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Managing Change Handout

Contents

Change Models:

Balanced Scorecard 2

Eight Steps in Leading Change - John Kotter 3

Shingo Model for Operational Excellence (LEAN approach) 6

Diffusion of Innovations - Everett Rogers 7

Four Stages of Team Development - Bruce Tuckman 9

Individual change models:

ADKAR 11

Three phases of Transition - William Bridges 13

Roller Coaster of Change - Stephen Haines 15

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CHANGE MODELS

Balanced Scorecard

A strategic planning and performance management tool that can be used by managers to keep

track of the execution of activities by the staff within their control and to monitor the

consequences arising from these actions. The Balanced Scorecard presents a mixture of financial

and non-financial measures (typically, no more than 20 to 25 of the most critical indicators) each

compared to a 'target' value within a single concise report. It articulates the links between leading

inputs (human and physical), processes, and lagging outcomes and focuses on the importance of

managing these components to achieve the organization's strategic priorities. The Balanced

Scorecard depicts the organization’s success at aligning organizational improvement efforts to

strategies to meet customer needs by focusing on the four perspectives. Those four

"perspectives" are designed to answer the following questions:

Financial: encourages the identification of measures that answer the question “How do

we optimize expenditures for maximum mission effectiveness?”

Customer: encourages the identification of measures that answer the question "To

achieve our vision, how should we appear to our customers?”

Internal Business Processes: encourages the identification of measures that answer the

question "To satisfy our stakeholders, which processes must we excel at?"

Learning and Growth: encourages the identification of measures that answer the question

"To achieve our vision, how can we continue to improve and create value?"

Historically, organizations measured financial measures almost exclusively. In recent decades, this

approach has been criticized as lacking predictive power, reinforcing functional silos, rewarding

short-term target achievement to the detriment of long-term goals, and irrelevant to most levels

of an organization. The Balanced Scorecard grew out of the need to measure not only the

successes of the past but also the value-creating and destroying mechanisms of the organization,

that ultimately are reflected in financial results including the ability to attract funding. Thus the

“balance” in the Balanced Scorecard, relates to three areas:

Balance between financial and nonfinancial indicators of success – Ultimately, financial

success is derived from the ability to execute on the mission and vision, therefore that

execution must be measured as it is occurring, rather than just after the fact.

Balance between internal and external stakeholders – In order to meet external

stakeholders’ expectations, internal stakeholder issues must also be measured

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Balance between lad and lead indicators of performance – Lag indicators, such as

revenue or customer satisfaction, represent past performance. These types of measures

lack predictive power, therefore it is necessary to include lead indicators which are the

performance drivers that lead to the achievement of the lag indicators. These often

include the measurement of processes and activities that ultimately lead to results.

The Balanced Scorecard is utilized as a strategic management system in several ways other than

mere review of past results:

Communication – Cascading the scorecard – that is, driving it down into all levels of the

organization – gives employees the opportunity to demonstrate how their day-to-day

activities contribute to the organization’s strategy. This creates a line of sight between

the front-line employee and top leaders.

Strategic Resource Allocation – The resources necessary to achieve scorecard targets

form the basis for the development of the annual budgeting process, thereby directly

tying resources to achievement of the organization’s goals.

Continuous Improvement – Balanced Scorecard results form the basis for reviewing,

questioning, and refining the strategies and tactics needed to achieve the organization’s

goals.

Eight Steps in Leading Change - John Kotter

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According to Kotter’s research, 70% of all major change efforts in organizations fail, because

organizations often do not take the holistic approach required to see the change through. By

following Kotter’s 8 Step Process, organizations can avoid failure and become adept at change.

By improving their ability to change, organizations can increase their chances of success, both

today and in the future. Without this ability to adapt continuously, organizations cannot thrive.

The 8 steps are as follows:

1. Create Urgency –Kotter suggests that for change to be successful, 75% of a company's

management needs to support the change, so a key early task is to develop a sense of

urgency around the need for change. This can involve a full SWOT analysis, scenario

planning and full deployment of all the strategic planning tools. Results of analysis and

early conclusions should be thoroughly tested with informed third party opinion and a

wide cross section of all stakeholders.

2. Form a guiding coalition – Managing change is not enough – change must be led. Building

the momentum for change requires a strong leadership and visible support from key

people within the organization. The coalition will involve a wide representation of the

formal and informal power-base within the organization. By working as a team, the

coalition helps to create more momentum and build the sense of urgency in relation to

the need for change. Kotter recognizes the importance of the emotional dimension and

the energy that is generated by a “mastermind” group all working together.

3. Develop a vision and strategy – A drive for change without a clear focus will rapidly fizzle

out unless leaders develop a clear vision of the future that is accompanied with a clear

description about how things will be different in the future. The vision must be defined in

such a way that it is capable of expression in a short “vision speech” that conveys the

heart of the change in less than 5 minutes. This then needs to be encapsulated in a

powerful one or two sentence summary. All members of the coalition must be fluent in

both of these vision statements, and leaders must with the coalition to develop the

strategies that will deliver the vision.

4. Communicate the vision – Communication is everything, and Kotter maintains that

change leaders must use every means at their disposal to constantly communicate the

new vision and key strategies that support that vision. This goes beyond the “special

announcement” meetings and involves frequent and informal face-to-face contact with

people by all individual members of the coalition. Email is not the appropriate

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communication vehicle, except in support of prior face-to-face contact. The leaders must

also “walk the talk” visibly, and at all times be available and accessible to people, openly

and honestly and addressing the emotional dimension of the fears and concerns.

5. Enable action and removal of obstacles – In this stage, the change initiative moves

beyond the planning and the talking, and into practical action, as leaders put supportive

structures in place and empower and encourage people to take risks in pursuit of the

vision. This is where the change leader identifies and removes obstacles and obstructions

to change. This may also involve addressing resistant individuals and/or groups and

helping them to reorient themselves to the requirements of the new realities

6. Generate short-term wins – Success breeds success. Kotter advises that an early taste of

victory in the change process gives people a clear sight of what the realized vision will be

like. This is important as a counter to critics and negative influencers who may otherwise

impede the progress of the initiative. It is also important to recognize and reward all

those people who make these early gains possible. Change leaders must look for – and

create – opportunities for these early wins.

7. Hold the gains and build on change – Kotter argues that many change initiatives fail

because victory is declared too early. An early win is not enough. This is the time to

increase the activity, change all systems and structures and processes that don’t fit with

the change initiative, and bring “new blood” into the coalition. This now all about

continuous improvement and each success (and failure) is an opportunity to analyze what

worked, what did not, and what can be improved.

8. Anchor changes in the culture – Kotter says that for any change to be sustained, it needs

to become embedded in the new “way we do things around here” – that is, the culture. A

major part of this is for the change leader to articulate the connections between new

behaviors and organizational success. This is where the coalition tea talks about progress

at every opportunity. Tell success stories about the change process, and repeat other

success stories. This is successful if change leaders put forth continuous efforts to ensure

that the change is seen in every aspect of the organization.

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Shingo Model for Operational Excellence (LEAN approach)

The Shingo Model is based on the lean management approach and model taught by Dr. Shigeo

Shingo. Shingo’s teachings described 3 levels of business improvement (transformation):

Principles, Systems, Tools and Techniques.

True innovation is not achieved by superficial imitation or isolated or random use of Tools &

Techniques and Systems (know how) but requires the understanding of the underlying Principle

(know why). Both know-how and know-why at the lowest level of the organization are required

for cultural transformation. The Shingo model is a principles-based process for embedding the

principles of organizational excellence into the organizational culture. The ultimate goal when

pursuing the model is cultural transformation through the integration of principles of operational

excellence across the enterprise to create a complete, systemic view that leads to consistent

achievement of results. The broader goal is to serve as a roadmap for organizations to a better

future state based on universal and timeless principles.

Tools and systems have been traditionally viewed as linear and independent, which causes slow

growth curve and a drop off of sustainment. Principles are not enough to accelerate a cultural

transformation. All three (principles, systems and tools) must be aligned to create the desired

traction required to transform a culture.

Principles and Values guide this thinking, which in turns guides behaviors. Behaviors define

culture. Principles guide the what, why and how of actions. Without constant attention, the

principles will fade, so they must be ingrained.

The Shingo model is both behavior driven and performance driven. Organizations must identify

what specific measures align with their goals and objectives, and they must also identify what

specific behaviors would be expected to accomplish those goals and objectives. The goal is to

create consistent, repeatable behavior to accomplish the performance measures. The Model is a

baseline to help managers identify where their company is on the journey to operational

excellence, and to assess the breadth and depth of transformation within the organization. It is an

engine for transforming the culture of an organization.

In short, the Shingo model encompasses the following view:

1. There is a clear and strong relationship between principles, systems, and tools.

2. Operational excellence requires focus on both behaviors and results.

3. Business and management systems drive behavior and must be aligned with correct

principles.

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Diffusion of Innovations - Everett Rogers

Diffusion is based on innovations, communication channels, time, and social systems. The five

stages of adoption are: Knowledge, Persuasion, Decision, Implementation and Confirmation. The

five adopter categories are: Innovators, Early Adopters, Early Majority, Late Majority, and

Laggards

Five stages of the adoption process:

1. Knowledge: In this stage the individual is first exposed to an innovation but lacks

information about the innovation. During this stage of the process the individual has not

been inspired to find more information about the innovation.

2. Persuasion: In this stage the individual is interested in the innovation and actively seeks

information/detail about the innovation.

3. Decision: In this stage the individual takes the concept of the innovation and weighs the

advantages/disadvantages of using the innovation and decides whether to adopt or reject

the innovation. Due to the individualistic nature of this stage Rogers notes that it is the

most difficult stage to acquire empirical evidence (Rogers 1964, p. 83).

4. Implementation: In this stage the individual employs the innovation to a varying degree

depending on the situation. During this stage the individual determines the usefulness of

the innovation and may search for further information about it.

5. Confirmation: Although the name of this stage may be misleading, in this stage the

individual finalizes his/her decision to continue using the innovation and may use the

innovation to its fullest potential.

Adopter Categories:

1. Innovators: Innovators are the first individuals to adopt an innovation. Innovators are

willing to take risks, youngest in age, have the highest social class, have great financial

lucidity, very social and have closest contact to scientific sources and interaction with

other innovators. Risk tolerance has them adopting technologies which may ultimately

fail. Financial resources help absorb these failures. (Rogers 1962 5th ed, p. 282)

2. Early Adopters: This is the second fastest category of individuals who adopt an

innovation. These individuals have the highest degree of opinion leadership among the

other adopter categories. Early adopters are typically younger in age, have a higher social

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status, have more financial lucidity, advanced education, and are more socially forward

than late adopters. More discrete in adoption choices than innovators. Realize judicious

choice of adoption will help them maintain central communication position (Rogers 1962

5th ed, p. 283).

3. Early Majority: Individuals in this category adopt an innovation after a varying degree of

time. This time of adoption is significantly longer than the innovators and early adopters.

Early Majority tend to be slower in the adoption process, have above average social

status, contact with early adopters, and seldom hold positions of opinion leadership in a

system (Rogers 1962 5th ed, p. 283)

4. Late Majority: Individuals in this category will adopt an innovation after the average

member of the society. These individuals approach an innovation with a high degree of

skepticism and after the majority of society has adopted the innovation. Late Majority are

typically skeptical about an innovation, have below average social status, very little

financial lucidity, in contact with others in late majority and early majority, very little

opinion leadership.

5. Laggards: Individuals in this category are the last to adopt an innovation. Unlike some of

the previous categories, individuals in this category show little to no opinion leadership.

These individuals typically have an aversion to change-agents and tend to be advanced in

age. Laggards typically tend to be focused on “traditions”, likely to have lowest social

status, lowest financial fluidity, be oldest of all other adopters, in contact with only family

and close friends, very little to no opinion leadership.

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Four Stages of Team Development: Norming, Forming, Storming, Performing –

Bruce Tuckman

Forming

In the first stages of team building, the forming of the team occurs. The individual's behavior is

driven by a desire to be accepted by the others, and avoid controversy or conflict. Serious issues

and feelings are avoided, and people focus on being busy with routines such as team organization,

who does what, when to meet, etc. Individuals are also gathering information and impressions –

about each other, and about the scope of the task and how to approach it. This is a comfortable

stage, but the avoidance of conflict and threat means that not much actually gets done.

The team meets and learns about the opportunities and challenges, and then agrees on goals and

begins to tackle the tasks. Team members tend to behave quite independently. They may be

motivated but are usually relatively uninformed of the issues and objectives of the team. Team

members are usually on their best behavior but very focused on themselves. Mature team

members begin to model appropriate behavior even at this early phase. Sharing the knowledge of

the concept of "Teams - Forming, Storming, Norming, Performing" is extremely helpful to the

team. Supervisors of the team tend to need to be directive during this phase.

The forming stage of any team is important because in this stage, the members of the team get to

know one another, exchange some personal information, and make new friends. This is also a

good opportunity to see how each member of the team works as an individual and how they

respond to pressure.

Storming

Every group will next enter the storming stage in which different ideas compete for consideration.

The team addresses issues such as what problems they are really supposed to solve, how they will

function independently and together and what leadership model they will accept. Team members

open up to each other and confront each other's ideas and perspectives. In some cases, storming

can be resolved quickly. In others, the team never leaves this stage. The maturity of some team

members usually determines whether the team will ever move out of this stage. Some team

members will focus on minutiae to evade real issues.

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The storming stage is necessary to the growth of the team. It can be contentious, unpleasant and

even painful to members of the team who are averse to conflict. Tolerance of each team member

and their differences should be emphasized. Without tolerance and patience, the team will fail.

This phase can become destructive to the team and will lower motivation if allowed to get out of

control. Some teams will never develop past this stage.

Supervisors of the team during this phase may be more accessible, but tend to remain directive in

their guidance of decision-making and professional behavior. The team members will therefore

resolve their differences and members will be able to participate with one another more

comfortably. The ideal is that they will not feel that they are being judged, and will therefore

share their opinions and views.

Norming

The team manages to have one goal and come to a mutual plan for the team at this stage. Some

may have to give up their own ideas and agree with others in order to make the team function. In

this stage, all team members take the responsibility and have the ambition to work for the success

of the team's goals.

Performing

It is possible for some teams to reach the performing stage. These high-performing teams are

able to function as a unit as they find ways to get the job done smoothly and effectively without

inappropriate conflict or the need for external supervision. By this time, they are motivated and

knowledgeable. The team members are now competent, autonomous and able to handle the

decision-making process without supervision. Dissent is expected and allowed as long as it is

channeled through means acceptable to the team.

Supervisors of the team during this phase are almost always participative. The team will make

most of the necessary decisions. However, even the most high-performing teams will revert to

earlier stages in some circumstances. Many long-standing teams go through these cycles many

times as they react to changing circumstances. For example, a change in leadership may cause the

team to revert to storming as new people challenge the existing norms and dynamics of the team.

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INDIVIDUAL CHANGE MODELS

ADKAR

ADKAR is a goal-oriented change management model that allows change management teams to

focus their activities on specific business results. ADKAR is the acronym for Awareness, Desire,

Knowledge, Ability, and Reinforcement. These are the elements of the most fundamental

requirements for anyone to succeed and maintain change. The model is a results-oriented change

management tool that is simple and easy to understand, yet very effective for leaders and change

management teams. It was initially used as a tool for determining if change management

activities like communications and training were having the desired results during organizational

change. The model has its origins in aligning traditional change management activities to a given

result or goal. By identifying the required outcomes or goals of change management, ADKAR

becomes a useful framework for change management teams in the planning and execution of

their work.

The goals or outcomes defined by ADKAR are sequential and cumulative. An individual must

obtain each element in sequence in order for a change to be implemented and sustained.

