**comprehensive needs assessment**

**COMPREHENSIVE NEEDS ASSESSMENT**

Materials adapted from “Planning and Conducting Needs Assessments: A Practical Guide” (1995)

Summary of Foundation Concepts

· A “need” is a discrepancy or gap between “what is” and “what should be.”

· A “needs assessment” is a systematic set of procedures that are used to determine needs, examine their nature and causes, and set priorities for future action.

· In the real world, there is never enough money to meet all needs. Needs assessments are conducted to help program planners identify and select the *right**job* before doing the *job right*.

### KEY TOPICS

In this session, we will answer the following:

· What is a needs assessment?

· What steps are involved in conducting a needs assessment?

· What aspects of a needs assessment are important to its success?

Why Conduct a Needs Assessment?

Why do program planners in education, business, industry, government, etc. conduct needs assessments?

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Legal Requirements

The law requires States to submit applications that describe:

· a comprehensive plan for needs assessment and service delivery that identifies the special educational needs of migrant children;

· how the State’s priorities for the use of funds relate to the State’s needs assessment; and

· how the State will award subgrants to reflect the results of the comprehensive needs assessment plan.

[See Section 1304 - State Applications; Services & Section 1306 - Comprehensive Needs Assessment and Service-Delivery; Authorized Activities.]

###### Program Requirements

Policy guidance issued by the Office of Migrant Education states that needs assessments:

· are conducted annually;

· use the best information available;

· are a process by which each state determines how to integrate MEP-funded services into the state’s comprehensive education reform plan to best meet the identified needs of migrant children;

· establish statewide priorities for local procedures; and

· provide a basis for the allocation of funds.

Definition of Key Terms

 “Need” refers to the gap or discrepancy between a present state (what is) and a desired state (what should be).  **The need is neither the present nor the future state; it is the gap between them**.  

###### “Target Group”

Needs Assessments are focused on particular target groups in a system.  

Common target groups in education settings include students, parents, teachers, administrators, and the community at-large.  

**Ideally, needs assessments are initially conducted to determine the needs of the people (i.e., service receivers) for whom the organization or system exists (e.g., students).**

However, a “*comprehensive*” needs assessment often takes into account needs identified in other parts of a system.  

For example, a needs assessment might include the concerns of the “service providers” (e.g. teachers, guidance counselors, or school principals—the people who have a direct relationship with the service receivers) or “system issues” (e.g., availability of programs, services, and personnel; level of program coordination; and access to appropriate facilities).

Definition of Key Terms (continued)

A “Needs Assessment” is a ***systematic*** approach that progresses through a defined ***series of phases***.  

Needs Assessment focuses on the ***ends***  (i.e., outcomes) to be attained, rather than the ***means***(i.e., process).  For example, reading achievement is an outcome whereas reading instruction is a means toward that end.

It gathers data by means of ***established procedures and methods*** designed for specific purposes.  The kinds and scope of methods are selected to fit the purposes and context of the needs assessment.

Needs assessment ***sets priorities and determines criteria for solutions*** so that planners and managers can make sound decisions.

Needs assessment ***sets criteria*** for determining how best to allocate available money, people, facilities, and other resources.

Needs assessment leads to ***action*** that will ***improve*** programs, services, organizational structure and operations, or a combination of these elements.

A Three-Phase Model of Needs Assessment

*...a **systematic** approach that progresses through a defined **series of phases***

Phase I: Explore “What Is”

· Two major objectives of the exploration phase are gaining: 1) **a sense of commitment to the needs assessment** at all levels in the organization; and 2) **an assurance that decision makers will follow-up (i.e., use) the findings** with appropriate and timely action.

**STEP 1: Prepare Management Plan**

· Successful projects have leadership.  A key person in planning and managing a needs assessment is the project manager. 

· **Form a Needs Assessment Committee**.  

The members of a Needs Assessment Committee should represent those organizations and individuals that are critical to ensuring commitment and follow-up.

· Determine a reporting schedule.

Timely reports to top management and other important stakeholders, with opportunities for interaction on major issues, also are critical.

**STEP 2: Identify Major Concerns**

· Reach consensus on the goals (desired outcomes) of greatest importance to the target group.

· Refine the list of goals to the top 3 – 5 goals.

· Brainstorm a list of concerns/factors for each of the goals.  

