CHAPTER 8

Process Improvement Aptitudes

This chapter provides a comprehensive lexicon of skills, competencies, and techniques that managers and practitioners can draw upon as they execute Process Improvement efforts. Whether an individual is developing a business architecture, creating a process model, leading a Process Improvement project, or simply participating in Process Improvement efforts, possessing the necessary tools, skills, and competencies to effectively contribute and provide value to these activities is paramount. Process Improvement professionals need to keep participants engaged, elicit necessary information, create shared understanding, and build consensus, all while keeping stakeholders focused on the intended goal of their engagement. This chapter identifies the skills, underlying competencies, and the techniques needed to drive results within a process-oriented enterprise and provides an understanding of the factors that comprise a competent process-focused individual. This chapter is organized around the following six major topics:

•  Overview of the Dictionary: What is the Process Improvement Aptitudes Dictionary? How does it relate to Process Improvement efforts?

•  Skills and Competencies Defined: What is the definition of a skill? How is a skill different from a competency?

•  Process Improvement Skills: What skills should Process Improvement professionals possess?

•  Process Improvement Competencies: What competencies are required in order to effectively execute Process Improvement initiatives?

•  Process Improvement Tools and Techniques: What are the most common tools and techniques used in Process Improvement efforts?

•  Building, Recognizing, and Retaining Talent: What key practices can be used to help build and sustain employee engagement and retention?

Overview of the Dictionary

Organizations that are focused on improving their processes and operations should make a conscious effort to properly identify and conceptualize the skills, competencies, and techniques required by their workforce in order to ensure widespread cultural practice. The characteristics that are often displayed by successful Process Improvement professionals are not simply personality traits or skills that have been learned over time. These characteristics are, instead, patterns of behavior and are a combination of skills, knowledge, tools, and personal attributes. The Process Improvement Aptitudes Dictionary strives to outline the underlying characteristics that define the patterns of behavior required for Process Improvement professionals to deliver superior performance. There are ten skills and ten competencies that are considered essential for ensuring the success of individuals involved in Process Improvement efforts. When combined with various Process Improvement methods and techniques, these skills and competencies can be used collectively to deliver process excellence.

The skills, competencies, and techniques outlined in this chapter serve to provide a

•  Common language of behaviors, skills, knowledge, and techniques that process-focused organizations can use to ensure performance success

•  System for identifying superior workforce performance within a process-oriented organization

•  Set of measurable performance criteria that any employee involved in Process Improvement activities can demonstrate

Likewise, this dictionary is intended to serve as an anchor for Process Improvement capabilities and provides a common reference point for individuals who are directly involved with Process Improvement efforts.

Using the Process Improvement Aptitudes Dictionary

Each component of the dictionary contains the following 2 key elements:

•  Overview and Definition: Each item includes an overall definition that explains, in general, the characteristics, traits, or motives associated with the skill, competency, or technique.

•  Examples: Each component is accompanied by a set of generic examples that describe what the skill, competency, or technique might entail or how it is used.

While this chapter focuses on a specific set of aptitudes needed by Process Improvement practitioners and how to recognize and build these aptitudes within an organization, there may be other factors not identified that are uniquely required in various professional scenarios and environments. The Process Improvement Aptitudes Dictionary offers a baseline for organizational application and is presented as a sample set of attributes that reflect what outstanding Process Improvement professionals demonstrate most often.

To obtain the full benefits of the aptitudes outlined in this dictionary, readers should

•  Recognize and understand the aptitudes:

  Review the definitions of each skill, competency, and technique

  Learn to recognize each aptitude as it is displayed in other individuals

•  Practice the aptitude:

  Continuously use the skills, competencies, and techniques in order to improve and enhance their effectiveness

Skills, Competencies, and Techniques Defined

An important consideration when reading or using the aptitudes found in this chapter are the definition of the terms, skills, competencies, and techniques and how they relate to each other. One distinction between a skill and a competency is that a competency is more than just knowledge or skills. It involves the ability to meet complex demands by drawing on and mobilizing psychosocial resources, such as skills and attitudes, in a particular setting. In essence, a competency refers to a set of skills, and is more of an umbrella term that also includes behaviors and knowledge, whereas skills are specific learned activities that may be part of a broader context. For example, the ability to be flexible in business situations is a competence that may draw on an individual’s knowledge of change management principles, techniques, and practical skills and attitudes. A skill can be thought of as an individual’s ability to perform tasks or solve problems, while techniques are the various ways of carrying out a particular task. For example, Process Improvement practitioners may require strong facilitation skills, yet conduct facilitation activities using a particular approach or technique, such as Brainstorming. A competency is therefore a broader concept that, in many cases, is comprised of skills as well as attitudes, knowledge, and techniques. All three areas are very much aligned and serve common purposes. The purpose of this dictionary is to provide as broad an area as possible in defining the various aptitudes demonstrated or used by Process Improvement professionals.

Process Improvement Skills

The skills needed to objectively assess and improve processes range from basic management to advanced technical and project management expertise. The following section outlines the skills that seasoned Process Improvement practitioners, managers, and operators typically possess.

Facilitation Skills

Facilitation describes the process of taking a group through learning or change in a way that encourages all group members to participate. This approach assumes that each person has something unique and valuable to share. Without each person’s contribution and knowledge, the group’s ability to understand or respond to a situation may be reduced. Facilitation skills are important to Process Improvement efforts as improvements are typically executed in a group setting either through large meetings or workshops. In these scenarios, a facilitator’s role is to draw out knowledge and ideas from different group members, encourage group members to learn from each other, and encourage group members to think and act together as they propose improvements to organizational processes and systems.

An individual who possesses facilitation skills

•  Uses group discussion and activities that allow stakeholders to be actively involved in a particular task or initiative

•  Prepares for group meetings by identifying the key issues, goals, and stakeholder expectations

•  Identifies resources that are most likely to help a group with its task, clarifies the agenda and objectives, and allocates the necessary time to cover topics

•  Recognizes the strengths and abilities of individual group members and helps them to feel comfortable about sharing their hopes, concerns, and ideas

•  Supports the group, giving participants confidence in sharing and trying out new ideas

•  Engages all members in the discussion and builds on the ideas of contributors, while ensuring other members are not overwhelmed or discouraged from giving input

•  Sees when the group is off track and redirects the conversation toward productive channels

•  Values diversity and is sensitive to the different needs and interests of group members

•  Allows ownership of the process by group members, highlights group successes, builds a sense of shared accomplishment, and reinforces success by becoming an advocate for the group’s decisions

•  Leads by example through attitudes, approach, and actions

Change Management Skills

Change Management is the process of transitioning individuals, teams, and organizations from a current state mentality or way of operating to a desired future state. This approach serves to alter human capability or organizational systems in order to achieve a higher degree of output or performance. By not properly managing change, organizations risk incurring project delays, employee resistance, decreased morale, and increased expenses. A change agent’s role is to enable people to do more, find new and better ways of operating, and manage the activities surrounding any change within an organization’s environment in order to avoid stakeholder frustration and fatigue.

An individual who possesses change management skills

•  Acts as a catalyst for change on a consistent basis

•  Defines, researches, plans, builds support, and partners with others to create change

•  Has a clear vision for the future and is able to communicate that vision clearly

•  Regularly assesses current state or common practices and suggests possible change initiatives

•  Builds bridges of trust and forms strong relationships with stakeholders

•  Possesses courage and a willingness to do what is best for the organization

•  Acts as an advocate and promoter of change whenever possible

•  Supports and encourages transformation activities

Project Management Skills

Project Management describes the process of planning, organizing, motivating, and controlling resources and activities in order to achieve specific goals. This approach involves defining the scope of a particular endeavor, building a schedule for executing its activities, managing the effort in a disciplined manner, and ensuring appropriate controls and quality measures are in place. By not properly managing project activities, organizations risk duplicating efforts, causing confusion among stakeholders, and increasing expenses. A critical component of being a Process Improvement Manager is to act as the primary point of contact for a project and to formally manage the timeline, costs, and risks associated with its execution so that project deliverables meet or exceed stakeholder expectations.

