DOCTRINE AND TRAINING SERIES ADFP THE DEFENCE TRAINING MODEL

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DOCTRINE AND TRAINING SERIES

ADFP 7.0.2

THE DEFENCE TRAINING MODEL

Australian Defence Force Publication 7.0.2 is issued for use by the Australian Defence Force and is effective forthwith.

A.G. HOUSTON, AO, AFC Air Chief Marshal

Chief of the Defence Force Australian Defence Headquarters Canberra ACT 2600

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Defence Publishing Service DPS: March/2007

This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no part may be reproduced by any process without prior written permission from the Australian Government Department of Defence.

Announcement statement—may be announced to the public.

Secondary release—may be released to the Australian Government Department of Defence and its equivalent in the United States of America, United Kingdom, Canada, and New Zealand.

All Defence information, whether classified or not, is protected from unauthorised disclosure under the Crimes Act 1914. Defence information may only be released in accordance with the Defence Security Manual and/ or Defence Instruction (General) OPS 13–4—Release of Classified Defence Information to Other Countries, as appropriate.

The Commandant of the Australian Defence Force Warfare Centre is the approving authority for the release of Unclassified joint doctrine publications to countries not covered by the secondary release statement.

ADFP 7.0.2 First edition 2006

Sponsor

Chief of Joint Operations

Headquarters Joint Operations Command Developer

Commandant

Australian Defence Force Warfare Centre RAAF Base

WILLIAMTOWN NSW 2314 Publisher

Defence Publishing Service Department of Defence CANBERRA ACT 2600

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FOREWORD

1. Australian Defence Doctrine Publications (ADDP) and Australian Defence Force Publications (ADFP) are authorised joint doctrine for the guidance of Australian Defence Force (ADF) operations. ADDP are pitched at the philosophical and high-application level, and ADFP at the application and procedural level. Policy is prescriptive as represented by Defence Instructions and has legal standing. Doctrine is not policy and does not have legal standing, however, it provides authoritative and proven guidance which can be adapted to suit each unique situation.

2. We have an unquestionable mandate from the nation to maintain and enhance Defence capability to meet whatever challenges lay ahead. Quality training is the foundation from which we will develop the people we need today with the capability to meet tomorrow’s challenges and uncertainty. The Defence training model (DTM), for the first time, provides us with a common approach to quality vocational education and training (VET) across all the Services.

3. The DTM is based upon an update of the tried and proven systems approach to training with additional enhancements to better enable our trainers to deal with the increased tempo and uncertainty that are likely to remain features of our environment. These enhancements include a Rapid Development and Risk Management Process to better facilitate the timely availability of training resources when short notice training requirements arise.

4. The DTM is also aligned with the National Training Framework (NTF) so that Defence can take full advantage of national education and training systems and initiatives while reinforcing our already strong focus on quality assurance and continuous improvement. Alignment with the NTF also supports national recognition for ADF VET thereby aiding the recruitment, retention and eventually, transition back into civilian employment of our people.

5. This publication is the result of the efforts of many subject matter experts and trainers across Defence. The DTM is a significant milestone in our continual quest to improve the quality and efficiency of the training that is so vital to our work at home and abroad.

6. ADFP 7.0.2 embraces complex but complementary subject matter. The reader should therefore consult the following publications, with which ADFP 7.0.2 is congruous:

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7. Every opportunity should be taken by the users of this publication to examine constructively its contents, applicability and currency. If deficiencies or errors are found, amendment action should be taken. Australian Defence Force Warfare Centre (ADFWC) welcomes any assistance or input from whatever source in order to improve this publication.

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AMENDMENT CERTIFICATE

Proposals for amendment of ADFP 7.0.2 may be initiated in either of the following ways:

• By Minute to:

Director Doctrine and Training

Australian Defence Force Warfare Centre RAAF Base

WILLIAMTOWN NSW 2314

• By directly entering comment into the Joint Doctrine Development Environment (JDDE) found on the ADFWC Defence Restricted Network (DRN) web site (seehttp://intranet.defence.gov.au/ VCDFweb/sites/adfwc/). Select JDDE on the ADFWC homepage and open either the ADDP or ADFP block as required. Open the relevant publication and utilise the ‘Add Comment’ function button of the summary page for each publication.

Note

The second option is an addition to encourage feedback from the wider ADF, as well as encouraging use of the JDDE in general.

Amendment Effected

Number Date Signature Date

This publication is current as at July 2006.

This publication will be periodically reviewed and amended. The latest version of this publication is available on the ADFWC DRN web site

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DOCTRINE PUBLICATION HIERARCHY

The hierarchy of ADDP and ADFP and the latest electronic version of all ADDP and ADFP are available on the JDDE found on the ADFWC DRN web site located at http://intranet.defence.gov.au/VCDFweb/sites/adfwc/.

