The attached document is a shortened Organizational Analysis showing an outline of the steps for performing a Needs Assessment and the consequential Gaps that were discovered and prioritized.
1. Sandra Supal-Morea
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Analysis Summary Report
This document is the culmination of three of the seven steps that make up the
Human Performance Technology (HPT) model.
Similar to Organizational Development OD, HPT is a results-oriented set of methods
and processes used to solve problems or realize opportunities related to people
performance. It concentrates on behavior changes and may be applied to individuals,
small groups or large organizations. HPT practices consider the people, the work, and the
workplace prior to recommending solutions. Where OD and HPT differ is that OD
typically focuses on optimizing the whole organization, but does not result in finite
solutions development, tracking and evaluation for long-term sustainability.
There are seven steps to the HPT process:
1) Analysis of the situation and determination of the Business need
2) Alignment of needs to expected outcomes of a solution
3) Analysis of the performance system, otherwise known as the needs analysis
(organizational, environmental, gap and cause)
4) Intervention selection
5) Design and Development of the intervention
6) Deployment of the intervention
7) Evaluation of the intervention
Prior to beginning any analysis, an organizational readiness assessment should be
given to leaders to determine how the organization has responded to change
during previous interventions, identify alignment and skill issues and guage the
willingness of leadership and employees to engage in the change. The
assessment will consider how decisions are currently made, any critical issues the
organizations is facing, support, available resources, funding, and time for the
change and to consider how strategic plans other than this one would be
impacted.
**Modified Version-Parts of this document have been removed
2. Background and Context for Analysis
Areas Examined During Analysis
Indicators of Performance Problems or Opportunities
Standards and Benchmarks
Business Forces and Competition
Stakeholders
Overview of Analysis
Organizational Analysis
Environmental Analysis
Work Analysis
Worker Analysis
Indicators of Performance Problems or Opportunities
Performance Analysis Reports
Situational Overview
Overview of the Problem
Introduction
Statement of the Problem
Work Environment
Target Audience
Sponsor
Performance Improvement Goal
Outcomes or Measures of Success
Organizational Analysis Report
Introductions
Components of the System
Vision
Mission
Goals
Culture
Values
Environmental Analysis Report
Organizational
Work Environment
Work
Worker
Gap Analysis Report
Gap Matrix of Priorities
Process Workflow
Cause Analysis Report
Summary and Next Steps
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3. Gap Analysis Report
Background
IVANS provides insurance and healthcare industries with fully managed network, EDI
and agency-company interface solutions to help solve complex business issues. IVANS
core service is the installation of network services and secure solutions to business
organizations including to name a few, Property and Casualty Insurance companies,
healthcare organizations and a variety of horizontal markets such as retailers,
transportation and staffing companies.
A newly created department called the SE department employs Service Executives to
initiate and manage a customer enablement process. The SE’s are responsible for intake
of all customer information and to follow the process through to ensure customers are
satisfied and the process is completed in a timely manner. SE’s are experiencing a high
number of return jobs due to incomplete data or inaccurate data collection that are
causing delays in installation for field crews and affecting slow down’s in other
departments.
Methods
The gaps were identified using a thorough analysis of the organizational and work
environment, work processes and worker performance. SE Performance problems were
analyzed by using Kaufman’s Performance Gap Analysis. The gaps were then prioritized
using the Priority Matrix below.
Performance Gaps
Gaps 1, 3, 4, 8, 9, 10, and 11 are related specifically to the performance in the SE
department. The performance problem is situated around the lack of clearly stated
standards and process in place for employees to efficiently do their jobs. The
organizational gaps, 2, 5, 6, and 7 are based around organizational improvements such
as training, automating processes and reducing turnover. Gap number 12 is an
organizational performance problem that will need to be solved in the future as it
requires Network Administration to implement a Global system that would allow
employees to be identified by a single username and password throughout the network.
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4. Performance Gap Analysis for IVANS (Kaufman’s Definition of Need)
No. Present Performance
(Current Results and
Consequences)
Gap Optimal Performance
(Desired Results and
Consequences)
1 30% of new customer accounts are
being returned to the SE Department
for rework.
The gap is 30% The desired amount is 0.
Present Gap: Positive Neutral Negative
30% of new
customer
accounts are
being returned
to the SE
Department for
rework.
