Managing Change Handout

Contents

Change Models:
Balanced Scorecard

Eight Steps in Leading Change - John Kotter

Shingo Model for Operational Excellence (LEAN approach)

Diffusion of Innovations - Everett Rogers

Four Stages of Team Development - Bruce Tuckman

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 organizations 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 organizations 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 organizations goals.

Continuous Improvement Balanced Scorecard results form the basis for reviewing,
questioning, and refining the strategies and tactics needed to achieve the organizations
goals.

Eight Steps in Leading Change - John Kotter

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According to Kotters 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 Kotters 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 dont 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. Shingos 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 isnt.
2. The Neutral Zone - The neutral zone is that in-between place where one loses the sense of
relatedness and purpose, because much of ones 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 4Ps 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 PlantoPlan 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 rationaleover 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-makers 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 cant 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 persons new role and the required new expectations of performance,
then find ways to gain maximum involvement and understanding of WIIFM
(Whats In It For Me) by everyone on how it is to their personal advantage to
achieve the firms 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 stayin 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.
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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.

2|P a g e

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.

2|P a g e

Rogers defines several intrinsic characteristics of innovations that influence an individuals

decision to adopt or reject an innovation:
1.

Relative advantage: The individuals 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 individuals
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 individuals contacts and will, in turn,
create more positive or negative reactions.

3|P a g e

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 Kotters 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 Kotters 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
1|P a g e

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-toface 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
dont 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.

2|P a g e

ADKAR
ADKAR is a goal-oriented change management model that focuses on change at an individual level
and the individuals 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
1|P a g e

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?

2|P a g e

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. Shingos 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.
1|P a g e

Basics of Strategy Planning

Office of the Provost

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.

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 (310

days in planning meetings over 912 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 groups satisfaction is most
difficult.
Outcomes:
Identification of organizations 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 organizations 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

Customer

Identification of the customer segments and what they value

Internal Process

Financial performance

Work flow towards accomplishment of strategies

Learning and Growth

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

F2 Administration Strategy Map 2010-2013

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

Value to You, Our Customer

Lead and support F2/STEAM to
achieve its objectives, mission and
vision

Attract and Retain a Talented and Diverse Staff

Improve Operational Excellence

Improve,
streamline and
innovate

Consistently
exceed customer
expectations

Create and manage

communications to tell the F2
story

Help solve complex Universitywide problems

Lead strategic
UW-wide
Projects and
initiatives

Foster
collaborative
relationships

Enhance
leadership
effectiveness

Develop
individuals
to their full
potential

Recognize
performance
excellence

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
Adopted June 11th, 2010

Environmental Stewardship & Sustainability Office

Strategy Map for 20102020
Mission

Vision

Values

We help the UW achieve its

environmental stewardship
goals

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

Collaboration
Diversity
Excellence
Innovation

Integrity
Respect
Teamwork
Sustainability

Value to You, Our Customer

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

Support UW sustainability
network

Improve Operational Excellence

Improve,
streamline
and innovate

Provide project
management
support to solve
sustainability
issues/problems

Provide contact point for

CAP/ESS efforts

Attract and Retain a Talented and Diverse Staff

Build UWwide environmental literacy

Foster faculty,
student, staff
collaboration

Acknowledge/
reward
sustainability
leadership

Model and teach

sustainable
individual and office
behaviors

Enhance Resources
Identify funding to
support CAP and UW
sustainability

Provide administrative support

for CAP and Environmental
Stewardship Advisory
Committee

Manage Campus Sustainability

Fund and student engagement

Re-Drafted, June 22, 2010

Leading the Effort: Your Role

The leader/planner role varies depending of the leaders 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 strategythey are involved, responsive, sensitive,
encouraging, have individual vision and are continuous learners.
5. Planners manage stabilitythey 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

In between meetings:
January 11:
Small group meetings
Review action plans
Word smithing the
documents
Discuss and roll out communications
Review drafts
November 10:
Draft action plans (who,
Plan to plan: structure and participants
what, how, resources)
SWOT Analysis
Begin planning meetings, draft pieces
Develop Metrics
December 10:
Agree to priorities, assign leader
Agree to mission, vision, values, strategies, goals

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
Where we are
now

POINT 3

POINT 1

How to get there and

close the gap
Ideal state of where
we want to be
POINT 4
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, whos 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
organizations 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
What?
(Content of what you do)

How?
(Methods)

Mission

Who?
(Students, faculty,
donors, customers,
suppliers)

33

STRATEGY MAP TEMPLATE

MISSION

VISION

FINANCIAL

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, NovemberDecember 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 Scorecardtranslating Strategy Into Action. Boston: Harvard Business School, 1996.

Using The Balanced Scorecard As A Strategic Management System. HBR 74, no.1 (JanuaryFebruary 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

Organizational Effectiveness Initiative

Contact Information
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

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.
Source: http://www.mindtools.com/pages/article/newTMC_05.htm Last accessed 11.21.2011

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.
Source: http://www.mindtools.com/pages/article/newTMC_05.htm Last accessed 11.21.2011

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.

