SECTION 4 CONTINUOUS PROCESS IMPROVEMENT MODEL ASU's 7-Step Model Overview 79 Step 1. Define Process and Stakeholders' Expectations Determine Beginning, End, and Major Steps of the Process Identify Stakeholders to Interview Determine Stakeholders' Expectations 83 Step 2. Develop Issue Statement and Performance Measure Display Information Gathered from Stakeholders in a Usable Form Identify How the Stakeholder Measures Improvement Define One Issue of Primary Concern to the Stakeholder 89 Step 3. Analyze Causes of Problems Examine Why Problems Occur Collect Data Analyze Data 101 Step 4. Identify/Select Solutions Develop Possible Solutions Analyze Solutions for Feasibility Benchmarking 109 Step 5. Develop Implementation Plan 118 Step 6. Implement Solutions 125 75
Transcript
SECTION 4CONTINUOUS PROCESS IMPROVEMENT MODEL
ASU's 7-Step Model Overview 77
Step 1. Define Process and Stakeholders' ExpectationsDetermine Beginning, End, and Major Steps of the ProcessIdentify Stakeholders to InterviewDetermine Stakeholders' Expectations
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Step 2. Develop Issue Statement and Performance MeasureDisplay Information Gathered from Stakeholders in a Usable FormIdentify How the Stakeholder Measures ImprovementDefine One Issue of Primary Concern to the Stakeholder
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Step 3. Analyze Causes of ProblemsExamine Why Problems OccurCollect Data Analyze Data
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Step 4. Identify/Select SolutionsDevelop Possible SolutionsAnalyze Solutions for FeasibilityBenchmarking
The continuous improvement model (CIM) provides a logical approach to improvement and problem solving. The steps are based on proven tools used by many private and public organizations. While there are many problem solving methods, ASU has outlined a standardized 7-step method to be used. The advantage of a common model is that everyone can begin to speak the same continuous improvement language.
The continuous improvement model accomplishes three objectives:
1. Problem Identification - The CIM provides a detailed assessment of stakeholder requirements. Stakeholder needs and requirements are the reason we are in business. Therefore, any changes or improvements must be targeted to address the needs of our stakeholders as defined by those stakeholders.
2. Process Analysis - The CIM helps all the members of the team develop a clear understanding of the current process. Many team members may believe they know the issues at hand, but generally experience shows that usually they do not have a comprehensive understanding of how the process works, including how their work fits into and adds value to the larger process.
3. Problem Solving - The CIM is based upon solutions supported by fact. The team relies on data analysis and measurement to justify their selection of solutions that will provide systemic improvements as opposed to crisis management.
How It Is Used
Once a team has been formed, trained, and its purpose established, the team should be ready to start. The team will follow the 7-step CIM and will select those tools and techniques that will help them improve their process. The seven steps are:
Step 1 - Define the process to be studied, identify the primary stakeholders who are served by the process and their needs.
Step 2 - Develop an issue statement and performance measurement to guide the team.
Step 3 - Identify potential root causes of problems, collect information about the current process, collect and analyze data related to the identified root causes.
Step 4 - Develop solutions for systemic problems, analyze them for feasibility, and benchmark other organizations.
Step 5 - Develop an implementation plan for the chosen solutions.
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Step 6 - Implement approved solutions and monitor performance measures.
Step 7 - Evaluate the change or improvement by measuring the result and monitor periodically until change is institutionalized.
Teams should be able to complete the initial 7-step improvement process within 6-12 months after their first meeting. Subsequent improvements should take less time or, ideally, as part of day-to-day work.
Adapted from Oregon State University's Total Quality Management Training Manual
Milestone Checkpoints
A feature of CIM is milestone checkpoints. Sponsors are encouraged to allow the team as much latitude and flexibility as possible in pursuing the continuous improvement process. Nevertheless, at important milestones during the team process, it is recommended that the Team Leader meet with the Sponsor to share the activities of the team to date and to gain his or her support for the team's work. This may require some negotiation on the part of the Team Leader and the Sponsor to make sure that there is concurrence about the direction of the team. Both the Sponsor and the Team should be open to listening to each other's ideas and arriving at consensus at each major milestone. This will help to assure that the Sponsor can fully support the implementation of the process improvements later on.
It is crucial for the Team Sponsor to receive a copy of the team's minutes and to have ongoing communication with the Team Leader about progress of the team. In addition to that ongoing communication, it is strongly recommended that the team meet with the Sponsor at each milestone checkpoint. Milestone checkpoints can be determined by the team at any point during the process. It is suggested that, at a minimum, a milestone checkpoint occur at the end of each of the seven CIM steps, but may occur more frequently as determined by the team.
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STEP 1 - DEFINE PROCESS AND IDENTIFY STAKEHOLDERS
The objectives of this step include:
! Describe the critical process to be studied by the team.
! Identify where the process begins and ends, and major activities.
! Identify the primary stakeholders of the critical process--both internal and external.
! Interview a sample of stakeholders in order to find out what they expect from the critical process, including the performance standards they use to measure the process.
DESCRIBE THE CRITICAL PROCESS
Teams are asked to identify a specific critical process to study. Most teams focus on a portion of a critical process. A critical process is based on stakeholder expectations of an important function of one or more offices, departments or shops.