Future Gap: Positive Neutral Negative
The number of
new customer
accounts being
returned to the
SE department
is 0.
2 Healthcare sales are at $100,000 in
profits.
The gap is 25% The company would like to increase
profits by 25%.
Present Gap: Positive Neutral Negative
Healthcare
sales are at
$100,000 in
profits.
Future Gap: Positive Neutral Negative
Healthcare
sales will be
higher than
$125,000 in
profits.
3 Communication between SE’s and PIT
(project implementation team)
averages 20 emails per customer.
The gap is 15
fewer emails per
customer.
Email communication is a
maximum of 5 per customer.
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5. Present Gap: Positive Neutral Negative
Communication
between SE’s
and PIT (project
implementation
team) averages
20 emails per
customer.
Future Gap: Positive Neutral Negative
Email
communication
is a maximum
of 6 to 15 per
customer.
Email
communication
is a maximum
of 5 per
customer.
Email
communication
is a maximum
of 1 per
customer.
4 The quality of communication
between SE’s and PIT (project
implementation team) has 3 standards.
The gap is 9 new
standards for
communications.
Increase the number of standards
of communication to 12.
Present Gap: Positive Neutral Negative
Increase the
number of
standards of
communication
to 12.
The quality of
communication
between SE’s
and PIT (project
implementation
team) has 3
standards.
Future Gap: Positive Neutral Negative
Increase the
number of
standards of
communication
to 20.
5 The SE turnover averages 3 employees
per year.
Decrease of 3
employees
leaving per year.
The turnover in the SE department
to be at 0.
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6. Present Gap: Positive Neutral Negative
The SE
turnover
averages 3
employees per
year.
Future Gap: Positive Neutral Negative
The SE
turnover
averages 0
employees per
year.
The SE
turnover
averages 3
employees per
year.
The SE
turnover
averages <5
employees per
year.
6 Two employees per year are cross
trained in other departments.
The gap is 10
cross trained
employees.
Cross training of twelve employees
per year in other departments.
Present Gap: Positive Neutral Negative
Two employees
per year are
cross trained in
other
departments.
Future Gap: Positive Neutral Negative
< Two
employees per
year are cross
trained in
other
departments.
Two
employees per
year are cross
trained in
other
departments.
> Two
employees per
year are cross
trained in other
departments.
7 The company has clearly defined and
documented processes for one
department.
The gap is 7
clearly defined
department
processes.
8 department processes clearly
documented.
Present Gap: Positive Neutral Negative
The company
has clearly
defined and
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7. documented
processes for
one
department.
Future Gap: Positive Neutral Negative
< 8 department
processes are
clearly
documented.
8 The company has 2 available job aids
for the SE department.
The gap is 8 job
aids.
Creation of 10 new job aids within
6 months.
Present Gap: Positive Neutral Negative
The company
has 2 available
job aids for the
SE department.
Future Gap: Positive Neutral Negative
Creation of 12
new job aids
within 6
months.
Creation of 10
new job aids
within 6
months.
Creation of 8
new job aids
within 6
months.
9 The SE department has 10 specific
criteria per new customer accounts.
The gap is 10
new specific
criteria per
customer.
The number of criteria will be 20
for new customer accounts.
Present Gap: Positive Neutral Negative
The SE
department
has 10 specific
criteria per
new customer
accounts.
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8. Future Gap: Positive Neutral Negative
The number of
criteria will be
50 for new
customer
accounts.
The number of
criteria will be
20 for new
customer
accounts.
The SE
department
will have 10
specific criteria
per new
customer
accounts.
10 The new customer process has 10
processes that have to be performed
by employees and 3 automated
processes.
The gap is 5 new
automated
processes.
The desired amount of automated
processes is 8.
Present Gap: Positive Neutral Negative
The new
customer
process has 10
processes that
have to be
performed by
employees and
3 automated
processes.
Future Gap: Positive Neutral Negative
The new
customer will
have 1 process
that is to be
performed by
employees and
9 automated
processes.
The amount of
automated
processes will
be 8 and the
number of
employee
entered
processes will
be 3
The new
customer
process has 10
processes that
have to be
performed by
employees and
3 automated
processes.
11 15% of new customer installations are
delayed by 2 working days or more.
The gap is 5%. Decrease the number of installation
delays by 10% to 5%.
