Chapter ThreeNeeds AssessmentObjectivesAfter reading t

Chapter Three
Needs Assessment
Objectives
After reading this chapter, you should be able to
Discuss the role of organization analysis, person analysis, and
task analysis in needs assessment.
Identify different methods used in needs assessment and
identify the advantages and disadvantages of each method.
Discuss the concerns of upper- and mid-level managers and
trainers in needs assessment.
Explain how personal characteristics, input, output,
consequences, and feedback influence performance and
learning.
Create conditions to ensure that employees are receptive to
training.
Discuss the steps involved in conducting a task analysis.
Analyze task analysis data to determine the tasks for which
people need to be trained.
Explain competency models and the process used to develop
them.
Needs Assessment at McDonald’s, ADP, and HireRight
Needs assessment is a critical first step in designing new
training courses and revising existing ones. Consider how needs
assessment was used at McDonald’s, ADP, and HireRight.
McDonald’s conducted a needs assessment to help examine
where the company needed to go from a learning perspective to
help the company achieve its strategic goals. The chief learning
officer and her team examined employees’ backgrounds,
including education level, gender, language, age, and
generation, to get a better understanding of trainees. They
gathered data from employees about how frequently they used

online training content and how easy it was to access it. Also,
they reviewed the responsibilities, tasks, and leadership skills
for each job to ensure that they were supported by training
classes and curriculum. The needs assessment showed that
although more trainees were millennials and Generation Z, the
way that training was delivered did not meet their needs or
expectations. As a result,
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they created a shorter training curriculum that was more
accessible using smartphones, computers, and tablets.
ADP provides human resource management software and
services. ADP needed to revise a new hire training program that
took 17 weeks to complete. The program was too long to train
newly hired service associates and prepare them to begin
performing their roles. To redesign its training program so that
it was shorter but still effective, ADP conducted a needs
assessment. Learning and development team members
interviewed high-performing sales associates, observed client
calls, and analyzed data from over 3 million client calls to
identify the reasons for the calls and how they were typically
resolved.
HireRight, a company that provides background screening
services, conducted a needs assessment by surveying all of its
employees about the type of work environment they considered
the most engaging; interviewing company leaders and high-
performing employees about their skill needs; reviewing
benchmarking data; and analyzing important company
performance data. The needs assessment data were used to
create a new leadership development program and performance
management system, as well as to start an employee engagement
initiative.
Sources: Based on A. Kuzel, “How to Conduct a Learning
Audit”, Chief Learning Officer (November/December 2016), pp.
23–25, 66; “Outstanding Training Initiatives: ADP, LLC: Major
Accounts (MAS) Fast Path”, training (January/February 2017),
p. 100; www.adp.com, accessed March 14, 2018; “Building

Talent: The Very BEST of 2017, HireRight, LLC”, TD (October
2017), p. 81.
INTRODUCTION
As discussed in Chapter One, “Introduction to Employee
Training and Development,” effective training practices i nvolve
the use of a training design process. The design process begins
with a needs assessment. Subsequent steps in the process
include ensuring that employees have the motivation and basic
skills necessary to learn, creating a positive learning
environment, making sure that trainees use learned skills on the
job, choosing the training method, and evaluating whether
training has achieved the desired outcomes. As the company
examples in the chapter opener highlight, before you choose a
training method, it is important to determine what type of
training is necessary and how it should be delivered. Needs
assessment refers to the process used to determine whether
training is necessary.
Needs assessment typically involves organizational analysis,
person analysis, and task analysis.1 An organizational analysis
considers the context in which training will occur. That is,
organizational analysis involves determining the
appropriateness of training, given the company’s business
strategy, its resources available for training, and support by
managers and peers for training activities. You are already
familiar with one aspect of organizational analysis. Chapter
Two, “Strategic Training,” discussed the role of the company’s
business strategy in determining the frequency and type of
training.
Person analysis helps identify who needs training. Person
analysis involves (1) determining whether performance
deficiencies result from a lack of knowledge, skill, or ability (a
training issue) or from a motivational or work-design problem;
(2) identifying who
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needs training; and (3) determining employees’ readiness for
training. Task analysis identifies the important tasks and

knowledge, skills, and behaviors that need to be emphasized in
training for employees to complete their tasks.
WHY IS NEEDS ASSESSMENT NECESSARY?
Needs assessment is important because a manager or other
client asking for training—which focuses on closing skill gaps
resulting from a lack of knowledge or skill—could really be
asking for or need something else, such as a way to motivate
employees, change their perspectives or attitudes, or redesign
workflow.2 If a manager requests training for a performance
problem, what he or she is looking for is a solution to a problem
that may (or may not) involve training. In conducting a needs
assessment, your role is to determine if training is the
appropriate solution.
Needs assessment is the first step in the instructional design
process, and if it is not properly conducted, any one or more of
the following situations may occur:
Training may be incorrectly used as a solution to a performance
problem (when the solution should deal with employee
motivation, job design, or a better communication of
performance expectations).
Training programs may have the wrong content, objectives, or
methods.
Trainees may be sent to training programs for which they do not
have the basic skills, prerequisite skills, or confidence needed
to learn.
Training may not deliver the expected learning, behavior
change, or financial results that the company expects.
Money may be spent on training programs that are unnecessary
because they are unrelated to the company’s business strategy.
Figure 3.1 shows the three types of analysis involved in needs
assessment and the causes and outcomes that result. There are
many different causes or “pressure points” that suggest that
training is necessary. These pressure points include
performance problems, new technology, internal or external
customer requests for training, job redesign, new legislation,
changes in customer preferences, the introduction of new

products or services or changes to existing ones, and
employees’ lack of basic skills. For example, consider the
pressure points that suggested training was necessary at BNSF
Railway and Verizon.3 BNSF Railway had to design new
training to ensure employees were proficient in inspecting
brakes because of the introduction of new federal regulations on
brake system safety standards. BNSF Railway developed virtual
reality training in which the employees work in a simulation
performing brake inspections on rail cars. New consumer and
business pricing plans meant that Verizon’s learning and
development team had just six days to train thousands of
customer service representatives. To deliver the training, the
team used webcasts and videos accessed on iPads and in-person
skill drills conducted by trainers and store managers.
FIGURE 3.1 Causes and Outcomes of Needs Assessment
Note that these pressure points do not automatically mean that
training is the correct solution. For example, consider a delivery
truck driver whose job is to deliver anesthetic gases to medical
facilities. The driver mistakenly hooks up the supply line of a
mild anesthetic to the supply line of a hospital’s oxygen system,
contaminating the hospital’s oxygen supply. Why did the driver
make this mistake, which is clearly a performance problem?The
driver may have made this mistake because of a lack of
knowledge about the appropriate line hookup for the anesthetic,
because of anger over a requested salary increase that his
manager recently denied, or because of mislabeled valves for
connecting the gas supply. Only the lack of knowledge can be
addressed by training. The other pressure points require
reviewing and making decisions related to the driver’s anger-
motivated behavior (fire the driver) or the design of the work
environment (remind supervisors and drivers to check that
valves and hookup lines are properly labeled at all work sites).
What outcomes result from a needs assessment? Needs
assessment provides important input into most of the remaining

steps in the training design. As shown in Figure 3.1, the needs
assessment process results in information related to who needs
training and what trainees need to learn, including the tasks in
which they need to be trained, plus any other knowledge, skill,
behavior, or additional job requirements. Needs assessment
helps determine whether the company will outsource its training
(i.e., purchase training from a vendor or consultant) or develop
training through internal resources. Determining exactly what
trainees need to learn is critical for the next step in the
instructional design process: identifying learning outcomes and
objectives. Chapter Four, “Learning and Transfer of Training,”
explores identifying learning outcomes and learning objectives
and creating a training environment so that learning occurs and
is used on the job. Through identifying the learning outcomes
and resources available for training, the needs assessment also
provides information that helps the company choose the
appropriate training or development method (discussed in Part
Three of this book). Needs assessment also provides
information regarding the outcomes that should be collected to
evaluate training effectiveness. The process of evaluating
training is discussed in Chapter Six, “Training Evaluation.”
WHO SHOULD PARTICIPATE IN NEEDS ASSESSMENT?
Because the goal of needs assessment is to determine whether a
training need exists, who it exists for, and for what tasks
training is needed, it is important that all stakeholders are
included in the needs assessment. Stakeholders include persons
in the organization
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who have an interest in training and development and whose
support is important for determining its success (or failure).
Stakeholders include company leaders and top-level managers,
mid-level managers, trainers, and employees who are end users
of learning. There are several ways to ensure that stakeholders
are involved in needs assessment. One way is through
establishing formal advisory groups that meet on a regular basis
to discuss learning issues. Another way is to ensure that

relevant stakeholders are included in interviews, focus groups,
crowdsourcing, and surveys used for needs assessment.
Traditionally, only trainers were concerned with the needs
assessment process. But, as Chapter Two showed, as training is
increasingly being used to help the company achieve its
strategic goals, both upper- and mid-level managers are
becoming involved in the needs assessment process.
Table 3.1 shows the questions that company leaders, mid-level
managers, trainers, and employees are interested in answering
for organizational analysis, person analysis, and task analysis.
Company leaders include directors, CEOs, and vice presidents.
Company leaders view the needs assessment process from the
broader company perspective rather than focusing on specific
jobs. Company leaders are involved in the needs assessment
process to identify the role of training in relation to other
human resource practices in the company (e.g., selection and
compensation of employees). Company leaders want training to
anticipate needs and to be aligned with where the business is
going. Training and development need to improve employee
performance in such a way that they support the business
strategy. Learning efforts (training, development, knowledge
management) need to take an integrated and holistic approach—
rather than consist of a series of fragmented courses or
programs—and add value to the company. Company leaders are
also involved in identifying what business functions or units
need training (person analysis) and in determining if the
company has the necessary knowledge, skills, and abilities in its
workforce to meet the company’s strategy and be competitive in
the marketplace.
TABLE 3.1 Key Concerns of Company Leaders, Mid-Level
Managers, Trainers, and Employees in Needs Assessment
Mid-level managers are more concerned with how training may
affect the attainment of financial goals for the particular units
they supervise. As a result, for mid-level managers,

organizational analysis focuses on identifying (1) how much of
their budgets they want to devote to training; (2) the types of
employees who should receive training (e.g., engineers, or core
employees who are directly involved in producing goods or
providing services); and (3) for which jobs training could make
a difference in terms of improving products or customer
service.For example, at the BayCare hospital system in Florida,
the learning team created an advisory council comprised of
leaders from all levels of the hospital.4 The purpose of the
council is to provide advice and ideas about any planned talent
management program. For example, the advisory board provides
advice about how training should be delivered, who should be
included in the training, and how training effectiveness should
be determined.
All of the 150 employees at LaSalle Network, a staffing and
recruiting company based in Chicago, are regularly asked what
weaknesses they want to improve and what skills they want to
learn. Everyone, including the company CEO, the human
resources staff, managers, mentors, and the training staff, ask
these questions. Training programs, courses, and employee
development activities are chosen to address the weaknesses and
skills identified.5 At CarMax, top-performing employees are
observed and interviewed to identify the behaviors that are
responsible for their high performance.6 These behaviors are
emphasized in training to help benefit all employees. Top
performers are also asked to provide content or
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to appear in videos used for training. The learning team partners
with business leaders and human resources to come up with a
plan for evaluating the effectiveness of training.
As discussed in Chapter Two, trainers (including training
managers and instructional designers) need to consider whether
training is aligned with the business strategy. However, trainers
are primarily interested in needs assessment to provide them
with the information they need to administer, develop, and
support training programs. This information includes

determining if training should be purchased or developed in-
house, identifying the tasks for which employees need to be
trained, and determining upper- and mid-level managers’
interest in and support for training.
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Employees have several interests in needs assessment. From an
organizational perspective, they are concerned with how the
company values learning: Is learning rewarded? Does learning
help them improve their job performance or meet their career
goals? Is it easy to get access to formal and informal learning
opportunities? They also want to know if their manager can be
expected to encourage them to take courses and programs or
informally learn, and whether they will be given support in
applying what they have learned. Employees have to determine
whether they are motivated to learn, as well as what tasks,
knowledge, skills, or competencies they need for their current
job or career.
Company leaders are usually involved in determining whether
training meets the company’s strategy and then providing the
appropriate financial resources. Upper-level managers are not
usually involved in identifying which employees need training,
the tasks for which training is needed, or the knowledge, skills,
abilities, and other characteristics needed to complete those
tasks. This is the role of subject-matter experts (SMEs).
Subject-matter experts (SMEs) are employees, academics,
managers, technical experts, trainers, and even customers or
suppliers who are knowledgeable with regard to (1) training
issues, including tasks to be performed; (2) the knowledge,
skills, and abilities required for successful task performance;
(3) the necessary equipment; and (4) the conditions under which
the tasks have to be performed. A key issue with SMEs is
making sure that they are knowledgeable about the content that
training must cover, as well as realistic enough to be able to
prioritize what content is critical to cover in the time allotted
for the subject in the training curriculum. SMEs must also have

information that is relevant to the company’s business and have
an understanding of the company’s language, tools, and
products. There is no rule regarding how many types of
employees should be represented in the group conducting the
needs assessment. Still, it is important to get a sample of job
incumbents (employees who are currently performing the job)
involved in the process because they tend to be most
knowledgeable about the job. Also, these employees can be a
great hindrance to the training process if they do not feel they
have had input into the needs assessment.
MasTec, a construction company that engineers, procures,
constructs, and maintains the infrastructures for electric power
transmission and distribution, oil and natural gas pipelines, and
communications companies, wanted to develop an online
learning management system through which employees could
access training and development courses.7 MasTec conducted a
needs assessment to determine the technolo gy and functionality
that was needed to support new training programs and to
identify unique employee needs. The development team started
by conducting a stakeholder analysis. This involved considering
who would be involved in the process, understanding how to
partner with them, and determining what type of information
they could offer. It included meeting with safety team leaders,
trainers, and construction crew members, observing employees
performing their jobs, and attending existing training classes.
The development team recorded every need and request made
throughout this process. As a result of this analysis, it identified
four goals for the learning management system. These goals
included (1) increasing the accessibility of training content, (2)
increasing the flexibility and variety in how training is
delivered and completed, (3) improving the training registration
process for employees, and (4) creating reporting tools to make
training requirements, participation, and completion visible to
employees, their managers, and the employee development
group.
At Fatima Fertilizer Company in Pakistan, engineers or

technicians who have become training coordinators work with
employees and managers to measure performance anddetermine
training needs based on the knowledge and competency goals
established for each department. Each department submits
monthly training reports to the training and development team.
Executive and department committees meet quarterly with the
training and development team to review their progress toward
meeting the knowledge and competency goals and to make
adjustments in training plans.8
METHODS USED IN NEEDS ASSESSMENT
Several methods are used to conduct needs assessment,
including observing employees performing the job; interviewing
SMEs; asking SMEs to complete surveys designed to identify
the tasks and knowledge, skills, abilities, and other
characteristics required for a job; conducting focus groups with
SMEs; reading technical manuals and other documentation;
using technology; and using historical data. Table 3.2 presents
the advantages and disadvantages of each method.
TABLE 3.2 Advantages and Disadvantages of Needs
Assessment Techniques
Technique
Advantages
Disadvantages
Observation
· Generates data relevant to work environment
· Minimizes interruption of work
· Needs skilled observers
· Employees’ behavior may be affected by being observed
Surveys
· Inexpensive
· Can collect data from a large number of persons
· Data easily summarized
· Requires time
· Possible low return rates; inappropriate responses
· Lacks detail
· Only provides information directly related to questions asked

Interviews
· Good at uncovering details of training needs, as well as causes
of and solutions to problems
· Can explore unanticipated issues that come up
· Questions can be modified
· Time-consuming
· Difficult to analyze
· Needs skilled interviewers
· Can be threatening to SMEs
· Difficult to schedule
· SMEs provide only information they think you want to hear
Focus groups, Crowdsourcing
· Useful with complex or controversial issues that one person
may be unable or unwilling to explore
· Questions can be modified to explore unanticipated issues
· Reduces risk that training based on needs assessment will be
rejected by stakeholders
· Time-consuming to organize
· Group members provide only information they think you want
to hear
Documentation (technical manuals, records, research studies)
· Good source of information on procedure
· Objective
· Good source of task information for new jobs and jobs in the
process of being created
· You may be unable to understand technical language
· Materials may be obsolete
Technology
· Objective
· Minimizes interruption of work
· Requires limited human involvement
· Data can be quickly summarized into reports
· May threaten employees
· Manager may use information to punish rather than train
Historical data reviews
· Provide data related to performance and practices

· Available data may be inaccurate or incomplete, or may not
fully represent performance
Sources: Based on A. Kuzel, “How to Conduct a Learning
Audit”, Chief Learning Officer (November/December 2016), pp.
23–25, 66; S. V. Steadham, “Learning to Select a Needs
Assessment Strategy,” Training and Development Journal
(January 1980), pp. 56–61; R. J. Mirabile, “Everything You
Wanted to Know About Competency Modeling,” Training and
Development (August 1997), p. 74; K. Gupta, A Practical Guide
to Needs Assessment (San Francisco: Jossey-Bass, 1999); M.
Casey and D. Doverspike, “Training Needs Analysis and
Evaluation for New Technologies Through the Use of Problem-
Based Inquiry,” Performance Improvement Quarterly 18, 1
(2005), pp. 110–124.
Face-to-face and telephone interviews are time-consuming, but
more detailed information regarding training needs can be
collected. Consider how Nuance Communications used
interviews for needs assessment. Nuance Communications is a
global company with headquarters in Massachusetts that focuses
on voice communications that can help people use new
technologies to interact and communicate with machines.9
Nuance’s CEO wanted its learning and development team to
help improve the retention and career progression of its
technologists. The learning and development team talked with
the company’s leaders to understand their concerns and
expectations. Based on their input, the team provided some
initial training ideas and asked for feedback. Also, they
interviewed the technologists to get their impressions of the
strategic direction of the company and identify the
characteristics and behaviors of average and outstanding
performers. The interviews with the leaders and technologists
were critical for designing three training programs that met the
company’s needs. These training programs included one in
which internal experts share their knowledge and experiences,
another that helps technologists develop a better understanding

of the company, and a third that helps technologists acquire
knowledge specific to the industry or technology in which they
work.
The advantage of surveys is that information can be collected
from a large number of persons. Also, surveys allow many
employees to participate in the needs assessment process.
However, when using surveys, it is difficult to collect detailed
information regarding training needs. Focus groups are a type of
SME interview that involves a face-to-face meeting with groups
of stakeholders or SMEs in which the questions that are asked
relate to specific training needs. For example, the learning team
at Cartus uses focus groups consisting of managers and
employees from the department for which training is being
developed.10 The focus groups discuss the department’s
business goals and the gaps they feel need to be closed to reach
those goals. The focus groups help identify and prioritize
training needs. Crowdsourcing can also be used for needs
assessment. In this context, crowdsourcing refers to asking
stakeholders to provide information for needs assessment.
Computer Services Corporation uses “Ideation,” a web-based
tool for collaboration and crowdsourcing, to help identify
training needs.11 The process requires a review team to filter,
sort, and build on the best ideas. The process allows the
learning department to get a larger number of employees
involved in the needs assessment process rather than relying
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only on interviews with SMEs. It is important to verify the
results of interviews, surveys, and focus groups however,
because what employees and managers say they do and what
they really do may differ.
For newly created jobs, trainers often do not have job
incumbents to rely on for needs assessment information.
Technical diagrams, research studies, simulations, and
equipment designers can provide information regarding the

training requirements, tasks, and conditions under which a job
is performed. This information is especially useful for newly
created jobs where trainers do not have job incumbents they can
observe, survey, interview, or ask to participate in a focus
group. LeadingRE used the results of a research study it
purchased from a consulting firm as part of its needs
assessment.12 The research study identified residential real
estate customers’ interests, desires, emotions, attitudes, and
lifestyles. LeadingRE used this information to design training to
teach its agents the types of questions to ask their customers to
better understand their preferences, create stronger
relationships, and enhance sales.
Technology that monitors employee behavior and performance
also can be used for needs assessment. Software and wearables
such as Google glasses can be used to collect data on employee
behavior and performance. For example, employees in the melt
department at H&H Castings have a demanding and potentially
dangerous job that requires them to pour hot aluminum into
casting molds.13 To reduce the risk of accidents and improve
new employee training, H&H Castings analyzed the job tasks of
its melt department employees and identified the procedures
needed to complete them. To identify the tasks and procedures,
employees wore eye-tracking glasses as they worked. A
computer connected to the eye-tracking glasses recorded what
employees were looking at as they worked and provided a
detailed and precise view of how employees completed their job
tasks. The results showed that the work requires a high level of
concentration. The perspective obtained from the eye-tracking
glasses was used to create videos that are now used for both
training new employees and identifying changes that could be
made to make the mold-pouring process safer and more
efficient. This information also is useful for identifying training
needs and providing employees with feedback regarding their
skill strengths and weaknesses. In call centers, technology
provides an ongoing assessment of performance.14 An
employee who triggers the online system by failing to meet a

defined standard, such as receiving more than five callbacks on
an unresolved issue, is automatically referred to the appropriate
job aid or training event. As shown in Table 3.2, online
technology offers several advantages: it provides an objective
report of behaviors, the data can be quickly summarized into
reports, it does not require a trainer or SME to observe or
interview employees, and it minimizes work interruptions.
However, for technology to be effective, managers need to
ensure that the information is used to train employees, rather
than punish them. Otherwise, employees will feel threatened,
which will contribute to employee dissatisfaction and turnover.
Historical data reviews can also provide helpful information to
determine training needs. Historical data review involves
collecting performance data from electronic or paper records. It
provides information regarding current performance levels,
which is useful for identifying gaps between actual and desired
performance. For example, a needs assessment conducted at a
hospital to determine the causes of a high number of errors in
radiology orders (e.g., x-rays) from physicians collected
historical data on errors, including incorrect exams,
examination of the wrong side of the patient’s body, use of
incorrect diagnosis codes, and duplicate orders.15 The historical
data were used along with semi-structured
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interviews and observations to identify the causes for the errors
and interventions to reduce them. For companies that have
introduced a new technology, another source of historical data
is the help desk that companies often set up to deal with calls
regarding problems, deficiencies in training, or deficiencies in
documentation, software, or systems.16 Help-desk management
software can categorize and track calls and questions by
application, by caller, or by vendor. Report creation capability
built into the software makes it easy to generate documents on
user problems and identify themes among calls. Analyzing these
calls is practical for identifying gaps in training. For example,
common types of call problems can be analyzed to determine if

they are due to inadequate coverage in the training program
and/or inadequate written documentation and job aids used by
trainees.
Because no single method of conducting needs assessment is
superior to the others, multiple methods are usually used. The
methods vary in the type of information, as well as the level of
detail provided. For example, at Brown-Forman Corporation,
producer and marketer of beverages and alcohol brands such as
Jack Daniel’s Tennessee Whiskey, training needs are identified
in a number of different ways, including monitoring employee
development and performance management data, trends in the
beverage alcohol industry, and issues raised by the company’s
operating groups who pay for training services.17 To help
develop Choice Hotels’ leadership foundations program for new
managers, focus groups were held with experienced managers to
identify topics that should be included.18 Also, data from talent
assessments were reviewed. The company’s top executives
reviewed the course descriptions as they were being developed
to ensure they were focused on the right skills.
Many companies are also using information about other
companies’ training practices (a process known as
benchmarking) to help determine the appropriate type, level,
and frequency of training.19 For example, The Boeing
Company, UPS, Walmart, Johnsonville Sausage, and 50 other
companies are members of the ATD (Association for Talent
Development) forum.20 Each company completes a common
survey instrument, responding to questions on training costs,
staff size, administration, design, program development, and
delivery. The information is then summarized and shared with
the participating companies.
THE NEEDS ASSESSMENT PROCESS
This section examines the three elements of needs assessment:
organizational analysis, person analysis, and task analysis.
Figure 3.2 illustrates the needs assessment process. While any
one analysis can indicate the need for training, companies need
to consider the information from all three types of analysis

before the decision is made to devote time and money to
training. In practice, organizational analysis, person analysis,
and task analysis are not conducted in any order. However,
because organizational analysis is concerned with identifying
whether training suits the company’s strategic objectives and
whether the company has the budget, time, and expertise for
training (the context for training), it is usually conducted first.
Person analysis and task analysis are often conducted at the
same time because it is difficult to determine whether
performance deficiencies are a training problem without first
understanding the tasks and the work environment. An initial
organizational analysis may suggest that a company does not
want to spend financial resources on training. However, if
person analysis reveals that a large number of employees lack a
skill in an important area
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that is related to the company’s business objectives (such as
customer service), upper-level managers may decide to
reallocate financial resources for training.
FIGURE 3.2 The Needs Assessment Process
Organizational Analysis
Organizational analysis involves identifying whether training
supports the company’s strategic direction; whether managers,
peers, and employees support training activity; and what
training resources are available. Table 3.3 provides questions
that trainers should ask in an organizational analysis. Some
combination of documentation, interviews, focus groups, or
surveys of managers, individuals in the training function, and
employees should be used to answer these questions.
TABLE 3.3 Questions to Ask in an Organizational Analysis
· How might the training content affect our employees’
relationship with our customers?
· What might suppliers, customers, or partners need to know
about the training program?

· How does this program align with the strategic needs of the
business?
· What business and performance results do clients of training
and development (typically business leaders) want?
· Should organizational resources be devoted to this program?
· What do we need from managers and peers for this training to
succeed?
· What features of the work environment might interfere with
training (e.g., lack of equipment, no time to use new skills)?
· Do we have experts who can help us develop the program
content and ensure that we understand the needs of the business
as we develop the program?
· Will employees perceive the training program as an
opportunity? Reward? Punishment? Waste of time?
· Which persons or groups (e.g., employees, managers, vendors,
suppliers, and/or program developers) have an interest in seeing
training succeed? Whose support do we need?
Sources: Based on D. Robinson, “Transitioning from Order-
Taker to Impact-Maker”, TD (January 2018), pp. 42–46; F.
Nickols, “Why a Stakeholder Approach to Evaluating
Training?” Advances in Developing Human Resources
(February 2005), pp. 121–134; S. Tannenbaum, “A Strategic
View of Organizational Training and Learning.” in Creating,
Implementing, and Managing Effective Training and
Development, ed. K. Kraiger (San Francisco: Jossey-Bass,
2002), pp. 10–52.
The Company’s Strategic Direction
How the company’s business strategy influences training was
discussed in Chapter Two. The strategic role of training
influences the frequency and type of training and how the
training function is organized in the company. In companies in
which training is expected to contribute to the achievement of
business strategies and goals, the amount of money allocated to
training and the frequency of training will likely be higher than
in companies in which training is done haphazardly or with no

strategic intent. For example, companies that believe learning
contributes to their competitive advantage or that have adopted
high-performance
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work systems (e.g., teams) are likely to have greater training
budgets and conduct more training. The business strategy also
influences the type of training. For example, as noted in
Chapter Two, companies that have adopted a disinvestment
strategy are more likely to focus on outplacement assistance and
job search skills training than are companies with other
strategic initiatives. Last, the greater the strategic role of
training, the more likely that the company will organize the
training function using the business-embedded or corporate
university models. Both of these models emphasize the use of
training to help solve business problems.
For example, to stay competitive, IBM has to stay up-to-date on
the newest technology and business trends.21 IBM has to
constantly reinvent itself to ensure that it can meet the needs of
its customers. This means that employees also must continue to
develop new knowledge and skills. From a learning perspective,
IBM has to ensure that the learning content it offers, including
both face-to-face and online courses, provides employees with
the latest knowledge and skills. To accomplish this, IBM keeps
track of both how often employees use the learning content it
offers as well as how useful that content is, based on
employees’ evaluations. At the end of 2013, IBM eliminated 39
percent of the learning content that few employees found useful
or used. This included 7,600 courses!
Support of Managers, Peers, and Employees for Training
Activities
A number of studies have found that peer and manager support
for training is critical, along with employee enthusiasm and
motivation to attend training. The key factors for success are a
positive attitude among peers, managers, and employees about
participation in training activities; managers’ and peers’

willingness to provide information to trainees about how they
can use the knowledge, skills, or behaviors learned in training
to perform their jobs more effectively; and opportunities for
trainees to use training content in their jobs.22 If peers’ and
managers’ attitudes and behaviors are not supportive, employees
are not likely to apply training content to their jobs.
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Training Resources
It is necessary to identify whether the company has the budget,
time, and expertise for training. One of the questions that the
company must answer is whether it has the resources (i.e., time,
money, and expertise) to build or develop training programs
itself or whether it should buy them from a vendor or consulting
firm. This is known as the “buy versus build” decision. For
example, if the company is installing computer-based
manufacturing equipment in one of its plants, it has three
possible strategies for dealing with the need to have computer-
literate employees. First, the company may decide that, given
its staff expertise and budget, it can use internal consultants to
train all affected employees. Second, the company may decide
that it is more cost effective to identify employees who are
computer literate by using tests and work samples. Employees
who fail the test or perform below standards on the work sample
can be reassigned to other jobs. Choosing this strategy suggests
that the company has decided to devote resources to selection
and placement rather than training. Third, because it lacks time
or expertise, the company may decide to buy training from a
consultant. We will discuss how to identify and choose a high-
quality vendor or consultant to provide training services in
Chapter Five, “Program Design.”
One way to identify training resources is for companies with
similar operations or departments located across the country or
the world to share ideas and practices. Kaiser Permanente, a
California-based health-care company, is organized by regional
business units.23 In each region the company integrates health-

care delivery, including hospitals, outpatient services, and
insurance providers. One of its concerns was how to provide
consistent and high-quality learning and development
opportunities for employees in all of the regions. To do so, the
vice president of learning and development created a group, the
National Learning Leaders, which includes leaders from account
management, sales, compliance, quality improvement, and
patient safety. The National Learning Leaders meet three times
every year and in smaller working groups in the months when
the full membership is not scheduled to meet. They discuss how
to develop learning solutions that can be implemented across
the business and what kinds of services should be provided by
the learning organizations within each region. This has resulted
in learning initiatives that are consistent across the regions and
delivered in a way that enhances employee participation. For
example, based on input from the National Learning Leaders,
online and hybrid training courses on patient safety were
developed. So far, 19,000 employees have completed these
modules, compared to only 50 who attended classroom-based
training.
Person Analysis
Person analysis helps identify employees who need training,
perhaps due to lack of training or poor previous training. This is
often referred to as a gap analysis. A gap analysis includes
determining what is responsible for the difference between
employees’ current and expected performance. The need for
training may result from the pressure points in Figure 3.1,
including performance problems, changes in the job, or the use
of new technology. Person analysis also helps to determine
employees’ readiness for training. Readiness for training refers
to whether (1) employees have the personal characteristics
(ability, attitudes, beliefs, and motivation) necessary to learn
program content and apply it on the job, and (2) the work
environment will facilitate learning and not interfere with
performance. This process includes evaluating person
characteristics, input, output, consequences, and feedback.24

A major pressure point for training is poor or substandard
performance. Poor performance is indicated by customer
complaints, low performance ratings, or on-the-job incidents
such as accidents and unsafe behavior. Another potential
indicator of the need for training is if the job changes such that
current levels of performance need to be improved or employees
must be able to complete new tasks.
The Process for Person Analysis
Figure 3.3 shows the process for analyzing the factors that
influence performance and learning. Person characteristics refer
to employee knowledge, skill, ability, and attitudes. Input
relates to the instructions that tell employees what, how, and
when to perform. Input also refers to the resources that the
employees are given to help them perform. These resources may
relate to equipment, time, or budget. Output refers to the job’s
performance standards.page 133
Consequences refer to the type of incentives that employees
receive for performing well. Feedback refers to the information
that employees receive while they are performing.
FIGURE 3.3 The Process for Analyzing the Factors That
Influence Employee Performance and Learning
Sources: R. Jaenke, “Identify the Real Reasons Behind
Performance Gaps”, T+D (August 2013), pp. 76–77.; C.
Reinhart, “How to Leap over Barriers to Performance,” Training
and Development (January 2000), pp. 20–24; G. Rummler and
K. Morrill, “The Results Chain,” T+D (February 2005), pp. 27–
35.
Interviews or questionnaires can be used to measure person
characteristics, input, output, consequences, and feedback. For
example, a package delivery company believed that lead drivers
were valuable for providing on-the-job training for new
employees.25 The company employed 110 lead drivers, and the

job involved driving, delivery, and bookkeeping duties. The
lead drivers benefited from their training role because coaching
and training made their jobs more interesting, and the company
benefited because on-the-job training was relatively inexpensive
and effective. Lead drivers were often able to quickly spot and
correct performance problems with new trainees, and they knew
the technical aspects of the delivery job quite well. Although
many of the lead drivers were already good trainers and
coaches, the company believed that they needed to learn how to
coach and train the new drivers. The company used interviews
to identify what type of coaching and training skills the lead
drivers needed. Interviews were conducted with 14 lead drivers,
six supervisors, and two regional vice presidents. The interview
for the lead drivers consisted of questions such as the
following:
What types of situations call for coaching on your part?
What keeps you from being a good coach on the job?
How do you encourage or motivate other lead drivers? Do you
use incentives or rewards? Do you try other things
(compliments, personal attention)?
What common types of performance problems do new hires
have?
What were the biggest problems you encountered as a new
coach and trainer? What mistakes did you make? What lessons
have you learned over time?
Tell me about a successful coaching experience and an
unsuccessful coaching experience.
Recurring trends in the interview data were noted and
categorized. For example, interview questions on obstacles to
coaching related to three themes: lack of time to coach, the
physical environment (no privacy), and reluctance to coach
peers. These three topics were covered in the coaching course.
Person characteristics, input, output, consequences, and
feedback influence the motivation to learn. Motivation to learn
is trainees’ desire to learn the content of training programs.26
Consider how your motivation to learn may be influenced by

person characteristics and the environment. You may have no
problem understanding and comprehending the contents of this
textbook. But your learning may be inhibited because of your
attitude toward the course. That is, perhaps you do not believe
that the course will be important for your career. Maybe you are
taking the course only because it fits your schedule or is
required in your degree program. Learning may also be
inhibited by the environment. For example, maybe you want to
learn, but your study environment prevents you from doing so.
Every time you are prepared to read and review your notes and
the textbook, your roommates could be having a party. Even if
you do not join them, the music may be so loud that you cannot
concentrate.
Marriott International, the hotel and restaurant chain, found that
personal characteristics were having a significant influence on
the success rate of the company’s welfare-to-work program.27
This program involves training welfare recipients for jobs in the
company’s hotels and restaurants. (These types of programs are
discussed in greater detail
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in Chapter Ten, “Social Responsibility: Legal Issues, Managing
Diversity, and Career Challenges.”) Many trainees were unable
to complete the training program because of poor attendance
due to unreliable child care, drug problems, or abusive partners.
As a result, Marriott has instituted strict standards for selecting
welfare recipients for the training program. These standards
include requiring trainees to have child care, transportation, and
housing arrangements. Also, Marriott added an additional drug
test during training.
A number of research studies have shown that motivation to
learn is related to knowledge gained, behavior changes, or skill
acquisition resulting from training.28 Besides considering the
factors of person characteristics, input, output, consequences,
and feedback in determining whether training is the best
solution to a performance problem, managers should also take
these factors into account when selecting which employees will

attend a training program. These factors relate to the
employees’ motivation to learn. The following sections describe
each of these factors and its relationship to performance and
learning.
Person Characteristics
Person characteristics include basic skills, cognitive ability,
language skills, and other traits that employees need to perform
their jobs or learn in training and development programs
effectively. Person characteristics also include employees’ age
or generation, which might affect how they prefer to learn. As
mentioned in Chapter One, recent forecasts of workforce skill
levels and survey results suggest that companies are
experiencing a skills gap. That is, companies are having
difficulty finding employees who have the right knowledge,
skills, or abilities to fill open positions or to succeed in training
to prepare them for today’s jobs.
Basic SkillsBasic skills refers to skills that are necessary for
employees to perform on the job and to learn the content of
training programs successfully. Basic skills include cognitive
ability and reading and writing skills. For example, one
assumption that your professor is making in this course is that
you have the necessary reading level to comprehend this
textbook and the other course materials such as PowerPoint
slides, videos, or readings. If you lack the necessary reading
level, you likely will not learn much about training in this
course. As Chapter One discussed, recent forecasts of skill
levels of the U.S. workforce indicate that managers will likely
have to work with employees who lack basic skills. A literacy
audit can be used to determine employees’ basic skill levels.
Table 3.4 shows the activities involved in conducting a literacy
audit.
TABLE 3.4 Steps in Performing a Literacy Audit
Step 1:
Observe employees to determine the basic skills that they need
to be successful in their job. Note the materials the employee
uses on the job, the tasks performed, and the reading, writing,

and computations completed.
Step 2:
Collect all materials that are written and read on the job and
identify the computations that must be performed to determine
the necessary level of basic skill proficiency. Materials include
bills, memos, and forms such as inventory lists and requisition
sheets.
Step 3:
Interview employees to determine the basic skills that they
believe are needed to do the job. Consider the basic skill
requirements of the job yourself.
Step 4:
Determine whether employees have the basic skills needed to
perform the job successfully. Combine the information gathered
by observing and interviewing employees and evaluating
materials they use on the job. Write a description of each job in
terms of the reading, writing, and computation skills needed to
perform the job successfully.
Step 5:
Develop or buy tests that ask questions relating specifically to
the employees’ job. Ask employees to complete the tests.
Step 6:
Compare test results (from step 5) with the description of the
basic skills required for the job (from step 4). If the level of the
employees’ reading, writing, and computation skills does not
match the basic skills required by the job, then a basic skills
problem exists.
Sources: U.S. Department of Education, U.S. Department of
Labor, The Bottom Line: Basic Skills in the Workplace
(Washington, DC: 1988), pp. 14–15.
It is important to note that possession of a high school diploma
or a college degree is no guarantee that an employee has basic
skills. If participants do not have the fundamental reading,
writing, and math skills to understand the training, they will not
be able to learn, they will not apply their training to the job (a