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LIST OF FIGURES

Figure Title Page

1–1 Phases of the Defence training model 1–3

2–1 ‘Analyse’ phase of the Defence training model 2–1

2–2 Hierarchical structure of work 2–10

2–3 Algorithm illustrating the decision-making process 2–32

3–1 ‘Design’ phase of the Defence training model 3–1

3–2 Indicative relationships between jobs, competencies,

learning outcomes, and training 3–20

3–3 Training review, evaluation and the training process 3–42 3–4 Kirkpatrick’s model for evaluating training programs

‘The Four Levels’ 3–43

3G–1 Course map 3G–1

3K–1 Course map 3K–5

4–1 ‘Develop’ phase of the Defence training model 4–1

5–1 ‘Conduct’ phase of the Defence training model 5–1

5–2 Critical questions in the review of assessment

processes 5–18

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LIST OF TABLES

Table Title Page

2–1 Inputs, process and products of the conduct needs

assessment process 2–6

2–2 Inputs, process and products of the job analysis

process 2–11

2–3 Inputs, process and products of the analyse target

population process 2–16

2–4 Inputs, process and products of the performance gap

process 2–19

2–5 Inputs, process and products of the feasibility analysis

process 2–21

2–6 Inputs, process and products for specifying the

training requirement 2–27

3–1 Inputs, process and products of a competency

analysis 3–7

3–2 Inputs, process and products of a learner analysis 3–12 3–3 Inputs, process and products of a competency analysis 3–16

3–4 Inputs, process and products of learning outcomes 3–19

3–5 Course learning outcome levels 3–23

3–6 Inputs, process and products for designing an

assessment strategy 3–26

3–7 Inputs, process and products for designing a training

strategy 3–33

3–8 Inputs, process and products for compiling curriculum 3–41 3–9 Inputs, process and products for designing training

review and evaluation strategies 3–43

3–10 Inputs, process and products for compiling a draft

Training Management Package 3–48

3L–1 Training review strategy 3L–2

3L–2 Evaluation strategy 3L–3

4–1 Inputs, process and products for checking existing

training materials and equipment 4–4

4–2 Inputs, process and products for obtaining training

materials and equipment 4–6

4–3 Inputs, process and products for pilot assessments

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5–1 Inputs, process and products of administering training

preparation 5–6

5–2 Inputs, process and products for implementing

pre-testing/assessments 5–9

5–3 Inputs, process and products of conducting training 5–12 5–4 Inputs, process and products for conducting

assessment 5–15

5–5 Inputs, process and products for post-course

administration 5–20

5–6 Inputs, process and products for conducting training

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CHAPTER 1 INTRODUCTION

1

OVERVIEW OF THE DEFENCE TRAINING MODEL

1.1

Introduction 1.1

1.1 This chapter provides an overview of the Defence training

model (DTM). In addition it introduces the phases of the model and significant features of their management.

1.2 Terminology. Much of the terminology used in this publication is national terminology, defined by the Department of Education, Science and Technology (DEST) for application within the National Training Framework (NTF).

1.3 Purpose. The purpose of the DTM is to achieve training that meets work force capability requirements effectively and efficiently. It does this by providing a common approach to work force performance problems, an approach that:

a. directs training towards workplace performance needs;

b. employs training strategies that reflect best practice, are feasible, and make the best use of available resources; c. supports management of training implementation; and

d. bases decisions to improve training effectiveness and

efficiency on evaluation information.

1.4 Underlying principles. The delivery of quality training in Defence and the content of the DTM are based on six principles:

a. Principle 1. All Defence personnel, particularly leaders and managers, are responsible for enhancing Defence capability by developing their people and themselves.

b. Principle 2. Defence training, education and other development experiences, develop Defence capability by preparing the work force for the roles, duties and tasks assigned and anticipated.

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d. Principle 4. Defence uses a systems approach that ensures training:

(1) is directly related to improving the skills, knowledge and attitudes required for Defence capability;

(2) is the most cost-effective intervention;

(3) uses learner-centred approaches to delivery; and (4) is subject to continuous improvement1_.

e. Principle 5. Defence training and assessment applies competency-based training and assessment (CBTA) in accordance with the NTF2_{where practicable and cost-effective}

to do so.

f. Principle 6. Defence training and assessment is based on current, nationally endorsed training packages, where these are available and meet Defence requirements.

Phases of the Defence training model 1.5

1.5 The phases of the DTM are represented in figure 1–1. The figure shows a cyclic process structured to enable quality assurance and continuous improvement.

1 Continuous improvement processes should normally accord with the quality requirements of the Australian Quality Training Framework (AQTF) Standards for Registered Training Organisations (RTO).

2 The Defence application of CBTA in accordance with the NTF is described in Defence Instruction (General) (DI(G)) PERS 05–29—Implementation of the National Training

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Figure 1–1: Phases of the Defence training model

1.6 The model represents the Defence approach to training. The realities of training are that:

a. the entry point for the cycle depends on the aspect of training under consideration;

b. work flows, particularly during the ‘Design’ and ‘Develop’ phases, can be two-way;

c. phases may overlap and may be addressed concurrently; and d. the processes of continuous improvement overlap and link all

phases.

1.7 ‘Analyse’ phase. The ‘Analyse’ phase of the DTM is when the need for training (new or revised) to improve human performance is analysed and specified. This phase incorporates six main processes. To begin, a needs assessment determines that training is likely to be required for modifying workplace performance. With this established, a job analysis identifies the characteristics of the job performance required, and a target population analysis identifies the characteristics of the group of people who are to undertake that performance. A comparison of the two sets of characteristics identifies the existing performance gap. A feasibility analysis is then undertaken to identify the best solutions for closing this gap. If training is a recommended solution, details of the required workplace performances are recorded in a Training Requirement Specification (this document becomes

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1.8 ‘Design’ phase. The ‘Design’ phase of the DTM is when the assessment and learning strategies for training are selected, together with the strategies for evaluating the whole process of preparing for and conducting training. The object of these strategies is to ensure that the learning is achieved as efficiently and effectively as possible, and that it meets the original requirement. This phase begins with three analyses that may be undertaken concurrently. The competencies required for the job are analysed for their constituent skills, knowledge and attitudes, and the characteristics of both the likely learners and the circumstances in which assessment and learning could occur are identified. The products of these three analyses are used to generate the intended learning outcomes of the training. Once this end point is understood, strategies for both the assessing the achievement of these outcomes and the conduct of training are developed. These strategies are then combined to create a curriculum—the document that provides the specifications of the training to be conducted. With the curriculum established, strategies for the Training Review and Evaluation (TR&E) of the training can be developed. Finally, the strategies are combined to form the draft Training Management Package (TMP).

