Performance Improvement Guide

PERFORMANCE

MPROVEMENT

UIDE

Sixth Edition

November 2014

U.S. Coast Guard .

Editors: Mr. Charlie Coiro

Christen M. Wehrenberg

CWO3 Craig Kerby

BMC William Donahue

LT Anna Hart-Wilkins

MSTC Anthony Matulonis

CWO2 Jaime Baldueza

Contributors:

CDR Robert Albright

Nancy Almeida

CWO Jaime Baldueza

CWO Michael J. Brzezicki

SCPO Robert R. Buxman

CPO John M. Callaghan

Kristy Camacho

Charles D. Coiro

Pam Dittrick

LT Alanna Dunn

CDR Frank Irr

CWO Craig Kerby

LT Jacqueline M. Leverich

Lori J. Maselli

MSTC Anthony Matulonis

Paul E. Redmond

Jason M. Siniscalchi, Ph.D

LCDR Richter L. Tipton

Christen M. Wehrenberg

Stephen B. Wehrenberg, Ph.D

Frank S. Wood

Jeff L. Wright

If this guide is used as a reference in preparing a research paper or other

publication, we suggest acknowledgement citation in the references. A

suggested bibliography entry in APA or “author (date)” style is as follows:

U.S. Coast Guard Leadership Development Center (2014).

Performance

improvement guide, 6

edition.

Boston, MA: U.S. Government Printing

Office.

Preface to Sixth Edition

The Performance Improvement Guide (PIG) is published by the

U.S. Coast Guard Leadership Development Center.

The Coast Guard strives to be the best-led and best-managed

organization in government. That’s a never-ending challenge for all

Coast Guard people. This guide is designed to help you respond to this

challenge; its contents were selected to involve employees, enhance

team effectiveness, focus problem-solving, facilitate better meeting

management, improve processes, increase customer satisfaction, and

improve overall performance to produce superior mission results.

The PIG is an ideal source of tools, processes, and models.

Organizational Performance Consultants (OPCs) and the latest

Commandant’s Performance Excellence Criteria (CPEC) Guidebook

are also valuable leadership and management resources.

The Leadership Development Center (LDC) appreciates the

improvement suggestions made by users of previous editions. Though

the PIG format remains largely the same, its contents and organization

have changed. Changes to this edition include:

• A reorganized and expanded Tools section

• Updates to examples

• Updates to wording choice and explanations to reflect the Coast

Guard’s evolution in its continuous improvement efforts

We hope you find this a useful, informative resource.

The Leadership Development Center Staff

CONTENTS

SIXTH EDITION .............................................................................. 1

U.S. COAST GUARD LEADERSHIP COMPETENCIES ......................... 7

LEADERSHIP RESPONSIBILITIES ..................................................... 9

SENIOR LEADERSHIP .................................................................... 10

Effective Management ............................................................ 11

Strategic Planning ................................................................... 13

DOES EVERY UNIT NEED ITS OWN STRATEGIC PLAN? ................. 14

WHY DOES A UNIT NEED ITS OWN VISION? ................................ 19

U.S. COAST GUARD CORE VALUES ............................................. 20

SWOT ANALYSIS ........................................................................ 24

GOAL WRITING PRIMER ............................................................... 25

THE BALANCED STRATEGIC PLAN ............................................... 28

TEAM LEADERSHIP ...................................................................... 31

Organizational Interface ......................................................... 33

Team Building ........................................................................ 35

Project Management ............................................................... 36

FACILITATIVE LEADERSHIP .......................................................... 39

Facilitator Behaviors ............................................................... 41

Facilitator Checklist ................................................................ 44

Facilitator Pitfalls .................................................................... 45

The Facilitative Leader ........................................................... 46

MEETING MANAGEMENT ............................................................. 47

Effective Meetings .................................................................. 47

Planning a Meeting ................................................................. 49

Agenda Checklist .................................................................... 49

Team Member Roles ............................................................... 50

Ground Rules .......................................................................... 51

Parking Lot ............................................................................. 52

Meeting Evaluation ................................................................. 54

Facilitating Using Technology ............................................... 57

GROUP LEADERSHIP .................................................................... 61

Stages of Group Development ................................................ 62

Managing Conflict .................................................................. 63

ORGANIZATIONAL PERFORMANCE ............................................... 64

Systems Thinking ................................................................... 65

The Voice of the Customer ..................................................... 72

Work as a Process ................................................................... 74

Performance Elements ............................................................ 75

Performance Measures ............................................................ 77

Data Collection, Analysis, and Display .................................. 79

Activity-Based Costing (ABC) ............................................... 91

The Unified Performance Logic Model (UPLM) ................... 92

What to Work On .................................................................... 94

Process Improvement and Problem-Solving .......................... 95

CG Organizational Assessment Survey (CG-OAS) ............... 99

Coast Guard Business Intelligence (CGBI) .......................... 101

The Commandant’s Innovation Council ............................... 103

TOOLS ........................................................................................ 106

Action Planning .................................................................... 107

Affinity Diagram .................................................................. 109

Brainstorming ....................................................................... 113

Cause-and-Effect Diagram ................................................... 116

Charter .................................................................................. 118

Check Sheet .......................................................................... 121

Consensus Cards ................................................................... 123

Contingency Diagram ........................................................... 125

Control Charts ....................................................................... 127

Critical-to-Quality Tree (CTQ) ............................................. 129

Customer Alignment Questions ............................................ 131

Customer Requirements Matrix ............................................ 132

Decision Matrix .................................................................... 133

Flowchart .............................................................................. 135

Force Field Analysis ............................................................. 138

Gantt Chart ............................................................................ 139

Gap Analysis ......................................................................... 140

Histogram ............................................................................. 141

Kano Model .......................................................................... 144

Multi-Voting ......................................................................... 145

Nominal Group Technique ................................................... 147

Pareto Chart .......................................................................... 149

Project Requirements Table .................................................. 151

Project Responsibility Matrix ............................................... 152

Run Chart .............................................................................. 153

Scatter Diagram .................................................................... 158

SIPOC ................................................................................... 159

Stakeholder Analysis ............................................................ 161

SWOT Analysis .................................................................... 162

Why Technique ..................................................................... 164

Work Breakdown Structure (WBS) ...................................... 165

GLOSSARY ................................................................................. 167

REFERENCES .............................................................................. 170

ADDITIONAL RESOURCES .......................................................... 171

TABLE OF TOOL USAGE ............................................................. 173

QUICK TOOLS REFERENCE GUIDE ............................................. 175

U.S. COAST GUARD LEADERSHIP COMPETENCIES

The Coast Guard’s definition of Leadership is:

“You influencing (or inspiring) others to achieve a goal.”

This guide provides ideas and resources to help achieve unit and

team improvement goals. The Coast Guard uses 28 Leadership

Competencies consistent with its missions, workforce, and core

values of Honor, Respect, and Devotion to Duty. These

competencies fall into four categories:

• LEADING SELF

o Accountability and Responsibility

o Followership

o Self Awareness and Learning

o Aligning Values

o Health and Well-Being

o Personal Conduct

o Technical Proficiency

• LEADING OTHERS

o Effective Communications

o Influencing Others

o Respect for Others and Diversity Management

o Team Building

o Taking Care of People

o Mentoring

• LEADING PERFORMANCE AND CHANGE

o Customer Focus

o Management and Process Improvement

o Decision Making and Problem Solving

o Conflict Management

o Creativity and Innovation

o Vision Development and Implementation

• LEADING THE COAST GUARD

o Stewardship

o Technology Management

o Financial Management

o Human Resource Management

o Partnering

o External Awareness

o Entrepreneurship

o Political Savvy

o Strategic Thinking

The discussions, strategies, models, and tools in this guide

strongly support the development of most of these competencies.

For more information on the Coast Guard’s Leadership

Competencies, see

http://www.uscg.mil/leadership/resources/competencies.asp

LEADERSHIP RESPONSIBILITIES

Senior leaders, team leaders, and facilitators play key and support

roles in managing and improving organizational performance.

These roles include identifying important opportunities, aligning

with stakeholders, selecting the appropriate tools, planning work,

training team members, cultivating teamwork, implementing

solutions, and leading long-term change.

The following matrix outlines some key and support roles:

SL = Senior Leaders ● Key Role

TL = Team Leader ○ Support Role

FAC = Facilitator

Team Role Matrix

Role SL TL FAC Team

Manages organization

● ○

Conducts planning

● ● ○

Interfaces with organization

● ● ○

Selects team

●

Builds team

○ ● ○ ○

Manages project

○ ● ○ ○

Coordinates pre- and post-meeting logistics

● ● ○

Focuses energy of group on common task

○ ● ● ●

Encourages participation

● ● ●

Contributes ideas

● ●

Protects individuals and their ideas from attack

● ● ●

Focuses on process

○ ● ●

Remains neutral

●

Helps find win-win solutions

○ ● ● ●

The roles, responsibilities, and checklists for senior leaders, team

leaders, and facilitators presented in this guide provide a brief

overview.

SENIOR LEADERSHIP

Senior leaders are responsible for effective leadership and

management. Excellent organizations:

• Use management systems, tools and models to gain

insight into, and make judgments about, the effectiveness

and efficiency of their programs, processes, and people

• Determine and use indicators to measure progress toward

meeting strategic goals and objectives, gather and analyze

performance data, and use the results to drive

improvements and successfully translate strategy into

action

Effective Management

The Commandant’s Performance Excellence Criteria (CPEC)

provides a systematic way to improve management practices

across the organization. The criteria are based on the Malcolm

Baldrige National Performance Excellence Criteria, which are

based on core principles and practices of the highest performing

organizations in the world.

Category 6

Operations

Focus

Category 4

Measurement, Analysis,

and

Knowledge Management

Category 3

Customer

Focus

Category 1

Leadership

Category 7

Results

Category 2

Strategic

Planning

Category 5

Workfor

Focus

Org

aniz

ional Profile:

Environment, Relationships, and Strategic Situation

Figure

1. CPEC Framework: A System’s Perspective

Actively using the criteria fosters Systems Thinking with a focus

on factors such as missions, customers, innovation, people,

measurement, leadership, processes, readiness, and stewardship.

The way each leader manages assigned responsibilities has

implications for the entire Coast Guard.

In other words, management matters—excellent management

practices equate to performance results. The best way leaders

can learn how the CPEC can help them accomplish command

goals is to use the system.

The criteria are built upon eleven core principles and concepts.

These principles and concepts are the foundation for integrating

key performance requirements within a results-oriented

framework. These core principles and concepts are:

• Visionary Leadership

• Customer-Driven Excellence

• Organizational and Personal Learning

• Valuing Workforce Members and Partners

• Agility

• Focus on the Future

• Managing for Innovation

• Management by Fact

• Societal Responsibility

• Focus on Results and Creating Value

• Systems Perspective

For more CPEC information, see the Commandant’s Performance

Excellence Criteria Guidebook, COMDTPUB P5224.2 (series)

https://cgportal2.uscg.mil/library/SitePages/COMDTPUB.aspx

Strategic Planning

Strategic planning is the process by which leaders clarify their

organization’s mission, develop a vision, articulate the values,

and establish long-, medium-, and short-term goals and strategies.

Essentially, strategic planning is the way effective leaders

prioritize organizational efforts to create unity of effort.

The strategic planning process presented in this guide is based on

the Hierarchy of Strategic Intent shown below. At the top of the

hierarchy is the organization’s mission and vision, both of which

should be long-lasting and motivating. At the base of the

hierarchy are the shorter-term strategies and tactics that unit

members use to achieve the vision.

Hierarchy of Strategic Intent

Use the Hierarchy to answer “Why the organization does X” by

looking up one level, e.g., “this set of tactical plans exists to achieve

that outcome.” Answer “how” the organization will accomplish X by

looking down one level, e.g., “strategies are how to attain the critical

success factors.”

Strategic

(Organizational)

Operational

(Area/District)

Tactical

(Sector/Unit/Team)

Does Every Unit Need Its Own Strategic Plan?

The traditional view of planning is that leaders at field units and individual

HQ program offices leave strategic planning to the senior-most, agency-

level leaders, as depicted here:

However, every USCG command/staff has strategic value. To ensure each

is ready to perform its assigned responsibilities, able to sustain and

improve performance, and anticipate and prepare for future needs,

planning at all levels—strategic, operational, tactical—is necessary.

There are differences in the planning scope and horizons at the national,

regional, and unit levels—perhaps 18-24 months for Cutters, 5 years for

Sectors, 5-8 years for Areas, and 20 years for the Coast Guard.

Strategic Planning process steps are listed below:

Step

1.0

Develop Guiding Documents. This includes developing

mission, vision, and values statements. If these already exist,

review them to prepare for strategic planning.

Step

2.0

Define the Strategy. This step is the heart of strategy

development; it establishes outcomes, critical success factors,

and outlines the goals to accomplish both.

Step

3.0

Develop Action Plan and Execute. This includes developing

action plans, allocating resources, and deploying the plan.

Avoid an “execution gap” by conducting action planning in a

disciplined manner and execute action plans with

accountability.

Traditional

iew:

Strategic

Operational

Tactical

National

Regional

Sector/Unit

Strategic

Operational

Tactical

National

Regional

Sector/Unit

The Reality:

SITUATION ANALYSIS AND STRATEGIC ALIGNMENT

Senior leaders: prior to strategic planning, study all the factors

that may affect the organization during its target time frame.

Align the strategic plan with efforts up and down the chain of

command to maintain a “unity of effort” or common strategic

intent.

Situation analysis focuses on the following:

• Planning Assumptions: Resource constraints, strategic

challenges, organization sustainability issues, and

emergency business continuity

• Environmental Factors: Coast Guard strategic,

operational, and tactical plans; and financial, societal,

ethical, regulatory, and technological risks

• Future Focus: Major shifts in technology, missions, or

the regulatory and competitive environments (particularly

those derived from higher echelon plans)

• Performance Metrics: Mission/operational performance

status and other key effectiveness measures

• Assessments: Organizational Assessment Survey (OAS);

Commandant’s Performance Challenge (CPC); unit

climate surveys; compliance inspection and audit

findings; strategic capability; and organizational

strengths, weaknesses, opportunities, and threats (SWOT)

Process Steps

DEVELOP GUIDING DOCUMENTS

Senior leaders: Begin the planning process by revisiting or

establishing organizational guiding documents, such as mission,

vision, and values statements. Since these statements are long-

lasting, they may require only slight adjustments to respond to

changes in the operational or competitive environments.

Reviewing the guiding documents reorients the planning team

toward an enhanced future state. If such documents do not exist,

they must be developed before any other planning can occur.

The essential steps in this process are:

1.1 1.2

Develop the

Vision

Review the

Values

Define the

Mission

S TEP 1 : Develop Guiding Documents

1.3

DEFINE THE MISSION

Mission refers to why an organization exists – its reason for

being or purpose. Generally, for most military organizations, the

mission is clear and unambiguous. Well-articulated mission

statements clarify:

• For members – what to expect and how they fit in

• For customers – what the products and services are

• For leaders – how to direct decision making

A Mission Statement must:

• Be clear and understandable

• Be brief enough for people to keep it in mind

• Be reflective of the organization’s distinctive competency

• Be broad enough to allow implementation flexibility

• Be narrow enough to maintain a sense of focus

• Be a template by which members can make decisions

• Reflect organization values, beliefs, and philosophy

DEVELOP THE MISSION STATEMENT

To develop a mission statement, leaders may facilitate the

following process with a team specifically selected for this

purpose:

1. Individually, develop a mission statement based upon the

criteria listed above

2. As a group, share individual mission statements

3. Identify common themes and must haves

4. If useful, choose and modify an individual statement

5. Devote 5-10 minutes to refine the chosen statement

6. Check the refined statement against the criteria

7. If necessary, select a sub-team to finalize the statement

offline

DEVELOP THE VISION

Vision refers to the category of intentions that are broad, all

inclusive, and forward thinking. A vision should:

• Provide aspirations for the future

• Provide a mental image of some desired future state

• Appeal to everyone’s emotions and aspirations

BRAINSTORM INDIVIDUAL AND COLLECTIVE LEGACY

Start by defining the organization for which the vision is being

developed. A vision can be developed for a subgroup of a larger

organization, which has a separate, broader, more inclusive

vision. Subgroup visions must be aligned with and mutually

supportive of the larger organizational vision. Ask the group to

individually list their responses to the five questions below. Tell

participants they will be asked to share their answers to Questions

4 and 5 with the group.

The Five Vision Questions

1. What do you like about being a part of this organization?

2. What do you like about the organization’s mission?

3. When it’s at its best, what do you like about the

organization?

4. What legacy would you like to leave behind?

5. What legacy should we collectively leave behind?

REPORT INDIVIDUAL RESPONSES TO THE GROUP

Once everyone has listed their responses, go around the room and

ask each participant to share his/her responses to Questions 4 and

5. The following ground rules apply:

• Speak from the heart

• Listen carefully

• Seek first to understand (ask clarifying questions only)

• Do not evaluate responses

IDENTIFY COMMON VISION THEMES

As a group, identify the common themes in the individual

responses to the questions. Has a vision or the elements of a

vision emerged? What’s missing? Facilitate discussion until all

key elements have been fully developed and are clear to all.

FINALIZE VISION STATEMENT OFFLINE

If necessary, select a smaller team to work offline to finalize the

vision statement. The team will use the responses and common

themes as input to develop several vision statements for the

group’s approval. The simple act of developing these concepts

within the group will provide enough direction to continue

developing the strategic plan.