process known as transfer, which is discussed in Chapter Four),
and the company will have wasted money on training that does
not work. Trainers need to evaluate the strengths and
weaknesses of trainees before designing a training program. The
skill weaknesses that are identified can be used to determine
prerequisites that trainees need or must acquire before entering
a training program. How do trainers identify skills gaps?29
First, trainers collect general information through position-
specific training materials and job descriptions. They also
observe the job to become familiar with the necessary skills.
Next, trainers meet with subject-matter experts (SMEs),
including employees, managers, engineers, or others who are
familiar with the job. With the help of these SMEs, trainers
identify a list of regularly performed activities and prioritize
the list according to importance. Finally, trainers identify the
skills and skill
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levels that are needed to perform the activities or job tasks. For
example, nurses must watch for changes in patient conditions,
reactions, and comfort levels; they need to identify and recall
details when observing patients. These activities require good
observation skills, and the trainer needs to find or create a test
to measure those skills. Once the skills analysis is complete,
trainers conduct a basic (or pretraining) skills evaluation to
identify skills gaps that need to be addressed prior to enrolling
employees in a training session.
Cognitive Ability Research shows that cognitive ability
influences learning and job performance. Cognitive ability
includes three dimensions: verbal comprehension, quantitative
ability, and reasoning ability.30 Verbal comprehension refers to
the person’s capacity to understand and use written and spoken
language. Quantitative ability refers to how fast and accurately
a person can solve math problems. Reasoning ability refers to
the person’s capacity to invent solutions to problems. Research
shows that cognitive ability is related to successful performance
in all jobs.31 The importance of cognitive ability for job

success increases as the job becomes more complex.
For example, a supermarket cashier needs low to moderate
levels of all three dimensions of cognitive ability to perform
that job successfully. The supermarket cashier needs to
understand the different denominations of bills and coins to
give customers the correct amount of change. The cashier also
needs to invent solutions to problems. (For example, how does
the cashier deal with items that are not priced that the customer
wants to purchase?) Finally, the cashier needs to be able to
understand and communicate with customers (verbal
comprehension). In comparison, an emergency room physician
needs higher levels of verbal comprehension, quantitative
ability, and reasoning ability than the cashier. For example,
when dealing with an infant experiencing seizures in an
emergency situation, the physician needs to be able to calculate
the correct dosage of medicine (based on an
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adult dosage) to stop the seizures after considering the child’s
weight. The physician also has to be able to diagnose the
situation quickly and determine what actions (blood tests, x-
rays, respiratory therapy, etc.) are necessary. And finally, the
physician needs to communicate clearly with the patient’s
parents in describing the treatment and recovery process.
Trainees’ level of cognitive ability also can influence how well
they learn in training programs.32 Trainees with low levels of
cognitive ability are more likely to fail to complete training or
(at the end of training) receive lower grades on tests that
measure how much they have learned.
To identify employees without the cognitive ability to succeed
on the job or in training programs, companies use cognitive
ability tests. For example, consider the actions taken by the
Federal Aviation Administration (FAA) to identify potential air
traffic controllers who will complete training successfully.33
Air traffic control work requires quick analytical thinking and
strong communications skills. These skills are emphasized and
further developed in air traffic controller training. In addition to

classroom training, air traffic controllers receive training
through computer-based simulations of airport towers and en
route centers, which direct planes between airports. The FAA
estimates that in the past, it spent $10 million per year on
unsuccessful trainees, which resulted in a doubling of training
costs. To reduce its training costs and increase the number of
new controllers who will be successful, the FAA uses an eight-
hour test of cognitive skills that identifies whether applicants
can think spatially, have good short- and long-term memory,
and can work well under pressure—skills that are needed by
successful air traffic controllers. Determining a job’s cognitive
ability requirement is part of the task analysis process,
discussed later in this chapter.
Reading Ability Readability refers to the difficulty level of
written materials.34 An inappropriate reading level can impede
performance and learning in training programs. Materials used
in training should be evaluated to ensure that their reading level
does not exceed that required by the job. A readability
assessment usually involves an analysis of sentence length and
word difficulty.
If trainees’ reading level does not match the level required by
the training materials, four options are available. First, trainers
can determine whether it is feasible to lower the reading level
of training materials or use video or on-the-job training, which
involves learning by watching and practicing rather than by
reading. Second, employees without the necessary reading level
could be identified through reading tests and reassigned to other
positions more congruent with their skill levels. Third, again
using reading tests, trainers can identify employees who lack
the necessary reading skills and provide them with remedial
training. Fourth, trainers can consider redesigning the job to
accommodate employees’ reading levels. The fourth option is
certainly the most costly and least practical. Therefore,
alternative training methods need to be considered, or managers
can elect a non-training option. Non-training options include
selecting employees for jobs and training opportunities on the

basis of reading, computation, writing, and other basic skill
requirements.
To develop basic skills or close the skills gap, many companies
are engaging in skills assessment, training, or a combination of
the two. They are working to identify and close skill gaps,
either alone or in partnerships with state government
agencies.35 For example, to help ensure that employees have
the basic skills needed to succeed in training, Georgia-Pacific, a
paper manufacturer, used skills assessment in combination with
a training program. To be eligible to attend training programs,
employees had to take reading and math skills tests and score at
or above a ninth-grade level. Those who scored below a ninth-
gradelevel were advised to attend basic skills training. Test
results were communicated confidentially and were not part of
employees’ personnel files. This was done to alleviate
employees’ fears that their lack of literacy would cost them
their jobs and to establish the trust needed to motivate them to
attend the basic skills training. A local community college
provided the basic training at sites close to Georgia-Pacific
plants to make it easy for employees to attend classes before or
after work. As a result of the assessment and training, the
current workforce has reached the basic skills standard
established by the company. To ensure that new employees meet
the basic skills standards, Georgia-Pacific changed its hiring
qualifications. New job applicants are required to have
completed (or meet the requirements for) a specific 18-month
schedule of courses at the local community college. Delta Wire,
a small manufacturing company in Mississippi, developed a
basic skills training program to help employees understand how
to record, interpret, and communicate information on a
statistical control chart. This training has helped Delta Wire
reduce product defects from 7 percent to 2 percent.
Business is booming at PK Controls, an Ohio-based maker of
automation controls, but the company has difficulty finding the
technicians it needs.36 PK Controls does some of its own
training to develop technicians but it also partners with

Columbus State Community College to develop employees with
the skills it needs. Along with other Ohio companies, including
Honda and Worthington Industries, PK Controls participates in
Columbus State’s Modern Manufacturing Program, which offers
an associate degree in electro-mechanical engineering. Students
spend two days a week in class and three days a week on the
job. On-the-job training starts after the students have completed
three semesters of classes, including advanced engineering.
Graduates of the program quickly get jobs that pay $50,000 to
$60,000, and the companies—including PK Controls—get
employees with the skills they need.
Self-Efficacy Self-efficacy is employees’ belief that they can
perform their job or learn the content of the training program
successfully. For many employees who may not have been
successful performers in the past, the job environment can be
threatening. For example, as you will see in Chapter Ten,
employees hired through a welfare-to-work program—a program
designed to help find jobs for welfare recipients—may lack self-
efficacy. The training environment also can be threatening to
those workers who have not received training or formal
education for some length of time; lack education; or are not
experienced in the training program’s subject matter. For
example, training employees to use equipment for computer-
based manufacturing may represent a potential threat, especially
if they are intimidated by new technology and lack confidence
in their ability to master the skills needed to use a computer.
Research has demonstrated that self-efficacy is related to
performance in training programs.37 Employees’ self-efficacy
level can be increased by:
Letting employees know that the purpose of training is to try to
improve performance rather than to identify areas in which
employees are incompetent.
Providing as much information as possible about the training
program and the purpose of training prior to the actual training.
Showing employees the training success of their peers who are
now in similar jobs.

Providing employees with feedback that learning is under their
control and they have the ability and the responsibility to
overcome any learning difficulties they experience in the
program.
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Awareness of Training Needs, Career Interests, and Goals To be
motivated to learn in training programs, employees must be
aware of their skill strengths and weaknesses and of the link
between the training program and improvement of their
weaknesses.38 Managers should make sure that employees
understand why they have been asked to attend training
programs, and they should communicate the link between
training and the improvement of skill weaknesses or knowledge
deficiencies. This can be accomplished by sharing performance
feedback with employees, holding career development
discussions, or having employees complete a self-evaluation of
their skill strengths and weaknesses as well as career interests
and goals. For example, New York Life Insurance provides an
online tool that allows employees to create a plan for their
career development.39 The tool helps employees identify how
learning through experiences, relationships, training, and formal
education can help them reach their career goals.
If possible, employees need to be given a choice of what
programs to attend. They should also understand how actual
training assignments are made, to maximize their motivation to
learn. Several studies have suggested that giving trainees a
choice regarding which programs to attend and then honoring
those choices maximizes motivation to learn. Giving employees
choices but not necessarily honoring them can undermine
motivation to learn.40
Age and Generation There is biological evidence that certain
mental capacities decrease from age 20 to age 70.41 Short-term
memory and the speed at which people process information
decline with age. However, with age also comes experience,
which can compensate for the loss of memory and mental

quickness. Although mental quickness and memory losses
diminish at a steady pace, at older ages, memory loss is much
greater because mental resources are more depleted than at
earlier ages.
Chapter One discussed some of the differences (and
similarities) of employees from different generations.
Generation Z refers to people born after 1995. They are digital
natives, perhaps more entrepreneurial than other generations,
and more interested in meaningful work than money. The terms
millennials and Generation Y refer to people born after 1980.
They are optimistic, willing to work and learn, and technology-
literate; they appreciate diversity. The term Gen Xers refers to
people born from 1965 to 1980. Gen Xers need feedback and
flexibility; they dislike close supervision. They have
experienced change all their lives (in terms of parents, homes,
and cities). Gen Xers value a balance between their work and
nonwork lives. Baby boomers are people born between 1946 and
1964. They are competitive, hardworking, and concerned that
all employees be fairly treated. Traditionalists are people born
between 1925 and 1945. They are patriotic and loyal, and they
have a great deal of knowledge of the history of organizations
and work life. Each generation may have specific preferences
for the arrangement of the learning environment, type of
instruction, and learning activities.42 For example,
traditionalists prefer a stable, orderly training environment and
expect the instructor to provide expertise. But Gen Xers prefer
more of a self-directed training environment in which they can
experiment and receive feedback. As a result, it is important to
consider the learners’ ages and generations as part of the person
analysis. We will discuss these preferences and their
implications for training design in Chapter Five.
Input
Employees’ perceptions of two characteristics of the work
environment—situational constraints and social support—are
determinants of performance and motivation to learn.
page 139

Situational constraints include lack of proper tools and
equipment, materials and supplies, budgetary support, and time.
Social support refers to managers’ and peers’ willingness to
provide feedback and reinforcement.43 If employees have the
knowledge, skills, attitudes, and behavior needed to perform but
do not have the proper tools and equipment needed, their
performance will be inadequate.
To ensure that the work environment enhances trainees’
motivation to learn, managers should take the following steps:
Provide materials, time, job-related information, and other work
aids necessary for employees to use new skills or behavior
before participating in training programs.
Speak positively about the company’s training programs to
employees.
Let employees know they are doing a good job when they are
using training content in their work.
Encourage work-group members to involve each other in trying
to use new skills on the job by soliciting feedback and sharing
training experiences and situations in which training content has
been helpful.
Provide employees with time and opportunities to practice and
apply new skills or behaviors to their work.
Output
Poor or substandard performance can occur on the job because
employees do not know at what level they are expected to
perform. For example, they may not be aware of quality
standards related to speed or the degree of personalization of
service that is expected. Employees may have the knowledge,
skills, and attitudes necessary to perform and yet fail to perform
because they are not aware of the performance standards. Lack
of awareness of the performance standards is a communications
problem, but it is not a problem that training can “fix.”
Understanding the need to perform is important for learning.
Trainees need to understand what specifically they are expected
to learn in the training program. To ensure that trainees master
training content at the appropriate level, trainees in training

programs also need to understand the level of proficiency that is
expected of them. For example, for tasks, level of proficiency
relates to how well employees are to perform a task. For
knowledge, level of proficiency may relate to a score on a
written test. The standards or the level of performance is part of
the learning objectives (discussed in Chapter Four).
Consequences
If employees do not believe that rewards or incentives for
performance are adequate, they will be unlikely to meet
performance standards even if they have the necessary
knowledge, behaviors, skills, or attitudes. Also, work-group
norms may encourage employees to not meet performance
standards. Norms refer to accepted standards of behavior for
work-group members. For example, during labor contract
negotiations, baggage handlers for Northwest Airlines worked
slowly loading and unloading baggage from airplanes. As a
result, many passenger departures and arrivals were delayed.
The baggage handlers had the knowledge, skills, and behaviors
necessary to load and unload the planes more quickly, but they
worked slowly because they were trying to send a message to
management that the airlines could not perform effectively if
their contract demands were not met.
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Consequences also affect learning in training programs.
Incentive systems, such as providing gift cards redeemable for
food, clothes, or movies or accumulating points that can be used
toward paying for enrollment in future courses, may be useful
for motivating some employees to attend and complete training
courses (discussed in Chapter Five).44 However, one of the
most powerful ways to motivate employees to attend and learn
from training is to communicate the personal value of the
training. For example, how will it help them improve their skills
or career? How will it help them deal with problems they
encounter on the job? It is important that the communication
from the manager about potential benefits be realistic. Unmet

expectations about training programs can hinder the motivation
to learn.45
Feedback
Performance problems can result when employees do not
receive feedback regarding the extent to which they are meeting
performance standards. Employees may know what they are
supposed to do (output), but they may not understand how close
their performance is to the standard. Training may not be the
best solution to this type of problem. Employees need to be
given specific, detailed feedback regarding both effective and
ineffective performance. For employees to perform to standard,
feedback needs to be given frequently, not just during a yearly
performance evaluation.
In Chapter Four, the role of feedback in learning is discussed in
detail. Keep in mind that feedback is critical for shaping
trainees’ behaviors and skills.
Determining Whether Training Is the Best
Solution
A root cause analysis is often used to determine whether
training is the best solution. A root cause analysis refers to the
process of determining whether training is the best or most
likely solution to a performance problem or gap. There are four
methods that are useful for conducting a root cause analysis.46
First, the following seven questions should be considered:
Is the performance problem important? Does it have the
potential to cost the company a significant amount of money
from lost productivity or customers?

Do employees know how to perform effectively? Perhaps they
received little or no previous training, or the training was
ineffective. (This problem is a characteristic of the person.)
Can employees demonstrate the correct knowledge or behavior?
Perhaps employees were trained but they infrequently or never
used the training content (knowledge, skills, etc.) on the job.
(This is an input problem.)
Were performance expectations clear (input)? Were there any
obstacles to performance, such as faulty tools or equipment?
Were positive consequences offered for good performance? Was
good performance not rewarded? For example, when employees
are dissatisfied with their compensation, their peers or their
union may encourage them to slow down their pace of work.
(This involves consequences.)
Did employees receive timely, relevant, accurate, constructive,
and specific feedback about their performance (a feedback
issue)?
Were other solutions—such as job redesign or transferring
employees to other jobs—too expensive or unrealistic?
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If employees lack the knowledge and skills to perform a job and
the other factors are satisfactory, training is needed. If
employees have the knowledge and skills to perform but input,
output, consequences, and/or feedback are inadequate, training

may not be the best solution. For example, if poor performance
results from faulty equipment, training cannot solve this
problem, but repairing the equipment will. If poor performance
results from lack of feedback, then employees may not need
training, but their managers may need training on how to give
performance feedback.
Second, the 5 Whys, another questioning method, can be used to
explore the root cause of a problem. Examples of possible
questions include, “Why are employees performing poorly?” or
“Why can’t employees greet customers as they enter the store?”
The questions are used to identify possible causes that can be
acted upon. For each cause identified, you need to consider if it
is occurring because of a lack of knowledge, skills, or behaviors
that can be influenced by training or if other factors are
responsible. Third, the Fishbone diagram can be used. The
Fishbone diagram is a structured brainstorming technique that
can be used to help identify, explore, and visually display the
possible causes of a problem. It considers how machines,
methods, materials, measurements, the environment, and people
contribute to a problem. Fourth, the 4 Square method involves
drawing a square with four different themes represented:
motivation, resources, training, and bad job fit. The factors that
are believed to be causing the problem can be listed in the
appropriate theme. The 4 Square method is useful in identifying
whether training alone is the problem or if motivation,

resources, and/or bad job fit are also involved. For example, if
an employee knows how to perform well but there is a lack of
motivation to do so, then lack of training is not the likely cause
of the problem. However, if an employee doesn’t know how to
perform well then the lack of training is likely a probable cause
of the problem.
It is also important to consider the relationships among a
critical job issue (a problem or opportunity that is critical to the
success of a job within the company), a critical process issue (a
problem or opportunity that is critical to the success of a
business process), and a critical business issue (a problem or
opportunity that is critical to the success of the company).47 If
the critical job issue, critical process issue, and critical business
issue are related, training should be a top priority because it
will have a greater effect on business outcomes and results and
will likely receive greater management support. Table 3.5 shows
the relationships among the critical job, process, and business
issues for a sales representative. This
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analysis resulted from a request from a top manager who
suggested that sales representatives needed more training
because incomplete sales orders were being submitted to
production.
TABLE 3.5 Example of the Relationships Among a Critical Job
Issue, a Critical Process Issue, and a Critical Business Issue

Critical Job Issue
Critical Process Issue
Critical Business Issue
Desired Results
Desired Results
Desired Results
No incomplete order forms 100 percent accurate orders
Order cycle time of 3 days
Market share of 60 percent
Current Results
Current Results
Current Results
10 percent incomplete order forms 83 percent accurate orders
Order cycle time of 30 days
Market share of 48 percent
Source: Based on G. A. Rummler and K. Morrill, “The Results
Chain,” T+D (February 2005), pp. 27–35.
Consider how a global retailer of rugged, athletic, casual, and
stylish clothes for kids and young adults identifies whether a
performance need should be addressed by training or other
solutions. Figure 3.4 shows how this retailer determines the
type of need, who is affected, and the corrective strategy. As
you can see from Figure 3.4, training and development is only
one of several possible solutions and addresses issues related

specifically to knowledge gaps, sharing knowledge and skills,
informal learning, and manager and supervisor support.
FIGURE 3.4 Identifying How to Solve Performance Issues
Task Analysis
Task analysis results in a description of work activities,
including tasks performed by the employee and the knowledge,
skills, and abilities required to complete the tasks. A job
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is a specific position requiring the completion of certain tasks.
(The job exemplified in Table 3.6 is that of an electrical
maintenance worker.) A task is the employee’s work activity in
a specific job. Table 3.6 shows several tasks for the electrical
maintenance worker job. These tasks include replacing
lightbulbs, electrical outlets, and light switches. To complete
tasks, employees must have specific levels of knowledge, skill,
ability, and other considerations (KSAOs). Knowledge includes
facts or procedures (e.g., the chemical properties of gold). Skill
indicates competency in performing a task (e.g., negotiation is a
skill that results in getting another person to agree to take a
certain course of action). Ability includes the physical and
mental capacities to perform a task (e.g., spatial ability is the
ability to see the relationship between objects in physical
space). Other refers to the conditions under which tasks are

performed. These conditions include identifying the equipment
involved and the environment in which the employee works
(e.g., the need to wear an oxygen mask and work in extremely
hot conditions), time constraints for a task (e.g., deadlines),
safety considerations, or performance standards.
TABLE 3.6 Sample Items from Task Analysis Questionnaires
for the Electrical Maintenance Job
Source: E. F. Holton III and C. Bailey, “Top to Bottom
Curriculum Redesign,” Training and Development (March
1995), pp. 40–44.
Task analysis should be undertaken only after the organizational
analysis has determined that the company wants to devote time
and money for training. Why? Task analysis is a time-
consuming, tedious process that involves a large time
commitment to gather and summarize data from many different
persons in the company, including managers, job incumbents,
and trainers.
Steps in a Task Analysis
A task analysis involves four steps:48
Select the job or jobs to be analyzed.
Develop a preliminary list of tasks performed on the job by (1)
interviewing and observing expert employees and their
managers and (2) talking with others who have performed a task

analysis.
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Validate or confirm the preliminary list of tasks. This step
involves having a group of SMEs (job incumbents, managers,
etc.) answer several questions regarding the tasks, either in a
meeting or on a written survey. The types of questions that may
be asked include the following: How frequently is the task
performed? How much time is spent performing each task? How
important or critical is the task for successful performance of
the job? How difficult is the task to learn? Is performance of the
task expected of entry-level employees?
Table 3.7 presents a sample task analysis questionnaire. This
information is used to determine which tasks will be focused on
in the training program. The person or committee conducting
the needs assessment must decide the level of ratings across
dimensions that will determine that a task should be included in
the training program. Tasks that are important, frequently
performed, and of moderate-to-high level of difficulty are tasks
for which training should be provided. Tasks that are not
important or are infrequently performed should not involve
training. It is difficult for managers and trainers page 145
to decide if tasks that are important but performed infrequently
and require minimal difficulty should be included in training.
Managers and trainers must determine whether or not important

tasks—regardless of how frequently they are performed or their
level of difficulty—will be included in training.
Once the tasks have been identified, it is important to identify
the knowledge, skills, or abilities that are difficult to learn or
prone to errors, such as those required for decision making or
problem-solving tasks. For these tasks it is necessary to
determine how the thought processes of experts differ from
those of novices. This information is useful for designing
training that includes the right amount of practice and feedback
for novices to learn. This information can be collected through
interviews and questionnaires. Recall this chapter’s discussion
of how ability influences learning. Information concerning basic
skill and cognitive ability requirements is critical for
determining if certain levels of knowledge, skills, and abilities
will be prerequisites for entrance to the training program (or
job) or if supplementary training in underlying skills is needed.
For training purposes, information concerning how difficult it is
to learn the knowledge, skill, or ability is important—as is
whether the knowledge, skill, or ability is expected to be
acquired by the employee before taking the job.49
TABLE 3.7 Sample Task Statement Questionnaire
Name
Date
Position

Please rate each of the task statements according to three
factors: (1) the importance of the task for effective
performance, (2) how frequently the task is performed, and (3)
the degree of difficulty required to become effective in the task.
Use the following scales in making your ratings.
Importance
Frequency
4 = Task is critical for effective performance.
4 = Task is performed once a day.
3 = Task is important but not critical for effective performance.
3 = Task is performed once a week.
2 = Task is of some importance for effective performance.
2 = Task is performed once every few months.
1 = Task is of no importance for effective performance.
1 = Task is performed once or twice a year.
0 = Task is not performed.
0 = Task is not performed.
Difficulty
4 = Effective performance of the task requires extensive prior
experience and/or training (12–18 months or longer).
3 = Effective performance of the task requires minimal prior
experience and training (6–12 months).
2 = Effective performance of the task requires a brief period of
prior training and experience (1–6 months).

1 = Effective performance of the task does not require specific
prior training and/or experience.
0 = This task is not performed.
Task
Importance
Frequency
Difficulty
1. Ensuring maintenance on equipment, tools, and safety
controls
2. Monitoring employee performance
3. Scheduling employees
4. Using statistical software on the computer
5. Monitoring changes made in processes using statistical
methods
Table 3.8 summarizes key points to remember regarding task
analysis.
TABLE 3.8 Key Points to Remember When Conducting a Task
Analysis
· A task analysis should identify both what employees are
actually doing and what they should be doing on the job.
· Task analysis begins by breaking the job into duties and tasks.
· Use more than two methods for collecting task information to
increase the validity of the analysis.
· For task analysis to be useful, information needs to be

collected from SMEs, including job incumbents, managers, and
employees familiar with the job.
· In deciding how to evaluate tasks, the focus should be on tasks
necessary to accomplish the company’s goals and objectives.
These may not be the tasks that are the most difficult or take the
most time.
Source: Based on A. P. Carnevale, L. J. Gainer, and A. S.
Meltzer, Workplace Basics Training Manual (San Francisco:
Jossey-Bass, 1990); E. A. Surface, “Training Need Assessment:
Aligning Learning and Capability with Performance
Requirements and Organizational Objectives,” in The Handbook
of Work Analysis: Methods, Systems, Applications and Science
of Work Measurement in Organizations, 1st ed., eds. M. A.
Wilson, W. Bennett, S. G. Gibson, and M. Alliger (Routledge
Academic, 2012), pp. 437–462.Example of a Task Analysis
Each of the four steps of a task analysis can be seen in the
following example from a utility company. Trainers were given
the job of developing a training system in six months.50 The
purpose of the program was to identify tasks and KSAOs that
would serve as the basis for training program objectives and
lesson plans.
The first phase of the project involved identifying potential
tasks for each job in the utility’s electrical maintenance area.
Procedures, equipment lists, and information provided by SMEs

were used to generate the tasks. SMEs included managers,
instructors, and senior technicians. The tasks were incorporated
into a questionnaire administered to all technicians in the
electrical maintenance department. The questionnaire included
550 tasks. Table 3.6 shows sample items from the questionnaire
for the electrical maintenance job. Technicians were asked to
rate each task on importance, difficulty, and frequency of
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performance. The rating scale for frequency included zero. A
zero rating indicated that the technician rating the task had
never performed the task. Technicians who rated a task zero
were asked not to evaluate the task’s difficulty and importance.
Customized software was used to analyze the ratings collected
via the questionnaire. The primary requirement used to
determine whether a task required training was its importance
rating. A task rated “very important” was identified as one
requiring training regardless of its frequency or difficulty. If a
task was rated moderately important but difficult, it also was
designated for training. Tasks rated as unimportant, not
difficult, or done infrequently were not designated for training.
The list of tasks designated for training was reviewed by the
SMEs to determine if it accurately described job tasks. The
result was a list of 487 tasks. For each of the 487 tasks, two
SMEs identified the necessary KSAOs required for
performance. This included information on working conditions,

cues that initiate the task’s start and end, performance
standards, safety considerations, and necessary tools and
equipment. All data were reviewed by plant technicians and
members of the training department. More than 14,000 KSAOs
were grouped into common areas and assigned an identification
code. These groups were then combined into clusters that
represented qualification areas. That is, the task clusters were
related to linked tasks in which the employees must be certified
to perform the job. The clusters were used to identify training
lesson plans and course objectives. Trainers also reviewed the
clusters to identify prerequisite skills for each cluster.
COMPETENCY MODELS
In today’s global and competitive business environment, many
companies are finding that it is difficult to determine whether
employees have the capabilities needed for success. The
necessary capabilities may vary from one business unit to
another and even across roles within a business unit. As a
result, many companies are using competency models to help
them identify the knowledge, skills, and personal characteristics
(attitudes, personality) needed for successful performance in a
job. Competency models are also useful for ensuring that
training and development systems are contributing to the
development of such knowledge, skills, and personal
characteristics.
Traditionally, needs assessment has involved identifying

knowledge, skills, abilities, and tasks. However, a current trend
in training is for needs assessment to focus on competenci es,
especially for managerial positions. Competencies are sets of
skills, knowledge, abilities, and personal characteristics that
enable employees to perform their jobs successfully.51
A competency model identifies the competencies necessary for
each job. Competency models provide descriptions of
competencies that are common for an entire occupation,
organization, job family, or specific job. Competency models
can be used for performance management. However, one of the
strengths of competency models is that they are useful for a
variety of human resource (HR) practices, including recruiting,
selection, training, and development. Competency models can
be used to help identify the best employees to fill open
positions and to serve as the foundation for development plans
that allow employees and their manager to target specific
strengths and development areas. The competencies included in
competency models vary according to the company’s business
strategy and goals. They can include sales, leadership,
interpersonal, technical, and other types of
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competencies. Competency models typically include the name
of each competency, the behaviors that represent proficiency in
the competency, and levels that include descriptions
representing demonstrated levels of mastery or proficiency.

Table 3.9 shows the technical cluster of competencies from a
competency model for a systems engineer. The left side of the
table lists technical competencies within the technical cluster
(such as systems architecture, data migration, and
documentation). The right side shows behaviors that might be
used to determine a systems engineer’s level of proficiency for
each competency.
TABLE 3.9 Competencies from a Competency Model
Technical Cluster
Proficiency Ratings
Systems Architecture
Ability to design complex software applications, establish
protocols, and create prototypes.
0—Is not able to perform basic tasks.
1—Understands basic principles; can perform tasks with
assistance or direction.
2—Performs routine tasks with reliable results; works with
minimal supervision.
3—Performs complex and multiple tasks; can coach or teach
others.
4—Considered an expert in this task; can describe, teach, and
lead others.
Data Migration
Ability to establish the necessary platform requirements to
efficiently and completely coordinate data transfer.

others.
lead others.
Documentation
Ability to prepare comprehensive and complete documentation,
including specifications, flow diagrams, process control, and
budgets.
others.
lead others.
Source: R. J. Mirabile, “Everything You Wanted to Know About
Competency Modeling,” Training and Development (August

1997), pp. 73–77.
One way to understand competency models is to compare them
to job analysis. As you may recall from other classes or
experiences, job analysis refers to the process of developing a
description of the job (tasks, duties, and responsibilities) and
the specifications (knowledge, skills, and abilities) that an
employee must have to perform it. How does job analysis
compare to competency models? Job analysis is more work- and
task-focused (what is accomplished), whereas competency
modeling is worker-focused (how objectives are met or how
work is accomplished). Focusing on “how” versus “what”
provides valuable information for training and development. A
recent study asked competency modeling experts (consultants,
HR practitioners, academics, and industrial psychologists) to
compare and contrast competency modeling and job analysis.52
The study found several
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differences between job analysis and competency models.
Competency models are more likely to link competencies and
the company’s business goals. Competency models provide
descriptions of competencies that are common for an entire
occupational group, level of jobs, or an entire organization. In
contrast, job analysis describes what is different across jobs,
occupational groups, or organization levels and generates

specific knowledge, skills, and abilities for particular jobs. It is
used to generate specific requirements to be used for employee
selection. The competencies generated by competency modeling
are more general and believed to have greater application to a
wider variety of purposes, including selection, training,
employee development, and performance management.
Another way to think about competency models is by
considering performance management.53 Unfortunately, many
performance management systems suffer from a lack of
agreement on what outcomes should be used to evaluate
performance. Manager–employee discussions about performance
deficiencies tend to lack specificity. By identifying the areas of
personal capability that enable employees to perform their jobs
successfully, competency models ensure an evaluation of what
gets done and how it gets done. Performance feedback can be
directed toward specific concrete examples of behavior, and
knowledge, skills, ability, and other characteristics that are
necessary for success are clearly described.
How are competencies identified and competency models
developed? Figure 3.5 shows the process used to develop a
competency model. First, the business strategy is identified. The
implications of business strategy for training were discussed in
Chapter Two. The business strategy helps identify what types of
competencies are needed to ensure that business goals are met
and the company’s strategy is supported. Changes in the

business strategy might cause new competencies to be needed or
old competencies to be altered. Second, the job or position to be
analyzed is identified. Third, effective and ineffective
performers are identified. Fourth, the competencies responsible
for effective and ineffective performance are identified. There
are several approaches for identifying competencies. These
include analyzing one or several “star” performers, surveying
persons who are familiar with the job (SMEs), and investigating
benchmark data of good performers in other companies.54 Fifth,
the model is validated. That is, a determination is made as to
whether the competencies included in the model truly are
related to effective performance. In the example of the technical
competencies for the systems engineer shown in Table 3.9, it is
important to verify that (1) these three competencies are
necessary for job success, and (2) the level of proficiency of the
competency is appropriate.
FIGURE 3.5 The Process Used in Developing a Competency
Model
Following the development process outlined in Figure 3.5 w ill
ensure that competencies and competency models are valid.
However, trainers, employees, managers, and other experts
should be trained (especially inexperienced raters) in how to
determine accurate competency ratings. Training should ensure
that raters understand each competency and the differences

between them and can distinguish between low, medium, and
high levels of proficiency.55
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Competency models are useful for training and development in
several ways:56
They identify behaviors needed for effective job performance.
These models ensure that feedback given to employees as part
of a development program (such as 360-degree feedback) relate
specifically to individual and organizational success.
They provide a tool for determining what skills are necessary to
meet today’s needs, as well as the company’s future skill needs.
They can be used to evaluate the relationship between the
company’s current training programs and present needs. That is,
they help align training and development activities with the
company’s business goals. They can be used to evaluate how
well the offerings relate to anticipated future skill needs.
They help determine what skills are needed at different career
points.
They provide a framework for ongoing coaching and feedback
to develop employees for current and future roles. By
comparing their current personal competencies to those required
for a job, employees can identify competencies that need
development and choose actions to develop those competencies.
These actions may include courses, job experiences, and other

types of development. (Development methods are detailed in
Chapter Nine, “Employee Development and Career
Management.”)
They create a “road map” for identifying and developing
employees who may be candidates for managerial positions
(succession planning).
They provide a common set of criteria that may be used for
identifying appropriate development training and learning
activities for employees, as well as for evaluating and
rewarding them. This helps integrate and align the company’s
HR systems and practices.
For example, at American Express, competency models are used
to help managers lead their own teams by providing a
framework that their employees can use to capitalize on
strengths and improve weaknesses.57 At the company level,
competencies are used to determine the talent level of the entire
company, including capabilities, strengths, and opportunities.
This information is provided to managers who use the data to
identify key needs and plan actions to ensure that current and
future competencies are developed in employees.
Table 3.10 shows the competency model that Luxottica Retail,
known for its premium, luxury, and sports eyewear sold through
LensCrafters, Sunglass Hut, and Pearle Vision, developed for its
associates in field and store positions.58 The competency model
includes leadership and managerial, functional, and

foundational competencies. The goal was to define and identify
competencies that managers could use for hiring, performance
management, and training. Also, the competency model helps
associates identify and develop the skills they need to apply for
different jobs. To use competency models effectively for
performance evaluation, they must be up to date, drive business
performance, be job-related (valid), be relevant (or customized)
for all of the company’s business units, and provide sufficient
detail to make an accurate assessment of employees’
performance. At Luxottica Retail, developing competencies
started with meeting with business leaders to understand their
current and future business strategies. Business drivers were
identified and questionnaires, focus groups, and meetings with
managers and associates were used to identify important
competencies and examples of behaviors related to each.
Competencies across business units and brands are reviewed
every four or five years or whenever a major change in jobs or
business strategy occurs to ensure they are relevant. Also, the
weighting givento each set of competencies in the performance
evaluation is reviewed to ensure that it is appropriate (e.g.,
what weights should be given to the functional skills?).
Depending on their relevance for a specific job, various
combinations of these competencies are used for evaluating
associates’ performance. Associates are rated on a 1–5 scale for
each competency, with 5 meaning “far exceeds expectations.”