1.9 ‘Develop’ phase. In the ‘Develop’ phase of the DTM, the materials and equipment needed to conduct training and evaluate trainee performance are prepared in accordance with the agreed strategies, and a trial of the whole program/course is conducted. Important activities within this phase are the development of assessment and training materials, the compilation and development of learning materials and equipment (including technology-based aids), and the preparation of TR&E materials. The optimal sequence of learning activity is also mapped and learning facilitators/trainers and assessors are appropriately prepared. When ready, the developed training is tested and, where necessary, revised. The major product of the ‘Develop’ phase is a fully developed and tried program/course presented as a TMP.

1.10 ‘Conduct’ phase. The ‘Conduct’ phase of the DTM involves the ongoing implementation of training and associated assessment, and the training review (sometimes referred to as internal evaluation) processes. Fully developed training courses are programmed, administered, conducted, assessed and recorded using the materials and equipment prepared in the ‘Develop’ phase (notwithstanding this, within the parameters of the training documentation, learning staff may adapt the materials to suit their situation). Training may be conducted in training units, the workplace or other locations. The ‘Conduct’ phase can incorporate recognition processes to determine whether individuals already have the required competencies, proficiencies or other attributes.

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1.11 ‘Evaluate’ phase. Evaluation is the process of checking how well training has prepared learners for the workplace and whether the original capability requirement has been met. Evaluation identifies under- and over-training, the strengths and shortfalls of training, and makes recommendations for improvement. These recommendations thereby become inputs to the ‘Analysis’ and other phases for the next cycle of the DTM. Evaluation incorporates four processes: planning the work, collecting information from the job environment, analysing and synthesising that information to identify ways in which training can be improved, and reporting to the appropriate authorities.

Management of the Defence training model 1.12

1.12 Training application and implementation responsibilities. The DTM applies to all Defence training (individual and collective training3_),

whether developed or being developed, and whether sourced internally or from an external agency. Responsibility for applying the model rests with the authorities designated by the Defence organisation with the controlling interest in the workplace performance and/or the training. These authorities are responsible for managing the respective DTM processes and for approving and maintaining their products.

GOVERNANCE AND MANAGEMENT

1.13

The role of the Defence training model in the management of Defence

training 1.13

1.13 The role of the DTM is to provide a common philosophy and consistent approach to the development of training within Defence. Head Defence Personnel Executive, as the Policy Owner (PO) for Human Resources within Defence, has delegated the Director-General Defence Education, Training and Development to act on their behalf to develop and coordinate Defence-wide education and training policy. The model is sponsored and managed by Defence Education, Training and Development as part of that responsibility.

1.14 Individual training is the responsibility of each Defence Group and each PO. This is achieved by each Service Training Command or equivalent operating as an RTO within the NTF. The Defence Learning Services Network operates as an RTO and is managed by the Defence Personnel Executive (DPE).

3 Although this publication is focused on individual training, the general principles have application to collective training. Further details on the relationship between individual and

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Application of the Defence training model 1.15

1.15 Defence training policy4_{requires that the DTM is to be applied to all}

Defence training, whether developed or being developed, and whether sourced internally or from an external agency. The policy acknowledges that the wide range of circumstances of Defence training is such that the DTM cannot always be fully applied. Where deviation from the DTM is necessary, it states that commanders and managers should ensure that the principles underpinning it should be followed as closely as possible.

Governance responsibilities 1.16

1.16 The governance of the DTM requires a whole-of-Defence approach and is managed by the DPE Training Committee System. At the highest level are the Defence Education and Training Committee (DETC). At the ‘working’ level, the subordinate committee which supports the DETC determinations is the Training Policy and Projects Group.

Management responsibilities 1.17

1.17 As the management of individual training is the responsibility of both Group and PO, each Group and PO should have a suitable organisational structure with clear lines of authority and accountability. At or near the top of this structure should be a position that designates the five authorities responsible for implementing the DTM.

1.18 The five authorities that oversee the phases of the DTM are the: a. Analyse Authority,

b. Design Authority, c. Develop Authority, d. Conduct Authority, and e. Evaluate Authority.

1.19 Each authority is responsible and accountable for managing the processes within their respective phase. This involves ensuring that suitable resources are available and that appropriate procedures and methods are followed. The authorities are also responsible for the accuracy, reliability, feasibility and affordability of the outputs from DTM work. They are to ensure that all relevant factors and all feasible options have been considered. Finally, they are also responsible for the quality assurance and continuous improvement of the processes and outputs for which they have responsibility.