Trick of the Trade: Never wordsmith in a group! That

will destroy momentum.

Why Does a Unit Need Its Own Vision?

Unit leaders often resist developing a vision statement. Many

feel that their command’s vision should match the

Commandant’s vision or the District Commander’s vision. They

are correct to the extent that a unit’s vision must be aligned with

and supportive of those higher in the chain of command;

however, many higher echelon visions are too broad or all

encompassing to be relevant to the members of a given unit.

More importantly, each unit has a specific or unique role in

successful mission execution and mission support. Leaders are

responsible for articulating that role and setting a vision to drive

improvement and higher levels of performance.

A unit vision should span a couple of CO tours or about five

years. A five-year vision is often a reach for a field unit and is

generally long enough to hold a crew’s focus. It is also a

reasonable time frame given the ever-changing nature of the

Coast Guard’s operating environment and initiatives responsive

to a given Commandant’s Intent.

REVIEW THE VALUES

Values are the essence of the organization. They describe who

we are and how we accomplish our work. Values affect:

• Decision making

• Risk taking

• Goal setting

• Problem solving

• Prioritization

Core Values form the foundation on which we perform work and

conduct ourselves. The values underlie how we interact with one

another and the strategies we use to fulfill our mission. Core

values are essential and enduring and cannot be compromised.

Any strategy session should review the Coast Guard’s core

values listed below. The organization’s mission and vision and

all aspects of the strategic intent should be aligned with these

values. Because the Coast Guard’s core values are so pervasive,

it is not necessary for units to develop their own; rather, assess

how/if the unit behaves consistent with and reinforces the values.

U.S. Coast Guard Core Values

ONOR

. Integrity is our standard. We demonstrate

uncompromising ethical conduct and moral behavior in all of our

personal actions. We are loyal and accountable to the public trust.

RESPECT. We value our diverse workforce. We treat one another

with fairness, dignity, and compassion. We encourage individual

opportunity and growth. We encourage creativity through

empowerment. We work as a team.

DEVOTION TO DUTY. We are professionals, military and civilian,

who seek responsibility, accept accountability, and are committed to

the successful achievement of our organizational goals. We exist to

serve. We serve with pride.

DEFINE THE STRATEGY

Defining the strategy is a leadership responsibility. While action

planning can be jointly accomplished by organizational leaders

and frontline teams, Coast Guard leaders cannot delegate strategy

development.

Developing strategy encompasses defining outcomes from the

stakeholders’ perspective, identifying critical success factors, and

developing goals for an 18- to 36-month time horizon. These

strategic plan elements lay the groundwork for all strategic

activities within the command. The following outlines essential

steps in this process.

2.2 2.

Identify Critical

Success Factors

Develop Long-

Range Goals

Define

Outcomes

Step

2 :

Define the Strategy

DEFINE OUTCOMES

Outcomes are the organizational or public benefit(s) that the unit

seeks to achieve or influence:

• Outcomes identify the impact the organization has as

opposed to the activities in which it engages

• Outcomes should be derived from stakeholder

perspectives and expressed as expected results from the

organization

• Outcomes should encompass multiple stakeholder

perspectives to ensure they are “balanced”

Outcomes are not always under the full control of the

organization; many factors can influence outcomes. However, if

outcomes are well defined and continually focused upon, they

can be attained more often than not!

IDENTIFY STAKEHOLDERS

1. Begin by asking:

• Who has an interest in what the organization provides?

• Who cares whether the organization succeeds?

2. Ask participants to answer these questions using sticky notes

(put one stakeholder or group name on each). When finished,

randomly place the notes on chart paper or a whiteboard.

3. Ask participants to “affinitize” (see page 109-111) the

stakeholders by clustering similar notes into categories.

Attempt to create four to eight categories and name them.

4. Display these relationships in a diagram or chart.

DEFINE STAKEHOLDER EXPECTATIONS

1. Break the participants into groups and assign one previously

defined primary stakeholder to each group.

2. Ask each group to envision themselves riding an escalator on

which two members of their assigned stakeholder group are

just ahead of them. “The stakeholders do not realize you are

there and they are discussing their experience with your

organization as you’ve defined it in its enhanced future state

(vision).”

3. Ask the group, “What do you want to hear them say?”

4. Have each group report out the top two or three stakeholder

quotes that most represent a future desired outcome. Record

key items or common themes that cut across groups.

DEVELOP OUTCOMES

1. Identify five to seven common outcome themes. Assign

breakout groups to develop them into outcome statements.

Outcome statements should be measurable and directly reflect

the vision.

2. Ask each group to report their outcomes. Take comments,

but do not allow the group to wordsmith.

3. Assign an individual or small team to finalize the outcome

statements offline.

IDENTIFY CRITICAL SUCCESS FACTORS (CSFS)

CSFs are what the organization must absolutely do right, or

manage well, if it is to achieve its outcomes.

• Organizations may not control all factors leading to

outcomes; however, CSFs are wholly within their control.

CSFs generally relate to processes, people, or

technologies that enable outcome achievement.

• CSFs are leading indicators for outcomes. Successful

organizations know their CSFs and how they affect

outcomes. These causal relationships are monitored and

reinforced through a robust measurement system.

• Until cause-effect relationships are identified, CSFs are

no more than a management hypothesis based on

individual experience, theory, or background. Use

measurement to validate these hypotheses.

IDENTIFY CSFS

Develop a list of potential CSFs by asking the group:

• What must you absolutely do right or keep in control to

achieve your desired outcomes?

• What is within your ability to control?

REDUCE TO THE CRITICAL FEW CSFS

If break-out groups are used, have each group report their top

CSFs. Together, the larger group identifies common themes,

paring the list down to three to four CSFs.

DEVELOP LONG-RANGE GOALS

Goals are intentions that make the vision, mission, and outcomes

actionable. They typically encompass a shorter time frame than a

vision or an outcome. Goals address organization aspects,

including mission, operations, customers, processes, people, and

resources. They facilitate reasoned trade-offs and be must be

achievable. Goals usually cut across functions and can

counteract sub-optimization.

CREATING GOALS

1. Review the previously developed material.

• Outcomes – Ensure the goals are directly aligned with and

support the outcomes.

• Critical Success Factors (CSFs) – Ensure the goals

support achieving the CSFs.

• SWOT Analysis (see box and tools) – Ensure strengths

align to opportunities; establish goals to leverage

strengths to exploit opportunities; identify weaknesses

that line up with threats; establish goals that mitigate

weaknesses and consequently reduce threats.

2. Identify six to eight potential organizational goals; ensure

goals are concrete and attainable. If break-out groups are

used, have them report out goals and consolidate.

SWOT Analysis (See pg. 162)

STRENGTHS: Internal aspects of the organization that will help

achieve outcomes and CSFs.

WEAKNESSES: Internal aspects of the organization that will impede

the ability to achieve outcomes and CSFs.

OPPORTUNITIES: External events/happenings that may help achieve

outcomes and CSFs.

THREATS: External events/happenings that may impede achievement

of outcomes and CSFs.

AUDIT GOALS

• Ensure the goals align with higher echelon plans by

auditing them against outcomes, CSFs, and SWOT

• Ensure perspective balance among mission/operations,

customer/stakeholder, internal processes, people, and

finances/resources

• Ensure the goals meet the Goal Writing Primer criteria

Goal Writing Primer

REATING

REAT

OALS

• Avoid the tendency to create too many goals: “If

everything is important, then nothing is important.”

• Ensure goals support the mission, vision, outcomes, and

CSFs

• Ensure the why of each goal can be articulated

• Make sure the goal describes a desired state or outcome

CREATE SMART GOALS

 Specific

 Measurable

 Action oriented

 Realistic

 Time based

DEVELOP THE ACTION PLAN AND EXECUTE

In their book Execution: The Discipline of Getting Things Done,

Larry Bossidy and Ram Charan highlight the major reason most

organizations fail in their attempts to implement strategy; they

call it the “execution gap.”

Therefore, action planning must be a component of execution.

This step in the strategic planning process is the key to

“operationalizing” the strategy that leadership has fashioned.

The best plans are worthless if they cannot be implemented. The

following outlines essential steps in this process.

3.2

Allocate

Strategic

Resources

Monitor

Progress and

Execution

Develop

Strategies and

Tactics

S TEP 3 :

Develop the Action Plan and Execute

3.3

DEVELOP STRATEGIES AND TACTICS

Strategies and tactics are actions that can be accomplished within

a 12- to 18-month time frame. They are tied to resources,

specific milestones, and deliverables in order to be monitored for

progress/accomplishment. Strategies and tactics are not static

and may be modified as circumstances in the strategic

environment change. They must be tied closely to a goal or set of

goals in the plan and provide some strategic value to the

organization.

• Strategies are specific, quantifiable, assignable sets of

actions or projects that lead to accomplishing a goal over

a specific time period.

• Tactics are specific tasks within a strategy that can be

assigned to an individual or team to accomplish over a

short period of time.

DEVELOP STRATEGIES

Leadership group: involve mid-level and front-line organization

members in generating strategies that will effectively accomplish

the goals. Strategies can cover one or multiple goals. Once

identified, assign responsibility to a division or team for each

strategy to be undertaken.

DEFINE TACTICS

Strategies should be further broken down into tactics by the

responsible division or team. As the team identifies tactics, it

should consider:

HAT

the strategy is intended to achieve

achievement is important

will participate in accomplishing the strategy

the strategy will achieve the goals

HEN

deliverables are needed to accomplish the strategy

ESTABLISH AN ACTION PLAN

As it formulates its list of tactics, the planning team will assign

each tactic to a work team or individual along with a milestone

date. After a few toll-gate checks and improvement cycles, the

action plan is approved by the leadership team.

The Balanced Strategic Plan

Comprehensive strategy and measurement balances:

• Past, present, and future performance

• Near- and long-term strategic challenges

• Strategic, operational, and tactical considerations

• Perspectives of product and service, customer

effectiveness, finances and budget, human resources, and

organizational effectiveness

A balanced strategic planning approach acknowledges that good

strategy development requires a holistic view of organizational

performance.

ALLOCATE STRATEGIC RESOURCES

To deploy the strategy, the leaders engage in a process to identify

and allocate resources for strategy execution. Recommended

methodology:

IDENTIFY NON-DISCRETIONARY FUNDING

1. The CO and the unit funds manager identify the non-

discretionary funds available for strategic projects.

2. The planning team creates the ground rules for using the

funds to execute strategic action plans.

PRESENT DIVISION ACTION PLAN

1. Division heads present their proposed actions for meeting the

goals and estimate the people and funding required to

complete the action.

2. The planning team questions the assumptions and the validity

of the proposed actions in a facilitated discussion, including

how each action may affect other divisions or planned

actions.

3. After all have spoken, the planning team breaks into sub-

teams to further refine proposals.

REFINE ACTION PLANS AND RESOURCES

1. When groups reconvene, the facilitator puts the plans and

resources into a strategic resource worksheet or spreadsheet

for all to see.

2. The process continues through the questioning, refining, and

reshaping cycle until consensus is reached (usually requires

three to four cycles).

3. The team leader documents the final resource allocation in

the strategic resource worksheet.

MONITORING PROGRESS AND EXECUTION

Monitoring and controlling progress involves collecting and

disseminating performance information as well as issues and

concerns that may negatively affect achieving a strategy or tactic.

Leaders and other stakeholders use this information to make

midcourse direction and resource corrections. It also provides a

fact-based method to hold individuals accountable to achieve

assigned strategies and tactics.

EXECUTING STRATEGIC PROJECTS

1. Some action may be more easily executed as a project. In

these cases, proper planning should precede any quantifiable

work. The assigned team or individual develops and

documents the plan using a project abstract, GANTT chart,

etc.

2. The responsible individual or team works closely with a

leadership champion or sponsor to ensure the project

requirements are being met and pays particular attention to

deliverables and timelines.

CONDUCT STRATEGY/PROGRESS REVIEW MEETINGS

1. Responsible entities are accountable for execution. They and

their leadership champions confer regularly and keep

stakeholders informed of progress.

2. Responsible entities brief leaders during regularly scheduled

strategic progress reviews. During these briefings, the

responsible person explains current status, presents any new

challenges and barriers to progress, and outlines next steps.

Midcourse corrections arising from the review session are

incorporated into the next update to the action or project plan.

Strategy drives action:

ALLOCATE

STRATEGIC

ESOURCES

DEVELOP

STRATEGIES &

TACTICS

DEFINE

OUTCOMES

DEVELOP LONG-

RANGE GOALS

IDENTIFY

CRITICAL

SUCCESS

ACTORS

DEFINE

MISSION

EVELOP

VISION

ESTABLISH

VALUES

RE-CYCLE QUARTERLY; ADJUST PLAN BASED ON PROGRESS

S TART

NNUAL

YCLE

QUARTERLY

YCLE

MONITOR

PROGRESS

3.0 DEVELOP THE ACTION PLAN*

ND EXECUTE

1.0 DEVELOP GUIDING DOCUMENTS

2.0 DEFINE THE STRATEGY

LONG-RANGE TO SHORT-RANGE

F INISH

OUTCOMES

CSFS

GOALS

STRATEGIES

TACTICS

RESOURCES

MISSION

VISION

VALUES

1.1 1.2

1.3

2.1 2.2 2.3

3.1 3.2

3.3

Refer to the table of tool usage for additional planning tools.

TEAM LEADERSHIP

Effective team leaders help inspire and focus small- to mid-size

groups (natural work groups, problem-solving teams, focus

groups, etc.) to achieve project goals. Team leaders are selected

based upon the team’s function and are typically designated in a

charter. For those on a natural work group, a team leader is

normally established by billet or position. Any team member may

be designated as team leader for a particular meeting or project

piece.

Regardless a group’s scope, effective team leaders:

• Ensure optimal team composition

• Develop stakeholder commitment

• Communicate vision

• Outline boundaries

• Give proper direction and support

• Use facilitative leadership

• Build teamwork

• Ensure accountability

While the position of being a team leader is only assigned to one

person, all team members should be ready to take on informal

leadership roles.

Key Roles & Tasks of Team Leader

Key Roles

of Team Leader

Tasks

Organizational

Interface

representing the project

to others

• Gain and maintain alignment with

chartering body/senior managers

• Make presentations

• Maintain written communications

• Initiate personal contact and request

feedback

• Champion performance improvement

initiatives

Team Building

using methods and

creating an environment

so each member

participates in

generating ideas,

interpreting findings,

and making decisions

• Use team-building methods. For example:

o Use warm-up activities

o Develop ground rules

o Use group idea-generation tools

o Use consensus for making decisions

o Help the team through the stages of

group development

• Cultivate full participation. For example:

o Enforce guidelines

o Negotiate and mediate

o Counsel individuals

o Adjust membership

•

Provide training in models and tools

Project Management

directing the team’s

attention to the

necessary work

• Select and manage important projects

• Align with stakeholders

• Establish scope

• Build and lead teams

• Identify work

• Create and update work plans

• Manage resources

• Monitor progress

• Review performance

Organizational Interface

Alignment and continuous communication with senior leadership

and other key stakeholders is crucial to running a successful

project. One essential tool is a charter (see page 118). A charter

outlines expectations from all parties, clarifies roles and

responsibilities, and aligns team efforts to organizational needs.

Some issues that the chartering body and team leader should

discuss prior to commencing the team’s activities are:

• Purpose of the charter

• Role(s) of the team leader and chartering body

• Parameters the team has to work within (time, funds,

equipment, people, and policy)

• Who has decision-making authority

• Concerns regarding accomplishing the charter objectives

• Strategies to accomplish the desired objective

In addition to the team leader, another person key to a successful

project is the champion or sponsor. For a chartered team, the

sponsor is the person who approves the charter. This person must

be high enough in the organization to address problems within

the scope of the project.

The team leader keeps the sponsor aware of progress and is

committed to team success by encouraging the sponsor to attend

meetings, discussing concerns, and informing the sponsor about:

• Team goals and project plans

• Interim findings and recommendations

• Roadblocks encountered

• Resources needed

• Milestones reached

Good alignment is often the difference between success and

failure. For more information on charters, see the Tools section.

Beyond the charter, team leaders ensure that the interests of

people not on the team are adequately represented. They get

commitment from people who may be affected by the team’s

actions.

Key questions to ask before putting the team together are: “Who

has a stake in the outcomes of the project? To what extent will

these stakeholders support the team’s efforts?” One effective

method of answering these questions is to conduct a stakeholder

analysis. For more information on stakeholder analysis, see the

Tools section.

Team Building

Team leaders select members based upon project requirements,

as well as each member’s knowledge, skills, and ability to work

as an effective team member. They continue to build the team’s

interpersonal and rational skills. Ignoring the interpersonal side

of the equation may hinder team effectiveness or, in more

extreme cases, lead to failure.

In this respect, an outside facilitator can help team leaders be

more effective. Inviting an outside facilitator allows a team leader

to focus on the content of a meeting while the facilitator helps the

group with process. Often, this split leadership approach pays

big dividends in terms of group development and success.

Some team leaders decide to facilitate their own meetings. If so,

then refer to the facilitator checklist for guidance. Be aware,

performing the roles of both team leader and facilitator can be

difficult, especially where there is passion for an issue.