An individual who possesses project management skills

•  Aligns activities with business goals

•  Integrates the ideas and needs of others when developing feasible strategies to achieve goals

•  Ensures the goals, purpose, and criteria for success are clearly defined

•  Ensures needed resources and skill sets among staff are available

•  Removes obstacles and motivates team members

•  Outlines clear expectations, roles, and responsibilities for initiatives

•  Identifies potential risks and develops plans to manage or minimize them

•  Keeps stakeholders informed and up-to-date with regular meetings and reports

•  Manages costs and budgets

•  Manages schedules and ensures deadlines are met

Time Management Skills

Time Management is the process of planning and exercising control over the amount of time spent on specific activities in order to increase effectiveness, efficiency, or productivity. This involves prioritizing and selecting what to work on and when to work on it, as well as ensuring that tasks are completed within appropriate timelines. By not effectively managing time, individuals risk wasting effort on low-priority tasks and deliverables, becoming distracted by items of little or no importance, and completing tasks behind schedule.

An individual who possesses time management skills

•  Sets aside time for planning and scheduling of activities

•  Uses goal-setting to decide what tasks and activities should be worked on

•  Groups related tasks to be more efficient

•  Adjusts priorities as situations change

•  Easily transitions between tasks and picks up where left off when interrupted

•  Evaluates progress on tasks and adjusts work style as needed

•  Completes high volumes of work, keeping a rapid pace without sacrificing accuracy

•  Leaves contingency time in timelines to deal with unexpected issues or events

•  Regularly confirms priorities with leadership and stakeholders

•  Ensures the value of tasks outweighs the effort needed to deliver them

Analytical Skills

Analytical Thinking is a process that emphasizes breaking down complex problems into single and manageable components. It involves gathering relevant information, identifying key issues related to this information, comparing sets of data from different sources in order to identify possible cause-and-effect patterns, and drawing appropriate conclusions from those datasets in order to arrive at appropriate solutions to problems. Problem solving based on data and fact-finding techniques is an essential competency to Process Improvement efforts. Too often, cursory examinations of situations result in glossing over important facts or misleading the assessor based on personal experience and bias. Approaching process work with agnostic and impartial information-gathering establishes a data stream that can be monitored for trends and patterns that will help in identifying root causes.

An individual who possesses analytical thinking skills

•  Takes care to define each problem carefully before trying to solve it

•  Sees relationships between information in varied forms and from varied sources

•  Notices when data appear wrong or incomplete and isolates information that is not pertinent to a decision or solution

•  Breaks down complex information into component parts, sorts and groups data, and applies causal relationships

•  Strives to look at problems from different perspectives and generates multiple solutions

•  Tries to address the political issues and other consequences of a change so that others will understand and support the solution

•  Evaluates potential solutions carefully and thoroughly against predefined standards

•  Systematically searches for issues that may become problems in the future

Negotiating Skills

Negotiation is a process that encompasses a discussion between two or more individuals who seek to find a solution to a problem that meets both of their needs and interests. Being a skilled negotiator can help individuals solve problems, manage conflict, and preserve relationships. In any disagreement, individuals understandably aim to achieve the best possible outcome for their position or organization. However, the principles of fairness, seeking mutual benefit, and maintaining a relationship are key to a successful outcome. Negotiation skills can be of great benefit in resolving any differences that arise between project team members and stakeholders.

An individual who possesses negotiation skills

•  Presents interests in ways that foster the understanding and resolution of problems

•  Gains the trust of other parties by being honest, respectful, and sensitive to their needs

•  Knows when to be gentle and when to be assertive and acts accordingly while avoiding ultimatums

•  Questions and counters proposals without damaging relationships

•  Remains open to many approaches in order to address needs or resolve issues and seeks suggestions from other parties

•  Seeks common interests and win–win solutions

Decision-Making Skills

Decision Making is the process of choosing what to do by considering the possible consequences of different choices. Many different factors can influence how individuals make decisions, including cognitive, psychological, social, cultural, and societal factors. Decision Making involves the ability and willingness to be unbiased and objective when making sound business decisions based upon consideration of various alternatives. This includes consideration of both long- and short-term impacts of decisions on various individuals or groups. Poor Decision Making in Process Improvement efforts can lead to poor-quality results, financial costs, or unnecessary waste.

An individual who possesses decision-making skills

•  Determines the actual issue before starting a decision-making process

•  Considers lessons learned from experience, differing needs, and the impact of the decision on others

•  Takes the time needed to choose the best decision-making tool for each specific decision

•  Balances analysis, wisdom, experience, and perspective when making decisions

•  Considers a variety of potential solutions before making a decision

•  Finds solutions that are acceptable to diverse groups with conflicting interests and needs

•  Evaluates the risks associated with each alternative before making a decision

•  Determines the factors most important to the decision and uses those factors to evaluate options

•  Has the ability to explain the rationale for a decision

•  Makes necessary decisions even when information is limited or unclear

Communication Skills

Communication is the process of conveying information through the exchange of speech, thoughts, messages, text, visuals, signals, or behaviors. Clear and informative communication is critical during periods of change. It provides stakeholders with all of the information needed to ease the transition from the current state to the future state. Effective communication takes into consideration the needs of the audience and their concerns and the communication channels best suited to the audience, has a clear strategy that defines the approach, and establishes the infrastructure needed to deliver the communication strategy. Various channels of communication influence audiences in different ways and aid in the reinforcement of the intended core message. Such tools include social websites, corporate intranets, video messages, real-time broadcasts, commercials, posters, e-mail, physical mail, meetings, and so on. A communication plan helps to describe the unique elements of the communication and sets the roles and responsibilities for where, when, how, and who will communicate the message. A solid plan never assumes communications will flow by themselves; it orchestrates all aspects of communication to ensure everything will progress on track. The plan creates the standards for and actual message tone that is used to remind leadership of the program’s benefits and the value-add to their organizations. Competent communicators attend to this competency as a critical factor to the overall transformation made possible by process improvement work. These specialists bidirectionally process outbound communication and act as active listening agents to identify information breakdowns and areas requiring adjustment. Through active listening one gains insight, understands what is expected and needed, discovers the opportunity to resolve problems, and influences the ecosystem to become more productive. Attention needs to be given to communication style when interacting with audiences that are globally distributed and diverse. The origination of communication messages should be reviewed carefully to screen for country-specific/audience-specific sensitivities that are often missed in language translation and inflection to avoid offense or misdirected action.

An individual who possesses communication skills

•  Thinks about what a person or audience needs to know and how best to convey it

•  Communicates concisely and repeatedly using appropriate means (e.g., group/one-on-one, e-mails/meetings, face-to-face)

•  Ensures all relevant background information and detail are included so that the message is understood

•  Uses diagrams and charts to express ideas as required

•  Continuously updates stakeholders as new information becomes available and lessons are learned

•  Helps people understand the underlying concepts behind the point being conveyed

Training Skills

Training is a process aimed at bettering the performance of individuals and groups in organizational settings. It is the act of formally delivering information, knowledge, and skills to individuals or groups so that they are able to perform duties appropriately. Lack of training in Process Improvement efforts can lead to confusion, poor performance, and undesired outcomes.

An individual who possesses training skills

•  Creates an environment for optimal learning

•  Tailors his or her teaching style to the audience in question

•  Combines exercises, group discussions, workshops, and other methods to meet diverse learning styles

•  Uses props, slides, and other presentation aids to deliver new content and information

•  Interacts with the audience, reads body language, gathers feedback, and holds their attention

•  Sees when listeners fail to grasp critical concepts and take steps to ensure comprehension

•  Gives adequate attention to individuals without neglecting the group as a whole

Coaching Skills

Coaching is the process of enabling stakeholders to grow and succeed by providing feedback, instruction, and encouragement in order to assist them in discovering solutions on their own. A coach helps stakeholders articulate their goals, define strategies and plans, and challenge as required in order to stay the course and succeed.

An individual who possesses coaching skills

•  Coaches others regardless of performance level

•  Shares specialized approaches and skills that will increase capabilities

•  Helps others identify key goals and use their talents to achieve those goals

•  Sees the potential and strengths of others and works to build on them

•  Actively supports others as they stretch beyond their comfort levels and try new techniques that may enhance success

•  Coaches for incremental, one-step-at-a-time improvements, offering praise and recognition as each step is taken

•  Suggests methods and gives examples that provide a road map to improved performance

•  Models success behaviors, a high-performance work ethic, and constant self-improvement

Process Improvement Competencies

Core competencies, also referred to as key competencies, consist of those behaviors and capabilities an individual has that make him or her stand out as a superior performer. Some relevant competencies demonstrated by Process Improvement professionals and stakeholders are described in the following paragraphs.