Leaders can use this model to identify gaps in their change management process and to provide

effective coaching for employees. The ADKAR model can be used to:

diagnose employee resistance to change

help employees transition through the change process

create a successful action plan for personal and professional advancement during change

develop a change management plan for employees

This model can identify why changes are not working and help leaders in taking the necessary

steps to make the change successful. Leaders will be able to break down the change into parts,

understand where the change is failing and address that impact point.

The ADKAR model was first created by Prosci Research, a change management company, after

research with more than 300 companies undergoing major change projects. In 2006, Prosci

released the first complete text on the ADKAR model in Jeff Hiatt's book ADKAR: A Model for

Change in Business, Government and Our Community. This model is intended to be a coaching tool

to help employees through the change process. To use the ADKAR model effectively, leaders must

understand the underlying framework for change initiatives. Change happens on two dimensions:

the business dimension and the people dimension. Change is successful when both dimensions of

change occur simultaneously.

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Business dimension of change

The business dimension of change includes the typical project elements.

Business need or opportunity is identified.

Project is defined (scope and objectives).

Business solution is designed (new processes, systems and organizational structure).

New processes and systems are developed.

Solution is implemented into the organization.

These are the standard elements of a business change that managers feel most comfortable

managing.

People dimension of change

Research shows that problems with the people dimension of change are the most commonly cited

reasons for project failures. In a study with 248 companies, effective change management with

employees was listed as one of the top-three overall success factors for the project. Helping

managers to be effective sponsors of change was considered the most critical success factor.

Effective management of the people dimension of change requires managing five key goals that

form the basis of the ADKAR model:

Awareness of the need to change – Do you (or your staff) understand why the desired

change is needed? (What will be the result of the transition?)

Desire to participate and support the change – Are you (or your staff) motivated to make

the desired change?

Knowledge of how to change (and what the change looks like) – Do you (or your staff)

know how make the desired change happen?

Ability to implement the change on a day-to-day basis – Have you (or your staff) been

given the right information and training?

Reinforcement to keep the change in place – Do you (or your staff) have a system of

encouraging or keeping the change in place?

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Three Phases of Transition - William Bridges

According to Bridges’ theory, change is situational; transition, on the other hand, is a

psychological, three-phase process that people go through as they internalize and come to terms

with the details of the new situation that the change brings about. Situational changes are not as

difficult for companies to make as the psychological transitions of the people impacted by the

change. The three phase process consists of the following:

1. Ending, Losing, Letting Go - helping people deal with their tangible and intangible losses

and mentally prepare to move on. Initially most of the activity in managing the emotional

and psychological journey of transition is related to the letting go of the past and later

related to investing in and transitioning to the future. Bridges identifies five aspects of the

natural ending experience: Disengagement, Dismantling, Dis-identification, Disenchantment

and Disorientation. The process of letting go of the past can bring up feelings of sadness,

grief and loss as well as some relief or anticipation about the possible new future. The

starting point for dealing with transition is not the outcome, but the ending the person must

make to leave the old situation behind. Endings can be managed by treating the past with

respect, helping compensate for losses, giving people plenty of the right information,

marking the endings, and helping define what is over and what isn’t.

2. The Neutral Zone - The neutral zone is that in-between place where one loses the sense of

relatedness and purpose, because much of one’s identity is tied up in the old way of life. At

this stage, there are no new anchors to give any context or meaning, and that can be

difficult, confusing and painful. Critical psychological realignments and repatterning takes

place. This stage involves helping get people through it, and capitalizing on all of the

confusion by encouraging them to be innovators.

The neutral zone is a place of both risk and opportunity. It is risky because people are unsure

of the process being created and may become anxious, during which time productivity may

fall. Old weaknesses, compensated for in the old arrangements, may rise to the surface.

People may get mixed signals between the old regimen and the new, and people may

become polarized one way or the other, leading to tension and discord. In addition, until

the new regimen becomes embedded, the new arrangements are vulnerable to internal or

external shocks.

For all these reasons, transitions through the neutral zone need to be managed carefully.

Bridges provides a number of mechanisms for this, including creating temporary support

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systems and short term goals, and redefinition of the activity in the neutral zone in terms of

more familiar activity or metaphors.

The neutral zone is also, however, a point of creative opportunity: as people and systems

“unfreeze” from the old systems and have not yet “frozen” back into the new systems, there

is tremendous opportunity to identify and realize changes and find new ways of doing

things.

3. The New Beginning - Assisting people develop the new identity, experience the new

energy, and discover the new sense of purpose that make the change begin to work.

Bridges distinguishes between “starts” and “beginnings.” A start occurs when people start

doing new things, when they start enacting the changes. A beginning occurs, however, only

when the personal psychological and behavioral change takes place and people take on new

behaviors and identities.

Transition managers must define the “4P’s” defining the path into the future:

The purpose of the transition

The picture or vision

The plan

The part for each person to play

In addition, being consistent (avoiding conflicting messages), building momentum with “quick

successes,” symbolizing the new entity, and celebrating successes can all help with successful

transitions.

Bridges’ book also has some excellent tools. For example, Bridges provides the following tool to

identify what is ending and who is losing what:

Describe the change in as much detail as you can

Identify the secondary changes that the change will probably cause – and the further

changes that those changes will cause

Determine how people will be affected – who will have to let go of something?

Think of these from the subjective viewpoint of people affected

Beyond these losses, is there something that is over for everyone?

Another useful recommendation that Bridges proposes is the creation of a Transition Monitoring

Team – a group composed of individuals from across the organization holding various roles, whose

sole purpose is to provide a feedback on the status of the transition across the organization.

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Roller Coaster of Change - Stephen Haines

The “Rollercoaster of Change” is a term Haines coined, that distills 20-plus change theories into a

simple way of understanding the dynamics of how to effect successful change of all types. The

model starts with the observation that life is full of cycles that are natural, normal,

historical facts of life, and that the pace of change is accelerating.

Haines believes that the concept of “organizational change” is a myth, and that change is

an individual, emotional, and psychological matter for each of us. The bigger the

organization, the more difficult it is to get everyone to change and focus on the customer

instead of on oneself alone. Thus, productivity, quality, and other results take a nose dive.

Things will almost always get worse before they get better. Therefore, leaders must

manage and lead themselves first, and only then, help others through the six stages of the

Rollercoaster. Everyone goes through these stages at different rates, depths, and times.

The stages are as follows:

1. Rollercoaster Stage 1: Smart Start – Plan–to–Plan Day, with senior management,

to get educated, assess the situation, and organize and tailor the change process

before the trainer begins. The process must be extremely precise in order to

significantly reduce the Rollercoaster effect and keep up morale and productivity.

2. Rollercoaster Stage 2: Shock and Denial – In the first week after announcing the

changes, senior management must be available to communicate the desired

changes and their rationale—over and over, face to face. The question is not “if”

employees will go through the Rollercoaster, but when, how deep, how long will

it take, and whether they will successfully reach the other side. Going through

Stages 4, 5 and 6 (Persevering, Hope and Rebuilding) are optional and depend on

effective change process leadership. The key is to help people understand “why”.

3. Rollercoaster Stage 3: Anger and Depression – This is a time of high uncertainty,

anxiety and resistance to change. Thus leaders need to spend a great deal of time

assisting all of their employees through the change. A “Catch 22” of the

Rollercoaster is the fact that once it begins, one cannot go back and erase what

has started. Instead, attempting to reverse changes already begun just kicks off

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another Rollercoaster, only this time from the spot at which the reversal attempt

was made. Since this is usually at Stage 3 , this new Rollercoaster will take

employees deeper down into depression. What helps people through Stage 3 is

the sequence of managers 1) listening, 2) asking questions, 3) empathizing, and,

only then, 4) explaining the vision and why it is significant. Letting people

experience firsthand the executive decision-maker’s presence and rationale for the

change is also crucial.

4. Rollercoaster Stage 4: Hang-In and Persevere – Perseverance is key at this step. It

is where change often fails because people can’t stand the pain and emotion and

try to “quit” the change, only to have it get worse (a new change curve kicked off

from a lower point). The need for hanging in and persevering during the change is

the essence of good change management

5. Rollercoaster Stage 5: Hope and Readjustment- At this stage, leaders must help

clarify each person’s new role and the required new expectations of performance,

then find ways to gain maximum involvement and understanding of WIIFM

(What’s In It For Me) by everyone on how it is to their personal advantage to

achieve the firm’s new vision and/or values and culture. The only way through

Stage 5 is through leadership. Involving people in some aspect of the change to

control their destiny is essential for the adjustment and hope of Stage 5. The key

is involvement in the “how to”; the “what” should already have been decided in a

participative fashion, since “People support what they help create.”

6. Rollercoaster Stage 6: Rebuilding and Productivity – Refreezing/renewing and

maintaining stability/flexibility at this stage is the key to recovering productivity.

All of the first 5 Stages are about focusing on the person and not the organization;

customers often get ignored until Stage 6, in which leaders empower the fully

committed individuals and teams toward their vision and values. This stage

highlights the difficulty in creating a critical mass in support of the desired

changes. The importance of getting people to not only “buy-in,” but also to “stay-

in” throughout the Rollercoaster (and its bottoming out) process is critical. At this

point, leaders will begin to make other incremental changes in response to

changing conditions. This continues indefinitely (i.e., continual improvement).

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Four (Five) Stages of Team Development – Bruce Tuckman

Tuckman theorizes that these phases are all necessary and inevitable in order for the team to

grow, to face up to challenges, to tackle problems, to find solutions, to plan work, and to deliver

results. This model has become the basis for subsequent models. The five stages are as follows:

Forming

In the first stages of team building, the forming of the team occurs. The individual's behavior is

driven by a desire to be accepted by the others, and avoid controversy or conflict. Serious issues

and feelings are avoided, and people focus on being busy with routines such as team organization,

who does what, when to meet, etc. Individuals are also gathering information and impressions –

about each other, and about the scope of the task and how to approach it. This is a comfortable

stage, but the avoidance of conflict and threat means that not much actually gets done.

The team meets and learns about the opportunities and challenges, and then agrees on goals and

begins to tackle the tasks. Team members tend to behave quite independently. They may be

motivated but are usually relatively uninformed of the issues and objectives of the team. Team

members are usually on their best behavior but very focused on themselves. Mature team

members begin to model appropriate behavior even at this early phase. Sharing the knowledge of

the concept of "Teams - Forming, Storming, Norming, Performing" is extremely helpful to the

team. Supervisors of the team tend to need to be directive during this phase.

The forming stage of any team is important because in this stage, the members of the team get to

know one another, exchange some personal information, and make new friends. This is also a

good opportunity to see how each member of the team works as an individual and how they

respond to pressure.

Storming

Every group will next enter the storming stage in which different ideas compete for consideration.

The team addresses issues such as what problems they are really supposed to solve, how they will

function independently and together and what leadership model they will accept. Team members

open up to each other and confront each other's ideas and perspectives. In some cases, storming

can be resolved quickly. In others, the team never leaves this stage. The maturity of some team

members usually determines whether the team will ever move out of this stage. Some team

members will focus on minutiae to evade real issues.

The storming stage is necessary to the growth of the team. It can be contentious, unpleasant and

even painful to members of the team who are averse to conflict. Tolerance of each team member

and their differences should be emphasized. Without tolerance and patience, the team will fail.

2 | P a g e

This phase can become destructive to the team and will lower motivation if allowed to get out of

control. Some teams will never develop past this stage.

Supervisors of the team during this phase may be more accessible, but tend to remain directive in

their guidance of decision-making and professional behavior. The team members will therefore

resolve their differences and members will be able to participate with one another more

comfortably. The ideal is that they will not feel that they are being judged, and will therefore

share their opinions and views.

Norming

The team manages to have one goal and come to a mutual plan for the team at this stage. Some

may have to give up their own ideas and agree with others in order to make the team function. In

this stage, all team members take the responsibility and have the ambition to work for the success

of the team's goals.

Performing

It is possible for some teams to reach the performing stage. These high-performing teams are

able to function as a unit as they find ways to get the job done smoothly and effectively without

inappropriate conflict or the need for external supervision. By this time, they are motivated and

knowledgeable. The team members are now competent, autonomous and able to handle the

decision-making process without supervision. Dissent is expected and allowed as long as it is

channeled through means acceptable to the team.

Supervisors of the team during this phase are almost always participative. The team will make

most of the necessary decisions. However, even the most high-performing teams will revert to

earlier stages in some circumstances. Many long-standing teams go through these cycles many

times as they react to changing circumstances. For example, a change in leadership may cause the

team to revert to storming as new people challenge the existing norms and dynamics of the team.

Adjourning (and Transforming)

In 1977, Tuckman, jointly with Mary Ann Jensen, added a fifth stage to the 4 stages: adjourning,

that involves the process of "unforming" the group, letting go of the group structure and moving

on. Some authors describe this stage as “Deforming and Mourning”, recognizing the sense of loss

sometimes felt by team members. Adjourning involves dissolution. It entails the termination of

roles, the completion of tasks and reduction of dependency. The process can be stressful,

particularly when the dissolution is unplanned.

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Diffusion of Innovations - Everett Rogers

Diffusion of innovations is a theory that seeks to explain how, why, and at what rate new ideas

and technology spread through cultures. Everett Rogers, a professor of communication studies,

popularized the theory in his book Diffusion of Innovations, first published in 1962. According to

Rogers, four main elements influence diffusion, namely innovations, communication channels,

time, and social systems:

1. Innovation: Rogers defines an innovation as an idea, practice or object that an individual

perceives as new

2. Communication channels: The ways in which messages travel from one individual to

another

3. Time: Time is relevant to both the innovation-decision period (the length of time required

to pass through the innovation-decision process) and the rate of adoption (the relative

speed with which an innovation is adopted by members of a social system).

4. Social Systems: defined as a set of interrelated units that are engaged in joint problem

solving to accomplish a common goal

According to Rogers, the innovation decision process consists of five stages of adoption:

Knowledge, Persuasion, Decision, Implementation and Confirmation.

1. Knowledge: In this stage the individual is first exposed to an innovation but lacks

information about the innovation. During this stage, the individual has not been inspired

to find more information about the innovation.

2. Persuasion: In this stage the individual is interested in the innovation and actively seeks

information/detail about the innovation.

3. Decision: In this stage the individual weighs the advantages/disadvantages of using the

innovation and decides whether to adopt or reject it. Due to the individualistic nature of

decision-making, Rogers notes that it is the most difficult stage about which to acquire

empirical evidence (Rogers 1964, p. 83).

4. Implementation: In this stage the individual employs the innovation to a varying degree

depending on the situation. During this stage the individual determines the usefulness of

the innovation and may search for further information about it.

5. Confirmation: Although the name of this stage may be misleading, in this stage the

individual finalizes his/her decision to continue using the innovation and may use the

innovation to its fullest potential.

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In Rogers’ model, the five adopter categories are: Innovators, Early Adopters, Early Majority, Late

Majority, and Laggards:

1. Innovators: Innovators are the first individuals to adopt an innovation. Innovators as a

group are willing to take risks, youngest in age, have the highest social class, have great

financial lucidity, are very social and have closest contact to scientific sources and

interaction with other innovators. Risk tolerance allows them to adopt technologies

which may ultimately fail. Financial resources help absorb these failures. (Rogers 1962 5th

ed, p. 282)

2. Early Adopters: This is the second fastest category of individuals who adopt an

innovation. These individuals as a group have the highest degree of opinion leadership

among the other adopter categories. Early adopters are typically younger in age, have a

higher social status, have more financial lucidity, advanced education, and are more

socially forward than late adopters, but are more discrete in adoption choices than

innovators. They realize judicious choices of adoption will help them maintain central

communication position (Rogers 1962 5th ed, p. 283).

3. Early Majority: Individuals in this category adopt an innovation after a varying degree of

time. This time of adoption is significantly longer than the innovators and early adopters.