Team leaders who develop good facilitation skills can foster an

environment where people remain open and engaged. Two

techniques may help:

• Listen first: Although leaders often ask for other

thoughts, subordinates or team members may simply nod

in agreement. To overcome this, ask team leaders to find

out what their co-workers think before sharing their

opinion. Set the tone by saying, “I’d like to first hear

what each of you thinks about this.”

• Acknowledge emotion: Confront emotion when it arises

and get to the facts behind it. Pretending someone isn’t

upset will close group communication. (See Managing

Conflict in the Group Leadership Section page 63.)

Project Management

Team leaders need a working knowledge of project management

skills. They must have expertise in teamwork, building teams,

guiding group development, and managing conflict. Knowing the

four project phases, collectively known as the project life cycle,

helps team leaders manage the overall process more effectively:

• Initiating

o Select a project

o Draft a charter

o Develop guiding statements

o Determine scope

• Planning

o Formally identify the work required

o Ensure adequate budget, personnel, and resources

o Schedule

o Assess risk

• Execution

o Manage resources

o Manage changes

o Monitor status

o Communicate

• Close-out

o Evaluate

o Develop an after action report

o Save records

o Celebrate

A Closer Look at Project Phases

Initiating

Before embarking on a project, ask questions such as: “Why is

this project important? What is the business case for this project?

Are there other projects with a higher priority? Will senior

leadership support this project? Will customers and other

stakeholders be happy that this project is being worked on?”

Once a project has a green light, formalize project details through

a charter. A charter can help ensure support and alignment, and

help avoid pitfalls. For more information on charters, see the

Tools section.

In order to ensure project success, senior leaders and project

managers must maintain control over project scope. Scope creep

happens when a project grows too large or becomes too difficult

to complete and can derail the best laid plans.

Project Control

• In order to maintain

control of the scope of the

project (S), you must

have control over at least

one key factor: Quality,

Cost, or Time

• Consider: What key factor

drives your project?

Cost

Time

Quality /

Performance

Planning

Planning includes identifying the work, resources, performance

requirements, and time required. Identify work by completing a

work breakdown structure (WBS) or other planning tool. Work

should be broken down to the appropriate level of detail,

typically into 80 hours or smaller segments. The 80-hour rule

helps project managers maintain control of the project by

promoting check-in after task completion. See the Tools section

for other planning tools.

Look at task dependencies in addition to the personnel, resources,

and time required. Task B is dependent upon Task A when Task

A must be completed before Task B can be started. Task

dependencies and project requirements impact the overall

timeline.

Execution

Execution means getting the work done. During execution, senior

leaders and project managers ensure communications between all

concerned parties and consider any proposed changes along the

way. Scheduling regular team briefs with key stakeholders helps

avoid problems.

Close-Out

Closing out a project properly helps teams determine how well

they met project outcomes and identifies opportunities for

improvement. By developing the ability to plan and implement

projects, managers enhance overall organizational performance.

For more project management principles beyond the scope of this

guide, see the Additional Resources Section page 171.

FACILITATIVE LEADERSHIP

Facilitators help teams achieve their goals through the use of

team tools, disciplined problem-solving techniques, and

continuous improvement methods. They apply good meeting

management principles, give and receive feedback, and make

adjustments.

A facilitator guides, teaches, and encourages the team. A

facilitator’s role is to help the group with process, not to

influence the content and the final product.

Facilitate:

• To make easy or easier

• To lighten the work of, assist, help

• To increase the ease of performance of

any action

Webster’s New World Dictionary

Key Roles & Tasks of Facilitator

Key Roles

of Facilitator

Tasks

Coach the Team

Leader

coaches the team

leader in the

process of

accomplishing the

meeting objectives

• Conduct one-on-one planning with team

leader

• Provide agenda guidance

• Provide feedback to the team leader

Facilitator

uses methods to

solicit ideas so

each member

participates in

generating ideas,

interpreting

findings,

developing

solutions, and

making decisions

• Clarify team members’ roles

• Facilitate agenda. For example:

o Warm-up exercises

o Ground rules

o Idea generation

o Decision making

o Data collection methods

o Data analysis

• Monitor sequence of model

• Focus team on task at hand

• Monitor stages of group development

• Manage group dynamics and individuals

• Cultivate cooperation. For example:

o Mediate

o Encourage

o Enforce ground rules

o Coach

Trainer

trains team

members

• Provide just in-time (JIT) training on:

o Models and tools

o Team roles and responsibilities

o Continuous improvement concepts

Facilitator Behaviors

The Facilitator . . .

• guides the group through a predetermined process/agenda

• encourages group members to participate

• focuses and refocuses the group on common goals and

tasks

• ensures an environment of mutual respect amongst group

members

• explains their role and how they can help the group

• assesses the group’s progress and commitment for a given

task and suggests alternative approaches as needed

• suggests agenda topics and approaches to most efficiently

and effectively help the group meet its goals

• records group ideas in a way that allows participants to

see and build on ideas

• trains group members on new tools and techniques just-

in-time

• enforces the group’s ground rules when they are violated

• energizes the group through a positive and enthusiastic

attitude

• manages conflict and helps the group find win-win

solutions

The facilitator is often a discussion moderator. In this role, the

facilitator is primarily an observer who ensures that group

members have an equal opportunity to contribute ideas and differ

with each other. When ideas are introduced in their simple form,

they often need time to take shape. While it may seem

contradictory, it is also important to allow for a healthy amount

of differing when ideas are moving along and the group seems

committed to them. This will help the group avoid the common

pitfall of “groupthink.” This term was coined to describe a state

when a group is moving along so efficiently that no one wants to

contradict or slow the momentum.

Another important reason to be a discussion moderator is that

there are usually equal numbers of introverts and extroverts in

any group. Extroverts often thrive in group settings because they

find it natural to think aloud and build on other people’s ideas.

Introverts are often at a disadvantage in most group settings

because they are usually more reflective and hesitant to shout out

ideas. They like to have extra time to process information.

Excellent facilitators realize this and make adjustments to

maximize the contributions of introverts while not slowing down

the contributions of the extroverts.

Several facilitator behaviors help to encourage participation and

protect ideas:

• Gate opening: Provide quiet individuals the opportunity to

participate. Some people will not cut another person off and

will wait for a quiet moment before speaking. In some

meetings, there are little to no quiet moments. Create an

opportunity by using techniques such as silent brainstorming

(writing down ideas individually before discussing them).

Note: Many introverts do not like to be called out or put on

the spot, so ask the question before calling on someone or

having a volunteer answer.

• Safe guarding: Ensure that individuals have a chance to

finish their thoughts. When ideas begin to flow quickly, some

members begin before others have finished. Not everyone has

the ability to present a complete and polished thought off the

top of their head. Safe-guarding might sound like: “Before we

move ahead, let’s give Petty Officer Gonzales a chance to

finish her thought.”

• Harmonizing: Make efforts to reconcile differences, look

for where ideas or opinions are similar, or downplay

disagreements and strong negative statements. Harmonizing

might sound like: “There seems to be a lot of passion here;

can we agree that we all want to achieve the same goal and

calmly discuss the different options for going about it?”

• Observing and Commenting: Provide verbal feedback to

the group/team concerning the interaction of the group/team

members, or the process/structure by which the group/team is

proceeding to accomplish its purpose. Feedback may sound

like, “There are a lot of different options being brought up.

I’d like to suggest we try capturing some of those ideas on

paper, and spend some time discussing each one so that we

can prioritize action items and next steps.”

Facilitator Checklist

Use the following checklist to align with senior leadership, plan

effectively, conduct productive meetings, and ensure action and

follow up.

Prior to Alignment Meeting

 Research information on

group

 Consider possible warm-ups

 Gather reference material

(PIG, etc.)

 Review tools

 Prepare a contract

 Arrange meeting with team

leader

Alignment Meeting

 Review relevant meeting

documents and—modify as

appropriate

 Establish purpose, goal,

and/or desired outcome

 Determine scope

 Get background information

on team

o Consider optimal size,

composition, and

representation

 Develop an agenda (see

Agenda Checklist in the

Meeting Management

section)

Before Meeting

 Gather supplies

 Ensure room is set up in a

way that maximizes

collaboration opportunities.

During Meeting

 Review agenda—modify as

appropriate

 Establish or review:

o Roles

o Secondary facilitation

o Ground rules

o Parking lot

o Group expectations

 Conduct warm-up activity or

icebreaker as appropriate

 Conduct meeting

o Follow agenda

o Use timekeeper

o Monitor group dynamics

o Demonstrate facilitative

leadership

o Record group memory

o Use tools appropriately

o Check parking lot

 Close meeting

o Develop action plan

o Review accomplishments

o Review agenda

o Clear parking lot

o Develop future meeting plans

o Conduct meeting evaluation

After Meeting

 Discuss meeting evaluation with

team leader

 Follow up on contract

 Ensure action plans and minutes

are developed



Develop plan for next meeting

Facilitator Pitfalls

Avoid some of the common mistakes many novice facilitators

make:

• Taking sides or displaying bias on an issue the group is

discussing

• Having favorites in the group

• Passing judgment on ideas that are generated by group

members

• Contributing ideas without prior group approval

• Being inflexible to the changing needs of the group

• Being the center of attention

• Talking too much

• Taking on responsibility rather than allowing the

group/team to be responsible for doing the work needed

to accomplish the objective

The Facilitative Leader

Often a group has no formal facilitator assigned. This is common

in the Coast Guard because people are busy and can rarely

dedicate themselves full time to a group outside their usual job

functions. Realizing the benefits of the facilitator role, team

leaders are encouraged to take on some or all of the facilitative

behaviors mentioned previously. While this can be a challenge,

the best team leaders do this naturally. They already know where

they stand on an issue and are committed to getting ideas from

their team, for often these are the ideas from the workers who are

most likely to implement them.

Note: It’s important that those who have dual roles as team leader

and facilitator let the team know when they are stepping out of

one role and into the other.

MEETING MANAGEMENT

Good meetings are key to good management; they allow effective

processing and sharing of information. However, meetings are

often ineffective and inefficient. They waste time and resources

and cause frustration, low morale, and poor performance. To

create an environment that promotes effective meetings, team

leaders and facilitators must manage many different dynamics.

Effective Meetings

Regardless of the purpose of a meeting, effective meetings have

many of the same ingredients:

• A focus on what needs to be done

• A focus on how it can best be accomplished

• A focused goal/clear outcomes

• A focused agenda with specific time allotments

• Clear roles, responsibilities, and standards of behavior

• Balanced communications and participation

• Evaluation of meeting effectiveness

In order to manage meetings successfully, apply the PACER

technique, which stands for Purpose, Agenda, Code of Conduct,

Expectations, and Roles.

• Purpose

o What is the desired outcome

• Agenda

o Date and location

o Start and end times

o Time allotted for each item

o Time allotted for meeting evaluation

• Code of Conduct

o Ground rules

o Parking Lot

• Expectations

o Preparation and work required

• Roles

o Assigned roles (team leader, facilitator, recorder,

timekeeper, etc.)

o Others responsible for meeting content, setup, etc.

Planning a Meeting

Successful meetings require proper planning. A good rule of

thumb is to spend one hour planning for each hour of meeting

time. Sometimes more time may be spent planning a meeting

than actually conducting it.

There are numerous formats for an agenda. The following

checklist contains some of the most typically found items:

Agenda Checklist

Answer these questions before developing the agenda:

• What is the purpose and desired outcome(s)?

• Is a meeting necessary to achieve the desired outcomes?

• Who should attend? Invite the minimum number of

people required to achieve the desired outcome.

Develop agenda. An agenda should include:

 Date, starting, and ending times

 Location

 Purpose of the meeting

 Desired outcomes

 Ground rules (develop or review)

 Agenda items. For example:

• Warm-up exercises

• Review previous meeting’s minutes

• Mission review

• Model and/or tool selection

• Assignments & scheduling

• Progress report/status

• Report of findings

• Interpretation of findings

• Next steps

• Organizational communications

• Presentations

• Just-in-time training

 Person responsible for each item

 Time allotted for each item

 Assigned roles (team leader, facilitator, recorder, timekeeper)

 Time for meeting evaluation

Team Member Roles

Many facilitators and team leaders find success in sharing

responsibility for the group’s success using the following roles:

• Timekeeper

o Keeps track of time

o Notifies group when designated times have been

reached

• Scribe

o Stays out of content

o Records group ideas and decisions

o Does not edit

• Recorder

o Records and routes meeting minutes

o Captures info so that non-attendees can follow the

group’s train of thought

• Co-Facilitator

o Assists the Facilitator in the meeting process

• Participant

o Gives input, ideas, opinions

o Listens to others

o Clarifies

o Uses good team process skills

• Subject Matter Expert (SME)

Ground Rules

Ground rules reflect team values and create an environment for

achieving common goals. They clarify responsibilities, describe

how meetings will be run, and express how decisions will be

made.

Ground rules allow facilitators, team leaders, and groups to hold

their own feet to their own fire. For ground rules to be effective,

follow these simple rules:

1. Develop ground rules during the first meeting and get

consensus.

2. Remind the group that everyone is responsible for group

behavior.

3. Revisit them regularly -- they are living documents that

may be changed or added to as groups mature.

4. Ask the group to periodically gauge their own

effectiveness and make corrections as needed.

Sample Ground Rules



We’re here for the same purpose; we respect each other

 It’s okay to disagree

 Share all relevant information

 Solicit others’ ideas

 Listen as an ally

 Everyone participates, no one person dominates

 Share responsibility

 Honor time limits; start on time

 Base decisions upon data whenever possible

 Choose right decisions over quick decisions

 Strive for consensus

Parking Lot

One of the most effective tools a group can use to keep a meeting

on track is a parking lot. A parking lot is a place where issues

that are important but not relevant to the topic at hand can be

parked out of the congestion of discussion. Issues can be brought

back in to the discussion, when appropriate, or reviewed at a later

time. A parking lot serves as a visual reminder that each idea is

important and will not be lost or ignored.

At the beginning of a session:

Post a blank piece of chart paper on the wall and write “Parking

Lot” across the top. Place the parking lot near a room exit. This

will serve as a reminder and allow people to post any off-topic

thoughts they might have as they go on break. During the session

warm-up, possibly during or just after a discussion of ground

rules, discuss the concept of a parking lot and how to use it.

During a session:

If the group strays from the agenda, ask the group if they would

like to spend more time discussing the issue or place in the

parking lot. Ask the person who initiated the issue to write it up

using one “sticky note” per thought. Ensure that the parking lot

is cleared at regular, agreed upon intervals.

At the end of a session:

Meeting discussions are typically not held simply for discussions

sake, so follow up is key. Review parking lot items at the end of

each session. Like other parking lots, a meeting parking lot can

be the last place to focus on before departing and leaving the

discussion behind. In this way, the group can ensure that

important thoughts are not lost. To review, simply read each

item and ask, “Has this issue been addressed or is further

discussion and/or follow-up needed?” If the group desires further

discussion, coordinate an appropriate time. Get confirmation

from the group on the disposition of each item.

IDA Boards

A related concept is to break the parking lot into different parking

boards. One tactic is to use three boards labeled “Issues,

Decisions, and Actions” often referred to as “IDA.” The IDA

method can help groups to effectively convert discussion into

action and document meeting outcomes.

• The Issues board is like a standard parking lot. It consists

of those slightly off topic or extraneous issues that come

up during the meeting discussion. The issues list could

also contain those issues that are “out of reach” but need

attention (these items may be later documented under

Decisions or Actions).

• The Decisions board simply documents decisions made

by the group during the course of the meeting.

• The Actions board is for next steps related to each issue

and/or decision.

As with other parking lots, end-of-meeting review is important.

• When reviewing each issue on the list, ask: “Have we

covered it?” “Do we need to cover it?” and “When should

time be spent covering it?”

• When reviewing the decisions list, the opportunity exists

to dig deeper, look at each decision, and ask, “What is the

change or benefit of this decision?” Groups might also

take time to review and discuss each decision to gauge

and set the expectation for follow-through.

• The actions list contains the overall impact of the

meeting. In reviewing the actions list, assign specific

steps, names, dates, and reporting/follow-up for each

item. (See Action Planning page 107.)

Meeting Evaluation

To improve team and meeting effectiveness, there must be a

continuous cycle of evaluation and action planning. Evaluation

methods include round robin and consensus discussions, a

plus/delta, and meeting surveys. While participative discussion

following a facilitated meeting can be the best source of

actionable feedback for the facilitator, not every group is eager to

discuss their own improvement opportunities. Effective methods

to obtain feedback are a plus/delta and meeting surveys.

Plus/Delta

A plus/delta can help a team identify what went well along with

opportunities for improvement. It typically takes place after a

meeting review and any closing remarks.

To perform a plus/delta, first ensure that each participant has

access to sticky notes and a pen (a fine-tip permanent marker

works well in this case). Draw two columns on chart paper as

illustrated below. Label one column “+” and the other “Δ” (the

Greek symbol for delta – meaning change).

∆

Good discussion

Detailed agenda

Facilitator kept meeting on track

Meeting ended on time

Time keeper needs to provide more

frequent updates

Send out pre-reads earlier

Stay focused; use our parking lot

Ask each participant to take two sticky notes and a “+” on one

and a “Δ” on the other. On the plus, have them provide a

comment on something they thought went well and should be

continued. On the delta, have them provide a comment on

something that perhaps did not go well and could be improved

for the next meeting. Emphasize that the delta symbol indicates

change; in this case what is being asked for is a specific way to

improve. A meeting delta could include a request for an

additional resource like new instructional material or more

explanation of a decision-making tool or an overall process

improvement suggestion. A delta is constructive criticism that is

95% constructive and only 5% criticism. The goal behind

writing a delta statement should highlight an opportunity for

improvement and propose a solution or a corrective course of

action.