Building Partnerships

Building partnerships involves the ability to build mutually beneficial business relationships that foster improved business outcomes. Partnerships imply a sense of cooperation rather than competitiveness and strive for balance within the established trust. Effective partnerships take a long-range approach and recognize the nature of give-and-take based on the current needs of the organization. It is not unusual for imbalance to occur from time to time, but overall successful partnerships are maintained because all partners receive a significant benefit from the relationship. Process work requires driving for deep and lasting partnerships between colleagues, department, suppliers, and customers. This is achieved by demonstrating comprehensive knowledge of the business strategy, sources of revenue, and methods/processes to perform the service.

Competency examples include

•  Responding to the needs of customers and stakeholders in a timely manner

•  Ensuring customers and stakeholders know how to access help when required

•  Acting as a partner and trusted advisor

•  Encouraging others to involve customers in process development

•  Building reciprocal relationships with people in other functions

•  Sharing experience and expertise with contacts in other organizations

•  Working with external colleagues to foster the transfer of process information, which results in business improvement in both directions

•  Creating and leading cross-organizational teams to look at new business opportunities

Collaboration

Collaboration embraces the ability to work harmoniously with others in the business environment toward a common goal. As in partnership relationships, collaboration requires a cooperative spirit of participation and ease of doing business. It leverages appropriate information-sharing and knowledge transfers across functional boundaries to effect positive results. Collaborators build necessary relationships proactively and reactively. They are self-aware of their personal needs and set them aside, and they expect those they collaborate with to do the same. Their energy level is heightened when teaming with others to solve a business problem. Collaborators seek information for the purpose of understanding, and they offer insight freely to help shape an outcome that is not recognized as a personal win. They radiate information and teach others in a coachinglike manner. Those with strong collaboration skills understand their own role in defusing conflict and helping others to align in order to meet the needs of the customer or other stakeholders and achieve business success. The expert collaborator probes for improvement while not creating blame or excessive discomfort in the status quo but effectively moves the business forward. There is a personal likability associated with most successful collaborators as they bridge opposing perspectives to get results while creating the sense of a winning team around them.

Competency examples include

•  Disclosing pertinent information freely to keep colleagues abreast of activities

•  Contributing to team meetings and discussions

•  Maintaining positive working relationships with others by showing interest in what others are doing

•  Providing opportunities for others to present the results of their own accomplishments

•  Understanding what motivates different colleagues and using that knowledge to select the most effective recognition vehicle for them

•  Intervening when conflict arises to help those involved bring up their issues in order to get to the root causes of the problem

•  Supporting joint projects or sharing of resources

•  Seeking out opportunities for cross-functional collaboration

•  Promoting open discussion by inviting and sharing ideas and responding to others with empathy

Credibility

Having organizational credibility means having the ability to establish the trust needed to help organizations move through the transformation stages more smoothly. This is built on a history of delivering service with integrity, competence at execution, the right relationships within and outside of the organization, as well as career experience or educational status. Credibility can be eroded if the individual put in the position of responsibility acts in a contrary manner, that is, is insincere, unethical, secretive, mean spirited, and so on. When this occurs, the worker’s integrity and their body of work is subject to suspicion. The credible worker acts as a role model and inspiration for others, which motivates others to action. Their work is considered best in quality and drives others to follow in their footsteps. Having credible processes in place helps maintain the organization’s credibility by delivering processes that are consistent and compliant with the rules and laws and that do not intentionally disadvantage others. Inspecting for attempts of exploitation or gaps in processes helps to test for credibility issues and reinforces the expectation for credible conduct.

Competency examples include

•  Consistently delivering what is promised

•  Consistently abiding by company standards, policies, and procedures

•  Listening actively and openly to the views and opinions of others

•  Constructively presenting ideas even if they are different from accepted opinion

•  Acting as a role model for others through moral and ethical integrity

•  Encouraging and recognizing others who behave ethically

•  Focusing on solving a problem and not assigning blame

Flexibility

Flexibility describes the ability to adapt to change, shift focus and resources, and manage through the change. It is important to have flexibility as change is constant in the competitive business environment. Individuals who are flexible keep an open mind to alternatives so that they can create an environment in which innovation thrives and problems can be solved without stress. They seek out feedback to understand and appreciate different and opposing perspectives on an issue and adapt their approach accordingly. Processes should be built to recognize the nature of change within long-term strategy and market and technological trends in order to capitalize on potential opportunities. As implied, flexibility is correlated with speed and agility. The ability to shift on demand in response to unanticipated market changes and competitive pressures is essential. While not all outcomes can be anticipated in a volatile market or environment, building flexibility skills in the workforce creates the expectation for speed and flexibility in service delivery.

Competency examples include

•  Responding positively to change and embracing and using new practices or values to accomplish goals and solve problems

•  Adapting approaches, goals, and methods to achieve solutions and results in dynamic situations

•  Coping well and helping others deal with the ongoing demands of change

•  Managing change in a way that reduces the concern experienced by others

•  Remaining optimistic and positive when experiencing change

•  Continuing to deliver expected results when priorities and resources are redefined

•  Cooperating when activities, plans, and timelines need to be reprioritized

•  Reassuring others when change occurs by sharing information openly and helping others to understand the reason for change

•  Conducting team-building sessions in order to help the team adapt and remain positive when change occurs

•  Consulting with team members for thoughts and ideas to a situation before implementing a change

Initiative

Initiative is the ability to take immediate action regarding a challenge, obstacle, or opportunity while thinking ahead to address future challenges or opportunities. People with initiative identify trouble spots and take steps to disrupt the eventual result of the problem. They are driven to prevent problems where possible and to take advantage of various tools at their disposal to do so. This is done with great personal investment in the outcome. Organizations that operate suggestion boxes or programs for channeling innovative ideas often are surprised at the high level of engagement among some of their staff who generate comprehensive and thoughtful recommendations about problems they experience in their jobs. These employees are demonstrating a high bias for action and are at the forefront of employees with positive initiative. Process work requires a great deal of initiative to drive the business to take immediate action that will result in long-term benefit, even in the absence of short-term gains. In this context it is important to recognize the momentum of a company, which is behind maintaining the business in an as-is state. Initiative is a key driver that gets others to pay attention to the to-be state and the advantages of making the change.

Competency examples include

•  Taking repeated actions to achieve goals despite facing obstacles and not giving up easily

•  Demonstrating a high degree of perseverance to ensure goals are reached and at the required standard

•  Finding another way around obstacles when blocked

•  Recognizing opportunity and being able to act accordingly to translate ideas into a functional reality

•  Acting proactively before being forced by a crisis

•  Actively seeking solutions before being asked or directed

•  Acting quickly to address current deficiencies in the organization and creating an awareness that spurs others to respond

•  Questioning the way things are done and taking action to lead toward increased performance

•  Creating a sense of urgency in others and ensuring actions are taken through appropriate influencing and rationalization strategies

•  Acting on changes, trends, and emerging issues that will impact the organizational process

Business Knowledge

Business Knowledge means having the business acumen needed to drive strategy, evaluate, and improve performance. Those who don’t possess a solid understanding of the business they are operating within are at a tremendous disadvantage if left in that state. Using the process landscape is a great method for gaining knowledge about the business. The ecosystem that sustains the business, the inputs and expected outputs, the performance information that the system radiates, and the feedback mechanisms contained within are all opportunities to first learn the basics and drive attention to the elements of the business that are often neglected. Processes often start out being fairly mechanical; over time, significant understanding of how a business is constructed is gained. Initially people with whom the process team interacts see a naive team that records information with fervor. However, as business knowledge grows, the business team is challenged to keep pace with the process organization. As the knowledge depth and breadth expand, the process organization probes deeply into the business as-is state to reveal significant gaps in the understanding of why the business operates the way it does. These are the moments when revelations arise and business members are surprised to have the process team draw their attention to very real opportunities to run their business more effectively. The process team and the artifacts they produce become a hub of business intelligence that tenured staff depends on and embraces. Those who are new to the business landscape learn their place in the value stream more quickly.