Example: Human Resources has identified the processing of Payroll Action Forms (PAFs) as a critical process. The team may decide to study the process from the time a PAF is initiated in a department until it is entered into the Human Resources Management System. If this process is too large in scope, they could decide to study the PAF process only after it is received by the Human Resources Department. Later, the team could study the PAF process before it reaches the Human Resources Department.
At this step, it is important for all Team Members to understand how the selected process currently operates, who their primary stakeholders are, and where the process begins and ends. Team Members may all believe that they understand how the work gets done in the process they are studying. In reality, it has been demonstrated by team after team that there is a difference of perceptions about what actually takes place. This can range from sheer ignorance about what happens outside one's specific tasks to unperceived duplication of tasks and/or time spent in unnecessary areas. The purpose of describing the current process is to bring these and other issues to the common attention of the team.
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Helpful Tools:
A Process Map gives a visual display of the total current process (see page Error: Reference source not found). In this step, its purpose is to show where the process begins and ends, and the major steps in terms of functions and/or activities that need to be performed. One added benefit to a Process Map is that it can be used to explain the process to others for training or informational reasons.
IDENTIFY STAKEHOLDERS
We want to "exceed" the needs of our customers. Notice that the word "satisfy" is not used. Simply improving our processes for efficiency's sake is not enough; we want to increase the level of service as defined by the stakeholder.
Not all stakeholders are external to the University (e.g., students, businesses, grantors). Stakeholders can be internal as well. If you think of a work process as a chain, each link is connected to the links before and after it. In a process, each person is the stakeholder of the person before and, in turn, someone is his/her stakeholder. For example, Human Resources provides personnel services for Campus Security, who, in turn, provides security services for classroom equipment that faculty use to teach students. Each group relies on the other for service in order to do their jobs. Within an office this can exist between employees, each adding value to the final product. Although there are many stakeholders for a particular process, the team should focus its attention on the primary or "end user" stakeholders of the product or service. By focusing on the primary stakeholders, the team will be making improvements that will benefit the most important group of stakeholders.
To identify primary stakeholders, the team must answer the following questions:
1. Who are the primary stakeholders we want to interview?
2. Are they internal or external?
3. What service or product do we provide to these primary stakeholders?
INTERVIEW STAKEHOLDERS
Members of the team are asked to interview the primary stakeholders of the team's critical process. It is vital that Team Members do not guess what the stakeholder wants but actively inquire, bringing back to the team both facts and personal impressions. Teams are encouraged to interview primary stakeholders face-to-face, but telephone or written surveys may also be used if that is the only method available to contact certain stakeholders.
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The team must develop a short list of questions to find out what is important to the primary stakeholders of the process. In most instances, minor tailoring of the questions listed below should suffice. Teams should not create a long, complicated list of questions. The questions should be simple and open-ended. For example:
1. What do you expect from our service or product?
2. Are we meeting your expectations? Why or why not?
3. How do you measure our efforts to meet your needs?
4. What can we do to improve service to our stakeholders?
Tailor these questions to describe the process or service that you are studyingA random sample of 50-100 primary stakeholders should be adequate to find out what is important to stakeholders and how well the process is meeting their needs.
Every Team Member should interview several stakeholders. It might be helpful to forward your questions to your stakeholders ahead of time.
During the stakeholder interview, try to find out why the stakeholder has a particular need or want. Finding out "why" may give you clues as to which process may need improvement. If your stakeholder's concern involves a series of processes controlled by you and others, find out how you can improve your part.
NOTE:Throughout the interviewing step, the team will need to consider the laws, policies, and professional standards that apply to the process under study. However, it is important to remember that these limitations are often open to interpretation and change.
How to interview:
! Before the interview review the list of questions.
! During the interview do not be afraid to ask follow-up questions to get at the information you really need, or to clarify the stakeholder's response.
! When you conduct the interview write down the responses.
! Verify your understanding of the interviewee's responses with him/her.
An alternative method of obtaining information from stakeholders is through surveys. Surveying is interviewing on paper. Instead of responding to an interviewer, stakeholders answer items on a questionnaire. The major advantage is that you can get a great deal of information from a lot of stakeholders very economically. The disadvantage is that
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people may interpret the questions somewhat differently than intended; their answers may be ambiguous as well, and there is no opportunity to test understanding.
How to Survey:
! Design a cover letter that describes what process your team is collecting information about, why the person was selected to be surveyed, and how your team will use the survey results.
! Decide which stakeholders should be surveyed.
! Review the four questions above and, if necessary, refine them in order to enable respondents to provide the information accurately and unambiguously.
! Keep the questionnaire short, simple and clear.
! Try out the questions with several people to uncover any ambiguity.
Questions can be "closed" with a limited number of responses from which to choose:
How effective is the parking registration process for you?
How could the parking registration process be improved? MILESTONE CHECKPOINT
The team should share the process description, list of stakeholders, and interview questions with the Sponsor so that there is a clear understanding of the process to be studied and the stakeholders to be interviewed. The team may want to do this before interviews are completed to assure that no "key" stakeholders were overlooked.
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STEP 2 - DEVELOP ISSUE/PROBLEM STATEMENT AND PERFORMANCE MEASURE
The objectives of this step are to:
! Quantify stakeholder expectations and performance measures from the interviews.