4 DI(G) PERS 05–36—Implementation of the Defence Training Model in Defence Vocational

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1.20 The close association of training design and development processes requires a close working relationship between the respective authorities. For this reason, the same person may undertake the roles of the Design and Development Authorities. To provide objectivity and rigour it is preferred that the Analyse and Evaluate Authorities are not the same as the Design, Develop and Conduct Authorities.

1.21 Policy Owner responsibilities. Under the governance arrangements for business skilling PO have responsibility for the training requirements for whole of Defence policy domains. Within these arrangements, PO have been specified by the Defence Committee as the Analyse and Evaluate Authorities for their domain, as well as having the responsibility for authorising the training strategy for personnel working in their domain. They are also responsible for ensuring that consultation and coordination is undertaken and maintained with other stakeholders, and sourcing the funding for the training programs required to support domain policy changes and new initiatives. 1.22 The PO may delegate a Business Process Owner (BPO) or another agency with the responsibilities of Design, Development and Conduct Authority for their domain. The BPO (or delegated authority) will negotiate with service providers (whether they are within Defence or an external organisation) for the provision of design, development and/or conduct services.

1.23 Rationalised Defence training. Where training is to be rationalised across Services and/or Groups and is not the responsibility of a PO, a Manager of Joint Training (MJT) is appointed. The MJT has the responsibility for forming a Training Advisory Group, comprising the major stakeholders. The MJT is responsible for ensuring that the DTM is applied to the rationalised Defence training.

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THE ACCELERATED APPLICATION OF THE DEFENCE

TRAINING MODEL

1.24

1.24 It is preferable for Defence training and assessment to be designed and developed in accordance with all the phases, processes and steps of the DTM. However, in response to an urgent or unforeseen requirement, it may be necessary to expedite the processes, which means that the DTM steps will need to be accelerated. This acceleration is to be based on a documented risk assessment. The decision to accelerate the DTM rests with the commander of the force5_{, the Analysis Authority or the BPO. No matter what level of}

command or management is applying the DTM, a commander or manager must ensure the responsible staff are clear on the degree of risk that they are prepared to accept.

1.25 In considering the time available to plan, the relevant commander or manager should consider:

a. the provision of specific direction limiting options and focusing training development staff on those planning aspects the training authority feels are most important;

b. limiting the number of training options to be developed in order to achieve a workable plan that meets the workplace requirements in the time available;

c. maximising parallel planning with the early issue of outputs, and the sharing of all information with other training authorities and stakeholders. While this is an extremely effective method of increasing tempo, it must be balanced against the risk that the efforts of the other authorities will be wasted.

Risk management 1.26

1.26 The DTM is a tool that allows for the management of risk within the training environment. Risk management is the systematic application of procedures and practises for analysing, assessing, controlling and monitoring risk and is applied throughout the DTM. Rather than limiting activities through restrictive safety concerns, risk management allows the full potential to be achieved through managing rather than avoiding risk. The identification of

5 During the mission analysis phase of the joint military appreciation process (JMAP), a review of own forces is completed. This review involves an examination of own forces to determine the capabilities the available assets can bring to the operation. This assessment examines issues such as readiness levels, training levels achieved and morale of personnel. The own forces review seeks to determine whether forces are at an appropriate level of readiness, with sufficient resources to conduct operations within a specified time frame. If they are not then the commander may require the DTM to be applied to bring those assets personnel to the required level of capability. Further details on the JMAP are in ADFP 5.0.1—Joint Military

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various methods of delivery allows the commander or manager to manage and at times ameliorate, the risk associated with the prosecution of a training activity. At all stages throughout the execution of the DTM the application of risk management allows a training authority to detail the cost of the planned options. This cost can be measured in different ways depending on the circumstances and direction from the higher levels. Risk management is concerned with balancing identified threats against the harm those threats may inflict to various outcomes.

1.27 The objectives of risk management6_{as they apply to the DTM are to:}

a. enhance operational effectiveness, and

b. ensure training is conducted in a manner that ensures force preservation.

1.28 The enhancement of operational effectiveness is done by:

a. facilitating employment of the most effective training techniques and procedures while managing the risks that are inherent in the conduct of training,

b. ensuring that risk treatment measures can be tailored to meet training circumstances, and

c. avoiding a risk averse approach to managing training. 1.29 Force preservation is achieved by:

a. achieving a rigorous assessment of benefit against cost as a basis for decision-making;

b. the acceptance of risk at an appropriate level of command or management;

c. reinforcement of awareness of risks and the need for

appropriate treatment measures (including policy and procedures) in the planning and conduct of training; and

d. implementation of a process to identify risks and derive risk treatments that will mitigate risks as far as practicable.

1.30 The main point of risk management in training is that risks are best managed in the planning stages of an activity and in the development of policy regarding training management.

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A RAPID DEVELOPMENT PROCESS

1.31

1.31 In those circumstances where there is a great urgency in having a training product there is the possibility of using a rapid development process (RDP), supported by a risk management plan. Using the RDP involves accelerating the DTM. Making such judgments requires a higher level of expertise than normally required for full implementation of the DTM. However, the decision to proceed with an RDP rests with the commander of the force, Analysis Authority or the BPO.

1.32 Guidelines for the acceleration of the DTM through an RDP are: a. the extensive use and customisation of existing learning,

assessment and evaluation materials (if no such materials are available, the appropriateness of using the RDP process must be queried); and

b. combining some of the processes across phases of the DTM. Annex A provides an example of how these guidelines are applied to the DTM.