Competency examples include

•  Obtaining general knowledge in all areas of the business

•  Applying cross-functional knowledge to solve concrete business problems

•  Describing the responsibilities of management in relation to the organization’s goals and strategy

•  Understanding the market customer base and environmental factors of the organization

•  Outlining the various business goals and how they can be obtained

Sound Judgment

Sound Judgment is the ability and willingness to be unbiased and objective when making business decisions based upon consideration of various alternatives. A critical skill, judgment is expected in almost every job. Quality of judgment is dependent on the quality of information (the facts), accurate analysis and reasoning skills (the assessment), and sufficient time to evaluate all potential outcomes and risks (the options) in order to make a good decision (the decision). Judgment is ultimately measured as a matter of the outcome result. Sound judgment can be tested. For example, mock scenarios can be presented during situational interviews to observe the candidates’ methods for making a decision. Information gathering through additional inquiries and consultation, reference to research or experience regarding the scenario, compilation of theories and expected results, evaluation of best-case eventualities, and indications of unbiased action may offer evidence that the candidate would, in practice, have reasonable judgment. The approach one takes does have a qualitative impact on the result. Those who are able to discard unimportant information and distill important information quickly are more likely to achieve business success. Breaking down problems into smaller segments makes it easier to assess the problem more accurately. The cause-and-effect relationship can be more easily identified, pointing to the root cause. Recognition of patterns and trends helps build predictability about future events. Judgment can be improved with experience, quality feedback, and reflection on what could have been improved. This insight can be used to prepare for the next experience.

Competency examples include

•  Making sound decisions by considering alternatives

•  Considering impact in other areas of the organization

•  Weighing alternatives and selecting practical solutions

•  Reviewing a decision to see if it satisfies long-range plans

Resilience

Resilience is the ability to remain strong and persistent when pursuing goals despite obstacles and setbacks. It also means accepting the dynamic nature of business and maintaining a positive demeanor while facing the challenges of unknown or difficult situations. A resilient person is able to demonstrate that they are able to reorient themselves and others to deal with a situation. Often thought of as the ability to “bounce back” in the face of adversity, resilience manifests itself in constructive action that embraces lessons learned and sees the opportunity for improvement. With a focus on who is in control, process improvement professionals focus their attention on supporting others in the rapidly changing environment. They encourage new ideas, perspectives, strategies, and positions and take steps to understand the reasons for changes in the environment. Being resilient requires a level of creativity and willingness to reconsider strongly held ideas and beliefs.

Competency examples include

•  Expressing realistic optimism to others

•  Remaining positive and upbeat during setbacks

•  Not showing undue frustration when resisted or blocked by others or by circumstances

•  Putting obstacles into perspective

•  Remaining composed under pressure

•  Reflecting on setbacks and identifying key lessons learned for self and others

•  Encouraging others to see more hopeful perspectives and outcomes

•  Coping well with ambiguity and knowing how much to push people and situations and when to let go

•  Keeping individuals focused on what they can control and on the improvements they can make

Strategic Implementation

Strategic Implementation is the ability to link strategic concepts to daily work. Understanding the organization’s Strengths, Weaknesses, Opportunities, and Threats (SWOT), a strategic thinker balances SWOT and industry/market trends to turn the business toward long-term sustainable competitiveness. They construct processes that are congruent with the corporate strategic plan and leverage the process landscape as a mechanism to both direct the workforce in achieving results aligned with the plan and use the landscape to monitor and alert others regarding performance trends. The information that radiates from the performance measures helps shape strategic change to business plans as they help identify changes in the competitive landscape.

The priority of process work is to take into account the immediate actions and tactics that are driven by the business priorities and enable others to understand the priorities and enlist support for implementing new approaches to meet these needs. The Process-Oriented Architecture model is a powerful instrument that is used in constructing transition architectures that align with long-term strategy results. It captures the essential components of what the future vision is believed to be when fully operational. In this way, current state, transition architecture models, and to-be state work in concert to support the evolving strategy of the business.

Competency examples include

•  Focusing on immediate tactical action to achieve near-term results while keeping long-term objectives in mind

•  Prioritizing work in order to meet expectations

•  Adapting his or her role, when appropriate, to the organizational business plan

•  Working with customers and stakeholders to understand their business strategies

•  Anticipating future situations to ensure required processes are in place

•  Establishing a realistic set of actions and milestones to ensure success

•  Finding the needed resources to support implementation

•  Anticipating future trends and consequences accurately

•  Regarded as a thought leader

•  Describing a clear vision for the future and a compelling picture of new opportunities

Situational Awareness

Situational Awareness is the ability to make sensible decisions based on an accurate understanding of the current environment. Situational awareness leverages human characteristics such as perception, which can vary greatly from person to person. It can be interfered with emotional state, historical experience, fatigue, pressure driven from social norms, bias, expectations, and/or stresses interrupt the process of being able to make an accurate assessment of the current situation. Possessing good situational awareness may not be consistent from occasion to occasion, as even the best practiced individuals can suffer one or more of the influences that interfere with understanding. Time available is also a consideration; making a snap decision inherently reduces the variables that can be considered, while lengthy or sufficient time increases the odds of having better results. Techniques to counteract these influences can be employed, for example, taking an inventory of all the influences that may be in play, having a healthy skepticism about the information you are assessing, or discussing observations with others who may not be experiencing the same influences at that time before making a decision. Cognitive capacity also plays a role in situational awareness. Each individual has boundaries regarding how much data he or she can process and make sense of at any given time. The limitation creates some variability in the level of awareness and follow-on decision-making. Bad input results in bad output. In process work, situational awareness requires the ability to accurately identify and anticipate the needs of the organization, team members, and other stakeholders. It involves taking risks when predicting future needs to design new or improved processes. While mapping processes for confirmed needs is fairly straightforward, having accuracy for predicted needs can be more challenging. A recommended technique for addressing predicted needs includes low-tech penciling in of optional process flows that attempt to test prediction validity with as many stakeholders as possible before committing to a course of action. This method helps to reduce human error and bias introduced in inaccurate situational awareness, which is typically introduced when processes are designed in isolation and reality can be distorted. A situation map that articulates the change management dimensions that need to be considered can also be created. The map can take the form of a dimensional chart such as pie, line, or bar charts; information cubes; histograms; radar charts; process/flowcharts; and decision trees. Frequent inspection and show-and-tell of maps during process improvement initiatives serve to bring forward alternate points of view (POV) that can be leveraged to build accurate and comprehensive situational awareness. The value of POV insight translates into right-sized and valid processes that fit the evolving business landscape. Continuous assessment and communication are powerful controls to ensure high-quality results.

Competency examples include

•  Seeing the interrelationships between parts of the organization

•  Knowing the reasoning behind key policies, practices, and procedures and seeking exceptions when needed to achieve goals

•  Understanding internal and external politics and their impacts on the organization

•  Aligning resources and maneuvering politics to solve problems or reach goals

•  Understanding the organizational structure and reporting relationships

•  Understanding guidelines that enable the business to operate effectively

•  Recognizing the influence and impact of the organization’s key stakeholders

•  Maintaining an up-to-date understanding of current organizational topics and issues

•  Creating and maintaining successful business partnerships by developing an understanding of business and social norms in other cultures

Process Improvement Tools and Techniques

The following section provides an introduction to a variety of tools and techniques that can be used during Process Improvement activities. No specific tool is mandatory, and any one may be helpful at various points throughout the Process Improvement lifecycle.

Process Mapping

Process Mapping is the act of visually describing the flow of activities in a process and outlining the sequence and interactions that make up an individual process, from beginning to end. These maps show how work is done (as-is state) or could be done (to-be state) between different functional areas within an organization. Process Maps not only detail the sequence of activities within a process, they also identify handoffs and help define roles and responsibilities. The purpose of process mapping is to better understand the activities performed by an organization. It involves the gathering and organizing of facts about the work and displaying them so that they can be questioned and improved by operators, managers, and other stakeholders. In many cases, process maps serve as a communication tool, a business-planning tool, and a tool to help manage an organization. Key elements of a process map include the inputs and outputs of a particular process (how inputs and outputs are handled and distributed), the steps or activities involved in executing the process (what is happening), any major decision points, and the departments involved in the processes execution (who is operating it).