Typically, participants are most comfortable when the plus/delta

chart is placed near the door so they can post their notes (without

names) in the appropriate column as they leave the room while

going on break or following the meeting. At some point,

however, the group should review the feedback and create an

action plan for improvement.

Feedback is of little worth if it is not seriously considered and

followed up on. Work to ensure that strengths listed in the plus

column will continue in future meetings. Address legitimate

concerns and work on deltas so they can become pluses in future

meetings.

Meeting Surveys

Meeting surveys provide the benefit of quantitative measurement

of meeting performance, as well as specific focus areas that

groups sometimes avoid discussing, such as interpersonal skills.

Using meeting surveys can help groups track their progress over

time and diagnose specific factors that hinder group performance.

Surveys such as the one below tend to be more effective if

completed anonymously and compiled by a trusted party, perhaps

an outside facilitator. Asking participants to provide written

comments regarding their ratings can help group’s link specific

behaviors to ratings. Once results have been compiled, they

should be shared with the group. The group can then analyze the

data and formulate specific action plans for improvement.

Facilitating Using Technology

Facilitate CG teams with technology to:

• Help groups at different sites work together at the same

time (e.g., Live Meeting)

• Change the dynamics of a group in crisis or conflict (after

trying traditional conflict resolution strategies)

• Help a “stuck” group regain creativity

• Increase group productivity and speed

• Make up-to-the-minute edits and documentation

• Quantify qualitative information

• Facilitate anonymous feedback (e.g., Vovici surveys)

Match the Need and the Technology

Key Questions to Answer

• What is the group trying to accomplish?

• How simple or complex is the group’s task?

• How unified is the group?

CG Group Technology Categories

• Videoconferencing

• On-line groupware

• Audio teleconferencing

• Audience-response systems

Pre-Session Work

Make sure you get answers to the following:

• Does everyone realize that using technology may increase

the preparation time for the session?

• Do you have group buy-in for using technology

(especially audience response systems) from

management?

• Has the group (or a majority of the members) used this

technology before? Was it a good experience? If the

experience was bad, what went wrong?

• Does the technology present too much of a challenge for

the group members’ sensory capabilities such as

language, hearing, sight, etc.

• Can you set up and test the technology? Can you test it

with an invited group?

• Will you have help with co-facilitators or technology

operators? Can you coordinate the roles and

responsibilities?

Keys to Success with Videoconferencing

• Keep remote-site participants plugged in and in tune since

they will not be able to pick up on all of the nonverbal

cues of the main group. Openly stating the main group’s

thinking and feeling will help.

• Video is the best technology for facilitating “town hall”

meetings where groups at different sites are linked but

only a few individuals need to be speaking rather than

instances when multiple individuals from multiple

locations will need to talk with each other.

• Combine facilitating groups from various locations that

need to see not only each other but also drawings, product

samples, and other items. This can be done with large

chart paper angled toward video cameras, or with

electronic white boards that document group output in

real-time and display at multiple sites.

Keys to Success with Online Groupware

• Participants need to be keyboard-literate and comfortable

using the technology.

• Stay involved at your keyboard. Jump in with comments

to let the group know they’re on the right track.

• Keep the discussion focused and break the task down into

manageable parts. Remember: with distance technology,

simple is better.

Keys to Success with Audio Teleconferencing

• Call roll to identify who is present at the conference.

• Review the purpose of the conference call and the agenda.

Before the call, email agendas to everyone on the call.

• Set ground rules like in a regular facilitated meeting

(respect others, only one person speaking at a time, etc).

Ask participants to identify themselves before speaking

and to state to whom they are directing the comments, if

not the entire group.

• Poll group members as to their opinion on an issue under

discussion, or do a round of “turn taking,” where each

person takes a turn speaking.

• If plans call for some type of structured planning or

problem-solving activity, lead the group through the steps

of the activity.

• Don’t move from one item to another until you have

summarized the discussion and reviewed the agreed-upon

actions to be taken.

• Moderate disagreements – ask questions that facilitate

individuals’ resolving their differences. Because of the

technology’s limits, be prepared to delay activities, to

delegate further problem solving, or to table items more

often than you would in the face-to-face meeting.

• Take notes and document the conference, especially

agreed-upon actions and decisions. Ask people to slow

down if the pace is too fast for effective recording of

information.

• Review and summarize the conference call, listing action

items, agreements, and the next steps.

Keys to Success with Audience Response Systems

• Let group members experiment with technology early in

the process since they’ll be curious and want to play with

the “toys.” To make them feel comfortable, collect some

demographic information about the group and then show

them the results; this will give them an idea of the

technology’s potential to capture the group’s thinking real

time.

• Emphasize and utilize the technology’s strengths or real-

time feedback and anonymity. This technology is

particularly helpful for groups dealing with significant

change or dealing with conflict, because the anonymity of

the voting allows new or opposing views to emerge.

• Give participants a chance to catch up to the speed of

their actions. Psychologically, participants need a chance

to step back and appreciate the reality of their

accomplishments. After viewing voting results, divide the

group into small breakout teams to share personal

responses to the vote and then answer the question: “What

do we hope and/or fear will happen as a result of this

vote?” This helps to ground the vote in the group’s “real-

world” business climate and suggests practical next-steps

for successful implementation.

GROUP LEADERSHIP

All groups follow predictable stages of group development on

their journey toward becoming self-sufficient, high-performing

teams. These stages are known as forming, storming, norming,

and performing. Different factors such as group maturity,

personnel changes, and alteration of group goals or work

conditions can impact whether a team progresses or regresses.

Group leaders (a team leader, a facilitator, or a team member

providing informal leadership) can help teams navigate through

the hazards of group dynamics and achieve group goals.

The following chart outlines group dynamics:

Stages of Group Development

Forming

Storming

Norming

Performing

Group

Characteristics

• Uncertain

• Tentative

• Serious

• Goals unclear

• Conflict

• Team organizing

• Goals still

unclear

• Hostility

• Defensive

• Committed to

task

• Conflicts

resolved

• Harmony

• Sense of team

pride

• Fully functional

• Self-organizing

• Flexible

• Innovative

Team

Member

Behaviors

• Talkative

• Polite

• Fearful

• Anxious

• Optimistic

• Seeking

belonging

• Disagree

• May resist

demands of

teamwork and

homework

• Comfortable

• Sense of

belonging

• Share willingly

• Enjoy work

• Work earnestly

• Function well

together

• Understand

others’ views

• Experience

personal growth

Leader’s

Tasks

• Give clear

direction

• Get members

acquainted

• Create positive

atmosphere

• Assign straight-

forward, simple

tasks

• Sensitive to

members’ need

for direction

• Open up conflict

• Move toward

negotiation and

consensus

• Get members to

assume more

tasks

responsibly

• Let team assign

own tasks

• Provide

direction

• Hold celebration

• Encourage team

to review own

goals and

progress

• Listener and

facilitator

• Participate

• Consult

• Inspire

• Be involved in

tasks as needed

• Keep

communications

and information

flowing

• Reinforce and

celebrate

achievement

• Provide new

vision

Output

• Little gets done

• Low

• Moderate to

high

• Very high

Facilitation

Tasks

• Organize

• Teach

•

Establish ground

rules

• Set standards

• Set goals

• Manage

expectations

• Listen and

observe

• Enforce ground

rules

• Manage conflict

• Advise

• Intervene as

needed

• Provide

feedback

• Affirm

• Coach

• Encourage

• Foster consensus

• Coach

• Cheerlead

• Withdraw

Managing Conflict

Working with people who have diverse backgrounds, experience,

and opinions provides a rich array of insight and opportunity;

however, some conflict may be expected. Webster’s Collegiate

Dictionary defines conflict as a “mental struggle resulting from

incompatible or opposing needs, drives, wishes, or external or

internal demands.” These different needs and desires drive

individual and group behavior.

Sometimes, conflict is good. Conflict can prompt us to examine

our views at a deeper level. When this happens, we may see

things from a different perspective and change our opinion.

Conflict may also lead to solutions that take into account many

perspectives, prompt more buy-in, and are more likely to

succeed.

Without early intervention, however, conflict situations can

escalate quickly from an open and interactive dialogue to an

emotionally-blinded, adversarial approach to problem solving.

Many conflict situations are disputes which can be resolved using

proper skills and tactics. Managing conflict is an active process

of assessing the dynamics of the situation, strategizing an

approach, implementing the approach, and reassessing the

situation.

ORGANIZATIONAL PERFORMANCE

Improving organizational performance requires examining and

asking “Is this the right thing to do and the best way to do it?”

The Commandant’s Performance Excellence Criteria (CPEC)

asks this question every day and challenges assumptions about

work, ways to improve, satisfying customers, and producing

performance results. Performance results begin with daily work

processes.

To improve any work process:

• Understand the mission (business) of the unit

• Know the end users (customers) and their requirements

• Clearly define the current work processes

• Identify the output(s) of these processes

• Measure the effectiveness and efficiency of the processes

• Continually look for improvement opportunities

The rest of this guide presents information, techniques, and tools

that will help identify the right thing to do and the best way to do

it.

Systems Thinking

Peter Senge, author of three blockbuster business books and

hundreds of insightful articles, and the founder of the Society for

Organizational Learning, suggests that the successful

organization of the future will be the company that can learn the

fastest. What Senge means by “learn” is to act, observe the

results, reflect, adjust, and act again intentionally seeking a

different result.

The company that can get through this learning cycle quickly and

most efficiently—a learning organization—is the one that will

survive and thrive in the long run. In order for an organization to

develop this capability, it must master five disciplines:

• Personal mastery – individuals must understand

themselves and their discipline, and be able to direct their

own actions toward a desired goal.

• Mental models – individuals must be able to create useful

but simple representations of reality—the causes and

effects of actions—that can be used to test ideas. Groups

must be able to identify and integrate their individual

models into one that explicitly represents their consensual

view of reality.

• Shared vision – groups must share the same model of the

desired future state so their individual actions can create

synergy even when not consciously coordinated.

• Team learning – teams must be able to learn in the

fashion suggested above. An army platoon is the

archetype of team learning; through a process known as

an after action report, team members reflect, in a blame-

free environment, about what worked, what didn’t, and

what new or different actions can be tried next time along

with their predicted and intended results.

• Systems Thinking – the fifth discipline.

Systems Thinking achieves its position by being the discipline

that integrates the other four. Each alone is interesting, but

narrowly specific and not integrated into the broader system of

learning and change. Each has value, but cannot survive alone.

All must be considered in a broader context—the system in

which they operate. Systems Thinking is the integrator.

What is Systems Thinking?

Systems Thinking is a way of describing and understanding the

forces and interrelationships that shape the behavior of systems.

The discipline helps us see how to change systems more

effectively, avoid unintended consequences, and act more in

concert with other processes that make up even larger systems.

Then what is a System?

A system is any group of interacting, interdependent, related

parts that form a complex and unified whole, that whole

having some purpose. It exhibits properties or produces results

in excess of the sum of the properties of its components. The

excess is created by the structural organization of the parts.

To assert that something is a system requires identifying the

excess properties; to explain a system means to explain how the

organization of the parts produces the excess.

Examples: a car is a system made up of individual parts, none of

which provides the property of “self-contained transportation”

until the parts are assembled in the right structure, with the right

sequence and timing of activity, etc. A toolbox full of tools is not

a system, but merely a collection, since it would be rare that the

tools would be interdependent. Even though they may be unified

in purpose (woodworking, for example), they are not

interdependent and don’t create any results just by being together

in the right order. On the other hand, a carpenter and a toolbox

full of woodworking tools may act like a system when combined

with materials and a blueprint (purpose).

The budget process is a system. The hiring process is a system.

A small boat is a system. Most Coast Guard units are systems

that have lots of parts, including people, and many different

purposes. The parts often have to be rearranged (different

structural organization) in order to pursue different purposes. But

once the parts are put together in a certain way, the behavior of

that system is determined in large by that structure. That is a

critically important characteristic of systems: the behavior of a

system, how it operates, and what it produces is determined by its

structure.

Characteristics of systems:

• Every system has a purpose within a larger system.

• A system has properties that only emerge when the parts

are assembled.

• All of a system’s parts must be present for the system to

carry out its purpose optimally.

• A system’s parts must be arranged in a specific way to

carry out its purpose. Any other arrangement would yield a

different result.

• The outputs of systems depend on the inputs and the

relationships and feedback among the parts.

• Systems remain in balance by acting on their feedback.

What makes Systems Thinking different from other ways of

thinking?

Analytic thinking is the process of systematically disassembling

something in order to understand it. Break it down into

increasingly smaller parts that grow more understandable as they

are removed from the complexity of the whole. Mechanical and

electronic devices are good examples: disassemble a car to find

out of what parts it is made. But in its disassembled form, it isn’t

a car (system), but a collection of parts. The parts only provide

the excess or emergent property of transportation when they are

properly connected together; no specific part carries the specific

property of transportation.

In contrast, Systems Thinking recognizes the emergent property

as crucial to understanding the system. This is particularly true

of non-mechanical systems (e.g., people, corporations, other life

forms, workgroups, and Coast Guard units). Cutting a cow in

half does not produce two small cows, but two halves of a dead

cow. Disassembling it destroys the emergent property, which can

no longer be understood or even recreated by merely studying the

parts.

How can Systems Thinking be used for process

improvement?

1. Find out who knows the most about the process. Get that

group of people together.

2. Listen to the stories people tell about what works and

what doesn’t. Have each person describe the problem

from his or her point of view.

3. Draw graphs of behavior over time (BOT). Select a time

horizon that shows

long-term patterns as

well as short-term

activity. The graphs

should be of

something

quantifiable that

matters. This can be

one graph of a key output, or many graphs of related

factors.

4. When everyone agrees that the behavior has been

described fairly well, start working backward to find out

what is causing it. This step can be as simple as asking

repeatedly “… and what causes that?” or “… and why is

that?” It can also be as complicated as using a computer-

aided system dynamics modeling and simulation package.

More likely it will be somewhere in between. An

excellent and easily learned method is called causal loop

diagramming. Measurable quantities (stocks) are

connected together by their inflows and outflows (flows),

and the controlling feedback loops are connected in such

a way as to control the flows. After a while, these

diagrams form patterns that look familiar and share

certain archetypal features. Two types will be shown

here.

5. One very common structure reflects the concept of

“snowballing.” “No matter what we

try it just keeps getting worse!” This

pattern is reflected as a loop that

reinforces the behavior, like that on

the right: as sales increase, if the

customers are happy, word of mouth

advertising increases; as word

spreads, it creates more sales,

which further increases word of

mouth advertising … and so on

in a continuously reinforcing

loop. The behavior over time

might look like that on the left.

You can’t improve a process until you can control it …

and you can’t control it until you understand it.

Jim Hines, MIT, 1996

6. A second common type

of structure (loop) is the

balancing loop. These

abound in nature but can

be understood by

thinking of something

with which we all have

some experience: a

thermostat. A heating

system is controlled by a thermostat. We set the desired

temperature on the thermostat, and when the temperature

falls below that

point it sends a

signal to the

heater to come

on, which heats

the air in the

room. Eventually the temperature in the room equals the

thermostat setting, and the thermostat turns off the heater.

Though our goal is to maintain a stable temperature, the

system tends to oscillate, more like the BOT on the left.

This is caused by an inevitable delay between when the

room temperature increases and the thermostat sends an

“off” signal to the heater.

7. Often, once the basic structure of a system is described in

a causal loop diagram, opportunities to change that

structure (install balancing feedback, remove or

compensate for delays, etc.) become more evident.

And

recalling

one of the

characteristics of a system noted above, if we want to

change the behavior (outcomes), we probably have to

change the structure!

Making change then can become an experimental process:

decide on the output of the system, build the mental

model of what will have to change to produce that output,

change it, compare the result to the intended result, adjust

the mental model to take the new information into

account … and try again. In true causal loop fashion, that

brings us back to where we began: What Senge means by

“learn” is to act, observe the results, reflect, adjust, and

act again intentionally seeking a different result.

Reflections, laws, helpful hints, and afterthoughts:

• Actions have both intended and unintended effects.

• The harder you push, the harder the system pushes back.

• Some systems are stable and tend to seek a certain value

if disturbed. Other systems are in equilibrium, but any

disturbance could cause them to tip into a reinforcing loop

in a positive direction, or in a negative direction.

Sometimes it’s hard to tell which is which.

• Systems sometimes react to show improvement before

things get worse. Short-term or obvious solutions may

actually make the problem worse.

• The easy way out often leads back in.

• The cure can be worse than the disease.

• Faster is slower.

• Small changes can bring big results, but the areas of

highest leverage are often the least obvious.

• There is no “away.” When something gets thrown away,

it goes somewhere – expand the boundary of the system

to see that.

• Everything is connected to everything else.

• Look for high leverage points.

• There are no simple solutions.

• There are no final answers.

• Every solution creates new problems.

The Voice of the Customer

All jobs provide a product or service for someone else—a

customer. A work group or unit’s success comes from providing

products or services that meet customer needs.