Early Majority tend to be slower in the adoption process, have above average social

status, contact with early adopters, and seldom hold positions of opinion leadership in a

system (Rogers 1962 5th ed, p. 283)

4. Late Majority: Individuals in this category will adopt an innovation after the average

member of the society. This group approaches an innovation with a high degree of

skepticism and after the majority of society has adopted the innovation. Late Majority

typically have below average social status, very little financial lucidity, are in contact with

others in late majority and early majority, and have very little opinion leadership.

5. Laggards: Individuals in this category are the last to adopt an innovation. Unlike some of

the previous categories, individuals in this category show little to no opinion leadership.

These individuals typically have an aversion to change and tend to be advanced in age.

Laggards typically tend to be focused on “traditions”, are likely to have lowest social

status, lowest financial fluidity, be the oldest of all other adopters, and in contact with

only family and close friends.

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Rogers defines several intrinsic characteristics of innovations that influence an individual’s

decision to adopt or reject an innovation:

1. Relative advantage: The individual’s perception of how much improved an innovation is

over the previous generation

2. Compatibility: The ease with which the innovation can be assimilated into an individual’s

life.

3. Degree of Complexity: If the innovation is perceived as complicated or difficult to use, an

individual is unlikely to adopt it.

4. Trialability: The ease with which the individual can experiment with the innovation. If a

user is able to test an innovation, the individual will be more likely to adopt it.

5. Observability: The extent to which the innovation is visible to others. An innovation that

is more visible will drive communication among the individual’s contacts and will, in turn,

create more positive or negative reactions.

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Eight Steps in Leading Change - John P. Kotter

John P. Kotter is professor emeritus at Harvard Business School and a well-known speaker and

consultant on the topics of leadership and change. According to Kotter’s research, 70% of all

major change efforts in organizations fail, because organizations often do not take the holistic

approach required to see the change through. By following Kotter’s 8 Step Process, organizations

can avoid failure and become adept at change. By improving their ability to change, organizations

can increase their chances of success, both today and in the future. Without this ability to adapt

continuously, organizations cannot thrive.

The eight steps are as follows:

1. Create Urgency –Kotter suggests that for change to be successful, 75% of a company's

management needs to support the change, so a primary early task is to develop a sense of

urgency concerning the need for change. This can involve a full SWOT analysis, scenario

planning and full deployment of all the strategic planning tools. Results of analysis and

early conclusions should be thoroughly tested with informed third party opinion and a

wide cross section of all stakeholders.

2. Form a guiding coalition – Change must be led, not merely managed. Building the

momentum for change requires a strong leadership and visible support from key people

within the organization. The coalition will involve a wide representation of the formal and

informal power-base within the organization. By working as a team, the coalition helps to

create more momentum and build the sense of urgency in relation to the need for change.

Kotter recognizes the importance of the emotional dimension and the energy that is

generated by a “mastermind” group all working together.

3. Develop a vision and strategy – A drive for change without a clear focus will rapidly lose

momentum unless leaders develop a clear vision of the future that is accompanied with a

clear description about how things will be different in the future. The vision must be

defined in such a way that it is capable of being expressed in a short “vision speech” that

conveys the heart of the change in less than 5 minutes. This also should be encapsulated

in a powerful one or two sentence summary. All members of the coalition must be fluent

in both of these vision statements, and leaders must work with the coalition to develop

the strategies that will deliver the vision.

4. Communicate the vision – Kotter maintains that change leaders must use every means at

their disposal to constantly communicate the new vision and key strategies that support

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that vision. This goes beyond the “special announcement” meetings and involves frequent

and informal face-to-face contact with people by all individual members of the coalition.

Email is not the appropriate communication vehicle, except in support of prior face-to-

face contact. The leaders must also visibly set the example, and at all times be available

and accessible to people, openly and honestly and addressing the emotional dimension of

the fears and concerns.

5. Enable action and removal of obstacles – In this stage, the change initiative moves

beyond the planning and the talking, and into practical action, as leaders put supportive

structures in place and empower and encourage people to take risks in pursuit of the

vision. In this stage, the change leader identifies and removes obstacles and obstructions

to change. This may also involve addressing resistant individuals and/or groups and

helping them to reorient themselves to the requirements of the new realities

6. Generate short-term wins – Kotter advises that early wins in the change process gives

people a clear sight of what the realized vision will be like. This is important to counteract

critics and negative influencers who may otherwise impede the progress of the initiative.

It is also important to recognize and reward the individuals who make these early gains

possible. Change leaders must look for – and create – opportunities for these early wins.

7. Hold the gains and build on change – Kotter argues that many change initiatives fail

because victory is declared too early; an early win by itself is not enough. In this stage,

leaders must increase the activity, change all systems and structures and processes that

don’t fit with the change initiative, and bring “new blood” into the coalition. This point

focuses on continuous improvement and each success (and failure) is an opportunity to

analyze what worked, what did not, and what can be improved.

8. Anchor changes in the culture – Kotter says that for any change to be sustained, it needs

to become embedded in the new “way we do things around here” – that is, the culture. A

major part of this is for the change leader to articulate the connections between new

behaviors and organizational success. The coalition team should talk about progress at

every opportunity. Tell success stories about the change process, and repeat other

success stories. This is successful if change leaders put forth continuous efforts to ensure

that the change is seen in every aspect of the organization.

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ADKAR

ADKAR is a goal-oriented change management model that focuses on change at an individual level

and the individual’s specific needs that will cause the individual to change behaviors to the desired

ways of working; thus, it allows change management teams to focus their activities on specific

business results. ADKAR was developed by Jeff Hiatt of Prosci Research in 1998, and was initially

used to determine whether change management efforts were bringing about the desired results.

It is now also used in planning and executing change within an organization.

ADKAR is the acronym for Awareness, Desire, Knowledge, Ability, and Reinforcement. These are

the elements of the most fundamental requirements for anyone to succeed and maintain change.

The model is a results-oriented change management tool that is simple and easy to understand,

yet very effective for leaders and change management teams. It was initially used as a tool for

determining if change management activities like communications and training were having the

desired results during organizational change. The model has its origins in aligning traditional

change management activities to a given result or goal. By identifying the required outcomes or

goals of change management, ADKAR becomes a useful framework for change management

teams in the planning and execution of their work.

The goals or outcomes defined by ADKAR are sequential and cumulative. An individual must

obtain each element in sequence in order for a change to be implemented and sustained.

Leaders can use this model to identify gaps in their change management process and to provide

effective coaching for employees. The ADKAR model can be used to:

• diagnose employee resistance to change

• help employees transition through the change process

• create a successful action plan for personal and professional advancement during change

• develop a change management plan for employees

This model can identify why changes are not working and help leaders in taking the necessary

steps to make the change successful. Leaders will be able to break down the change into parts,

understand where the change is failing and address that impact point.

The ADKAR model was first created by Prosci Research, a change management company, after

research with more than 300 companies undergoing major change projects. In 2006, Prosci

released the first complete text on the ADKAR model in Jeff Hiatt's book ADKAR: A Model for

Change in Business, Government and Our Community. This model is intended to be a coaching tool

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to help employees through the change process. To use the ADKAR model effectively, leaders must

understand the underlying framework for change initiatives. Change happens on two dimensions:

the business dimension and the people dimension. Change is successful when both dimensions of

change occur simultaneously.

Business dimension of change

The business dimension of change includes the typical project elements.

• Business need or opportunity is identified.

• Project is defined (scope and objectives).

• Business solution is designed (new processes, systems and organizational structure).

• New processes and systems are developed.

• Solution is implemented into the organization.

These are the standard elements of a business change that managers feel most comfortable

managing.

People dimension of change

Research shows that problems with the people dimension of change are the most commonly cited

reasons for project failures. In a study with 248 companies, effective change management with

employees was listed as one of the top-three overall success factors for the project. Helping

managers to be effective sponsors of change was considered the most critical success factor.

Effective management of the people dimension of change requires managing five key goals that

form the basis of the ADKAR model:

• Awareness of the need to change – Do you (or your staff) understand why the desired

change is needed? (What will be the result of the transition?)

• Desire to participate and support the change – Are you (or your staff) motivated to make

the desired change?

• Knowledge of how to change (and what the change looks like) – Do you (or your staff)

know how make the desired change happen?

• Ability to implement the change on a day-to-day basis – Have you (or your staff) been

given the right information and training?

• Reinforcement to keep the change in place – Do you (or your staff) have a system of

encouraging or keeping the change in place?

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Shingo Model for Operational Excellence (LEAN approach)

The Shingo Model is based on the lean management approach and model taught by Japanese

industrial engineer Dr. Shigeo Shingo. Shingo’s teachings described 3 levels of business

improvement (transformation): Principles, Systems, Tools and Techniques.

True innovation is not achieved by superficial imitation or isolated or random use of Tools &

Techniques and Systems (know how) but requires the understanding of the underlying Principle

(know why). Both know-how and know-why at the lowest level of the organization are required

for cultural transformation. The Shingo model is a principles-based process for embedding the

principles of organizational excellence into the organizational culture. The ultimate goal when

pursuing the model is cultural transformation through the integration of principles of operational

excellence across the enterprise to create a complete, systemic view that leads to consistent

achievement of results. The broader goal is to serve as a roadmap for organizations to a better

future state based on universal and timeless principles.

Tools and systems have been traditionally viewed as linear and independent, which causes slow

growth curve and a drop off of sustainment. Principles are not enough to accelerate a cultural

transformation. All three (principles, systems and tools) must be aligned to create the desired

traction required to transform a culture.

Principles and Values guide this thinking, which in turns guides behaviors. Behaviors define

culture. Principles guide the what, why and how of actions. Without constant attention, the

principles will fade, so they must be ingrained.

The Shingo model is both behavior driven and performance driven. Organizations must identify

what specific measures align with their goals and objectives, and they must also identify what

specific behaviors would be expected to accomplish those goals and objectives. The goal is to

create consistent, repeatable behavior to accomplish the performance measures. The Model is a

baseline to help managers identify where their company is on the journey to operational

excellence, and to assess the breadth and depth of transformation within the organization. It is an

engine for transforming the culture of an organization.

In short, the Shingo model encompasses the following view:

1. There is a clear and strong relationship between principles, systems, and tools.

2. Operational excellence requires focus on both behaviors and results.

3. Business and management systems drive behavior and must be aligned with correct

principles.

Office of the Provost

Basics of Strategy Planning

What is Strategic Planning?

Strategic planning is the process by which the guiding members of an organization envision its

future and develop the necessary procedures and operations to achieve that future.

- J. William Pfeiffer, Leonard D. Goodstein, and Timothy Nolan of University Associates, Inc.

2

Engage, Envision and Transform Strategic planning is aimed at engaging with work groups to envision the future

and manage the inevitable changes caused by economic conditions,

leadership, student, patient, or departmental needs and technology. It assists

organizations to help shape the future, rather than to simply prepare for or

adapt to the future. It also looks very carefully at current performance and

allows for analysis of the gaps between the present and the envisioned future.

Because all levels of staff and faculty are to be included in this process, all tasks

and positions are open to evaluation. The Applied Strategic Planning Model

looks at the values held and articulated by the organization and fits those

values into the mission of the organization and the plans that are made.

Decisions are made more easily and are consistent with predetermined goals,

values and missions.

Another goal of strategic planning is to transform the strategic plan into

individual plans and actions and to reward behavior accordingly.

Assumptions Around Strategic Planning

The process of planning is as important, as the product

It can be painful

It requires changing the culture of the organization

It is a crafting process

It develops the form and function of the department

An organizational development tool designed to influence the

future, to anticipate and respond appropriately to changing

times, to increase productivity and to develop consensus and

commitment. Strategic planning is about shaping change.

Strategic Planning in a Higher Education Setting

Features that distinguish strategic planning from prior management methods to help plan and make decisions.

Academic strategic decision making means that a college, school, or university and its leaders are active rather than passive about their position in history.

Strategic planning looks outward and is focused on keeping the institution in step with the changing environment.

Academic strategy making is competitive, recognizing that higher education is subject to economic market conditions and to increasingly strong competition.

Strategic planning concentrates on decisions, not on documented plans, analyses, forecasts and goals. Strategic planning is people acting decisively (and roughly in concert) to carry out a strategy they have helped devise.

Strategy making is a blend of rational and economic analysis, political maneuvering and psychological interplay. It is therefore participatory and highly tolerant of controversy.

Strategic planning concentrates on the fate of the institution above everything else.

- George Keller

Seven Questions for Strategy Planning 1. Who is your primary customer?

2. How do your core values prioritize shareholders, employees and customers?

3. What critical performance variables are you tracking?

4. What strategic boundaries have you set?

5. How are you generating creative tension?

6. How committed are your employees to helping each other?

7. What strategic uncertainties keep you awake at night?

“Stress-Test Your Strategy: The 7 Questions to Ask” by Robert Simons, November 2010 edition, Harvard Business Review

Strategic Planning Model

J. William Pfeiffer, Leonard D. Goodstein, and Timothy Nolan of University Associates, Inc

Phases of Planning: Planning to Plan

Done in conjunction with the top level management in the department or

school, this phase includes decisions on who will be involved in the

process, how long it will take, who will perform certain tasks or roles, and

other similar logistical issues.

Outcomes:

Identification of the planners and their roles (usually no more than 12)

Understanding and support for planners to reallocate their

responsibilities in order to participate

Awareness of the strategic planning model and the time frame (3–10

days in planning meetings over 9–12 months)

Determination of organizational assistance needed to enhance the

planning effort

Phases of Planning: Values Audit

This phase includes two parts:

First, a look at the values of individual members of the planning group

Second, a look at the current values of the organization, and how those

values are articulated or presented to the staff and constituencies. This is a

very important section of the strategic planning process because the values

held and espoused directly affect what will or will not be accomplished

within the work unit.

Outcomes:

Comparison of individual values

Agreement on shared organizational values

Statement of organizational values

Understanding of organizational culture and operating philosophies

Phases of Planning: Mission Formation

During this section of strategic planning the group will write a mission statement that clearly defines answers to three questions and defines the most important element: 1) what function does the department perform, 2) for whom and 3) how? Identifying the answers to these questions is often fairly easy; writing the mission statement to the group’s satisfaction is most difficult.

Outcomes:

Identification of organization’s primary mission and what makes it distinctive

Understanding of who the organization is primarily serving

Understanding of how the organization does its work

Agreed upon mission statement (Clear, brief, realistic, reflective of values, energizing)

Consideration of the positive and negative consequences of expanding or contracting the current mission

Phases of Planning: Strategic Goal Setting

This phase works on envisioning the future, and defining goals and directions in the context of the functions the department wants to perform. It looks at how to measure success, how to achieve it and how these elements fit within the mission of the unit. Decision making criteria is also determined in this phase.

Outcomes:

Understanding of planners’ orientation to creativity and risk

Identification of critical success measures

Understanding of primary functions/program areas

Understanding of the kind of culture needed to support the plan

Phases of Planning: Performance Audit

This audit analyzes the current or recent performance of the department. Discussion of internal strengths and weaknesses and external opportunities and threats is begun here. This phase looks at communication methods, how tasks get completed, how duties are allocated and assessment of productivity.

Outcomes:

Determination of how the performance audit will be conducted

Understanding of strengths, weaknesses, opportunities and threats to the organization

Measurement of the current performance of the organization

Phases of Planning: Gap Analysis

The gap analysis is a comparison of the performance audit and the envisioned future. Plans are made to address any gaps.

This phase can be disheartening to some if the gaps are large between current and desired performance.

Outcomes:

Identification of the gaps between current performance and desired performance

Development of strategies to bridge the gaps, such as broadening the time frame, reducing the scope of the objective, reallocating resources to focus effort, or obtaining new resources

Phases of Planning: Contingency Planning

This phase includes considerations of any opportunities or threats which may occur to jeopardize the strategic plan. Examples might include changing economic times, a decrease in enrollments, leadership shifts or the assignment of new divisions or functions. The planners will develop indicators and plans to deal with contingencies based on factors that could affect the organization.

