfer. Far transfer refers to a trainee’s ability to apply learned capabilities to the work environment when it is not identical to that of the training session. The stimulus generalization approach is appropriate for open skills. Cognitive Theory of Transfer This theory is based on information processing theory discussed earlier. This theory proposes that the likelihood of transfer depends on a trainee’s ability to retrieve learned capabilities. The likelihood of transfer is increased by providing trainees with meaningful material that enhances the chances that they will link what they encounter in the work environment to the learned capability. It is also important to provide trainees with cognitive strategies for encoding learned capabilities in memory so they are readily retrieved. THE LEARNING PROCESS Mental and Physical Processes Learning depends on the learner’s cognitive processes, organizing the content in a mental representation, and relating the content to existing knowledge from long-term memory. From this perspective, learning is a function of eight processes: • expectancy: the mental state that the learner brings to the instructional process • perception: the ability to organize the message from the environment so it can be processed and acted upon • working storage: rehearsal and repetition so material can be coded for memory • semantic encoding: the actual coding process of incoming messages • long-term storage: learning content residing in long-term storage • retrieval: identifying learned material in long-term memory and using it to influence performance • generalizing: being able to adapt learning for use in similar situations • gratifying: feedback the learner receives as a result of using learning content Different learning strategies influence how training content is coded—rehearsal, organizing, and elaboration: • rehearsal: learning through repetition • organizing: finding similarities and themes in the training material • elaboration: relating the material to other more familiar knowledge The Learning Cycle Learning can be considered a dynamic cycle involving four stages: concrete experience, reflective observation, abstract conceptualization, and active experimentation. The key to effective learning is to be competent in each of the four stages. • concrete experience: trainees encounter a concrete experience • reflective observation: trainees think about the problem • abstract conceptualization: trainees generate ideas how to solve the problem • active experimentation: trainees implementation ideas to solve the problem There are four learning styles that combine elements of each of the four stages of the learning cycle. • Diverger: uses concrete experience and reflective observation; good at generating ideas, seeing a situation from multiple perspectives, and being aware of meaning and value; interested in people, culture, and the arts • Assimilator: uses abstract conceptualization and reflective observation; good at inductive reasoning, creating theoretical models, and combining disparate observations into an integrated explanation • Converger: uses abstract conceptualization and active experimentation; good at decisiveness and practical application; prefers dealing with technical tasks rather than interpersonal issues. • Accommodator: uses concrete experience and active experimentation; and is good at implementing decisions, carrying out plans, and getting involved in new experiences; tends to be at ease with people but may be seen as impatient and pushy IMPLICATIONS OF THE LEARNING PROCESS AND TRANSFER OF TRAINING FOR INSTRUCTION Based on the theories presented throughout this chapter, there are several implications for instruction. Instruction refers to the trainer’s manipulation of the environment in order to help trainees learn. Employees need to know the objectives Objectives refer to the purpose and expected outcomes of the training activities. Individuals learn best when they understand the training objectives. An objective may have three components: • A statement of what the employee is expected to do or know • A statement of the quality or level of acceptable performance • A statement of the conditions under which the learner is expected to perform the desired outcome Employees need meaningful training content Employees are more likely to learn when the training is linked to current job experiences and tasks that have meaning for them. To enhance meaningfulness, material should be presented using concepts, terms, and examples that are familiar to trainees. Content should also be aligned with trainees’ personal and professional goals. Employees need opportunities to practice For practice to be effective, it needs to involve the trainee actively, include overlearning (repeated practice), take the appropriate amount of time, and include the appropriate unit of learning. It is best to provide a variety of examples and practice, rather than all practice. Employees need a number of pre-practice conditions There are a number of steps trainers can take at the beginning of training to enhance trainees’ motivation to learn and facilitate retention of training content. • Provide information about the process or strategy that will result in the greatest learning • Encourage trainees to reflect on their own learning, which is known as meta-cognition • Provide advanced organizers—outlines, texts, diagrams, and graphs • Help trainees set challenging learning goals • Create realistic expectations for trainees • For training in teams, clarify roles and responsibilities for different members Employees need practice involving experience Learning will not occur if employees practice only by talking about what they are expected to do. They need direct practice and overlearning. Overlearning involves continuing to practice the new skill or behavior beyond the point at which the learner has demonstrated proficiency more than once. This maximizes the likelihood of transfer. Errors are also useful for learning, and therefore, trainers should provide error management training. Error management training refers to giving trainees the opportunities to make errors during training and then focusing on why the errors occurred and how to overcome them in the future. Massed vs. spaced practice Massed practice conditions are those in which individuals