At Luxottica, HR, training and development, and operations
teams worked together to define the levels of each competency.
That is, together they decided what it means and what the
competency looks like when an employee is rated “meets
expectations” versus “is below expectations.” This is necessary
to ensure that managers are using a similar frame of reference
when they evaluate associates using the competencies.
TABLE 3.10 Examples of Competencies at Luxottica Retail
Leadership and Managerial
Coach and Develop Others
Foster Teamwork
Think Strategically
Functional
Global Perspective
Financial Acumen
Business Key Performance Indicators
Foundational
Build Relationships and Interpersonal Skills
Customer Focus
Act with Integrity
Source: From C. Spicer, “Building a Competency Model,” HR
Magazine (April 2009), pp. 34–36.
SCOPE OF NEEDS ASSESSMENT
Up to this point, the chapter has discussed the various aspects

of needs assessment, including organizational, person, and task
analyses. This involves interviews, observations, and potentially
even surveying employees. You might be saying to yourself,
“This sounds good, but it appears to be a very elaborate process
that takes time. What happens if I don’t have time to conduct a
thorough needs assessment? Should I abandon the process?”
Needs assessment is often skipped for several reasons based on
assumptions such as training is always the issue or is mandated;
it’s too costly, takes too long, and is too complex; and managers
will not cooperate. Despite the constraints to conducting a
needs assessment, it is necessary to determine if a problem or
pressure point exists and to identify the best solution, which
could be training.
However, even if managers demand a training course right now,
needs assessment should still be conducted. There are several
ways to conduct a rapid needs assessment. A rapid needs
assessment refers to a needs assessment that is done quickly and
accurately, but without sacrificing the quality of the process or
the outcomes.59 The key to conducting a rapid needs
assessment is choosing the needs assessment methods that will
provide the results you can have the greatest confidences in
while using the fewest resources (i.e., time, money, SMEs).
There are several ways to conduct a rapid needs assessment.
First, the scope of needs assessment depends on the size of the
potential pressure point. If the

pressure point seems to be local and has a potentially small
impact on the business, then the information-gathering part of
needs assessment could consist of only a few interviews with
managers or job incumbents. If the pressure point will have a
large impact on the business, then more information gathering
should be conducted. If, after interviewing SMEs and job
incumbents, you can tell that you are not learning anything new
about the job, then interviewing could be stopped. Second,
consider using already available data collected for other
purposes. Error data, sales data, customer complaints, and exit
interviews might provide valuable clues as to the source of
performance and survey problems. JetBlue uses on-the-job
performance data and business results data to identify training
needs.60 For example, using data collected when aircraft are
regularly serviced, JetBlue found that there was an increase in
cosmetic damage to airplanes. This triggered the learning team
to conduct more in-depth assessment to identify potential
learning needs that may have resulted in an increase in the
damage rate over time. Customer complaints tracked by the U.S.
Transportation Department revealed an increase in problems
experienced by JetBlue’s disabled passengers before boarding.
Based on these data, training was revised and expanded,
resulting in fewer complaints. The web may be another useful
source for quickly conducting interviews and surveys with

SMEs in different locations. Finally, if you are attuned to the
business problems, technological developments, and other
issues facing the organization, you will be able to anticipate
training needs. For example, if the company is opening sales
offices in an international location and introducing new
technology in the manufacturing plants, cross-cultural training
and training designed to help employees use the new technology
undoubtedly will be needed. Be prepared by understanding the
business.
Needs Assessment in Practice
KLA-Tencor supplies process controls and equipment to the
semiconductor industry.61 KLA-Tencor service engineers
diagnose and repair complex machines that use advanced laser,
optical, and robotic technologies. The engineers need to
maintain proficiency in their current skills as well as add new
skills to keep pace with new technology used in the company’s
equipment. This is critical for KLA-Tencor to quickly solve
equipment problems, which, if unresolved, can result in millions
of dollars of lost revenue for its customers. Providing effective
service is critical for the company to keep current customers
and develop new business. In fact, one of the company’s values
is “Indispensable” (the other values are “Perseverance,” “Drive
to Be Better,” “High Performance Teams,” and “Honest,
Forthright and Consistent”).
KLA-Tencor uses a skill management process (the Right People,

Right Knowledge process) to monitor its workforce skills and
uses this information to change its training programs. The
process involves developing a task list, training on the task,
practicing on-the-job training to gain certification, and
conducting an annual skills assessment. To conduct the skills
assessment, a survey was sent to all of KLA-Tencor’s more than
1,000 service engineers. For each task, the engineers were asked
to rate their capability of doing the task on a scale from “I don’t
know how” to “I can teach it to others.” Also, they were asked
to evaluate how frequently they performed the task, from
“Never” to “More than two times per year.” Based on their
responses, they were assigned a training task. More than 200
courses were created to train the engineers. To ensure that the
training was completed, both engineers and their managers were
held accountable. This helped achieve a 95 percent completion
rate within one year after training was assigned. The skills
assessment data were also
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used to identify gaps in current training, resulting in more than
2,000 changes in courses and certification programs. The skills
assessment is done annually to ensure that service engineers
keep up to date with new technology and products.
This example illustrates several aspects of the needs assessment
process. First, training was viewed as critical for helping the
company meet its strategic objectives. As a result, resources and

time were allocated for needs assessment and training. Second,
the needs assessment included a task or skill assessment that
helped determine who needed training and what tasks they
needed to learn. Third, based on the needs assessment, training
programs were developed or changed to improve the identified
skill deficiencies.
Summary
The first step in a successful training effort is to determine that
a training need exists through a process known as needs
assessment. Needs assessment involves three steps:
organizational analysis, person analysis, and task analysis.
Various methods—including observation, interviews, and
surveys or questionnaires—are used to conduct a needs
assessment. Each has advantages and disadvantages.
Organizational analysis involves determining (1) the extent to
which training is congruent with the company’s business
strategy and resources and (2) if peers and managers are likely
to provide the support needed for trainees to use training
content in the work setting.
Person analysis focuses on identifying whether there is evidence
that training is the solution, who needs training, and whether
employees have the prerequisite skills, attitudes, and beliefs
needed to ensure that they master the content of training
programs. Because performance problems are one of the major
reasons that companies consider training for employees, it is

important to investigate how personal characteristics, input,
output, consequences, and feedback relate to performance and
learning. Managers and trainers need to be concerned about
employees’ basic skill levels, attitudes, age and generation, and
the work environment in determining if performance problems
can be solved using training and how training should be
designed.
Training is likely the best solution to a performance problem if
employees don’t know how to perform. If employees have not
received feedback about their performance, if they lack the
equipment needed to perform the job, if the consequences for
good performance are negative, or if they are unaware of an
expected standard for performance, then training is not likely to
be the best solution.
To maximize employees’ motivation to learn in training
programs, managers and trainers need to understand these
factors prior to sending employees to training. For example,
lack of basic skills or reading skills can inhibit both job
performance and learning.
A task analysis involves identifying the task and the training
that employees will require in terms of knowledge, skills, and
abilities. Competency modeling is a new approach to needs
assessment that focuses on identifying personal capabilities,
including knowledge, skills, attitudes, values, and personal
characteristics.

Discussion Questions
Which of the factors that influence performance and learning do
you think is most important? Which is least important?
If you had to conduct a needs assessment for a new job at a new
plant, describe the method you would use.
If you were going to use technology to identify training needs
for customer service representatives for a web-based clothing
company, what steps would you take to ensure that the
technology was not threatening to employees?
Needs assessment involves organization, person, and task
analyses. Which one of these analyses do you believe is most
important? Which is least important? Why?
Why should upper-level managers be included in the needs
assessment process?
Explain how you would determine if employees had the reading
level necessary to succeed in a training program. How would
you determine if employees had the necessary computer skills
needed to use a web-based training program?
What conditions would suggest that a company should buy a
training program from an outside vendor? Which would suggest
that the firm should develop the program itself?
Assume that you have to prepare older employees with little
computer experience to attend a training course on how to use
the Internet. How will you ensure that they have high levels of
readiness for training? How will you determine their readiness

for training?
Explain the process you would use to conduct a root cause
analysis of a performance problem.
Review the sample tasks and task ratings for the electronic
technician’s job shown next. What tasks do you believe should
be emphasized in the training program? Why?
page 154
1. Task
1. Importance
1. Frequency
1. Learning Difficulty
1. 1. Replaces components
1. 1
1. 2
1. 1
1. 2. Repairs equipment
1. 2
1. 5
1. 5
1. 3. Interprets instrument readings
1. 1
1. 4
1. 5
1. 4. Uses small tools

1. 2
1. 5
1. 1
Explanation of ratings:
Frequency: 1 = very infrequently to 5 = very frequently
Importance: 1 = very important to 5 = very unimportant
Learning difficulty: 1 = easy to 5 = very difficult
Why would we consider age and generational differences as part
of a needs assessment? Is this important? Explain. Discuss the
types of evidence that you would look for to determine whether
a needs analysis has been conducted improperly.
How is competency modeling similar to traditional needs
assessment? How does it differ?
What is a rapid needs assessment? How would you conduct a
rapid needs assessment so that it is valuable and accurately
identifies training needs?
Application Assignments
Develop a competency model for a job held by a friend, spouse,
or roommate (someone other than yourself). Use the process
discussed in this chapter to develop your model. Note the most
difficult part of developing the model. How could the model be
used?
The Department of Social Services represents a large portion of
your county’s budget and total number of employees. The job of

eligibility technician is responsible for all client contact, poli cy
interpretation, and financial decisions related to several forms
of public aid (e.g., food stamps, aid to families with dependent
children). Eligibility technicians must read a large number of
memos and announcements of new and revised policies and
procedures. Eligibility technicians were complaining that they
had difficulty reading and responding to this correspondence.
The county decided to send the employees to a speed reading
program costing $500 per person. The county has 200 eligibility
technicians.
Preliminary evaluation of the speed reading program was that
trainees liked it. Two months after the training was conducted,
the technicians told their managers that they were not using the
speed reading course in their jobs, but were using it in leisure
reading at home. When their managers asked why they weren’t
using it on the job, the typical response was, “I never read those
memos and policy announcements anyway.”
Evaluate the needs assessment process used to determine that
speed reading was necessary. What was good about it? Where
was it faulty?
How would you have conducted the needs assessment? Be
realistic.
Consider the interview questions for the lead drivers that are
shown on page 133. Write questions that could be used to
interview the six lead driver supervisors and the two page 155

regional vice presidents. How do these questions differ from
those for the lead drivers? How are they similar?
Several companies are known for linking their mission, values,
and HR practices in ways that have led to business success as
well as employee satisfaction. These companies include
Southwest Airlines (www.iflyswa.com), Cisco Systems
(www.cisco.com), SAS Institute (www.sas.com), Men’s
Wearhouse (www.menswearhouse.com), Container Store
(www.containerstore.com), Google (www.google.com),
Steelcase (www.steelcase.com), Whole Foods
(www.wholefoods.com), and TELUS
(https://www.telus.com/en/about?linktype=footer). Choose one
of these companies’ websites and reviews of the companies at
www.glassdoor.com and perform an organizational needs
analysis. Read about the company’s values and vision; look for
statements about the importance of training and personal
development. Is training important in the company? Why or why
not? Provide supporting evidence.
Go to www.careeronestop.org/CompetencyModel, the website
for CareerOneStop, sponsored by the U.S. Department of Labor,
Employment and Training Administration to help job seekers,
students, businesses, and career professionals. Choose and
review one of the industry competency models. How might this
competency model be useful for training and development for
companies within the industry you selected? For their

employees? For individuals such as students or the unemployed
interested in working in the industry?
ConocoPhillips finds and produces oil and natural gas. Go to
www.conocophillips.com. Click on “Careers.” Under “Career
Development,” click on “Leadership Competencies.” Review the
competencies. How could these competencies be used in the
learning and development of new and aspiring company leaders
and managers?
Case
Identifying Training Needs Using Virtual Brainstorming at EY
Ernst & Young, historically considered an accounting and
consulting firm, transformed itself into a global professional
service company known as EY. To be a successful global
professional services organization, EY’s client-facing
employees must understand how to apply their knowledge,
skills, and behavior to increase margins and provide great
customer service. Existing training programs at EY addressed
these areas but the emphasis they received differed across the
U.S. and global locations. As a result, EY decided to create one
training program for all EY employees that would provide a
consistent understanding of margins and great customer service.
To identify the knowledge, skills, and behavior to include in the
new program, EY conducted virtual brainstorming sessions. The
virtual brainstorming sessions involved 300 high-performing

employees representing all services, regions, and positions,
including senior managers and partners. Employees who
participated in the brainstorming sessions shared how they work
to improve margins and satisfy clients, the knowledge and skills
they use to do so, and issues that lead to low margins. Based on
the information gathered during the brainstorming sessions, EY
developed a multiplayer simulation. It delivers knowledge and
provides opportunities to practice applying the knowledge with
simulated clients. When participants return to their jobs,
partners and senior managers encourage
page 156
them to use what they have learned with their clients and
provide coaching to help them further develop and use their new
skills.
In addition to the virtual brainstorming, what other methods
could EY have used to conduct the needs assessment? Describe
the method, why you would recommend it, and who would be
involved. Would you recommend your method replace or be
used in addition to the virtual brainstorming sessions?
Source: Based on “Training Top 10 Hall of Fame Outstanding
Training Initiatives, EY: [email protected] Challenge”, training
(January/February 2018), pp. 96–97.
Chapter Four

Learning and Transfer of Training
Objectives
After reading this chapter, you should be able to
Discuss the five types of learner outcomes.
Explain the implications of learning theory for instructional
design.
Incorporate adult learning theory into the design of a training
program.
Describe how learners receive, process, store, retrieve, and act
upon information.
Discuss the internal conditions (within the learner) and external
conditions (learning environment) necessary for the trainee to
learn each type of capability.
Discuss the implications of open and closed skills and near and
far transfer for designing training programs.
Explain the features of instruction and the work environment
that are necessary for learning and transfer of training.
Energizing Training Means Better Learning and Transfer of
Training
Boring lectures, lack of meaningful content in e-learning,
training that doesn’t give employees the opportunity to practice
and receive feedback, training that takes too long to complete—
all demotivate trainees and make it difficult for them to learn

and use what they have learned on the job. However, many
companies are using innovative instructional methods to make
training more interesting and accessible to help trainees learn
and apply it to their work.
Bankers Life, an insurance company, revised its training
program for new sales agents to appeal to the way millennials
want to learn and use new technology. It segments learning into
small modules that build on each other. Each module includes
online coursework, a debriefing, role play, and training in the
field.
Intermedia, a business services company, uses virtual
instructor-led training including video, e-learning modules, lab
activities, and role play to train its agents. Agents are able to
access any of the training content after they are back in the
field, which helps them review what they have learned and keep
their skills updated.
page 160
To prepare employees to perform technical installation and
maintenance roles, Verizon uses training labs with live circuits
and equipment and a practice field with telephone poles. To
maintain and update learning, small chunks of learning content
and questions are sent to learners’ computers or smartphones.
Correct answers to the questions are reinforced and incorrect
answers require the learner to review the learning content.
Using a social media platform, employees can share learning,

ask questions, connect with other trainees, and access resources.
SuperValu, a supermarket chain, uses web-based training that
emphasizes microlearning or breaking training content into
small chunks of information that employees can easily commit
to memory. Training might include a short video or brief online
modules that employees can work on at their own pace.
Sources: Based on “Top 125 2018 Rankings 46–55, Bankers
Life,” training (January/February 2018), pp. 60–61; “Training
Top 125 2018 Rankings 111–115, Intermedia Inc.,” training
(January/February 2018), pp. 80–81; “Verizon: Emergency
Work Assignment Training,” training (January/February 2016),
p. 56; A. Paul, “Microlearning 101,” HR Magazine (May 2016),
pp. 36–42.
INTRODUCTION
Although they use different methods, the purpose of the training
at the four companies just described is to help employees learn
so they can perform their jobs successfully. Regardless of the
training method, certain conditions must be present for learning
to occur and for employees to use what they have learned on the
job. These include (1) providing opportunities for trainees to
practice and receive feedback (i.e., information about how well
people are meeting the training objectives), (2) offering
meaningful training content, (3) identifying any prerequisites
that trainees need to complete the program successfully, (4)
allowing trainees to learn through observation and experience,

and (5) ensuring that the work environment, including managers
and peers, supports learning and the use of learned skills on the
job. For example, feedback from trainers is provided during the
role plays used by Bankers Life and Intermedia. The
meaningfulness of what is being learned is enhanced at Verizon
by having learners work on equipment that is identical to what
they will use on the job. Bankers Life and SuperValu deliver
training content to match trainees’ preferences about how they
want to learn.
As you may have recognized by now, this chapter emphasizes
not only what has to occur during training sessions for learning
to occur, but also how to ensure that trainees use what they have
learned on the job. That is, this chapter discusses both learning
and transfer of training. Learning refers to a relatively
permanent change in human capabilities that can include
knowledge, skills, attitudes, behaviors, and competencies that
are not the result of growth processes.1 A key part of learning
is that trainees commit to memory (i.e., remember) what they
have learned and recall it. Transfer of training refers to trainees
effectively and continually applying what they have learned in
training to their jobs.2 As the organizations in the chapter
opener illustrate, trainee characteristics, the design of the
training program (or what occurs during training), and the work
environment influence whether trainees learn and use or apply
what they have learned to their jobs. Figure 4.1 presents a

model of learning and transfer of training. As the model shows,
transfer of training includes both the generalization of training
to the job and maintenance of learned material.
page 161
Generalization refers to a trainee’s ability to apply what has
been learned to on-the-job work problems and situations that are
similar but not necessarily identical to those problems and
situations encountered in the learning environment (i.e., the
training program). Maintenance refers to the process of trainees
continuing to use what they have learned over time.
FIGURE 4.1 A Model of Learning and Transfer of Training
It is important to realize that for training to be effective, both
learning and transfer of training are needed. Trainees can fail or
incorrectly apply training content (what was emphasized in
training) to their jobs, either because the training was not
conducive to learning, or the work environment does not
provide them with the opportunity to use training content or
fails to support its correct use, or both. Also, it is a mistake to
consider transfer of training as something to be concerned about
after training because it deals with the use of training content
on the job. Instead, transfer of training should be considered
during the design or purchase of training. If you wait until after
training to consider transfer of training, it is likely too late.

Trainees’ perceptions of the work environment and its support
for training have likely influenced their motivation to learn and
what, if anything, they have learned (recall the discussion of
motivation to learn in Chapter Three, “Needs Assessment”).
This chapter coverage is based on the model shown in Figure
4.1. First, we discuss learning. We begin by identifying what is
to be learned—that is, the learning outcomes. Learning
outcomes should be related to what is required to perform the
job successfully. As the chapter opener illustrates, this may
include selling products, providing services, working with
operating systems, or developing and fixing software. As a
student, you are familiar with one type of learning outcome:
intellectual skills. We also discuss how trainees’ learning style
may influence the way they prefer to learn. The influence of
other trainee characteristics—such as basic skills, cognitive
ability, self-efficacy, age and generation, and interests—on
motivation to learn and learning was discussed in Chapter
Three.
Next, we consider training design. Training design includes
consideration of how to create a learning environment that will
help the trainee acquire the learning outcomes. We discuss
various learning and transfer of training theories. Last, we look
at how these theories are used to create a learning environment
and supportive work environment designed to help the trainee
learn the desired outcomes and apply them on the job.

WHAT IS LEARNING? WHAT IS LEARNED?
Understanding learning outcomes is crucial because they
influence the characteristics of the training environment that are
necessary for learning to occur. For example, if trainees are to
master motor skills such as climbing a pole, they must have
opportunities to practice climbing and receive feedback about
their climbing skills. Learning outcomes are presented in Table
4.1.
TABLE 4.1 Learning Outcomes
Type of Learning Outcome
Description of Capability
Example
Verbal information
State, tell, or describe previously stored information.
State three reasons for following company safety procedures.
Intellectual skills
Apply generalizable concepts and rules to solve problems and
generate novel products.
Design and code a computer program that meets customer
requirements.
Motor skills
Execute a physical action with precision and timing.
Shoot a gun and consistently hit a small moving target.
Attitudes
Choose a personal course of action.

Choose to respond to all incoming mail within 24 hours.
Cognitive strategies
Manage one’s own thinking and learning processes.
Use three different strategies selectively to diagnose engine
malfunctions.
Source: Based on R. Gagne and K. Medsker, The Conditions of
Learning (New York: Harcourt-Brace, 1996); K. Kapp,
“Matching the Right Design Strategy to the Right Content,”
T+D (July 2011), pp. 48–52.
Verbal information includes names or labels, facts, and bodies
of knowledge. Verbal information includes specialized
knowledge that employees need in their jobs. For example, a
manager must know the names of different types of equipment
as well as the body of knowledge related to Total Quality
Management (TQM).
Intellectual skills include concepts and rules, which are critical
to solve problems, serve customers, and create products. For
example, a manager must know the steps in the performance
appraisal process (e.g., gather data, summarize data, or prepare
for an appraisal interview with an employee) in order to conduct
an employee appraisal.
Motor skills include coordination of physical movements. For
example, a telephone repair person must have the coordination
and dexterity required to climb ladders and telephone poles.

Attitudes are a combination of beliefs and feelings that
predispose a person to behave a certain way. Attitudes include a
cognitive component (beliefs), an affective component
(feeling), and an intentional component (the way a person
intends to behave with regard to the focus of the attitude).
Important work-related attitudes include job satisfaction,
commitment to the organization, and job involvement. Suppose
you say that an employee has a “positive attitude” toward her
work. This means the person likes her job (the affective
component). She may like her job because it is challenging and
provides an opportunity to meet people (the cognitive
component). Because she likes her job, she intends to stay with
the company and do her best at work (the intentional
component). Training programs may
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be used to develop or change attitudes because attitudes have
been shown to be related to physical and mental withdrawal
from work, turnover, and behaviors that affect the well-being of
the company (e.g., helping new employees).
Cognitive strategies regulate the processes of learning. They
relate to the learner’s decision regarding what information to
attend to (i.e., pay attention to), how to remember informati on,
and how to solve problems. For example, a physicist recalls the
colors of the light spectrum through remembering the name
“Roy G. Biv” (red, orange, yellow, green, blue, indigo, violet).

As this chapter points out, each learning outcome requires a
different set of conditions for learning to occur. Before this
chapter investigates the learning process in detail, it looks at
the theories that help explain how people learn.
LEARNING THEORIES
Each theory about how people learn relates to different aspects
of the learning process. Many of the theories also relate to
trainees’ motivation to learn, which was discussed in Chapter
Three. The application of these theories for instruction and
program design are discussed later in this chapter and in
Chapter Five, “Program Design.”
Reinforcement Theory
Reinforcement theory emphasizes that people are motivated to
perform or avoid certain behaviors because of past outcomes
that have resulted from those behaviors.3 There are several
processes in reinforcement theory. Positive reinforcement is a
pleasurable outcome resulting from a behavior. Negative
reinforcement is the removal of an unpleasant outcome. For
example, consider a machine that makes screeching and
grinding noises unless the operator holds levers in a certain
position. The operator will learn to hold the levers in that
position to avoid the noises. The process of withdrawing
positive or negative reinforcers to eliminate a behavior is
known as extinction.Punishment is presenting an unpleasant
outcome after a behavior, leading to a decrease in that behavior.

For example, if a manager yells at employees when they are
late, they may avoid the yelling by being on time (but they may
also call in sick, quit, or fool the boss into not noticing when
they arrive late).
From a training perspective, reinforcement theory suggests that
for learners to acquire knowledge, change behavior, or modify
skills, the trainer needs to identify what outcomes the learner
finds most positive (and negative). Trainers then need to link
these outcomes to learners’ acquiring knowledge or skills or
changing behaviors. As was mentioned in Chapter Three,
learners can obtain several types of benefits from participating
in training programs. The benefits may include learning an
easier or more interesting way to perform their job (job-
related), meeting other employees who can serve as resources
when problems occur (personal), or increasing opportunities to
consider new positions in the company (career-related).
According to reinforcement theory, trainers can withhold or
provide these benefits to learners who master program content.
The effectiveness of learning depends on the pattern or schedule
for providing these reinforcers or benefits. Similarly, managers
can provide these benefits to help ensure transfer of training.
Behavior modification is a training method that is primarily
based on reinforcement theory. For example, a training program
in a bakery focused on eliminating unsafe behaviors
page 164

such as climbing over conveyor belts (rather than walking
around them) and sticking hands into equipment to dislodge
jammed materials without turning off the equipment.4
Employees were shown slides depicting safe and unsafe work
behaviors. After viewing the slides, employees were shown a
graph of the number of times that safe behaviors were observed
during past weeks. Employees were encouraged to increase the
number of safe behaviors they demonstrated on the job. They
were given several reasons for doing so: for their own
protection, to decrease costs for the company, and to help their
plant get out of last place in the safety rankings of the
company’s plants. Immediately after the training, safety
reminders were posted in employees’ work areas. Data about the
number of safe behaviors performed by employees continued to
be collected and displayed on the graph in the work area
following the training. Employees’ supervisors were also
instructed to recognize workers whenever they saw them
performing a safe work behavior. In this example, the safe-
behavior data posted in the work areas and supervisors’
recognition of safe work behaviors represent positive
reinforcers.
Social Learning Theory
Social learning theory emphasizes that people learn by
observing other people (models) who they believe are credible
and knowledgeable.5 Social learning theory also recognizes that

behavior that is reinforced or rewarded tends to be repeated.
The models’ behavior or skill that is rewarded is adopted by the
observer. According to social learning theory, learning new
skills or behaviors comes from (1) directly experiencing the
consequences of using that behavior or skill, or (2) the process
of observing others and seeing the consequences of their
behavior.6
According to social learning theory, learning also is influenced
by a person’s self-efficacy. Self-efficacy is a person’s judgment
about whether he or she can successfully learn knowledge and
skills. Chapter Three emphasizes self-efficacy as an important
factor to consider in the person analysis phase of needs
assessment. Why? Self-efficacy is one determinant of readiness
to learn. A trainee with high self-efficacy will make efforts to
learn in a training program and will be most likely to persist in
learning even if an environment is not conducive to learning
(e.g., a noisy training room). In contrast, a person with low self-
efficacy will have self-doubts about mastering the content of a
training program and will be more likely to withdraw
psychologically and/or physically (e.g., daydream or fail to
attend the program). These persons believe that they are unable
to learn and that, regardless of their effort level, they will be
unable to learn.
A person’s self-efficacy can be increased using several
methods: verbal persuasion, logical verification, observation of

others (modeling), and past accomplishments.7 Verbal
persuasion means offering words of encouragement to convince
others they can learn. Logical verification involves perceiving a
relationship between a new task and a task already mastered.
Trainers and managers can remind employees when they
encounter learning difficulties that they have been successful at
learning similar tasks. Modeling involves having employees
who already have mastered the learning outcomes demonstrate
them for trainees. As a result, employees are likely to be
motivated by the confidence and success of their peers. Past
accomplishments refers to allowing employees to build a history
of successful accomplishments. Managers can place employees
in situations where they are likely to succeed and provide
training so that employees know what to do and how to do it.
Social learning theory suggests that four processes are involved
in learning: attention, retention, motor reproduction, and
motivational processes (see Figure 4.2).
FIGURE 4.2 Processes of Social Learning Theory
Sources: Based on A. Bandura, Social Foundations of Thoughts
and Actions (Englewood Cliffs, NJ: Prentice Hall, 1986); P.
Taylor, D. Russ-Eft, and D. Chan, “A Meta-Analytic Review of
Behavior Modeling Training,” Journal of Applied Psychology,
90 (2005), pp. 692–709.

Attention suggests that persons cannot learn by observation
unless they are aware of the important aspects of a model’s
performance. Attention is influenced by characteristics of the
model and the learner. Learners must be aware of the skills or
behavior they are supposed to observe. The model must be
clearly identified and credible. The learner must have the
physical capability (sensory capability) to observe the model.
Also, a learner who has successfully learned other skills or
behavior by observing the model is more likely to attend to the
model.
Learners must remember the behaviors or skills that they
observe. This is the role of retention. Learners have to code the
observed behavior and skills in memory in an organized manner
so they can recall them for the appropriate situation. Behaviors
or skills can be coded as visual images (symbols) or verbal
statements.
Motor reproduction involves trying out the observed behaviors
to see if they result in the same reinforcement that the model
received. The ability to reproduce the behaviors or skills
depends on the extent to which the learner can recall the skills
or behavior. The learner must also have the physical capability
to perform the behavior or exhibit the skill. For example, a
firefighter can learn the behaviors necessary to carry a person
away from a dangerous situation, but he may be unable to

demonstrate the behavior because he lacks upper body strength.
Note that performance of behavior is usually not perfect on the
first attempt. Learners must have the opportunity to practice and
receive feedback to modify their behavior to be similar to the
model behavior.
Learners are more likely to adopt a modeled behavior if it
results in positive outcomes. Social learning theory emphasizes
that behaviors that are reinforced (a motivational process) will
be repeated in the future. For example, a major source of
conflict and stress for managers often relates to the performance
appraisal interview. A manager may, through observing
successful managers, learn behaviors that allow employees to be
more participative in a performance appraisal interview (e.g.,
give employees the opportunity to voice their concerns). If the
manager uses this behavior in the performance appraisal
interview and the behavior is rewarded by employees (e.g., they
make comments such as, “I really felt the feedback meeting was
the best we have ever had”) or the new behavior leads to
reduced conflicts with employees (negative reinforcement), the
manager will be more likely to use this behavior in subsequent
appraisal interviews.
As you will see in the discussion of training methods in
Chapters Seven, “Traditional Training Methods,” and Eight,
“Technology-Based Training Methods,” social learning theory
is the primary basis for behavior modeling training and has

influenced how models are used in videos, which can be part of
face-to-face, online, or mobile training programs.
For example, to train customer-facing employees about its new
pricing plans, Verizon used videos showing the best way to talk
to customers.8
Goal Theories
Goal Setting Theory
Goal setting theory assumes that behavior results from a
person’s conscious goals and intentions.9 Goals influence a
person’s behavior by directing energy and attention, sustai ning
effort over time, and motivating the person to develop strategies
for goal attainment.10 Research suggests that specific,
challenging goals result in better performance than vague,
unchallenging goals.11 Goals have been shown to lead to high
performance only if people are committed to the goal.
Employees are less likely to be committed to a goal if they
believe that it is too difficult.
An example of how goal setting theory influences training
methods is seen in a program designed to improve pizza
deliverers’ driving practices.12 The majority of pizza deliverers
are young (ages 18–24) and inexperienced drivers, who are
compensated based on the number of pizzas they can deliver.
This creates a situation in which deliverers are rewarded for fast
but unsafe driving practices—for example, not wearing a safety
belt, failing to use turn signals, and not coming to complete

stops at intersections. These unsafe practices have resulted in a
high driving accident rate.
Prior to goal setting, pizza deliverers were observed by their
managers leaving the store and then returning from deliveries.
The managers observed the number of complete stops at
intersections over a one-week period. In the training session,
managers and trainers presented the deliverers with a series of
questions for discussion, such as: In what situations should you
come to a complete stop? What are the reasons for coming to a
complete stop? What are the reasons for not coming to a
complete stop?
After the discussion, pizza deliverers were asked to agree on the
need to come to a complete stop at intersections. Following the
deliverers’ agreement, the managers shared the data they
collected regarding the number of complete stops at
intersections they had observed the previous week. (Complete
stops were made 55 percent of the time.) The trainer asked the
pizza deliverers to set a goal for complete stopping over the
next month. They decided on a goal of 75 percent complete
stops.
After the goal setting session, managers at each store continued
observing their drivers’ intersection stops. The following month
in the work area, a poster showed the percentages of complete
stops for every four-day period. The current percentage of total
complete stops was also displayed.

Goal setting theory also is used in training program design.
Goal setting theory suggests that learning can be facilitated by
providing trainees with specific challenging goals and
objectives. Specifically, the influence of goal setting theory can
be seen in the development of training lesson plans. Lesson
plans begin with specific goals, providing information regarding
the expected action that the learner will demonstrate, conditions
under which learning will occur, and the level of performance
that will be judged acceptable. Goals can also be part of action
plans or application assignments that are used to motivate
trainees to transfer training.
Goal Orientation
Goal orientation refers to the goals held by a trainee in a
learning situation. Goal orientation can include a learning
orientation or a performance orientation. Learning orientation
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relates to trying to increase one’s ability or competence in a
task. People with a learning orientation believe that training
success is defined as showing improvement and making
progress; prefer trainers who are more interested in how
trainees are learning than in how they are performing; and view
errors and mistakes as part of the learning process. Performance
orientation refers to learners who focus on task performance and
how they compare to others. Persons with a performance
orientation define success as high performance relative to

others; value high ability more than learning; and find that
errors and mistakes cause anxiety and want to avoid them.
Goal orientation is believed to affect the amount of effort that a
trainee will expend in learning (motivation to learn). Learners
with a high learning orientation will direct greater attention to
the task and learn for the sake of learning, as opposed to
learners with a performance orientation. Learners with a
performance orientation will direct more attention to performing
well and less effort to learning. Research has shown that
trainees with a learning orientation exert greater effort to learn
and use more complex learning strategies than do trainees with
a performance orientation.13 There are several ways to create a
learning orientation in trainees.14 These include setting goals
around learning and experimenting with new ways of having
trainees perform trained tasks rather than emphasizing trained-
task performance; deemphasizing competition among trainees;
creating a community of learning (discussed later in the
chapter); and allowing trainees to make errors and to
experiment with new knowledge, skills, and behaviors during
training.
Need Theories
Need theories help explain the value that a person places on
certain outcomes. A need is a deficiency that a person is
experiencing at any point in time. A need motivates a person to
behave in a manner that satisfies the deficiency. The need

theories of Abraham Maslow and Clayton Alderfer focused on
physiological needs, relatedness needs (the need to interact with
other persons), and growth needs (self-esteem and self-
actualization).15 Both Maslow and Alderfer believed that
persons begin by trying to satisfy needs at the lowest level and
then progress up the hierarchy as lower-level needs are
satisfied. That is, if physiological needs are not met, a person’s
behavior will continue to focus on satisfying these needs before
relatedness or growth needs receive attention. The major
difference between Alderfer’s and Maslow’s needs hierarchies
is that Alderfer allows the possibility that if higher-level needs
are not satisfied, employees may refocus on lower-level needs.
David McClelland’s need theory focused primarily on needs for
achievement, affiliation, and power.16 According to
McClelland, these needs can be learned. The need for
achievement relates to a concern for attaining and maintaining
self-set standards of excellence. The need for affiliation
involves concern for building and maintaining relationships
with other people and for being accepted by others. The need
for power is a concern for obtaining responsibility, influence,
and reputation.
Need theories suggest that to motivate learning, trainers should
identify trainees’ needs and communicate how training program
content relates to fulfilling these needs. Also, if certain basic
needs of trainees (e.g., physiological and safety needs) are not

met, they are unlikely to be motivated to learn. For example,
consider a word processing training class for secretaries in a
company that is downsizing. It is doubtful that even the best-
designed training class will result in learning if employees
believe that their job security is threatened (unmet need for
security) by the company’s downsizing strategy. Also, it is
unlikely the
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secretaries will be motivated to learn if they believe that word
processing skills emphasized in the program will not help them
keep their current employment or increase their chances of
finding another job inside (or even outside) the company.
Another implication of need theory relates to providing
employees with a choice of training programs to attend. As
Chapter Three mentioned, giving employees a choice of which
training course to attend can increase their motivation to learn.
This occurs because trainees are able to choose programs that
best match their needs.
Expectancy Theory
Expectancy theory suggests that a person’s behavior is based on
three factors: expectancy, instrumentality, and valence.17
Beliefs about the link between trying to perform a behavior and
actually performing well are called expectancies. Expectancy is
similar to self-efficacy. In expectancy theory, a belief that
performing a given behavior (e.g., attending a training program)

is associated with a particular outcome (e.g., being able to
better perform your job) is called instrumentality. Valence is
the value that a person places on an outcome (e.g., how
important it is to perform better on the job).
According to expectancy theory, various choices of behavior are
evaluated according to their expectancy, instrumentality, and
valence. Figure 4.3 shows how behavior is determined based on
finding the mathematical product of expectancy,
instrumentality, and valence. People choose the behavior with
the highest value.
FIGURE 4.3 Expectancy Theory of Motivation
From a training perspective, expectancy theory suggests that
learning is most likely to occur when employees believe that
they can learn the content of the program (expectancy). Also,
learning and transfer of training are enhanced when they are
linked to outcomes such as better job performance, a salary
increase, or peer recognition (instrumentality), and when
employees value these outcomes (valence).
Adult Learning Theory
Adult learning theory was developed out of a need for a specific
theory of how adults learn. Most educational theories, as well as
formal educational institutions, have been developed
exclusively to educate children and youths. Pedagogy, the art

and science of teaching children, has dominated educational
theory. Pedagogy gives the instructor the major responsibility
for making decisions about learning content, method, and
evaluation. Students are generally seen as (1) being passive
recipients of directions and content and (2) bringing few
experiences that may serve as resources to the learning
environment.18
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Educational psychologists, recognizing the limitations of formal
education theories, developed andragogy, the theory of adult
learning. Malcolm Knowles is most frequently associated with
adult learning theory. Knowles’s model is based on several
assumptions:19
Adults have the need to know why they are learning something.
Adults have a need to be self-directed.
Adults bring more work-related experiences into the learning
situation.
Adults enter a learning experience with a problem-centered
approach to learning.
Adults are motivated to learn by both extrinsic and intrinsic
motivators.
Adult learning theory is especially important to consider in
developing training programs because the audience for many
such programs tends to be adults, most of whom have not spent
a majority of their time in a formal education setting. Table 4.2

shows implications of adult learning theory for learning.
TABLE 4.2 Implications of Adult Learning Theory for Training
Design Issue
Implications
Self-concept
Mutual planning and collaboration in instruction
Experience
Use learner experience as basis for examples and applications
Readiness
Develop instruction based on the learner’s interests and
competencies
Time perspective
Immediate application of content
Orientation to learning
Problem-centered instead of subject-centered
Consider how adult learning theory is incorporated into training
programs.20 To help New York Life Insurance Company’s early
career product consultants—employees who support sales agents
by phone—improve their presentation skills so they can move
from a support role to a sales role, the company’s learning and
development team designed a year-long program that combines
five months of classroom training with five months of practice,
feedback, and coaching and includes an action learning project.
The action learning project presents groups of career product

consultants with an important business problem. As a group
they decide on a solution and present it to the company’s senior
leaders.21 Yapi ve Kredi Bank’s program to help managers
improve their skills in motivating and coaching their employees
includes classroom sessions in which trainers review case
studies of common situations in coaching and provide students
with online readings and videos. Senior managers review
coaching and development techniques, and program participants
are given coaching assignments to complete with their peers.
The first-line manager course at B&W Pantex focuses on soft
skills as well as human resource (HR) policies, discipline, and
supervision using instructor-led training with video
presentations and role playing. The course includes real -life
scenarios based on actual situations that have occurred in its
facilities. The program also includes on-the-job training in
which trained and qualified subject-matter experts (SMEs) teach
tasks and procedures. Brown-Forman, one of the largest
companies in the global wine and spirits industry (its brands
include Jack Daniel’s Tennessee Whiskey, Southern Comfort,
Findlandia vodka, and Herradura tequila), created a two-and-a-
half-day training program focused on helping the company’s
marketing professionals build the brand. The company’s chief
marketing officer visits the class to explain the
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importance of the course’s content and why it was developed. In

the course, participants work in teams to develop a brand
campaign for a sample brand. This includes making
presentations and completing exercises. Representatives from
Brown-Forman’s creative agencies attend the program, part of
which involves interacting with consumers to identify their
drinking patterns and preferences. At the end of the program,
participant teams present their final project to a panel of senior
marketing executives who serve as judges.
Information Processing Theory
Compared to other learning theories, information processing
theories give more emphasis to the internal processes that occur
when training content is learned and retained. Figure 4.4 shows
a model of information processing. Information processing
theories propose that information or messages taken in by the
learner undergo several transformations in the human brain.22
Information processing begins when a message or stimulus
(which could be a sound, smell, touch, or picture) from the
environment is received by receptors (i.e., ears, nose, skin, and
eyes). The message is registered in the senses and stored in
short-term memory, and then it is transformed or coded for
storage in long-term memory. A search process occurs in
memory, during which time a response to the message or
stimulus is organized. The response generator organizes the
learner’s response and tells the effectors (muscles) what to do.
The “what to do” instruction relates to one of the five learning

outcomes: verbal information, cognitive skills, motor skills,
intellectual skills, or attitudes. The final link in the model is
feedback from the environment. This feedback provides the
learner with an evaluation of the response given. This
information can come from another person or the learner’s
observation of the results of his or her own action. A positive
evaluation of the response provides reinforcement that the
behavior is desirable and should be stored in long-term memory
for use in similar situations.
FIGURE 4.4 A Model of Human Information Processing
Source: Based on R. Gagne, “Learning Processes and
Instruction,” Training Research Journal, 1 (1995/96), pp. 17–28;
D. Rock, “Your Brain on Learning,” Chief Learning Officer
(May 2015), pp. 30–48.
Besides emphasizing the internal processes needed to capture,
store, retrieve, and respond to messages, the information
processing model highlights how external events influence
learning. These events include:23
Changes in the intensity or frequency of the stimulus that affect
attention.
Informing the learner of the objectives to establish an
expectation.
Enhancing perceptual features of the material (stimulus),

drawing the attention of the learner to certain features.
content so that it can be stored in memory.
Meaningful learning context (examples, problems) creating cues
that facilitate coding.
Demonstration or verbal instructions helping to organize the
learner’s response, as well as facilitating the selection of the
correct response.
TRANSFER OF TRAINING THEORY
Transfer of training is more likely to occur when the trainee
works on tasks during training (e.g., knowledge, equipment, or
processes) that are very similar, if not identical, to the work
environment (near transfer). Transfer of training is more
difficult when tasks during training are different from the work
environment (far transfer), such as applying customer service
principles to an interaction with an angry customer in front of a
long line of customers at a cash register. The tasks that are used
during training should relate to the training objectives.
Closed skills refer to training objectives that are linked to
learning specific skills that are to be identically produced by the
trainee on the job. There is only one correct way to complete a
task if it requires closed skills. In contrast, open skills are
linked to more general learning principles. Customer service
skills are an example of open skills. There is not a single
correct way to perform and the learner is given some general

principles to follow. For example, a sales clerk is likely trained
on general principles or processes for how to interact with an
angry customer but has the freedom to choose from among those
principles in an actual interaction, because the customer’s
intentions and responses are not entirely predictable.24 Open
skills are more difficult to train than closed skills because they
require the trainee to not only acquire and recall general
principles, but also to consider how they can be adapted and
used to fit a wide range of circumstances, many of which cannot
be practiced during training. Also, manager and peer support on
the job is important for giving the trainee the opportunity to
learn by seeing how experienced employees use the skills and to
get feedback when the trainee has the chance to apply them.
Later in this chapter, we discuss the implications of transfer of
training theories for designing training. In Chapter Five, we
will discuss how specific training program design features can
facilitate learning and transfer of both open and closed skills.
Consider the transfer of training issues that Continental Airlines
faced in preparing its pilots to fly the new 787 Dreamliner
airplane.25 First, Continental flew the airplane on its U.S.
routes to familiarize flight and ground crew staff with it.
Continental trained approximately 24 pilots for each plane that
was delivered. The 787 flight deck was similar but not identical
to the 777 airplane that Continental’s pilots were currently
flying. Training included use of a flight simulator of the 787

and computer-based courses. One of the most difficult tasks for
pilots was becoming familiar with a display that drops down in
front of them, providing important flight information. The
purpose of the display is to improve visibility during difficult
flying conditions. Pilots liked the display but found that it takes
time to get used to it because it requires them to adjust their
depth perception.
Three theories of transfer of training have implications for
training design (the learning environment): the theory of
identical elements, the stimulus generalization approach, and
the cognitive theory of transfer.26 Table 4.3 shows each
theory’s primary emphasis and the most appropriate conditions
for its consideration.
TABLE 4.3 Transfer of Training Theories
Theory
Emphasis
Appropriate Conditions
Type of Transfer
Identical elements
Training environment is identical to work environment.
Training focuses on closed skills.
Work environment features are predictable and stable.
Example: Training to use equipment.
Near
Stimulus generalization