· Decide on the major concerns for each goal.

Phase I: Explore “What Is” (continued)

**STEP 3: Determine Need Indicators**

· Identify indicators that could verify that the concern/issue exist.

[An indicator is data that can verify that a concern exists.]

**STEP 4: Consider Data Sources**

· Determine what kinds of information would be helpful to more clearly define the need and where to get the data.

**STEP 5: Decide on Preliminary Priorities**

· Set the priorities of each concern as a focus in the gathering of data.

Group Activity: Exploring “What Is”

Group Activity: Exploring “What Is” (continued)

Phase II: Data Gathering & Analysis 

**STEP 1: Determine Target Groups**

· Determine the scope of the needs assessment—e.g., all districts with eligible migrant children.

· Determine target groups—e.g., migrant students, parents, teachers, etc.

**STEP 2: Gather Data to Define Needs**

· Specify a desired outcome based on the program’s goals.

· Collect data to determine the current state of the target group in relation to the desired outcome.

· Formulate need statements based on discrepancies between current and desired outcomes.

**STEP 3: Prioritize Needs—Based on Data**

· List concerns (need areas) in rank order of importance (e.g., School affliation, English Language, Course Completion).

· Within each area of concern, separately rank the identified needs (e.g., Within School affliation—Counselor-student contact, peer network, extra curricula activities).

Phase II: Data Gathering & Analysis (continued)

**STEP 4: Identify & Analyze Causes**

· Determine general and specific causes of high priority needs.  

In general, try to answer question “*Why does this need persist*?”

· Identify the factors that are amenable to intervention with control of your program.

**STEP 5: Summarize Findings**

· Summarize and document findings by need with an explanation of the major causes.

· Share the results with the Needs Assessment Committee, managers, and other key stakeholders.

Tool: Identifying & Analyzing Causes

(Cause and Consequence Analysis)

· To determine the priority of each need, examine both the difficulty to correct the need and the degree of criticality.  

· Review the ratings in light of the magnitude of the discrepancy between the present and desired states.

· Use results to provide data for consideration in setting priorities and moving to solution strategies.

In column 1: List *needs* that were previously identified in the needs assessment.

In column 2: List all possible “treatable” *causes* of each need (concern), itemized separately for each need.  A given need may have more than one cause.

In column 3:List *consequences* if the cause is not removed and the need is not meet, also itemize separately for each need.  There may be more than one consequence for each need.

In column 4:Enter a rating (low, medium, high) of the *difficulty of correcting the problem* once it has occurred.

In column 5:Enter a rating, on a scale of 1 to 5, of the degree of *criticality* of the need if it is not met, with 5 being the most critical.

Phase III: Decision-making

**STEP 1: Set Priority of Needs**

Criteria for assigning priorities among needs are based on several factors:

· The magnitude of discrepancies between current and target states;

· Causes and contributing factors to the needs;

· The degree of difficulty in addressing the needs;

· Risk assessment—the consequences of ignoring the needs;

· The effect on other parts of the system or other needs if a specific need is or is not met;

· The cost of implementing solutions; and

· Other factors that might affect efforts to solve the need.

***Set priorities in two stages***: (a) broad areas, such as goals, concerns (needs) or target groups; and (b) critical needs within each area.

**STEP 2: Identify Possible Solutions**

· Set criteria (or standards) for judging the merits of alternative solution strategies.  

At a minimum, proposed solutions should meet the criteria of***effect on causes, acceptability***, and ***feasibility*** (includes resources). 

· Generate and examine potential solutions.  In examining possible solutions—***review and document research and evaluation data***that supports the merits of each alternative.

Phase III: Decision-making (continued)

**STEP 3: Select Solutions**

· Evaluate and rate each solution separately against the evaluation criteria.

· Consider whether each of the high-ranking solutions will drive toward the contemplated change or whether they will push in the opposite direction, preventing change. 

· On the basis of all the information, select one or more solutions for each need area.

**STEP 4: Propose Action Plan**

· The plan should include descriptions of the solutions, rationale, proposed timelines, and resource requirements.

**STEP 5: Prepare Report**

At the end of this phase, a written report should be prepared to communicate the methods and results of the needs assessment to decision-makers, policymakers, and key stakeholders.