practice a task continuously without rest. In spaced practice conditions, individuals are given rest intervals within the practice session. Effectiveness of massed versus spaced practice varies by the characteristics of the task. Task characteristics include overall task complexity, mental requirements, and physical requirements. Whole vs. part practice One option with practice is focusing on all tasks at the same time (whole practice). Another option is practicing each component as soon as it is introduced in a training program (part practice). It is probably best to employ both whole and part practice. Employees need to commit training content to memory There are several ways trainers can help employees commit training content to memory. • Make trainees aware of how they are creating, processing, and accessing memory. • To create long-term memory, training programs must be explicit on content and elaborate on details. Create concept maps and use multiple forms of review. Teach key words, a procedure, or a sequence, or provide visual images Remind trainees of knowledge and skills they already know to create a link with current training content Use external retrieval cues • Over learning can help in retaining information in long-term memory. Employees need feedback Employees need feedback about how well they are meeting training objectives. The feedback should be specific and should follow the behavior as closely as possible. Employees learn through observation, experience, and interaction Individuals learn through observation and imitating the actions of models. There are three ways employees can learn through interaction. • Learner-content interaction: learner interacts with training content, such as by reading content, listening to content, and practicing content • Learner-instructor interaction: learner interacts with the instructors; trainers can present, demonstrate; and reinforce material • Learner-learner interaction; learner interactions with other learners; such interactions include observing and sharing experiences Communities of practice are groups of employees who work together, learn from each other and have a common sense about how to get work accomplished. The idea behind communities of practice is that learning occurs as a result of social interactions. Employees need the training program to be properly coordinated and arranged Training administration is the coordination of activities before, during, and after the training program. Training administration involves activities such as: • Communicating courses and programs to employees • Enrolling employees in courses and programs • Preparing and processing pre-training instruction materials • Preparing materials that will be used in instruction • Arranging for the training facility and room • Testing equipment that will be used in instruction • Having backup equipment should equipment fail • Providing support during instruction • Distributing evaluation materials • Facilitating communications between trainer and trainees during and after training • Recording course completion in the trainees' training records or HR files Encourage trainee responsibility and self-management Trainees need to take responsibility for learning and transfer, which includes being involved and engaged during training and using content back on the job. Self-management training may help promote taking responsibility. Self-management refers to a person’s attempt to control certain aspects of decision making and behavior. Self-management training involves setting goals to use skills on the job, identifying obstacles that might hinder transfer and ways to overcome them, and self-administering rewards. Ensure that the work environment supports learning and transfer A number of obstacles in the work environment can inhibit learning and transfer—obstacle work conditions, lack of peer support, and lack of management support. • obstacle work conditions: time pressures, inadequate equipment, few opportunities to use skills, inadequate budget • lack of peer support; peers discourage use of new knowledge and skills, are unwilling to provide feedback, and see training as a waste of time • lack of management support: management opposes the ideas presented in training, does not discuss training opportunities, is unwilling to provide practice and feedback One way to ensure that learning and transfer of training occur is to ensure that the climate for transfer is positive. Climate for transfer refers to trainees’ perceptions about a wide variety of characteristics of the work environment. Characteristics of a positive climate for transfer include: • Supervisors and coworkers encourage transfer • Task cues to use new skills • Feedback consequences • Lack of punishment for using new skills • Extrinsic reinforcement consequences • Intrinsic reinforcement consequences INSTRUCTIONAL EMPHASIS FOR LEARNING OUTCOMES It is important to understand the difference between internal and external learning conditions. Internal conditions are processes within the learner that are necessary for learning to occur. These processes include how information is processed, stored in memory, and recalled. External conditions are processes in the learning environment that are necessary for learning to occur. These conditions include the physical learning environment and opportunities for practice and feedback. The external conditions should directly influence forms of instruction, and they should be designed to facilitate the internal conditions for learning to occur. One size does not fit all. Different internal and external conditions are necessary to facilitate different learning outcomes. DISCUSSION QUESTIONS 1. Compare and contrast any two of the following learning theories: expectancy theory, social learning theory, reinforcement theory, information processing theory. Student answers would vary depending upon their choice of theory opted for comparison. The focus of each theory is as follows: • Expectancy theory suggests that a person’s behavior is based on three factors: expectancy, instrumentality, and valence. Trainees need to believe they can perform what is being trained, there must be valued rewards, and trainees must believe they will receive the rewards if they perform well. • Social learning theory emphasizes that people learn by observing other persons whom they believe are credible and knowledgeable. Learners then practice the observed behavior and receive feedback. Self-efficacy is also an important aspect of social learning theory. • Reinforcement theory emphasizes that people are motivated to perform or avoid certain behaviors because of past outcomes that have resulted from those behaviors. • Information processing theories propose that information or messages taken in by the learner undergo several transformations in the human brain. 