Source: http://www.mindtools.com/pages/article/newTMC_05.htm Last accessed 11.21.2011

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.
Source: http://www.mindtools.com/pages/article/newTMC_09.htm Last accessed 11.21.2011

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.

Source: http://www.mindtools.com/pages/article/newTMC_09.htm Last accessed 11.21.2011

PEST Analysis Worksheet

Mind Tools Ltd. 2006-2011

Source: http://www.mindtools.com/pages/article/newTMC_09.htm Last accessed 11.21.2011

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, rerefined and retested again.

Source: http://www.mindtools.com/pages/article/newPPM_89.htm Last accessed 11.21.2011

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 to help you really get to the root of it. Once you've done this, it may be
appropriate for you to map the process that is at the root of the problem. Next, draw together any other
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 to scrutinize them.
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 or Continuous Improvement approaches, when the cycle is repeated again and
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...)

Source: http://www.mindtools.com/pages/article/newPPM_89.htm Last accessed 11.21.2011

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 - individually, and as a group.
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.)

Source: http://www.mindtools.com/pages/article/newISS_01.htm Last accessed 11.21.2011

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.
Source: http://www.mindtools.com/pages/article/newISS_01.htm Last accessed 11.21.2011

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.

Source: http://www.mindtools.com/pages/article/newISS_01.htm Last accessed 11.21.2011

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

Source: http://www.mindtools.com/pages/article/newISS_01.htm Last accessed 11.21.2011

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
Source: http://www.mindtools.com/pages/article/newTMC_86.htm last accessed 12.05.2011

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

Source: http://www.mindtools.com/pages/article/newTMC_86.htm last accessed 12.05.2011

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/pages/article/newTMC_86.htm last accessed 12.05.2011

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. Whats more, because brainstorming is fun, it helps team members bond with oneanother 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 arent 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
peoples 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 youd 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 to arrange and develop ideas.
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 theyve contributed to
the end solution, and it reminds people that other people have creative ideas to offer. Whats 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 dont 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 arent already used to working together, consider using an appropriate warm-up exercise or icebreaker.
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,
dont 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/brainstm.html

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/newCT_96.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)
Overseas Market (A)
Home Market (B)
Customer Service (C)
Quality
(D)

Blocked Out
(Step 3)
Blocked Out
(Step 4)
Blocked Out
(Step 4)
Blocked Out
(Step 4)

Blocked Out
(Step 3)
Blocked Out
(Step 4)
Blocked Out
(Step 4)

Customer Service (C)

Blocked Out
(Step 3)
Blocked Out
(Step 4)

Quality (D)

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

A,2

Customer Service (C)

C,1
C,1

Quality
(D)
A,1
B,1
C,2

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_02.htm Last accessed 11.21.2011

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)

Phones aren't answered quickly enough.

Too few service center staff.

15

Staff seem distracted and under pressure.

Too few service center staff.

Engineers don't appear to be well organized.

They need second visits to bring extra parts.

Poor organization and preparation.

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.

Service center staff don't always seem to

know what they're doing.

Lack of training.

30

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.

Jack's Pareto Analysis

No. of Complaints

60
50
40
30
20
10
0
Lack of Training

Too Few Svc Ctr Staff

Poor Org & Prep

Causes of 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.

Source: http://www.mindtools.com/pages/article/newTED_01.htm last accessed 11-10-2011

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/newTMC_80.htm last accessed 11.17.2011

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, another tool that's often used in groups to prevent
Groupthink and to encourage participation. While both tools have the same objective, they differ in a few key ways:
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/newTED_89.htm Last accessed 11.21.2011

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.

Source: http://www.mindtools.com/pages/article/newTMC_10.htm last accessed 11.17.2011

Language of Change Glossary

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 organizations 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 organizations 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.

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

persons or departments 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 organizations 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:
Leadinga measurement that predicts future success or failure;
sometimes called windshield view, these are used to predict
outcomes.
Lagginga measurement that depicts what has already occurred;
sometimes called rear view mirror view, these may be used to
determine corrective measures.
Quantitativea numerical measurement of an outcome.
Qualitativea non-numerical measurement of an outcome such as
customer satisfaction.
Outputtypically numerical, and measures units of goods or
services produced.
Outcomecan 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 organizations 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 models 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 organizations quality

objectives. A sound QMS is an integral part of an organizations 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 organizations 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 organizations current state and environment.
Strengths and weaknesses represent internal characteristics of the
organization, and opportunities and threats are characteristics of the
organizations 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
customers 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.

Stra
te

gy P
l

ann
in

Assess the Organization

Needs Assessment
Gap Analysis
Culture Assessment
SWOT Analysis
Surveys

Evaluate, Adjust
and Sustain
Success for
Ongoing Process
Improvement

Create the Strategy

Mission
Vision
Values
Strategic Plan
Priorities
Annual Goals
Action Plans

Continuous
Process
Improvement
Ongoing
Process
Improvement
Loop

Measure Success
Performance
Standards
Ongoing Metrics
Balanced Scorecard
Dashboards

Implement the Plan

Challenges/Opptys. identification
Roles & Responsibilities
Process Mapping
Analysis & Measures
Implementation