! Identify the most important stakeholder concerns.
! Determine how the stakeholder will measure improved performance.
! Write a one-sentence issue statement that sets the direction of the team.
QUANTIFY STAKEHOLDER CONCERNS
Tabulate information from individual stakeholder interviews in order to find out what is important to them and how well the process is meeting their expectations. Both positive information and concerns should be reviewed by the team.
Helpful Tools:
The Affinity Diagram can be used to organize large sets of data into common themes or categories (see page Error: Reference source not found). The information can then be translated into numbers or percentages of stakeholders who had similar responses.
Another tool is the Pareto Chart (see page Error: Reference source not found). After the major categories of concerns have been identified using the Affinity Diagram, a Pareto Chart can help the team determine which concerns are most critical. A Pareto Chart is a bar graph arranged in descending order of frequency. A properly constructed chart suggests that the team address the concern stated most often (the one located on the left side of the chart) and then proceed to each lesser concern (as you move to the right).
The Pareto Principle is based on research done by a 19th century Italian economist, Vilfredo Pareto. The principle is sometimes called the 80/20 rule: 80% of the problems are due to 20% of the causes.
The Pareto Principle suggests that we concentrate on the "vital few@ sources of problems and not be distracted by those of lesser importance, improving the team's ability to get the greatest results for the least time and effort.
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PERFORMANCE MEASUREMENTS
A basic principle of continuous improvement is that decisions are based on fact and data. For that reason, considerable data is collected throughout the continuous improvement model. Data collection begins with stakeholder interviews. As part of the interview step, teams ask the stakeholder how he/she measures the process under study. Is it the number of days to completion, lack of errors, courtesy, or timely return of phone calls? The measure, as identified by the stakeholder, is stated in the issue statement.
Performance measurements should accomplish the following:
1. Provide a systematic method for collecting information about the process.
2. Allow identification of potential problems and solutions that would improve the probability of meeting or exceeding stakeholder expectations.
3. Lead to the prevention of errors.
4. Permit objective evaluation of the process.
Performance measurements should be derived from stakeholder interviews as to what they expect from the process. "What" you are going to measure and "how" you are going to measure it are key to determining whether improvements have occurred after solutions are implemented.
Be sure to concentrate on the vital few--those measurements that provide essential information about the quality of your process. Some measurements may require only a Ayes@ or Ano@ answer, while others involve some sort of counting or quantitative measurements. Some examples of quantitative measurements include:
! the number of orders received in January! the number of ideas submitted to the suggestion system! number of days to process a form
For most work processes, the team will use a combination of both types of measurements. Some existing measurements may be modified, others discarded, and new more effective measurements developed.
The stakeholder, better than anyone else, can help the team determine which measurements are the critical ones for ensuring a quality process. Stakeholder involvement in selecting measurements can help the team focus on the "vital few." The stakeholder can also help the team understand why the key measurements are so important.
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TYPES OF PROCESS PERFORMANCE MEASUREMENTS
QUANTITY
! Rate Common to "production-oriented" or bulk work processes is a concern about rate. It asks the question: AHow many are processed in a given time?@ Rate includes a number and a deadline, like "50 per hour." (Examples: time cards, registration, computer entry of payroll.)
! Timeliness Common to "service-oriented" work processes is a concern about time. The amount of time spent waiting for a service is often the issue. (Examples: days to complete a project, response time, time put on hold, delays, etc.)
! Volume Volume applies when "bulk" is important, but not time sensitive. (Examples: amount of money raised, number of buildings inspected, number of grievances filed).
QUALITY
! Accuracy This is the degree to which the output of a process matches the model of accuracy held by the stakeholder. Typically, accuracy means no errors. (Examples: mistakes in data entry, providing the education that was promised, repair meets expectation of staying fixed.)
! Service Service is the degree to which how the output is provided meets the expectations of the stakeholder. Accuracy is assumed; the measure here is the kind of service that provides the accurate output. (Examples: courtesy, friendly response, attentiveness, pleasant environment.)
COST
! Value Cost is the direct or indirect cost to the stakeholder of the good or service. Perceived value is also important. (Examples: cost of textbooks, including overhead; cost of cafeteria food, including waste and scrap; cost of health insurance coverage, including administrative costs.)
Excerpted from Oregon State University's Total Quality Management Training Manual
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DEVELOP AN ISSUE STATEMENT
The issue statement is a clear, concise and measurable statement of the problem the team plans to work on. Care must be exercised in identifying the primary stakeholder concern. It is easy to "jump to solution" or focus on "causes" instead of clearly identifying the problem as perceived by the stakeholder.
Consider the following statement. Which member has clearly identified the problem?
Team Member #1: "I would say that our main problem is the lack of another service representative."
Team Member #2: "The number of people requiring our help is the major problem. There are just too many people for us to handle."
Team Member #3: "I think that the problem is our not getting back to people who call us. We are trying, but the response time is not good."
When developing the issue statement, the team must consider three sources of information:
1. The critical process as defined by the team, including any constraints or limitations the team must observe.
2. The Pareto Chart or other summary data of stakeholder concerns.
3. Any laws, rules, or policies that pertain to the process under study.
Caution: Don't assume that a policy cannot be changed.Also, be sure the issue statement reflects only one major issue.