Outcomes:

Understanding of the most important and probable internal and external vulnerabilities of, and opportunities for, the organization

Understanding of the point at which to take action if the contingency comes true

Developing and Integrating

Phases of Planning: Functional Plans

This phase includes the development of functional plans and budgets (general-not overly detailed) by the units/teams. Plans which may be included are financial, human resources, operations, customer service and perhaps marketing. The plans should be completed before budget decisions are made so that they may be prioritized and incorporated. Plans are then checked against organizational values and the mission statement. This phase entails group agreement to work together, share resources and support each approved plan.

Outcomes:

Consideration of appropriate organizational structure needed to make the plan successful

Identification of functions to submit supporting plan

Overall resource review (budgets, resources needed, etc.)

Understanding of predicted conflict between areas

Phases of Planning: Implementation

The final phase involves taking the action plans and integrating them within the organization. Implementation is the step in the strategic plan when the plans become functional. A review of the process, plans to evaluate progress, and a reward system need to be incorporated in this phase as well. Finally, the plan should capture the commitment of the organization, be consistent with its values, beliefs and culture, and spur the unit into action.

Outcomes:

Creation of a communications plan to reinforce the strategic plan with all impacted.

Identification of any changes needed to support the plan, e.g., management structure, reward system and/or information systems.

Identification of ongoing training and tools needed to manage strategically.

Balanced Scorecard Strategy Structure of the Scorecard

Strategy is an organization’s plan to look forward

Initiatives are the key action programs needed to achieve the strategy

Illustrates patterns to examine past performance

Measures are chosen to track success

Targets are the level of performance needed

Financial

Financial performance

Customer

Identification of the customer segments and what they value

Internal Process

Work flow towards accomplishment of strategies

Learning and Growth

The employees, organizational structure, capacity, and training and development

F2 Administration Strategy Map 2010-2013

Attract and Retain a Talented and Diverse Staff

Improve Operational Excellence

Foster

collaborative

relationships

Value to You, Our Customer

Lead and support F2/STEAM to

achieve its objectives, mission and

vision

Help solve complex University-

wide problems

Create and manage

communications to tell the F2

story

Mission

We help people who change the world

Vision

We are a leader, catalyst and trusted consultant in managing

strategy, learning and continuous improvement

Values: Collaboration • Diversity • Excellence • Learning • Innovation • Integrity • Respect • Teamwork

Enhance

leadership effectiveness

Develop

individuals

to their full

potential

Lead strategic

UW-wide

Projects and

initiatives

Consistently

exceed customer

expectations

Improve,

streamline and

innovate

Enhance Resources

Create and lead F2-wide metrics

and information management

tools

Provide key input for informed

decisions on human, financial,

and physical assets

Provide customized consulting &

services

Recognize

performance

excellence

Adopted June 11th, 2010

Enhance Resources

Vision Values

UW achieves climate neutrality by 2050 and is a world wide leader in

environmental stewardship

Mission

Re-Drafted, June 22, 2010

Environmental Stewardship & Sustainability Office Strategy Map for 2010–2020

Value to You, Our Customer

Attract and Retain a Talented and Diverse Staff Improve Operational Excellence

Improve, streamline

and innovate

Provide project management

support to solve sustainability

issues/problems

Build UW- wide environ-

mental literacy

Acknowledge/ reward

sustainability leadership

Model and teach sustainable

individual and office behaviors

We help the UW achieve its environmental stewardship

goals

• Collaboration • Diversity • Excellence • Innovation

• Integrity • Respect

Identify funding to support CAP and UW

sustainability

Provide administrative support for CAP and Environmental

Stewardship Advisory Committee

•Teamwork •Sustainability

Keep UW community informed on Climate Action Plan (CAP) and

UW sustainability activities

Provide contact point for CAP/ESS efforts

Manage Campus Sustainability Fund and student engagement

Foster faculty, student, staff collaboration

Support UW sustainability

network

Leading the Effort: Your Role The leader/planner role varies depending of the leader’s skills, abilities and interests, and those of the department he or she is leading. However, Mintzberg identifies several key qualities of the planner:

1. Planners are crafters: they must have intimate knowledge of the area being studied and be flexible to shift as needed (think of a potter).

2. Planners see patterns in action and plan for the future with consideration from patterns from the past.

3. Planners understand that strategies need not be deliberate, they can emerge and form, as well as be formulated.

4. Planners manage strategy—they are involved, responsive, sensitive, encouraging, have individual vision and are continuous learners.

5. Planners manage stability—they know the subject area, detect discontinuity, manage patterns and reconcile change and continuity.

Leading the Effort: Your Role Structural Alternatives

Do it alone and present to department/ guiding members

Do it alone, ask for response and revise based on input

Charter strategic planning team

Leader drafts plan for consideration

Leader leads team based effort to draft plan

Team prepares plan and presents to leader

Find a consultant to lead team through the effort

Check with other leaders and institutions for their models

Leadership Style Considerations

Who should be involved with the effort? Faculty, staff, visiting committees, customers, etc.

Who else outside the department should I talk to? Units, colleges, peers, business, etc.

What changes are occurring in your discipline, on campus, in the state or in the US that might influence your plan?

How will you communicate about the planning effort and final plan?

What is your role as coordinator of the effort: a visionary, a doer, a meeting leader, a member, etc.?

Timeline Example

February 11:

Finalize and communicate plan

January 11:

Review action plans

Discuss and roll out communications

November 10:

Plan to plan: structure and participants

Begin planning meetings, draft pieces

December 10:

Agree to priorities, assign leader

Agree to mission, vision, values, strategies, goals

In between meetings: • Small group meetings

• Word smithing the documents

• Review drafts • Draft action plans (who,

what, how, resources) • SWOT Analysis

• Develop Metrics

SWOT Assessment Model Organizational assets, resources, people, culture, systems,

partnerships, suppliers, etc.

Strengths

Weaknesses

Marketplace, competitors, social trends, technology, regulatory environment, economic cycles

Opportunities

Threats

Internal Assessment

External Assessment

SWOT Assessment Model Strengths

Those things that you do well, the high value or performance points

Strengths can be tangible: Loyal customers, efficient distribution channels, very high quality products, excellent financial condition

Strengths can be intangible: Good leadership, strategic insights, customer intelligence, solid reputation, highly skilled workforce

Often considered “Core Competencies” – Best leverage points for growth without draining your resources

Opportunities

Potential areas for growth and higher performance

External: marketplace, unhappy customers using your competitors, better economic conditions, alternative funding sources

Internal: classified as strengths

Timing may be important for capitalizing on opportunities.

SWOT Assessment Model Weaknesses

Those things that prevent you from doing what you really need to do

Since weaknesses are internal, they are within your control

Weaknesses include: Bad leadership, unskilled workforce, insufficient resources, poor product quality, slow distribution and delivery channels, outdated technologies, lack of planning . . .

Threats

Challenges confronting the organization, external in nature

Threats can be wide-ranging– bad press coverage, shifts in consumer behavior, substitute products, new regulations . . .

It may be useful to classify or assign probabilities to threats

The more accurate you are in identifying threats, the better position you are for dealing with the “sudden ripples” of change

Visioning

POINT 2 POINT 3 POINT 1

POINT 4

Where we are now

How to get there and close the gap

Ideal state of where we want to be

Actual state after gap analysis

Step 1: Define the ideal state in the future (POINT 1) Step 2: Diagnose where we are now (POINT 2)

Step 3: Action plan for how to get from POINT 2 to POINT 1 Step 4: Where did we really end up (POINT 4)

Communicating with Others

Who Needs To Know?

Deans, directors, administration, faculty, students, staff, customers,

visiting committees?

How Can They Find Out?

Emails, newsletters, web pages, departmental meetings, word of

mouth?

What Do People Need To Know?

Ideas, possible changes, timelines, who’s involved?

How Frequently Do They Need To Know?

After each meeting, quarterly, after the plan is completed?

What Do I Need From Them?

Input, questions, ideas, feedback?

Implementation Questions

How do you know you are future-focused, rather than today/to-do focused?

How will you free up time to do this?

Do you have a method for rewarding efforts to make strategic change?

How will you make new improvements?

How will you keep track of the changing environment?

What metrics will you use?

Strategic Planning Summary Is future focused

Is leadership driven

Provides for a high level of organizational involvement

Allows contention within the broad framework of the organization’s goals

Creates broad objectives that encompass organization purpose and culture

Produces a plan that is widely understood and accepted

Produces a plan that is both comprehensive and detailed

Is a model that can be rigorously applied

Provides the energizing force to drive the needed changes

Will enable an organization to create and achieve its ideal future

Allows dialog to take place in a continuous and interactive manner

Is measurable

Resources & Tools

32

Mission Building

33

Mission How? (Methods)

What? (Content of what you do)

Who? (Students, faculty,

donors, customers, suppliers)

STRATEGY MAP TEMPLATE

FINANCIAL

MISSION

VISION

CUSTOMER

INTERNAL PROCESS LEARNING & GROWTH

Resources Articles and Books

Academic Strategy: The Management Revolution in American Higher Education, George Keller, 1983

Applied Strategic Planning: An Introduction, Goodstein, Nolan and Pfeiffer, 1992

Applied Strategic Planning: An Overview, Goodstein, Nolan and Pfeiffer, 1992

Crafting Strategy, Henry Mintzberg & Harvard Business Review, no 87407

Department of Civil Engineering Strategic Plan, 1998

Changing the Role of Top Management: Beyond Strategy to Purpose, Christopher A. Bartlett and Sumantra

Ghoshal, Harvard Business Review, November–December 1994

Reviewing Objectives and Strategies: A Planning Task for Managers, 1982 Annual for Facilitators, Trainers and

Consultants, University Associates

Shaping Strategic Planning, William Pfeiffer, 1989,

Steps to Strategic Success, Robert Kaufman, Training and Development, May 1992

Strategic Planning: An Overview, Robert C. Shirley, New Directions in Higher Education, No. 64, Winter 1988

Stress-Test Your Strategy: The 7 Questions to Ask., Robert L. Simons, Harvard Business Review, November 2010

The Vision Thing, Chris Lee, Training, February 1993

The Balanced Scorecard—translating Strategy Into Action. Boston: Harvard Business School, 1996.

Using The Balanced Scorecard As A Strategic Management System. HBR 74, no.1 (January—February 1996):

75+.

Tips for Effective Strategic Planning, Christine D. Keen, HR Magazine, August 1994

Resources

Trainers/Consultants/Facilitators

American Society for Training and Development (206-224-6644)

Balanced Scorecard Collaborative (training, consulting, materials): http://www.bscol.com/Center for

Instructional Development and Research (206-543-6588)

UW Professional and Organizational Development (206-543-1957) has a staff of facilitators who can help

guide the strategic planning effort

Organizational Effectiveness Initiative

Deborah Flores, Director

dflores@uw.edu, 206 – 616 – 0804

Laurin Gaudinier, Metrics Analyst & Reporting Specialist

laurinmg@uw.edu, 206 – 616 – 7174

Sherry Steinaway, OD & Process Improvement Specialist

sherry@uw.edu, 206 – 685 – 6071

website: https://depts.washington.edu/oei/

email: oei@uw.edu

Organizational Effectiveness Initiative Contact Information

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SWOT Analysis

Discover new opportunities. Manage and eliminate threats. SWOT Analysis is a useful technique for understanding your Strengths and Weaknesses, and for identifying both the Opportunities open to you and the Threats you face. What makes SWOT particularly powerful is that, with a little thought, it can help you uncover opportunities that you are well placed to exploit. And by understanding the weaknesses of your business, you can manage and eliminate threats that would otherwise catch you unawares. More than this, by looking at yourself and your competitors using the SWOT framework, you can start to craft a strategy that helps you distinguish yourself from your competitors, so that you can compete successfully in your market. How to Use SWOT Analysis Originated by Albert S Humphrey in the 1960s, SWOT Analysis is as useful now as it was then. You can use it in two ways - as a simple icebreaker helping people get together to "kick off" strategy formulation, or in a more sophisticated way as a serious strategy tool. Tip: Strengths and weaknesses are often internal to your organization, while opportunities and threats generally relate to external factors. For this reason the SWOT Analysis is sometimes called Internal-External Analysis and the SWOT Matrix is sometimes called an IE Matrix. To help you to carry out a SWOT Analysis, write down answers to the following questions. Strengths:

What advantages does your organization have? What do you do better than anyone else? What unique or lowest-cost resources can you draw upon that others can't? What do people in your market see as your strengths? What factors mean that you "get the sale"? What is your organization's Unique Selling Proposition (USP)?

Consider your strengths from both an internal perspective, and from the point of view of your customers and people in your market. You should also be realistic - it's far too easy to fall prey to "not invented here syndrome." Also, if you're having any difficulty with this, try writing down a list of your organization's characteristics. Some of these will hopefully be strengths! When looking at your strengths, think about them in relation to your competitors. For example, if all of your competitors provide high quality products, then a high quality production process is not a strength in your organization's market, it's a necessity. Weaknesses:

What could you improve? What should you avoid? What are people in your market likely to see as weaknesses? What factors lose you sales?

Again, consider this from an internal and external basis: Do other people seem to perceive weaknesses that you don't see? Are your competitors doing any better than you? It's best to be realistic now, and face any unpleasant truths as soon as possible.

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Opportunities:

What good opportunities can you spot? What interesting trends are you aware of?

Useful opportunities can come from such things as: Changes in technology and markets on both a broad and narrow scale. Changes in government policy related to your field. Changes in social patterns, population profiles, lifestyle changes, and so on. Local events.

Tip: A useful approach when looking at opportunities is to look at your strengths and ask yourself whether these open up any opportunities. Alternatively, look at your weaknesses and ask yourself whether you could open up opportunities by eliminating them. Threats

What obstacles do you face? What are your competitors doing? Are quality standards or specifications for your job, products or services changing? Is changing technology threatening your position? Do you have bad debt or cash-flow problems? Could any of your weaknesses seriously threaten your business?

Tip: When looking at opportunities and threats, PEST Analysis can help to ensure that you don't overlook external factors, such as new government regulations, or technological changes in your industry. Further SWOT Tips If you're using SWOT Analysis as a serious tool (rather than as a casual "warm up" for strategy formulation), make sure you're rigorous in the way you apply it:

Only accept precise, verifiable statements ("Cost advantage of US$10/ton in sourcing raw material x", rather than "Good value for money").

Ruthlessly prune long lists of factors, and prioritize them, so that you spend your time thinking about the most significant factors.

Make sure that options generated are carried through to later stages in the strategy formation process. Apply it at the right level - for example, you might need to apply SWOT Analysis at product or product-line

level, rather than at the much vaguer whole company level. Use it in conjunction with other strategy tools (for example, USP Analysis and Core Competence Analysis)

so that you get a comprehensive picture of the situation you're dealing with. Example SWOT A start-up small consultancy business might draw up the following SWOT Analysis: Strengths:

We are able to respond very quickly as we have no red tape, and no need for higher management approval.

We are able to give really good customer care, as the current small amount of work means we have plenty of time to devote to customers.

Our lead consultant has strong reputation in the market. We can change direction quickly if we find that our marketing is not working. We have low overheads, so we can offer good value to customers.

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Weaknesses: Our company has little market presence or reputation. We have a small staff, with a shallow skills base in many areas. We are vulnerable to vital staff being sick, and leaving. Our cash flow will be unreliable in the early stages.

Opportunities: Our business sector is expanding, with many future opportunities for success. Local government wants to encourage local businesses. Our competitors may be slow to adopt new technologies.

Threats: Developments in technology may change this market beyond our ability to adapt. A small change in the focus of a large competitor might wipe out any market position we achieve.