1.33 The RDP described is not the only such approach available. However, the use of any RDP should facilitate the full application of the DTM at a subsequent time if circumstances justify it.

CONTINUOUS IMPROVEMENT AND QUALITY

ASSURANCE

1.34

1.34 The DTM embodies the principles of continuous improvement and quality assurance. This accords with AQTF standards for RTO that state:

a. the RTO must collect and analyse stakeholder and client feedback and satisfaction data on the services it provides, and b. the RTO must use the information mentioned to review its

policies and procedures7_.

1.35 The DTM enables continuous improvement of Defence training through:

a. a structure that provides for links across all phases, processes and steps;

b. integrated formal quality assurance checks;

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c. establishing and maintaining auditable records from all processes and products; and

d. being a dynamic and transparent process.

1.36 The DTM is presented as a closed loop to represent its cyclical nature. The application of the DTM will result in training that is continually reviewed and improved. This continuous improvement is achieved through cooperative interaction between stakeholders which relies on communication that is timely, responsive and supportive.

1.37 Quality assurance checks. The principal quality checks incorporated in the DTM include the internal review processes.

1.38 Reporting. AQTF standards require RTO to document any actions taken to improve the quality and consistency of assessment and learning8_.

Formal reporting of findings from quality assurance checks should be provided to stakeholders. Methods for tracking the progress of recommended actions should be devised for each phase.

1.39 Record keeping. It is essential that accurate and comprehensive records are maintained in accordance with Commonwealth and AQTF audit requirements.

PROCURING TRAINING AND RESOURCES EXTERNAL TO

DEFENCE

1.40

1.40 A Defence decision to acquire a product or service by contract is made when the product or service cannot be gained internally. All or any of the DTM processes may be sourced externally. While Defence can outsource all or any part of the DTM processes, under national and Defence guidelines, the designated authority has responsibility for all outputs and outcomes. Particular attention should be given to the ‘Analyse’ and ‘Evaluate’ phases if these are outsourced. Under Defence guidelines, the products developed must be subject to review by an agency independent of the developer prior to acceptance.

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1.41 Outsourcing and nationally recognised qualifications. Due care must be taken if outsourced training leads to the award of a nationally recognised qualification under the Australian Qualifications Framework. If the commercial training provider is awarding the qualification, the provider must be an RTO with the qualification listed under their scope of registration. If the qualification is to be awarded under the scope of a Defence RTO, then the contract governing the service must explicitly state the responsibilities for meeting required AQTF standards9_.

1.42 Guidelines and instructions. The Commonwealth and Defence provide guidance and instructions to manage outsourcing. The

Commonwealth Procurement Guidelines and Best Practice Guidance clarify what is required and expected in Commonwealth purchasing. Advice on the procedures for the procurement of goods and services in Defence can be found on the Defence Materiel Organisation web site

see http://www.defence.gov.au/dmo/.

1.43 The capability and operational outcomes of Defence are dependent on the performance of its people. The DTM is a systematic approach to developing the competencies of Defence personnel. The DTM ensures a common and consistent approach to the analysis, design, development, conduct and evaluation of training. It incorporates quality assurance and continuous improvement. The DTM is sufficiently general for application to all Defence training requirements.

1.44 To support the successful implementation of the DTM there must be in place appropriate governance and management processes as well as adequate resources. This chapter has described how these two elements might be addressed. Finally, a methodology has been discussed for making training available in an expeditious manner. Adopting this approach involves special circumstances and the development of a thorough risk analysis. Annex:

A. An example of a rapid development process

9 DEST Standard 1.6 for RTO (08 June 2001) states that:

a. The RTO must have, and comply with, a written agreement with each organisation that provides training and/or assessment on behalf of the RTO.

b. The agreement must specify how each party to the agreement will discharge its responsibilities for compliance with the Standards for RTO.

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ADFP 7.0.2 Chapter 1

AN EXAMPLE OF A RAPID DEVELOPMENT

PROCESS

A

Phase Process The application of the rapid development process Analyse Analyse the job Identify available job specifications.

Using either focus groups or interviews with key personnel, identify the performance gap statement, possible training and non-training solutions to the performance gap, and gather data for the Target Population Profile. If training forms part of the agreed solution, document the requirement in the form of a Training Requirement

Specification (TRS).

The job/Policy/Business Process Owner is to formally agree to the TRS. This agreement, together with the TRS is to be placed on the program/course file. Analyse the target

population Determine the performance gap Conduct feasibility analysis

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ADFP 7.0.2

Design Analyse prospective learners

In the rapid development process, this is best done in conjunction with the ‘Analyse’ phase.

Analyse learning and assessment

environments

Identify, seek out and assemble existing, relevant learning outcomes; assessment, training, Training Review and Evaluation (TR&E) strategies; assessment guidance;materials and equipment for: assessment, training and learning, TR&E.

• Do these resources address the requirement? If so, use them. • If the materials are not immediately

useable, can they be readily customised to address the

requirement? If so, customise them. • Are additional resources needed? If yes, determine what is needed and decide how best to acquire them. Action this determination.