Benefits of Process Mapping

Organizations and Process Improvement Teams use Process Mapping to

•  Articulate how work gets done in an organization

•  Show how work should be done in an organization

•  Improve an organization’s understanding of business and operational performance

•  Give employees an opportunity to gain familiarity in a shared view

•  Reveal issues and gaps that cause business and operational problems; help increase the probability of success and encourage a higher level of involvement and agreement

•  Allow a person to visually illustrate and convey the essential details of a process in a way that written procedures cannot do; can replace many pages of words

•  Influence and accelerate the “Opportunity Assessment” and “Design” phases of a project

•  Aid in solving problems and making decisions

•  Show processes broken down into steps, using symbols that are easy to follow and understand

•  Show intricate connections and sequences easily, allowing for immediate location of any element of a process

•  Help organizations understand the important characteristics of a process, allowing it to generate useful analytical data in order to derive findings, draw conclusions, and formulate recommendations

•  Allow organizations to systematically ask many important probing questions that lead to development of a view on business process improvement

How to Create a Process Map

The following list outlines the steps to take when creating a Process Map:

1.  Use boxes to illustrate the activities or steps that make up the process in question.

2.  Draw a line with an arrowhead to show an input or an output associated with each step.

3.  Label the inputs and outputs of each step where applicable so that stakeholders are able to see the transformation or value of each step.

4.  Keep the sequence of activities moving from left to right and avoid backflow or backward arrows.

5.  Avoid confusing intersections of flow lines by using intersection symbols.

6.  Use a diamond-shaped box to indicate when a decision is made in the process.

7.  Label the decision and the decision outcomes from any decision points in the process.

8.  Draw horizontal swim lanes to represent the different departments that participate in the process.

9.  Outline the customer of the process in the top swim lane.

10.  If several areas jointly perform the same step, draw a hanging box so that it overlaps all of the areas involved.

11.  Label each step in verb–noun fashion.

12.  Add any necessary annotations and process components to the map so that it is an all-encompassing view of the process (i.e., systems, business rules, data elements etc.).

13.  Use standardized shapes across all process flows.

Figure 8-1 provides a basic overview, with descriptions and meanings, of the most common process mapping shapes.

FIGURE 8-1   Process Mapping Shapes

Common pitfalls when drawing process maps include

•  Not involving the affected persons in their creation

•  Not verifying the content outlined in a map with stakeholders once it is completed

•  Omitting information

•  Not having a method to update and maintain the process map

•  Not having process maps readily available

Force Field Analysis

Force Field Analysis is a technique used to identify forces that may help or hinder achieving a change or improvement within an organization. It is a method for listing, discussing, and evaluating the various forces for and against a proposed change so that the forces that help can be reinforced and the forces that hinder can be reduced or eliminated. Having identified these, an organization can then develop strategies to reduce the impact of the opposing forces and strengthen the supporting forces. An effective team-building tool, it is especially useful when it is necessary to overcome resistance to change. When a change is planned, Force Field Analysis helps organizations see the effects on the larger business landscape by analyzing all of the forces impacting the change and weighing its pros and cons. Once these forces have been identified and analyzed, it is possible for an organization to determine if a proposed change or improvement is viable. Several factors can be analyzed, including people, resources, attitudes, traditions, regulations, values, needs, and desires. Force Field Analysis helps identify those factors that must be addressed and monitored if change is to be successful. Forces that help an organization achieve change are called driving forces and any force that might work against the change is called a restraining forces. Other types of forces that can be considered in force field analysis include

•  Organizational structures

•  Vested interests

•  Relationships

•  Social trends

•  Personal needs

•  Present or past practices

Benefits of Force Field Analysis

Organizations and Process Improvement Teams use Force Field Analysis to

•  Ensure proposed changes are seen from a variety of perspectives

•  Enable people to think together about all aspects of making a change

•  Enable an organization to see objectively whether a proposed product will have a receptive market

•  Determine potential strategic alliances

•  Build consensus within an organization

How to Conduct Force Field Analysis

The following list outlines the steps to take when conducting a Force Field Analysis:

1.  Using adjectives and phrases, describe the current situation or problem as it is now and the desired situation as the vision for the future.

2.  List all the driving and restraining forces for the change.

3.  Discuss the key restraining forces and determine their severity.

4.  Discuss the key driving forces and determine their strength.

5.  Allocate a score to each force using a numerical scale, with 1 being very weak and 10 being very strong.

6.  Chart the forces by listing, in strength scale, the driving forces on the left and the restraining forces on the right.

7.  Explore the restraining forces and the best way to address them.

8.  Prioritize the driving forces that can be strengthened or identify the restraining forces that would assist with achieving desired state if they were removed.

9.  Define the changes required in order to resolve the problem.

10.  Identify priorities and produce an action plan.

11.  Develop a Comprehensive Change Strategy.

12.  Implement the required changes.

Figure 8-2 illustrates the basic format of a Force Field Analysis template.

FIGURE 8-2   Force Field Analysis Template

Fishbone Diagrams

A Fishbone Diagram, also known as a Cause-and-Effect Diagram or Ishikawa Diagram, is used to visually display the potential causes of a specific problem or event. A Fishbone Diagram provides structure for problem-solving discussions and is used to help individuals find and cure root causes of a problem rather than its symptoms. It is particularly useful in group settings and for situations in which little quantitative data are available for analysis. Fishbone Diagrams are also used to assist in illustrating the relationships between several potential or actual causes of a performance problem.

Benefits of Fishbone Diagrams

Organizations and Process Improvement Teams use Fishbone Diagrams to

•  Enable analysis that avoids overlooking any possible root causes of a problem

•  Create an easy-to-understand visual representation of a problem, its causes, and categories of causes

•  Focus a group on the big picture as to possible causes or factors influencing the problem

•  Illustrate areas of weakness that, once exposed, can be rectified before causing more sustained difficulties

•  Enable teams to focus on the problem at hand and not its history or related personal interests

•  Create consensus surrounding the problem and its causes and build support for solutions

•  Keep costs down by not requiring additional software

How to Create a Fishbone Diagrams

Following are the steps to take when conducting a Fishbone Diagram:

1.  Agree on a problem statement.

2.  Create the main fishbone and place the problem statement on the right-hand side.

3.  Brainstorm the major categories of causes of the problem.

4.  Write the categories of causes as branches from the main fishbone.

5.  Continue to generate deeper levels of causes and add them as layers to each branch.

6.  Analyze the diagram and its various symptoms.

7.  Determine Root Causes.

8.  Identify and prioritize solutions.

9.  Create an Action Plan for resolution.

Figure 8-3 illustrates the basic format of a Fishbone Diagram.

FIGURE 8-3   Format of a Fishbone Diagram

The following list outlines some tips for crafting fishbone diagrams:

•  Make sure that there is group consensus about the problem statement before beginning the process of building the fishbone diagram.

•  Consider as much information about the problem, including what, where, when, and how often, in order to give the team as much background knowledge as possible.

•  If appropriate, separate branches that do not contain a lot of information onto other branches.

•  If appropriate, split branches that have too much information into two or more branches.

•  Only use as many words as necessary to describe the various causes and effects.

•  If ideas are slow to come out of a group, use the major cause categories as catalysts or triggers for discussion.

NOTE   The 5 Whys, Brainstorming, and Check Sheet techniques can be used to generate the causes and subcauses during a Fishbone exercise.

5 Whys

5 Whys is a question-asking technique used to explore the root cause of a particular defect or problem. It involves looking at a problem and asking several times why it occurred. The first answer prompts another why, the answer to the second why will prompt another, and so on. This is critical as symptoms often mask the causes of problems. As with effective incident classification, basing actions on symptoms is the worst possible practice. Effective use of the technique will define the root cause of any nonconformances and subsequently lead to definition of effective long-term corrective actions. By repeatedly asking why, teams can separate the symptoms from the causes of a problem. Although the technique is called 5 Whys, teams will often have to ask the question more than five times in order to find the true cause of a problem (5 is simply a general rule of thumb). Conversely, it may take teams only a few rounds of questioning to get to the root cause of an issue. 5 Whys is most useful when problems involve human factors or interactions and in day-to-day business life. The technique can be used alone of combined with other quality improvement and troubleshooting techniques, for example, within or without a Six Sigma project.