There are three types of customers: end-user customers, broker

customers, and fixer customers. End-user customers are those

people who ultimately use the work group or unit’s product or

service. These are the most important customers to keep in mind.

Broker customers are those people who transform a product in

some way between you and the end-user customer. Fixer

customers are those responsible for product maintenance. Each

type of customer will have different requirements.

In addition to customer types, consider customer segments.

Different customer segments may also have different

requirements. Boater segments, for example, might include

recreational boaters, fishing vessels, and merchant mariners. A

Servicing Personnel Office may look at the different needs of

officers, enlisted, active duty, reservists, members of other

services, and dependents.

To determine how well an organization is meeting customer

needs, first understand the product or service characteristics the

customer considers most important. Using the Critical-To-

Quality (CTQ) Tree summarized in the Tools section (see page

129) is one effective method. The CTQ tree can help identify

key drivers of product or service satisfaction, as well as key

performance measures. The customer requirements matrix is

another effective tool. It identifies the gaps between what the

organization provides and what the customer expects, and

prioritizes product or service improvement efforts.

Key Quality Characteristics Customers Want in a Product

(Garvin, 1988)

• Performance – basic product operating characteristics

• Features – added touches

• Conformance – accuracy or match with expectations

• Timeliness – available

• Reliability – consistent performance over time

• Serviceability – ease of repair

• Durability – a measure of product life

• Aesthetics – how a product looks and feels

• Reputation – perceived quality

10 Key Characteristics Customers Want in a Service

(King, 1979)

• Reliability – consistency of performance and

dependability

• Responsiveness – willingness to provide service,

timeliness of service

• Competence – possession of required skills/knowledge

• Access – approachability and ease of contact

• Courtesy – politeness and respect

• Communication – keeping customers informed so they

understand

• Credibility – trustworthy, believability

• Security – freedom from danger, risk or doubt

• Understanding – makes an effort to understand the

customer’s needs

• Tangibles – physical evidence of service, clean neat

appearance of personnel

Work as a Process

All work efforts are part of a process, not an isolated event. All

performance gaps, or problems, are related to a work process. A

process is a series of work steps that change inputs into outputs.

Customers are the end users of the process. They are the ones

who can tell you if your process is effective.

The following “SIPOC” diagram illustrates the concept of work

as a process:

Suppliers and customers can be from within your own work

group or unit, another Coast Guard unit, or outside the

Coast Guard. Just as a supplier’s output becomes your input,

your output becomes your customer’s input. Your customer may

have a customer as well. This string of processes forms a system.

When assessing process performance, it’s important to know

what is happening both upstream and downstream. Process

mapping can help you identify opportunities for improvement.

See SIPOC (pages 159-160) and Flowchart (pages 135-137) in

the Tools Section for more information.

Process

Customer

Output

Input Supplier

Key Idea:

All performance gaps, or problems, are

related to a work process. Yet, even when

people understand this concept, they tend to

think in terms of isolated problems, not the

process. In order to address root causes of

problems, and not symptoms, we must

understand the voice of the process.

Performance Elements

The effectiveness and efficiency of processes depend on more

than the procedural steps within the process itself. To properly

examine a process, a team should consider all of the performance

elements:

Outcomes

The benefits that the command/staff/organization

seeks to achieve or influence—the eventual

process and output effect.

Outputs

The immediate products, services, or information

produced.

Inputs

The resources needed for the process to operate.

Conditions

Factors that influence the availability of inputs

and the operation of the process.

Feedback

Solicited or unsolicited comments from others

regarding the process, outputs, and outcomes.

Performance

Measures

Systematically collected quantitative and

qualitative data on the effectiveness and

efficiency of the process.

The table on the next page shows examples of elements that may

factor into the performance of a process.

Element

Examples

Outcomes

Effect on mission(s), program goals, and/or the local

community; employee, customer, and stakeholder

satisfaction; community response; and customer use of

products and services.

Outputs

Boardings, inspections, identification cards, skilled

trainees, health care services, directives, and policies.

Inputs

Equipment, funding, materials, information, skilled

labor, and requests for service.

Conditions

Management priority, organization values, employee

behaviors, work environment, policies, support

systems, and weather.

Feedback

Customer and stakeholder feedback, metrics, news

reports, and independent studies.

Performance

Measures

Customer satisfaction, on-time-delivery, organizational

requirements, quality, cost, cycle time, productivity,

and waste. See the next section for more information.

The following Work Context diagram, which builds on the

“SIPOC” diagram, shows how the elements work together.

Process

Outputs

Outcomes

Feedback

Performance Measures

Inputs

Conditions

Performance Measures

To meet and exceed customer and mission requirements, develop

meaningful effectiveness and efficiency measures:

Effectiveness measures indicate how well process outputs meet

customer and mission requirements. Measures of effectiveness

include customer satisfaction, on-time-delivery, organizational

requirements, and quality.

• Customer Satisfaction is a soft measure of how the

customer perceives a product or service.

• On-Time-Delivery is a measure of how often the desired

process output is delivered when the customer wants it.

• Organizational Requirements are measures of how well

the outputs meet requirements of stakeholders who are not

necessarily customers. Organizational requirements

measures are a subset of quality measures.

• Quality is a measure of how well outputs meet important

requirements or needs, such as reliability and features.

Efficiency measures indicate how well customer and mission

requirements are met with a minimum use of resources.

Measures of efficiency include cost, cycle time, productivity, and

waste.

• Cost is a measure of fiscal stewardship.

• Cycle Time is a measure of the time a service or product

takes to move from the beginning of a process to the end.

• Productivity is the ratio between output and input, as

illustrated in the formula P = O/I (where P = productivity,

O = output, and I = input).

• Waste is a measure of the non-value-added activities and

resources used to meet customer/mission needs. There are

seven types of waste:

o Overproduction

o Transporting

o Unnecessary inventory

o Waiting

o Inappropriate processing

o Unnecessary motions

o Defects

What determines if metrics indicate good results? It depends.

How are similar organizations performing? Or if there are not

similar organizations, how are organizations with similar

processes performing? When broken down into simple

processes, such as conducting an inspection, launching a small

boat, shipping a part, and so on, it becomes easier to make

comparisons. Relevant comparison measures allow units or

workgroups to set meaningful goals and determine whether they

are truly a best-in-class or world-class organization.

Data Collection, Analysis, and Display

Why collect data?

To improve a process one needs to understand the quantity and

quality of a current condition, employ a strategy to improve the

current condition, and assess the effectiveness of any changes.

To do this, data can and should be collected for these reasons:

1. Accountability

2. Establish a baseline to analyze future trends

3. Assess attainment of goals/objectives

4. Determine reasons for success or failure

5. Comply with standards

6. Serve as a basis for timely action or appropriate inaction

7. Effective communication

What can be evaluated?

Anything! But, do not conduct evaluation without forethought or

the cost can quickly outweigh the benefits. Consider evaluation

as an investment and clearly identify who, what, when, where,

why, and how the evaluation will be conducted.

Types of data

The ability to understand a condition is dependent on the type

and method of the information being collected. Data used to

evaluate performance comes in two forms: quantitative and

qualitative. Each data type has associated strengths and

weaknesses and collection methods that need to be considered

when designing a method to understand current conditions and

assessing future outcomes.

Key Idea:

Data are like garbage—you best know what

you’re going to do with it before you start

collecting it!

Quantitative Data

Quantitative data are the result of measurement--the process of

changing words into numbers. Quantitative data tend to be used

for systematic statistical analysis with a goal of verification.

Examples include choice or scale items such as:

Example 1.

What is your current age? ______

Example 2.

Use the following scale to answer the questions

below:

Strongly

Disagree

Neutral

Agree

Strongly

Agree

A. ____ Morale in my department is high.

Example 3.

What is your gender?

1. Female

2. Male

Types of Quantitative Data

Data can be classified into two types: continuous and discrete.

Continuous data (Example 1) are measured on a continuum, e.g.,

age, time, weight, number of units produced per hour, dollars

spent, or test scores. Alternatively, discrete data are not

continuous, that is, they are merely counts, e.g., number of

females in a unit (Example 3). In other words, if you want to ask

“what is the average number of X” you are referring to

continuous data. If you want to ask “what is the percent of X’s

occurrence” you are referring to discrete data. The type of data

measured is directly related to the types of statistical analyses that

can be conducted. What about Example 2?

Say Example 2 provided the following results after sampling 10

students:

Example 2.

A. ____ Morale in my department is high.

Strongly

Disagree

Neutral

Agree

Strongly

Agree

Results:

Average Rating = 4.6

This shows that scale responses can fall into a gray area. They

are technically discrete, each item is an independent response, but

are generally considered continuous data as there is an implied

underlying continuity (strongly disagree to strongly agree). Note:

continuous data are considered more robust than discrete data

because continuous data allow for more complex analyses and

can easily be converted into discrete data (groups), while the

inverse (discrete to continuous) is not possible.

Qualitative Data

While quantitative data answers the question “how many” or

“what amount,” another question is left unanswered: “why?” An

average score may be sufficient in some situations, particularly

when conducting systematic or programmatic analyses, but in

many cases, this is not enough information to make meaningful

changes or improvements. Qualitative data improves our

understanding by clarifying the underlying rationale for

quantitative ratings. In other cases, such as focus groups or

interviews, qualitative data is preferred as it provides rich

feedback with specific examples, ideas, and reasons. In the

above example, it would be useful to know why students felt

what they learned will help them on the job. Was it due to the

content of the instruction, the materials used, or the manner in

which information was presented? In other words, quantitative

data are associated with an end result or product while qualitative

data are associated with understanding the process of a

phenomenon.

The best data collection tools use a combination of quantitative

and qualitative data to capture a full picture of a phenomenon.

Methods of Collection

A number of data collection techniques differ in their collection

method, delivery, and cost. The advantages and disadvantages

associated with three techniques (surveys, interviews, and focus

groups) are displayed below.

Data Collection

Technique

Survey Interview Focus Group

Delivery Method

Paper, Internet Face to Face/Phone Group Session

Advantages

•Primarily quantitative.

•Objective data

collection and analysis.

•Primarily qualitative

•Rich, experience laden

information)

•Flexible-questions can

be guided by previous

responses

•Obtain a large amount

of information in a short

time

•Results are

understandable by lay

people

Disadvantages

•May not explain “why”

•May get superficial

responses

•Statistical analysis can

be overwhelming to

some

•Time to conduct

•Volumes information

•Analysis is subjective

and time consuming

•Non-natural setting

•Requires a facilitator

•Participants may be

influenced by other

participants presence

Preparation Time

Moderate High Low

Time to Conduct

Low High Moderate

Time for

Stakeholder

Low Moderate Moderate

Time for Analysis

Moderate High Low

Guidelines for Data Collection Methods

Plan ahead! Know what questions you want to ask and ensure

the data collection method you select will answer those questions.

It is difficult to go back and collect more data.

Think about the population you are interested in. How will you

sample from this group of people? Do you ask everyone to

participate or only select a few? There are a number of sampling

techniques available to use, the most common being using a

random sample of all possible participants or selecting a specific

group to participate. Regardless of the sampling method, make

sure participants know what is expected of them and what you

plan to do with their data. Federal regulations ensure a

participant’s rights are protected. This protection ensures

participants will remain anonymous, have the right to terminate at

any point, data will remain confidential, and their responses will

not affect their job or performance evaluations (unless clearly

stated otherwise). Remember a participant’s time is valuable. To

get the most valid and meaningful data, do not overtax

participants with questions that do not meet your objectives.

Run a pilot or small practice study prior to the full data collection

to resolve any problems in the collection technique or process.

This is of particular importance if collecting qualitative data

(interviews or focus groups) to ensure familiarity with the

questions. Regardless of the data collection techniques, avoid

confusion by asking clear, singular, focused questions and by

using simple language (no acronyms or “big words”). Keep in

mind:

Survey

• Keep the rating scale the same as often as possible; at

minimum, keep the direction of the scale the same,

generally right to left (bad to good, agree to disagree)

• Avoid using double negatives

• Keep the number of questions as brief as possible

• Make sure choices are mutually exclusive and capture the

entirety of possible answers

Interview

• Build rapport with the interviewee

• Stay neutral

• Read the interviewee for nonverbal cues

• Conclude by asking, “What wasn’t asked that should have

been?”

Focus Group

• Start with broad themes/issues for discussion

• Create an open and trusting environment—no ideas are

wrong

• Base responses on group consensus, not individual

responses

Other Considerations

The type and method of data collected have additional

considerations. To be effective, select a method which meets the

following criteria based on current conditions and needs. Any

data collected should be:

• Timely

• Related to the process

• Collected systematically

• Precisely defined

What To Do With The Data?

Analyze the results of the collected data. Leaving data

unanalyzed wastes time and money. The method of data

collection generally dictates what analysis can be done. This

guide shows several examples of analytical and graphical tools to

describe and display data.

Data Analysis

An in-depth explanation of data analysis is beyond the scope of

this guide; however, two simple tools are available to analyze

data: descriptive analysis and inferential analysis. Descriptive

statistics describe the sample

and inferential statistics determine

Specifically, the sample is an estimate or subset of the target population

from which the sample came from, e.g., a sample of Coast Guard

Reservists are meant to represent the population of all Reservists in the

Coast Guard.

Effective Data Collection Strategy

Answering the following questions will help develop an

effective strategy for collecting data.

• What do we want to accomplish by collecting the data?

• What data is needed to achieve this goal?

• Where in the process should we collect data?

• What sampling scheme should we use?

• How much data (samples/data points) are needed?

• When/how long should data be collected?

• How will we record the data?

• Who is responsible for collecting the data?

• Is the collection method simple and efficient?

relationships between samples. This guide will only cover

descriptive statistical tools.

The types of descriptive statistics used are dependent on the type

of data collected, i.e., discrete or continuous. When describing

data, the goal is to use one/a few numbers to summarize a larger

group of data. For discrete data, this summary generally takes

the form of frequencies and percentages. Frequencies are counts

of each category while percentages are a standard metric for

comparing frequencies by dividing frequencies by the total

number of cases (participants). When reporting percentages,

always include the sample size or frequency to help the reader

correctly interpret the statistic. For example, the statement “75%

of all employees are dissatisfied with their work environment” is

more meaningful if 100 individuals were sampled as opposed to

4 individuals.

Continuous data allow for more complex analysis. Two pieces of

information are needed to describe continuous data taken from a

sample: a measure of the data’s middle point and a measure of

variability or spread. The most common measures used are the

mean (average or middle point) and standard deviation

(“average” variation around the mean), though other measures

exist. In the example below, the ages for 7 participants are 20,

22, 28, 30, 31, 33, and 40. The mean score is 29.1 and the

standard deviation is 6.7.

Spreadsheet and statistical packages (such as Excel, MINITAB,

SPSS, and SAS) can all compute descriptive statistics. Caution:

Though simple to use, these analysis packages assume the user

understands the assumptions underlying statistical tests and can

accurately interpret the results. Consult a statistician or analyst

prior to analyzing data with computer applications.

Qualitative data should be analyzed. The most common

procedure for analyzing qualitative data is to use content analysis.

Content analysis requires an analyst to read through comments,

interviews, or other collected non-numerical data and determine

common themes or patterns within the data. These themes are

usually presented in terms of frequencies.

Displaying Data

Statistics such as frequencies and means provide evidence to

support decisions, but these decisions are not always easily made

from lists of statistics. Graphically representing statistics can

provide a simple and powerful way to help interpret results. Two

types of statistical displays are table and figures.

Tables provide a mechanism to summarize groups of statistics in

a specific location. Tables can also be used to represent

qualitative data, such as the themes derived from a content

analysis or focus group exercise.

Some considerations when developing tables:

• Tables should have labeled titles and column headings.

• Titles should be descriptive but not overly wordy.

• Column headings should include units of measurement.

• Data should be arranged in a logical order.

• Align decimal points and be consistent with the number

of decimal points used. Usually 1 or 2 decimal points are

sufficient.

• Use the space underneath a table to describe other notes

or explanations within a table.

• Do not use too many borders. Generally, a border around

the column headings and at the bottom of the table are

sufficient.

Personality types

Hidden agenda

Table 1. Years on Active Duty

Mean SD

Years Active (Range 0 to 20)

5.2 6.4

Table 2. Gender Distribution

Freq %

Male

Female

48 95.1

4 4.9

Sample size = 52

Note: 2 cases missing

Table 3. Considerations of Facilitators

Tips

Pitfalls

Not affected by outcomes

No personal agenda

Figures include any other type of visual representation of data

beyond a table. It can include a graph, chart, drawing, photo, or

another graphical depiction of data. Figures take more time to

create than tables but a good figure can explain a vast amount of

information with just a glance. Graphs are used to show

relationships. Common graphs include bar charts and line charts.

Change in Employee Earnings: 1990 to 2005

1990 1995 2000 2005

Dollars in Thousands

Males (n=25)

Females (n=20)

Bar Chart Line Chart

Table 4. Content Analysis of User Feedback

Report 1 (# Comments)

Report 2 (# Comments)

Benefits (50)

•

Easy to read (30)

• See the “big picture” (18)

• Nice photos (2)

Concerns (22)

•

Not enough detail (30)

• Wrong customer/audience (6)

Benefits (23)

•

Just enough detail (14)

• Appropriate for audience (9)

Concerns (15)

•

Difficult to read (10)

• Poor transitions between

sections (5)

The most effective figures incorporate the following

considerations:

• All axes are labeled with units of measurement.