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Issue statements have three parts:
1. Direction: Indicates which way the team wants the issue to go.
2. Measure: Indicates how your stakeholder evaluates the process and/or how you can evaluate improvement, i.e., the performance measurement.
Examples: number of days, weeks, hours, etc.costnumber of errorsnumber of stakeholder complaintsturnaround timewait timeneatnessavailability
3. Process: Indicates the system you want to improve. Include specific information about where the process starts and stops for this issue.
Examples: accounts receivable mail deliverydata entry food serviceregistration advisingteaching admission evaluationcurriculum development
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Issue Statement Examples Direction Measure Process
! Reduce the number of days required for a remodeling project.
! Increase the number of printing jobs completed on time.
! Decrease the number of stakeholder complaints about registration.
! Decrease lost time in the printing process.
! Reduce the number of days from receipt of on-time financial aid applications through the verification process.
! Increase the number of buildings checked per shift.
! Decrease the number of bicycle thefts on campus.
! Reduce the amount of time to produce invoices.
! Reduce the number of student complaints at Cashiering Services.
! Reduce the number of days to complete the printing process.
! Increase stakeholder awareness of Copy Center Services.
! Reduce the amount of time it takes to get up in the morning. (Note: Sample Process Flow Diagram of this on page Error: Reference source not found)
Teams should use the following criteria to evaluate their issue statement:
1. The issue statement must focus on the critical process identified by the team.
2. The issue statement must respond to specific stakeholder concerns identified by the stakeholder interviews.
3. The issue statement must contain a direction, a performance measure, and a process.
4. The issue statement must be specific, not broad.
5. The issue statement should be clear and concise.
6. The issue statement must respect any constraints or limitations identified by the Sponsor.
7. The issue should be important.
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MILESTONE CHECKPOINT
The team takes the completed issue statement to the Sponsor for review and discussion. The team explains how the team arrived at their decision based on the facts they collected. It is quite possible that the team's issue statement may differ from what the Sponsor believes is the problem. The team must support their decision with documentation.
The sponsor may ask for clarification or additional information from the team about the issue statement. It is the team's responsibility to respond to the Sponsor's requests.
IMPORTANT: This is a negotiated process. The Sponsor should not require the team to choose a certain issue nor should the team insist on working on a specific issue without the Sponsor's support.
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STEP 3 ANALYZE CAUSES OF PROBLEMS
The objectives of this step are to:
! Examine causes of why problems occur! Collect data about the current process as related to the causes of the problems! Analyze the data using common continuous improvement tools
The use of data to make decisions is a key element in continuous improvement. The emphasis in process improvement is to make decisions based upon objective data. Objective data results when information is collected, organized, and presented in such a way that two reasonable people who may disagree can look at it and agree.
EXAMINE CAUSES OF PROBLEMS
The team will try to determine the root causes of problems that occur in the process.
Helpful tools to identify critical or root causes include:
! brainstorm all possible causes of the problem identified by stakeholder interviews.
! categorize the list of causes using an Affinity Diagram (see page Error: Reference source not found)
Other tools that can be used to help the team study its process include a more detailed Deployment Flow Chart, Process Flow Diagram, or Process Map (see pages Error: Reference source not found, Error: Reference source not found and Error: Reference source not found) These tools make it easier to identify problem areas, non value-added steps, wait states, unnecessary loops, or overly complex processes. A Fishbone Diagram (see page Error: Reference source not found) is another visual tool to help the team brainstorm root causes of problems in the process. An advantage of the Fishbone Diagram is that it helps the team explore all of the potential causes, some of which may be overlooked otherwise.
If the team has identified too many potential causes they may want to reduce the list to a fewer number of most likely causes on which they will collect data to find out if those causes are true causes. Multi-voting or Nominal Group Technique (NGT) are two methods to help teams reach consensus on those items that they want to study further. Use the results of Multi-voting or NGT to help the team reach consensus. Additional discussion may be required in order to achieve consensus.
There are many reasons why problems occur. The ultimate goal of the team is to prevent problems by eliminating root causes of problems. In the past, effort and resources were
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often applied to solving insignificant causes of problems or fixing problems after they had occurred, with little effect on the final outcome. By identifying and studying the root causes, the team can develop solutions that will maximize the resulting improvement.
All team members should be encouraged to contribute what they think cause problems in the process. Even if a cause is not selected as a root, it may well be dealt with at a later time.
Team members should not "jump to solution" at this point. Remember to focus only on causes. The purpose of this step is to uncover the most significant causes so that when solutions are developed, the solutions will significantly improve the process.
Continuous improvement is a creative process. Teams should discuss the importance of creativity. Leaders and Facilitators need to encourage Team Members to move beyond "We've always done it that way." Continuous improvement requires teams to look for new and different ways to solve problems and improve processes.
DATA COLLECTION
It takes time to collect, compile and analyze data about what is happening with the current process as related to the root causes. The objective of collecting data is to provide meaningful information on which the team can make decisions to improve the process being studied.
Data can be used to:! further understand the actual situation, both good and bad;! identify obvious problems or flaws, some of which can be fixed immediately. We
refer to this as "picking the low hanging fruit," quick success or quick fix items;! test hypotheses about what the team thinks is happening with the process.