Generate learning outcomes Design assessment and training strategies Determine evaluation requirement

Decide the minimum acceptable level of evaluation and draft an outline

evaluation plan and program. Note: the outline evaluation plan and program and the development of required materials can then be completed during the ‘Conduct’ phase. The evaluation plan is to be placed on file as it is developed. Plan and develop

evaluation

Phase Process The application of the rapid development process

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ADFP 7.0.2

Develop Produce/procure training material and equipment

(commercial-off-the-shelf should be considered in the first instance)

Compile the training, learning and assessment materials into a logical learning order for the ‘Conduct’ phase. Write the learning outcomes based on the materials assembled and prepared. Confirm the validity of the learning outcomes against the TRS.Amend, redevelop as necessary and place a copy on the program/course file. Prepare/brief

administration staff, trainers and assessors

Keep stakeholders informed throughout the development process.

Administer assessment and training preparations

Use existing, proven staff, procedures and processes as much as possible.

Conduct The ‘Conduct’ phase should not be

condensed or abbreviated. It is to be implemented in accordance with guidance provided in the Defence training model (DTM).

Evaluate The ‘Evaluation’ phase should not be condensed or abbreviated. It should be implemented in accordance with guidance provided in the DTM. Phase Process The application of the rapid

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CHAPTER 2 THE ‘ANALYSE’ PHASE

2

Introduction 2.1

2.1 The ‘Analyse’ phase is the first of five phases constituting the Defence training model (DTM), as shown in figure 2–1. It is during this phase that the need for training is analysed and specified.

Figure 2–1: ‘Analyse’ phase of the Defence training model 2.2 As with all phases of the DTM and their constituent processes and steps, the level of application should match the circumstance. The guidance provided in this, and the other process manuals, is applicable to situations of high significance (eg the introduction of training in support of a major new Defence capability). Abbreviated processes may be appropriate in some circumstances.

Starting point 2.3

2.3 The DTM is applied to produce new, or to modify existing training. There are three circumstances in which its first phase, the ‘Analyse’ phase, is used:

a. A new capability requirement. New training may be necessary if job holders are required to contribute to a new or modified capability requirement. The requirement might arise

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equipment, software, or technology; or a change in employment area, legislative requirements, product requirements, or employment specifications.

b. Continuous improvement and evaluation feedback. Feedback from continuous improvement processes and evaluation can indicate that the training presently conducted is failing to meet workplace needs and/or it can be improved. c. Periodic review of competency standards. Changes to

competency standards are likely to require corresponding amendments to training. Periodic reviews of competency standards may be initiated either from within or external to Defence. (Competency standards forming part of nationally endorsed training packages are reviewed, on average, every three to five years.)

Processes of the ‘Analyse’ phase 2.4

2.4 The ‘Analyse’ phase is made up of six processes:

a. needs assessment;

b. job analysis;

c. target population analysis; d. determine performance gap; e. feasibility analysis; and

f. Training Requirement Specification (TRS).

The first of these, needs assessment, might be considered external to the DTM however, some form of needs assessment precedes all applications of the DTM.

2.5 The flow chart in annex A illustrates the processes and outputs of the ‘Analyse’ phase of the DTM, and annex B presents the purpose, inputs and products of each of the processes in tabular form.

2.6 Needs assessment. The DTM is applied in response to an identified need, where a need is the difference between the present and a required performance in a workplace. Before the DTM as a whole, or any of its parts is applied, some form of needs assessment is completed and training is identified as a possible solution to the problem.

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2.7 Job analysis. A job analysis identifies the performance requirement, both current and foreseen, for a given employment or job classification (such as task, job, or career/occupation). The requirement is recorded in terms of the duties, tasks, sub-tasks and elements that constitute the job. A job analysis may involve any one or combination of: a document search; direct observation; survey; and/or consultation with Policy Owners (PO), Business Process Owners (BPO), capability and trade sponsors, supervisors, managers and job holders. It also involves research of relevant existing competency standards and units and other proficiencies. Determining the training requirement requires understanding of what the job consists of, the standards of performance required, the context of performance, and how performance is judged. This information is recorded in a job specification. 2.8 Target population analysis. To identify what training is required, how much, and how it might best be conducted the characteristics and qualities of the target population must be understood. This is achieved through a target population analysis. The first step is to determine who comprises the target population (possibly the present job holders). The current competencies of its members are then identified, together with their typical characteristics and qualities (such as academic record and ability, employment experience, age, gender, physical characteristics, learning preferences, special aptitudes and motivation). This information is obtained from workforce records and plans, and from education and training records; other elements can be gained from surveys of likely learners and their supervisors/managers, or by direct assessment. Finally the information is recorded in a Target Population Profile. 2.9 Identification of the performance gap. A comparison of the competencies required to perform the job and those of the target population is used to identify the ‘performance gap’—the difference between current and required competence. The difference is recorded as a Statement of Performance Needs.

2.10 Feasibility analysis. There are several ways in which a deficiency in workplace competency can be met, of which training is just one. A feasibility analysis involves the determination of the best option for meeting the need. The analysis should include a cost/benefit analysis of training and non-training options, and should conform to current policies and instructions. Non-training options may include recruitment, automation, changing the job, re-allocating the job, and modifying the workplace. Three categories of training options should be considered: in-house, outsourced and a combination of these. For each option several factors must be reviewed, including the existence of similar training; the potential for using attendance, distance, and on the job methods; and the availability of training facilities and staff. The product of an analysis is a Feasibility Report that, when approved, is presented to the appropriate authorities.