General principles are applicable to many different work
situations.
Training focuses on open skills. Work environment is
unpredictable and highly variable.
Example: Training in interpersonal skills.
Far
Cognitive theory
Meaningful material and coding schemes enhance storage and
recall of training content.
All types of training and environments.
Near and far
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Theory of Identical Elements
The theory of identical elements proposes that transfer of
training occurs when what is being learned in the training
session is identical to the tasks the trainee has to perform on the
job.27 Transfer will be maximized to the degree that the tasks,
materials, equipment, and other characteristics of the learning
environment are similar to those encountered in the work
environment.
The use of identical elements theory is shown in the hostage
training simulation used by the Baltimore Police Department.
The Baltimore Police Department needed to teach police

sergeants the skills to handle hostage-barricade situations in
which lives are at stake—skills such as negotiating with a
troubled husband holding his wife and/or children hostage. The
first hour of a hostage situation is critical. The sergeant must
organize resources quickly to achieve a successful end to the
situation, with minimal or no injuries. Baltimore PD chose a
training simulation because it provides a model of reality, a
mock-up of a real situation without the danger. Multiple
scenarios can be incorporated into the simulation, allowing the
sergeants to practice the exact skills that they need when facing
an actual hostage crisis.
The simulation begins by briefing the trainees on the hostage
situation. Then they are directed to take charge of resolving the
incident in the presence of an instructor who has personally
been involved in similar real-life incidents. Each trainee
supervises one difficult and one easy scenario. The simulation
is designed to emphasize the importance of clear thinking and
decision making in a situation in which time is critical. It is
essential that the trainees take actions according to a set of
priorities that place the greatest value on minimizing the risks
to the hostages and isolating the suspects before communicating
with them. The simulation scenarios include elements of many
actual hostage incidents, such as forced entry, taking persons
against their will, the presence of a weapon, and threats.
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As trainees work in the simulation, their actions are evaluated
by the instructor. The instructor can either provide feedback to
the trainees in writing after they complete the simulation or
correct mistakes as they happen.
The training simulation mirrors the exact circumstances of
actual hostage situations encountered by police officers. Also,
the checklist of activities and behaviors that the sergeants are
provided in training is the exact checklist used in hostage
situations that occur on the street. Evidence of generalization is
provided by police sergeants who have successfully dealt with a
bank-hostage situation by using the skills emphasized in the
simulation. The Baltimore Police Department is also concerned
with maintenance. At the conclusion of the simulation, officers
may be able to demonstrate how to free hostages successfully.
However, the incidence of hostage situations is fairly low
compared to other tasks that police officers perform (e.g.,
issuing traffic citations or investigating burglaries). As a result,
the police department is concerned that officers may forget what
they learned in training and therefore have difficulties in
hostage situations. To ensure that officers have opportunities to
practice these infrequently used but important skills, the
training department occasionally schedules mock hostage
situations.28
Another application of the theory of identical elements is found
in the use of simulators for training airline pilots. Pilots are

trained in a simulator that looks exactly like the cockpit of a
commercial aircraft. All aspects of the cockpit in the simulator
(e.g., gauges, dials, and lights) are the same as in a real aircraft.
In psychological terms, the learning environment has complete
fidelity with the work environment. Fidelity refers to the extent
to which the training environment is similar to the work
environment. If skills in flying, taking off, landing, and dealing
with emergency situations are learned in the simulator, they will
be transferred to the work setting (commercial aircraft).
The identical elements approach also has been used to develop
instruments that are designed to measure the similarity of
jobs.29 Job similarity can be used as one measure of the extent
to which training in the knowledge and skills required for one
job prepares an employee to perform a different job.
The theory of identical elements has been applied to many
training programs, particularly those that deal with the use of
equipment or that involve specific procedures that must be
learned. Identical elements theory is particularly relevant in
making sure that near transfer occurs. Near transfer refers to
trainees’ ability to apply learned capabilities exactly to the
work situation.
Identical elements theory does not encourage transfer where the
learning environment and the training environment are not
necessarily identical. This situation arises particularly in
interpersonal skills training. For example, a person’s behavior

in a conflict situation is not easily predictable. Therefore,
trainees must learn general principles of conflict resolution that
they can apply to a wide variety of situations as circumstances
dictate (e.g., an irate customer versus a customer who lacks
product knowledge).
Stimulus Generalization Approach
The stimulus generalization approach suggests that transfer of
training occurs when training emphasizes the most important
features of a task or general principles that can be used to
complete a task or solve a problem. It is important to identify
the range of work situations in which these general principles
can be applied. The stimulus generalization approach
emphasizes far transfer. Far transfer refers to the trainee’s
ability to apply learned capabilities
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to the work environment, even though the work environment
(equipment, problems, and tasks) is not identical to that of the
training session.
The stimulus generalization approach can be seen in the design
of some skill training programs, which are based on social
learning theory. Recall from the discussion of social learning
theory that modeling, practice, feedback, and reinforcement
play key roles in learning. One step in developing effective
interpersonal skill training programs is to identify key
behaviors that are needed to be successful in a situation. Key

behaviors refers to a set of behaviors that can be used
successfully in a wide variety of situations. In a training
scenario, the model demonstrates these key behaviors in a
video, and trainees have opportunities to practice them. The key
behaviors are believed to be applicable to a wide variety of
situations. In fact, the practice sessions in this type of training
require the trainee to use the behaviors in a variety of situations
that are not identical.
Cognitive Theory of Transfer
The cognitive theory of transfer is based on the information
processing theory of learning discussed earlier in the chapter.
Recall that storage and retrieval of information are key aspects
of this model of learning. According to the cognitive theory of
transfer, the likelihood of transfer is increased by providing
trainees with meaningful material that enhances the chances that
they will link what they encounter in the work environment to
the learned capability. Also important is providing the trainee
with cognitive strategies for coding the learned capabiliti es in
memory so that they are easily retrievable.
The influence of cognitive theory is seen in training design that
encourages trainees, as part of the program, to consider
potential applications of the training content to their jobs. Many
training programs include having trainees identify a work
problem or situation and discuss the potential application of
training content.

THE LEARNING PROCESS
Now that you have reviewed the learning and transfer of
training theories, you are ready to address three questions: What
are the physical and mental processes involved in learning?
How does learning and transfer occur? Do trainees have
different learning styles?
Mental and Physical Processes
Table 4.4 shows the learning processes, including expectancy,
perception, working storage, semantic encoding, long-term
storage, retrieval, generalizing, and gratification.30 Table 4.4
emphasizes that learning depends on the learner’s cognitive
processes, including attending to what is to be learned (learning
content), organizing the learning content into a mental
representation, and relating the learning content to existing
knowledge from long-term memory.31 As noted earlier in this
chapter, expectancy refers to the mental state that the learner
brings to the instructional process. This includes factors such as
readiness for training (motivation to learn, basic skills) as well
as an understanding of the purpose of the instruction and the
likely benefits that may result from learning and using the
learned capabilities on the job. Perception refers to the ability
to organize the message from the environment so that it can be
processed and acted upon. Both working storage and semantic
encoding relate to short-term memory. In working storage,
rehearsal and repetition of

information occur, allowing material to be coded for memory.
Working storage is limited by the amount of material that can
be processed at any one time. Research suggests that not more
than five messages can be prepared for storage at the same time.
TABLE 4.4 The Relationship Among Learning Processes,
Instructional Events, and Forms of Instruction
Processes of Learning
External Instructional Events
Forms of Instruction
Expectancy
Informing the learner of the lesson objective
Demonstrate the expected performance.
Indicate the kind of verbal question to be answered.
Perception
Presenting stimuli with distinctive features
Emphasize the features of the subject to be perceived.
Use formatting and figures in text to emphasize features.
Working storage
Limiting the amount to be learned
Arrange lengthier material in chunks.
Provide a visual image of material to be learned.
Provide practice and overlearning to aid the attainment of
automaticity.
Semantic encoding

Providing learning guidance
Provide verbal cues to the proper combining sequence.
Provide verbal links to a larger meaningful context.
Use diagrams and models to show relationships among
concepts.
Long-term storage
Elaborating the amount to be learned
Vary the context and setting for presentation and recall of
material.
Relate newly learned material to previously learned
information.
Provide a variety of contexts and situations during practice.
Retrieval
Providing cues that are used in recall
Suggest cues that elicit the recall of material.
Use familiar sounds or rhymes as cues.
Generalizing
Enhancing retention and learning transfer
Design the learning situation to share elements with the
situation to which learning applies.
Provide verbal links to additional complexes of information.
Gratifying
Providing feedback about performance correctness
Provide feedback on degree of accuracy and timing of
performance.

Confirm whether original expectancies were met.
Source: Based on M. Cole, The Science of Learning
(Alexandria: VA: Association for Talent Development, 2017);
R. Gagne, “Learning Processes and Instruction,” Training
Research Journal, 1 (1995/96), pp. 17–28; D. Rock, “Your Brain
on Learning,” Chief Learning Officer (May 2015), pp. 30–48;
A. Beninghof, “Pathways to Retention,” T+D (June 2015), pp.
21–22; M. Torrance, “Nine Moments of Learning,” T+D
(September 2014), pp. 76–77.
Semantic encoding refers to the actual coding process of
incoming messages. Different learning strategies influence how
training content is coded. Learning strategies include rehearsal,
organizing, and elaboration.32 Rehearsal, the simplest learning
strategy, focuses on learning through repetition (memorization).
Organizing requires the learner to find similarities and themes
in the training material. Elaboration requires the trainee to
relate the training material to other, more familiar knowledge,
skills, or behaviors. Trainees use a combination of these
strategies to learn. The “best” strategy depends on the learning
outcome. For knowledge outcomes, rehearsal and organization
are most appropriate. For skill application, elaboration is
necessary. After messages have been attended to, rehearsed, and
coded, they are ready for storage in long-term memory.
To use learned material (e.g., cognitive skills or verbal

information), it must be retrieved. Retrieval involves
identifying learned material in long-term memory and using it
to influence
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performance. An important part of the learning process is not
only being able to reproduce exactly what was learned, but also
being able to adapt the learning for use in similar but not
identical situations. This is known as generalizing. Finally,
gratifying refers to the feedback that the learner receives as a
result of using learning content. Feedback is necessary to allow
the learner to adapt responses so they are more appropriate.
Feedback also provides information about the incentives or
reinforcers that may result from performance.
The Learning Cycle
Learning can be considered a dynamic cycle that involves four
stages: concrete experience, reflective observation, abstract
conceptualization, and active experimentation.33 First, a trainee
encounters a concrete experience (e.g., a work problem). This is
followed by thinking (reflective observation) about the problem,
which leads to generation of ideas of how to solve the problem
(abstract conceptualization) and finally to implementation of the
ideas directly to the problem (active experimentation).
Implementing the ideas provides feedback as to their
effectiveness, so the learner can see the results and star t the
learning process over again. Trainees continually develop

concepts, translate them into ideas, implement them, and adapt
them as a result of their personal observations about their
experiences.
Researchers have developed questionnaires to measure trainees’
weak and strong points in the learning cycle. Some people have
a tendency to overemphasize or underemphasize one stage of
the learning cycle, or to avoid certain stages altogether. The key
to effective learning is to be competent in each of the four
stages. Four fundamental learning styles are believed to exist.
These learning styles combine elements of each of the four
stages of the learning cycle.
Table 4.5 shows the learning characteristics and dominant
learning abilities of individuals according to the four learning
styles: Divergers, Assimilators, Convergers, and
Accommodators.34 Keep in mind that researchers disagree
about whether we have learning styles and preferences and, if
we have them, how they should be measured.35
TABLE 4.5 Learning Styles
Learning Style
Dominant Learning Abilities
Learning Characteristics
Diverger
· Concrete experience
· Reflective observation
· Is good at generating ideas, seeing a situation from multiple

perspectives, and being aware of meaning and value
· Tends to be interested in people, culture, and the arts
Assimilator
· Abstract conceptualization
· Reflective observation
· Is good at inductive reasoning, creating theoretical models,
and combining disparate observations into an integrated
explanation
· Tends to be less concerned with people than with ideas and
abstract concepts
Converger
· Abstract conceptualization
· Active experimentation
· Is good at decisiveness, practical application of ideas, and
hypothetical deductive reasoning
· Prefers dealing with technical tasks rather than interpersonal
issues
Accommodator
· Concrete experience
· Active experimentation
· Is good at implementing decisions, carrying out plans, and
getting involved in new experiences
· Tends to be at ease with people but may be seen as impati ent
or pushy

Source: Based on D. Kolb, Learning Style Inventory, Version
3.1 (Boston, MA: Hay/McBer Training Resources Group, 2005).
In trying to match instruction to learning preferences, it is
important that instructional or training strategies be deter mined
first by what is being taught, or the learning outcomes. Then,
learning styles should be considered to adjust the training or
instructional strategy.36
For example, AmeriCredit, an auto finance company located in
Fort Worth, Texas, is trying to modify training to better match
its employees’ learning styles.37 The company has created a
database to identify and track each employee’s learning style.
Also, employees’ learning styles are being considered in course
design. In a new e-learning class, employees who prefer
learning by action will receive information in bullet points and
will complete activities that help them learn. Employees who
prefer thought and reasoning will receive more conceptual
material during the course and be involved in fewer
experiences. The company plans to compare the new e-learning
class that takes into account learning styles with one that does
not, so it can determine whether the adaptation to learning
styles makes a difference in trainee satisfaction and learning.
Implications of the Learning Process and Transfer of Training
for Instruction
Instruction refers to the trainer’s manipulation of the
environment in order to help trainees learn.38 Returning to

Table 4.4, the right side of this table shows the forms of
instruction that support learning. To provide trainees with the
best chance to learn, it is important to ensure
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that these forms of instruction are included in training. Table
4.6 summarizes the features of good instruction that facilitate
the learning process. The features of a positive learning
environment and transfer of training need to be designed into
training courses, programs, or specific training methods that
might be used, whether in the form of lectures, e-learning, or
on-the-job training. Here, as well as later in the chapter, we
discuss these features.
TABLE 4.6 Features of Instruction and the Work Environment
That Facilitate Learning and Transfer of Training
· Objectives
· Meaningful content
· Opportunities to practice
· Methods for committing training content to memory
· Feedback
· Observation, experience, and social interaction
· Proper coordination and arrangement of the training program
· Encourage trainee responsibility and self-management
· Ensure that the work environment supports learning and
transfer

Employees Need to Know the Objectives
Employees learn best when they understand the objective of the
training program. The objective refers to the purpose and
expected outcome of training activities. There may be
objectives for each training session, as well as overall
objectives for the program. Keep in mind that training
objectives are the last step of the process that begins with
businesspage 178
goals.39 Business goals influence the expected performance of
roles or positions, and in turn, the tasks that need to be
completed. Training objectives focus on the behavior,
knowledge, or skills needed to complete the tasks.
Recall the discussion of goal setting theory earlier in the
chapter. Because objectives can serve as goals, trainees need to
understand, accept, and be committed to achieving the training
objectives for learning to occur. Training objectives based on
the training needs analysis help employees understand why they
need training and what they need to learn. Objectives are also
useful for identifying the types of training outcomes that should
be measured to evaluate a training program’s effectiveness.
A training objective has three components:40
A statement of what the employee is expected to do
(performance or outcome).
A statement of the quality or level of performance that is
acceptable (criterion).

A statement of the conditions under which the trainee is
expected to perform the desired outcome (conditions).
The objective should not describe performance that cannot be
observed, such as “understand” or “know.” Table 4.7 shows
verbs that can be used for cognitive, affective, and psychomotor
(physical abilities and skills) outcomes. For example, a training
objective for a customer-service training program for retail
salespeople might be “After training, the employee will be able
to express concern [performance] to all irate customers by
offering a brief, sincere (fewer than 10-word) apology, in a
professional manner [criteria], no matter how upset the
customer is [conditions].” Table 4.8 shows the characteristics of
good training objectives.
TABLE 4.7 Examples of Performance or Outcomes for
Objectives
Domain
Performance
Knowledge (recall of information)
Arrange, define, label, list, recall, repeat
Comprehension (interpret in own words)
Classify, discuss, explain, review, translate
Application (apply to new situation)
Apply, choose, demonstrate, illustrate, prepare
Analysis (break down into parts and show relationships)
Analyze, categorize, compare, diagram, test

Synthesis (bring together to form a whole)
Arrange, collect, assemble, propose, set up
Evaluation (judgments based on criteria)
Appraise, attack, argue, choose, compare
Receiving (pay attention)
Listen to, perceive, be alert to
Responding (minimal participation)
Reply, answer, approve, obey
Valuing (preferences)
Attain, assume, support, participate
Organization (development of values)
Judge, decide, identify with, select
Characterization (total philosophy of life)
Believe, practice, carry out
Reflexes (involuntary movement)
Stiffen, extend, flex
Fundamental movements (simple movements)
Crawl, walk, run, reach
Perception (response to stimuli)
Turn, bend, balance, crawl
Physical abilities (psychomotor movements)
Move heavy objects; make quick motions
Skilled movements (advanced learned movements)
Play an instrument; use a hand tool

Sources: Based on H. Sredl and W. Rothwell, “Setting
Instructional Objectives,” in The ASTD Reference Guide to
Professional Training Roles and Competencies,Vol. II (New
York: Random House, 1987), Chapter 16; R. Mager, Preparing
Instructional Objectives, 3d ed. (Atlanta: Center for Effective
Performance, 1997).
TABLE 4.8 Characteristics of Good Training Objectives
· Provide a clear idea of what the trainee is expected to be able
to do at the end of training.
· Include standards of performance that can be measured or
evaluated.
· State the specific resources (e.g., tools and equipment) that
the trainee needs to perform the action or behavior specified.
· Describe the conditions under which performance of the
objective is expected to occur (e.g., the physical work
environment, such as at night or in high temperatures; mental
stresses, such as angry customers; or equipment failure, such as
malfunctioning computer equipment).
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Some of the most common problems with objectives include
that they are unclear, incomplete, or unspecific.41 Table 4.9
provides some examples of learning objectives. As you review
each objective, identify if it includes each of the three
components (performance, criteria, condition). Are these good

objectives? How can they be improved?
TABLE 4.9 Examples of Learning Objectives
· Develop a diverse multifunctional team that can compete in a
challenging environment to produce outcomes that will enhance
results.
· Use conflict management skills when faced with a conflict.
· Smile at all customers, even when exhausted, unless the
customer is irate.
· Reduce product defects from 10 to 7 percent.
· List all of the nodes of a DC-3 multi-switch correctly, without
using a reference manual.
· Use the software 100 percent accurately, given access to the
quick reference guide.
Employees Need Meaningful Training Content
Employees are most likely to learn when the training is linked
to their current job experiences and tasks—that is, when it is
meaningful to them.42 To enhance the meaningfulness of
training content, the message should be presented using
concepts, terms, and examples familiar to trainees. Also, the
training context should mirror the work environment. The
training context refers to the physical, intellectual, and
emotional environment in which training occurs. For example,
in a retail salesperson customer-service program, the
meaningfulness of the material will be increased by using

scenarios of unhappy customers actually encountered by
salespersons in stores. Some useful techniques for convincing
trainees that the training program content is meaningful
include:43
Telling stories about others’ success in applying training
content, especially former trainees.
Relating training content to what trainees already know about
their jobs.
Showing how training relates to company goals and strategy.
Showing how trainees can use training content ideas at work.
Discussing examples or cases that remind trainees of the good
and poor work they have seen.
Repeating the application of ideas in different contexts.
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Presenting evidence that what they will learn during training is
what high-performing employees use in their jobs.
Showing how the conditions that trainees face in training are
similar to those on the job.
Providing practice or application activities that can be used on
the job.
Providing hard copies or electronic access to well -organized
materials so trainees can refer to them on the job or use them to
teach others.
Allowing trainees to choose their practice strategy and how they

want training content presented (e.g., verbally, visually,
problem-based, or using a combination of approaches).
Employees Need Opportunities to Practice
Practice refers to the physical or mental rehearsal of a task,
knowledge, or skill to achieve proficiency in performing the
task or skill or demonstrating the knowledge. Practice involves
having the employee demonstrate the learned capability (e.g.,
cognitive strategy, verbal information) emphasized in the
training objectives under conditions and performance standards
specified by the objectives. For practice to be effective, it needs
to involve the trainee actively, include overlearning (repeated
practice), take the appropriate amount of time, and include the
appropriate unit of learning (amount of material). Practice also
needs to be relevant to the training objectives. It is best to
include a combination of examples and practice, rather than all
practice.44 This helps avoid overloading trainees’ memory so
they can engage in the cognitive processes needed for learning
to occur (selecting, organizing, and integrating content).
Viewing examples helps learners develop a new mental model
of skills, which they can then use in practice. Some examples of
ways to practice include case studies, simulations, role play,
games, and oral and written questions.
Pre-Practice Conditions Trainers need to focus not just on
training content, but also on how to enable trainees to process
information in a way that will facilitate learning and the use of

training on the job. There are several steps that trainers can take
within the training course prior to practice to enhance trainees’
motivation to learn and to facilitate retention of training
content. Before practice, trainers can45
Provide information about the process or strategy that will
result in the greatest learning. For example, let trainees in a
customer service class know about the types of calls they will
receive (irate customer, request for information on a product,
challenge of a bill), how to recognize such calls, and how to
complete the calls.
Encourage trainees to develop a strategy (metacognition) to
reflect on their own learning process. Metacognition refers to an
individual’s control over his or her own thoughts and learning
process. Two ways that individuals engage in metacognition are
monitoring and control.46 Research shows that metacognition,
including self-regulation, promotes learning.47 Self-regulation
refers to learners’ involvement with the training material and
assessing their progress toward learning. Learners who engage
in self-regulation likely learn more effectively because they are
able to monitor their progress, identify areas needing
improvement, and adjust their learning. Self-regulation may be
especially important for online training courses, in which
learners have control over the learning experience such that
they can decide to drop out of courses and decide how much
effort, if any, they want to exert to learn the training content.

Table 4.10 provides examples of questions that trainers can
encourage trainees to answer to help encourage metacognition
and self-regulation. Trainers (and online learning designers) can
also aid metacognition by asking page 181
trainees to summarize the key points after a topic is completed;
consider how to deal with factors on the job that might inhibit
application of learning content; and develop quiz questions and
answers and ask other trainees to answer them.48
Provide advance organizers—outlines, texts, diagrams, and
graphs that help trainees organize the information that will be
presented and practiced.
Help trainees set challenging mastery or learning goals.
Create realistic expectations for trainees by communicating
what will occur in training.
When training employees in teams, communicate performance
expectations and clarify the roles and responsibilities of team
members.
TABLE 4.10 Examples of Questions That Encourage Self-
Regulation
· Am I concentrating on the training material?
· Do I understand the key points?
· Am I setting goals to help me remember the material after I
finish the course?
· Are the study tactics I have been using effective for learning
the training material?

· Would I do better on the test if I studied more?
· Have I spent enough time reviewing to remember the
information after I finish the course?
· What additional help and resources do I need?
· What do I need to remember? How will I remember?
Source: From P. Shank, “Self-Sufficient Learners Make
Successful Workers,” TD (April 2017), pp. 43–46; T. Sitzmann,
“Self-Regulating Online Course Engagement,” T+D (March
2010), p. 26.
Practice Involves Experience Learning will not occur if
employees practice only by talking about what they are
expected to do. For example, using the objective for the
customer service course previously discussed, practice would
involve having trainees participate in role-playing with unhappy
customers (customers upset with poor service, poor
merchandise, or unsatisfactory exchange policies). Training
should involve an active learning approach in which trainees
must explore and experiment to determine the rules, principles,
and strategies for effective performance.49 Trainees need to
continue to practice even if they have been able to perform the
objective several times (known as overlearning). Overlearning
helps the trainee become more comfortable using new
knowledge and skills and increases the length of time the
trainee will retain the knowledge, skill, or behavior. For

example, customer service representatives in Verizon’s video
training program were asked to watch multiple scenarios of
interactions with customers, record their responses using a
smartphone or webcam, and submit the video to their assigned
coach. The coach provided feedback on the strengths and
weaknesses of the representatives’ responses. The
representatives could record a new response after they received
feedback from the coach. Verizon found that the recording and
feedback process encouraged employees to practice multiple
times. This repeated practice resulted in improved customer
service skills.50
Conventional wisdom is that we all learn the most from our
errors. However, most people feel that errors are frustrating and
lead to anger and despair. Research suggests that from a
training perspective, errors can be useful.51 Error management
training refers to giving trainees opportunities to make errors
during training. In error management training, trainees are
instructed that errors can help learning, and they are encouraged
to make errors and learn from them. Trainees may actually
commit more errors and may take longer to complete training
that incorporates error management training. However, error
management training helps improve employee use of learned
skills on the job (i.e., transfer of training).
Error management training is effective because it provides the
opportunity for trainees to engage in metacognition; that is, it

allows them to plan how to use training content, to monitor the
use of training content, and to evaluate how training content
was used. This results in a deeper level of cognitive processing,
leading to better memory and recall of training. Trainers should
consider using error management training in the training
program along with traditional approaches by giving trainees
the opportunity to make errors when they work alone on
difficult problems and tasks and encouraging them to use errors
as a way to learn.
It is important to note that allowing trainees simply to make
errors does not help improve learning. For errors to have a
positive influence on learning, trainees need to be taught to use
errors as a chance to learn. Error management training may be
particularly useful whenever the training content to be learned
cannot be completely covered during a training session. As a
result, trainees have to discover on their own what to do when
confronted with new tasks or problems.
Massed versus Spaced Practice The frequency of practice has
been shown to influence learning, depending on the type of task
being trained.52 Massed practice conditions are those in which
individuals practice a task continuously, without resting.
Massed practice also involves having trainees complete practice
exercises at one time within a lesson or class rather than
distributing the exercises within the lesson. In spaced practic e
conditions, individuals are given rest intervals within practice

sessions. Spaced practice is superior to massed practice in
general. However, the difference in effectiveness of massed
versus spaced practice varies by the characteristics of the task.
Task characteristics include overall task complexity, mental
requirements, and physical requirements. Overall task
complexity refers to the degree to which a task requires a
number of distinct behaviors, the number of choices involved in
performing the task, and the degree of uncertainty in performing
the task. Mental requirements refers to the degree to which the
task requires the subject to use or demonstrate mental skills or
cognitive skills or abilities to perform the task. Physical
requirements refers to the degree to which the task requires the
person to use or demonstrate physical skills and abilities to
perform and complete the task. Table 4.11 shows how tasks can
differ.
TABLE 4.11 Mental and Physical Requirements and Overall
Complexity for Tasks
Mental Requirements
Overall Complexity
Physical Requirements
Low
Low
High
Task Examples: Rotary pursuit, typing, ball toss, ladder climb,
peg reversal, bilateral transfer, crank turning

High
Average
Low
Task Examples: Free recall task, video games, foreign language,
slide-bar task, voice recognition, classroom lecture, sound
localization, word processing, stoop task, verbal discrimination,
maze learning, connecting numbers, upside-down alphabet
printing, distance learning, web training
Low
High
High
Task Examples: Gymnastic skills, balancing task
High
High
High
Task Examples: Air traffic controller simulation, milk
pasteurization simulation, airplane control simulation, hand
movement memorization, puzzle box task, music memorization
and performance
Source: J. Donovan and D. Radosevich, “A Meta-Analytic
Review of the Distribution of Practice Effect: Now You See It,
Now You Don’t,” Journal of Applied Psychology, 84 (1999),
pp. 795–805.
For more complex tasks (including those that are representative

of training settings, such as web-based instruction, lecture, and
distance learning), relatively long rest periods appear to be
beneficial for task learning. After practice, trainees need
specific feedback to enhance learning. This includes feedback
from the task or job itself, as well as feedback from trainers,
managers, and peers.
Whole versus Part Practice A final issue related to practice is
how much of the training should be practiced at one time. One
option is that all tasks or objectives should be practiced at the
same time (whole practice). Another option is that each
objective or task should be practiced individually as soon as it
is introduced in the training program (part practice). It is
probably best to employ both whole and part practice in a
training session. Trainees should have the opportunity to
practice individual skills or behaviors. If the skills or behaviors
introduced in training are related to one another, the trainee
should demonstrate all of them in a practice session after they
have been practiced individually. Practice activities should
expose trainees to a variety of training content by switching
between topics throughout the session. This helps facilitate
learning because it helps ensure that content
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is retained in trainees’ long-term memory. Transfer of training
is also enhanced because trainees are being asked to recall and
apply skills and knowledge in the same way they work (i.e.,

using different knowledge and skills as they shift their focus
between different tasks and problems).
Effective Practice Conditions For practice to be relevant to the
training objectives, several conditions must be met.53 Practice
must involve the actions emphasized in the training objectives;
be completed under the conditions specified in the training
objectives; help trainees perform to meet the criteria or standard
that was set; provide some means to evaluate the extent to
which trainees’ performance meets the standards; and allow
trainees to correct their mistakes.
Practice must be related to the training objectives. The trainer
should identify what trainees will be doing when practicing the
objectives (performance), the criteria for attainment of the
objective, and the conditions under which they may perform.
These conditions should be present in the practice session.
Practice activities should be as realistic as possible. That is,
trainees should be involved in practice that mirrors how they
will be asked to use the training content on the job. Next, the
trainer needs to consider the adequacy of the trainees’
performance. That is, how will trainees know whether their
performance meets performance standards? Will they see a
model of desired performance? Will they be provided with a
checklist or description of desired performance? Can the
trainees decide if their performance meets standards, or will the
trainer or a piece of equipment compare their performance with

standards?
Finally, in the event that trainees’ performance does not meet
standards, the trainer must decide whether trainees will be able
to understand what is wrong and how to fix it. That is, trainers
need to consider whether trainees will be able to diagnose their
performance and take corrective action, or if they will need help
from the trainer or a fellow trainee.
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Employees Need to Commit Training Content to Memory
Memory works by processing stimuli we perceive through our
senses into short-term memory. If the information is determined
to be “important,” it moves to long-term memory, where new
interconnections are made between neurons or electrical
connections in the brain. Research shows there are several ways
to help trainees commit content to memory (see Table 4.12).54
TABLE 4.12 How to Help Trainees Commit Training Content to
Memory
· Help them understand how they learn
· Emphasize important points and eliminate irrelevant content
· Use a concept map to show relationships among ideas
· Teach key words; provide a procedure, sequence, or visual
image
· Encourage trainees to take notes and engage in reflection
· Have trainees engage in overlearning
· Provide rest breaks during training