As a result of their SWOT Analysis, the consultancy may decide to specialize in rapid response, good value services to local businesses and local government. Marketing would be in selected local publications to get the greatest possible market presence for a set advertising budget, and the consultancy should keep up-to-date with changes in technology where possible. Key Points SWOT Analysis is a simple but useful framework for analyzing your organization's strengths and weaknesses, and the opportunities and threats that you face. It helps you focus on your strengths, minimize threats, and take the greatest possible advantage of opportunities available to you. SWOT Analysis can be used to "kick off" strategy formulation, or in a more sophisticated way as a serious strategy tool. You can also use it to get an understanding of your competitors, which can give you the insights you need to craft a coherent and successful competitive position. When carrying out your SWOT Analysis, be realistic and rigorous. Apply it at the right level, and supplement it with other option-generation tools where appropriate.

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PEST Analysis

Understanding "Big Picture" Forces of Change Also PESTLE, PESTEL, PESTLIED, STEEPLE & SLEPT. PEST Analysis is a simple but important and widely-used tool that helps you understand the big picture of the Political, Economic, Socio-Cultural and Technological environment you are operating in. PEST is used by business leaders worldwide to build their vision of the future. It is important for these reasons:

By making effective use of PEST Analysis, you ensure that what you are doing is aligned positively with the forces of change that are affecting our world. By taking advantage of change, you are much more likely to be successful than if your activities oppose it.

Good use of PEST Analysis helps you avoid taking action that is condemned to failure for reasons beyond your control.

PEST is useful when you start operating in a new country or region. Use of PEST Analysis helps you break free of unconscious assumptions, and helps you quickly adapt to the realities of the new environment.

How to Use the Tool: PEST is a simple mnemonic standing for Political, Economic, Socio-Cultural and Technological. Please see worksheet on the following page. Using the tool is a three stage process:

First, you brainstorm the relevant factors that apply to you, using the prompts below. Second, you identify the information that applies to these factors. Third, you draw conclusions from this information.

Tip: The important point is to move from the second step to the third step: it is sterile just to describe factors without thinking through what they mean. However, be careful not to assume that your analysis is perfect: use it as a starting point, and test your conclusions against the reality you experience. The following prompts may help as a starting point for brainstorming (but make sure you include others that may be appropriate to your situation): Political:

Government type and stability. Freedom of press, rule of law and levels of bureaucracy and corruption. Regulation and de-regulation trends. Social and employment legislation. Tax policy, and trade and tariff controls. Environmental and consumer-protection legislation. Likely changes in the political environment .

Economic: Stage of business cycle. Current and projected economic growth, inflation and interest rates. Unemployment and labor supply. Labor costs. Levels of disposable income and income distribution. Impact of globalization. Likely impact of technological or other change on the economy. Likely changes in the economic environment.

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Socio-Cultural: Population growth rate and age profile. Population health, education and social mobility, and attitudes to these. Population employment patterns, job market freedom and attitudes to work. Press attitudes, public opinion, social attitudes and social taboos. Lifestyle choices and attitudes to these. Socio-cultural changes.

Technological Environment: Impact of emerging technologies. Impact of Internet, reduction in communications costs and increased remote working. Research & Development activity. Impact of technology transfer.

Other forms of PEST – PESTLE, PESTLIED, STEEPLE and SLEPT: Some people prefer to use different flavors of PEST Analysis. These are:

PESTLE/PESTEL: Political, Economic, Sociological, Technological, Legal, Environmental. PESTLIED: Political, Economic, Social, Technological, Legal, International, Environmental, Demographic. STEEPLE: Social/Demographic, Technological, Economic, Environmental, Political, Legal, Ethical. SLEPT: Social, Legal, Economic, Political, Technological.

Choose the flavor that most suits you! Key Points: PEST Analysis is a useful tool for understanding the ‘big picture’ of the environment in which you are operating, and for thinking about the opportunities and threats that lie within it. By understanding your environment, you can take advantage of the opportunities and minimize the threats. PEST is a mnemonic standing for Political, Economic, Social and Technological. These headings are used first to brainstorm the characteristics of a country or region and, from this, draw conclusions as to the significant forces of change operating within it. This provides the context within which more detailed planning can take place, so that you can take full advantage of the opportunities that present themselves.

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PEST Analysis Worksheet

© Mind Tools Ltd. 2006-2011

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Plan-Do-Check-Act (PDCA)

Implementing new ideas in a controlled way Also known as the PDCA Cycle, or Deming Cycle Something needs to change: Something's wrong, and needs to be fixed, and you've worked hard to create a credible vision of where you want it to be in future. But are you 100% sure that you're right? And are you absolutely certain that your solution will work perfectly, in every way? Where the consequences of getting things wrong are significant, it often makes sense to run a well-crafted pilot project. That way if the pilot doesn't deliver the results you expected, you get the chance to fix and improve things before you fully commit your reputation and resources. So how do you make sure that you get this right, not just this time but every time? The solution is to have a process that you follow when you need to make a change or solve a problem; A process that will ensure you plan, test and incorporate feedback before you commit to implementation. A popular tool for doing just this is the Plan-Do-Check-Act Cycle. This is often referred to as the Deming Cycle or the Deming Wheel after its proponent, W Edwards Deming. It is also sometimes called the Shewhart Cycle. Deming is best known as a pioneer of the quality management approach and for introducing statistical process control techniques for manufacturing to the Japanese, who used them with great success. He believed that a key source of production quality lay in having clearly defined, repeatable processes. And so the PDCA Cycle as an approach to change and problem solving is very much at the heart of Deming's quality-driven philosophy. The four phases in the Plan-Do-Check-Act Cycle involve:

Plan: Identifying and analyzing the problem. Do: Developing and testing a potential solution. Check: Measuring how effective the test solution was, and analyzing whether it could be improved in any

way. Act: Implementing the improved solution fully.

These are shown in Figure 1 below.

Figure 1. Plan-Do-Check-Act Cycle

There can be any number of iterations of the "Do" and "Check" phases, as the solution is refined, retested, re-refined and retested again.

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How to Use the Tool The PDCA Cycle encourages you to be methodical in your approach to problem solving and implementing solutions. Follow the steps below every time to ensure you get the highest quality solution possible. Step 1: Plan: First, identify exactly what your problem is. You may find it useful to use tools like Drill Down, Cause and Effect Diagrams, and the 5 Whys o help you really get to the root of it. Once you've done this, it may be tappropriate for you to map the process is at the root of the problem. Next, draw together any other that information you need that will help you start sketching out solutions. Step 2: Do: This phase involves several activities:

Generate possible solutions. Select the best of these solutions, perhaps using techniques like Impact Analysis them. to scrutinize Implement a pilot project on a small scale basis, with a small group, or in a limited geographical area, or

using some other trial design appropriate to the nature of your problem, product or initiative. Note: The phrase "Plan Do Check Act" or PDCA is easy to remember, but it's important you are quite clear exactly what "Do" means. ""Do" means "Try" or "Test". It does not mean "Implement fully." Full implementation happens in the "Act" phase. Step 3: Check: In this phase, you measure how effective the pilot solution has been, and gather together any learnings from it that could make it even better. Depending on the success of the pilot, the number of areas for improvement you have identified, and the scope of the whole initiative, you may decide to repeat the "Do" and "Check" phases, incorporating your additional improvements. Once you are finally satisfied that the costs would outweigh the benefits of repeating the Do-Check sub-cycle any more, you can move on to the final phase. Step 4: Act: Now you implement your solution fully. However, your use of the PDCA Cycle doesn't necessarily stop there. If you are using the PDCA or Deming Wheel as part of a continuous improvement initiative, you need to loop back to the Plan Phase (Step 1), and seek out further areas for improvement. When to use the Deming Cycle The Deming Cycle provides a useful, controlled problem solving process. It is particularly effective for:

Helping implement Kaizen Improvement approaches, when the cycle is repeated again and or Continuous again as new areas for improvement are sought and solved.

Identifying new solutions and improvement to processes that are repeated frequently. In this situation, you will benefit from extra improvements built in to the process many times over once it is implemented.

Exploring a range of possible new solutions to problems, and trying them out and improving them in a controlled way before selecting one for full implementation.

Avoiding the large scale wastage of resources that comes with full scale implementation of a mediocre or poor solution.

Clearly, use of a Deming Cycle approach is slower and more measured than a straightforward "gung ho" implementation. In true emergency situations, this means that it may not be appropriate (however, it's easy for people to think that situations are more of an emergency than, in reality, they really are...)

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Mind Maps

Mind Maps® : A Powerful Approach to Note-Taking (Also known as Mind Mapping, Concept Mapping, Spray Diagrams, and Spider Diagrams) "Mind Map" is a trademark of the Buzan Organization. Have you ever studied a subject or brainstormed an idea, only to find yourself with pages of information, but no clear view of how it fitted together? This is where Mind Mapping can help you. Mind Mapping is a useful technique that helps you learn more effectively, improves the way that you record information, and supports and enhances creative problem solving. By using Mind Maps, you can quickly identify and understand the structure of a subject. You can see the way that pieces of information fit together, as well as recording the raw facts contained in normal notes. More than this, Mind Maps help you remember information, as they hold it in a format that your mind finds easy to recall and quick to review. About Mind Maps Mind Maps were popularized by author and consultant, Tony Buzan. They use a two-dimensional structure, instead of the list format conventionally used to take notes. Mind Maps are more compact than conventional notes, often taking up one side of paper. This helps you to make associations easily, and generate new ideas. If you find out more information after you have drawn a Mind Map, then you can easily integrate it with little disruption. More than this, Mind Mapping helps you break large projects or topics down into manageable chunks, so that you can plan effectively without getting overwhelmed and without forgetting something important. A good Mind Map shows the "shape" of the subject, the relative importance of individual points, and the way in which facts relate to one another. This means that they're very quick to review, as you can often refresh information in your mind just by glancing at one. In this way, they can be effective mnemonics - remembering the shape and structure of a Mind Map can give you the cues you need to remember the information within it. As such, they engage much more of your brain in the process of assimilating and connecting information than conventional notes do. When created using colors and images or drawings, a Mind Map can even resemble a work of art! Uses Mind Maps are useful for:

Brainstorming ually, and as a group. - individ Summarizing information, and note taking. Consolidating information from different research sources. Thinking through complex problems. Presenting information in a format that shows the overall structure of your subject. Studying and memorizing information.

Drawing Basic Mind Maps To draw a Mind Map, follow these steps: 1. Write the title of the subject you're exploring in the center of the page, and draw a circle around it. This is shown by the circle marked in figure 1, below. (Our simple example shows someone brainstorming actions needed to deliver a successful presentation.)

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Figure 1

2. As you come across major subdivisions or subheadings of the topic (or important facts that relate to the subject) draw lines out from this circle. Label these lines with these subdivisions or subheadings. (See figure 2, below.) Figure 2

3. As you "burrow" into the subject and uncover another level of information (further subheadings, or individual facts) belonging to the subheadings above, draw these as lines linked to the subheading lines. These are shown in figure 3. Figure 3

4. Then, for individual facts or ideas, draw lines out from the appropriate heading line and label them. These are shown in Figure 4.

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Figure 4

5. As you come across new information, link it in to the Mind Map appropriately. A complete Mind Map may have main topic lines radiating in all directions from the center. Sub-topics and facts will branch off these, like branches and twigs from the trunk of a tree. You don't need to worry about the structure you produce, as this will evolve of its own accord. Tip: While drawing Mind Maps by hand is appropriate in many cases, software tools like MindGenius, iMindMap, and Mindjet can improve the process by helping you to produce high quality Mind Maps, which you can then easily edit or redraft. Using Mind Maps Effectively Once you understand how to take notes in Mind Map format, you can develop your own conventions for taking them further. The following suggestions can help you draw impactful Mind Maps:

Use Single Words or Simple Phrases – Many words in normal writing are padding, as they ensure that facts are conveyed in the correct context, and in a format that is pleasant to read. In Mind Maps, single strong words and short, meaningful phrases can convey the same meaning more potently. Excess words just clutter the Mind Map.

Print Words – Joined up or indistinct writing is more difficult to read.

Use Color to Separate Different Ideas – This will help you to separate ideas where necessary. It also helps you to visualize the Mind Map for recall. Color can help to show the organization of the subject.

Use Symbols and Images – Pictures can help you to remember information more effectively than words, so, where a symbol or picture means something to you, use it. (You can use photo libraries like iStockPhoto to source images inexpensively.)

Using Cross-Linkages – Information in one part of a Mind Map may relate to another part. Here you can draw lines to show the cross-linkages. This helps you to see how one part of the subject affects another.

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Visual Example The visual below is a great example of a Mind Map that has high visual impact:

Key Points Mind Mapping is an extremely effective method of taking notes. Not only do Mind Maps show facts, they also show the overall structure of a subject and the relative importance of individual parts of it. They help you to associate ideas, think creatively, and make connections that you might not otherwise make. Mind Maps are useful for summarizing information, for consolidating large chunks of information, for making connections, and for creative problem solving. To use Mind Maps effectively, make sure you print your words, use different colors to add visual impact, and incorporate symbols and images to further spur creative thinking

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Affinity Diagram

Organizing ideas into common themes Is it ever a bad thing to have too many ideas? Probably not, but if you've ever experienced information overload or struggled to know where to begin with a wealth of data you've been given, you may have wondered how you can use all of these ideas effectively. When there's lots of "stuff" coming at you, it is hard to sort through everything and organize the information in a way that makes sense and helps you make decisions. Whether you're brainstorming ideas, trying to solve a problem or analyzing a situation, when you are dealing with lots of information from a variety of sources, you can end up spending a huge amount of time trying to assimilate all the little bits and pieces. Rather than letting the disjointed information get the better of you, you can use an affinity diagram to help you organize it. Also called the KJ method, after its developer Kawakita Jiro (a Japanese anthropologist) an affinity diagram helps to synthesize large amounts of data by finding relationships between ideas. The information is then gradually structured from the bottom up into meaningful groups. From there you can clearly "see" what you have, and then begin your analysis or come to a decision.