2. What learning condition do you think is most necessary for learning to occur? Which is least critical? Why? A host of learning conditions were presented throughout the chapter, and certainly student answers will vary. It is important that students justify their choices and provide examples from their own learning experiences. 3. Are learning and transfer of training related? Explain why or why not. Learning refers to acquiring new knowledge and skills, while transfer refers to applying them. For training to be effective, both learning and transfer of training are needed. Learning is a necessary condition for effective transfer. Transfer, however, may facilitate greater learning, particularly for skills that were not fully developed during the training session and for more complex, open skills. 4. How do instructional objectives help learning to occur? Instructional objectives refer to the purpose and expected outcome of training activities. In one respect, objectives help trainers design training sessions because objectives provide focus. With greater focus, greater learning can occur. Communication of objectives can help trainees learn by signaling to them what is important and what they should pay attention to. 5. Assume you are training an employee to diagnose and repair a loose wire in an electrical socket. After demonstrating the procedure to follow, you let the trainee show you how to do it. The trainee correctly demonstrates the process and repairs the connection on the first attempt. Has learning occurred? Justify your answer. What is known is that the trainee performed the task correctly. If the trainee already knew how to perform the task, no learning has occurred. If this were not the case, a degree of learning has occurred. However, since the demonstration was immediately after the training, there is a possibility that the knowledge has only been stored in the trainee’s short term memory. To retain the learning, the knowledge has to move to long term memory. To help create long-term memory, training programs need to elaborate on details and provide practice opportunities to facilitate overlearning. 6. Your boss says: “Why do I need to tell you what type of learning capability I’m interested in? I just want a training program to teach employees how to give good customer service. Explain to the boss how “good customer service” can be translated into different learning outcomes. At the beginning of the chapter, several learning outcomes were discussed—verbal information, intellectual skills, motor skills, attitudes, and cognitive strategies. Delivering effective customer service is not necessarily straightforward, and training could focus on different learning outcomes. • Regarding verbal information, training could focus on information about the product or service being provided. • Intellectual skills could include how to serve customers and resolve customer complaints. • Attitudes could focus on developing favorable attitudes toward customer service and the organization’s customer service philosophy. • Cognitive strategies could address how to solve customer problems and adapt service delivery based on customers’ unique needs and characteristics, similar to intellectual skills. (Motor skills are likely not relevant in this context.) 7. How does practice help learning? What could a trainer do in a training session to ensure that trainees engage in self-regulation? Practice is central to the learning process because it provides opportunities for rehearsal, whereby individuals try out new skills and assess strengths and weaknesses. Effective practice makes perfect. For practice to be effective, it needs to actively involve the trainee, include overlearning, take the appropriate amount of time, and include the appropriate unit of learning. Self-regulation is also key to effective practice. Self-regulation can be encouraged by teaching trainees to engage in meta-cognitive activity. They should ask themselves a variety of questions while they practice, such as: • Am I concentrating on the training material? • Do I understand the key points? • Am I setting goals to help me remember the material after I finish the course? • What can I do better next time? 8. Can allowing trainees to make errors in training be useful? Explain. Making errors is central to the learning process. Trainees should be allowed to make errors so they do not fear practice. When learning a new skill, there is the risk of appearing foolish in front of others. Trainers should thus strive to create a learning orientation among trainees, where trainees are more concerned with developing their skills and view mistakes as a natural part of the learning process. Furthermore, errors themselves are important in training because they provide for learning opportunities. In particular, in error management training, trainees are instructed that errors can help learning, and they are encouraged to make errors and learn from them. 9. What learning conditions are necessary for short- and long-term retention of training content to occur? Conditions necessary for short-term retention of training content to occur include: • working storage: rehearsal and repetition of information occur, allowing material to be coded for memory • semantic encoding: the actual coding process of incoming messages Conditions necessary for long-term retention of training content to occur include: • retrieval: identifying learned material in long-term memory and using it to influence performance • making trainees aware of how they are creating, processing, and accessing memory • training programs must be explicit on content and elaborate on details • creating a concept map to show relationships among ideas • using multiple forms of review including writing, drawings, and role plays to access memory