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2.11 Training Requirement Specification. Having identified the workplace performances for which training will be conducted, the final process of the ‘Analyse’ phase is to formally document the requirement in a TRS. This specification records the requirement in terms of the people (numbers required, rates of throughput, any time limitations, and the context and recognition of their training) and the competencies they need to undertake the job1_{. In preparing the document, relevant existing training is}

investigated and decisions made on whether it might be used unchanged, or whether it might be customised to meet Defence needs. If no existing competency standards apply, new ones are written. The TRS lists the competency standards requiring training together with other important factors defining the training requirement. It provides the baseline against which subsequent training activity is measured.

Continuous improvement 2.12

2.12 While working on any of the processes of the ‘Analyse’ phase, stakeholder input is sought for help in assuring the quality of the product. A consequence is that the product is likely to require repeated revisions before acceptance. When each process and step is completed, an accurate and comprehensive record of the decisions contributing to it should be maintained. This record is likely to be referred to during all subsequent development of the training, in the near and long-term.

Key outputs and responsibilities 2.13

2.13 While each process of the ‘Analyse’ phase has outputs, the two key products of the phase are the job specification and the TRS.

2.14 Training Analysis Authority. The PO/BPO is the Training Analysis Authority for approving the documents of the phase, particularly its key outputs, in accordance with their responsibility for overseeing the work standards of an occupation (category/employment category number/ mustering etc). The sponsor is also responsible for retaining key documentation for audit, quality assurance and continuous improvement purposes. Notwithstanding the responsibilities, the ‘Analyse’ phase is performed jointly by representatives of both the training authority and the job/occupational sponsor.

1 The use of competency standards, units and elements of competence should accord with the guidelines of the National Training Framework (NTF described in Defence Instruction (General) (DI(G)) PERS 05–29—Implementation of the National Training Framework within

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Use of an external agency 2.15

2.15 In accordance with national guidelines, the quality assurance of all training by, or on behalf of Defence (by Defence staff, contractors, professional service providers, or other Registered Training Organisation (RTO)) remains the responsibility of Defence. As the ‘Analyse’ phase is one of the two key phases of the training cycle2_{, it should not be}

contracted out except where the scale of the project is beyond the in-house capacity and/or the necessary expertise is not available within Defence.

CONDUCT NEEDS ASSESSMENT

2.16

2.16 The DTM is a cyclical system. It is applied to a workplace situation when a difference is perceived between present and desired performance, and training is perceived as a way of resolving the difference. The workplace performance, or job, might be new—as when new equipment, systems or procedures are introduced—or the desired improvement might arise from policy changes, or simply when deficiencies in current performance are thought to exist.

2.17 Before the DTM is applied, the nature of the required performance should be identified and some assurance gained that training can significantly contribute to achieving it. This is accomplished through a needs assessment. 2.18 Training is not the only way of rectifying or improving workplace performance. In fact, training is often only one component of a total performance solutions package. In such situations all components are important, and training by itself may not solve the over-all performance deficiency. Other components to a solution package may include:

a. improving motivation by providing incentives;

b. employing staff with proven competence in the job,

reorganising the job to make better use of existing staff; c. provision of good quality job aids;

d. removal of obstacles preventing good performance; e. automating all or parts of the job;

f. applying more or enhanced resources to it (including time); and g. improving the quality of materiel used in the job, or the

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2.19 Any one or combination of these options might be the most cost-effective means of improving workplace productivity/performance. 2.20 A needs assessment is used to justify the initial application of the DTM to a performance problem and, at a lower level, its application for updating and amending existing training. The resources applied to the process should be proportional to the situation and its associated risks.

2.21 Purpose. The purpose of needs assessment is to scope the nature of the performance problem or opportunity, and to determine whether the DTM should be applied.

2.22 Responsibility. Responsibility for managing the ‘Analyse’ phase of the DTM lies with the Analysis Authority of the organisation owning the job performance. The Authority, or their delegate, should be satisfied that an adequate needs assessment has been conducted before authorising work on subsequent processes of the phase.

2.23 Triggers. The triggers for conducting a needs assessment include:

a. new or modified job/employment requirements (possibly

caused by new equipment and/or processes); b. changes to a national training package; or c. feedback from the ‘Evaluation’ phase.

Inputs, process and products 2.24

2.24 The inputs, process and products of the conduct needs assessment process are summarised in table 2–1.

Table 2–1: Inputs, process and products of the conduct needs assessment process

Inputs Directive, operational report, new or modified job or training package data, Evaluation Report, existing training.

Process Step 1: Establish the Terms of Reference (TOR). Step 2: Determine information requirements. Step 3: Plan and gather information.

Step 4: Collate and analyse information to make recommendations for further action.

Step 5: Report and record.

Products A Needs Assessment Report that provides a clear indication of the nature of the performance problem/opportunity, including its causes, and recommends further action, possibly including application of the DTM.

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Step 1: Establish the Terms of Reference 2.25

2.25 To ensure that subsequent work focuses on an agreed requirement, a TOR for a needs assessment should be produced. The terms should clearly establish the scope of the job/workplace performance being considered and, if relevant, how it relates with associated work in the organisation. It should present the background that gave rise to the perception that workplace performance can be improved. This background might describe any relevant history, the current position, and any foreseen developments. The terms should present any pertinent time factors, indicate any urgency involved, identify the agency responsible for the conduct of the assessment, and any specific reporting requirements.