Affinity diagrams can be used to: Draw out common themes from a large amount of information Discover previously unseen connections between various ideas or information Brainstorm root causes and solutions to a problem

Because many decision-making exercises begin with brainstorming, this is one of the most common applications of affinity diagrams. After a brainstorming session there are usually pages of ideas. These won't have been censored or edited in any way, many of them will be very similar, and many will also be closely related to others in a variety of ways. What an affinity diagram does is start to group the ideas into themes. From the chaos of the randomly generated ideas comes an insight into the common threads that link groups of them together. From there the solution or best idea often emerges quite naturally. This is why affinity diagrams are so powerful and why the Japanese Union of Scientists and Engineers consider them one of the "seven management tools." Affinity diagrams are not the domain of brainstorming alone though. They can be used in any situation where:

The solution is not readily apparent You want to reach a consensus or decision and have a lot of variables to consider, concepts to discuss,

ideas to connect, or opinions to incorporate There is a large volume of information to sort through

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Here is a step-by-step guide to using affinity diagrams along with a simple example to show how the process works. How to Use the Tool

1. Describe the problem or issue

2. Generate ideas by brainstorming. Write each idea on a separate sticky note and put these on a wall or flip chart. Remember to:

Emphasize volume Suspend judgment Piggyback on other ideas

3. Sort ideas into natural themes by asking: What ideas are similar? Is this idea connected to any of the others?

If you're working in a team:

Separate into smaller groups of 3 to 4 people Sort the ideas IN SILENCE so that no one is influenced by anyone else's comments Keep moving the cards around until consensus is reached

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4. Create total group consensus Discuss the shared meaning of each of the sorted groups Continue until consensus is reached If some ideas do not fit into any theme, separate them as "stand-alone" ideas If some ideas fit into more than one theme, create a duplicate card and put it in the proper group Try to limit the total number of themes to between five and nine

5. Create theme cards (also called affinity cards or header cards) Create a short 3-5 word description for the relationship If you're working in a group, do this together, out loud Write this theme/header on a blank card and place at the top of the group it describes Create a "super-headers" where necessary to group themes Use a "sub-header" card where necessary as well

6. Continue to group the themes/headers until you have reached the broadest, but still meaningful, categories possible

Draw lines connecting the super-headers, themes/headers, and sub-headers You'll end up with a hierarchical structure that shows, at a glance, where the relationships are

Tip: Grouping ideas under headings, and then grouping headings under super-headers in an affinity diagram is a practical way of "chunking" information generated in brainstorming sessions, during process mapping, or even a planning exercise. Key Points Affinity diagrams are great tools for assimilating and understanding large amounts of information. When you work through the process of creating relationships and working backward from detailed information to broad themes, you get an insight you would not otherwise find. The next time you are confronting a large amount of information or number of ideas and you feel overwhelmed at first glance, use the affinity diagram approach to discover all the hidden linkages. When you cannot see the forest for the trees, an affinity diagram may be exactly what you need to get back in focus

Source: http://www.mindtools.com/brainstm.html last accessed 11.21.2011

Brainstorming

Generating many radical, creative ideas Brainstorming is a popular tool that helps you generate creative solutions to a problem. It is particularly useful when you want to break out of stale, established patterns of thinking, so that you can develop new ways of looking at things. It also helps you overcome many of the issues that can make group problem-solving a sterile and unsatisfactory process. Used with your team, it helps you bring the diverse experience of all team members into play during problem solving. This increases the richness of ideas explored, meaning that you can find better solutions to the problems you face. It can also help you get buy in from team members for the solution chosen – after all, they were involved in developing it. What’s more, because brainstorming is fun, it helps team members bond with one-another as they solve problems in a positive, rewarding environment. Why Use Brainstorming? Conventional group problem-solving can be fraught with problems. Confident, "big-ego" participants can drown out and intimidate quieter group members. Less confident participants can be too scared of ridicule to share their ideas freely. Others may feel pressurized to conform with the group view, or are held back by an excessive respect for authority. As such, group problem-solving is often ineffective and sterile. By contrast, brainstorming provides a freewheeling environment in which everyone is encouraged to participate. Quirky ideas are welcomed, and many of the issues of group problem-solving are overcome. All participants are asked to contribute fully and fairly, liberating people to develop a rich array of creative solutions to the problems they're facing. “Brainstorming 2.0” The original approach to brainstorming was developed by Madison Avenue advertising executive, Alex Osborn, in the 1950s. Since then, many researchers have explored the technique, and have identified issues with it. The steps described here seek to take account of this research, meaning that the approach described below differs subtly from Osborn's original one. What is Brainstorming? Brainstorming combines a relaxed, informal approach to problem-solving with lateral thinking. It asks that people come up with ideas and thoughts that can at first seem to be a bit crazy. The idea here is that some of these ideas can be crafted into original, creative solutions to the problem you're trying to solve, while others can spark still more ideas. This approach aims to get people unstuck, by "jolting" them out of their normal ways of thinking. During brainstorming sessions there should therefore be no criticism of ideas: You are trying to open up possibilities and break down wrong assumptions about the limits of the problem. Judgments and analysis at this stage stunt idea generation. Ideas should only be evaluated at the end of the brainstorming session – this is the time to explore solutions further using conventional approaches. Individual Brainstorming While group brainstorming is often more effective at generating ideas than normal group problem-solving, study after study has shown that when individuals brainstorm on their own, they come up with more ideas (and often better quality ideas) than groups of people who brainstorm together.

Source: http://www.mindtools.com/brainstm.html last accessed 11.21.2011

Partly this occurs because, in groups, people aren’t always strict in following the rules of brainstorming, and bad group behaviors creep in. Mostly, though, this occurs because people are paying so much attention to other people’s ideas that they're not generating ideas of their own – or they're forgetting these ideas while they wait for their turn to speak. This is called "blocking". When you brainstorm on your own, you'll tend to produce a wider range of ideas than with group brainstorming - you do not have to worry about other people's egos or opinions, and can therefore be more freely creative. For example, you might find that an idea you’d be hesitant to bring up in a group session develops into something quite special when you explore it with individual brainstorming. Nor do you have to wait for others to stop speaking before you contribute your own ideas. You may not, however, develop ideas as fully when you brainstorm on your own, as you do not have the wider experience of other members of a group to help you. Tip: When Brainstorming on your own, consider using Mind Maps and develop ideas. to arrange Group Brainstorming When it works, group brainstorming can be very effective for bringing the full experience and creativity of all members of the group to bear on an issue. When individual group members get stuck with an idea, another member's creativity and experience can take the idea to the next stage. Group brainstorming can therefore develop ideas in more depth than individual brainstorming. Another advantage of group brainstorming is that it helps everyone involved to feel that they’ve contributed to the end solution, and it reminds people that other people have creative ideas to offer. What’s more, brainstorming is fun, and it can be great for team-building! Brainstorming in a group can be risky for individuals. Valuable but strange suggestions may appear stupid at first sight. Because of this, you need to chair sessions tightly so that ideas are not crushed, and so that the usual issues with group problem-solving don’t stifle creativity. How to Use the Tool: You can often get the best results by combining individual and group brainstorming, and by managing the process carefully and according to the "rules" below. That way, you get people to focus on the issue without interruption (this comes from having everyone in a dedicated group meeting), you maximize the number of ideas you can generate, and you get that great feeling of team bonding that comes with a well-run brainstorming session! To run a group brainstorming session effectively, do the following:

Find a comfortable meeting environment, and set it up ready for the session. Appoint one person to record the ideas that come from the session. These should be noted in a format

than everyone can see and refer to. Depending on the approach you want to use, you may want to record ideas on flip charts, whiteboards, or computers with data projectors.

If people aren’t already used to working together, consider using an appropriate warm-up exercise or ice-breaker.

Define the problem you want solved clearly, and lay out any criteria to be met. Make it clear that that the objective of the meeting is to generate as many ideas as possible.

Give people plenty of time on their own at the start of the session to generate as many ideas as possible. Ask people to give their ideas, making sure that you give everyone a fair opportunity to contribute. Encourage people to develop other people's ideas, or to use other ideas to create new ones. Encourage an enthusiastic, uncritical attitude among members of the group. Try to get everyone to

contribute and develop ideas, including the quietest members of the group. Ensure that no one criticizes or evaluates ideas during the session. Criticism introduces an element of risk

for group members when putting forward an idea. This stifles creativity and cripples the free running nature of a good brainstorming session.

Source: http://www.mindtools.com/brainstm.html last accessed 11.21.2011

Let people have fun brainstorming. Encourage them to come up with as many ideas as possible, from solidly practical ones to wildly impractical ones. Welcome creativity!

Ensure that no train of thought is followed for too long. Make sure that you generate a sufficient number of different ideas, as well as exploring individual ideas in detail.

In a long session, take plenty of breaks so that people can continue to concentrate. Taking Your Brainstorming Further... If you're still not getting the ideas you want, try using these approaches to increase the number of ideas that you generate:

The Stepladder Technique – This improves the contribution of quieter members of the group, by introducing ideas one person at a time.

Brainwriting – Brainwriting uses a written approach to brainstorming to generate and develop ideas. This helps you get ideas from all individuals, and develop these ideas in depth.

Brain-netting – This is similar to Brainwriting, but uses an electronic document stored on a central server. The Crawford's Slip Approach – The Crawford's Slip Approach helps you get plenty of ideas from all

participants in your session, and gives you a view of the popularity of each idea. The techniques below help you in specific brainstorming situations:

Reverse Brainstorming – This is useful for improving a product or service. Starbursting – Starbursting helps you brainstorm the questions you need to ask to evaluate a proposal. Charette Procedure – This procedure helps you brainstorm effectively with large groups of people.

(Conventional brainstorming is cumbersome and increasingly ineffective when more than 10 to 12 people are involved.)

Round-Robin Brainstorming – This technique helps you ensure that people will contribute great ideas without being influenced by others in the group.

Where possible, participants in the brainstorming process should come from as wide a range of disciplines as possible. This brings a broad range of experience to the session and helps to make it more creative. However, don’t make the group too big – as with other types of teamwork, groups of between 5 and 7 people are often most effective. Key Points: Brainstorming is a useful way of generating radical solutions to problems, just as long as it's managed well. During the brainstorming process there is no criticism of ideas, and free rein is given to people's creativity (criticism and judgment cramp creativity.) This tends to make group brainstorming sessions enjoyable experiences, which are great for bringing team members together. Using brainstorming also helps people commit to solutions, because they have participated in the development of these solutions. The best approach to brainstorming combines individual and group brainstorming. Group brainstorming needs formal rules for it to work smoothly

Source: http://www.mindtools.com/pages/article/newCT_96.htm Last accessed 11.21.2011

Reverse Brainstorming

A different approach to brainstorming Reverse brainstorming helps you solve problems by combining brainstorming and reversal techniques. By combining these, you can extend your use of brainstorming to draw out even more creative ideas. To use this technique, you start with one of two "reverse" questions: Instead of asking, "How do I solve or prevent this problem?" ask, "How could I possibly cause the problem?" Instead of asking "How do I achieve these results?" ask, "How could I possibly achieve the opposite effect?" How to Use the Tool:

1. Clearly identify the problem or challenge, and write it down. 2. Reverse the problem or challenge by asking:

"How could I possibly cause the problem?", or "How could I possibly achieve the opposite effect?"

3. Brainstorm the reverse problem to generate reverse solution ideas. Allow the brainstorm ideas to flow freely. Do not reject anything at this stage.

4. Once you have brainstormed all the ideas to solve the reverse problem, now reverse these into solution ideas for the original problem or challenge.

5. Evaluate these solution ideas. Can you see a potential solution? Can you see attributes of a potential solution?

Tip: Reverse brain-storming is a good technique to try when it is difficult to identify solutions to the problem directly. Example: Luciana is the manager of a health clinic and she has the task of improving patient satisfaction. There have been various improvement initiatives in the past and the team members have become rather skeptical about another meeting on the subject. The team is overworked, team members are "trying their best" and there is no appetite to "waste time" talking about this. So she decides to use some creative problem solving techniques she has learned. This, she hopes, will make the team meeting more interesting and engage people in a new way. Perhaps it will reveal something more than the usual "good ideas" that no one has time to act on. To prepare for the team meeting, Luciana thinks carefully about the problem and writes down the problem statement:

"How do we improve patient satisfaction?" Then she reverses problem statement:

"How do we make patients more dissatisfied?" Already she starts to see how the new angle could reveal some surprising results. At the team meeting, everyone gets involved in an enjoyable and productive reverse brainstorming session. They draw on both their work experience with patients and also their personal experience of being patients and customers of other organizations. Luciana helps ideas flow freely, ensuring people to not pass judgment on even the most unlikely suggestions.

Source: http://www.mindtools.com/pages/article/newCT_96.htm Last accessed 11.21.2011

Here are just a few of the "reverse" ideas: Double book appointments. Remove the chairs from the waiting room. Put patients who phone on hold (and forget about them). Have patients wait outside in the car park. Discuss patient's problems in public.

When the brainstorming session runs dry, the team has a long list of the "reverse" solutions. Now it's time to look at each one in reverse into a potential solution. Well resulting discussions are quite revealing. For example: "Well of course we don't leave patients outside in the car park – we already don't do that." "But what about in the morning, there are often patients waiting outside until opening time? "Mmm, true. Pretty annoying for people on first appointments." "So why don't we open the waiting room 10 minutes earlier so it doesn't happen" "Right, we'll do that from tomorrow. There are several members of staff working already, so it's no problem". And so it went on. The reverse brainstorming session revealed tens of improvement ideas that the team could implement swiftly and easily. Luciana concluded: "It was enlightening and fun to looking at the problem in reverse. The amazing thing is, it's helped us become more patient-friendly by stopping doing things rather than creating more work". Key Points: Reverse brain-storming is a good technique for creative problem solving, and can lead to robust solutions. Be sure to follow the basic rules of brainstorming to explore possible solutions to the full.

Source: http://www.mindtools.com/pages/article/newTED_02.htm Last accessed 11.21.2011

Paired Comparison Analysis

Working out relative importances Paired Comparison Analysis helps you to work out the importance of a number of options relative to each other. It is particularly useful where you do not have objective data to base this on. This makes it easy to choose the most important problem to solve, or select the solution that will give you the greatest advantage. Paired Comparison Analysis helps you to set priorities where there are conflicting demands on your resources. It is also an ideal tool for comparing "apples with oranges" – completely different options such as whether to invest in marketing, a new IT system or a new piece of machinery. These decisions are usually much harder than comparing three possible new IT systems, for example. How to Use the Tool: To use the technique, see the example worksheet below. You can use this to compare each option with each other option, one-by-one. For each comparison, you will decide which of the two options is most important, and then assign a score to show how much more important it is. Follow these steps to use the technique:

1. List the options you will compare. Assign a letter to each option. 2. Mark the options as row and column headings on the worksheet. 3. Note that the cells on the table where you will be comparing an option with itself have been blocked out

– there will never be a difference in these cells! 4. The cells on the table where you will be duplicating a comparison are also blocked out. 5. Within the remaining cells compare the option in the row with the one in the column. For each cell,

decide which of the two options is more important. Write down the letter of the more important option in the cell, and score the difference in importance from 0 (no difference) to 3 (major difference).

6. Finally, consolidate the results by adding up the total of all the values for each of the options. You may want to convert these values into a percentage of the total score.

Example: As a simple example, an entrepreneur is looking at ways in which she can expand her business. She has limited resources, but also has the options she lists below:

Expand into overseas markets Expand in home markets Improve customer service Improve quality

First she draws up the Paired Comparison Analysis table in Figure 1:

Source: http://www.mindtools.com/pages/article/newTED_02.htm Last accessed 11.21.2011

Figure 1: Example Paired Comparison Analysis Table (not filled in):

Overseas Market (A) Home Market (B) Customer Service (C) Quality (D)

Overseas Market (A) Blocked Out (Step 3)

Home Market (B) Blocked Out (Step 4)

Blocked Out (Step 3)

Customer Service (C) Blocked Out (Step 4)

Blocked Out (Step 4)

Blocked Out (Step 3)

Quality (D)

Blocked Out (Step 4)

Blocked Out (Step 4)

Blocked Out (Step 4)

Blocked Out (Step 3)

Then she compares options, writes down the letter of the most important option, and scores their difference in importance. An example of how she might do this is shown in figure 2: Figure 2: Example Paired Comparison Analysis Table (filled in):

Overseas Market (A) Home Market (B) Customer Service (C) Quality (D)

Overseas Market (A) A,2 C,1 A,1 Home Market (B) C,1 B,1 Customer Service (C) C,2 Quality (D)

Finally she adds up the A, B, C and D values, and converts each into a percentage of the total. This gives these totals:

A = 3 (37.5%) B = 1 (12.5%) C = 4 (50%) D = 0.

Here it is most important to improve customer service (C) and then to tackle export markets (A). Quality is not a high priority – perhaps it is good already. Key Points Paired Comparison Analysis is a good way of weighing up the relative importance of different courses of action. It is useful where priorities are not clear, or are competing in importance. The tool provides a framework for comparing each course of action against all others, and helps to show the difference in importance between factors

Source: http://www.mindtools.com/pages/article/newTED_01.htm last accessed 11-10-2011

Pareto Analysis

Using the 80:20 Rule to Prioritize Imagine that you've just stepped into a new role as head of department. Unsurprisingly, you've

inherited a whole host of problems that need your attention. Ideally, you want to focus your

attention on fixing the most important problems. But how do you decide which problems you

need to deal with first? And are some problems caused by the same underlying issue?