· Use quizzes or boosters
· Break courses into small chunks of learning using modules or
microlearning
· Have trainees complete pretraining work
Sources: Based on K. Kraiger and V. Mattingly, “Cognitive and
Neural Foundations of Learning,” in The Cambridge Handbook
of Workplace Training and Employee Development, K. Brown,
ed (New York: Cambridge University Press, 2018); “The Art &
Science of Learning That Sticks,” from www.grovo.com,
accessed February 9, 2018; D. Rock, “Your Brain on Learning,”
Chief Learning Officer (May 2015), pp. 30–48; A. Beninghof,
“Pathways to Retention,” TD (June 2015), pp. 21–22; R. Weiss,
“Memory and Learning,” Training and Development; (October
2000), pp. 46–50; R. Zemke, “Toward a Science of Training,”
training (July 1999), pp. 32–36.
One way is to make trainees aware of how they are creating,
processing, and accessing memory. It is important for trainees
to understand how they learn. A presentation of learning styles
(discussed earlier in this chapter) can be a useful way to
determine how trainees prefer to learn.
Important points should be highlighted and irrelevant content
eliminated to help trainees maximize the use of their cognitive
resources for remembering what’s important. Visuals such as
graphs and videos can be especially useful in providing the

learner with relevant, important content.
To create long-term memory, training programs must be explicit
on content and elaborate on details. One approach that trainers
use is to create a concept map to show relationships among
ideas. Another is to use multiple forms of review including
writing, drawings, and role play to access memory through
multiple methods. Teaching key words, a procedure, or a
sequence, or providing a visual image gives trainees another
way to retrieve information. Reminding trainees of knowledge,
behavior, and skills that they already know that are relevant to
the current training content creates a link to long-term memory
that provides a framework for recalling the new training
content. External retrieval cues can also be useful. Consider a
time when you misplaced your keys or wallet. In trying to
remember, we often review all the information we can recall
that was close in time to the event or that preceded the loss. We
often go to the place where we were when we last saw the item
because the environment can provide cues that aid in recall.
Like other teams in the National Football League, the Cleveland
Browns players have notebook computers to learn plays,
schemes, and prepare for opponents by watching videos and
taking notes.55 However, the Browns coaches also believe that
players can’t
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just watch videos, they need to actively learn. So coaches are

encouraging players not just to type on their notebooks but to
write things down using pencil and paper. The idea is to get the
players to mentally process what they are supposed to be
learning, which helps commit that learning to memory. Taking
notes by writing rather than typing causes the learner to
rephrase ideas in their own words, which means they must
process the information at a deeper level in the brain. Another
way to help employees commit what they learn to memory
involves reflection. Reflection involves having trainees spend a
short amount of time, such as 15 minutes, reviewing and writing
about what they learned and how they performed.56 Rest breaks
are necessary to help trainees optimize their focus and attention
on training content. Without rest breaks memory becomes
overloaded, which makes it difficult for trainees to retain
content in long-term memory. Finally, quizzes and tests enhance
learning by requiring the trainee to retrieve information from
memory. This helps ensure that the training content will be
retained over a longer period of time.
Long-term memory is also enhanced by going beyond one-trial
learning. One-trial learning refers to the first time trainees
correctly demonstrate a behavior or skill or correctly recall
knowledge. It is often assumed that they have learned the
behavior, knowledge, or skill at this point but this is not always
true. To retain the knowledge, skill, and behavior or other
training content, trainees need to engage in overlearning. As

discussed earlier, overlearning refers to reviewing and
practicing multiple times to help ensure training content is
stored in long-term memory. Overlearning also helps
autonomize a task. Automatization refers to making
performance of a task, recall of knowledge, or demonstration of
a skill so automatic that it requires little thought or attention.
Automatization also helps reduce memory demands. The more
that automatization occurs, the more that memory is freed up to
concentrate on other learning and thinking. The more active a
trainee is in rehearsal and practice, the greater the amount of
information retained in long-term memory and the less memory
decay over time. For example, opportunities for learners to
retrieve what they have learned can also increase retention.57
Boosters refer to retrieval opportunities that can help the
learner’s brain consider training information as important and
help retain it. Boosters can include short multiple-choice
questions, short-answer quizzes, or other activities that require
learners to retrieve what they have learned from long-term
memory.
Research suggests that no more than four or five items can be
attended to at one time. If a lengthy process or procedure is to
be taught, instruction needs to be delivered in relatively small
chunks or short sessions in order to not exceed memory
limits.58 Rather than requiring employees to take the time to go
through an entire course that may include information that is

not helpful or needed, courses are being modularized or broken
down into small chunks of learning.59 Learners can skip content
they are not interested in or can demonstrate mastery by
completing tests. Chunking courses allows employees to save
time and money by focusing on topics that they need for their
job or want to learn.
Microlearning refers to training delivered in small pieces or
chunks designed to engage trainees, motivate them to learn, and
help facilitate retention.60 The chunks of learning are presented
using videos or games that are typically five to eight minutes
long. Microlearning is used to replace longer training courses
with one or several short courses. It is also being used to
reinforce or supplement formal training (e.g., sending quizzes
after training, sharing short pieces of training content before the
program to generate excitement) and to create just-in-time
learning content. Survey results of talent professionals provide
important insights into the use of microlearning.61
Microlearning is most frequently delivered using videos, self-
pace
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e-learning, or visuals such as PowerPoint slides or infographics.
Quizzes, learners responding to scenarios, simulations, hands-
on activities, or games tend to be used in microlearning.
Microlearning is being used to replace longer courses that
include technical content, focus on performance support or

onboarding, or are considered mandatory and must be completed
to meet compliance standards. Talent professionals report that
the primary benefits of microlearning for learners focus on
time; that is, learners can access learning when it is convenient
for them, learning does not take a lot of time, and learners can
access learning on-the-job when they need it. Also, trainees’
progress in games or simulations can be tracked and reported,
and microlearning content can be linked together based on
topics or skills. The primary barrier for effective microlearning
is that trainees are not held accountable for learning.
Consider how several different companies use microlearning.62
Trainees at Avenade, a management consulting company, have
access to minicourses that include topics like design thinking
and leading the self. The courses are organized into either a
progressive series or as pathways in which courses of related
content can be taken in any order. All of the minicourses
include learner guides, activities, reflection prompts, and an
interactive discussion board. Trainees’ reactions to the
minicourses have been positive. They report that the
minicourses allow them to fit learning into their busy schedules.
CDK Global, a provider of computing services to automobile
dealers, uses microlearning to support the performance of its
sales team. Sales team members can access short podcasts while
driving to visit their clients and make their own playlists based
on the issues and situations they will encounter with their

clients. PopHealthCare uses microlearning as a prerequisite for
electronic health care record training. American Dairy Queen
uses microlearning for introducing new products and showing
the ingredients and steps in the recipe. Trainees complete
microlearning and then are able to review it before practicing
making the product.
If you are designing a new training course or program—or
modifying an existing one—and you don’t have the time or
resources to apply all of the principles of microlearning, you
can still help avoid overwhelming trainees with complex
material during training by providing them with pretraining
work that can be completed online or using workbooks.63 For
example, trainees can become familiar with the “basics” such as
names, definitions, principles, and characteristics of
components before they are trained in how the principles are
applied (e.g., dealing with angry customers) or how a process
works (e.g., testing for pathogens in a blood sample, changing a
car’s water pump). This will help free up cognitive resources so
they can focus on and retain content covered during training.
Employees Need Feedback
Feedback is information about how well people are meeting the
training objectives. To be effective, feedback should focus on
specific behaviors and be provided as soon as possible after the
trainee performs the behavior.64 Also, positive trainee behavior
should be verbally praised or reinforced. Videotape is a

powerful tool for giving feedback. Trainers should view the
videotape with trainees, provide specific information about how
behaviors need to be modified, and praise trainee behaviors that
meet objectives. Feedback can also come from tests and
quizzes, on-the-job observation, performance data, a mentor or
coach, written communications, or interpersonal
interactions.The specificity of the level of feedback provided to
trainees needs to vary if trainees are expected to understand
what leads to poor performance as well as good performance.65
For example, employees may need to learn how to respond when
equipment is malfunctioning
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as well as when it is working properly; therefore, feedback
provided during training should not be so specific that it leads
only to employee knowledge about equipment that is working
properly. Less specific feedback can cause trainees to make
errors that lead to equipment problems, providing trainees with
opportunities to learn which behaviors lead to equipment
problems and how to fix those problems. Difficulties
encountered during practice as a result of errors or reduced
frequency of feedback can help trainees engage more in
exploration and information processing to identify correct
responses.
Employees Learn through Observation, Experience, and
Interaction

As mentioned earlier in the chapter, one way employees learn is
through observing and imitating the actions of models. For the
model to be effective, the desired behaviors or skills need to be
clearly specified and the model should have characteristics
(e.g., age or position) similar to the target audience.66 After
observing the model, trainees should have the opportunity in
practice sessions to reproduce the skills or behavior shown by
the model. According to adult learning theory, employees also
learn best when they learn by doing,67 which involves giving
employees hands-on experiences or putting them with more
experienced employees and providing them with the tools and
materials needed to manage their knowledge gaps. One way to
model behavior or skills is to show learners what to do using
YouTube videos. For example, the Cheesecake Factory has
videos of outstanding servers at work available at its Video
Café.68
Employees also learn best through interaction—interacting with
training content, with other learners, and with the trainer or
instructor.69 Table 4.13 shows the three ways that employees
learn through interaction and when to use them. Learner-content
interaction means that the learner interacts with the training
content. Learner-content interaction includes reading text on the
web or in books, listening to multimedia modules, performing
activities that require the manipulation of tools or objects (such
as writing), completing case studies and worksheets, or creating

new content based on learned information. Traditionally, all of
the training content that employees needed came from trainers
and the training and development department during formally
scheduled courses. Today, one of the trends is for training
content to include learner-generated content and to be available
when trainees need it.70 One example of learner-generated
content are videos of work practices and processes captured on
smartphones that can be shared with peers.
TABLE 4.13 Three Types of Instructional Interaction
Type
When to Use
Learner-content
Requires mastering a task that is completed alone. Learn
process of studying information and acting on it .
Learner-learner
Requires mastering a task that is completed in a group. Learners
gain new knowledge or validate their understanding by
discussing content with peers.
Learner-instructor
Best for in-depth topic exploration and to develop strengths in
critical analysis and thinking. Discussion may be limited when
large amounts of material need to be presented in a short
timespan.
Sources: Based on H. Nuriddin, “Building the Right

Interaction,” T+D (March 2010), pp. 32–35; D. Leonard and W.
Swap, “Deep Smarts,” Harvard Business Review (September
2004), pp. 88–97.
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Learner-instructor interaction refers to interaction between the
learner and the expert (trainer). Trainers can facilitate learning
by presenting, demonstrating, and reinforcing content. Also,
trainers provide support, encouragement, and feedback that are
valued by most learners. Learner-instructor discussions can be
useful for helping learners understand content, enhance their
self-awareness and self-assessment, gain an appreciation for
different opinions, and implement ideas on the job. To
maximize learners’ critical thinking and analysis skills,
discussion should go beyond instructors asking questions and
learners providing answers.
Learner-learner interaction refers to interaction between
learners, with or without an instructor. Learner-learner
interaction, including observing and sharing experiences with
peers, may be especially useful for training interpersonal skills
(such as communications), acquiring personal knowledge based
on experience (such as tacit knowledge about how to close a
sale or resolve a conflict), providing context-specific
knowledge (such as managing in an international location), and
learning to cope with uncertainty or new situations (such as
marketing a new product or service).71

Consider how training at Farmers Insurance and General Motors
gets learners actively involved and helps ensure transfer of
training.72 Farmers’s “CE—It’s Up to Me” training includes
four online modules and short two-minute videos with
supporting worksheets that allow employees to observe actual
customer interactions, identify their impact on the interaction,
and determine how they can improve the experience. Managers
hold team meetings to discuss the training after trainees
complete both the online modules and the short videos. At
General Motors, district manager training includes face-to-face
instruction; experiences in dealer operations, customer call
centers, and after-sales centers; self-directed training;
mentoring from more experienced district managers; and
opportunities to share what they have learned with other
trainees.
Communities of practice (COPs) refers to groups of employees
who work together, learn from each other, and develop a
common understanding of how to get work accomplished.73
COPs can involve face-to-face or electronic interaction. The
idea of COPs suggests that learning occurs on the job as a result
of social interaction. Every company has naturally occurring
COPs that arise as a result of relationships that employees
develop to accomplish work, and as a result of the design of the
work environment. Leading Real Estate Companies of the World
(LeadingRE) provides “CEO Exchange Groups,” groups of

principal and managing brokers of real estate companies who do
not compete with each other.74 They meet face-to-face or on
conference calls several times each year to discuss challenges
and opportunities they are facing and share best practices.
COPs also take the form of social networks, discussion boards,
list servers, or other forms of computer-mediated
communication in which employees communicate electronically.
In doing so, each employee’s knowledge can be accessed in a
relatively quick manner. It is as if employees are having a
conversation with a group of experts. Wyeth Pharmaceuticals
has 11 COPs that focus on maintaining shop floor excellence.75
The COPs make it easy for employees to share best practices,
learn from one another, and improve business processes. The
maintenance function used its COP to deliver more than 600
hours of training on new technology and maintenance processes.
This has resulted in more reliable equipment and higher
productivity, such as increasing equipment use in one
manufacturing plant from 72 to 92 percent.
COPs are most effective for learning and improving work
performance when managers and employees believe they
contribute to the core operating processes of the company,such
as engineering or quality.76 Despite the benefits of improved
communication, a drawback to these communities is that
participation is often voluntary, so some employees may not
share their knowledge unless the organizational culture supports

participation. That is, employees may be reluctant to participate
without an incentive or may be fearful that if they share their
knowledge with others, they will give away their personal
advantage in salary and promotion decisions.77 Another
potential drawback is information overload. Employees may
receive so much information that they fail to process it, which
may cause them to withdraw from the COP.
Employees Need the Training Program to Be Properly
Coordinated and Arranged
Training coordination is one of several aspects of training
administration. Training administration refers to coordinating
activities before, during, and after the program.78 Training
administration involves:
Communicating courses and programs to employees.
Enrolling employees in courses and programs.
Preparing and processing any pretraining materials, such as
readings or tests.
Preparing materials that will be used in instruction (e.g., copies
of overheads, cases).
Arranging for the training facility and room.
Testing equipment that will be used in instruction.
Having backup equipment (e.g., paper copies of slides or an
extra overhead projector bulb) should equipment fail.
Providing support during instruction.
Distributing evaluation materials (e.g., tests, reaction measures,

surveys).
Facilitating communications between the trainer and trainees
during and after training (e.g., coordinating exchange of e-mail
addresses).
Recording course completion in the trainees’ training records or
personnel files.
Good coordination ensures that trainees are not distracted by
events (such as an uncomfortable room or poorly organized
materials) that could interfere with learning. Activities before
the program include communicating to trainees the purpose of
the program, its location, the name of a person to contact if they
have questions, and any preprogram work they are supposed to
complete. Books, speakers, handouts, and videotapes need to be
prepared. Any necessary arrangements to secure rooms and
equipment (such as DVD players) should be made. The physical
arrangement of the training room should complement the
training technique. For example, a team-building session will be
less than effective if the seats cannot be moved for group
activities. If visual aids will be used, all trainees should be able
to see them. Make sure that the room is physically comfortable,
with adequate lighting and ventilation. Trainees should be
informed of starting and finishing times, break times, and the
location of bathrooms. Distractions such as phone messages
should be minimized, and trainees should be advised to turn off
their cell phones and pagers. If trainees will be asked to

evaluate the program or take tests to determine what they have
learned, allot time for this activity at the end of the program.
Following the program, the names of trainees who have
completed the program should be recorded and credit given (if
appropriate). Handouts and other training materials should be
stored or returned to the consultant.
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The end of the program is also a good time to consider how the
program could be improved if it will be offered again. Practical
issues in selecting and preparing a training site and designing a
program are discussed in more detail in Chapter Five.
Encourage Trainee Responsibility and Self-Management
Trainees need to take responsibility for learning and transfer,79
which includes preparing for training, being involved and
engaged during training, and using training content back on the
job. Before training, trainees need to consider why they are
attending training and set specific learning goals (either alone
or, preferably, in a discussion with their manager) as part of
completing an action plan (action plans are discussed in detail
in Chapter 5). Also, trainees need to complete any pretraining
assignments. During training, trainees need to be involved. That
is, they need to participate and share experiences in discussions,
to practice, and to ask questions if they are confused. After
training, trainees need to review and work toward reaching the
goals established in their action plan. They need to be willing to

change (e.g., try new behaviors or apply new knowledge) and
ask peers and managers for help if they need it.
Self-management refers to a person’s attempt to control certain
aspects of his or her decision making and behavior. Training
programs should prepare employees to self-manage their use of
new skills and behaviors on the job. Self-management involves:
Determining the degree of support and negative consequences in
the work setting for using newly acquired capabilities.
Setting goals for using learned capabilities.
Applying learned capabilities to the job.
Monitoring use of learned capabilities on the job.
Engaging in self-reinforcement.80
Research suggests that trainees exposed to self-management
strategies exhibit higher levels of transfer of behavior and skills
than do trainees who are not provided with self-management
strategies.81
Ensure That the Work Environment Supports Learning and
Transfer
There is no magic “formula” for ensuring that transfer of
training occurs. Effective strategies for transfer of training
include ensuring that trainees are motivated and managers and
co-workers support learning and transfer.82 These strategies are
especially important when training open skills; that is, when
trainees have more choice about what and how to apply trained

principles. Closed skills include prescribed behaviors that likely
are less influenced by managers, peers, and the work
environment. Also, designing training to increase knowledge
and self-efficacy has a positive relationship with transfer of
training.
Table 4.14 shows a list of obstacles in the work environment
that can inhibit learning and transfer of training. They include
(1) lack of support from peers and managers and (2) factors
related to the work itself (e.g., time pressure).
TABLE 4.14 Examples of Obstacles in the Work Environment
That Inhibit Transfer of Training
Work-Related Obstacles
Description of Influence
Time pressures
Inadequate equipment
Few opportunities to use skills
Inadequate budget
Trainee has difficulty using new knowledge, skills, or behavior.
Lack of Peer Support
Peers discourage use of new knowledge and skills on the job.
Peers are unwilling to provide feedback.
Peers see training as waste of time.
Peers do not support use of new knowledge, skills, or behavior.
Lack of Management Support
Management does not accept ideas or suggestions that are

learned in training.
Management does not discuss training opportunities.
Management opposes use of skills learned in training.
Management communicates that training is a waste of time.
Management is unwilling to provide reinforcement, feedback,
and encouragement needed for trainees to use training content.
Managers do not reinforce training or provide opportunities to
use new knowledge, skills, or behavior.
Sources: Based on J. Tracey and M. Tews, “Construct Validity
of a General Training Climate Scale,” Organizational Research
Methods, 8 (2005), pp. 353–374; R. D. Marx, “Self-Managed
Skill Retention,” Training and Development Journal (January
1986), pp. 54–57.
For example, new technologies allow employees to gain access
to resources and product demonstrations using the Internet or
notebook computers. But while employees are being trained to
use these resources with state-of-the-art technology, they often
become frustrated because comparable technology is not
available to them at their work site. Employees’
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computers may lack sufficient memory or links to the Internet
for them to use what they have learned.
These obstacles inhibit transfer because they cause lapses.
Lapses take place when the trainee uses previously learned, less

effective capabilities instead of trying to apply the capability
emphasized in the training program. Lapses into old behavior
and skill patterns are common. Trainees should try to avoid a
consistent pattern of slipping back or using old, ineffective
learned capabilities (e.g., knowledge, skills, behaviors, and
strategies). Also, trainees should understand that lapses are
common and be prepared to cope with them. Trainees who are
unprepared for lapses may give up trying to use new
capabilities—especially trainees with low self-efficacy and/or
self-confidence.
One way to ensure that learning and transfer of training occurs
is to ensure that the climate for transfer is positive. Climate for
transfer refers to trainees’ perceptions about a wide variety of
characteristics of the work environment that facilitate or inhibit
the use of trained skills or behavior. These characteristics
include manager and peer support, the opportunity to use skills,
and the consequences of using learned capabilities.83 Table
4.15 shows characteristics of a positive climate for transfer of
training. Research has shown that transfer of training climate is
significantly related to positive changes in managers’
administrative and interpersonal behaviors following training.
To support the transfer of financial training emphasizing
Southwest Airlines’s key business metrics, cost checklists
explaining how employees can contribute to the company’s
bottom line are distributed companywide following training.84

Flip charts showing highlights from manager–employee
question-and-answer sessions are posted in work areas. All
managers receive large posters displaying the company’s four
“magic numbers” (net income, unit cost measure, net margin,
and invested capital). The posters include
page 192
blank columns that managers are expected to complete and
regularly update to show the past year’s performance, the
current year’s goals, year-to-date numbers, and quarterly
results.
TABLE 4.15 Characteristics of a Positive Climate for Learning
and Transfer of Training
Characteristic
Example
Supervisors and co-workers encourage and set goals for trainees
to use new skills and behaviors acquired in training.
Newly trained managers discuss how to apply their training on
the job with their supervisors and other managers.
Task cues: Characteristics of a trainee’s job prompt or remind
him or her to use new skills and behaviors acquired in training.
The job of a newly trained manager is designed in such a way as
to allow him or her to use the skills taught in training.
Feedback consequences: Supervisors support the application of
new skills and behaviors acquired in training.
Supervisors notice newly trained managers who use their

training.
Lack of punishment: Trainees are not openly discouraged from
using new skills and behaviors acquired in training.
When newly trained managers fail to use their training, they are
not reprimanded.
Extrinsic reinforcement consequences: Trainees receive
extrinsic rewards for using new skills and behaviors acquired in
training.
Newly trained managers who successfully use their training will
receive a salary increase.
Intrinsic reinforcement consequences: Trainees receive intrinsic
rewards for using new skills and behaviors acquired in training.
Supervisors and other managers appreciate newly trained
managers who perform their job as taught in training.
Source: J. B. Tracey, S. I. Tannenbaum, and M. J. Kavanagh,
“Applying Trained Skills on the Job: The Importance of the
Work Environment,” Journal of Applied Psychology, 80 (1995),
pp. 235–252; E. Holton, “What’s Really Wrong: Diagnosis for
Learning Transfer System Change,” in Improving Learning
Transfer in Organizations, eds. E. Holton and T. Baldwin (San
Fransisco: Jossey-Bass, 2003), pp. 59–79.
Consider what Sacramento Municipal Utility District and
Gables Residential are doing to create a positive climate for
learning and overcoming obstacles to transfer of training.85

Sacramento Municipal Utility District (SMUD) is the provider
of electricity and electrical-related products and services for the
Sacramento, California, county region. SMUD needed its
strategic account advisers, who represent the company to its
largest commercial customers, to become more proactive in
identifying sales opportunities. To help these associates, SMUD
created a two-day course. During the course associates learned
the value chain for their customers and how to match products
and services to their needs. Six weeks after they attended the
class, participants had to create an account plan for a customer
and present their plan to SMUD’s top managers. The account
plan and presentation was based on what they learned in the
course. Following their presentation, participants were asked to
identify 10 additional accounts to create a plan for. They
received coaching by their manager to ensure their success in
applying what they learned in the course on the job. The
leadership development program at Gables Residential, a real
estate company, focuses on developing self-awareness and skills
in coaching and managing high-performance teams. Each month
following a training session a training and development
manager meets with each participant to discuss what they
learned and provide coaching and support to encourage them to
further develop their skills.
page 193
Incentives can help create a positive climate for learning and

transfer. Hudson Trail Outfitters has 300 employees who work
in its stores selling outdoor equipment.86 Managers at Hudson
Trail have found that employees are motivated to learn and
value free jackets and merchandise discounts more than bonus
checks for completing training programs. The benefits for
Hudson Trail Outfitters outweigh the costs of providing the
jackets and other gear. Employees who complete training stay
longer with the company. They also make more sales per day
and sell more items in each transaction. Dunkin’ Brands (you
might know them for their donuts and coffee) awards stores
with certificates and trophies and provides employees with cash
rewards, “money” employees can use to cash in for gifts, and
field trips to meet with executive chefs.
Some companies are awarding digital badges to employees who
have completed courses, earned a certification, or mastered a
skill.87 The badges can be placed in the employee’s personal
profile, shared on social networks, and even put in a virtual
backpack to take along to job interviews! Badges encourage
learning in several ways. They provide feedback to trainees that
they have completed the course or module or mastered a skill,
and they provide an incentive to continue to learn in the future.
Badges allow learners to display their achievements for their
peers and social network to see, which encourages them to
accomplish more. Also, badges help employees communicate to
others what they know, which can help further their job and

career opportunities. Badges are also beneficial to companies
because they can be used to create a database identifying
employees’ knowledge and skills. The database can be used for
quickly identifying employees with specific skills or knowledge
needed for a project or work team. Also, the database gives an
overall picture of the company’s human capital (i.e., areas of
knowledge and skills strengths and weaknesses).
For example, at IBM, over a million employees from 178
countries have earned badges. IBM has seen positive results
from badging. Employees who attend at least one online course
at IBM’s Big Data University return to earn an average of three
additional badges. Downloads of courses at Big Data University
have increased by 64 percent and survey results indicate that 87
percent of badge earners desire a higher level of engagement
with IBM. Samsung Electronics provides employees with
badges for completing learning modules and passing quizzes.
The employees’ most recent badges are displayed on their
homepage and all badges they earn are in their personal learning
space. The use of digital badging at Samsung has improved
course completion rates and visits to the company’s learning
management system, which provides access to online courses.
INSTRUCTIONAL EMPHASIS FOR LEARNING OUTCOMES
This chapter’s discussion of the implications of the learning
process for instruction provides general principles regarding
how to facilitate learning. However, you should understand the

relationship between these general principles and the learning
process. Different internal and external conditions are necessary
for learning each outcome. Internal conditions refers to
processes within the learner that must be present for learning to
occur. These processes include how information is registered,
stored in memory, and recalled. External conditions refers to
processes in the learning environment that facilitate learning.
These conditions include the physical learning environment, as
well as opportunities to practice and receive feedback and
reinforcement. The external conditions should directly influence
the
page 194
design or form of instruction. Table 4.16 shows what is needed
during instruction at each step of the learning process. For
example, during the process of committing training content to
memory, verbal cues, verbal links to a meaningful context, and
diagrams and models are necessary. If training content is not
coded (or is incorrectly coded), learning will be inhibited.
TABLE 4.16 Internal and External Conditions Necessary for
Learning Outcomes
Learning Outcome
Internal Conditions
External Conditions
Verbal Information
Labels, facts, and propositions

Previously learned knowledge and verbal information
Strategies for coding information into memory
Repeated practice
Meaningful chunks
Advance organizers
Recall cues
Intellectual Skills
Knowing how
Mastery of prerequisites
Recall of prerequisites
Link between new and previously learned knowledge
Skills taught in order from simple to complex
Provide a variety of examples and practice opportunities
Cognitive Strategies
Process of thinking and learning
Recall of prerequisites, similar tasks, and strategies
Verbal description of strategy
Strategy demonstration
Practice with feedback
Variety of tasks that provide opportunity to apply strategy
Attitudes
Choice of personal action
Mastery of prerequisites Identification with model
Cognitive dissonance
Demonstration by a model

Positive learning environment
Strong message from credible source Reinforcement
Motor Skills
Muscular actions
Recall of part skills
Coordination program
Practice
Demonstration
Gradual decrease of external feedback
Source: Based on R. M. Gagne and K. L. Medsker, The
Conditions of Learning (Fort Worth, TX: Harcourt-Brace
College Publishers, 1996).
The training programs of the Culinary Institute of America
(CIA) help to illustrate many of the internal and external
conditions necessary to achieve learning outcomes. With
campuses in New York, California, Texas, and Singapore, the
CIA is the world’s finest training facility for chefs and has
approximately 2,000 full-time students in its degree programs.
CIA graduates are chefs in some of the best restaurants in the
world and in prestigious private dining rooms (such as the
White House), and they direct food service operations for large
hotel chains such as the Marriott, Hyatt, Radisson, and Hilton.
For example, you might have heard of Cat Cora, the Iron Chef
on the television show Iron ChefAmerica. Besides offering

degree programs, the CIA also hosts more than 6,000 trainees
from a wide variety of companies that have food service
operations.
Whether an instructor is teaching meat-cutting or sautéing
techniques, the learning environments of CIA programs are
basically the same. A lecture is followed by demonstration and
several hours of guided hands-on practice. The trainee then
receives feedback from the instructor. The trainer moves from a
show-and-tell approach to become a coach over the course of
the training session. Videos are produced for every class and
given to students. Whether viewed from residence halls or seen
at the video learning center, students review the tapes at their
own pace and control what they see.
CIA programs deal not only with cognitive learning, but also
with physical and emotional learning. In addition to cooking
and baking courses, students are required to study psychology,
total quality management practices, languages, marketing,
communications, restaurant management, and team supervision.
Food ethics, sustainability, physical fitness, and stress
management also are required parts of the curriculum. Why?
Running a commercial kitchen involves long hours and high
levels of stress—it is very physically demanding. Thanks to the
learning environment created at the CIA, the institute is
recognized as the world leader in gastronomic training,
providing a foundation of basic knowledge for chefs from

around the world.88
Summary
Learning and transfer of learning must occur for training to be
effective. This chapter began by defining learning and transfer
of learning and identifying the capabilities that can be learned:
verbal information, intellectual skills, motor skills, attitudes,
and cognitive strategies. To explain how these capabilities can
be learned, the chapter discussed several theories of learni ng:
reinforcement theory, social learning theory, goal setting
theory, need theories, expectancy theory, adult learning theory,
and information processing theory. To understand how to ensure
that what is learned is applied to the job, three transfer of
training theories were discussed: identical elements, stimulus
generalization, and cognitive theory. Next, the chapter
investigated the learning process and its implications for how
people learn. The section on learning process emphasized that
internal processes (expectancy, storage, and retrieval), as well
as external processes (gratifying), influence learning. The
potential influence of learning styles in learning also was
examined. The chapter then discussed the relationship between
the implications of the learning process, transfer of training,
and the design of instruction. Important design elements include
providing learners with an understanding of why they should
learn, meaningful content, practice opportunities, feedback,
opportunities for interaction, and a coordinated program. Also,

the training design should encourage learners to self-manage
and ensure that the learners’ work environment supports
learning and transfer.
page 196Discussion Questions
Compare and contrast any two of the following learning
theories: expectancy theory, social learning theory,
reinforcement theory, information processing theory.
What learning condition do you think is most necessary for
learning to occur? Which is least critical? Why?
Are learning and transfer of training related? Explain why or
why not.
How do instructional objectives help learning to occur?
Assume that you are training an employee to diagnose and
repair a loose wire in an electrical socket. After demonstrating
the procedure to follow, you let the trainee show you how to do
it. The trainee correctly demonstrates the process and repairs
the connection on the first attempt. Has learning occurred?
Justify your answer.
Your boss says, “Why do I need to tell you what type of
learning capability I’m interested in? I just want a training
program to teach employees how to give good customer page
197
service!” Explain to the boss how “good customer service” can
be translated into different learning outcomes.
How does practice help learning? What could a trainer do in a

training session to ensure that trainees engage in self-
regulation?
Can allowing trainees to make errors in training be useful?
Explain.
What learning conditions are necessary for short- and long-term
retention of training content to occur?
What is microlearning? How does it help to enhance learning
and transfer of training?
What is near transfer? Far transfer? What are their implications
for training design?
How can employees learn through interaction? Are some types
of interaction best for learning in some situations but not
others? Explain.
How can the work environment inhibit learning and transfer of
training? Explain. In your opinion, what work environment
characteristics have the largest influence on transfer of
training? Justify your answer.
You have a one-day classroom experience in which you need to
help a group of engineers and software programmers learn to
become project managers. After training, they will have to
manage some significant projects. Discuss the instructional
characteristics and activities you will use to ensure that the
engineers and software programmers learn project management.
Application Assignments
Using any source possible (magazines, journals, personal

conversation with a trainer, etc.), find a description of a
training program. Consider the learning process and the
implications of the learning process for instruction discussed in
the chapter. Evaluate the degree to which the program
facilitates learning. Provide suggestions for improving the
program.
You are the training director of a hotel chain, Noe Suites. Each
Noe Suites hotel has 100 to 150 rooms, a small indoor pool, and
a restaurant. Hotels are strategically located near the exit ramps
of major highways in college towns such as East Lansing,
Michigan, and Columbus, Ohio. You receive the following e-
mail message from the vice president of operations. Prepare an
answer.
To: You, Training Director
From: Vice President of Operations, Noe Suites
As you are probably aware, one of the most important aspects of
quality service is known as “recovery”—that is, the employee’s
ability to respond effectively to customer complaints. There are
three possible outcomes to a customer complaint: The customer
complains and is satisfied by the response; the customer
complains and is dissatisfied with the response; and the
customer does not complain but remains dissatisfied. Many
dissatisfied customers do not complain because they want to
avoid confrontation, there is no convenient way to complain, or
they do not believe that complaining will do much good.

I have decided that to improve our level of customer service, we
need to train our hotel staff in the “recovery” aspect of
customer service. My decision is based on the results of recent
focus groups we held with customers. One theme that emerged
from these focus groups was that we had some weaknesses in
the recovery area. For example, last month in one of the
restaurants, a waiter dropped the last available piece of
blueberry pie on a customer as he was serving her. The waiter
did not know how to correct the problem other than offer an
apology.
I have decided to hire two well-known consultants in the service
industry to discuss recovery, as well as to provide an overview
of different aspects of quality customer service. These
consultants have worked in service industries and
manufacturing industries.
I have scheduled the consultants to deliver a presentation in
three training sessions. Each session will last three hours. There
will be one session for each shift of employees (day, afternoon,
and midnight shift). The sessions will consist of a presentation
and question-and-answer session. The presentation will last
one-and-a-half hours, and the question-and-answer session
approximately 45 minutes. There will be a half-hour break.
My expectations are that following this training, the service
staff will be able to recover successfully from service problems.

Because you are an expert on training, I want your feedback on
the training session. Specifically, I am interested in your
opinion regarding whether our employees will learn about
service recovery from attending this program. Will they be able
to recover from service problems in their interactions with
customers? What recommendations do you have for improving
the program?
Identify what is wrong with each of the following training
objectives. Then rewrite it.
To be aware of the safety rules for operating the ribbon-cutting
machine in three minutes.
Given a personal computer, a table, and a chair, enter the data
into a Microsoft Excel spreadsheet.
Use the Internet to learn about training practices.
Given a street address in the city of Dublin, Ohio, be able to
drive the ambulance from the station to the address in less than
10 minutes.
Go to www.nwlink.com/~donclark/hrd/sat.html, Big Dog’s
Instructional System Design (ISD) page. This website is an
excellent resource that describes all aspects of the ISD model.
Click on “Learning” and scroll to the concept map or list of
terms under the map. Click on “Learning Styles” and take the
Visual, Auditory, and Kinesthetic (VAK) survey. What are the
implications of your learning style for how you learn best?
What type of learning environment is best suited for your style?

Be as specific as possible.
Watch the YouTube video of a flight simulator at
https://www.youtube.com/watch?v=fujLrWsAp8c. Are the skills
developed in the flight simulator open or closed skills? What
transfer of training theory was applied to develop the flight
simulator? Does the flight simulator encourage near or far
transfer? Explain your answers.
Go to http://agelesslearner.com/intros/adultlearning.html, a site
created by Marcia L. Conner about how adults learn. Click on
“Learning Style Assessment” and complete it. What are the
assessment’s implications for the way that you learn
best?transportation management company that provides logistics
and trucking services. Click on “Jobs.” Under “Company
Drivers,” click on “Orientation,” and then click on “New CDL
Holders.” Watch the videos “The best in the industry” and
“Your Training Engineer.” What types of learning outcomes are
emphasized in training? Considering the features of good
instruction discussed in the chapter, identify the features of
Schneider’s training program that contribute to learning and
transfer of training. Explain how each feature you identify
contributes to learning.
Go to https://www.allencomm.com/portfolio/dominos/ for an
example of training for new employees developed by
AllenComm for Domino’s Pizza. Review the examples of the
Pizza Maker course that are provided. What features does the

Pizza Maker course include that help to enhance learning and
transfer of training? Identify each feature and discuss how it
enhances learning, transfer of training, or both.
Watch “Front Desk First Impressions” at
https://www.youtube.com/watch?v=s3aR3yP4aKg, a video used
to train hotel front desk associates. What features of this video
can help trainees learn and transfer what they have learned to
their jobs? If you were conducting this training program how
would you use this video? In addition to the video, what else
would you add to the training program to make it more
effective?
Watch the YouTube video showing examples of microlearning
at https://www.youtube.com/watch?v=FT8H-jp4jnM. What
features included in these examples help to enhance learning
and transfer of training?
Take the BuzzFeed quiz on multitasking at
https://www.youtube.com/watch?v=txWeSnJBT-M. How did
you do? Could this be why driving and doing other things like
eating, texting, or putting on makeup (yes, I’ve observed this
while driving) is dangerous. Have you found it difficult to
multitask in your life? Explain why. Next, watch the YouTube
video on multitasking at
https://www.youtube.com/watch?v=iM4u-7Z5URk to see why it
is difficult to multitask. Since our brains have difficulty
multitasking, what are the implications of this for training,

particularly training that trainees can access anytime, anywhere,
using smartphones, tablets, or notebook computers?
Case
Safety First
BNSF Railway is a North American freight transportation
company with over 32,000 miles of routes. BNSF Railway hauls
agricultural, consumer, and industrial products and coal. BNSF
Railway puts safety above everything else it does, including
productivity. BNSF Railway recognizes that safety is based on
having well-trained employees who share BNSF Railway’s
vision for an injury- and accident-free workplace and who are
willing to look out for one another. Thanks to its employees’
commitment, a carefully maintained network and equipment,
and well-prepared communities, BNSF Railway is a safety
leader in the rail industry. Approaching Others About Safety
(AOAS) is a training program for all BNSF Railway employees.
Four hundred and fifty BNSF Railway employees train their
peers. Employees serve as trainers because
page 200
BNSF Railway believes they are in the best position to keep
themselves and their peers safe. The goal of the program is for
BNSF Railway employees to be confident about giving feedback
to each other about safe behavior and avoiding unsafe
situations. Employees need to learn the value of providing
feedback when they see unsafe behavior or situations, including

positively recognizing when someone is working safely or
correcting them when they perceive another employee is at risk.
Training should focus on the types of exposures that tend to
result in the most injuries, including walking/path of travel
around trains, rails, and equipment, pinch points between the
railway cars, and climbing or descending locomotives and
railway cars.
Describe the different types of instructional characteristics that
this program should have for learning and transfer to occur and
for a decrease in injuries and accidents to result. Would these
characteristics vary depending on who was attending the
program (e.g., managers, train crew, employees who maintain
track, structures, or signals)? If so, how would they vary?
Explain how a community of practice (COP) could be beneficial
for this program.
Source: Based on M. Weinstein, “BNSF Railway Is on the Right
Track,” training (January/February 2017), pp. 42–44; “BNSF
Railway: Approaching Others About Safety,” training
(January/February 2014), pp. 108–109; www.bnsf.com, website
for BNSF Railways, accessed March 11, 2015.
N

ational C
om
m
ittee of BioEthics (N
CBE)
Im
plem
enting Regulations of the Law
of Ethics of Research on Living Creatures
1437H
- 2016
1437H - 2016
National Committee of BioEthics (NCBE)
Implementing Regulations of the
Law of Ethics of Research

on Living Creatures
Second Edition
Second Revised version
1437H - 2016
on Living Creatures
Second Edition

5
Chapter One:
Definitions and General Provisions
Article 1: Definitions
The following terms and phrases – wherever used in this Law –
shall have
the meanings assigned to them, unless otherwise required by
context.
Law: Law of Ethics of Research on Living Creatures.
Regulations: Implementing Regulations of the Law of Ethics of
Research

on Living Creatures.
KACST: King Abdul Aziz City for Science and Technology.
President of KACST: President of King Abdul Aziz City for
Science and
Technology.
National Committee: National Committee of Biomedical Ethics.
Monitoring Office: Research Ethics Monitoring Office.
Local Committee: Committee for licensing research formed at
an
establishment in accordance with the provisions of this Law.
Establishment: A public or private corporate entity engaged in
research
activities on Living Creatures.
Researcher: A person academically qualified in a subject related
to research

and has completed a course on research ethics.
Research: A systematic experimental investigation aiming at
improvement
of biosciences or enrichment or development of general
knowledge by
using a living creature or parts thereof.
Living Creatures: Human beings, animals and plants.
Genetic Material: Chain of nitrogenous bases that exist within
the cells
or are extracted therefrom and are responsible for carrying traits
and
characteristics from the mother cell to the sub-cell and from one
living
creature to its offspring.