Step 2: Determine information requirements 2.26

2.26 The information needed to assess possible solutions to a perceived workplace performance problem will be context specific, as directed by the TOR. In most instances information will be required about:

a. the current and desired workplace output, the difference between them, and what caused this difference (including history, directives, any benchmarks);

b. the factors that contribute, or could contribute to the output (including the physical factors of environment, equipment, materiel; and the human factors of work force size, location, capability, management, and motivation; and any policy or funding factors); and

c. the stakeholders involved with the employment and training of the relevant work force.

2.27 Consideration of these types of information will give rise to suggestions for achieving the desired levels of performance. These suggestions will themselves need to be researched so that their validity and value can be assessed.

Step 3: Plan and gather information 2.28

2.28 The planning and gathering of information for the needs assessment should identify the method to be used, the resources required, the means of acquiring the resources and the time frames involved. Methods of collecting information can include:

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c. communication with individuals (using recorded interviews and emails);

d. group surveys; and

e. research of documents and records.

2.29 The method(s) used and the scope of the needs assessment will determine what information collection materials should be prepared and, possibly, tested.

2.30 The emphasis given to planning and collecting the information required should be proportional to its significance. The work should involve representatives of all stakeholders in the outcome (workplace performance). This includes the job or policy/BPO, a sample of any existing job holders, those responsible for resources and policies contributing to the achievement of the required performance, and the ‘customers’ of that performance. Existing training providers and reference groups should also be considered. Step 4: Collate and analyse information to make recommendations 2.31

2.31 Once gathered, the information is collated and analysed. Particular attention is to be paid to identifying all options for achieving the required performance, not just the option of training people. The options need to be considered individually and in combination. They should be considered against such factors as:

a. the extent to which the performance is required (including the number/percentage of people involved);

b. the consequences of error if the performance is inadequate (threats to life and/or security);

c. the consequences of task delay (should the performance be automatic, instinctive or considered?);

d. the resource implications of implementing each solution; e. the timeliness of the solution (including the scope for

short-term and more strategic solutions); f. integrating solutions; and

g. access issues (geographic locations, mobility etc).

From such consideration arguments for and against the implementation of each option are developed. These arguments will commonly cover the benefits, costs, and associated risks in relation to the expected performance

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improvement. Logical consideration of these factors leads to recommendations being derived on which of the option(s) should be implemented.

Step 5: Report and record 2.32

2.32 The needs assessment should be recorded, reported and formally acknowledged as the basis of pursuing options to improve workplace performance. The Defence paper format detailed in Australian Defence Force Publication (ADFP) 04.1.2—Defence Writing Standards (currently ADFP 102) should be used for presenting the Needs Assessment Report.

2.33 The scale and scope of training needs assessments vary, and so therefore should the administrative effort applied to them. For a workplace output of low risk the effort might be minimal, but for high risk projects the effort required, and the detail of the analysis involved, would be greater.

ANALYSE THE JOB

2.34

2.34 Job analysis is the process of determining/confirming the workplace performance requirement, both current and foreseen, for a given domain or employment classification (task, job, or career/occupation). This performance requirement is recorded in a job specification. This document provides a benchmark for all subsequent related work.

2.35 Purpose. The purpose of a job analysis is to formally describe the career/job/task capability requirement in terms that can be commonly understood and used for training and other purposes.

2.36 Structure of jobs3_._{A job specification may be limited to one job within}

a career or occupation, or might cover all jobs within a specific career, occupation or employment group. Alternatively it can also be applied to describing the requirements of a particular domain (such as finance) which crosses employment classification boundaries. To understand workplace performance requirements, especially those that contribute to careers/occupations, it is useful to view jobs as part of hierarchical structure of work. The following diagram illustrates such a structure:

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Figure 2–2: Hierarchical structure of work Note

Simple definitions of the terms used in the diagram are provided in the following table:

Term Definition Example

Career or occupation

Sequence of related jobs requiring developing qualifications and/or experience Nurse Pilot Electronics technician

Job A post of employment

comprising a number of duties and tasks

Casualty nurse Seahawk pilot

Diesel engine maintainer

Duty A major area of job

responsibility comprising a grouping of closely related tasks

For diesel engine maintainer:

maintain and repair engine cooling systems

tune diesel engines

Task A discrete unit of work For diesel engine

maintainer:

conduct periodic services report major malfunctions

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2.37 Trigger. The trigger for this process is the approval of a needs assessment’s recommendation, as signified by the Analyse Authority (or their delegates) sign off on the Needs Assessment Report.

Inputs, process and products 2.38

2.38 The inputs, process and products of the job analysis process are summarised in table 2–2.

Table 2–2: Inputs, process and products of the job analysis process Sub-task A step in achieving a task For conduct periodic

services:

inspect/clean filters check/top-up coolant level Task element A step in achieving a sub- task For check/top-up coolant

level:

visually check level obtain coolant top-up coolant

Inputs Existing or related job specifications, job duty statements and selection criteria, Australian Public Service work level standards, process manuals current competency standards, project requirements, exercise/operation reports, observations, research, surveys.

Consultation with BPO, capability and trade sponsors, supervisors/managers and job holders and

legislative and licensing requirements and organisational policies.

Process Step 1: Establish scope of job analysis. Step 2: Determine information requirements. Step 3: Plan and implement information collection. Step 4: Collate and analyse information.

Step 5: Develop job specification.

Step 6: Gain authorisation for the job specification and disseminate.

Products An authorised job specification that provides a baseline description of the human performance requirements together with associated information.

DOCTRINE AND TRAINING SERIES ADFP THE DEFENCE TRAINING MODEL