• Titles should be descriptive but not overly wordy.

• Fonts should be similar to what is used in other text,

though generally smaller and bolded to identify labels.

• Gridlines can help a reader interpret results.

• Do not use too many colors and be mindful of color

blindness (be careful using blue and yellow or red and

green to display different groups).

• Note the scale. Scales can be altered to emphasize or

diminish results. This is why it is important to label axes

(see below).

Use the simple guidelines presented here and throughout this

guide to better understand any process and use the results to

make meaningful changes and improvements. For more

information regarding data collection, analyses, and display, see

the Additional Resources Section page 171.

Profit for FY 2006

1 2 3 4

Quarter in 2006

Millions of Dollars

Profit for FY 2006

1 2 3 4

Quarter in 2006

Millions of Dollars

Activity-Based Costing (ABC)

Activity-Based Costing (ABC) focuses on work; it measures the

costs of work activities and the products and services that satisfy

customers, influence outcomes, and achieve goals. ABC-derived

data supports activity and strategy planning and prioritization.

ABC systematically organizes Coast Guard work into discrete

activities and allocates overhead as that activity requires and

consumes it. ABC makes the full costs of activities, products,

and services both apparent and transparent; and enables better-

informed decision making on the basis of efficiency (e.g.,

cost/unit, cycle time) and cost effectiveness (return on

investment).

WHY Things

Cost

Resources

Activities

Cost Objects

(Outputs)

Resource

Drivers

Activity

Drivers

Cost Drivers

(Activity Triggers)

Performance

Measures

Cost Assignment View

Process

View

The CAM-I

ABC/M Model

(“CAM-I Cross”)

WHAT

Things Cost

Source: Used with permission of the Consortium of Advanced

Management, International (CAM-I)

The Unified Performance Logic Model (UPLM)

The Unit Performance Logic Model (UPLM) is a detailed

“cognitive mapping” tool, which program analysts primarily use

to capture the cause-and-effect relationships between Coast

Guard capabilities, requirements, activities, outputs, and

goals/outcomes achieved. The UPLM clarifies the relationship

between operational performance (risk management) and support

(readiness management). It demonstrates alignment between

Coast Guard work activities, outputs (products and services) and

the goals, or purposes, for which the work is performed. It is

fundamentally an activity-based model (see ABC) and provides a

framework for metrics.

Unified Performance Logic Model (UPLM)

Support Outcomes

(Stewardship)

Support Outcomes

(Stewardship)

Activity

Output

Support

Outputs

Support

Outputs

Activity

Support

Outputs

Support

Outputs

Support

Activities

Support

Activities

Support

Activities

Support

Activities

Why we perform activities.

How we achieve our goals.

Measures

Requirements

Capability

External

Outcomes

(Public Effectiveness)

External

Outcomes

(Public Effectiveness)

Some Definitions:

• Activity – A unit of work with a beginning and end

leading to an output

• Output – A product or service desired by a customer that

is produced by an activity or a process (e.g., a mariners

license, a strategic plan, a completed SAR case)

• Outcome – The public benefit that the Coast Guard seeks

to achieve or influence (e.g., Maritime Safety—a

reduction in deaths associated with maritime

transportation, fishing, and recreational boating)

• Readiness – Measure of USCG ability to execute mission

requirements IAW standards

• Standard – Designate the parameter or expectation of

performance (Establish standards based on systematic

assessment of requirements and update them to reflect

changing conditions.)

The UPLM shows how activities convert resources into readiness

(authorities, competencies, capabilities, and partnerships) and

how readiness is consumed to influence public outcomes across

the performance spectrum (awareness, prevention, protection,

response, and recovery) to achieve Coast Guard strategic goals.

Building the UPLM is a complex, ongoing, and detailed effort to

identify activities the Coast Guard performs (work), the outputs

produced (products and services), the goals they are intended to

influence, and the cause-and-effect relationship among all. The

UPLM will facilitate and support:

• Causal analysis

• Organizational and performance metrics identification and

alignment

• A standardized, disciplined planning and management

lexicon

• Development of the mission-oriented information systems

architecture (CIO-designed enterprise architecture)

What to Work On

Deciding what to work on can be a difficult task. Whether a team

seeks to improve its own processes or management faces multiple

improvement opportunities, the question “Where do we start?”

must be answered. Whatever the choice, the project must be

worthwhile; that is, it must be:

• Important—there is no point in working on a problem

that nobody cares about. Is there a business case?

• Achievable—is the scope of the project too large?

Projects don’t have to be huge to be important—a series of small

improvements can make a big difference. Small projects can help

spark other ideas and show employees how to make a significant

change. Solving an easy problem provides the experience needed

to tackle tougher ones.

Consider these factors when deciding on a project:

• Customers – Satisfaction, relationships, complaints,

trends in behavior, requirements, etc.

• Organizational goals – What’s important to

management?

• Other stakeholder expectations – Employees,

community, neighbors, suppliers, etc.

• Productivity – Costs in money, labor, material, and

equipment, etc.

• Mission performance – Meeting or exceeding customer

expectations, productivity goals, or standards.

• Organizational assessment – Such as a workplace

climate assessment or the Commandant’s Performance

Excellence Criteria.

• Strategic challenges – Preparing for the needs of your

operating environment.

Process Improvement and Problem-Solving

The DMAIC model is a robust, systematic continuous

improvement approach that consists of five phases: Define,

Measure, Analyze, Improve, and Control. DMAIC offers a

method that focuses on meeting customer requirements, includes

alignment meetings with senior sponsors after each phase, and

emphasizes project prioritization.

DMAIC Phases and Major Steps

Define

1. Form team, develop charter.

2. Identify customers, their requirements and expectations.

3. Define project boundaries (start/stop) and perform cost-

benefit analysis.

4. Map the current process.

Measure

5. Develop data collection plan.

6. Collect data and determine types of defects and metrics.

Analyze

7. Determine current capability and identify gaps.

8. Perform root cause analysis.

9. Identify variation.

Improve

10. Create innovative solutions based on analysis.

11. Develop implementation and pilot plan.

12. Pilot new process.

13. Assess results of pilot and address gaps.

Control

14. Develop, document and implement an ongoing

monitoring plan.

15. Institutionalize the improvements by modifying systems

and structures (staffing, training, incentives).

16. Communicate the results.

DMAIC Roadmap Expanded:

Define

1. Form team, develop charter

 Define project objectives

o Is there a business case?

o What is the problem?

o What is the goal, in measurable terms? Triangulating

the business case, problem, and goal is key.

o What is the scope of the project?

o What is the background?

o Who is the sponsor?

o Who is on the team? Team selection is critical.

2. Identify stakeholders, their requirements and

expectations

 Obtain customer input

o What is the voice of the customer?

o What are the critical-to-quality requirements?

 Identify other stakeholders

o Perform a stakeholder analysis

3. Define project boundaries (start/stop) and perform cost-

benefit analysis

 Identify the first and last step of the process associated

with the problem

4. Map the current process (when appropriate)

 Start with a macro-level flowchart, and then do one with

enough detail to understand the performance challenge

 Identify/verify key process outputs and customers who

use them, key inputs and suppliers who provide them

 Identify/verify the factors that most influence the process

Measure

5. Develop data collection plan

 Check and validate existing measures

6. Collect data and determine types of defects and metrics

 Consider measures of effectiveness and efficiency

Analyze

7. Determine current capability and identify gaps

 Is the process capable of performing to requirements?

8. Perform root cause analysis

 Identify all gaps, root causes, or symptoms that are

beyond your knowledge or control

9. Identify variation

 Examine how the processes associated with the root

causes are performing

Improve

10. Create innovative solutions based on analysis

 Generate lots of ideas, then select the one (or more) most

promising change(s) to make, based on the identified gaps

and root causes

11. Develop implementation and pilot plan

 Consider time, cost, and quality requirements

12. Pilot new process

 Test the process before implementing a full-scale change

13. Assess results of pilot and address gaps

 Did the new process perform as expected?

Control

14. Develop, document and implement an ongoing monitoring

plan

 Choose valid and reliable measures

15. Institutionalize the improvements through the

modification of systems and structures (staffing, training,

incentives)

 Consider Commandant’s Instructions, Standard Operating

Procedures (SOPs), checklists, etc.

16. Communicate the results

 Consider different methods such as presentations, posting

results, and e-mail

Check-in meetings should be conducted at the end of each

DMAIC Phase. These are sometimes called “Toll Gate”

meetings since you have to pay the toll with senior leaders before

you move on. During a tollgate review, the team leader/team

meets with the

senior

champion.

Together, they

review

progress and

ensure that no

steps have

been missed.

For in-depth

DMAIC

model

information

beyond the

scope of this guide, consult the Six Sigma references in the

Additional Resources section.

Effect

Causes

Alternatives

x _______

DMAIC

X ________

Solutions

Metrics

CTQ 1

CTQ 2

The CG Organizational Assessment Survey (CG-OAS)

The CG Organizational Assessment Survey (CG-OAS) is a

biennial survey conducted in the January-March time frame; the

Coast Guard first used it in 2002. The CG-OAS is an extensive

survey that all active duty, selected reserve, and civilian

members/employees are asked to complete. This survey is the

cornerstone of the Human Resources Directorate’s assessment

process. The CG-OAS contributes to performance improvement

by:

• Assessing Coast Guard organizational strengths and

weaknesses

• Providing a basis for effective management, planning, and

evaluation of organizational initiatives and strategies

• Establishing measures to benchmark and evaluate change

in organizational performance over time

• Measuring key indicators relevant to the Government

Performance and Results Act (GPRA) and the

Commandant’s Performance Excellence Criteria (CPEC)

• Providing government and private sector comparative

data

• Providing commands/staffs comparative data for unit type

or communities

CG-OAS results are used by the Chain of Command, Command

Master Chiefs, Rating Force Master Chiefs, program managers,

civilian personnel, reserve component managers, and many

others. CG-OAS data gives these decision-makers a better

understanding of the issues and concerns affecting Coast Guard

people. Our regular CG-OAS use will provide results and trends

to track the success of a wide range of local and service-wide

initiatives.

Coast Guard wide results and tools to work with those CG-OAS

results are located on https://cgportal2.uscg.mil/communities/hr-

survey/SitePages/OAS.aspx. A CO/OINC or their designated

representative can get unit-specific results by contacting COMDT

(CG-1B2).

The CG-OAS gives all but the smallest units a way to track and

respond to unit-level issues with quantifiable information. Also,

it gives senior leaders and program and community managers

valuable information with which to lead and manage their areas

of responsibility.

20%

30%

40%

50%

60%

70%

80%

90%

ALL SECTORS % Positive Values

2012-ALL

SECTORS

2012

2010

2008

100

Coast Guard Business Intelligence (CGBI)

Business Intelligence is a standard industry term that refers to a

set of processes and tools to collect and analyze business data and

transform it into organizational knowledge and—ultimately—

wisdom.

The Coast Guard currently has numerous business intelligence

initiatives underway. COMDT (CG-0954) is partnering with HQ

directorates and field users at all levels to combine the “best” of

these initiatives to deliver a CGBI system that we can rely on and

readily use. CGBI seeks to provide access to dependable data,

standard measures and robust analyses in a repeatable manner to

make fact-based decisions possible. The CGBI motto is: One

Source. One Answer. One Coast Guard.

CGBI includes readiness, activity, and performance measures

for every member, unit, and community accessible through

(http://cgbi.osc.uscg.mil). The “My Workspace” tab provides

information relevant to individuals; the “Units” tab provides

Command Cadre-relevant information; and “CG Analytics”

provides analyst-relevant information.

Business Intelligence principles:

• Organizations run best on accurate information.

• Unit-level people provide 99% of that information;

responsibility for accurate input rests with every Coast

Guard member.

• Every piece of information should be collected only once

and it should be nearly effortless to collect, analyze, view,

and use.

CGBI extracts data from existing Coast Guard systems like

Direct Access, AOPS, ALMIS, TMT, etc., which are mandated

101

by COMDT to be the repository for their respective information.

These are called source systems. In almost all cases, members in

various Coast Guard commands enter data into those source

systems. CGBI does not ‘own’ the data, but merely centralizes

the data and displays it to everyone in a consistent manner.

Many commands and programs have traditionally kept

homegrown databases and spreadsheets in order to store, view

and retrieve data. The problem with this approach is that each

collects and stores different data in various methods (Excel

spreadsheets, Access databases, etc.), which forces individualized

training at each command/staff and does not allow information

sharing between commands/staffs. To allow good data

stewardship, each command, staff, and member is asked to enter

the data into the official source system. Those that ensure

reliable and timely data input will reap full CGBI benefits of

accurate and useful information with which they and other

decision-makers can confidently make use of.

One Source. One Answer. One Coast Guard.

What is Business Intelligence?

– A set of business processes and tools for

collecting and analyzing business data and

information and transforming it into

organizational knowledge and ultimately

wisdom.

CG Business Intelligence (CGBI)

Analysis

102

The Commandant’s Innovation Council

We recognize the potential for individuals to solve organizational

challenges by ingeniously applying their talents and existing

resources. The Commandant’s Innovation Council champions

Innovators by revealing and illuminating their ideas and

evaluating them for Coast Guard-wide implementation. The

Council acts as a catalyst for change in Mission Execution and

Mission Support. The Council seeks to promote an innovative

Coast Guard culture; identify enabling technology; champion

innovative solutions; and improve Coast Guard key processes.

Our Innovation Initiative was formally established in November

2000. Since its inception, the Innovation Council, which reports

directly to the Coast Guard Chief of Staff, provides cross-

programmatic advocacy to Coast Guard people, units, and

programs while promoting an innovative culture that entertains

all ideas to resolve organizational challenges.

PHILOSOPHY: Innovation is not a new concept, just as improving

efficiency and effectiveness are age-old objectives; across private

and government sectors, leaders search for new ways to get better

results. The innovation initiative aids leaders in this goal through

processes that seek out, promote, and help implement ideas to

improve effectiveness. The Council aggressively acts to

prioritize and champion competing innovative projects and

enables Field Innovation Councils to ensure Coast Guard-wide

alignment and implementation.

PROCESSES: To further the Innovation Initiative goals, the

Council uses the following processes:

• Innovation Venture Capital Fund: Funds innovative solutions

to organizational challenges; supports the annual Innovation

Exposition; and Captain Neils P. Thomsen Innovation

Awards program. Members and units may submit proposals

to the Commandant’s Innovation Council via the Innovation

Database, where proposals are evaluated for technical,

103

Innovation Venture Capital Fund Decision Process

Information from source (member,

unit, or organization) is manually

entered into the Innovation Database

ing Database guidance/steps.

Submission

remains in

Innovation

Database

pending

review

Submission is reviewed by

specified Command

Location

(

PACAREA

LANTAREA

or HQ

Unit

)

using established

criteria

Is this a request for

funding

Yes

Action taken as deemed

necessary by Command

Location Reviewer

Submitter notified of

disposition

Does reviewer need

additional information

Yes

Submitter contacted

requesting additional

information

Does submission meet

criteria

Yes

Innovation submitted to

COMDT’s Innovation

Council for funding

consideration

(

see Note

)

Does submission have

support from

Innovation Council

Would additional

information help

Yes

Funds are allocated and

transferred as needed to support

innovation development

Innovation will remain in the

Database but is marked Closed

No further action taken

Note: LANTAREA and

PACAREA Field

Innovation Councils

may approve funding

for innovation in their

AORs; not to exceed

$100K annually.

104

business, and resource merit. See the Innovation Database at

CG Central and http://www.uscg.mil/innovation/.

• Innovation Exposition: The annual Expo is designed to bring

together Team Coast Guard, industry, and other government

agencies to establish open dialogue among technology users,

innovators, academia, Research and Development (R&D)

Centers, and Coast Guard support elements to promote

innovation. The Expo typically focuses on major Coast

Guard challenges and agendas consisting of issues pertaining

to Homeland Security and other Coast Guard mission areas.

Annual Innovation Exposition information is promulgated via

ALCOAST at the start of each calendar year.

• Captain Neils P. Thomsen Innovation Awards: These

Awards recognize individuals or teams for their ability to

develop creative ideas that result in successful implementa-

tion of an innovative solution. Four types of individual

and/or team awards exist: (1) Science or Technology;

(2) Operations or Readiness; (3) Administration, Training, or

Support; and (4) the Commander Joel Magnussen Innovation

Award for Management. Award winners are announced at

the annual Innovation Exposition. Additional information on

the Award Program, including nomination procedures, is

published in COMDINST 1650.8 (series), Captain Niels P.

Thomsen Innovation Award and is announced each year via

ALCOAST.

105

TOOLS

As used here, “tools” refers to techniques used to guide and

organize group or individual thoughts. Successful groups or

individuals must become adept at identifying the most effective

tool for a given situation.

A cornerstone of any performance improvement initiative is to

get the ideas of the people involved. People get excited about

contributing to efforts that make things better, especially when

those efforts involve their work areas or processes. The tools and

techniques presented in this section will help you:

• Identify customer requirements

• Generate ideas

• Pare down a list of ideas

• Prioritize ideas

• Make decisions

• Collect, display, and analyze data

• Plan effectively

106

Action Planning

What is it: Often, projects evolve from meeting discussions and

decisions. Action planning helps ensure that what is decided upon

actually gets done.