6
Legal Capacity: Reaching the age of eighteen, with mental
ability to enter
into legal relation on his own.
Informed Consent: A person giving his consent with his free
will, without
exploitation or coercion and upon full understanding of what is
required
from him and of the research objectives and potential risks as
well as of
rights and obligations arising out of his participation therein.
Minor: A person under eighteen years of age.
Fetus: Outcome of pregnancy from the beginning of nidation in
the uterus
to the time of its delivery or removal.

Guardian: A person having the right of legal authority over
another person.
Sperm: The product of fertilization up to forty days.
Zygotes: An egg fertilized by a male sperm; from the time of
fertilization
until the time of division into eight cells.
Gamete: The product of fertilization; from the end of the zygote
phase
until the phase of nidation where the zygote is implanted in the
uterus.
Cloning: The process of producing a complete individual
genetically
identical to another without sexual intercourse.
Product of Pregnancy: A fetus that comes out of or removed
from the uterus.

Experimental Animals: Animals raised in cages or at certain
places to be
used in scientific experiments.
Minimal Risk: Minor harm not exceeding potential risk
encountered in
daily life, which cannot be avoided during ordinary clinical or
psychological
examination, including potential discomfort and inconvenience.
Legally Incompetent: A person lacking full legal capacity due to
being a
minor, lacking the ability of sound reasoning and judgment or
being subject
of a court ruling placing him under custody or continuation
thereof which
bars him from entering into a legal relation on his own.
Disabled: A person suffering from a permanent full or partial

deficiency
7
in his physical, sensory, communicative, educational or
psychological
abilities to an extent that affects the possibility of meeting his
common
needs compared to his non-disabled peers.
Child: A male or female not reaching the age of eighteen years
which
entails him to give an informed consent.
Embryonic Stem Cells: Cells removed from the fertilized egg in
its early
phases; before the differentiation phase.
Adult Stem Cells: Organically unspecialized cells that are

removed from
the cells of a fully developed living being.
Article (1.1)
Without prejudice to the meanings of the terms and phrases
specified in
Article 1 of the Law, the following terms and phrases –
wherever used
in the Law – shall have the meanings assigned to them, unless
otherwise
required by context.
Human Subject (Participant): A person who consents or whose
guardian
consents to conduct clinical, non-clinical or therapeutic
research or
experiments on him.

Principal Investigator: Lead researcher in charge of planning
and
conducting the research, collecting and analyzing data, and
directing
interventions stated in the research plan.
Clinical Research: Any research related to collecting and
analyzing data
for volunteers or patients for the purpose of obtaining general
knowledge
that can be applied to other individuals with regard to
mechanism of disease,
its incidence, prevalence, transmission or treatment of a disease.
Non-Clinical Research: Any research related to collecting and
analyzing
data not directly related to people for the purpose of obtaining
general

knowledge or facts.
8
Clinical Trial: Experiments conducted on human volunteers to
examine
safety and effectiveness of a new medication or medical device.
Prisoner: A person deprived of liberty, whether servi ng a prison
sentence,
detained on trial, or is a correction facility inmate.
Vulnerable groups: Groups of individuals in need of additional
protection
due to their lack of legal capacity, their questionable or
diminished capacity
or their lack of freedom to choose.
Stillborn: A fetus delivered, came out of, or removed from the

uterus with
no signs of life such as heartbeat, natural breathing, movement,
or pulsation
of the umbilical cord if still connected.
Diagnostic Procedure: A test aiming at finding a certain
disorder or disease
in a living creature.
Medication: A chemical compound administered to a living
creature to
help diagnose, treat, prevent, cure or alleviate the effects of a
disease or
organic disorder.
Periodic Assessment: Observation of research progress by
safety
assessment and information monitoring committee to ascertain
safety of

the human subject on a continuous basis and to ensure
nonexistence of any
reason for discontinuation or modification of the research.
Periodic Follow-up: Review of the periodic report submitted by
the
principal investigator to the local committee to evaluate
research progress
and conformity with the approved research plan.
Expedited Review: An evaluation carried out by the local
committee
chairman, or by a committee member designated by him, of a
new research
project or modifications of a previously approved research
where potential
risk to the human subject does not exceed minimal risk.

Genetic Therapy Research: Any research which includes
insertion or
deletion of genetic material within body cells or targeting the
same whether
9
by modification or deactivation for finding a treatment for
hereditary or
other diseases.
Confidentiality: Non-disclosure or passing of any data,
information or
results related to the research or the human subject, to any third
party not
connected with the research.
Privacy: Observing common values, including traditions,
thoughts and

norms.
Safety Assessment and Information Monitoring Committee: A
group
of scientists, physicians, and statisticians independent from
researchers,
whose task is to review accumulated data during clinical
experiments for
prompt analysis and to observe any significant likelihood
towards a certain
trend in the results or unacceptable side effects requiring a
recommendation
for suspension of research or modification of its plan.
Genes: Molecular units of heredity data in all living organisms
that encode
the information required for building and preserving cells and
performing

all vital functions, and hence building bodies of Living
Creatures and
giving them their characteristic features.
Major Harm: Any harm leading to a participant’s death,
jeopardy to his life,
hospitalization beyond expectation, permanent disability, or
deformation
of fetus. This harm is deemed unexpected if not stated in the
“informed
consent.”
10
General Provisions
Article (1.2)

Scope of Application
1. The provisions of the Law and its Regulations shall apply to
any
research establishment conducting research on living creatures
in the
Kingdom of Saudi Arabia.
1. Research conducted on samples taken from within the
Kingdom shall be
subject to the provisions of the Law and its Implementing
Regulations
as regards taking the informed consent and sending genetic
samples
abroad.
Article (1.3)
Principles Governing Provisions of the Law and its Regulations

In interpretation and application, the provisions of the Law and
its
Regulations shall be subject to Sharia provisions as adopted by
official
bodies in the Kingdom, laws and controls set by the National
Committee,
and principles of human rights, without prejudice to provisions
of Sharia.
Article (1.4)
Banning Biological Research outside Licensed Establishments
Conducting biological research outside the premise and scope of
supervision
of licensed establishments shall be deemed a violation of the
provisions of
the Law and its Regulations.

11
Chapter Two: Objectives of the Law
Article 2
This Law aims at setting the general principles and controls
necessary
for dealing with Living Creatures, parts thereof or their genetic
material in research in light of applicable professional ethics
not
conflicting with Sharia.
Article (2.1)
The Law aims to protect the rights of the human subject or part
thereto,
guarantee his safety and dignity, and not harm animals or plants
when

conducting research.
Article (2.2)
Sharia dictates and professional ethics enforced in official
bodies in the
Kingdom as well as rules and procedures set by the National
Committee
shall be observed in implementing the provisions of the Law
and its
Regulations.
Article 3
No establishment may conduct research on a living creature
except
upon fulfilling procedures required under this Law. Research
shall be
subject to periodic inspection by the National Committee in
accordance

with the Regulations.
Article (3.1)
No establishment may conduct research on Living Creatures
except after
registration of a local committee that grants licensing for
conducting
12
research and monitors research ethics in accordance with
provisions of the
Law and its Regulations.
Article (3.2)
The establishment shall be responsible for any research
conducted therein

and shall, through local committees, ensure that the researcher
and research
staff comply with controls, procedures and provisions set forth
in the Law
and its Regulations as well as decisions of the National
Committee.
13
Chapter Three: National Committee of Bioethics
Article 4
1. A national committee of bioethics shall be formed at KACST
comprising specialists nominated by the competent minister or
head of
an agency for a renewable term of 3 years, as follows:
A representative of KACST� Chairman

A representative of the Ministry of National Guard � Member
A representative of the Ministry of Defense� Member
A representative of the Ministry of Interior� Member
A representative of the General Presidency of Religious
Research
and Ifta
Member
Two representatives from the Ministry of Higher Education
(Universities)
Members
A representative of the Ministry of Health Member
A representative of the Ministry of Education Member
A representative of the Ministry of Agriculture Member
A representative of the Saudi Wildlife Commission Member
A representative of the Food and Drug General Authority
Member

A representative of King Faisal Specialist Hospital and
Research
Center
Member
A representative of Human Rights Commission Member
The Director of Research Ethics Monitoring Office Member
A representative of the private sector selected by the Chairman
of the
Council of the Chambers of Commerce and Industry
Member
A legal counselor selected by the President of KACST Member
2. The President of KACST shall issue the committee-formation
decision, and said committee shall report to him.
14

3. The President of KACST shall appoint a secretary for the
committee.
4. Committee members shall elect from among themselves a
vice
president.
Article (4.1)
1. The President of KACST shall send a request for nomination
to
ministers and heads of relevant agencies as specified in Article
4 of the
Law not less than three months before the formation or re-
formation of
the National Committee.
2. Each Minister or head of a relevant agency shall name a
representative

at the National Committee in ample time prior to the date set for
formation of the committee, taking into consideration the
following
conditions:
a. Be a Saudi national;
b. Have academic qualification and experience necessary for
contribution to committee work;
c. Be known for integrity and competency;
d. Not be previously convicted of a crime impinging on
religion or honor.
3. If any member of the National Committee is unable to
complete his
term for any reason, or if he expresses his desire to discontinue
his

membership in the committee, or if he fails to attend three
consecutive
or seven non-consecutive meetings within the same year without
an excuse acceptable to KACST President, a replacement shall
be
appointed in the same manner the replaced member was
appointed to
serve the remainder of his term.
4. Committee membership shall be a renewable term of three
years,
provided half the members are replaced upon committee re-
formation
15
for the third time. Membership may not be renewed for more
than three

consecutive terms.
Article (4.2)
1. The National Committee shall have a chairman in accordance
with the
Law. Said chairman shall have a deputy to be elected by
members of the
National Committee by secret ballot in the second committee
meeting.
The President of KACST shall be notified of the ballot result.
2. The Chairman of the National Committee shall oversee its
activities
and all its administrative, financial and technical matters,
particularly
the following:
a. Call for National Committee meetings and approve meeting

agendas;
b. Preside over and manage National Committee meetings;
c. Ensure that National Committee decisions and
recommendations
are properly reported and pursue implementation thereof;
d. Submit National Committee budget to KACST President;
e. Represent the National Committee before governmental,
judicial
and other bodies within the Kingdom and abroad;
3. The Deputy Chairman of the National Committee shall
assume the
tasks of the Committee Chairman in his absence or if so
delegated.
Article (4.3)

A general secretariat for the National Committee shall be
formed pursuant
to a decision by KACST President upon recommendation of the
Chairman
of the National Committee to be in charge of the following:
1. Prepare for National Committee meetings, including
preparing
invitations and ensuring their delivery, as well as meeting
minutes and
16
agendas;
2. Provide documents, research and studies related to items on
National
Committee meeting agendas;

3. Prepare monthly reports on the activities of the National
Committee;
4. Propose the annual budget of the National Committee and the
Research
Ethics Monitoring Office;
5. File and organize documents related to National Committee
work;
6. Maintain, file and make available to the public regulations,
rules,
directives and controls issued by the National Committee in
accordance
with its jurisdiction as set forth by the Law.
Article 5
The National Committee shall convene periodically upon the
Chairman’s call or as necessary. The committee shall convene
upon

a call by its Chairman or upon a written request by one third of
its
members. Committee meetings shall not be valid unless
attended by
two thirds of its members. Committee resolutions shall pass by
majority
vote of attending members. In case of a tie, the Chairman shall
have
the casting vote. The Regulations shall determine committee’s
work
procedures and meetings as well as remuneration of members in
accordance with applicable laws, resolutions and directives.
Article (5.1)
1. The National Committee shall hold a monthly meeting upon a
call by

its Chairman or designee;
2. The National Committee may hold extraordinary meetings if
its
Chairman or designee deems it necessary. Said meetings shall
only
discuss items on the agenda without adding any other items
unless the
17
Committee Chairman or designee decides otherwise;
3. If one or more members deem it necessary to hold an
extraordinary
meeting and this is supported by at least one third of the
members of the
National Committee, they shall submit a request in writing or by
e-mail

to the Committee Chairman or his designee, naming the
members in
support of the meeting and the topic(s) to be discussed. In this
case, the
Chairman or his designee shall call the committee to convene
within a
period not exceeding ten days from the request submission date.
4. The National Committee shall convene at its headquarters or
at any
other place set by the Committee Chairman or his designee if
necessary.
5. Invitations for the meeting shall be sent to Committee
members at
least ten working days prior to the meeting date. Invitations
shall be
delivered by hand or sent via ordinary mail or e-mail.

6. Invitations shall include venue, date and time of meeting.
Papers and
documents related to proposed items on the agenda shall be
enclosed
therein except for classified documents. Members may have
access
to all documents at the meeting place whether prior to or during
the
meeting.
7. The agenda of the National Committee meeting shall include
the
following items:
a. Minutes of the previous meeting for approval;
b. Topics proposed by the National Committee Chairman or
members;

c. Monthly reports prepared by National Committee Secretariat,
if
any, upon approval by Committee Chairman.
Article (5.2)
1. National Committee meetings shall not be valid unless
attended by
two-thirds of its members including the Chairman or his
designee.
18
2. If the quorum provided for in Paragraph (1) above is not met
within
half an hour of the designated time of the meeting, the
Chairman shall
adjourn the meeting and set a new date within ten days. The call
for said

meeting shall be made at least five working days prior to the
meeting date.
3. If the National Committee Chairman or his deputy fails to
attend
the meeting within half an hour of the meeting time, the
Committee
Secretary shall adjourn the meeting.
4. If the National Committee Chairman becomes aware that
neither he
nor his deputy can attend the meeting, and it is necessary to
hold the
meeting, he may delegate a Committee member to chair the
meeting,
and he shall have the powers of the Committee Chairman with
regards
to managing the meeting.

5. If any of the National Committee members has an interest in
a proposed
item for discussion that may affect his opinion or neutrality, he
shall
declare the same prior to the meeting. In such case, the
Committee
Chairman may ask him to leave the meeting or to remain
without the
right to participate in the discussion or voting. If the Chairman
leaves
for such reason, his designee shall chair the meeting.
Article (5.3)
1. Committee resolutions shall pass by simple majority vote of
attending
members. In case of a tie, the meeting Chairman shall have the
casting vote.

2. Votes may be taken by a show of hands, secret ballot,
electronically, or
by any other means decided by the Chairman.
3. The National Committee may, if necessary, pass a resolution
by
circulation if approved by two-thirds of its members. Committee
approval of said resolution shall be included in the subsequent
meeting
minutes.
19
Article (5.4)
The National Committee may, upon a call of its Chairman or his
designee,

invite persons with expertise in the item under discussion,
whether from
within or outside KACST, without such persons having the right
to vote.
Article (5.5)
Remuneration of the National Committee Chairman and
members shall be
determined in accordance with laws and procedures applicable
at KACST.
Article 6
The National Committee shall set standards for biological
research
ethics and oversee enforcement thereof. It shall be the authority
regarding overseeing research ethics and monitoring
implementation
thereof. It shall particularly undertake the following:

1. Prepare bioethics research regulations and review them in
accordance with recent developments.
2. Propose amendment to the Law and its Regulations.
3. Form specialized subcommittees for conducting detailed
studies on
research fields within the jurisdiction of the National
Committee.
4. Set controls for sending biological samples to laboratories
outside
the Kingdom.
5. Oversee local committees and monitor compliance with
Sharia and
statutory rules when dealing with biological material.
6. Set ethical controls and monitor implementation thereof to

safeguard rights of human subjects during research and ensure
confidentiality and security of research information.
7. Establish a database for saving and retrieving national
information
on genetic material of Saudi society.
20
8. Coordinate between the Kingdom and other countries as well
as
Arab and international organizations with regard to its
jurisdiction,
in accordance with applicable legal procedures.
9. Set bylaws for the National Committee.
10. Propose annual budget of both the National Committee and
the

Research Ethics Monitoring Office.
11. Oversee and monitor the central information system for
national
genetic material banks and set controls for documentation and
retrieval thereof.
12. Set rules and principles for ethical recognition of resea rch
laboratories working in biomedical fields.
13. Conduct periodic ethical evaluation and monitoring of
national
laboratories, and monitor medical research and experiments
conducted on Living Creatures to ensure legitimacy.
The Committee may seek consultation from experts,
associations,
scientific centers or specialized agencies within the Kingdom

and
abroad.
Article (6.1)
The National Committee Chairman or any of its members may
propose
amendment to the Law or Regulations. Said proposal shall be
submitted
for review by the Committee in accordance with its work
procedures, and
shall then be referred to the President of KACST to address
concerned
authorities in this regard.
Article (6.2)
Approval of amendments to the Law or Regulations shall be by
majority

vote of National Committee members.
21
Article (6.3)
1. The National Committee may, if necessary, form
subcommittees
for conducting detailed studies on particular matters proposed
for
discussion.
2. In forming said subcommittees referred to in Paragraph (1)
above,
members shall be selected based on their academic qualification
and
competence in conducting research.
3. Remuneration of subcommittee members shall be determined

according
to applicable rules at KACST.
4. Remuneration of experts, associations, scientific centers or
specialized
agencies whose consultancy services are sought shall be
determined
according to applicable rules at KACST.
Article (6.4)
Upon sending biological samples to laboratories outside the
Kingdom for
research purposes, the researcher, his designee or the specialist
involved
shall comply with the following principles:
First: Samples sent abroad for research purposes
1. Samples transfer should be limited to international resear ch

agencies
known for their research experience in the relevant research
fields.
2. A Research Material Transfer Agreement shall be drafted to
guarantee
the rights of human subjects, the rights of the researcher and
national
rights. The said agreement shall take the form of a joint
research to
be agreed upon by the local committee in the institution to
which
the researcher belongs and approved by the official in charge of
said
institution.
3. If it turns out that a different Saudi investigator or entity is
working

on the same subject, sending samples outside the Kingdom of
Saudi
22
Arabia must not be carried out. Collaboration with the project
running
inside the Kingdom must be done, unless there is a valid reason
that
makes such collaboration impossible. Justification should be
accepted
by the Local Ethics Committee.
4. Data accompanying the submitted samples or material must
not reveal
the identity of the person whose sample is submitted. Material
must
carry coded numbers only.

5. Notifying the National Committee on Bioethics in writing
about the
Local Ethics Committee decision including the project’s
purpose,
sponsor/s and collaborator/s. The National Committee on
Bioethics
may stop the running or completion of the project if it carries
no benefit
to the Saudi society or poses direct or indirect harm to the
community.
Such rights of the National Committee on Bioethics must be
clearly
stated in any agreement drawn between the local entity
intending to
send samples and any other institute outside the Kingdom of
Saudi

Arabia.
Second: In addition to the principles stated in sections “First”,
the researcher
shall, before sending biological samples outside the Kingdom
for research
purposes, observe the following:
1. Obtain the Local Committee written authorization to send
samples
abroad, by submitting an official letter indicating reasons for
sending,
quantity and type of samples as well as identifying receiving
agency,
and notify the National Committee of this authorization.
2. The researcher must enclose a copy of the obtained Local
Committee
approval with documents submitted to relevant agencies such as

customs and carriers;
3. Ensure security of leftover or genetic samples during storage
and
transportation;
23
4. Disposal of excess genetic samples must be performed
according to
standard scientific methods, and strict precaution must be
observed to
ensure that the said samples are not stored in banks outside the
Kingdom
once these samples have been analysed or studied for the
consented
project.

Article (6.5)
1. The National Committee shall oversee local committees and
monitor
compliance with Sharia and statutory rules when handling
biological
material in accordance with the provisions of the Law and
Regulations
as well as guidelines set by the National Committee in this
regard.
2. The rules and principles related to handling of genetic
samples apply
to all samples, whether the samples were taken in the Kingdom
or
imported from abroad.
3. Importing cells or other materials from commercial suppliers

licensed
in the country of origin for research purposes does not require
obtaining
an ethical approval.
Article (6.6)
A database shall be established at KACST for saving and
retrieving
national information on genetic material of the Saudi society.
KACST shall
supervise and monitor said database as follows:
1. Provide facilities, human resources and equipment required
for setting
up databases;
2. Receive data of genetic material from local genetic material
banks

available in research institutions;
3. Establish a central bank for safekeeping and retrieving
information on
genetic material and provide said information for local genetic
material
24
banks;
4. Set controls and procedures for saving, retrieving and
ensuring
confidentiality of information on genetic material.
5. Set controls and procedures for requesting information on
genetic
material from the central genetic information bank.
The procedures for saving and retrieving data and information

on genetic
material shall be subject to provisions of the Law and
Regulations.
Article (6.7)
Research laboratories operating in biomedical fields shall be
ethically
recognized upon satisfying the following conditions:
1. Laboratories are supervised by a governmental institution or
a private
agency licensed by competent authorities;
2. Laboratories are run by specialists qualified to perform their
technical
and administrative duties and responsibilities;
3. Laboratories, if not affiliated with a governmental institution,
satisfy

conditions set forth in the “Law of Private Laboratories”;
4. The institution is able to meet legal liability arising from
damage caused
by practices conducted within its affiliated laboratories;
5. Laboratories meet safety conditions and preventive measures
observed
in establishing biomedical research laboratories;
6. Laboratories observe confidentiality and privacy with regard
to Living
Creatures or genetic material information available therein.
Article (6.8)
When coordinating between the Kingdom and other countries,
or Arab
or international organizations, the National Committee, in the
context of

exercising its jurisdiction, shall observe applicable legal
procedures.
25
Chapter Four: Committee Revenues
Article 7
An annual financial allocation shall be set for the National
Committee
within the budget of KACST along with endowments allocated
therefor.
Article (7.1)
1. Committee revenues shall comprise the following:
a. Financial allocations set for it within KACST’s budget;
b. Endowments allocated for the Committee.

2. Upon setting allocations referred to in Paragraph (a) above,
the
following procedures shall be observed:
a. The National Committee Chairman shall submit the
allocations set
for the following fiscal year to be approved by the Committee
30
days before its submission to KACST President;
b. Upon approval of allocations by the National Committee, the
Committee Chairman shall submit said allocations to KACST
President.
c. The Committee Chairman shall coordinate with relevant
departments
at KACST to incorporate said allocations in KACST budget.
Upon

discussing such allocations, the Chairman may, if necessary,
seek
the assistance of any person either from relevant departments at
KACST or from the Ministry of Finance, as he deems fit.
d. Upon approval of the budget and setting the financial
allocations
for the National Committee, the Committee Chairman shall
present
to the Committee the allocations and the proposed spending
plan.
3. Upon allocating endowments for the National Committee, the
following
procedures shall be observed:
26

a. If the National Committee receives a request to endow any
property
for its activities, said request shall be presented to its members
for
discussion and decision thereon.
b. Upon reviewing the endowment request, the National
Committee
shall observe all relevant laws, decisions and directives.
c. If the endowment is accepted, the National Committee shall
set
necessary controls and procedures for dealing therewith.
d. The National Committee Chairman shall submit annual
reports to
the Committee regarding the endowments allocated for its
activities.
The Committee may take any decision it deems necessary in this

regard.
e. The National Committee may, if required, form from among
its
members or others a subcommittee to manage endowments.
27
Chapter Five: Research Ethics Monitoring Office
Article 8
Pursuant to this Law, an office for monitoring research ethics
shall be
established, and it shall report to the National Committee. Said
office
shall be located at KACST in Riyadh, and it may establish
branches in

the Kingdom’s provinces pursuant to a decision by KACST
President
upon recommendation by the National Committee. The office
shall
be headed by a specialist with experience in medical and
scientific
research and research ethics.
Article (8.1)
The Monitoring Office shall report to the National Committee
Chairman.
Article (8.2)
The President of KACST shall appoint, upon nomination by the
National
Committee Chairman, a full-time director for the Monitoring
Office; said
director shall be experienced in medical and scientific r esearch

and research
ethics.
Article (8.3)
The Monitoring Office may establish branches in different areas
of the
Kingdom provided the following conditions are satisfied:
1. The need for opening a branch in the relevant area;
2. Financial allocations required for establishing and operating
the branch;
3. Submission of a recommendation by the National Committee
to KACST
President stating the need for opening a branch.
The branch may be located in any governmental agency in the
relevant area.

28
Article (8.4)
The Monitoring Office shall have an adequate share of the
financial
allocations set for the National Committee to pay for its
activities.
Article 9
The Monitoring Office shall be in charge of the following:
1. Register and oversee local committees in accordance with the
provisions of this Law;
2. Monitor the implementation of research ethics subject to this
Law
through local committees;
3. Any other tasks assigned thereto by the National Committee.

The Regulations shall specify the office rules and procedures.
Article (9.1)
The Monitoring Office shall register and oversee local
committees and
monitor their compliance with the provisions of the Law and its
Regulations
and the as well as controls and procedures set by the National
Committee.
Article (9.2)
The following procedures shall apply upon registration of local
committees:
1. The National committee shall prepare a registration form for
the local
committee to be published on its website, including the
following:

a. Name and address of establishment applying for registration;
b. Date of application;
c. Nature of research conducted therein;
d. Names and CVs of local committee chairman and members;
e. Signature of head of the establishment.
2. The establishment applying for registration of a local
committee shall
29
complete the application form referred to in Paragraph (1)
above,
provide necessary data, and submit the form along with
necessary
attachments, including the decision of forming the local
committee, to

the Research Ethics Monitoring Office.
3. The Monitoring Office shall review each registration
application
submitted thereto by the establishment. If the application data is
incomplete, the establishment shall be notified within 10
working days
from the application submission date.
4. The Monitoring Office shall decide on the application within
15 working
days from the date of receipt of the complete application, render
a
decision to this effect, and promptly notify the concerned
establishment
of said decision, provided the notification includes registration
number

and date.
5. The Monitoring Office may not reject any application for
registration
except on legal grounds. If the application is rejected, the
Monitoring
Office shall notify the establishment of the reasons for
rejection.
Article (9.3)
In its supervision of registered local committees, the Monitoring
Office
may undertake the following:
1. Assign any person it deems fit to conduct field visits to the
registered
establishment at least once a year for examining committee
documents
and papers;

2. Assign any person it deems fit to attend local committee
meetings, if
required;
3. Ensure local committee compliance with relevant laws,
regulations,
rules and directives and coordinate therewith for this purpose;
4. Review complaints or grievances submitted by the principal
investigator
30
or by any member of the research team against local committee
decisions;
5. Review complaints submitted by the human subject in case he
claims to

have been harmed as a result of the research.
Article (9.4)
In its monitoring of local committee compliance with the
provisions of
the Law and its Regulations, the Monitoring Office may
undertake the
following:
1. Having access to all records and documents of research
registered with
the local committee;
2. Contact the participating human subject, if required;
3. Cancel, suspend, terminate or prevent prompt evaluation, if
necessary;
4. Record any violation committed by the local committee and
take

necessary actions in accordance with the Law and Regulations;
5. The Monitoring Office shall conduct periodic ethical
evaluation and
monitoring of national laboratories, and shall monitor medical
research
and experiments conducted on Living Creatures to ensure
legitimacy
thereof.
6. Upon verification of occurrence of a violation or a reasonable
possibility
of a valid claim of harm, the Monitoring Office may refer the
matter to
the Violation Committee referred to in Article (42.1) of the
Regulations
to take appropriate action.
Article (9.5)

The Committee Chairman shall appoint office staff upon
recommendation
of the director of the Monitoring Office in accordance with
applicable
procedures including office secretariat to help carry out
administrative and
31
technical work.
Article (9.6)
The Office may, if necessary, seek the assistance of specialists,
experts and
consultants as it deems fit; remuneration of said persons shal l
be according
to KACST applicable rules.

32
33
Chapter Six: Local Committee for Research Ethics
Article 10
Each establishment shall form a local committee consisting of at
least five members. The Regulations shall determine the manner
of
forming said committee as well as the provisions and rules
governing
its activities. The committee shall especially, but not
exclusively,
undertake the following:

1. Verify that the research conforms to applicable laws in the
Kingdom;
2. Verify the validity of the informed consent procedures;
3. Issue approval to conduct research from an ethical aspect;
4. Monitor research implementation on a periodic basis;
5. Monitor the health condition of the human subject during the
experiment;
6. Coordinate with the monitoring office as regards its relevant
activities.
Article (10.1)
The local committee shall be formed of at least five members in
accordance
with the procedures set forth in Article (9.2) of the Regulations.
Upon

formation of said committee, the following shall be observed:
First: The Committee chairman or his deputy shall be of Saudi
nationality
with experience in the field of biological research.
Second: The number of members shall be determined according
to volume
and type of research expected to be reviewed.
Third: Members shall be of different specializations, and when
named the
following shall be observed:
1. One member at least shall have an interest in the main
research field of
34

the establishment;
2. One member at least shall be from outside the establishment,
and shall
fulfill the following conditions:
a. He shall have no business relation nor direct or indirect
interest
with the establishment;
b. He shall be of an acceptable level of education;
3. One member at least shall have an interest in biomedical
ethics;
4. One member at least shall have adequate knowledge in
research design
and statistical analysis;
5. One member at least shall be adequately familiar with the
customs,

traditions and values of the Saudi Society.
Article (10.2)
1. The local committee shall be formed by decision of the
president of
the establishment or competent agency stating the names of
committee
members, chairman and his deputy. The chairman and his
deputy shall
have interest in biomedical ethics.
2. The relevant establishment or competent agency commits to
providing
the financial support needed for the local committee as well as
committee members remunerations such as to ensure and
preserve
the independence of committee decisions and to ensure its
continued

operation.
3. Committee members, employees and all persons invited to
attend
committee meetings shall keep as confidential all information
they
come by and shall not disclose any information included in
research or
research ideas and proposals.
35
Article (10.3)
Local committee members shall be appointed for a renewable
term of 3
years, provided half the members be replaced upon re-formation
for the

third time. Membership may not be renewed for more than three
consecutive
terms.
Article (10.4)
The head of the establishment shall appoint a secretary for the
local
committee upon the recommendation of its chairman, to
undertake the
following:
1. Receive applications submitted to the committee and verify
that they
meet all conditions, and include all components and documents,
and
present the same to the committee chairman;
2. Prepare agendas and minutes of committee meetings;

3. Coordinate local committee activities and communications
with
researchers and with the National Committee;
4. Archive copies of committee meeting minutes, including
names of
attending members, decisions issued, results of voting on such
decisions,
and a summary of the discussions taking place during every
meeting;
5. Prepare letters of notification of committee decisions and
recommendations to be signed by the committee chairman;
6. Any other work-related tasks assigned to him by the
committee or its
chairman;
7. Maintain confidentiality of information he is privy to and not

disclose
any information in the research or research ideas and proposals.
Article (10.5)
The local committee shall seek to achieve the following:
36
1. Protect the human subject of the research, as well as protect
and ensure
the human subject’s rights and safety;
2. Verify compliance with all requested and documented
procedures in the
research project regarding the treatment of human subject
participants
and biological materials.

3. Provide necessary equipment and ensure that such equipment
is
adequate for the safety of the human subject participants.
4. Ensure especially that minors, legally incompetent or
disabled persons,
or any other persons from (vulnerable groups) are never abused
under
any circumstance.
5. The local committee will review the research project requests
submitted
by researchers associated with the establishment where the
committee
is affiliated. It also has the right to review the research project
requests
submitted by researchers in vicinity of the establishment upon
agreement

with the researcher, if there is no local committee in the
establishment
where these researchers are affiliated, provided the absence of a
local
committee is not the result of an administrative negligence to
establish
such a committee.
6. In the case of researchers from multiple establishments
participating
in a joint project, it is not necessary to obtain approval of the
local
committee of every center participating in the research project.
One
of the local registered committees shall in this case review the
project,
and the principal investigator must be from the establishment
where the

local committee which approves the project, and monitors it.
Article (10.6)
Committee membership shall be terminated for any of the
following
reasons:
37
1. Resignation;
2. Death;
3. Chronic illness that prevents a member from attending local
committee
meetings;
4. If any member fails to attend three consecutive or five non-
consecutive

meetings within the same year without an excuse acceptable to
the local
committee chairman;
5. Expiration and non-renewal of term of membership;
6. If a member is proved to have violated his commitment to
keep
information confidential and the committee chairman has issued
a
decision to this effect based on proven facts.
Article (10.7)
If the membership of any local committee member is terminated
for any
reason, committee chairman shall instantly address the
concerned party to
appoint a replacement to fill in the remainder of said member’s

term, and
shall notify the Monitoring Office thereof.
Article (10.8)
If the local committee chairman finds that one committee
member does not
effectively take part in committee activities or that he has not
appropriately
accomplished the duties assigned to him, he may notify the
concerned
party thereof and suggest whatever action he deems fit,
including dismissal
of said member and appointment of a replacement.
Article (10.9)
1. The local committee shall convene upon a call by its
chairman whenever

required;
38
2. Local committee meeting shall not be valid unless attended
by the
majority of its members including the chairman or his designee;
3. If the quorum is not reached within half an hour of the
designated date
of the meeting, the meeting chairman shall adjourn the meeting
to be
held within fifteen days thereafter;
4. Invitations for the meeting shall be delivered by hand or sent
via
ordinary mail or e-mail at least ten work days before convention
date.