Pareto Analysis is a simple technique for prioritizing possible changes by identifying the problems

that will be resolved by making these changes. By using this approach, you can prioritize the

individual changes that will most improve the situation.

Pareto Analysis uses the Pareto Principle – also known as the "80/20 Rule" – which is the idea that

20% of causes generate 80% of results. With this tool, we're trying to find the 20% of work that

will generate 80% of the results that doing all of the work would deliver.

Note: The figures 80 and 20 are illustrative – the Pareto Principle illustrates the lack of symmetry

that often appears between work put in and results achieved. For example, 13% of work could

generate 87% of returns. Or 70% of problems could be resolved by dealing with 30% of the causes.

How to Use the Tool

Step 1: Identify and List Problems – First, write a list of all of the problems that you need to

resolve. Where possible, talk to clients and team members to get their input, and draw on surveys,

helpdesk logs and suchlike, where these are available.

Step 2: Identify the Root Cause of Each Problem – For each problem, identify its fundamental

cause. (Techniques such as Brainstorming, the 5 Whys, Cause and Effect Analysis, and Root Cause

Analysis will help with this.)

Step 3: Score Problems – Now you need to score each problem. The scoring method you use

depends on the sort of problem you're trying to solve. For example, if you're trying to improve

profits, you might score problems on the basis of how much they are costing you. Alternatively, if

you're trying to improve customer satisfaction, you might score them on the basis of the number

of complaints eliminated by solving the problem.

Step 4: Group Problems Together By Root Cause – Next, group problems together by cause. For

example, if three of your problems are caused by lack of staff, put these in the same group

Source: http://www.mindtools.com/pages/article/newTED_01.htm last accessed 11-10-2011

Step 5: Add up the Scores for Each Group – You can now add up the scores for each cause group.

The group with the top score is your highest priority, and the group with the lowest score is your

lowest priority.

Step 6: Take Action – Now you need to deal with the causes of your problems, dealing with your

top-priority problem or group of problems first. Keep in mind that low scoring problems may not

be worth bothering with; solving these problems may cost you more than the solutions are worth.

Note: While this approach is great for identifying the most important root cause to deal with, it

doesn't take into account the cost of doing so. Where costs are significant, you'll need to use

techniques such as Cost/Benefit Analysis, and use IRRs and NPVs to determine which changes you

should implement.

Pareto Analysis Example

Jack has taken over a failing service center, with a host of problems that need resolving. His

objective is to increase overall customer satisfaction. He decides to score each problem by the

number of complaints that the center has received for each one. (In the table below, the second

column shows the problems he has listed in step 1 above, the third column shows the underlying

causes identified in step 2, and the fourth column shows the number of complaints about each

column identified in step 3.)

No. Problem (Step 1) Cause (Step 2) Score

(Step 3)

1 Phones aren't answered quickly enough. Too few service center staff. 15

2 Staff seem distracted and under pressure. Too few service center staff. 6

3 Engineers don't appear to be well organized. They need second visits to bring extra parts.

Poor organization and preparation. 4

4 Engineers don't know what time they'll arrive. This means that customers may have to be in all day for an engineer to visit.

Poor organization and preparation. 2

5 Service center staff don't always seem to know what they're doing.

Lack of training. 30

6 When engineers visit, the customer finds that the problem could have been solved over the phone.

Lack of training. 21

Jack then groups problems together (steps 4 and 5). He scores each group by the number of

complaints, and orders the list as follows:

1. Lack of training (items 5 and 6) – 51 complaints.

2. Too few service center staff (items 1 and 42) – 21 complaints.

Source: http://www.mindtools.com/pages/article/newTED_01.htm last accessed 11-10-2011

3. Poor organization and preparation (items 3 and 4) – 6 complaints.

As you can see from figure 1 above, Jack will get the biggest benefits by providing staff with more

training. Once this is done, it may be worth looking at increasing the number of staff in the call

center. It's possible, however, that this won't be necessary: the number of complaints may

decline, and training should help people to be more productive.

By carrying out a Pareto Analysis, Jack is able to focus on training as an issue, rather than

spreading his effort over training, taking on new staff members, and possibly installing a new

computer system to help engineers be more prepared.

Key Points:

Pareto Analysis is a simple technique for prioritizing problem-solving work so that the first

piece of work you do resolved the greatest number of problems. It's based on the Pareto

Principle (also known as the 80/20 Rule) – the idea that 80% of problems may be caused

by as few as 20% of causes.

To use Pareto Analysis, identify and list problems and their causes. Then score each

problem and group them together by their cause. Then add up the score for each group.

Finally, work on finding a solution to the cause of the problems in group with the highest

score.

Pareto Analysis not only shows you the most important problem to solve, it also gives you

a score showing how severe the problem is.

0

10

20

30

40

50

60

Lack of Training Too Few Svc Ctr Staff Poor Org & Prep

No

. of

Co

mp

lain

ts

Causes of Complaints

Jack's Pareto Analysis

Source: http://www.mindtools.com/pages/article/newTMC_80.htm last accessed 11.17.2011

Root Cause Analysis

Tracing a problem to its origins

In medicine, it's easy to understand the difference between treating symptoms and curing a medical condition. Sure, when you're in pain because you've broken your wrist, you WANT to have your symptoms treated – now! However, taking painkillers won't heal your wrist, and true healing is needed before the symptoms can disappear for good.

But when you have a problem at work, how do you approach it? Do you jump in and start treating the symptoms? Or do you stop to consider whether there's actually a deeper problem that needs your attention?

If you only fix the symptoms – what you see on the surface – the problem will almost certainly happen again, which will lead you to fix it, again, and again, and again.

If, instead, you look deeper to figure out why the problem is occurring, you can fix the underlying systems and processes that cause the problem.

Root Cause Analysis (RCA) is a popular and often-used technique that helps people answer the question of why the problem occurred in the first place. Root Cause Analysis seeks to identify the origin of a problem. It uses a specific set of steps, with associated tools, to find the primary cause of the problem, so that you can:

1. Determine what happened. 2. Determine why it happened. 3. Figure out what to do to reduce the likelihood that it will happen again.

RCA assumes that systems and events are interrelated. An action in one area triggers an action in another, and another, and so on. By tracing back these actions, you can discover where the problem started and how it grew into the symptom you're now facing.

You'll usually find three basic types of causes:

1. Physical causes – Tangible, material items failed in some way (for example, a car's brakes stopped working).

2. Human causes – People did something wrong. or did not doing something that was needed. Human causes typically lead to physical causes (for example, no one filled the brake fluid, which led to the brakes failing).

3. Organizational causes – A system, process, or policy that people use to make decisions or do their work is faulty (for example, no one person was responsible for vehicle maintenance, and everyone assumed someone else had filled the brake fluid).

Root Cause Analysis looks at all three types of causes. It involves investigating the patterns of negative effects, finding hidden flaws in the system, and discovering specific actions that contributed to the problem. This often means that RCA reveals more than one root cause.

Source: http://www.mindtools.com/pages/article/newTMC_80.htm last accessed 11.17.2011

You can apply Root Cause Analysis to almost any situation. Determining how far to go in your investigation requires good judgment and common sense. Theoretically, you could continue to trace root causes back to the Stone Age, but the effort would serve no useful purpose. Be careful to understand when you've found a significant cause that can, in fact, be changed.

The Root Cause Analysis Process

Root Cause Analysis has five identifiable steps.

Step One: Define the Problem What do you see happening?

What are the specific symptoms?

Step Two: Collect Data What proof do you have that the problem exists?

How long has the problem existed?

What is the impact of the problem?

You need to analyze a situation fully before you can move on to look at factors that contributed to the problem. To maximize the effectiveness of your Root Cause Analysis, get together everyone – experts and front line staff – who understands the situation. People who are most familiar with the problem can help lead you to a better understanding of the issues.

A helpful tool at this stage is CATWOE. With this process, you look at the same situation from different perspectives: the Customers, the people (Actors) who implement the solutions, the Transformation process that's affected, the World view, the process Owner, and Environmental constraints.

Step Three: Identify Possible Causal Factors What sequence of events leads to the problem?

What conditions allow the problem to occur?

What other problems surround the occurrence of the central problem?

During this stage, identify as many causal factors as possible. Too often, people identify one or two factors and then stop, but that's not sufficient. With RCA, you don't want to simply treat the most obvious causes – you want to dig deeper.

Use these tools to help identify causal factors:

Appreciation – Use the facts and ask "So what?" to determine all the possible consequences of a fact.

5 Whys – Ask "Why?" until you get to the root of the problem.

Drill Down – Break down a problem into small, detailed parts to better understand the big picture.

Cause and Effect Diagrams – Create a chart of all of the possible causal factors, to see where the trouble may have begun.

Source: http://www.mindtools.com/pages/article/newTMC_80.htm last accessed 11.17.2011

Step Four: Identify the Root Cause(s) Why does the causal factor exist?

What is the real reason the problem occurred?

Use the same tools you used to identify the causal factors (in Step Three) to look at the roots of each factor. These tools are designed to encourage you to dig deeper at each level of cause and effect.

Step Five: Recommend and Implement Solutions What can you do to prevent the problem from happening again?

How will the solution be implemented?

Who will be responsible for it?

What are the risks of implementing the solution?

Analyze your cause-and-effect process, and identify the changes needed for various systems. It's also important that you plan ahead to predict the effects of your solution. This way, you can spot potential failures before they happen.

One way of doing this is to use Failure Mode and Effects Analysis (FMEA). This tool builds on the idea of risk analysis to identify points where a solution could fail. FMEA is also a great system to implement across your organization; the more systems and processes that use FMEA at the start, the less likely you are to have problems that need Root Cause Analysis in the future.

Impact Analysis is another useful tool here. This helps you explore possible positive and negative consequences of a change on different parts of a system or organization.

Another great strategy to adopt is Kaizen, or continuous improvement. This is the idea that continual small changes create better systems overall. Kaizen also emphasizes that the people closest to a process should identify places for improvement. Again, with kaizen alive and well in your company, the root causes of problems can be identified and resolved quickly and effectively.

Key Points

Root Cause Analysis is a useful process for understanding and solving a problem.

Figure out what negative events are occurring. Then, look at the complex systems around those problems, and identify key points of failure. Finally, determine solutions to address those key points, or root causes.

You can use many tools to support your Root Cause Analysis process. Cause and Effect Diagrams and 5 Whys are integral to the process itself, while FMEA and Kaizen help minimize the need for Root Cause Analysis in the future.

As an analytical tool, Root Cause Analysis is an essential way to perform a comprehensive, system-wide review of significant problems as well as the events and factors leading to them.

Source: http://www.mindtools.com/pages/article/newTED_89.htm Last accessed 11.21.2011

Stepladder Technique

Making better group decisions Making decisions within a group can often be challenging. When things go well, they can go very well. However, when things go wrong, you can end up mired in conflict. Some people may fight for recognition and position, others may be over-critical or disruptive, while others may sit quietly and not contribute anything to the overall effort. Because of this, groups often spin out of control and make worse decisions than individuals working on their own. When this happens, it's easy to see why some people throw their hands up in frustration and give up. However, when a group works in the right way, it really WORKS. Groups that function effectively together can outperform individuals and make much better decisions. But how do you make your group effective? How do you get all group members to contribute and inspire one another to create great ideas and solutions? The Stepladder Technique is a useful method for encouraging individual participation in group decision making. What is the Stepladder Technique? The Stepladder Technique is a simple tool that manages how members enter the decision-making group. Developed by Steven Rogelberg, Janet Barnes-Farrell and Charles Lowe in 1992, it encourages all members to contribute on an individual level BEFORE being influenced by anyone else. This results in a wider variety of ideas, it prevents people from "hiding" within the group, and it helps people avoid being "stepped on" or overpowered by stronger, louder group members. All of this helps the group make better decisions. How to Use the Tool The Stepladder Technique has five basic steps. Here's how it works.

Step 1: Before getting together as a group, present the task or problem to all members. Give everyone sufficient time to think about what needs to be done and to form their own opinions on how to best accomplish the task or solve the problem.

Step 2: Form a core group of two members. Have them discuss the problem.

Step 3: Add a third group member to the core group. The third member presents ideas to the first two members BEFORE hearing the ideas that have already been discussed. After all three members have laid out their solutions and ideas, they discuss their options together.

Step 4: Repeat the same process by adding a fourth member, and so on, to the group. Allow time for discussion after each additional member has presented his or her ideas.

Step 5: Reach a final decision only after all members have been brought in and presented their ideas. The Stepladder Technique is similar to the Delphi Method tool that's often used in groups to prevent , another Groupthink to encourage participation. While both tools have the same objective, they differ in a few key ways: and

In the Delphi Method, an objective facilitator or leader manages the group. In the Stepladder Technique, all members are equal.

The Delphi Method keeps members anonymous. The facilitator manages the flow of information, and members may have no idea who else is in the group. The Stepladder Technique involves face-to-face meetings, so everyone knows who the other members are.

The Delphi Method is a lengthy process, while the Stepladder Technique is much quicker. The Delphi Method is often used for major decisions that need input from a large number of people. The

Stepladder Technique works best with smaller groups that make a wide range of decisions.

Source: http://www.mindtools.com/pages/article/newTED_89.htm Last accessed 11.21.2011

Tip: Groups can begin to lose their effectiveness and ability to make good quality decisions if they have too many members. Keep your group small – four to seven team members – to maximize effectiveness. Key Points The Stepladder Technique is a step-by-step approach that helps you ensure that all members of a group participate and are heard. The technique allows shy, quiet people to present their ideas before other group members can influence them, and it allows everyone to hear many different viewpoints before reaching a final decision.

Source: http://www.mindtools.com/pages/article/newTMC_10.htm last accessed 11.17.2011

Value Chain Analysis

Achieving Excellence in the Things That Really Matter Value Chain Analysis is a useful tool for working out how you can create the greatest possible value for your customers. In business, we're paid to take raw inputs, and to "add value" to them by turning them into something of worth to other people. This is easy to see in manufacturing, where the manufacturer "adds value" by taking a raw material of little use to the end-user (for example, wood pulp) and converting it into something that people are prepared to pay money for (e.g. paper). But this idea is just as important in service industries, where people use inputs of time, knowledge, equipment and systems to create services of real value to the person being served – the customer. And remember that your customers aren't necessarily outside your organization: they can be your bosses, your co-workers, or the people who depend on you for what you do. Now, this is really important: In most cases, the more value you create, the more people will be prepared to pay a good price for your product or service, and the more they will they keep on buying from you. On a personal level, if you add a lot of value to your team, you will excel in what you do. You should then expect to be rewarded in line with your contribution. So how do you find out where you, your team or your company can create value? This is where the "Value Chain Analysis" tool is useful. Value Chain Analysis helps you identify the ways in which you create value for your customers, and then helps you think through how you can maximize this value: whether through superb products, great services, or jobs well done. Note: This article looks at a simple approach to using value chains. A more structured approach was developed by Harvard Business School professor Michael Porter in his book Competitive Advantage. How to Use the Tool: Value Chain Analysis is a three-step process:

1. Activity Analysis: First, you identify the activities you undertake to deliver your product or service; 2. Value Analysis: Second, for each activity, you think through what you would do to add the greatest value

for your customer; and 3. Evaluation and Planning: Thirdly, you evaluate whether it is worth making changes, and then plan for

action.

We follow these through one-by-one: Step 1 – Activity Analysis The first step to take is to brainstorm the activities that you, your team or your company undertakes that in some way contribute towards your customer's experience. At an organizational level, this will include the step-by-step business processes that you use to serve the customer. These will include marketing of your products or services; sales and order-taking; operational processes; delivery; support; and so on (this may also involve many other steps or processes specific to your industry). At a personal or team level, it will involve the step-by-step flow of work that you carry out. But this will also involve other things as well. For example:

How you recruit people with the skills to give the best service.