Data should ideally be based on a random sample in which each event or thing has an equal chance of being observed or selected. Data that will be compared must be gathered consistently. Thus teams should gather data in as random a way as possible, e.g., collect data during a normal time period, don't pick only best or worst cases. Information and data may already exist in the form of management reports. Make use of this information if it is present. Don't collect too much or too little data. Collect enough information that will help the team understand what is really happening.
There are three major types of data:
1. counted or discrete - This type of data is collected through counting the number of observations of a particular characteristic, e.g., number of errors, reasons for delays, types of complaints.
2. measured or continuous - This type of data is collected through measuring using a continuous scale such as length, weight, or time.
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3. historical - This type of data already exists and can usually be found in organizational archives.
Teams should pick the simplest appropriate tool to collect data. Every data collection document should include:
! name of person(s) collecting data ! date of collection! time period covered, e.g., time of day, number of weeks! location of data collection, e.g., department, office! methodology used, e.g., observed every 10th stakeholder who walked in the door,
selected every 5th form to be processed.
In order to determine what types of data to collect, the team should:
! review the Issue Statement, particularly the measurement component
! review your list of anticipated root causes of problems and discuss what types of data would help to verify or disprove what is happening in the process
The team may want to use the 5 "W's" and 1 "H" to decide the data to collect by asking:
WHAT What will the team be collecting data on? What operational definitions are needed, e.g., "time it takes" might be defined as "number of days" or "days elapsed."
WHY Why do we want this data? What could it tell us?
WHEN When and during what time period will the data be collected?
Are there any unusual circumstances occurring which makes this period of time abnormal?
Is there sufficient time for this data collection?
WHERE Where is the historical data located or where must new and additional data be collected?
WHO Who will collect the data?
HOW How will we collect the data, e.g., methods to be used?
Is there a better way (simpler or more precise) of obtaining this same information? (Remember to identify data that already exists [historical] in reports!)
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Remember: The team is looking for information that will help them understand what is happening in their process, major causes of problems, and data that verifies what is going on. Quick and simple is the rule. Don't get bogged down into collecting research quality data.
Helpful tools:
Before data is collected, teams may want to use the Brainstorming tool (see page Error: Reference source not found) to identify ways to collect the data. Brainstorming helps the team to "think outside the box." The team will want to select a few methods to collect data. A Checksheet is an easy-to-use form for collecting and tabulating data (see page Error: Reference source not found). It can be used as a starting point in the investigation of suspected problems or as an ongoing monitoring mechanism.
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DATA ANALYSIS
Basic tools that can be used by the team to convert data into useful information for analysis include:
! histogram (see page Error: Reference source not found)! Pareto analysis (see page Error: Reference source not found) ! scatter diagram (see page Error: Reference source not found)! run chart (see page Error: Reference source not found)! statistical process control charts (see page Error: Reference source not found)
Teams should use the tools that will help them identify root causes of problems in the critical process. Other methods can be used to make these diagnostic tools more effective such as pie charts, check sheets, and weighted voting.
Reminders:! Look at measurements that are already available. Keep data only on things that
are important. Don't try to measure everything.
! Teams may want to have departments collect data on several performance measures. The team can go on with other steps while data is being collected.
! Remember the purpose of this step is to find out what is really happening in the process.
! Look for root causes that, once they are eliminated, will result in significant improvements that will last over time.
! Be sure that the team establishes performance measurements on those things that are important to the stakeholder.
MILESTONE CHECKPOINT
The team should meet with the Sponsor to review the process flow diagram, the various data that were collected, graphic displays of those data and the primary causes of problems in the process. Critical causes selected by the team for further study should be supported by data.
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STEP 4 IDENTIFY/SELECT SOLUTIONS
The objectives of this step are to:
! Brainstorm all possible solutions that would eliminate root causes verified by data collection.
! Analyze solutions.
! Prioritize and select the solutions that can be used effectively to improve the process.
In this step the team generates and selects solutions for the verified root causes. Creativity is a must in this step. New ways to handle old problems are the foundation of "continuous improvement." Because the first solution may not always be the best, the team should generate as many solutions as possible, analyze them for effectiveness, and select those that are feasible for implementation.
REVIEW DATA AND OTHER INFORMATION
A good way to generate improvement ideas is to study the Process Flow Diagram. Teams should examine the process flow diagram and ask the following questions:
1. Where are the complaints?
2. Where do the errors occur?
3. Are there any bottlenecks?
4. What parts of the process are not stable and predictable?
5. Is there agreement on work methods?
6. Is this step truly necessary? What would happen if we stopped doing this today?
The team should review the other data that was collected about problems with the current process for ideas about possible solutions.
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A very useful technique is for the team to brainstorm a large list of potential solutions. Ask the team these questions to stimulate the discussion:
A. How can problem causes be eliminated?
B. How can "hindering" forces be minimized?
C. How can positive forces be maximized?
D. Picture in your mind what the ideal process would look like.
1. What are its qualities?2. How many people are involved?3. How do the stakeholders respond?
REMEMBER: The team should be looking for new and different ways to do things.
Next, critically discuss all solutions and eliminate those that the team cannot reasonably implement. Multi-voting processes can be used to assist the team.