The meeting agenda and all papers and documents related to
topics
proposed for discussion shall be attached to the invitations;
5. Local committee secretary shall record the meeting minutes,
and
attending members and committee secretary shall sign the
minutes
directly after the meeting or in the next meeting.
Article (10.10)
If a local committee member finds that he or any other member
has any sort
of direct or indirect interest related to any topic proposed for
discussion by
the committee, said member shall disclose such interest at the
beginning of
the meeting. In that case, the committee chairman shall ask the

member who
has declared such interest to withdraw from the meeting during
discussion
of related topic and shall record this action in the meeting
minutes.
Article (10.11)
1. The local committee may invite experts and consultants to
attend its
meetings whenever a proposed item on the committee meeting
agenda
requires so. These expert guests do not have the right to vote.
2. If the research subject proposed for discussion by the local
committee
is related to any category of the (vulnerable groups), the
committee
chairman shall invite a specialist with experience in this field to

take
39
part in discussing said subject. Said specialist shall have the
right to
take part in discussion and in voting. If said specialist fails to
attend the
meeting, it shall be required to obtain a specialist’s written
opinion of
the matter.
3. If it deems it necessary, the local committee may invite the
principal
investigator to attend one of its meetings, provided he does not
attend
the meeting during which the final decision on the research
project is

made.
Article (10.12)
1. Local committee resolutions shall pass by simple majority
vote of
attending members. In case of a tie, the meeting chairman shall
have
the casting vote.
2. Local committee chairman shall determine the voting method
in
committee meetings.
3. Issued resolution shall be printed on local committee or
establishment
official stationary, and shall include a clear statement of
resolution
text. Committee chairman shall notify the principal investigator

of said
resolution in writing.
4. In case the research application is rejected, the resolution
shall state the
reasons for rejection.
5. Local committee may issue non-binding recommendations, if
necessary,
and attach them to rejection resolution.
6. Local committee may issue a conditional approval, and the
resolution
shall determine the necessary procedure to reconsider the
application
and any requirements or suggestions for reassessment.
7. An aggrieved party may appeal local committee resolutions
of rejection

or provisional approval before local committee. If the local
committee
40
dismisses the complaint as unconvincing, the aggrieved party
may have
recourse to the Monitoring Office to review the matter.
Article (10.13)
The principal investigator, whether he belongs to the
establishment or not,
shall submit the research approval to the local committee,
including the
research proposal. Upon setting of research proposal, the
researcher shall
observe the following:

1. Design of study shall be appropriate to its objectives;
2. Expected benefits and possible harms to which the human
subject may
be subject shall be in balance;
3. Research location shall be appropriate to the assistant group,
including
available potentials and emergency measures.
Article (10.14)
The research proposal shall comprise the following:
1. An abstract of the research within one page (Size: A4);
2. Research objectives;
3. Statistical methodology, including sample size calculations,
taking into
account possibility of obtaining statistically significant results
by using

the minimum number of research subjects;
4. Rationale for introducing any procedure, tool or device that
has not
been used before;
5. Rationale for using any substances that could be dangerous or
harmful
to the human subject or his surroundings and methods of
disposal of
said substances after research is completed;
6. Plan for dealing with risky cases;
7. Plan for disposal of extra biological samples;
41
8. A clear description of duties and responsibilities of research

team;
9. Time schedule of research and criteria of research suspension
or
termination;
10. Case registration forms, daily cards, and questionnaires set
for research
subjects, in case of clinical research;
11. Research sample shall be determined according to the
following
considerations:
a. Characteristics of sample from which the subjects will be
selected;
b. Criteria for inclusion and exclusion of the human subject;
c. Methods through which initial contact and selection are
carried out;

d. Means of providing complete information to potential
participants
in the research or their representatives.
12. In clinical research, the principal investigator shall present
a description
of the individuals who will be given access to personal data of
research
subjects, including medical records and biological samples;
13. A list of expected results and ways to benefit therefrom;
14. A list of references.
Article (10.15)
The principal investigator shall, if necessary, enclose the
following
documents with his research proposal:
1. Any plans to stop or prevent administration of standard

treatments
because of the research and justifications for preventing
ordinary
standard treatments for conducting the research;
2. Medical care offered to human subjects during and after the
research;
3. A description of the efficacy of social, psychological and
medical
supervision for all human subjects;
4. A statement of the compensation or treatment that can be
provided for
42
human subjects in case of injury, disability or death as a result
of the

research;
5. Arrangements taken to provide compensation, if required;
6. Indication of research funding methods and any research
agreements
related to the research.
The human subject shall not incur any financial expenses for
conducting
the research on him.
Article (10.16)
To approve the research proposals submitted to the local
committee, the
following procedures shall be followed:
1. The local committee shall prepare a special approval
application form
and publish it on its website, including the following:

a. Name of local committee and its postal address, electronic
mail
address and contact numbers;
b. Name of principal investigator and his ordinary and
electronic mail
address and contact numbers;
c. Title, duration and objectives of research project;
d. Date of submission of application.
2. The principal investigator shall submit the application for
approval
according to the form referred to in the preceding paragraph 1
hereabove;
3. The principal investigator shall fill in the approval form, and
shall
append with it the following documents:

a. The research proposal;
b. An updated, signed and dated CV of the principal
investigator and
co- investigators;
c. Methods used for inviting human subjects, including
advertisements;
d. “Informed Consent” form;
43
e. Proof of passing a valid research ethics course;
4. The local committee shall receive the application against a
receipt given
to the applicant indicating reception thereof and including
number and

date of submission.
5. The local committee shall review the application in principle;
if any
requirements are missing, the committee shall notify the
applicant
thereof within 10 work days of date of submission of
application.
The investigator shall respond within 90 days of date of
notification.
The application shall be deemed as rejected if the investigator
fails to
respond to committee remarks and demands within the said
period.
6. The local committee shall inform the applicant within 15
work days
from completion of request of the expected time period to
provide the

final response to his request.
7. The local committee shall evaluate the research proposal,
provided
it is complete and it satisfies applicable scientific conditions in
the
establishment. The committee shall consider the researchers’
ethical
efficiency and ability to conduct the research, and shall verify
that the
“Informed Consent” form contains all basic requirements.
8. The local committee shall issue its decision indicating
acceptance,
rejection or amendment of research proposal within the period
referred
to in Paragraph 6 hereabove.

9. The committee resolution shall include the following data:
a. Title of research project;
b. Date and number of research project;
c. Name of principal investigator and co- investigators;
d. Date of resolution.
e. Signature of local committee chairman or authorized person
and
date of signature.
44
10. The following documents shall be attached to the decision:
Research
forms with their appended documents including Informed
Consent (the

resolution number must be put on the Informed Consent form).
Article (10.17)
Before consenting to conduct a research project, the local
committee shall
confirm the following:
1. The research does not violate Sharia rules or laws or
regulations
observed in the Kingdom;
2. Potential risk for the human subject is reduced to the
minimum level
through the following:
a. Adopting standard operating procedures and scientific
methods for
research design which do not expose research human subjects to

risks;
b. Adopting standard and established procedures for therapeutic
or
diagnostic purposes as much as possible.
3. Evaluating benefits and risks that might ensue from the
research;
4. Ensuring that research subjects have been selected based on
their
understanding of research objectives, place, time and method of
conducting research, with special additional attention in the
cases in
which the participation of persons requiring additional
protection is
requested, such as (vulnerable groups)
5. Ensuring that the “Informed Consent” of the human subject
contains all

the required elements;
6. Ensuring that the research plan includes a periodic
monitoring of results
to maintain safety of the human subject;
7. Ensuring that the research plan includes management
measures to
protect the human subject and the human subject’s rights;
45
8. Ensuring that sufficient measures are taken to protect privacy
of the
human subject and maintain confidentiality of data.
9. In the case of clinical research involving testing drugs or
equipment on

humans, the authorization of the Saudi Food and Drug Authority
must
be obtained according to observed laws and regulations.
10. Every clinical research project must be registered first with
the
Saudi Food and Drug Authority before human subjects are
invited to
participate.
11. The Saudi Food and Drug Authority clinical studies
database must be
checked first to avoid conducting duplicate research.
Article (10.18)
The local committee may approve certain research by using the
expedited
review procedure in the following cases:

1. If the risk that the human subject may be exposed to does not
exceed
the minimal risk level;
2. If the research does not reveal the identity of the human
subject;
3. If the research deals with clinical studies on drugs or medical
equipment,
provided:
a. The drug is used in accordance with its licensing and dosages
approved by the concerned party, and does not entail any
increase
in potential risk for the human subject;
b. The medical equipment in use has originally been licensed by
the
concerned party and has already been utilized accordingly.

4. If taking biological samples for research purposes is carried
out via
non-invasive methods such as analysis of urine, saliva, nail or
hair
clippings, etc.
5. If research data is to be collected by using medical equipment
approved
46
by the concerned party, such as:
a. Sensors which are directly applied on body surface or at a
close
distance thereto and which do not expose the body to a
significant
amount of energy and do not violate the privacy of the human

subject;
b. Weight taking or audiometry devices;
c. Magnetic resonance imaging (MRI) or ultrasonography
imaging
devices;
d. Electrography (ECG & EEG), Thermal Imaging, normal
nuclear radiation rate measuring, infra-red imaging, blood flow
measurement with ultrasound imaging (Doppler sonography),
and
echocardiography devices;
e. Moderate exercise, muscle strength, body ratios (such as
body fat
ratio) and measurement of joint and muscle flexibility devices,
provided these tests are deemed appropriate after taking age,
weight

and health condition into account;
f. Search for information, records or samples that were
previously
collected or will be collected in the future for non-research
purposes;
g. Collect information via audio or video taping (static or
moving) for
the purpose of looking for the attributes or behavior of an
individual
or group without violation of privacy of the human subject.
However, excepted from these devices is the use of X-ray or
electromagnetic
microwave devices.
Article (10.19)
1. Approval by expedited review shall be issued by local

committee
chairman or by one or more members selected by committee
chairman
for their experience.
47
2. In case of expedited review, the research evaluator shall have
all the
powers given to the local committee except for rejection of
research,
which shall be within the jurisdiction of the local committee
alone.
If the evaluator decides to reject the research, he shall refer it to
the
committee for reviewing it according to the provisions of this
Law and

its Regulations.
3. In case approval of research is issued by using expedited
review, the
committee chairman shall notify all committee members of the
research
projects that he has approved via whatever notification means
he deems
appropriate.
Article (10.20)
The local committee chairman has the authority to approve any
amendment
of the research previously approved by using expedited review.
Exceptions
include interviews and surveys conducted on any of the
(vulnerable groups),

amendment of research project or approval form, which shall be
within the
jurisdiction of the local committee.
Article (10.21)
Applications for approval using the expedited review procedure
shall
observe the terms and requirements stipulated in the basic
elements of the
Informed Consent in accordance with the provisions set forth in
Chapter 5
of the Regulations.
Article (10.22)
The expedited review procedure may not be used for approving
research if
the objectives of such research include the following:

1. Addition of a new medication;
48
2. Addition of new medical equipment;
3. Addition of a new invasive or interventional procedure;
4. Increase or decrease of a medication dose, which may lead to
increased
harms;
5. The research is conducted to identify new potential risks.
Article (10.23)
1. If the principal investigator wishes to amend the research
proposal
approved by the local committee, he shall submit the matter to
the

local committee to obtain its approval prior to proceeding w ith
the
amendment.
2. The following may be exempted from local committee
review:
a. Amendment of advertising material used for inviting human
subjects, provided said amendment does not disrupt the content
of
such material;
b. Amendments that only include providing administrative
support to
the study;
c. Enrolling samples or cases brought from outside the
establishment
with the same terms.

3. In all cases, the principal investigator shall furnish the local
committee
with a detailed report on the amendment he has carried out.
Article (10.24)
1. The principal investigator shall obtain the local committee
approval
of all types of advertisements aiming to invite people to
participate
as volunteers in the research project such as newspaper ads,
posters,
folders, etc. prior to distribution or publication thereof;
2. Any advertisement proposed by the principal investigator to
invite
49

persons to participate as subjects of the research shall include
the
following data:
a. Research title;
b. Research objective;
c. Attributes qualifying persons targeted to be the research
subjects
(participants or volunteers);
d. Indication of all facilities to be provided to human subject;
e. Number of research project in the local committee and
expected
date of completion;
f. Expected risks of the research, if any;
g. Name and address of principal investigator or his
representative,

his contact numbers and his electronic mail address so that
individuals aiming to join the research group may call him for
further information.
Article (10.25)
If the principal investigator decides to transfer research
supervision
responsibility to a different investigator, he shall take the
following
measures:
1. Submit a written application to this effect to the local
committee,
including the following:
a. A written agreement for the replacement investigator to take
responsibility for the research;

b. A written statement by the replacement investigator
indicating his
readiness to fulfill all commitments and obligations made by the
principal investigator;
c. CV of the replacement investigator;
d. A statement indicating that all samples and medical
information
50
related to the research have been delivered to the replacement
investigator;
e. A statement indicating that no part of research samples or
results
shall be used in any future research unless a new approval is

obtained from the local committee.
2. The principal investigator shall proceed with his supervision
of the
research until the local committee has reviewed the application;
3. The local committee shall decide the application within a
period not
exceeding one month from date of submission thereof. In case
of
rejection, the decision shall be furnished with reasons for
rejection.
Article (10.26)
1. The investigator may publish the results of the research he is
conducting,
provided he notifies and obtains approval of the local committee
beforehand specifying the name of periodical in which he will

publish
said results;
2. The local committee may refuse to grant permission if the
published
material is inconsistent with the provisions of this Law and its
Regulations or with the controls and directives issued by the
national
committee.
Article (10.27)
The local committee shall conduct the periodic monitoring of
the research
as follows:
1. Review research progress regularly based on the periodic
reports
submitted by the principal investigator, provided the periodic

follow-
up period does not exceed one year;
2. Examine research records to ensure their consistency with the
approved
51
research proposal and the submitted research reports or to
guarantee
documentation of “Informed Consent” procedures. The local
committee
may assign specialists as it deems fit to perform this task on its
behalf.
3. The local committee shall set necessary procedures for
carrying out
the periodic follow-up process, and shall furnish the Monitoring
office

with a copy of said procedures.
Article (10.28)
1. The principal investigator shall provide the local committee
with a
periodic report of the research every three months in case of
conducting
clinical research and every six months in case of conducting
other types
of research.
2. The periodic report shall contain all the details of the
research and
its phases. The investigator shall attach to this report proof of
his
commitment to the procedures and controls set forth in this Law
and

its Regulations.
Article (10.29)
If the principal investigator fails to submit the periodic report
on time, the
local committee shall take the following measures:
1. Notify the researcher in writing that he must submit the
periodic report
within the period set by the committee;
2. If the principal investigator fails to submit the research
within set
period, the local committee may suspend the research project
until the
report is submitted and shall notify the principal investigator
thereof;
3. In case the research project is suspended, the committee shall

thoroughly review it and examine all required documents to
ensure
that no violations have been committed; otherwise, it shall carry
out
52
whatever it deems fit;
4. If the principal investigator submits the periodic report
during local
committee review of research, the local committee may end the
suspension the research project, and notify the investigator not
to be
remiss in submitting reports in the future;
5. If the principal investigator persists in ignoring to submit the
periodic

report, the local committee shall refer the whole matter to the
Monitoring
Office to submit it to the Violations Committee to suspend the
research
project and decide appropriate penalties.
Article (10.30)
1. The principal investigator and the local committee must
immediately
notify of any major harm occurring during or after conducting
the
research, according to the following procedures:
a. The principal investigator shall immediately notify the local
committee as well as the research sponsor of any unexpected
major
harm occurring during or after conducting the research,
providing

the committee with all information pertaining to the harm
related
incident, indicating whether this incident is definitely, probably
or
by no means related to the research.
b. The local committee shall notify the Monitoring Office of the
major
harm incident and all related details as soon as possible either
in
writing or by telephone within a period of twenty-four hours at
the
latest from the time of the harm related incident.
2. The principal investigator and the local committee must
notify of any
minor harm occurring during or after conducting the research,
according

to the following procedures:
a. The principal investigator shall notify the local committee of
any
53
minor harm occurring during or after conducting the research
within
seven days at the latest from the date of the incident, providing
the committee with all information pertaining to the harm
related
incident, indicating whether this incident is definitely, probably
or
by no means related to the research.
b. The local committee shall notify the Monitoring Office of the

incident of minor harm and all related details either in writing
or
by telephone within two weeks at the latest from the date of the
incident, depending on the relevance of the incident.
3. The principal investigator shall include all expected or
unexpected
harms in his periodic report submitted to the local committee.
Article (10.31)
1. If the local committee finds, through periodic monitoring of
the
research, that an unexpected harm has taken place as a direct
result
of the research but has not been referred to in the research
proposal, it
may take appropriate measures to stop the harm, including
suspension

of research project;
2. If the local committee finds that the investigator has not
obtained
required approvals, it shall suspend the research project and
refer the
matter to the Monitoring Office to submit it to the Violations
Committee
to decide appropriate penalties against the investigator.
3. The local committee shall notify head of the establishment of
any
research that is suspended or referred to the Monitoring Office.
Article (10.32)
The local committee may exempt the following research
projects from the
periodic follow-up:

54
1. Research involving study of information and data previously
collected,
provided one of the two following terms is fulfilled:
a. If the information is generally and publicly availabl e;
b. If the information is recorded in a manner that does not
reveal the
identity of the source person.
2. Research including educational tests, surveys, interviews or
public
behavior monitoring, except in the two following cases:
a. If the information is recorded in a manner that reveals the
identity

of the source person.
b. If participation in the research should bring a person outside
the
scope of research to be subject to criminal or civil liability or
jeopardize his financial position or career.
3. Research conducted for educational purposes.
Article (10.33)
1. Subject to the provisions of the following paragraph 2
hereunder, the
local committee, following Standard procedures, shall conduct
the
periodic monitoring of research based on the periodic reports
submitted
by the principal investigator in accordance with the procedures
it sets

up in this regard.
2. As an exception from the provision of the preceding
paragraph 1
hereabove, the local committee may exempt certain research
projects
that it has previously approved from periodic evaluation in
either of the
following cases:
a. If the only objective of research continuation is a long-term
monitoring of persons who took part in the research and no
additional risk emerged in the research;
b. If the research is nearly finished and only analysis of data
and
55

conclusion of results are remaining.
3. After the periodic assessment of the research is carried out,
the local
committee shall issue a decision including its approval or
rejection of
continuation of the said research.
Article (10.34)
If, after the periodic assessment, the local committee
disapproves of research
continuation, it shall suspend the research project without
prejudice to its
right of extending the treatment period in case its sudden
suspension may
cause harm to the human subject.
Article (10.35)

1. If the research project is suspended, the investigator may
request the
local committee to reconsider the suspension decision, by
appending
reasons for his request;
2. The local committee shall consider said request in a meeting
held for
this purpose or in the nearest meeting.
Article (10.36)
Upon completion of the research project, the principal
investigator
shall prepare his final report and shall deliver a copy thereof to
the local
committee along with related scientific publications, if any.
Article (10.37)

The local committee shall keep the records of its contributions
in the field
of research follow-up and evaluation, including the following:
1. A copy of all research proposals evaluated by the committee,
along
with evaluation results;
56
2. A copy of the “Informed Consent” form approved by the
committee
and periodic reports on research progress;
3. A copy of the reports detailing harm to the research subjects,
if any;
4. A statement of the reasons that led the local committee to
reject the

proposal or request modification of research proposal;
5. Copies of periodic follow-up and evaluation proceedings;
6. Copies of all correspondences between the committee and the
principal
investigator;
7. A declaration of all new and important data provided to the
human
subject, including all necessary details of the method used to
obtain his
consent to take part in the research.
Article (10.38)
The local committee shall submit an annual report to the
Monitoring Office,
subsidiary to the National Committee, including:

1. Any changes in its formation;
2. A list of the research projects that it has studied and its
decision in each
case (rejection, approval or suspension), indicating reasons
therefor;
3. Any scientific activities carried out by the committee,
including
scientific publications, workshops, colloquia and symposia;
4. Any other information deemed by the Monitoring Office as
necessary
to be included in the report.
Article (10.39)
1. Any member of the research team may file a complaint with
the local
committee;

2. The local committee shall consider said complaint in its next
meeting
or in a special meeting called for by the committee chairman.
57
Article (10.40)
In case of any disagreement with the local committee, the
principal
investigator may file a complaint with the Monitoring Office.
58
59
Chapter Seven: Informed Consent

Article 11
No investigator may conduct research on any human subject
prior
to obtaining an informed consent from him or from his guardian
in
accordance with procedures specified by the Regulations.
Article (11.1)
The local committee shall approve the “Informed Consent” form
which
will be appended to the research proposal submitted by the
principal
investigator to the local committee. The researcher may not use
any other
document or form other than the approved one to obtain the
“Informed

Consent”. The researcher shall provide all research-related
information
to the human subject. Such information shall include research
objective,
potential risk and expected benefit, if any.
Article (11.2)
The “Informed Consent” form shall include the following:
1. A clear statement at the top of the first page that reads “You
are invited by
(Name of principal investigator) to participate in a scientific
research”;
2. Research title;
3. Name of institution approving the research;
4. Research objectives;
5. A description of any expected benefit for the human subject;

6. A description of any expected risk or harm that may affect
the human
subject or society;
7. A description of alternative treatments available outside the
scope of
the research, if any;
60
8. A statement of the level of respect accorded to the
confidentiality of
information that may reveal the identity of the subject, along
with a
commitment by the investigator to secure such confidentiality;
9. A description of all medical procedures and treatments
related to the

research or carried out only as a result of conducting the
research, if
any;
10. Duration of the research project;
11. A description of requirements to be fulfilled by the human
subject;
12. A description of type, quantity and method of use of
samples taken from
the human subject, if any, with commitment to dispose with
excess or
leftover samples through recognized scientific methods;
13. A statement which explicitly reads as follows:
“Participation in the
research is voluntary. Refusal to participate shall not entail
penalty

or loss of benefits to which the human subject would otherwise
be
entitled. The human subject may withdraw from the research at
any
phase without loss of benefits to which he is otherwise
entitled”;
14. Indication of risks or harms, if any, that might ensue due to
withdrawal
from research;
15. The investigator’s pledge that the human subject
(participant or
volunteer) shall be notified of all information that may emerge
during
the research period, the knowledge of which may affect his
decision for
continued participation in the research, such as harms or
complications

not stated in the “Informed Consent”;
16. Contact numbers and addresses to enable the human subject
to obtain
information related to the research or to his rights, or to report
any
harm sustained. Said numbers and addresses shall include the
contact
numbers and e-mail addresses of the local committee and
researcher;
17. Signature of the human subject (male or female) or
guardian, the
61
researcher, and any other person whose signature on the form is
required

in accordance with the provisions of the Law and Regulations;
18. Date and place of the “Informed Consent”;
19. Method of compensating of the human subject in case he
sustains any
harm resulting from the research.
Article 12
Upon obtaining the informed consent, the investigator shall
clearly
explain to the human subject or his guardian all potential
outcomes
of the research including harmful ones, if any, which result
from
withdrawal of the informed consent.
Article (12.1)
1. When obtaining the “Informed Consent”, the investigator

shall in all
cases observe the following:
a. He shall, in a clear and simple manner, explain in person the
information stated in the “Informed Consent” form to the human
subject (or his guardian if the subject is incompetent);
b. The explanation shall be appropriate to the educational level,
culture and understanding of the human subject (or guardian if
the
subject is incompetent);
c. He shall, if required, explain any additional information not
stated
in the “Informed Consent” form;
d. He shall answer any question raised by the human subject (or
guardian if the subject is incompetent);

e. He shall not obtain the consent in haste or use coercion or
undue
inducement to obtain it.
f. He shall ensure via suitable methods that the human subject
(or
62
guardian if the subject is incompetent) has understood all the
information provided to him prior to signing the “Informed
Consent” form;
2. If the human subject is a patient, a person other than his
attending
physician shall obtain his “Informed Consent,” provided said
person

is well-informed about the research and able to answer all the
patient’s
questions.
Article (12.2)
The “Informed Consent” form or the explanation presented by
the
investigator to obtain the consent may not include any statement
absolving
the investigator (or the institution) from liability against any
unexpected
error or harm that may occur during the research.
Article 13
The informed consent shall be documented in accordance with
conditions and procedures specified by the Regulations.
Article (13.1)

The local committee may assign a qualified person to attend the
interview
in which the “Informed Consent” form is explained, if
necessary, in order
to verify compliance with the provisions of the Law and
Regulations. In
such case, said person shall cosign the consent form upon
completion.
Article (13.2)
The local committee shall ensure the validity of the procedures
used for
obtaining the “Informed Consent” and shall assign a person to
monitor the
obtaining of such consent. It shall also ensure that the human
subject is

63
competent without prejudice to the provisions of research on
minors and
incompetent persons.
Article (13.3)
1. The principal investigator shall be responsible for obtaining
the
“Informed Consent” but he may delegate one of his assistants to
obtain
such consent provided said assistant is fully aware of the
research
project and able to answer questions raised by the human
subject.
2. If the principal investigator or one of his assistants fails to
carry out the

procedures required for obtaining the “Informed Consent”, the
principal
investigator may submit a request to the local committee to
delegate
another research team member or any other person fully aware
of the
research project to undertake such procedures. The local
committee may
or may not approve this request based on the justifications
provided by
the principal investigator. In case of acceptance, the committee
shall
ensure that the person assigned to obtain the consent is well -
informed
about all aspects of the research and the items of the “Informed
Consent”
form referred to in Article (11.2) of the Regulations.

Article (13.4)
1. The principal investigator or his duly appointed designee
shall issue
the “Informed Consent” form in three copies, one for the
principal
investigator, one for the human subject of the research to be
conducted,
and the third for the local committee or in the patient’s file in
the case
of a clinical research.
2. If the human subject of the research is a patient, the
researcher must
document obtaining the “Informed Consent” in the patient’s
medical
file.

64
Article 14
Subject to the provisions of Article 11 of this Law, the local
committee
may approve conducting the research without obtaining the
informed
consent if it is not possible to relate the information obtained by
the
researcher from the records or pathological samples to the
source
person or if the results related to individuals are available to the
public.
Article (14.1)
The local committee may approve conducting the research
project without

obtaining the “Informed Consent” if the conditions set forth in
Article
(10.32) of the Regulations are satisfied.
65
Chapter Eight: Research on Humans
Article 15
Research conducted on humans shall be for clear scientific
objectives,
and shall be preceded by sufficient laboratory experiments on
animals
if the nature of the research so requires.
Article (15.1)
1. Each research proposal shall be subject to the approval of the

local
committee;
2. The local committee shall verify the scientific objectives of
the research
proposal;
3. The researcher shall obtain the “Informed Consent” from the
human
subject according to the provisions of the Law and Regulations.
Article (15.2)
Prior to conducting clinical research on humans, the following
shall be
observed:
1. The investigator shall clearly and accurately specify his
objectives and
methodology;

2. The research shall be preceded by sufficient experiments on
animals if
the nature of the research so requires.
3. Potential risks shall not be greater than expected benefits.
Article (15.3)
Unprecedented experimental surgeries and medical research
shall be
consistent with controls and criteria set forth in laws and
regulations
applicable in the Kingdom as well as the relevant agreements to
which the
66
Kingdom is party.

Article (15.4)
The investigator or research team conducting the experimental
surgeries
and medical research shall be specialized and shall have
adequate scientific
qualification, expertise and competence.
Article 16
The expected benefit from the experiment or research to the
human
subject shall be greater than the possible harm.
Article (16.1)
1. The investigator shall evaluate the expected benefit to the
human subject
and the extent to which it is greater than the potential risk
according to a

scientific evaluation carried out by the researcher and submitted
to the
local committee.
2. If the local committee finds that the potential risk to the
human subject
is greater than the expected benefit, it must deny permission to
conduct
the research.
3. The local committee shall verify, through periodic reports
submitted
by the investigator, that the expected benefit is still greater than
the
potential risk.
Article (16.2)
1. Prior to approving research on humans, the local committee
shall verify

that the investigator takes into consideration the right of human
subject
to normal life and safety from all types of physical and
psychological
harm, and shall not affect him wholly or partially except with
his
67
consent and in accordance with the provisions of Sharia and
applicable
laws. This shall include all body organs and their components,
such as
living tissues and cells whether connected or otherwise.
2. The investigator or research team may not conduct any
medical

intervention on the human subject for research purposes that do
not
entail any expected benefit.
3. Approval of all competent government bodies shall be
obtained in cases
related thereto.
4. The local committee or the Research Ethics Monitoring
Office may
impose additional restrictions on any research on humans if
conducting
said research would endanger the human subject.
Article (16.3)
The human subject may seek indemnification for any harm
resulting
from conducting the research on him by filing a complaint with
the local

committee. If the local committee fails to respond, the human
subject may
submit the complaint directly to the Monitori ng Office.
Article 17
The researcher may not in any way exploit the conditions of the
human
subject and shall not expose him to any type of coercion or
exploitation.
Article (17.1)
The provisions of Articles (24.1), (24.2), (25.1) and (25.2) of
the Regulations
shall be observed.
Article 18
Approval to conduct research on humans shall take into
consideration

68
their right to normal life and their safety from all types of harm
in
accordance with the provisions of Sharia.
Article (18.1)
The provisions and controls of the “Informed Consent” referred
to in Article
11 of the Law and Articles (10.17), (11.1), and (11.2) of the
Regulations
shall be observed.
Article 19
The investigator may not exploit the human subject for the
purpose of

trading in gametes, zygotes, organs, tissues, cells or any parts
thereof
or genetic data related to human derivatives or products.
Article (19.1)
The investigator may not exploit the human subject or any part
thereof,
including gametes, zygotes, organs, tissues, cells or parts
thereof or genetic
data related to human derivatives or products or human images
for the
purpose of trading therein.
Article (19.2)
In case the investigator is found guilty of violating Article
(19.1) of the
Regulations, he shall be subject to the appropriate penalties set
forth in the

Law and Regulations as well as laws prohibiting trade in human
organs and
not in conflict with Sharia.
Article 20
An organ removed for a purely medical purpose may be used in
scientific research upon obtaining the informed consent.
69
Article (20.1)
Subject to the provisions of the Law and Regulations regarding
obtaining
the “Informed Consent”, human organs removed for medical
purposes may
be used in scientific research in a way not conflicting with the

provisions of
the Law and Regulations.
Article (20.2)
When conducting research on samples previously collected for
another
research purpose or for a purely medical care purpose and it is
still possible
to relate the said samples to their source, consent of the person
from whom
the samples have been collected is required prior to conducting
research
thereon.
Article (20.3)
When conducting research on samples previously collected for
another

research or for a purely medical care purpose and it is no longer
possible
to relate said samples to their source, permission of the local
committee to
conduct the research may deem sufficient.
Article 21
No research may be conducted on human zygotes, gametes or
fetuses
except under controls specified by the Regulations.
Article (21.1)
No research may be conducted on human zygotes or gametes
except under
the following controls:
1. The practices indicated in the research proposal shall be
consistent

with the provisions of Sharia and standard medical principles,
and
70
the research shall be justified in terms of its contribution to
medical
knowledge or technical applications;
2. The investigator shall obtain the “Informed Consent” from
the person
donating zygotes or gametes in accordance with Article 11 of
the Law.
3. The investigator shall provide all research-related
information to the
persons donating zygotes or gametes, and their spouses, if any.
Said
information shall include a full explanation of the research

potential
risk and expected benefit.
Article (21.2)
When conducting research on human zygotes or gametes, the
researcher
shall accurately record all required data and information about
the human
subject and each person related to the zygotes or gametes under
research,
and all research findings. He shall keep records of the same for
at least five
years from date of research completion, and shall submit
periodic reports
on the research to the local committee.
Article (21.3)

No research may be conducted on human fetuses except for one
of the
following purposes:
1. Find a treatment for reproductive problems, in which case the
research
shall be conducted in an institution approved for treatment of
such
problems;
2. Conduct a new experiment expected to benefit human fetuses;
3. Acquire new knowledge about the condition of fetuses if it is
not
expected to achieve a direct benefit.
71
Article (21.4)

The research proposal on human fetuses shall include the
indication that
the expected benefit from the research would not be realized
without using
such fetuses, and that a similar benefit has been previously
obtained through
conducting research on animals, and that the research is
justified in terms
of its contribution to improvement of treatment techniques or
knowledge
of human diseases.
Article (21.5)
The investigator shall use the minimum number of fetuses to
achieve
research purposes.

Article (21.6)
In cases of research conducted to acquire new knowledge, the
researcher shall
submit to the local committee proof that potential risk for the
fetus is minimal.
Article (21.7)
The investigator shall prepare and keep records of the source of
each fetus
and the results of using said fetus in the research, and shall
submit periodic
reports on the research to the local committee.
Article (21.8)
The investigator shall abide by the controls and procedures set
by the
National Committee regarding research on stem cells, zygotes,
gametes

and fetuses.
Article 22
No research may be conducted for the purpose of human
cloning.
72
Article (22.1)
No investigator shall be permitted to conduct research on human
cloning
and any reproductive and research applications resulting
therefrom due
to constraints determined by sharia, ethical principles and
health-related
harms, where harms and dangers to humanity outweigh the
expected

benefits.
Article 23
Research may be conducted on tissues, living cells and
separated parts,
including stem cells extracted from the umbilical cord or adult
stem
cells, upon obtaining the informed consent.
Article (23.1)
Subject to the provisions and principles set forth in the Law and
Implementing
Regulations and directives issued by the National Commi ttee,
research may
be conducted on tissues, living cells and separated parts,
including stem
cells extracted from the umbilical cord or adult stem cells, upon

fulfilling
the following conditions:
1. Fetuses may not be cloned for the purpose of obtai ning and
using stem
cells in research.
2. Excess fertilized eggs from in vitro fertilization procedures
or from
insemination using donor ovum and sperm, shall neither be
used for
therapeutic purposes nor in stem cell research.
3. Male or female gametes taken from sperms or eggs may not
be donated
to produce fertilized eggs that can grow into a fetus for the
purpose of
generating stem cells therefrom.

4. Embryonic stem cells derived from aborted fetuses may be
used for
therapeutic purposes. Likewise, miscarried fetuses without any
signs
73
of life yet may be used in research or in scientific and
laboratory
experiments in accordance with observed Sharia rules in the
Kingdom.
5. In case of stillborn fetuses, embryonic stem cells may be
transferred
and used in research.
6. Stem cells of an adult human may be used, provided said
human is not
subject to any harm, and such stem cells can be used to treat a

patient,
and the expected benefit outweighs the possible harm.
7. Induced pluripotent stem cells, in which adult stem cells are
induced to
obtain pluripotent cells which can be developed into other kinds
of cells,
such as nerve cells and others, can be used solely at an
experimental
and animal level, provided the following conditions are
fulfilled:
a. The research is conducted at a research center affiliated with
a
government agency, or with the participation of the said
government
agency.
b. A written authorization is obtained from the local research

ethics
committee.
c. It is pledged in writing not to use these induced pluripotent
stem
cells on humans.
8. Embryonic cells and derivatives can be imported only from
the sources
permitted by these regulations, once the authorization of the
local
committee is obtained. Commercially available induced
pluripotent
stem cells can also be imported from scientifically recognized
sources.
Article (23.2)
It is prohibited to import the following stem cells:

1. Stem cells obtained from the insemination using a donor
ovum and a
donor sperm, performed to extract stem cells.
2. Stem cells obtained from deliberately aborted fetuses.
74
Article (23.3)
Cells can be used in clinical research (therapeutic research)
under the
following conditions:
1. A written authorization is obtained from the local research
ethics
committee.
2. A “Informed Consent” form is obtained from the human
subject

participant before the research project is initiated.
3. A written authorization is obtained from the Saudi Food and
Drug
Authority.
4. The expected benefit for the human subject and the extent to
which
it outweighs the possible harm shall be evaluated through a
clear and
thorough scientific assessment conducted by the investigator
and
submitted to the local committee.
5. The investigator or research team conducting the research
shall be
specialized and shall have sufficient scientific expertise and
competence.

6. Research objectives shall be clearly and accurately defined,
and
the research is preceded by sufficient experiments on animals if
the
nature of the research so requires; subject to the discretion of
the local
committee.
7. If the local committee finds that the potential harm for the
human
subject outweighs the expected benefit, it must refrain from
authorizing
the research project.
8. The local committee shall review periodic reports submitted
by the
investigator to ensure that the expected benefit continues to
outweigh

the possible harm.
9. The “Informed Consent” shall be obtained from the human
subject prior
to conducting the research and the information provided shall
contain a
full explanation of expected benefits and potential risks of the
research.
75
10. The investigator shall keep detailed records of the source of
stem cells
and the results of their use in the research, and shall submit
periodic
research reports to the local committee.
Article (23.4)

Stem Cell Banks may be established under the following
conditions:
1. A written authorization from the National Committee is
obtained.
2. The stem cell bank can only be established in a center
affiliated with a
government agency.
3. It is prohibited to send any stem cells to be stored outside the
Kingdom.
4. Stem cells stored in stem cell banks for therapeutic purposes
may
not be used for research purposes without the permission of the
local
committee and the stem cells’ owner’s consent;
5. An accurate and strict mechanism shall be set up to safeguard
all

information and data with the utmost safety and confidential ity.
6. Each sample shall be given a permanent identification label
specifying
its ownership. Information included in said label shall be
updated by
the principal investigator under the supervision of the local
committee.
76
77
Chapter Nine: Research on Inmates
Article 24
Prisoners, including those sentenced to death, shall be treated
like

other persons as regards conducting medical research on them.
The
Regulations shall specify ethical controls for conducting
research on
prisoners.
Article (24.1)
When serving as subjects in medical research, inmates, even if
sentenced
to death, shall not be treated differently. Their confinement may
not be
exploited to compel them to consent to be research subjects.
Article (24.2)
The local committee may not approve research on inmates
unless said
research aims to achieve any of the following:

1. Study the criminal behavior of inmates, provided the research
does not
expose them to more than the minimal potential risk;
2. Study conditions of prisons and inmates as well as prevailing
diseases
and identify the circumstances leading to crime;
3. Study administrative rules and operational procedures
applicable in
prisons, so as to improve health and living conditions of
inmates;
4. Inmates may not be subject to clinical research whether by
coercion or
inducement or for any purposes other than those set forth in this
Article.