Source: http://www.mindtools.com/pages/article/newTMC_10.htm last accessed 11.17.2011

How you motivate yourself or your team to perform well. How you keep up-to-date with the most efficient and effective techniques. How you select and develop the technologies that give you the edge. How you get feedback from your customer on how you're doing, and how you can improve further.

Tip: If you carry out the brainstorming behind the Activity Analysis and Value Analysis with your team, you'll almost certainly get a richer answer than if you do it on your own. You may also find that your team is more likely to "buy into" any conclusions you draw from the exercise. After all, the conclusions will be as much theirs as yours. Once you've brainstormed the activities which add value for your company, list them. A useful way of doing this is to lay them out as a simplified flow chart running down the page – this gives a good visual representation of your "value chain". You can see an example of this in Figure 1 below. Step 2 – Value Analysis Now, for each activity you've identified, list the "Value Factors" – the things that your customers' value in the way that each activity is conducted. For example, if you're thinking about a telephone order-taking process, your customer will value a quick answer to his or her call; a polite manner; efficient taking of order details; fast and knowledgeable answering of questions; and an efficient and quick resolution to any problems that arise. If you're thinking about delivery of a professional service, your customer will most likely value an accurate and correct solution; a solution based on completely up-to-date information; a solution that is clearly expressed and easily actionable; and so on. Next to each activity you've identified, write down these Value Factors. And next to these, write down what needs to be done or changed to provide great value for each Value Factor. Step 3 – Evaluate Changes and Plan for Action By the time you've completed your Value Analysis, you'll probably be fired up for action: you'll have generated plenty of ideas for increasing the value you deliver to customers. And if you could deliver all of these, your service could be fabulous! Now be a bit careful at this stage: you could easily fritter your energy away on a hundred different jobs, and never really complete any of them. So first, pick out the quick, easy, cheap wins – go for some of these, as this will improve your team's spirits no end. Then screen the more difficult changes. Some may be impractical. Others will deliver only marginal improvements, but at great cost. Drop these. And then prioritize the remaining tasks and plan to tackle them in an achievable, step-by-step way that delivers steady improvement at the same time that it keeps your team's enthusiasm going. Tip: If you have a strong enough relationship with one or more of your customers, it may be worth presenting your conclusions to them and getting their feedback – this is a good way of either confirming that you're right or of getting a better understanding of what they really want. Example: Lakshmi is a software development manager for a software house. She and her team handle short software enhancements for many clients. As part of a team development day, she and her team use Value Chain Analysis to think about how they can deliver excellent service to their clients.

Source: http://www.mindtools.com/pages/article/newTMC_10.htm last accessed 11.17.2011

During the Activity Analysis part of the session, they identify the following activities that create value for clients:

Order taking Enhancement specification Scheduling Software development Programmer testing Secondary testing Delivery Support

Lakshmi also identifies the following non-client-facing activities as being important:

Recruitment: Choosing people who will work well with the team. Training: Helping new team members become effective as quickly as possible, and helping team

members learn about new software, techniques and technologies as they are developed.

Lakshmi marks these out in a vertical value chain on her whiteboard (you can see the first three client-facing activities shown in the "Step 1: Activity Analysis" box in Figure 1 below):

Source: http://www.mindtools.com/pages/article/newTMC_10.htm last accessed 11.17.2011

Next, she and her team focus on the Order Taking process, and identify the factors that will give the greatest value to customers as part of this process. They identify the following Value Factors:

Giving a quick answer to incoming phone calls. Having a good knowledge of the customer's business, situation and system, so that they do not waste the

customer's time with unnecessary explanation. Asking all the right questions, and getting a full and accurate understanding of the customer's needs. Explaining the development process to the customer and managing his or her expectations as to the likely

timetable for delivery. You can see these in the "Value Factors" column of figure 1. They then look at what they need to do to deliver the maximum value to the customer. These things are shown in the Figure 1's "Changes Needed" column. They then look at what they need to do to deliver the maximum value to the customer. These things are shown in the Figure 1's "Changes Needed" column. They then do the same for all other processes. Once all brainstorming is complete, Lakshmi and her team may be able to identify quick wins, reject low yield or high cost options, and agree their priorities for implementation. Key Points: Value Chain Analysis is a useful way of thinking through the ways in which you deliver value to your customers, and reviewing all of the things you can do to maximize that value. It takes place as a three stage process:

Activity Analysis, where you identify the activities that contribute to the delivery of your product or service.

Value Analysis, where you identify the things that your customers value in the way you conduct each activity, and then work out the changes that are needed.

Evaluation and Planning, where you decide what changes to make and plan how you will make them. By using Value Chain Analysis and by following it through to action, you can achieve excellence in the things that really matter to your customers.

Action Plan: An agreed upon set of actions or tactics that are the particular means used

to achieve objectives.

Balanced Scorecard: A measurement and reporting structure used to align business activities to an organization’s strategy and monitor organizational performance versus strategic goals. First developed by Robert Kaplan and David Norton, the balanced scorecard typically measures along four dimensions (financial, internal processes, organizational capacity and customer) in order to highlight both financial and non-financial results that are the “critical few” key indicators of an organization’s success.

Benchmarking: A technique in which a company measures its performance against that of best-in-class companies, determines how those companies achieved their performance levels and uses the information to improve its own performance. Subjects that can be benchmarked include strategies, operations and processes.

Business Drivers: Crucial factors (people, information, conditions such as market forces, processes, etc.) that lead to the success of the organization

Communication Plan: A guide to the communication and sponsorship efforts throughout the duration of the project. It is a living and working document and is updated periodically as audience needs change. It explains how to convey the right message, from the right communicator, to the right audience, through the right channel, at the right time. It addresses the six basic elements of communications: communicator, message, communication channel, feedback mechanism, receiver/audience, and time frame. A communication plan includes:

• “Who” – the target audience • “What” – the key messages that are to be articulated • “When” – timing, specifically, the appropriate time of delivery for

each message • “Why” – the desired outcomes • “How” – the communication vehicle (how the message will be

delivered) • “By whom” – the sender (who will deliver the information and how

he or she is chosen)

Continuous Improvement:

Sometimes called continual improvement. The ongoing improvement of products, services or processes through both incremental and breakthrough improvements.

Language of Change Glossary

Continuous quality improvement (CQI):

A philosophy and culture of analyzing capabilities and processes and improving them repeatedly to achieve customer satisfaction.

Customer: The recipient of a product, service, information, or other output. See “external customer” and “internal customer.”

Dashboard: A data visualization resource that displays the current status of metrics and performance indicators for an organization. A dashboard consolidates and arranges numerical results that are often produced on a monthly or quarterly basis. A dashboard is distinguished from a performance scorecard (such as Balanced Scorecard) in that the dashboard indicates status at a specific point in time, whereas a scorecard displays progress over time towards specific goals. Dashboard and scorecard designs are increasingly converging.

Effective: Produces the desired quality result and works well as measured by your customers, stakeholders and staff.

Efficient: Able to function without waste (delays, excessive steps, duplication, underutilized people, too complicated) and capable of achieving the desired result with the minimum use of resources, time. Works well as measured by process indicators (cycle time, response time, benefit/investment and/or costs).

External Customer: A person or organization that receives a product, service or information but is not part of the organization supplying it. Also see “internal customer.”

Goal: A desired result that a person or a system envisions, plans, and commits to achieve; a personal or organizational desired end-point in a process of assumed development.

Internal Customer: The recipient (person or department) within an organization of another person’s or department’s output (product, service or information). Also see “external customer.”

Lean: An integrated approach to designing and improving work towards a customer-focused ideal state, through the engagement of all people aligned by common principles and practices. These include direct observation of work such as activities, flows and connection, systemic waste elimination, systematic problem solving, establishment of a high-level of agreement of both what and how, and creation of a learning organization.

Macro-environmental Factors:

The larger external factors that affect an organization’s ability to fulfill its mission, e.g.: political, legal, economic, and sociocultural. See PEST.

Measures of Success: The criteria, metrics or means by which a comparison is made with output.

Metric: A standard for measurement. Metrics may have a number of characteristics such as the following:

• Leading—a measurement that predicts future success or failure; sometimes called “windshield view,” these are used to predict outcomes.

• Lagging—a measurement that depicts what has already occurred; sometimes called “rear view mirror view,” these may be used to determine corrective measures.

• Quantitative—a numerical measurement of an outcome. • Qualitative—a non-numerical measurement of an outcome such as

customer satisfaction. • Output—typically numerical, and measures units of goods or

services produced. • Outcome—can be quantitative or qualitative and measures broader

impact.

Micro-environmental Factors:

The external factors specific to an organization that affect its ability to fulfill its mission e.g.: external customers, agents, distributors, suppliers, competitors, etc.

Milestone (project management):

The end of a stage that marks the completion of a work package or phase, typically marked by a high level event such as completion, endorsement or signing of a deliverable, document or a high level review meeting. A large or complex project may have numerous milestones before the project is complete.

Mission: An organization’s purpose.

Objective: A specific statement of a desired short-term condition or achievement; includes measurable end results to be accomplished by specific teams or individuals within time limits.

Plan, Do, Check, Act (PDCA) Cycle:

A four-step process for quality improvement. In the first step (plan), a way to effect improvement is developed. In the second step (do), the plan is carried out, preferably on a small scale. In the third step (check), a study takes place between what was predicted and what was observed in the previous step. In the last step (act), action is taken on the causal system to effect the desired change. The plan-do-check-act cycle is sometimes referred to as the Shewhart cycle, (Walter A. Shewhart discussed the concept in his book Statistical Method From the Viewpoint of Quality Control) and as the Deming cycle, because W. Edwards Deming introduced the concept in Japan. Also called the plan-do-study-act (PDSA) cycle.

Performance Management:

An agreed upon set of activities that ensure that goals are consistently being met in an effective and efficient manner. Performance management can focus on the performance of an organization, a department, employee, or the processes to build a product or service, as well as many other areas.

Performance Standards: The metric or measurement against which a completed action is compared.

PEST Analysis: Acronym for "Political, Economic, Social, and Technological analysis"; describes a framework for analysis of the external macro-environmental factors that affect an organization and its strategy. The model’s factors vary in importance to the organization depending on its mission and strategy. The PEST factors, combined with external micro-environmental factors, can be classified as opportunities and threats in a SWOT analysis.

Prioritization Matrix: A systematic approach of comparing choices by selecting, weighting, and applying criteria.

Process Improvement: The application of the plan-do-check-act cycle (see listing) to processes to produce positive improvement and better meet the needs and expectations of customers.

Process Management: The pertinent techniques and tools applied to a process to implement and improve process effectiveness, hold the gains and ensure process integrity in fulfilling customer requirements.

Process Map: A type of flowchart depicting the steps in a process and identifying responsibility for each step and key measures.

Process Partner: The next person in a production line or the next department in the flow of production. Provides support, advice, and guidance in respective area of expertise. Supports and participates to create vision and implement changes.

Quality Improvement: The systematic approach to reduction or elimination of waste, rework, and

losses in production process.

Quality management (QM):

The management of a process to achieve maximum customer satisfaction at the lowest overall cost to the organization, by ensuring consistency in production of the product or service. Quality management has four components: quality planning, quality control, quality assurance, and quality improvement. Quality management adopts a number of management principles, including customer focus, leadership, involvement of people, a process approach, a system approach to management, continual improvement, a factual approach to decision-making and mutually beneficial supplier relationships. These principles are used by top leaders to guide the organization towards improved performance.

Quality management system (QMS):

A formalized system that documents the structure, responsibilities, procedures, processes, and management resources to implement the

principles and actions needed to achieve the organization’s quality objectives. A sound QMS is an integral part of an organization’s management and production. It does not in itself make an organization more profitable, efficient, or customer focused, but it will allow the organization to improve the performance of its functions.

Scope of Work: Describes the work to be done in detail, specifies the hardware and software involved and the exact nature of the work to be done.

SMART Goals: Acronym for goals which satisfy the SMART framework of: Specific, Measurable, Attainable, Relevant and Time-bound. Specific goals detail what is expected, why it is important, who is involved, where it will occur, and which attributes are important. Measureable goals allow progress to be clearly quantified and demonstrated. Attainable goals that stretch the employee but can be accomplished serve to motivate. Relevant goals answer the question of why the activity is worthwhile. Time-bound goals establish a sense of urgency by setting a deadline. Goals written in this manner are clear, motivating, easily understood, and result in a much higher likelihood of success than vague, unclear, general goals.

Spans and Layers: A process used to examine the span of management control as measured by the number of direct reports to a given manager, and the number of layers of management. This concept affects organizations in a variety of ways, including speed of communication flow, employee motivation, reporting relationships, and administrative overhead.

Spider Map: A graphical representation of an organizational chart on a single page consisting of a set of concentric rings, each of which represents a layer of management. It measures the complexity of an organization and enables decision-makers to assess the layers (number of layers of supervisors between the top manager and the front-line employee) and spans (average number of direct reports per supervisor) in the unit. Each colored bubble represents a position based on headcount (not FTE). Each staff member (including temps, contractors and students) is represented by a bubble. The bubbles are color-coded to show role, whether supervisor or individual contributor. Supervisors are color coded to indicate their span of control, e.g., how many staff report to them. Spider maps are also known as spider charts and spider diagrams.

Stakeholder: Any individual, group or organization that will have a significant impact on or will be significantly impacted by the quality of a specific product or service.

Standard Operating Procedures (SOPs):

Reliable instructions that describe the correct and most effective way to get a work process done.

Strategic Planning: An organization's process of defining its strategy, or direction, and making

decisions about allocating its resources to pursue this strategy. Various business analysis techniques can be used in strategic planning, including SWOT analysis and PEST analysis (Political, Economic, Social, and Technological).

Strategy Map: A diagram that is used to document the primary strategic goals being pursued by an organization or management team.

Strategy Plan: An organization’s plan that guides decision making and resource allocation for a future course. It defines where an organization is, where it wants to go, and how it will get there.

SWOT Analysis: Acronym for Strengths, Weaknesses, Opportunities, and Threats. A strategic technique used to assess an organization’s current state and environment. Strengths and weaknesses represent internal characteristics of the organization, and opportunities and threats are characteristics of the organization’s external environment.

Systems Thinking: The process of understanding how things influence one another within a whole. In organizations, systems consist of people, structures, and processes that work together to make an organization healthy or unhealthy.

Target: An attainable smaller or intermediate step that an organization can measure as progress toward an ultimate goal. A target is typically specific and numerical, and has a shorter time frame and narrower scope that the goal it is intended to support.

Value Added Tasks: Tasks which have the following characteristics: (1) tasks which the customer is willing to pay for, (2) tasks which transform the product or service, and (3) tasks which are performed correctly the first time.

Value Stream Map: Visual map of work flow from beginning to end, which produces an outcome or product (services, materials, information, etc.). Value is defined from the customer’s perspective. It is a tool to document the current process, point to problems and focus direction.

Value Stream: All of the activities that a company must do to design, order, produce and deliver its products or services to customers.

Values: The fundamental beliefs that drive organizational behavior and decision making.

Vision: An overarching statement of the way an organization wants to be; an ideal state of being at a future point.

Assess the OrganizationNeeds AssessmentGap AnalysisCulture AssessmentSWOT AnalysisSurveys

Create the Strategy

MissionVisionValuesStrategic PlanPrioritiesAnnual GoalsAction Plans

Implement the Plan

Challenges/Opptys. identificationRoles & ResponsibilitiesProcess MappingAnalysis & MeasuresImplementation

Measure Success

Performance StandardsOngoing MetricsBalanced ScorecardDashboards

Evaluate, Adjust and Sustain Success for

Ongoing Process Improvement

Ongoing Process

Improvement Loop

Continuous Process

Improvement

Strategy Planning