Benefits of 5 Whys

Organizations and Process Improvement Teams use the 5 Whys to

•  Quickly identify the root cause of a problem

•  Determine the relationship between different root causes of a problem

•  Avoid the use of statistical analysis or advanced mathematics

•  Foster and produce teamwork and teaming within and without the organization

•  Avoid high costs and reduce the amount of setup

How to Complete the 5 Whys

The following list outlines the steps to take when conducting a 5 Whys evaluation:

1.  Assemble a team of people knowledgeable about the area of non-conformance.

2.  Write a description of the problem; describe it as completely as possible and come to an agreement with the team on its definition.

3.  Ask the group why the problem is occurring and write the answer down underneath the problem description.

4.  If the answer doesn’t identify the root cause of the problem, then ask why again and write that answer down.

5.  Continue to do this until the team is in agreement that the problem’s root cause has been identified.

Figure 8-4 illustrates the basic format of a 5 Whys audit sheet.

FIGURE 8-4   Format of a 5 Whys Audit Sheet

NOTE   The 5 Whys technique can be used individually or as part of the fishbone diagram exercise.

Brainstorming

Brainstorming is a technique used to generate a large number of creative ideas within a group or team of people. It can also be used to identify solution alternatives and to obtain a complete list of items for a particular endeavor. The Brainstorming technique is intended to create an atmosphere in which people feel uninhibited and free to propose solutions to problems without criticism, evaluation, or judgment. Each group member, in turn, can put forward ideas that might normally seem unconventional or outlandish concerning the problem being considered, thus ensuring all possible options are considered for subsequent analysis. Ultimately, the process continues until no more ideas are forthcoming and the chances for originality and innovation are increased. Brainstorming in a Process Improvement environment is primarily used to

•  Identify problem areas

•  Identify areas for improvement

•  Design solutions to problems

•  Develop action plans

Benefits of Brainstorming

Organizations and Process Improvement Teams use Brainstorming to

•  Generate comprehensive lists of ideas or thoughts

•  Break through traditional thinking about a problem

•  Ensure all team members are involved and enthusiastic about problem solving

•  Generate new ways of thinking

•  Provide an environment for building on new ideas while staying focused on the mission, task, or problem at hand

•  Reduce the tendency to prematurely discard new ideas

•  Facilitate team building

•  Encourage team-oriented problem solving

How to Conduct a Brainstorming Session

The following list outlines the steps to take when conducting a Brainstorming session:

1.  Select a facilitator to conduct the Brainstorming session.

2.  Write down the central question, topic, or purpose of the brainstorming session and ensure participants agree on intent.

3.  Have each member of the team or group, by turn, suggest ideas one idea at a time.

4.  Note each suggestion.

5.  After one go-round of all members, repeat another cycle of idea gathering.

6.  Anyone who has run out of ideas may pass their turn until all members have passed on their turn, indicating that idea generation has been exhausted.

7.  Review ideas for clarity and remove any duplicates

8.  Clarify ideas that were not evaluated if not clear.

Common pitfalls when conducting Brainstorming efforts include

•  Not establishing a clear objective for the brainstorming session to ensure the group is focused

•  Allowing members to shout ideas randomly without a structured round-robin approach

•  Not ensuring participants offer only one idea at a time

•  Allowing one individual to monopolize the session

Figure 8-5 illustrates a sample Brainstorming session output.

FIGURE 8-5   Example Brainstorming Session Output

NOTE   Brainstorming can be used in conjunction with the fishbone diagram technique.

Check Sheet

A Check Sheet is used to collect and structure data so that decisions can be made based on facts, rather than anecdotal evidence. Data are collected and ordered in a table or form by adding tally or check marks against problem categories. It allows a group to record data from either historical sources or as activities are happening so that performance patterns or trends can be detected. A Check Sheet presents information in an efficient, graphical format that registers how often different problems occur and the frequency of incidents that are believed to cause problems. Check Sheets are primarily used to

•  Identify what is being observed in a particular process or environment

•  Collect data in a easy and simple fashion

•  Group data in a way that makes it valuable and reliable to stakeholders

Benefits of Using Check Sheets

Organizations and Process Improvement Teams use Check Sheets to

•  Enable their organization and teams to collect data with minimal effort

•  Create a clearer picture of performance with each observation rather than relying on the opinions of stakeholders

•  Convert raw data into useful information

•  Make performance patterns and trends

How to Create a Check Sheet

The following list outlines the steps to take when creating a Check Sheet:

1.  Decide what event or problem will be observed.

2.  Decide when the data will be collected, for how long, and from what sources.

3.  Design the form and label all spaces on the form to ensure easy use.

4.  Record the data on the check sheet each time the targeted event or problem occurs; this is done in a consistent and accurate manner.

Figure 8-6 illustrates a sample Check Sheet.

FIGURE 8-6   Sample Check Sheet

Pareto Analysis

Pareto Analysis, also known as a Pareto Diagram or Pareto Chart, is a bar chart that is typically used to prioritize competing or conflicting problems or issues so that the resources allocated to the problem offer the greatest potential for improvement by showing their relative frequency or size in a bar graph. A Pareto diagram or chart pictorially represents data in the form of a ranked bar chart that shows the frequency of occurrence of items in descending order. These charts are based on the Pareto Principle, which states that 80 percent of the problems come from 20 percent of the causes. The Pareto analysis technique is used primarily to identify and evaluate nonconformities, although it can summarize all types of data and is the diagram most often used in Process Improvement Dashboards. Pareto Analysis can also be used in any general situation where you want to prioritize items.

Benefits of Pareto Analysis

Organizations and Process Improvement Teams use Pareto Analysis to

•  Breakdown a big problem into smaller pieces

•  Identify most significant factors

•  Show where to focus efforts

•  Allow better use of limited resources

•  Set the priorities for many practical applications

•  Allow better use of limited resources

How to Conduct Pareto Analysis

The following lists outlines the steps to take when conducting a Pareto Analysis:

1.  List all items that require analysis and charting.

2.  Determine how many items must be measured to build a representative chart.

3.  Measure the elements, using the same unit of measurement for each element.

4.  Calculate the percentage for each element out of the total measurement.

5.  Plot the bars, with the highest bar on the left.

6.  Analyze the results.

7.  Work on solving the most important element first.

Figure 8-7 illustrates the basic format of a Pareto Chart.

FIGURE 8-7   A Basic Pareto Chart

NOTE   Pareto Analysis is frequently used to analyze the ideas, issues, and topics from a brainstorming session.

5S

5S is a structured technique used to methodically achieve organization, standardization, and cleanliness in the workplace. It is used to reduce waste and optimize productivity by maintaining an orderly workplace and uses visual cues to achieve consistent operational results. Implementation of this method helps organizations organize themselves and is typically one of the first Process Improvement techniques that organizations implement. A well-organized workplace can result in more efficient, safer, and more productive operations and can boost the morale of an organization’s workforce. The 5S pillars or practices are based on five Japanese words: Sort (Seiri), Set in Order (Seiton), Shine (Seiso), Standardize (Seiketsu), and Sustain (Shitsuke) (Figure 8-8). This technique encourages workers to improve their working conditions and then reduce waste, eliminate unplanned downtime, and improve processes.

FIGURE 8-8   The Five 5S Practices

Benefits of using 5S

Organizations and Process Improvement Teams use 5S to

•  Improve safety

•  Raise employee morale

•  Identify problems more quickly

•  Develop control through visibility

•  Increase product and process quality

•  Promote stronger communication among staff

•  Empower employees to sustain their work area

•  Reduce set-up times

•  Reduce cycle times

•  Increase floor space

•  Lower safety accident rate

•  Reduce wasted labor

How to Use 5S

Following are the steps to take when using 5S:

1.  Sort: Eliminate all unnecessary tools, parts, and instructions; keep only essential items and eliminate what is not required from all work areas.

2.  Set in Order: Arrange all tools, parts, supplies, equipment, manuals, and instructions in a way that the most frequently used items are the easiest and quickest to locate. This is done to eliminate time wasted in obtaining the necessary items for use in a process or operation.