Present Gap: Positive Neutral Negative
15% of new
customer
installations
are delayed by
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9. 2 working days
or more.
Future Gap: Positive Neutral Negative
The number of
installation
delays will be
at 0%.
The number of
installation
delays will be
at 5%.
15% of new
customer
installations
are delayed by
2 working days
or more.
12 Each SE has a dozen company logins. The gap is 11
logins.
Reduce the number of logins per SE
to one.
Present Gap: Positive Neutral Negative
Each SE has a
dozen
company
logins.
Future Gap: Positive Neutral Negative
The system will
identify the
person by
some other
means.
Each SE will
have 1 login
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10. Gap Priority Matrix
After considerable analysis, the following performance gaps have been identified. The
gaps are listed in the first column.
Low.........................Criticality Scale........................High
Performance Gap 1 2 3 4 5 6 7 8 9 10
1. 30% of new customer accounts are
being returned to the SE Department for
rework. The desired amount is 0%. The
gap is 30%
X
2. Healthcare sales are at $100,000 in
profits. The company would like to
increase profits by 25%. The gap is 25%.
X
3. Communication between SE’s and PIT
(project implementation team) averages
20 emails per customer. Email
communication is a maximum of 5 per
customer.
X
4. The quality of communication between
SE’s and PIT (project implementation
team) has 3 standards. Increase the
number of standards of communication
to 12. The gap is 9 new standards for
communications.
X
5. The SE turnover averages 3 employees
per year. The turnover in the SE
department to be at 0. Decrease of 3
employees leaving per year.
X
6. Two employees per year are cross
trained in other departments. Cross
training of twelve employees per year in
other departments. The gap is 10 cross
trained employees.
X
7. The company has clearly defined X
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11. processes for one department
documented. 8 department processes
clearly documented. The gap is 7 clearly
defined department processes.
8. The company has 2 available job aids
for the SE department. Creation of 10
new job aids within 6 months. The gap is
8 job aids.
X
9. The SE department has 10 specific
criteria per new customer accounts. The
number of criteria will be 20 for new
customer accounts. The gap is 10 new
specific criteria per customer.
X
10. The new customer process has 10
processes that have to be performed by
employees and 3 automated processes.
The desired amount of automated
processes is 8. The gap is 5 new
automated processes.
X
11. 15% of new customer installations are
delayed by 2 working days or more.
Decrease the number of installation
delays by 15% to 0%. The gap is 15%.
X
12. Each SE has a dozen company logins.
Reduce the amount of logins per SE to
one. The gap is 11 logins.
X
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12. Cause Analysis Report
The determinations of the causes of performance issues at IVANS as adapted to Gilbert's
Behavioral Engineering Model (problems are rooted in the environment).
Cause Analysis Report
Background
IVANS provides insurance and healthcare industries with fully managed network, EDI
and agency-company interface solutions to help solve complex business issues. A
performance problem at IVAN S has led to an increased number of returned jobs for
new accounts to the Service Executives department for rework.
Methods
The causes of the performance problems were identified using Gilbert’s Behavior
Engineering Model to pinpoint whether the problem was rooted in the environment or
rooted in the individual worker.
Cause Analysis Table
Performance
Issue 1
Service Executives have to rework new customer accounts more than
once.
Performance
Gap 1
Currently 30% of new customer accounts are being returned to the
SE department for rework. The desired amount is 0%. The gap is
30%.
Possible Causes Category and Description of Causes and Drivers Cause
Priority
#
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13. Summary and Next Steps
The analysis process has revealed a number of performance problems or Gaps at IVANS
that can only be fixed through a series of interventions aimed at improving the
processes and standards throughout the organization. At the cusp of almost every
problem is a lack of knowledge about the specifics of goals and processes, including a
lack of customer and employee expectation on how the job performer is to perform.
The analysis helped to identify the expected performance goals and actual performance
levels in order to identify the gaps. The performance analysis looked not only at IVANS
at a sub-system level, but also the impact that the supersystem has on it including its
competition, partners and pressures. IVANS must begin to document, benchmark and
measure improvements in order to add value to the organization and avoid the risk of
dying out. Low profit margins and a lack of competition have held IVANS back from
aggressively exploring new innovative business ventures.