ANALYZE SOLUTIONS
A more critical analysis now takes place. The team must make sure the solutions they suggest are not only implementable but improve the process. It is often not possible to implement all of the good solutions. For these reasons, the team holds each solution up against a set of predetermined criteria. Once realistic financial, legal, organizational, or other criteria are identified, the solutions that best fit the criteria become strong contenders for successful improvements. The team should also keep any constraints from the sponsor in mind.
Deciding what characteristics a solution must have to succeed and what the team would want a solution to have stimulates an effective decision process. The most important criterion is "meeting or exceeding stakeholder needs." Some other types of criteria are:
Reduces errors Highly visible to stakeholdersPositive impact on other processes Is importantWill have long-term improvement Acceptability to managementWillingness of staff to implement Consistency with organizational goalsEase of implementation Probability of successImproves overall service Eliminates non-value-added work
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Selecting the best solution(s) is not an easy task. Discussion and other more intuitive methods of decision-making often take considerable time. More systematic methods have proven to be very successful in choosing solutions.
Helpful tools:
Two tools to help prioritize solutions are the Criteria Matrix (see page Error: Reference source not found) and Impact Changeability Analysis (see page Error:Reference source not found). The Criteria Matrix allows the team to test proposed solutions against a set of criteria developed by the team. The Impact Changeability Analysis considers solutions against two dimensions--impact on the process or organization and ease or difficulty of implementing that solution.
Teams need to be encouraged to look for new and better ways to do their work. To increase creativity:
* Free from distractions (Privacy)* Time of day - 9 to 11 a.m.* Promote congeniality* Act warm, supportive, positive* Have equipment available - flip
charts, pens * Acknowledge that frustrations occur* Give people permission to be silly* Use humor * Use ice-breaker to loosen the group* Discuss ground rules in advance
* Greet people* Use names* Small talk * Pair sharing* Eye contact* Call on people* Give clear, encouraging guidelines* Use visuals (Flip Charts)* Play no favorites* Control criticism* Acknowledge contributions in and
out of session* Roundtable for equality
Be aware of phrases and nonverbal indicators that can destroy creativity:
Killer Phrases Non-Verbal Indicators
* They'll never buy it.* We tried that before and it didn't
work.* Doesn't fit the system.* Who's going to do it?
* It's been done to death.* The administration won't accept it.* It's not up to our standards.* Are we ready for this?* You don't really mean that?* The computer can't handle it. * It's not our style.* It sounds too simple.* It sounds too complicated.* It'll cost a fortune!* We'll never find the time to do it.* Let's appoint a committee.* We're overextended.
* Lean back with sigh* Quickly change topic* Quick counter suggestion
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SELECT SOLUTIONS
Another tool that many organizations use to improve is called Benchmarking (see page Error: Reference source not found).
"Benchmarking" is the search for those practices that lead to superior performance. It is a continuous process of measuring our services and practices against organizations recognized as leaders. The purpose of comparing our activities and/or ideas to benchmark organizations is to learn from others who have already addressed (or tackled) a similar problem, then use that knowledge to improve the solutions to the issue the team is studying. Benchmarking is an important tool for continuous improvement and may help teams to establish goals for improvement in their processes.
The activity of benchmarking is an evolving process. As you and your team work with it and become comfortable with its use, you will find that you can modify it to better meet your unit's particular needs.
Most people identify benchmark organizations as peers. "Peer" benchmarks are one type; but if we only look at peers, we will only be as good as our peers. Therefore, teams should look to different sources for benchmark information:
Peers (compare to other colleges and universities)
Example: Human Resources would identify the personnel office of another university as a benchmark.
Functional (compare to non-universities doing the same function)
Example: Human Resources would identify the personnel office of a corporation, i.e., Xerox Corporation, as a benchmark.
Internal (compare with the best practice within ASU)
Example: Human Resources would identify another department at ASU as a benchmark.
Generic (compare the basic level of an activity to other organizations with a process that has a similar activity)
Example: Human Resources has a process of reviewing Personnel Action Forms for completeness. A benchmark for this activity would be a similar activity superiorly performed. A similar activity would be found in a bank loan office with a process of reviewing loan applications for completeness.
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MILESTONE CHECKPOINT
Before developing an implementation plan, the team should share the selected solutions with the Sponsor and describe how they meet stakeholder requirements while eliminating the critical causes as supported by data collection and analysis. Any selected solutions that do not appear viable should be openly discussed and a mutual agreement reached. The team may want to meet with the Sponsor as a group if further information or clarification is needed in order to move forward with developing an implementation plan.
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STEP 5 DEVELOP IMPLEMENTATION PLAN
The objectives of this step are to:
! Prepare a simple implementation plan.
! Develop a process to monitor performance measurements during implementation.
IMPLEMENTATION PLAN
The Implementation Plan (less than 5 pages long) should contain the following elements:
1. What needs to be done to implement the solution(s).
2. Who should be responsible for which steps of the implementation and who needs to be consulted or informed about the changes. The entire team may or may not be involved in the actual implementation; non-team members also may be involved.
NOTE: It is the sponsor's responsibility to assist the team in implementing solutions. The team may recommend who they believe is/are the appropriate individual(s) to perform steps of implementation in consultation with the team Leader (or supervisor, if different from the Leader) and Sponsor. Any substantive changes in job duties should be made by the person's supervisor.