78
79
Chapter Ten: Research on Special Cases
Article 25
Research may not be conducted on minors, incompetent or
disabled
persons unless the interest of these categories so requires. The
Regulations shall specify ethical controls for conducting
research on
said categories.
Article (25.1)
1. Research may not be conducted on minors, incompetent or
mentally

disabled persons without obtaining the “Informed Consent”
from
parents or the legal guardians in accordance with conditions set
forth
in the Law and Regulations, provided they are informed of the
level of
risk and its probability as well as the person’s assent.
2. Either parent or the legal guardian may grant the “Informed
Consent”
on behalf of minors, incompetent or mentally disabled persons
provided
his decision is based on the fact that the minor, incompetent or
mentally
disabled person is subject to no harm and may benefit from the
research.
3. After granting the “Informed Consent”, either parent or the
guardian

may withdraw the consent at any phase of the research if he
finds that
the research conflicts with the interests of the minor,
incompetent or
mentally disabled person or if the research deviates from the
objectives
upon which the consent was granted.
Article (25.2)
The local committee shall grant its approval for research on
minors,
incompetent or mentally disabled persons subject to the
following
conditions:
80

1. It is not possible to conduct the research on a competent
person;
2. The interest of the minor, incompetent or mentally disabled
person
requires subjecting him to the research, provided he is not
exposed to
more than the minimal potential risk;
3. The research protocol includes clear and appropriate
measures to
minimize potential risk as much as possible;
4. Evaluation of potential risk and expected benefit from the
research shall
indicate type, nature, degree and possibility of risk as well as
the direct
benefit for the minor, incompetent or mentally disabled person
subject

of the research and for similar persons;
5. The research shall be conducted in a school, camp, hospital,
or institution
where the majority of occupants are incompetent or disabled,
provided
the research subject belongs to this category.
Article (25.3)
If the local committee finds that the research in whole or in part
achieves a direct benefit for the minor, incompetent or mentally
disabled person but that its risk exceeds the minimal expected
level,
it may grant its approval to conduct the research pursuant to the
following conditions:
1. The potential risk shall be within acceptable levels in

accordance
with medical standards, if compared with expected benefits;
2. The ratio of the expected benefit shall exceed that of other
methods
available outside the scope of the research;
3. The research shall lead to a better understanding of an
important
problem that affects the minor, incompetent or mentally
disabled
person or his interest, help reduce such problem, or prevent
some
of its negative effects;
81
4. Obtaining the “Informed Consent” from either parent or from

the
legal guardian.
Article (25.4)
If the local committee finds that the research does not directly
benefit the
minor, incompetent or mentally disabled person but does not
expose him
to more than the minimal potential risk, it may approve the
research in the
following cases:
1. If he had given the “Informed Consent” when he was
competent or
before the disability occurred, and his legal guardian later gave
the
“Informed Consent”;

2. If precautionary measures taken for his protection are
adequate and
acceptable;
3. If there are sufficient reasons that make it possible to obtain
significant
information through the research for understanding the case
under study.
Article (25.5)
The local committee may, prior to giving its approval of
conducting
research on the minor, incompetent or mentally disabled person,
require
appointing a qualified lawyer experienced to handle such case.
Said lawyer
shall have no relation with the researcher or the institution
supervising and

funding the research and shall observe the interest of the minor
subject of
the research, in coordination with his parents or guardian.
Article (25.6)
The physically, but not mentally, disabled person shall be
treated as a normal
person, in terms of his responsibility for giving the “Informed
Consent”
and his understanding of research potential risks and expected
benefits.
82
Article 26
Pregnant women, fetuses and the product of pregnancy may not
be

used in research except in accordance with controls specified by
the
Regulations.
Article (26.1)
An investigator may not initiate any research on a pregnant
woman unless
the following conditions are satisfied:
1. Conduct appropriate studies, when possible, on animals and
non-
pregnant women that confirm the safety of methods and means
of research, provided the results of such research are published
in
internationally recognized scientific journals in accordance with
the
provisions of the Law and Regulations;

2. The level of risk the research project poses to pregnant
woman or her
fetus does not exceed the minimum risk level;
3. The investigator shall not have any role in deciding how and
when the
pregnancy will be terminated or whether the fetus can survive
after
termination of pregnancy;
4. The research shall not lead to a change in pregnancy
termination
procedure if such change leads to more than the minimum level
of risk
to the pregnant woman or her fetus;
5. The research project aims to provide health requirements for
the
pregnant woman and her fetus and acquire information that

cannot
otherwise be obtained;
6. The principal investigator shall comit not to offer any type of
reward in
return for termination of pregnancy for research purposes;
7. Obtain the “Informed Consent” from both the pregnant
woman and her
husband.
83
Article (26.2)
No research on fetuses may be initiated unless the following
conditions are
satisfied:

1. The research shall not harm or endanger the life of the fetus;
2. The research project shall aim to provide health requirements
for the
fetus and to acquire information that cannot otherwise be
obtained;
3. No research may be conducted on a living fetus unless it is
nearly
certain that its life is threatened or that the level of risk the
fetus may
face in case it remains in the uterus could be lessened, provided
there is
no safer means to achieve the same.
Article 27
Cells, tissues and derivatives of human sperms, gametes and
zygotes
may not be transported or exploited for the purpose of research

except in accordance with conditions and restrictions laid down
by the
National Committee.
Article (27.1)
The National Committee shall set controls required for transfer
and use
of cells, tissues and derivatives constituents of human sperms,
gametes
and zygotes for research purposes. Said controls shall be
reported to the
Research Ethics Monitoring Office and local committees to
abide by.
Article 28
Fetuses may not be cloned for the purpose of obtaining
embryonic stem

cells, nor may male or female gametes taken from sperms or
eggs be
donated to produce fertilized eggs that can grow into a fetus for
the purpose
of generating stem cells therefrom and conducting research
thereon.
84
Article (28.1)
The National Committee shall monitor institutions where
fertilized eggs
are produced to ensure their compliance with the provisions of
the Law
and Implementing Regulations and instructions issued by the
National
Committee.

Article 29
Banks for preserving reproductive male or female cells with the
intent
of conducting research thereon may not be established.
Article 30
Organs and tissues of fetuses aborted before reaching one
hundred
twenty days may be used in research and experiments in
accordance
with controls and conditions set forth in the Regulations.
Article (30.1)
Research may be conducted on a pre-quickening stillborn fetus,
if deemed
necessary by the local committee, provided the research project
is beneficial

and contributes to the progress of applied sciences.
Article (30.2)
Samples may be taken from a stillborn fetus upon obtaining
approval of
the local committee, provided said samples are legally stored at
approved
gene banks.
Article (30.3)
1. Research may be conducted on products of conception if the
two
following conditions are satisfied:
85
a. It is established through a medical report signed by two

consultant
physicians, upon medical examination of products of
conception,
that it has no chance for survival;
b. The conditions set forth in the Law and Regulations
regarding
research on the minor, incompetent or mentally disabled person
shall be applied.
2. Research may be conducted on products of conception if said
research
aims to improve fetus chances of survival and obtain important
information that may not be otherwise obtained, unless there is
additional risk to the products of pregnancy.
Article (30.4)

If the research is conducted on an aborted or miscarried fetus,
the following
controls shall be observed:
1. Obtain the “Informed Consent” from the woman and her
husband in
accordance with the provisions of the Law and Regulations as
well as
controls and procedures set by the National Committee in this
regard;
2. The woman and her husband shall be informed of the
methodology
used in the research on the aborted or miscarried fetus and
whether
there is an intention to store tissues taken therefrom to be used
later for
research;

3. Only miscarried and lawfully aborted fetuses according to the
Law of
Practicing Healthcare Professions may be used in research.
86
87
Chapter Eleven: Dealing with Genetic Material and its Banks
Article 31
A central data bank shall be established within KACST for the
purpose of maintaining information related to genetic material
and
regulating use thereof in accordance with procedures specified
by the

Regulations. Said bank shall provide information for research
using
genetic material in the Kingdom.
Article (31.1)
The Central Data Bank and the local gene banks shall provide
parties
concerned with information available on different diseases
affecting
individuals, families or the community, subject to maintaining
the privacy
of the genetic material source and barring the possibility to
identify the
source of the sample.
Article (31.2)
The investigator shall maintain the confidentiality of research
conclusions,

and not identify their source.
Article (31.3)
When conducting research on genetic material, the following
shall be
observed:
1. Islamic values, local culture and environmental safety;
2. Applicable and internationally recognized practices relating
to
conducting research on genetic material.
88
Article (31.4)
Results of the research on genetic material shall be the property
of the State.

Neither the researcher nor the institution may provide said
results to any
internal or foreign body without permission from the National
Committee,
provided the material and scientific rights of the researcher or
research
team and the research subject are preserved.
Article (31.5)
The local genetic material biobank shall provide the Central
Data Bank
with an annual report including the following data:
1. A classified list of genetic material available at the local
bank, indicating
date of acquisition and use;
2. A list of genetic materials withdrawn from the local bank,

indicating
date of withdrawal and investigator or institution using it;
3. A summary of research conducted on samples withdrawn
from the local
bank and used.
Article 32
When setting up local data banks for the preservation of genetic
material, establishments conducting research on such genetic
material shall comply with conditions and procedures specified
by the
Regulations.
Article (32.1)
Prior to initiating research on genetic samples, the investigator
or research

team shall observe the following procedures:
1. Set a detailed plan including, but not limited to, research
objectives,
study approach, expected results and risks, and submit the same
to the
89
local committee;
2. Explain to the donor, if known, the subject and nature of the
research,
expected results, and potential risks, particularly if the research
has an
unclear genetic therapeutic nature provided that the research
plan is
accompanied with proof thereof;

3. Obtain the “Informed Consent” according to the Law and
Regulations.
Article (32.2)
The National Committee shall specify the data to be included in
the
“Informed Consent” form for research conducted on the sample
of genetic
material.
Article (32.3)
Prior to approval of the research on genetic material, the local
committee
shall take the following measures:
1. Carefully review and verify the research protocol and ensure
that it
contains appropriate laboratory tools and techniques as well as
all

prevention and sterilization measures required in such cases;
2. Ensure that the investigator or research team has the
necessary expertise
to conduct the research;
3. Ensure that the research project contributes to knowledge on
genes
relating to the community and adds new scientific contribution
to
previous research, and that it seeks to develop and improve
scientific
standards and health conditions of different categories of the
community;
4. Verify that the investigator or research team applies adequate
scientific
methods and precautions to prevent escape of living organisms
from

research laboratories if research includes conducting
experiments on
microbes such as genetically modified bacteria or bacteria that
will be
90
genetically modified for the purpose of research.
Article (32.4)
1. In case of conducting therapeutic research on the genetic
material of
animals or humans, the research objective shall be limited to
finding
treatment for genetic defects or diseases, provided the research
is
conducted on somatic and stem cells only;

2. In all cases, no research may be conducted on reproductive
cells for the
purpose of modifying natural human characteristics;
3. Except for the provisions set forth in paragraphs 1 and 2
above, the
genetic treatment research shall be subject to controls and rules
applied
to clinical research as well as laws and controls issued by the
National
Committee.
Article 33
The same genetic sample may not be subject to multiple use in
research
projects of different purposes without obtaining an informed
consent

for each purpose except if such use is not related to the source
person,
provided this is approved by the local committee.
Article (33.1)
The same genetic sample may not be used in multiple research
projects
of different purposes without obtaining an “Informed Consent”
for each
purpose, unless the following two conditions are satisfied:
1. The sample was previously obtained for diagnostic purposes
and was
retained for a time sufficient to preclude identification of the
source by
the investigator;
2. Obtain the approval of the local committee.

91
Article 34
The researcher shall observe the privacy and confidentiality of
information related to those from whom the research samples
have
been collected.
Article (34.1)
The principal investigator shall be responsible for maintaining
the privacy
and confidentiality of information related to donors and shall be
liable for
any damage sustained by the donors or the community.
Article (34.2)

If local or international researchers are invited to conduct joint
research on
genetic material, the institution and principal investigator shall
emphasize
the necessity of observing the privacy and confidentiality of
information
related to donors in accordance with the provisions of the Law
and
Regulations.
Article 35
The local committee may restrict the researcher’s use of
research
results on genetic material if said results harm public interest,
provided
the National Committee approves the same.
Article (35.1)

The local committee may restrict the principal investigator’s
use of research
results on genetic material if publishing said results would harm
public
interest, subject to the approval of the National Committee.
92
Article (35.2)
If prevented from using results of his research, the investigator
may claim
indemnification for research expenses from the institution.
Article 36
Research with negative impacts on society may not be
conducted,

especially research reinforcing racial discrimination.
Article (36.1)
Conducting research on diseases that are particular among a
certain
group for the purpose of treatment and understanding of
mechanisms of
transmission of said diseases may not be construed as promoting
racial
discrimination.
Article (36.2)
Scientific results shall not be leaked to the media if this could
lead to
promoting discrimination on the basis of race or family or tribal
affiliation.
Article 37

The Regulations shall specify the ethical controls and criteria of
genetic
treatment research.
Article (37.1)
The following ethical controls and criteria shall be complied
with when
conducting genetic treatment research:
1. A written approval shall be obtained from the National
Committee in
all matters related to gene therapy research;
2. Gene therapy research shall be subject to controls and
provisions set
93
forth in the Law and Regulations and provisions set by the

National
Committee;
3. The research shall be consistent with the provisions of
Shari’a, and
the research plan shall include proof of taking such provisions
into
consideration;
4. The research shall comply with the controls and criteria set
forth in
international agreements related to gene therapy and
amendments
thereto, without prejudice to Shari’a rules and provisions;
5. Said research shall be limited to incurable diseases affecting
human
life, which have not yet been successfully treated by
conventional

medical methods;
6. Prior to approval of research, it shall be ascertained that all
available
treatment options have been exhausted;
7. The local committee evaluating this type of research shall
comprise at
least two persons with scientific competence to evaluate gene
therapy
research. The local committee may invite experienced
consultants to
attend its meetings to help evaluate the research project;
8. Gene therapy research shall be conducted in qualified
hospitals and
research centers with required medical specializations, as well
as

experienced and qualified staff;
9. The research plan shall include a detailed description of
research
objectives, methodology, expected benefits, difficulties, risks
and
health complications for the human subject;
10. The research shall be based on scientific principles, and
preceded by
sufficient laboratory experiments and animal testing;
11. The expected benefit from the research shall outweigh any
potential
risks;
12. The research shall be conducted by a qualified investigator
specialized

94
in genetic medicine and assisted by a highly efficient medical
team.
Said investigator shall be well versed in genetic and scientific
material
related to the subject of the research;
13. Gene therapy may not be carried out for research purposes
on gametes
(sperms and ova) or experimental research on stem cells
obtained from
fertilized zygotes or related to reproductive cloning;
14. Handling of genetic material in research, storage and
disposal thereof,
as well as collaborative research with centers abroad shall be in
accordance with the controls set forth in the Law and
Regulations.

95
Chapter Twelve: Use of Animals and Plants in Experiments
Article 38
1. Animals may be used for research employing all experimental
or
scientific means not causing unusual pain to the animals.
2. Use of animals shall be restricted to research whose
objectives
cannot be realized without such use.
3. Endangered animal species may not be subject to negative
use.
The Regulations shall specify ethical conditions and procedures
for use

of animals in research.
Article (38.1)
Animals may be used in scientific experiments where research
objectives
cannot be otherwise realized.
Article (38.2)
When conducting research on animals, the investigator shall
comply with
the following:
1. Sharia provisions related to humane treatment of animals.
2. Scientific principles and conventions governing experimental
practices
on animals.
3. A license must be obtained from the local committee to
conduct research

on animals according to the licensing procedures of the National
Committee.
4. The approval of the local committee to commence the
research must
be obtained.
5. It must be verified that previous cell research was conducted
before
conducting research on animals when needed.
96
6. Usage must be limited to the minimum number of animals
required to
achieve research objectives.
7. Potential harm to and suffering of animals must be minimized

as much
as possible.
8. Observing that the expected results and desired benefits from
the
research outweigh any risks and harms to the animal subject of
the
research or the environment in general;
9. The appropriate animal must be selected to provide credible
information
and results.
10. Practice shall be subject to appropriate and acceptable
scientific and
experimental principles.
Article (38.3)
To obtain approval to conduct research on animals, any of the

following
shall be satisfied:
1- To Prevent, diagnose or treat a disease or a deformity that
must
be rectified or whose effects must be removed;
2- To explore animal physiology;
3- Protection of the natural environment as well as general
health
of humans or animals;
4- Achievement of scientific advancement in biological
sciences;
5- Contribution to forensic research;
6- Improvement of animal breeding methods and management;
7- Conduct preliminary research on pharmaceutical substances,

toxins and radioactive effects.
Article (38.4)
When reviewing research proposals involving animal and plant
experiments,
97
the local committee must verify that the research proposal
includes the
following mandatory elements:
1. Principal investigator and research team credentials,
2. Animal/plant species used for the experiment, source and
quantity.
3. Any agreements with other parties related to the experiment,
or to the
experiment’s results.

4. A detailed account of the locations where the experiment will
be carried
out to conduct field visits when necessary.
5. The system of identification used to distinguish the animals
and plants
used in the experiment, and the system used to save the
information and
data related to every animal or plant in the experiment’s
records.
6. Emergency and hazards management plans.
7. Means and mechanism for the disposal of the experiment’s
components.
8. System used to save all data and information resulting from
the
experiment in dedicated databases.

9. The authorizations of relevant authorities when needed.
Article (38.5)
When reviewing research proposals resulting in pain and
suffering of
animals, the local committee must thoroughly assess the
proposal, and
confirm that:
1. The experiment is not prohibited or restricted by
international or
regional conventions or rulings where the Kingdom of Saudi
Arabia is
a party or a signatory.
2. There are no other possible alternatives to achieve the same
required results.
3. The research team is fully competent and qualified, and the
tools ,

materials and laboratory environment of the experiment are
perfectly
adequate.
98
Article (38.6)
The research protocol shall take all measures necessary to
prevent animal
suffering, using the minimum number of research animals which
have a
low level of neurological or physiological sensation.
Article (38.7)
Artificial hybridization may not be conducted except between
animals of

the same species, even if breeds are different, provided that the
expected
benefit outweighs the risks and that such risks can be prevented
or controlled.
Article (38.8)
Animals may not be cloned unless medically proven safe as per
a medical
report approved by at least two specialists.
Article (38.9)
Transplant of animal fetuses shall be subject to the same
conditions
governing the process of artificial insemination set forth in
Article (38.7).
Article (38.10)
Banks for preserving animal sperms or eggs for production or
research

purposes may be established, without prejudice to rules of
artificial
insemination.
Article (38.11)
Research and experiments causing pain to animals may not be
conducted
unless the following two conditions are satisfied:
1. The investigator is well versed in physiology, and the
research or
experiment is beneficial to science, such as leading to the
discovery
99
of disease or treatment that can help combat diseases and
ailments,

protecting health and the environment.
2. The investigator shall obtain local committee approval.
Article (38.12)
Pain-causing research and experiments on animals must be
conducted under
anesthesia unless this undermines research objectives, at the
discretion of
the investigator.
Article (38.13)
In all cases, upon completion, the animal subject of research
shall be
disposed of while under anesthesia, in accordance with the
provisions of
Shari’a.

Article (38.14)
Animals earmarked for experimentation shall be disposed of if
they contract
an infectious disease other than the one under study. However,
if it is possible
to treat such animals, this shall be carried out in isolated places,
and all
procedures of epidemic quarantine shall be enforced under the
supervision
of the veterinarian in charge. The disease and the measures
taken for its
control or treatment shall be reported to the competent
authorities.
Article (38.15)
1. No research or experiment may be conducted on animals for
the purpose

of acquiring skills or practical training without using
anesthetics except
in cases where the animal is not subject to severe pain or
torture;
2. Research and experiments may be conducted on animals for
the purpose
of demonstration and explanation to students, provided it is
undertaken
100
by a qualified person and the said research or experiment is
necessary
to explain theoretical information and furnish students with
useful
scientific knowledge.
Article (38.16)

Endangered animal species may not be used in research or
experiments
unless said research or experiments are required for breeding or
preservation
of species. The approval of the Monitoring Office shall be
obtained before
conducting the research.
Article (38.17)
Painful or harmful methods may not be used in hunting wild
animals for
the purpose of research.
Article (38.18)
Captured animals shall be subject to quarantine in their natural
habitat
before being moved to the research unit wherein they are to be

quarantined
once again before conducting the research. The National
Committee shall
set conditions for the quarantine and its duration.
Article (38.19)
Wild animals may not be used in scientific research except in
the following
cases:
1. If it is impossible to achieve study objectives by using other
alternatives;
2. Increase the number of animals subject of the research and
protect them
from extinction without affecting their genetic nature;
3. Detect whether the animal subject carries any zoonotic or
epidemic

diseases or immunize said animal to prevent spread of such
diseases.
101
Article (38.20)
Upon completion of the research and ascertaining the well-being
of the
research animal, it shall be released and returned to its original
habitat,
whenever possible.
Article (38.21)
1. Wild animals foreign to the Kingdom’s wildlife may not be
introduced
thereto for the purposes of research;
2. Wild animals may not be returned to their habitat after being

genetically
modified;
3. No research may be conducted to increase the population of
certain
species of wild animals at the expense of other speci es unless
said
species is in danger of extinction.
Article (38.22)
For capturing terrestrial and marine animals for the purposes of
research,
a permit from the relevant authority indicating the term of the
license, and
type of animal shall be obtained, without prejudice to the
hunting laws in
the Kingdom.

Article (38.23)
Animals or products thereof exposed to chemical, biological or
genetic
substances for the purposes of research may not be consumed,
sold or given
away. Said animals as well as wastes and products thereof shall
be disposed
of through established scientific practices under veterinary
supervision.
Article (38.24)
The institution licensed to conduct research on animals shall
have facilities
102
for the care of experimental animals, comprising the following:

1. Enclosures for the care of experimental animals appropriately
equipped
for animal living conditions;
2. A person qualified to monitor animal safety and health and
care for
animals prior to commencement of research;
3. Fully equipped laboratories appropriate for conducting
experiments
and reaching sound scientific results.
Article (38.25)
The institution licensed to conduct research on animals shall
submit an annual
report to the Monitoring Office, including: activities,
experiments conducted,
numbers, types and sources of animals used, results of each
experiment, and

destruction procedures, pursuant to forms prepared for this
purpose.
Article (38.26)
Persons licensed to conduct experiments on animals as well as
institutions,
places and experiments shall be monitored by the Monitoring
Office.
Article (38.27)
The National Committee shall set up rules and controls
governing use
of animals in research experiments in matters not provided for
in these
Regulations.
Article 39
Plants may not be used in research that upsets environmental

balance
and distribution of vegetation. Endangered plant species may
not be
subject to negative use. The Regulations shall specify ethical
terms and
procedures of research on plants.
103
Article (39.1)
No research may be conducted on endangered plants unless it is
necessary
for reproduction or preservation of plants. The approval of the
Monitoring
Office shall be obtained prior to conducting the research.
Article (39.2)

Persons licensed to conduct experiments on plants as well as
institutions,
places and experiments shall be subject to auditing by the
Monitoring
Office, without prejudice to laws pertaining to food, drugs, and
agriculture
as well as Wildlife Reserves Law and the Law of Fishing,
Investment and
Protection of Marine Life in Territorial Waters and all relevant
laws and
regulations in the Kingdom
Article (39.3)
Penalties set forth in the Law and Regulations shall be imposed
on any
person violating controls and provisions therein according to
the jurisdiction

of the National Committee.
Article 40
If research includes conducting genetic modification
experiments on
Living Creatures, the investigator shall take all necessary
measures to
prevent their escape from research laboratories.
Article (40.1)
Genetic modification research on animals and plants shall be
conducted in
laboratories designated for this purpose, provided all measures
are taken to
prevent escape of genetically modified creatures.

104
Article (40.2)
Microorganisms subject to the research and their outcome shall
be disposed
of through standard scientific procedures.
105
Chapter Thirteen: Violation Review Committee
Article 41
KACST President shall designate inspection employees in
charge of
detecting violations of the provisions of this Law and its
Regulations in
accordance with procedures specified by the Regulations.

Article (41.1)
Inspection employees, named pursuant to a decision by KACST
President,
shall be in charge of detecting violations of the provisions of
the Law and
Regulations, without prejudice to the authority of the
Monitoring Office
and the local committee with regard to detection of such
violations.
Article (41.2)
For the purpose of detecting violations of the provisions of the
Law and
Regulations, the inspection employees may enter and inspect
institutions
licensed under the Law, examine records and documents,
request necessary

data, and question employees therein. Institution owners and
officials shall
facilitate the work of the inspection employees.
Article (41.3)
Inspection employees shall record every violation in an official
report
including name of violator or violating institution as the case
may be, a
description of the violation, time of detection, recording of any
relevant
sample, paper, or document seized therein. The report shall be
signed by
the relevant inspection employee and the violator. If the
violator refuses to
sign, such incident shall be recorded in the report.

106
Article (41.4)
The violator shall be notified of the detected violation in
writing.
Article 42
a- A committee shall be formed pursuant to a decision by
KACST
president to review violations of the provisions of this Law and
decide
appropriate penalties, except for imprisonment, according to
this Law.
Said committee shall determine amount of damages for private
claims.
The committee shall comprise the following:
1. A Sharia counselor named by Minister of Justice

Chairman
2. A faculty member of a Saudi medical college, of a rank not
lower than associate professor, named by the Minister of Higher
Education
Member
3. A researcher specialized in genetic material, of a rank not
lower than associate professor or equivalent, selected by
KACST President
Member
4. A qualified and experienced researcher specialized in
bioethics,
selected by KACST President
Member
5. A legal counselor selected by KACST President
Member

6. A faculty member of a Saudi university specialized in
zoology, of
a rank not lower than associate professor, named by the
Minister
of Higher Education
Member
7. A faculty member of a Saudi university specialized in
botany, of
a rank not lower than associate professor, named by the
Minister
of Higher Education
Member
Said committee may seek the assistance of one or more experts
as
regards the issue in question.
b- The committee seat shall be at KACST in the city of Riyadh.
Similar

107
committees may be established the Kingdom’s provinces
pursuant to a
decision by KACST President.
c- Remuneration of committee chairman and members shall be
determined in the Regulations according to applicable laws,
decisions
and directives.
d- The Regulations shall determine committee rules, procedures
and
meetings.
e- Committee term of membership shall be three renewable
years. If a

member is unable to complete his term for any reason, a
replacement
shall be appointed in the same manner the replaced member was
appointed.
f- The committee shall convene if attended by two-thirds of its
members
upon a call by the Chairman as needed. Committee resolutions
shall
pass by majority vote of attending members. In case of a tie, the
Chairman shall have the casting vote.
Article (42.1)
One or more committees shall be formed pursuant to a decision
by KACST
President to review violations of the provisions of the Law and
Regulations,

upon nomination of members of said committee(s) by competent
bodies in
accordance with Article 42 of the Law.
Article (42.2)
Violation Review Committee term of membership shall be three
renewable
years. If any member is unable to complete his term for any
reason, or if he
declares his wish to discontinue his committee membership, or
if he fails
to attend three consecutive or seven non-consecutive meetings
within the
same year without an excuse acceptable to KACST President, a
replacement
108

shall be appointed in the same manner the replaced member was
appointed
to fill out the remainder of his term.
Article (42.3)
The Violation Review Committee chairman shall manage its
affairs and
head its meetings, and committee members shall deliberate in
camera.
Article (42.4)
The Violation Review Committee shall particularly perform the
following
tasks:
1. Review claims submitted thereto by KACST representative of
public
prosecution against violators of the provisions of the Law and

Regulations;
2. Decide appropriate penalty from among the penalties set
forth in
Article 44 of the Law, except for imprisonment, against the
violator
after hearing his statements and reviewing his defense;
3. Submit a recommendation to KACST President for referral of
violators
to the competent court if the committee finds that the violation
detected
requires a penalty including imprisonment. KACST President
shall
refer the case to the Bureau of Investigation and Prosecution to
submit
it to the competent court;
4. Review compensation claims filed therewith by civil suit

claimants
and estimate the appropriate compensation if deemed
justifiable, after
hearing the defendant;
5. Compel the violator to publish the decision text at his
expense in at least
three local newspapers, one of which at least is published in the
region
where he resides. If no such newspaper is published in the
region, the
decision shall be published in the newspaper published in the
nearest
region.
109

Article (42.5)
The Violation Review Committee shall hold its meetings at
KACST upon
a call by its Chairman as needed, and may, if necessary, hold its
meetings
at any other place with the approval of KACST President.
Committee
meetings shall not be valid unless attended by two thirds of its
members,
including the chairman. Committee resolutions shall pass by
majority vote
of attending members. In case of a tie, the Chairman shall have
the casting
vote.
Article (42.6)
Violation Review Committee members shall be notified of each

meeting
date at least ten days prior to the meeting, and meeting
proceedings shall
be recorded in special minutes set for such purpose.
Article (42.7)
The Violation Review Committee may seek technical assistance
from
specialists or experts with regard to an issue before it, provided
the letter
sent to said specialists or experts specifies the remuneration.
Article (42.8)
In a compensation claim, if the claimant requests technical
assistance from
any agency with experience, the Violation Review Committee
may, at its

discretion, approve his request and refer the claim papers to
said agency.
Article (42.9)
The Violation Review Committee may summon any of KACST
personnel
whose presence it deems necessary to seek advice on matters
filed therewith.
110
Article (42.10)
The Violation Review Committee may, if necessary, approach
public and
private agencies as regards any of its affairs.
Article (42.11)

The Violation Review Committee may take any measures
necessary to
proceed with claims filed with it. It may itself conduct the
inspection or
delegate a member for this purpose, provided said member
submits an
inspection report.
Article (42.12)
The Violation Review Committee shall have a secretary
appointed pursuant
to a decision by KACST President.
Article (42.13)
The secretary shall manage the technical and administrative
affairs of
the Violation Review Committee, and shall particularly
undertake the

following duties:
1. Prepare committee minutes and arrange its meetings;
2. Coordinate between the committee and parties concerned
from within
and outside KACST, including meeting dates and notification of
notices
and decisions;
3. Perform typing, copying, and archiving tasks and save and
retrieve
files;
4. Keep a file for violations which includes the following:
a. Violations with serial numbers;
b. Name of violator;
c. Date of receipt of violation report;

111
d. Description of violation;
e. Penalty imposed by the committee, and penalty decision and
date
thereof;
f. Decision of the Board of Grievances with regard to the
violation in
case of an appeal.
Article (42.14)
1. The Violation Review Committee shall consider public suits
and notify
the violator of the date of hearing at least ten days in advance.
The

notification shall include a description of the violation; date,
time and
place of scheduled hearing, summoning the violator or his
representative
to appear before the committee and present his defense.
2. The Violation Review Committee may not consider public
suits for a
violation after the elapse of more than one year after detection
without
taking any action.
Article (42.15)
The Violation Review Committee shall consider civil suits and
notify the
defendant of the date of hearing at least ten days in advance.
The notification
shall include a copy of the petition and any other documents

submitted by
the claimant; date, time and place of the hearing, summoning
the defendant
or his representative to appear before the committee and present
his defense.
Article (42.16)
If the defendant or his legal representative fails to attend the
first hearing,
the Violation Review Committee shall adjourn the hearing and
notify
the defendant of the new hearing date. If the defendant fails to
attend a
second time, though properly notified, the Violation Review
Committee
112

may proceed with the consideration of the case as if he was
present. The
defendant shall be deemed present if he attends one hearing and
fails to
attend the rest of the hearings.
Article (42.17)
The secretary of the Violation Review Committee shall draft the
hearing
minutes under the supervision of the hearing chairman, provided
the
minutes include names of attending members, place and time of
the hearing,
names of attending parties to the suit or their representatives,
all hearing
proceedings, as well as statements and defenses of parties. The
minutes

shall be signed by the committee chairman, members, secretary
and parties
to the suit or their representatives.
Article (42.18)
If the Violation Review Committee finds that the violation
considered
includes a crime punishable by other laws, it shall refer the
criminal case to
the competent agencies to take legal action, in accordance with
said laws,
and shall decide the violation under consideration unless it
finds that either
violation cannot be decided separately from the other.
Article (42.19)
Decisions of the Violation Review Committee shall be reasoned

and shall
include a rebuttal of all defenses raised by parties to the suit. A
committee
member (or the chairman) adopting a different opinion shall
include said
opinion in the minutes with the reasons thereof.
Article (42.20)
The Violation Review Committee secretariat shall notify the
parties
113
concerned of committee resolutions by official letters delivered
to them
or their legal representatives, provided that the notification
letter includes

the following text: “A party against whom a committee decision
has been
issued may appeal before the Board of Grievances within sixty
days from
date of notification.”
Article (42.21)
Procedures of the Board of Grievances shall apply to matters
not provided
for in the Violation Review Committee Procedures.
Article (42.22)
An aggrieved party may appeal Violation Review Committee
decision
before the Board of Grievances within sixty days from date of
notification
thereof.

Article (42.23)
Remuneration of Violation Review Committee’s chairman and
members
shall be determined according to Regulations of Joint
Governmental
Committees and their Work Procedures issued pursuant to Civil
Service
Council Decision No. (1/1270) dated 21/11/1428 H approved by
wired
High Order under No. (3759/MB) dated 12/6/1432 H.
Article 43
Public prosecution before the committee shall be carried out by
competent personnel designated by KACST President.
Article (43.1)
One or more public prosecution representatives shall be

appointed pursuant
114
to a decision by KACST President to file suit and litigate before
the
Violation Review Committee against violators of the Law and
Regulations.
Article (43.2)
Based upon the contents of the violation detection report, the
public
prosecution representative shall file the public suit before the
Violation
Review Committee.
Article (43.3)
The Violation Review Committee shall consider the suit without

delay,
and if it is necessary to consider the suit in more than one
hearing, the
committee shall notify the parties concerned of the date, time
and location
of each hearing.
115
Chapter Fourteen: Penalties
Article 44
Without prejudice to any severer penalty prescribed by other
laws, a
person violating any provision of this Law shall be subject to
one or
more of the following penalties:

1. Warning,
2. Suspension of research until the effects of the violation are
rectified;
3. Barring the researcher from conducting the research subject
of the
violation;
4. A fine not exceeding two hundred thousand (200,000) riyals;
5. Imprisonment for a period not exceeding six months.
Article (44.1)
The National Committee may warn the researcher, the
institution, or both
if it finds that the violation committed does not require a
severer penalty,
taking into consideration that repeating the violation may
require additional

penalties at the discretion of the committee.
Article (44.2)
If the penalty is a suspension of research, the suspension period
shall not
exceed two years. If the violation is not rectified, the research
shall be
cancelled.
Article (44.3)
The National Committee may bar the principal investigator from
conducting
the research subject of the violation, or from practicing any
other activity
that may affect the research.

116
Article (44.4)
The National Committee may impose a fine not exceeding two
hundred
thousand (200,000) riyals on the researcher, the institution, or
both if
violation is established.
Article (44.5)
If the National Committee finds that the violation committed
requires
imprisonment, it shall take Article (45.1) into consideration.
Article 45
If the committee decides to impose a penalty including
imprisonment, a

recommendation to this effect shall be submitted to KACST
President
for referral to the competent court.
Article (45.1)
The Committee shall recommend an imprisonment term
appropriate to the
violation committed and state reasons for not imposing a lesser
penalty.
Article 46
The committee may include in the final penalty decision
publication of
the decision text at the expense of the violator in not more than
three
local newspapers, one of which at least is published in the
region where
he resides. If no such newspaper is published in the region, the

decision
shall be published in the newspaper published in the nearest
region.
Article (46.1)
A copy of the decision shall be delivered in person or through
registered
mail to the person against whom the penalty decision was
issued.
117
Article (46.2)
If it is decided to publish the violation text in newspapers, it
shall be noted
that the researcher deliberately committed the violation or
insisted on

committing it.
Article 47
An aggrieved party may appeal the penalty decision before the
Board
of Grievances within sixty days from date of notification.
Article (47.1)
Provisions of Article (42.22) of these Regulations shall be taken
into
consideration.
118
119
Chapter Fifteen: Concluding Provisions

Article 48
KACST President shall issue the Implementing Regulations of
this
Law within ninety days from date of publication of this Law.
Article (48.1)
These Regulations shall be published in the Official Gazette,
and shall enter
into force as of its publication date.
Article (48.2)
No amendments to these Regulations may be made except in the
same
manner they were issued.
Article 49
This law shall enter into force ninety days from the date of its

publication
in the Official Gazette.
Article 50
Existing establishments shall fulfill necessary conditions and
requirements and adjust their status within ninety days from the
effective date of this Law.
Article (50.1)
If the institution fails to rectify its status in accordance with the
conditions
and requirements stipulated in the Law and Regulations within
the ninety-
day period set forth in Article 50 of this Law, it shall be barred
from
conducting research.

120
Article 51
This Law shall supersede all other provisions conflicting
therewith.
..... The End .....
121
King Abdulaziz City for Science and Technology
T :+966 11 4813805
F: +966 11 4813860
P.O.Box 6086

Riyadh 11442
E-mail: [email protected]
Website: http://bioethics.kacst.edu.sa
N
ational C
om
m
CBE)
Im
plem

1437H
- 2016
King Abdulaziz City for Science
and Technology
Tel : 011 4883555 - 011 4883444
Fax : 011 4883765
P. O. Box 6086 Riyadh 11442
Kingdom of Saudi Arabia
KACST Publications : publications.kacst.edu.sa
Email: [email protected]
KACST Printing Press
NO: 330201
www.kacst.edu.sa
Composition of the Committee
Enforcement of the royal decree. No. 7 / B / 9512 on 18/05/1422
H, under the title
of :( National Committee of Bio and Medical Ethics), which
later changed to (the
National committee of Bioethics), by the Royal Decree No. (M /
59) on 14/09/1431

H, mandating to approve the law of research ethics on living
creatures, which
aims to monitor the implementation of the bioethics research
standards, for im-
provement establish health, preventive, diagnostic, therapeutic
and psychological
aspects with respect for human dignity, justice, and
beneficence, and maintaining
individuals rights, communities as consistent with the Islamic
law, traditions and
customs of the kingdom. Its mandates include bioethics research
ethics and it
applications that take place in hospitals, universities, and
research institutes, as
well as to related public and private entities.
Law and Regulation
Royal Decree No. (M / 59) on 14/09/1431 H, was issued
approving the law of
research ethics on living creatures, which was prepared by the
National Commit-
tee of Bioethics. It aims to develop general principles and
necessary regulations
to deal with living creatures, or parts, or there of genetic
material in the field of

research, in the light of professional ethics and in a manner
compatible with the
Sharia. It consists of fifteen chapters organized by topics and
situations that are
governed by the law.
It issued after approval of the President of the King Abdulaziz
City for Science
and Technology (KACST), upon perusal of Article Forty-eighth
of the implementing
Regulations of the law, and detailed explanation of the
regulations and proce-
dures under the law.
King Abdulaziz City for Science and Technology
T :+966 11 4813805
F: +966 11 4813860
P.O.Box 6086 Riyadh 11442
E-mail: [email protected]
Website: http://bioethics.kacst.edu.sa
N
ational C
om

m
CBE)
Im
plem
1437H
- 2016
1437H - 2016
on Living Creatures
Second Edition

King Abdulaziz City for Science
and Technology carries out
a number of tasks being
assigned to it to establish
an ecosystem for supporting
and promoting science,
technology and innovation,
which places Saudi Arabia
in the ranks of developed,
knowledge-based countries
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