through multiple methods • teaching key words, a procedure, or a sequence, or providing a visual image gives trainees another way to retrieve information • reminding trainees of knowledge, behavior, and skills that they already know that are relevant to the current training content creates a link to long-term memory that provides a framework for recalling the new training content • if a lengthy process or procedure is to be taught, instruction needs to be delivered in relatively small chunks • going beyond one-trial learning • making trainees review and practice over multiple days 10. What is near transfer? Far transfer? What are their implications for training design? Near transfer refers to trainees’ ability to apply learned capabilities exactly to the work situation. Near transfer is more likely to occur when the trainee works on tasks during training that are very similar, if not identical, to the work environment. Thus, trainers should incorporate identical elements, where the training environment is as close as possible to the real work environment. Far transfer refers to trainees applying what they’ve learned to a work environment that is not identical to the training situation. The stimulus generalization approach emphasizes far transfer. The stimulus generalization approach suggests that the best way to promote transfer is to teach general principles that are applicable to many work situations. 11. How can employees learn through interaction? Are some types of interaction best for learning in some situations but not others? Explain. Employees learn best through interaction with training content, with other learners, and with the trainer or instructor. Table 4.12 shows the three ways that employees learn through interaction and when to use them. Learner-content interaction means that the learner interacts with the training content. Learner-content interaction includes reading text on the web or in books, listening to multimedia modules, performing activities that require the manipulation of tools or objects, completing case studies and worksheets, or creating new content based on learned information. Learner-instructor interaction refers to interaction between the learner and the expert. Trainers can facilitate learning by presenting, demonstrating, and reinforcing content. Also, trainers provide support, encouragement, and feedback. Learner-instructor discussions can be useful for helping learners understand content, enhance learners’ self-awareness and self-assessment, gain an appreciation for different opinions, and implement ideas on the job. Learner-learner interaction refers to interaction between learners. Learner-learner interaction, including observing and sharing experience with peers, may be especially useful for training interpersonal skills, acquiring personal knowledge based on experience, context-specific knowledge, and learning to cope with new situations. 12. How can the work environment inhibit learning and transfer of training? Explain what work environment characteristics you believe have the largest influence on transfer of training? Justify your answer. A number of obstacles in the work environment can inhibit learning and transfer—obstacle work conditions, lack of peer support, and lack of management support. • obstacle work conditions: time pressures, inadequate equipment, few opportunities to use skills, inadequate budget • lack of peer support; peers discourage use of new knowledge and skills, are unwilling to provide feedback, and see training as a waste of time • lack of management support: management opposes the ideas presented in training, does not discuss training opportunities, is unwilling to provide practice and feedback These obstacles inhibit transfer because they cause lapses. Lapses take place when the trainee uses previously learned, less effective capabilities instead of trying to apply the capability emphasized in the training program. Lapses into old behavior and skill patterns are common. Given the restructuring, downsizing, and cost cutting occurring in many companies, these obstacles are often a reality for trainees. One way to ensure that learning and transfer of training occur is to ensure that the climate for transfer is positive. The work environment needs to signal that learning is important, have policies and proceeds to support training, offer social support, and design jobs so that individuals can experiment with using new knowledge and skills. 13. You have a one-day classroom experience in which you need to help a group of engineers and software programmers learn to become project managers. After training, they will have to manage some significant projects. Discuss the instructional characteristics and activities you will use to ensure that the engineers and software programmers learn project management. This chapter discussed a host of strategies to facilitate learning and training, and certainly many of them could be appropriate in this particular context. Below are a few examples that could be appropriate in this context. • Given that these individuals are adult learners with experience, you could incorporate the principles of andragogy by drawing on their previous experiences, ensuring that training is problem focused, and providing opportunities for immediate application. • Project management skills are open skills, where there is not necessarily one best way to perform in all contexts. As such, you should teach general principles, shaping favorable attitudes toward experimentation, allowing trainees to make mistakes without fear of punishment, and provide rewards for experimentation. • In addition to focusing on project management skills, the training could address principles of self-management. Self-management training might be appropriate because these employees will largely be responsible for managing their own behavior on the job after training. Self-management training involves setting goals to use skills on the job, identifying obstacles that might hinder transfer and ways to overcome them, and self-administering rewards. • Encourage trainees for form “communities of practice” post-training where the trainees can learn from one another and share best practices. Solution Manual for Employee Training and Development Raymond Andrew Noe 9780078112850, 9781259539367, 9780071267786