3.  Shine: Improve the appearance of all work areas. Conduct preventive housekeeping, which is the act of keeping work areas from getting dirty, rather than just cleaning them up after they become dirty. Clean the workspace and all equipment and keep it clean, tidy, and organized, ensuring everyone knows what goes where and everything is where it belongs.

4.  Standardize: Involve all employees in creating best practices and implementing those best practices the same way, everywhere, and at all times. Any processes, procedures, work areas, and other settings should be standardized wherever possible so that all employees doing the same job are working with the same tools.

5.  Sustain: Indoctrinate 5S into the culture of the organization and maintain and review standards. Maintain a focus on this new way of operating and do not allow a gradual decline back to the old ways. Implement continuous improvement into general practices and operations to ensure the organization is continually making itself better.

There are three other items that organizations often include into 5S practices: safety, security, and satisfaction. Although these are not traditional 5S practices, they have evolved into what many organizations believe are critical to sustaining success. These items are

•  Safety: Although safety is inherent in all 5S practices, some organizations believe that by explicitly stating safety as a practice it better promotes the practice and constantly reminds employees of its importance.

•  Security: Security is another practice often added by organizations in order to identify and address risks to key business categories including materials, intellectual property, human capital, brand equity, and information technology.

•  Satisfaction: Satisfaction is a pillar that can also be included. Employee satisfaction and engagement in Process Improvement activities ensure that any improvements made will be sustained and improved upon over time.

Affinity Diagram

An Affinity Diagram, also called an Affinity Chart, is a graphical tool used to organize ideas generated in brainstorming or problem-solving meetings. With this method, ideas are grouped into meaningful categories called affinity sets in order to understand the essence of a problem or performance issue. These categories tie different concepts together with an underlying theme and help clarify issues for team members so that better solutions can be designed.

Benefits of using Affinity Diagrams

Organizations and Process Improvement Teams use Affinity Diagrams to

•  Help teams sift through large amounts of data

•  Encourage creativity from team members involved in the improvement effort

•  Break down communication barriers

•  Encourage ownership of actions that result from the brainstorming session

•  Overcome analysis paralysis, which is often brought on by having too many options or ideas for improvement

How to Create an Affinity Diagram

The following list outlines the steps to take when creating an Affinity Diagram:

1.  Describe the issue under consideration or investigation.

2.  Brainstorm ways of rectifying the issue.

3.  Record each idea.

4.  Sort the ides into related groupings or categories.

5.  Create group consensus.

6.  Create a description or summary for each category.

Figure 8-9 illustrates the basic format of an Affinity Diagram.

FIGURE 8-9   Affinity Diagram

Common pitfalls when gathering and grouping ideas include

•  Not using neutral statements to describe problems, categories, or ideas

•  Generating too many ideas; a typical threshold is fewer than 50

•  Allowing participants to continually move ideas between categories

•  Not allowing some ideas to stand on their own

•  Not spending enough time describing the categories of ideas

Tree diagram

A Tree Diagram, also known as a Systematic Diagram, Analytical Tree, or Hierarchy Diagram, is used to break down broad categories of content into finer levels of detail. The diagram starts with a single goal that is broken down into detailed actions that must be completed in order to achieve the goal. Tree Diagrams are excellent tools to use

•  When developing actions to carry out a solution or other plan

•  When analyzing processes in detail

•  When probing for the root cause of a problem

•  When evaluating implementation issues for several potential solutions

•  After an affinity diagram or relations diagram has uncovered key issues

•  As a communication tool to explain details to others

Benefits of Using Tree Diagrams

Organizations and Process Improvement Teams use Tree Diagrams to

•  Encourage team members to expand their thinking when developing solutions

•  Allow all team members to check the link and completeness of every level of a plan

•  Help move teams from theoretical to real-world solutions

•  Reveal the complexity involved with the achievement of a goal or solution, ensuring projects and changes are truly manageable

How to Create a Tree Diagram

The following list outlines the steps to take when creating a Tree Diagram:

1.  Develop a statement of the goal, project, plan, problem, or whatever is being studied.

2.  Assemble an appropriate team.

3.  Develop the major tree headings (subgoals).

4.  Ask questions that will lead to the next level of detail.

5.  Brainstorm all possible answers.

6.  Do a sufficient check of the entire diagram to ensure flow and completeness.

7.  Consider proposed changes and modify the tree as needed.

8.  Develop a change strategy.

9.  Implement changes.

Figure 8-10 illustrates the basic format of a Tree Diagram.

FIGURE 8-10   Tree Diagram

A3 Report

The A3 report was developed as a decision-making tool in the 1980s by Toyota Motor Corporation. It refers to a European paper size that is used to encompass various pieces of important information on a single page. The A3 document provides a structure and a consistent format for communications and problem-solving methods. Many companies use the A3 report when planning improvements to processes. Traditionally A3 reports were used to document and show the results from the PDCA (Plan-Do-Check-Act) cycle on a single page. The A3 format is now commonly used as the template for three types of reports:

•  Proposals

•  Status

•  Problem-solving

Benefits of using A3 Reports

Organizations and Process Improvement Teams use A3 Reports to

•  Provide a logical thinking process

•  Clearly present known information objectively

•  Focus on and share critical information

•  Align efforts with strategy/objectives

•  Provide a consistent approach throughout the organization

•  Provide a powerful problem-solving process

How to Create an A3 Report

Following are the steps to take when creating an A3 Report:

1.  Identify the problem or need.

2.  Understand the current situation/state.

3.  Develop the goal statement or target state.

4.  Perform root cause analysis.

5.  Brainstorm/determine countermeasures.

6.  Create a countermeasures implementation plan.

7.  Check results and confirm the effect.

8.  Update standard work.

Figure 8-11 illustrates the basic format of an A3 Report.

FIGURE 8-11   A3 Report

Scatter Diagram

A Scatter Diagram, also called a scatter plot or X–Y graph, is used to analyze relationships between two variables. One variable is plotted on the horizontal (X) axis and the other is plotted on the vertical (Y) axis. The pattern of their intersecting points can graphically show relationship patterns. Most often a scatter diagram is used to prove or disprove cause-and-effect relationships.

If the variables are correlated, the points will fall along a line or curve. The better the correlation, the tighter the points will hug the line. Scatter Diagrams are most commonly used

•  When you have paired numerical data

•  When trying to determine whether the two variables are related

•  When trying to identify potential root causes of problems

•  After brainstorming causes and effects using a fishbone diagram in order to determine objectively whether a cause and an effect are related

•  When determining whether two effects that appear to be related both occur with the same cause

•  When testing for autocorrelation before constructing a control chart

Benefits of Using Scatter Diagrams

Organizations and Process Improvement Teams use Scatter Diagrams to

•  Supply data in order to confirm a team’s theory or hypothesis that two variables are related

•  Provide visual and statistical means to verify various relationships

•  Provide a good follow-up to cause-and-effect analysis that can be used to determine if there is more than a consensus connection between causes and effects

How to Create a Scatter Diagram

The following list outlines the steps to take when creating a Scatter Diagram:

1.  Collect pairs of data where a relationship is suspected; 50 to 100 samples is a good range.

2.  Draw a horizontal axis and a vertical axis.

3.  Plot the data on the diagram.

4.  Analyze and interpret the data.

Figure 8-12 illustrates the five types of data correlations on a scatter diagram.

FIGURE 8-12   Scatter Diagram

Building, Recognizing, and Retaining Talent

A critical issue facing organizations today is how to attract and retain employees. More than ever, attracting and retaining talent goes beyond compensating employees adequately. It includes building a robust talent management program that aims to increase employee engagement and reduce or eliminate the steep costs of workforce disengagement. This includes publishing values and key behaviors, securing engagement, fostering mindshare, strengthening organizational goals, motivating employees, and facilitating discussion of ideas and areas of improvement. In today’s economy, unnecessary turnover is estimated to cost companies as much as 30 percent in efficiency, which translates to a very real cost containment problem. Disengagement can take on many forms, such as absenteeism, low attention to detail, increased errors, workplace conflict, and organizational bloat and it can ultimately put a company’s reputation at risk. There are several key activities or practices that can be used to build and sustain employee engagement, retention, and satisfaction and to prevent employee disengagement and attrition. This section outlines several key practices that organizations can use to build an effective talent management program.