Aligning Gap and Cause Analysis with Future Intervention Selection
The gap analysis looks at the corporate, process and job performer levels to determine
what the current performance is compared to the desired state in order to determine
the need or performance gap. The gap analysis is output based, and the culmination of
the entire performance analysis process. It takes a systematic, look at the past, present
and future gaps in order to pave the way for the cause analysis and eventually the
intervention selection and design. The gap takes into consideration:
o Problems or deficits
o Impending changes
o Opportunities
o Strengths
o New Directions
o Mandated training
Gaps must be observable, measurable and achievable but can also be positive, negative
or neutral, with innovation occurring when performance is equal to or exceeding the
desired performance state. In the analysis of IVANS, gaps were identified in the
Organizational, process and job performer levels consistent with their lack of alignment
of goals throughout the organization. The gap analysis allows for all of the pieces of the
performance analysis to be measured and prioritized according to how critical each is to
the organizations strategic goals.
The cause analysis tells us what is preventing optimal performance, seeking to discover
the root causes of the gaps. The cause analysis looks at causes that occur at both the
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14. micro and macro levels and is often referred to as the bridge between performance
analysis and the selection of the intervention that will fix the cause of the problem or
eliminate the gap. The cause analysis identifies the drivers of the gap, classifies the gap
into the environment that it originates, prioritizes the driver or cause, offers several
examples of possible causes and verifies causes and corresponding examples with
clients.
Justifying the Business Need for Analysis
HPT helps the client to fully understand the implications of their choices, set appropriate
measures, and identify barriers and trade-off and take control. IVANS wants to offer
value added services to its customers and open the lines of communication between
what the customers consider valuable and what IVANS can deliver. The analysis process
allowed IVANS to take ownership of its performance systems and validate the
magnitude and accuracy of the performance gaps that were determined.
Value Added Benefits
The value of the analysis process to IVANS lies in the fact that it is an opportunity to
improve the actual performance state that has not measured up to the desired
performance state. It also enhances or intensifies the actual performance state when it
is equal to or exceeds the desired performance state.
Suggestions for the Next Steps
The next step in the HPI Human Performance Improvement process is to partner with
internal SME’s (Subject Matter Experts) to identify the appropriate intervention based
on the causes identified in the cause analysis. The chosen Intervention solution, either
instructional or non-instructional in nature will be consciously selected to deliberately
facilitate a change in performance.
Should the intervention be instructional in nature the appropriate Gap, Needs, and Task
Analysis will be performed. However, training does not offer solutions for wages,
benefits, working conditions, organizational procedures or personality conflicts. Often,
more than one solution is necessary. In this instance the interventions will be targeted
at the organization environment.
Examples of broad interventions include those that:
• Improve individual performance
• Are designed to shape or improve work group and team performance
• Are designed to improve the performance of whole departments and divisions
• Are designed to improve performance of major divisions, subsidiaries, and even
whole companies
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15. • Are designed to improve society as a whole or specific groups
Examples of more specific interventions include:
• Those that are information focused, consequences focused, job role design focused,
capacity and capabilities focused, action focused, and congruence focused.
Examples of interventions with immediate outcomes:
• Improved Quality
• Customer Retention
• Cost Reduction
• Improved Processes
Examples of interventions with business outcomes:
• Measured in improvements in such categories as sales, profits, and market share
o Client must have knowledge on ROI
o Reached through intermediate goals and processes
Types of interventions include:
• Human relations training
• Communication Training
• Installation of a 360 degree feedback system
• Installation of an employee engagement survey
• Team building training
• Implementation of six sigma training
Building a Strategic Scorecard
A strategic scorecard should be used to analyze the organizations current learning and
development process, internal processes efficiency, effectiveness and quality, customer
needs, and financial performance and strategies. Its purpose is to identify how
performance can be better aligned to corporate goals, where gaps are, identification of
criteria for measuring gaps, and the cost of improving poor performance as opposed to
doing nothing. The scorecard will help to determine which way the organization is
headed, what the strategic themes or pillars are or should be, current costs, how
initiatives are prioritized in addition to helping to create a strategic roadmap showing
how to get to where they want to be and what measures should be tracked. In addition
other tools such as an activity based costing system, statistical process control or
process mapping may be utilized.
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16. Technology Plan
If a new technology is required based on the identified needs of the organization, a list
of expected outcomes from that technology should be created and agreed upon. These
outcomes will serve as the requirements for the direction toward selection of the new
technology. See Technology Plan for additional information.
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