The report should include:

· Description of the needs assessment process;

· Major outcomes (identified needs);

· Priority Needs (and criteria used to determine such priorities);

· Action Plan (with the data and criteria used to arrive at the solution strategies); and

· Recommendations for future needs assessments.

Review of the Three-Phases of Needs Assessment

Needs Assessment in a Continuous Improvement Cycle

Summary

· There is no one correct needs assessment model or procedure.

· The active use of a Needs Assessment Committee is one important method for obtaining expert advice and gaining commitment to the process and using the results.

· Make sure needs focus on desired outcomes and are listed as the gaps between “what is” and “what should be.”

· Before you gather data, spend the time to investigate what is known about the needs of the target group—to identify all of the concerns.

· Develop measurable need indicators to guide your data collection process.

· Perform a causal analysis—Ask “why” does this need still exist?  To solve a problem, planners must understand it first.  

· Share information with decision makers, policymakers, and stakeholders throughout the needs assessment process.  Frequent communication with these groups is important for the “buy in” needed to use the needs assessment results.

· Document the research base for potential solutions.

Prepare a written report that describes the methods and results of the needs assessment.

· Reflection

What are three of the top challenges you face as you prepare to plan and manage a statewide needs assessment for your program?

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TYPES OF NEEDS ASSESSMENT DATA 

RESOURCES

SUGGESTED READINGS

**MCKILLIP**, Jack.  *Needs Analysis: Tools for the Human Services and Education*.  1987.

**KAUFMAN**, Roger., and Fenwick W. English.  *Needs Assessment—Concept and Application*. 1979

**KAUFMAN**, Roger.  *Strategic Planning Plus: An Organizational Guide*. 1992.

**WITKIN**, Bell, R., and James W. Altschuld.  *Planning and Conducting Needs Assessments: A Practical Guide*. 1995.

Archived Information

It is not possible to succeed 

with a brilliant idea and superb execution of the wrong strategy...

John O’Tool

Author, Advertising

“Knowing and not doing are equal to not knowing at all.”

Anonymous

A system is a set of regularly interacting elements that form a unified whole and organized for a common purpose.

An important characteristic of a system is that all parts are interdependent.  Anything that affects one part of the system has consequences for the whole.

I

Explore

“What Is”

II

Gather & Analyze Data

III

Make Decisions

I

Explore

“What Is”

II

Gather & Analyze Data

III

Make Decisions

Decide Preliminary Priorities

Identify Major Concerns

Determine Need Indicators

Consider

Data Sources

Prepare Management Plan

The purpose of Phase I is to investigate what is already known about the needs of the target group; to determine the focus and scope of the needs assessment; and to gain commitment for all stages of the assessment; including the use of the findings for program planning and implementation.

“Who is important to have as a member of your Needs Assessment Committee?”

Goal

Concern

Indicator

Project Mapping can be used to provide a visual map of all of the concerns and indicators related to a goal.  

I

Explore

“What Is”

II

Gather & Analyze Data

III

Make Decisions

Summarize Findings

Prioritize Needs

Identify & Analyze Causes

Gather Data

To Define Needs

Determine 

Target Groups

The task of the Phase II is to document the status, the “what is” of the concerns/issues, to compare the status with the vision of “what should be,” and to determine the magnitude of the needs and their causes.  The major output from this phase is a set of needs statements in tentative order of priority, based on the criticality of the need, and its causes.

A Need Statement describes the gap, or discrepancy, between “what is” and “what should be”.

It cannot be emphasized too strongly—that a needs assessment is not complete unless plans are made to use the information in a practical way.  

Phase III is the bridge from the analysis to action—to use needs assessment findings.  It answers important questions: What needs are the most critical?  What are some possible solutions?  Which solutions are best?

Propose Action Plan

Select Solutions

Prepare Report

Identify Possible Solutions

Set Priority of Needs

III

Make Decisions

I

Explore

“What Is”

II

Gathering & Analyze Data

I

Explore

“What Is”

II

Gather & Analyze Data

III

Make Decisions

Consider placing a focus on service providers or system resources in updating the basic student needs assessment.

Improve

Improve

Evaluate

Evaluate

Implement

Implement

Plan

Plan

Improve

Evaluate

Implement

Plan

Conduct Needs Assessment

Update Needs Assessment

Update Needs Assessment

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Office of Migrant Education: 2001 New Directors Orientation