Valuing Workforce Members

An organization’s success depends increasingly on an engaged workforce that has a safe, trusting, and cooperative work environment. Successful organizations capitalize on the diverse backgrounds, knowledge, skills, creativity, and motivation of their workforce and partners. Valuing the workforce means committing to their engagement, satisfaction, development, and well-being. This involves more flexible, high-performance work practices that are tailored to varying workplace and home life needs. Organizations can do this by

•  Demonstrating leadership’s commitment to employee success

•  Providing recognition that goes beyond the regular compensation system

•  Offering development and progression within the organization

•  Sharing organizational knowledge so that employees can better serve customers and contribute to achieving strategic objectives

•  Creating an environment that encourages risk taking and innovation

•  Creating a supportive and diverse environment for the workforce

•  Offering work from home policies

•  Scheduling regular social events for employees and staff members

Continuous Learning

Employee training is an essential activity for organizations. It shows that the organization invests in its employees and is also a key component in promoting loyalty and commitment. The primary objective of training is to provide all personnel, suppliers and customers, with the skills needed to effectively perform process activities and to build this concept directly into the improvement framework. This practice enables continuous learning within the organization and promotes improvement and process-oriented thinking. Formal individual and team training plans are an excellent method for keeping track of learning goals and development paths of organizations, teams, and individuals. Training can be proactive or just-in-time in its approach, depending on the needs and financial means of the department or organization.

Other methods of continual learning are

•  Learning from past mistakes and successes (conducting retrospectives and documenting lessons learned)

•  Creating communities of practice for learning

•  Hosting internal learning sessions

•  Formally training employees on internal values and practices as well as industry skills and methods

Continuous Learning

•  Encourages knowledge creation

•  Fosters knowledge sharing

•  Builds innovation and best practices

•  Helps to discover hidden knowledge and expertise

•  Reduces relearning

•  Promotes a sense of team

•  Contributes to business success

•  Improves performance

•  Increases motivation

Rewards and Recognition

Rewards and Recognition programs honor both individuals and teams who go the extra mile to service their departments and customers. Having a rewards and recognition program in place lets valued employees know that their contributions are important and that their efforts are appreciated. By creating a culture of recognition, employees become more engaged, which leads to higher productivity, motivation, and engagement in improvement activities. Examples of Awards Programs that Process Improvement Organizations often adopt are

•  Spot Awards: Spot Award Programs recognize individuals for their special effort within their department or an improvement initiative on an impromptu basis. This award can be presented on the spot when a manager notices an employee doing something worthy or, for a larger impact, at a staff meeting so the employee can be recognized by peers.

•  Team Achievement Awards: The Team Achievement Award recognizes teams within or across departments that meet the following criteria:

  Complete an important process improvement step or milestone

  Provide significant positive impact on a new or existing activity, process, or project

  Promote and demonstrate team collaborative behaviors and embrace the Process Improvement framework

  Demonstrate sustained effort

Although these are widely used methods of recognition, not all employees respond to rewards in the same manner. Organizations must always ensure that the recognition provided is inline with an employee’s comfort level.

Performance Management

Performance Management is the process by which companies ensure alignment between their employees and company and department goals and priorities. Performance Management is a critical element in proper Talent Management and is designed to promote interaction and feedback between management and employees, establish expectations for individual work performance and to serve as a foundation for rewarding top employees. Performance Management systems require a structured method of communication between all levels of an organization. Companies that require and promote this feedback loop can learn and grow from the information acquired. The benefits of performance management include reliable measurement of productivity, benchmark for performance, clear understanding of the employees objectives and goals, ability to provide focused feedback, and providing management with an ability to pinpoint performance problems. In addition, performance management ensures targets and goals are transparent and well documented.

The performance management cycle is extremely important as this is a method used to evaluate desired behavior against actual performance. The cycle includes the following seven steps:

1.  Define goals and objectives.

2.  Ensure performance expectations and processes are clear.

3.  Monitor and evaluate performance.

4.  Provide feedback and adjust processes or performance as needed.

5.  Conduct formal performance appraisal sessions; these can be held daily, monthly, or yearly.

6.  Regularly request feedback from peers, leaders, and customers.

7.  Conduct leadership calibration and employee potential sessions.

An organization that does not properly implement and support a performance management system may not experience all of the possible benefits of increased communication and workforce development.

Other Talent Management Practices

Following is a list of other talent management practices:

•  Compensation: Compensation remains a key factor in attracting and retaining top talent. To attract and retain employees, compensation needs to be competitive and fair. In this economic time period, smart employees are doing their homework on this topic, and employers need to be prepared to pay a reasonable wage for top-tier talent.

•  Benefits: Employees and employers often rank benefits as a top reason why employees stay with an organization. Offering a broad range of benefits to an increasingly diverse workforce shows that the employer is responsive and aware of the needs of each employee. Allowing for a range of benefits for your employees is a great retention tool.

•  Healthy Workplace Initiatives: Healthy Workplace Initiatives are a new trend in the workplace environment. Promoting a healthy workplace is becoming a key factor in keeping healthcare costs and workplace injuries down and in attracting talent. These initiatives can include promoting a clean and safe work environment to support healthful lifestyles, fitness goals, and healthy diets. Free fitness and lifestyle programs are key to attracting top-tier staff.

•  Work–Life Flexibility Programs: Work–Life Flexibility programs recognize that employees have important family obligations that compete with and sometimes take precedence over their workplace commitments. Dependent care leave, childcare subsidies, eldercare programs, counseling and referral, flexible working hours, and transportation benefits allow people to strike a more meaningful and potentially less stressful balance between obligations at work and home.

Chapter Summary

In this chapter, we reviewed the Process Improvement skills, competencies, and techniques needed take a systematic approach to optimizing business processes toward an efficient and successful outcome. Clearly defined aptitudes help to drive better selection of people, provide a better understanding of the development required, and provide a more objective performance management system. Having aptitudes explained in behavioral terms provides the basis for a common understanding across a team of not only what is required to succeed but also how people who are successful conduct themselves. The investment in learning and building the aptitudes presented in this chapter are believed to provide a significant return in results and value to organizations. Even minor improvements can have a meaningful impact in achieving the right results such as improving customer experience, improving employee satisfaction, reducing waste, and increasing profitability. In this chapter we also learned that

•  The Process Improvement Aptitudes Dictionary outlines the underlying characteristics that define the patterns of behavior required for Process Improvement professionals to deliver superior performance in their role.

•  A competency is the ability to meet complex demands by drawing on and mobilizing psychosocial resources, such as skills and attitudes, in a particular setting.

•  A skill can be thought of as an individual’s ability to perform tasks or solve problems, while techniques are the various ways of carrying out a particular task.

•  There are 10 skills and 10 competencies that are considered essential for ensuring the success of individuals involved in Process Improvement efforts. When combined with various techniques, these skills and competencies can collectively deliver process excellence.

•  Change Management is widely considered the most critical skillset when conducting Process Improvement efforts.

•  The 10 core Process Improvement skillsets are Facilitation, Change Management, Project Management, Time Management, Analytical Thinking, Negotiating, Decision Making, Communication, Training, and Coaching.

•  The 10 core Process Improvement competencies are Building Partnerships, Collaboration, Credibility, Flexibility, Initiative, Business Knowledge, Sound Judgment, Resilience, Strategic Implementation, and Situational Awareness.

•  The tools and techniques most commonly used in Process Improvement are:

  Process Mapping

  Force Field Analysis

  Fishbone Diagrams

  5 Whys

  Brainstorming

  Check Sheets

  Pareto Analysis

  5S

  Affinity Diagrams

  Tree Diagrams

  A3 Reports

  Scatter Diagrams

•  There are many proactive Talent Management strategies an organization can put in place to promote employee retention, even during challenging economic periods. These include implementing formal performance management, valuing workforce members, training and educating employees and customers, and rewarding and recognizing achievement.

Chapter Preview

Chapter 8 established the aptitudes and tools needed to be successful in Process Improvement work. In Chapter 9 real business scenarios that draw upon all of the information presented in the Process Improvement Handbook are explored. Through case examples and personally identifiable situations in which many of us find ourselves, this chapter offers observations about areas that are worthy of improvement and discusses the outcomes commonly involved in these situations.