3. Specific dates/times when steps of implementation must be completed.
4. Established checkpoints for team review and adjustment.
MONITOR PERFORMANCE MEASUREMENTS
The team should be continuously collecting data, assure that the performance measurements are up to date and that plans for continuous data collection are still in place. This step is extremely important. The team expects a desired change in the performance measures after solutions have been in place for a period of time. This change should be reflected in the performance measurement.
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Helpful tools:
The Shewhart Circle, frequently referred to as Plan/Do/Check/Act or PDCA, is a useful framework to think about implementing change:
Plan - Advance planning sets the foundation for a successful implementation.
Do - Attention to doing what is needed carries out the change.
Check - Monitoring the effects of the change provides data to base decisions about how well the plan is working and any corrections that are needed.
Act - Making mid-course adjustments, if needed, allow the planned implementation to be fine tuned and the change institutionalized.
PDCA CYCLE
Carry out plan.Collect data.
What have we learned?What does the datatell us?
What do wewant toaccomplishin this cycle?
Based on what wehave learned, what isthe next step?
Listed below are some key steps in ensuring that implementation is as successful as possible.
1. Divide the solution into sequential, easily manageable steps.
This will give a set of reference points which can be used to determine whether or not implementation is on target (time, costs, etc.) and meeting the stated objectives.
2. Ensure that everyone knows what he/she must do.
Set clear (unambiguous) and measurable objectives or task statements for everyone who is going to be involved in implementation. Communicate these clearly and ensure as far as possible that nothing is left open to misinterpretation or guesswork.
3. Develop a commitment strategy.
Define clearly whose commitment is needed and how to secure it, both in the initial stages (gaining commitment) and once implementation is in progress (maintaining commitment). Bear in mind the very large differences between the passive commitment on which so many people rely (having a senior manager sign a letter indicating support) and the active commitment necessary for success (having that same senior manager personally involved in reviewing progress).
4. Establish a control system.
Set up a simple but thorough monitoring system to track whether or not specific tasks are being performed or short-term targets are being achieved as planned. Milestones and the system associated with them are extremely important.
5. Ensure that data will be collected.
Your implementation of the solution will generate change and it is essential to have the measurements and data collection mechanisms set in place for overall evaluation. Either collecting the right data after the event or having to assess the impact of implementing a solution from inappropriate data would be likely to cause difficulties in evaluation. As part of your implementation checklist ensure that the data you will need to evaluate your solution are going to be available.
6. Define contingency plans
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Some points to consider in establishing contingency plans are:
! What specific problems (opportunities) may occur?
! How probable are they?
! How much impact would they have if they occurred?
! What can be done to prevent these potential problems from occurring (allow these opportunities to occur)?
! How will you know that the problem (opportunity) has occurred?
! What contingent (maximizing) action will most decrease (increase) the detrimental (beneficial) effects if the problem (opportunity) occurs?
! How will you deal with unanticipated problems (opportunities)?
MILESTONE CHECKPOINT
The team shares the implementation plan with the Sponsor. It is highly recommended that the team make a formal presentation to management at this stage that summarizes their work and presents the implementation plan. This gives the team an opportunity to get feedback on their work and implementation plan, as well as recognition for all of their efforts. This should be a positive experience where the Sponsor can reinforce teamwork and the process of improvement by acknowledging the contributions of the team. It is the Sponsor and Team Leader's responsibility to "set the wheels in motion" to implement the solutions. Team Members are responsible for assisting with solution implementation.
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STEP 6 IMPLEMENT SOLUTIONS
The objectives of this step are to:
! Implement the improvement fully
! Document changes through revising policies and procedures, where needed.
GUIDELINES
The hallmark of implementation is persistent attention to doing what is necessary.
Include everyone affected by the solution in the implementation process.
Divide the implementation effort into manageable steps for easier monitoring.
Be prepared to modify plans as expected - or unexpected - events occur.
The implementation of the chosen solution should be a relatively straightforward step. It is, however, in the bridge between planning and implementation where so many apparently "good" solutions fail. A review of some common failures in the implementation of plans may be helpful.
! Assumptions are weak.
Too often our assumptions about time are optimistic, those about resource requirements are inadequate and those about commitment of others are unrealistic. Planning must be pragmatic, and this means that we must make as realistic a set of assumptions as is possible.
! Contingency planning is not done.
If a plan is based on a single set of circumstances or conditions, it is extremely vulnerable to any change in those circumstances. Therefore, contingency plans are necessary to support the basic plans and to prepare for any unexpected, but possible, major changes. Contingency plans must be developed to cope with both favorable as well as adverse changes; if implementation is broken, for example, into a number of sequential phases, you must be as ready to bring Phase 2 forward because Phase 1 took less time than expected as you are to delay Phase 2 if Phase 1 takes longer than predicted.
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! The plan is not properly updated.
Failure to update the plan is a common cause of failure of the plan. Too often the creation of a plan is treated as an end in itself. Once you have moved into the implementation phases, it is important to bear in mind, for example, the basic assumptions of the plan. If these need to be changed significantly it will be necessary to update the plan, not just on a contingency basis but possibly in a radical manner. If this is not done, the plan stands little chance of achieving its original target.