How to use it:

Top section:

When a decision is made that a certain project or task needs to be

done, write the project description in the Action Item box. Extra

action planning sheets may be used for large projects. Identify

outcomes in the What Demonstrates Completion box. Write in

the names of the project manager, process owner, or person

responsible for the overall task in the Champion box.

Bottom section:

Continue by listing each task description in the Steps to Achieve

Desired Outcome column. Once a person is identified to

spearhead the task, that person becomes accountable for ensuring

that the task is completed and his or her name is written in the

Who column. Finally, the deadline agreed upon by all concerned

is written in the When column.

Helpful hints:

• To ensure accountability, use specific names and dates.

• Break work down into manageable chunks. The 80-hour

rule is a rule of thumb that recommends assigning chunks

that require less than 80 hours to complete.

107

WhenWho

Steps to Achieve Desired Outcome

Champion:

What demonstrates completion:

Action Item:

Action Plan

When using this approach, a good rule of thumb is to involve the

person responsible for completion of a given project in deciding

the Steps to Achieve Desired Outcome and When It Gets Done.

Formally document the plan and periodically review its status

with stakeholders.

108

Affinity Diagram

An affinity diagram organizes verbal information into a visual

pattern. An affinity diagram starts with specific ideas and helps

work toward broad categories. Use either technique to explore

all aspects of an issue. Affinity diagrams can help you:

• Organize a list of factors that contribute to a problem

• Identify areas where improvement is most needed

How to use it:

1. Identify the problem. Post the problem or issue in a

location where all team members can see it.

2. Generate ideas. Use index cards or sticky notes to

record the ideas.

3. Cluster your ideas (on cards or paper) into related

groups. Use questions like “Which ideas are similar?”

and “Is this idea somehow connected to any others?” to

prompt ways to group ideas together. Discuss the

groupings to clarify and elaborate each person’s thoughts

on why a particular idea belongs in a particular grouping.

While each idea usually fits into a unique category,

sometimes a single idea may be placed into more than one

category. This is not wrong.

4. Create affinity cards. For each group, create a card that

has a short statement/header describing the entire group of

ideas.

109

5. Cluster related affinity cards. Put all of the individual

ideas in a group under their affinity header. Group the

affinity cards under even broader groups. Continue to

group the cards until your grouping becomes too broad to

have any meaning.

6. Create an affinity diagram. Post all of the ideas and

affinity cards. Draw outlines of the groups with the

affinity cards at the top of each group. The resulting

hierarchical structure will provide valuable insight into

the problem.

Affinity Diagram example:

A publication team wanted to reduce the number of typographical

errors in their program’s documentation. As part of a first step,

they conducted a brainstorming session that produced the

following list of factors that influenced errors.

Computers

No Feedback

Proofreading Skill

Lighting

Typewriters

Chair Height

Comfort

Desk Height

Time of Day

Technical Jargon

Interruptions

Handwriting

Grammar

Slang

Spelling

Draft Copy

Punctuation

Distribution

Font

Final Copy

Editing Skill

Computer Skill

Typing Skill

No Measurement

Printers

Unreasonable

Deadlines

Noise

110

The following affinity diagram helped them to focus on areas for

further analysis.

Helpful hints to keep ideas flowing:

Use 3x5 cards or sticky notes to record your ideas: This

allows you to cluster similar thoughts, eliminate duplications, and

use a “silent” version of any of the techniques listed in this

section. This can be helpful when issues carry a lot of emotion.

Environment

Interruptions

Unreasonable

Deadlines

Time of Day

Ergonomics

Noise

Lighting

Desk Height

Chair Height

Comfort

Original Document

Author Skill

Handwriting

Grammar

Punctuation

Spelling

Requirements

Draft Copy

Final Copy

Distribution

Font

Technical Jargon/Slang

Equipment

Computers

Printers

Typewriters

Training

Typing Skill

Editing Skill

Computer Skill

Proofreading Skill

No Definition of

Quality

No Measurement

No Feedback

111

Sticky Note Rules:

• Only one (1) idea per Sticky Note

• Use Black Permanent Markers Only – makes it easy to

read and provides anonymity

• Write in Landscape Orientation, vice Portrait – ensure

Sticky Side is on Top

• Leave a little space on the Top-Left-Corner of the Sticky

Note – space to used for labeling of ideas, if needed

Be creative! Don’t limit suggestions or ideas early on in

discussions. Encourage people to think creatively. Ask “What

if?” and visualize the desired state if you could do anything you

wanted. Ask “If I were the Commandant…”

During your idea-generating sessions:

• Change seats – views can be affected by where people sit

in relation to others

• Avoid cliques – encourage people to sit with those whom

they don’t know

• Review the data or ideas periodically – encourage further

input

• Rotate groups and/or members to provide a fresh

perspective

Make it clear you want EVERYONE to participate!

• Create an open climate

• Work to develop a group consensus

• Don’t evaluate – concentrate on getting many ideas

HAVE FUN!

112

Brainstorming

Brainstorming is a technique, generally used in a group setting, to

quickly generate a large number of ideas about a specific problem

or topic. It can help encourage creative thinking and generate

enthusiasm, as well as avoid the “paralysis of analysis” by

holding the evaluation of ideas until a group has identified

different possibilities.

How to do it:

The goal of brainstorming is to generate ideas. Before you start,

remind everyone in your group to postpone judgment until after

the brainstorming session is completed.

• Post the problem or topic where all participants can see it.

• Write all ideas on the board and do as little editing as

possible.

There are three different types of brainstorming techniques:

silent, structured, and unstructured. Each technique has different

pros and cons.

In Silent Brainstorming:

• Participants may write ideas individually on sticky notes

or small slips of paper. Collect the papers and post them

for all to see.

• Individuals cannot make disruptive “analysis” comments

during the brainstorming session and the process provides

confidentiality. This can help prevent a group from being

overly influenced by a single participant or common flow

of ideas.

• The group can lose the synergy that comes from an open

session.

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In Structured Brainstorming:

• Solicit one idea from each person in sequence.

• Participants who don’t have an idea at the moment may

say “pass”.

• Each person has an equal chance to participate regardless

of rank or personality.

• Spontaneity can be limited. It can sometimes feel rigid

and restrictive.

In Unstructured Brainstorming:

• Participants simply contribute ideas as they come to mind

and can build off each other’s ideas. The atmosphere is

very relaxed.

• Less assertive or lower-ranking participants might not

contribute.

An ideal approach is to combine two of these methods*. For

example, begin the session with a round of silent or structured

brainstorming, and then finish with an unstructured period.

*It is a good practice to begin with Silent Brainstorming first

because it gives time to those who need that moment of silence to

think. Beginning with Silent Brainstorming generally leads to

more creative ideas.

The result of a brainstorming session is a list of ideas. If this list

is too long, the group can pare it down with a tool, such as Multi-

Voting, or prioritize it with a tool, such as Nominal Group

Technique.

114

Helpful Hints:

Never judge ideas as they are generated. The goal of

brainstorming is to generate a lot of ideas in a short time.

Analysis of these ideas is a separate process.

Don’t quit at the first lull. All brainstorming sessions reach

lulls, which are uncomfortable for the participants. Research

indicates most of the best ideas occur during the last part of a

session. Encourage the group to push through at least two or three

lulls.

Try to write down all of the ideas as they were presented.

When an idea is condensed to one or two words for ease of

recording, it is analysis. Analysis should be done later.

Encourage outrageous ideas. While these ideas may not be

practical, they may spur a flow of creative ideas. This can help

the group break through a lull. Remember: the best way to have

good ideas is to have LOTS of ideas.

Try to have a diverse group. Involve process owners,

customers, and suppliers to obtain a diverse set of ideas.

After brainstorming:

• Reduce the list to the most important items

• Combine items that are similar

• Discuss each item on its own merits

• Eliminate items that may not apply to original issue or

topic

• Give each person a final chance to add items

115

Cause-and-Effect Diagram

A cause-and-effect diagram graphically illustrates the

relationship between a given outcome and all the factors that

influence this outcome. Sometimes called an Ishikawa or

“Fishbone” Diagram, it helps show the relationship of the parts

(and sub-parts) to the whole by:

• Determining the root causes of a problem

• Focusing on a specific issue without resorting to

complaints and irrelevant discussion

• Identifying areas where there is a lack of data

How to use it:

1. Specify the problem to be analyzed. State the problem

in quantitative terms (e.g., “50% of employee

performance reviews are not submitted on time”). This

helps teams avoid finger pointing by focusing on facts

rather than opinions. Place the problem statement in a box

on the right side of the diagram. Then list the major

categories of the factors that influence the effect being

studied. The “6 Ms” [Methods, Manpower (personnel),

Materials, Machinery, Mother Nature (environment), and

Measures] are commonly used as a starting point: These

six categories are key sources of variation in any process.

In service processes, the 4Ps may be more useful: Policy,

Procedures, Plant (or Place), and People.

116

2. Identify factors and sub-factors. Use an idea-

generating technique to identify the factors and sub-

factors within each major category. An easy way to begin

is to use the major categories as a catalyst.

3. Identify Root Causes. Utilizing the “Why Technique

(see pg. 164),” look for factors that appear repeatedly or

have a significant effect according to data available. A

sub-factor may be the root cause of all your problems.

You may also decide to collect more data on a factor that

had not been previously identified.

Effect

Methods

Manpower

Mother Nature

Materials

Measures

Machinery

Effect

Methods

Manpower

Mother Nature

Materials

Measures

Machinery

117

Charter

A charter is a tool that can help groups:

• Determine a business case for a project

• Define the problem

• Focus the goal

• Establish project scope

• Facilitate buy in from key stakeholders

• Identify project milestones, metrics, and resources

• Clarify linkages to strategic and mission objectives

• Identify if others are working or have worked on the

problem

• Identify potential aids or barriers

There are many different styles of charters, but most have the

same basic information:

Title:

 Team Name – be descriptive

Key Stakeholders:

 Key individuals or constituent groups that will be affected

by or can impact the success of the project

Champion:

 Senior leader and project sponsor

Problem Statement:

 Describe what is wrong: “The Pain”

 Ask “when and where do problems occur?”

 Ask “what is the size and impact of the problem?”

 Use specific business metrics

 Ask “would customers be happy if they know we are

working on this?”

118

Goal Statement (See pg 24-25):

 Define the improvement objective for Critical to Quality

 Start with a verb – Reduce, Eliminate, Control, Increase,

etc.

 Tend to start broadly – include a measurable target (it

should NOT prescribe solutions)

Business Case and Project Scope:

 Why is project worth doing?

 How does this positively impact our clients?

 What is the bottom-line financial impact?

 What process is being improved?

 Why is it important to do now?

 What are the consequences of not doing?

 How does this fit within the business or process

priorities?

Scope:

 What are the boundaries of the process?

 What is out of bounds for the project?

Project Milestones / Metrics / Resources:

Milestones:

 Discuss project milestones and dates

 Discuss key dependencies and other matters that

affect project execution

Metrics:

 Specify the primary and secondary metrics for the

project

Resources:

 Who will need to be on the team?

 What resources will be needed other than money?

119

Background:

What Strategic Objective does this project help drive?

 List the strategic objective(s) this project helps drive /

accomplish

What Mission Objective does this link to?

 List the specific mission objective(s) this project

directly links to

Is anyone else working or has anyone worked on this

problem/opportunity?

 Yes/No (All project sponsors or project managers

must ensure that this is not a duplicative effort.)

Where did you look?

 List the other contacts that you checked with to ensure

that this is not duplicative work

What did you find?

 Briefly state what was learned

Aids:

 What will help this project be successful?

Barriers:

 What will hinder success?

120

Check Sheet

A check sheet is a form you can use to collect data in an

organized manner and convert it into readily useful information

like Pareto charts or histograms. With a check sheet, you can:

• Collect data with minimal effort

• Convert raw data into useful information

• Translate opinions of what is happening into what is

actually happening, i.e., “I think the problem is…”

becomes “The data says the problem is…”

How to use it:

• Clearly identify what is being observed. The events

being observed should be clearly labeled. Everyone has

to be looking for the same thing.

• Keep the data collection process as easy as possible.

Collecting data should not become a job in and of itself.

Look for the easiest approach; simple check marks are

easy.

• Group the data. Collected data should be grouped in a

way that makes the data valuable and reliable. Similar

problems must be in similar groups.

• Be creative. Try to create a format that will give you the

most information with the least amount of effort.

121

Check Sheet example:

Check Sheet

Help Desk Complaints

IIIIIINo help

Thu

3856718Totals

15IIIIIIIIIII IPoor

customer

service

16IIIIIIIIIIII III

Long wait

TotalsFriWedTueMon

122

Consensus Cards

Consensus cards allow team leaders, facilitators, and group

members to visually see where the group stands on an issue;

examine all viewpoints; and keep the group focused.

How to use them:

Buy enough five-color packs of 3” x 5” index cards so that each

person gets one card of each color. Typically, the cards come in

green, yellow, red, orange and either blue or purple. Assign uses

to each color as listed in the table below.

Consensus Cards

Color

Use

Green

Agree, “I can support this.”

Yellow

Unsure or need more information.

Red

Disagree, “I can’t support this.”

Orange

Getting off topic

Blue or Purple

Wildcard, use for when the group

needs a break or needs to move on.

Ask group members to weigh in on an issue by holding up a

green, yellow, or red card, as appropriate. Require that all

members hold up a card. This ensures that those who are on the

fence make a choice.

A good approach is to allow the minority, which will often hold

yellow or red cards, to voice their perspective. Explore the

reasons why they are unsure or disagree with the issue. Allowing

the minority to state their viewpoint may help the group develop

a solution that is inclusive of many perspectives and avoid

groupthink. A key facilitative question to ask is “What concern, if

addressed, would cause you to change your yellow vote to green

or red vote to yellow?”

123

The Wildcard

Using a wildcard, such as a blue or purple card, can remind

groups that they are overdue for a break or signal the group that

the discussion is heading into the weeds.

Often a timekeeper will keep track of agreed-upon breaks. (An

often used rule of thumb is ten minutes of break for every fifty

minutes of meeting.) Sometimes, the group will get engaged and

forget the time. A blue or purple card can serve as a reminder to

take time to recharge.

When used as a “don’t beat a dead horse” card, the blue or purple

card can signal that it’s time to move on. A good approach is to

let the person talking finish their thought, then ask the group if

the issue has been sufficiently addressed, needs to be discussed

further, or put in the parking lot.

124

Contingency Diagram

The contingency diagram is a way to capitalize on negative

thought. It helps leaders consider all the potential negative

“contingencies” of a future goal or program. Also, by thinking of

all the ways a problem can get worse or continue unchecked, a

group can develop an action plan to overcome any barriers.

How to use it:

1. Place a goal or problem in the center circle.

2. Draw lines outward from the circle as ideas are brainstormed:

• What will cause this situation to get worse or continue?

• What will prevent (or sabotage) the desired state?

Implement

new duty

schedule

Large number of

leave requests

Gaps between departing

and arriving personnel

Surge operations

Lack of qualified

people

Over

-tasking of

personnel during

break-in period

Emergent situations

Poor schedule

management

TDY assignments

3. Formulate a plan with specific actions to prevent these

obstacles.

4. Develop a prevention/action checklist by taking each obstacle

identified and brainstorming ways to prevent it from

happening (start each action with a verb). See below an

125

example using some of the obstacles identified in the

contingency diagram:

Prevention/Action Checklist

Obstacles

Corrective Actions

A. Poor scheduling

1. Set a deadline for input prior to scheduling.

2. Identify when personnel are not available.

3. Assign standby in case of emergent issues.

B. Over-tasking of

personnel

during break-in

period

1. Modify the break-in process to have

reporting personnel break-in full time

under the guidance of the duty supervisor.

This will shorten the cycle time of the

process and increase the number of

qualified personnel.

2. Monitor the break-in process through

measures of efficiency and effectiveness.

Communicate these measures to the crew.

C. Gaps between

arriving and

departing

personnel

1. Identify potential gaps by systematically

reviewing career intention worksheets and

e-resumes. Post transfer dates on the unit’s

master calendar to create a clear picture.

2. Use the command concerns process to

communicate unit needs to detailers before

the transfer season.

3. Monitor the number of filled billets and

quality-of-match and communicate these

measures to the crew.

Plans such as this can help leaders define or improve a process,

as well as address any gaps that may exist in the implementation

of a future program.

126

Control Charts

Control charts are the next step from run charts; they help users

determine if a process is in Statistical Process Control (SPC).

Control charts use mathematically derived upper and lower

control limits. Statistically, 99.73% of all stable process results

fall between these limits. Control charts show unwanted process

changes that appear as abnormal points on a chart. The process is

said to be in “statistical control” when the data vary randomly

within the upper and lower control limits.

Control limits are not tolerance or specification limits; rather,

they are mathematical functions of how a process performs.

Thus, it is possible for a process to be in statistical control but

operate outside tolerance.

The control chart type selected depends on the type of data

collected. There are several types of control charts; each has an

appropriate use and inherent strengths and weaknesses. Control

chart selection is beyond the scope of the PIG; however, the X-

Bar chart on the next page is an example of the most commonly

used chart and shows individual process outputs.

The chart, with upper and lower limits, shows that the (fictitious)

maximum time to get underway is 21 minutes—within the upper

limit. However, it is probable that this process will generate a

result that is unsatisfactory to USCG standards. To prevent such

an occurrence, this cutter needs to change its process.