! The changes are not communicated to the right people.
Communication is vital. If people are not aware of what is expected of them or of changes that will result from implementation, it is almost certain that the plan will fail. It is important to consider both what needs to be communicated as well as how it should be done. Is it enough that people are informed--in which case a written document may be as effective as a meeting--or do you need to consult or negotiate with them? Time must be allowed for the appropriate method to be satisfactorily achieved.
! The necessary commitment is not obtained.
There are two separate but related issues here. The first is gaining commitment initially--from senior management, key individuals, other affected groups. The second is maintaining that commitment in the face of changes and of competing activities for their time, interest and skills. A well-developed and clearly-defined commitment strategy can be one of the most important factors underpinning any planning activity.
MILESTONE CHECKPOINT
There should be ongoing communication between the team and Sponsor during the solution implementation step. This will help to assure a successful implementation through the cooperation and efforts of the Team Members, Leader and Sponsor and will reinforce the participatory nature of continuous improvement.
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STEP 7 EVALUATE RESULTS AND MONITOR
The objectives of this step are to:
! Update performance measures for the process after changes are made.! Review results to determine if changes are complete and satisfactory.
UPDATE PERFORMANCE MEASUREMENTS
After solutions have been implemented for approximately three to six months, the team meets again to evaluate the results of the implemented solutions. The team collects data using the same data collection form from Step 3. After the new data has been compiled, the team should discuss the following suggestions:
1. Is the performance measurement up to date?
2. Does the performance measurement reflect the desired change?
3. Have the solutions addressed the issue statement?
4. Have critical causes been eliminated?
5. Have all solutions been implemented as per the implementation plan?
6. Has stakeholder service improved? What measurements were used to verify any changes in stakeholders service?
7. Have the solutions created other problems?
8. Have other problems been discovered?
9. Are any adjustments or modifications to the solutions necessary?
10. Is the solution in place permanently--including any changes in policies and/or procedures?
REVIEW RESULTS
Based on the team's discussion and analysis of results, minor modifications and/or adjustments in the implemented solutions may be necessary. After such changes, the solutions are standardized--they become part of the current process.
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Steps now include:
1. Revise the flow chart to reflect the implemented solutions and new current process.
2. Make plans to collect data periodically for the performance measurement.
3. Set another meeting date in the future (three to six months) to meet again to evaluate the performance measurement (continuous improvements).
4. Prepare an executive summary or storyboard highlighting the results of the team.
Helpful tools:
A Storyboard (see page Error: Reference source not found) documents a project through descriptive pictures and graphs accompanied by simple text. This format is easy to use, maintain, read, and helps the team keep track of milestones passed by the team. As the name implies, a storyboard helps the team tell their process improvement story.
This step of the problem-solving process makes the ASU model a "closed loop." Karl Albrecht in Brain Power addresses the subject of evaluation:
You can only "close the loop" on the overall problem-solving process by evaluating results. What disparity do you find between what is and what ought to be? Returning to our definition of a problem as a state of affairs you have to change in order to get what you want, you can see the necessity of knowing clearly what you want. If you worked out a specific statement of your objective--the conditions you would take as evidence that you had solved the problem--then you know how to evaluate the results of your actions.
Whereas open-loop problem solving merely depends on the assumption that the action taken will solve the problem, closed-loop problem solving includes as one of its steps the process of following up to make sure the problem went away.
The importance of the closed-loop approach to solving problems becomes evident when you recognize that circumstances change, situations change, people change, and your preferences and values change. You must adapt your solutions to the changing times, and this means occasionally rethinking the solutions entirely. The stage of evaluating the results of your actions feeds right into the problem-finding stage, which begins a new cycle of problem solving.
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MILESTONE CHECKPOINT
At this point, the solutions have been implemented, monitoring has occurred to ensure that the causes of the problems have been eliminated and that the improvements in the process are institutionalized. This is the final checkpoint to ensure that the Sponsor is aware of the solutions that were implemented and that they resulted in the desired outcome--namely, improvements in the process that were desired by your stakeholders. Periodic follow-up on the performance measures should also be institutionalized to make sure that the improvements remain viable.
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PPROCESSROCESS I IMPROVEMENTMPROVEMENT P PLANLAN M MILESTONESILESTONES
PROCESS: TEAM LEADER:
MISSION OF TEAM: TEAM SPONSOR:
STEPS *PROJECTED TIMEFRAME
ESTIMATED COMPLETION
ACTUAL COMPLETION
TEAM START-UP 1-3 WKS.(2-6 HRS.)
1. IDENTIFY PROCESS & STAKEHOLDERS 3-6 WKS.(6-12 HRS.)
2. ISSUE STATEMENT 1-3 WKS.(2-6 HRS.)
3. ANALYZE CAUSES 4-8 WKS.(8-12 HRS.)
4. IDENTIFY/SELECT SOLUTIONS 4-6 WKS.(8-12 HRS.)
5. DEVELOP IMPLEMENTATION PLAN 3-6 WKS.(6-12 HRS.)
6. IMPLEMENT SOLUTIONS ONGOING
7. EVALUATE RESULTS ONGOING
*Overall timeframe 4-8 months assuming regular weekly 2-hour meetings plus assignments to be outside team meetings, as needed.