While the most common sign of special cause variation is having

a single point above or below the upper and lower control limits,

there are other indicators. These observations indicate the

presence of special cause variation:

 1 or more points outside the control limits

 7 or more consecutive points on one side of the centerline

 6 points in a row steadily increasing or decreasing

 14 points alternating up and down

127

Special cause variation should be investigated and the cause

removed if possible; however, process redesign is not required if

the process is stable and within acceptable limits (standards).

Treating special cause variation as common cause variation, and

vice versa, can have disastrous effects on performance results.

The chart below shows the launch times for this unit have not

been affected to date by special cause variation.

Patrol Boat Launch Time

Occurrences

Minutes

Cycle Time

Average

UCL

LCL

Patrol Boat Launch Time

Occurrences

Minutes

Cycle Time

Average

UCL

LCL

The chart below shows the Coast Guard maximum limit for

launch times is inside the control limits. It is likely this process

will eventually produce a result that is unacceptable. Process

redesign may be in order.

Patrol Boat Launch Time

Occurrences

Minutes

Cycle Time

Average

UCL

LCL

CG Standard

128

Critical-to-Quality (CTQ) Tree

A critical-to-quality (CTQ) tree can take a “soft” customer need

and break it down into more tangible customer requirements.

How to use it:

1. Need (What is the Goal?): Begin with an overall

customer need. Examples of needs are on-time delivery,

good customer service, or as illustrated below, effective

search and rescue response.

2. Drivers (How to Deliver?): Identify the key drivers that

support the unit’s ability to supply that need.

3. CTQs (What to Measure?): Identify the metrics that

measure how well those drivers are performing. Use

“hard” numbers such as wait time or number of defects

over “soft” measures such as customer satisfaction survey

response indicators. CTQ measures often provide input to

a unit or workgroup’s strategic planning process and can

be used to drive process improvement projects.

CRITICAL-TO-QUALITY (CTQ) TREE

What is

the

Goal?

(How to Deliver?) (What to Measure?)

129

Good

Customer

Service

Knowledgeable

reps

Answers given by reps are correct

Reps can answer questions

asked by customer without

further research

Researched information

returned quickly

Friendly reps

Customer greeted by name

Customer not interrupted

Short wait

Time on hold

Customer transferred

immediately to the person

who can help them

Need

Drivers CTQs

General Specific

Hard to measure Easy to measure

Voice of the Customer

: Critical to Quality

(CTQ) Tree

USCG

example:

Effective

SAR

response

Boat crew

training

Maintenance

Need

Drivers

% required

training

completed

CTQs

% underway

on time

Location

information

% of systems

operational

% successful

location of

vessel

130

Customer Alignment Questions

Customer alignment questions generate information about how

well processes meet customer needs. To establish some agreed

upon performance requirements, ask these four questions:

• What do you need from me?

• What do you do with what I give you?

• What are the gaps between what I provide and what you

need?

• What do I give you that you do not want or need?

How to use them:

These questions will allow discovery of customer’s needs, wants,

and expectations for the services, products, or information

supplied. By understanding how the customer is using output,

one can better align process capabilities with what the customer

wants. Knowing if there are gaps and what the impacts of those

gaps are can provide improvement opportunities. Asking

customers what they don’t want or need can help reduce

unnecessary work.

Once you obtain this information, establish a baseline to better

determine which direction to take. Consider establishing a

formal, repetitive feedback system if it will help in continuous

process improvement.

131

Customer Requirements Matrix

A customer requirements matrix helps suppliers identify the

characteristics of a product or service that drive customer

satisfaction and evaluate opportunities for improvement.

How to use it:

1. Identify quality characteristics—key requirements of a

product or service as defined by the customer.

2. Ask the customer to rate the Importance and Performance

of each quality characteristic. Performance is a rating of

how well the supplier is doing (see example below).

3. Calculate the gaps in performance. Importance x

performance gap = opportunities for improvement.

4. Allocate resources from Characteristics with Positive (+)

Totals to Characteristics with Negative (-) Totals

Performance: 1 = Poor → 5 = Excellent

Importance: 1 = Not Important → 5 = Very Important

Gap = Performance Rating – Importance Rating

Total = Importance Rating x Gap

132

Decision Matrix

A decision matrix, or prioritization matrix, is used for selecting

one option from several possibilities. It involves selecting criteria

by which the items will be judged and using them to make a

decision. It can be used to choose a single problem or solution

from a list.

How to use it:

1. Generate a list of options using an idea-generation tool,

and then pare the list down to a manageable few.

2. Choose criteria. Once the list of criteria is generated, the

team discusses and refines the list to the five or six that

the team believes are the most important. Often-used

criteria include:

• Effectiveness

• Feasibility

• Capability

• Time requirements

• Cost

• Enthusiasm (of the team and of others)

3. Weight the Criteria. After the criteria are identified, the

team assigns a relative weight to each criterion based on

how important that criterion is to the situation. There are

different ways the options can be graded against the

criteria. One way is to answer with a yes/no, but

problems might arise if two different options receive the

same number of yes/no votes.

Another way is to rate the criteria on a scale in relation

to each of the options. The option with the highest, or

lowest depending on the scale used, point total might be

the option the group decides to focus on first.

133

4. Draw a grid. Create the grid with the criteria across the

top and the options along the left side.

Decision Matrix example:

Criteria #1

(weight

value)

Criteria #2

(weight

value)

Criteria #3

(weight

value)

Score

Option

5. Evaluate Choices. Evaluate each Option against the

criteria.

6. Calculate Weight Values. Multiply each choice’s rating

by the weight. If the Option with the highest total score is

not completely agreed upon by all team members, the

relative scores can be used generate meaningful

discussion and lead the team toward consensus.

134

Flowchart

A flowchart is a graphic representation of the major steps of a

process. It can help you:

• Understand the complete process

• Identify the critical stages of a process

• Locate problem areas

• Show relationships between different steps in a process

How to use it:

1. Identify the process. Define the start point and finish

point for the process to be examined. It is sometimes

helpful to refer to the SIPOC model to do this on a macro

level.

2. Describe the current process. Lay out all the process

steps from beginning to end. Use the symbols shown on

the next page to improve clarity.

3. (Optional) Chart the ideal process. Identify the easiest

and most efficient way to go from the start block to the

finish block. While this step isn’t necessary, it makes the

next step easier.

4. Search for improvement opportunities. Identify the

areas that hinder the process or add little or no value. If

the optional step (Step 3) was done, examine all areas that

differ from the ideal process and question why they exist.

Consider measures of effectiveness and efficiency.

5. Update your chart. Build a new flowchart that corrects

the problems identified in the previous step.

135

Helpful hints:

Put the process steps on sticky notes. This allows the chart to be

rearranged without erasing and redrawing.

Note: It is sometimes more efficient for the group to develop the

major elements of the process than to create a more detailed and

aesthetically pleasing flowchart.

These are standard flowchart symbols:

This

symbol...

Represents… Some examples are…

Start/Stop

♦ Receive trouble report

♦ Receive input from supplier

Decision Point

♦ Approve / Disapprove

♦ Accept / Reject

♦

Yes / No

Activity

♦ Drop off travel voucher

♦ Open access panel

Document ♦ Fill out a trouble report

Connector (to

another page or part

of diagram.)

Database

♦ Coast Guard Business Intelligence

(CGBI)

136

Flowchart example:

Scenario: A copy machine suffered frequent paper jams and

became a notorious troublemaker. Often a problem could be

cleared by simply opening and closing the access panel.

Someone observed the situation and flowcharted the

troubleshooting procedure:

Copy Machine

Stops

Open Access

Panel

Check Paper

Feed Area

Close Access

Panel

Press “Print”

Does it work?

Open Access

Panel

Check Toner

Area

Close Access

Panel

Press

“Print”

Does it work?

Open Access

Panel

Check Collator

Area

Close Access

Panel

Press

“Print”

Does it work?

Call

Repair Person

Make copies

137

Force Field Analysis

Force field analysis helps identify key forces that promote or

hinder the solution of a problem or the achievement of a goal.

How to use it:

1. Define the objective. Place the problem or goal to be

analyzed in the upper right corner of the chart.

2. List the forces. List the key factors that promote or

hinder the achievement or goal or the resolution of the

problem. Use an idea-gathering technique to

independently create two lists: one for promoting forces

and one for hindering forces.

3. Prioritize. Prioritize the forces in each list according to

their relative impact on the problem or goal. To prioritize,

use Nominal Group Technique (NGT) (see page 147-148)

or some other decision-making tool.

4. Implement. Create an action plan to minimize the key

hindering forces and maximize the promoting ones.

Force Field Analysis example:

• Unit support

• ESO support

• Tuition assistance

• Family support

• Credit for military

experience & courses

• Job responsibilities

• Operational tempo

• Hard to study at home

• Family responsibilities

• Poor study habits

Goal: Get a College Degree

Promoting Restraining

138

Gantt Chart

A Gantt chart depicts an overall project timeline, lists tasks

required for project completion, and visually illustrates task

dependencies. Project managers often include other key

information such as task responsibilities (who is responsible for

task completion) and resource requirements.

How to use it:

1. Identify the work that must be accomplished.

2. Plot the time required for each task. Be sure to note

which tasks are dependent on others, and if the required

resources are available at that time. The overall plot can

help managers determine the total project time required

and monitor task completion.

139

Gap Analysis

Gap analysis is used to identify how to close the gap between the

current situation/problem and the desired situation/solution. It can

help with problem solving and planning either before or after

making a decision.

How to use it:

1. Explain and explore the current situation and the desired

situation.

2. Compare these to define the gap and the changes needed

to reach the desired situation/solution.

Gap Analysis example:

Current: Where

are you now?

Gap to be closed:

Actions or Impact:

Desired Situation:

Where do you

want to be?

140

Histogram

A histogram is a bar graph that shows the central tendency and

variability of a data set. Histograms are sometimes referred to as

frequency distributions. A histogram can help:

• Understand the variability of a process

• Quickly and easily determine the underlying distribution

of a process

How to use it:

1. Determine the type of data to collect. Be sure that the

data is measurable (e.g., time, length, speed).

2. Collect the data. Collect as many measurable data points

as possible. Collect data on one parameter at a time.

Check sheets may be used but are not the only way to

collect data for a histogram.

3. Count the total number of points you have collected.

4. Determine the number of intervals required. Use this

table to determine how many intervals (or bars) the graph

should have.

If you have this #

of data points…

Then use this #

of intervals

less than 50

5 - 7

50 - 99

6-10

100 - 249

7 - 12

More than 250

10 - 20

5. Determine the range. Subtract the smallest value in the

data set from the largest. This value is the range of the

data set.

141

6. Determine the interval width. Divide the range by the

number of intervals. Round up answers to a convenient

value. For example, if the range of the data is 17 for 9

intervals, then the interval width is 1.88. Round this to

1.9 or 2.0. It is helpful to have intervals defined to one

more decimal place than the data collected.

7. Determine the starting point of each interval. Use the

smallest data point value as the first interval starting

point. The starting point for the second interval is the

sum of the smallest data point plus the interval width. For

example, if the smallest data point is 10 and the interval

width is 2, then the starting point for the second interval is

12. Label intervals along the horizontal axis.

8. Plot the data. Count the number of data points that fall

within each interval and plot this frequency on the

histogram. Keep in mind that each data point can appear

in only one interval. For example, if the first interval

begins with 10.0 and the second with 12.0, then all data

points that are equal to or greater than 10.0 and less than

12.0 are counted in the first interval.

Helpful hints:

• Each data point appears in only one interval.

• The number of intervals can influence the pattern the data

will take.

• The histogram will not be a perfect bell curve; variations

will occur. See if the picture is reasonable and logical. Be

careful not to let preconceived ideas influence decision

making.

142

Histogram example:

The weights of 80 Coast Guard members are listed in this

table:

208

155

159

153

115

159

150

127

145

190

130

165

147

189

139

175

180

171

181

156

109

206

130

150

200

128

187

150

163

149

189

159

165

141

180

173

179

166

172

156

208

155

159

201

150

185

150

163

149

190

137

165

145

188

180

171

169

185

178

128

158

129

201

159

127

159

161

191

144

165

147

189

139

166

169

170

180

169

175

The points are distributed on a histogram as follows:

20-

15-

10-

# of

people

109 121.4 133.8 146.2 158.6 171.0 183.4 195.8

Weight (lbs.)

80 data points--8 Intervals

Range= 208-109=99

Interval width=99/8=12.375 (or 12.4)

143

Kano Model

The Kano model examines factors that contribute to customer

satisfaction. Some factors, if not fulfilled, lead to dissatisfaction,

but if fulfilled will not delight the customer. For example, if a

car does not run or is unreliable, it will lead to dissatisfaction.

However, a car that simply runs will not delight the average

person.

There are also features where more is better, such as car features

like air conditioning, power windows, seats, and door locks, a CD

player, etc. These factors may lead to dissatisfaction, but in the

case of a fully loaded car, contribute to delight.

Finally, there are delighters. In terms of today’s cars, these might

include GPS, luxury upgrades, or others that make the buyer say

“Wow!” Customers, not suppliers, determine delighters.

Next, consider

television sets. In

the 1950s, few

TVs had a remote

control; remotes

were delighters

back then,

especially for the

kids who were

constantly being

told to get up and

change the

channel! Today a

remote is a must-

have item; not

having one may lead to dissatisfaction but having one will not

necessarily lead to delight—although features integrated into

newer remotes may add that “Wow!” factor.

144

Delighters

Must Be

More Is Better

Absent Fulfilled

Degree of

Achievement

Delight

Neutral

Dissatisfaction

Customer Satisfaction

Kano Model

Multi-Voting

Multi-Voting is a way for a group to determine which items in a

list are most important. This technique helps you:

• Pare down a larger list into a manageable few

• Separate the vital few items from the important many

How to use it:

1. Combine like items. This prevents splitting votes for

essentially the same thing.

2. Letter the choices. This makes tabulating the votes

easier.

3. Use the half-and-half rule. Each person gets a number

of votes equal to approximately half the number of items

on the list (10 votes for a 20-item list). Then each person

gets up to half the number of votes to place on any one

item (if each person has 10 votes, then the maximum

number they can assign to one item is five).

4. Vote. Have each member vote privately on a slip of

paper for the items they believe have high priority.

5. Compile the votes given to each item. If planning is

done beforehand, this can be time for a group break! Put a

mark beside each item for every vote it receives.

6. Reduce the list. Highlight the items that received the

most votes.

Helpful hints: Multi-Voting is best suited for larger groups and

long lists. Its simplicity makes it quick and easy to use. Be sure to

get consensus on the final results. This is not a final decision-

making tool!

145

Multi-Voting Example:

Scenario: District staff members attended a lot of meetings and

complained that the meetings were not always productive. The

Chief of Staff held a brainstorming session to find the reasons for

unproductive meetings:

Reasons for Unproductive Meetings

A. No agendas

B. No clear objectives

C. Going on tangents

D. Too long

E. Too much protocol/politics

F. Wrong people

G. Not enough data provided before meeting

H. No administrative support

I. Roles of participants not clear

To reduce this list to a manageable size, each member was given

five votes (approximately half of the total number of items). Each

member was allowed to assign a maximum of three votes to any

one item.

The reasons received the following votes:

A. //// F. /////

B. // G. ///// /////

C. /// H. //

D. ///// ///// I. ///// ///

E. ///

The group then decided to focus on D, G, and I.

146

Nominal Group Technique

Nominal Group Technique is a method to prioritize items in a

list. Nominal Group Technique helps:

• Prioritize a list of ideas

• Make decisions using inputs from all participants

How to use it:

1. Assign a letter to each idea. For example, for seven

ideas, you would assign the letters A through G.

2. List the letters. Have each person in the group write the

assigned letters on a piece of paper.

3. Prioritize the lists. Have each person prioritize their list

by writing a number beside each letter. If there are seven

ideas, then “1” is written beside the letter corresponding

to the most important idea. This is repeated for each

number until “7” is written beside the letter corresponding

to the least important idea. Each number (1 through 7) is

used only once by each group member.

4. Compute the group total for each letter. The letter

with the lowest score is the idea with the highest priority,

and the letter with the highest score has the lowest

priority.

147

Nominal Group Technique example:

The following office problems were identified in a brainstorming

session:

A. Ineffective organizational structure

B. Poor communications outside the office

C. Lack of training

D. Poor communications within the office

E. Unclear mission and objectives

F. Poor distribution of office mail

G. Lack of feedback on reports on management

Each group member then wrote the letters A through G on a piece

of paper and prioritized each problem from 1 to7 (lowest to

highest), using each number only once. The results were

summarized as follows:

Person

Options

Total

Priority

1 Highest Priority

7 Lowest Priority

* Results are like scoring in Golf, the Lowest Number wins!

148

Pareto Chart

Pareto charts are bar charts used to separate the vital few from the

trivial many. The Pareto Principle is a rule of thumb which states

that “20 percent of the problems have 80 percent of the impact.”

The 20 percent of the problems are the “vital few” and the

remaining problems are the “trivial many.” A Pareto chart can

help:

• Separate the few major problems from the many possible

problems to focus improvement efforts

• Arrange data according to priority or importance

• Determine which problems are most important using data,

not perceptions

How to use it:

1. Use existing metrics or collect new data on the process.

Be sure the units of measure are consistent throughout the

data. Select attributes to be charted so that any given

occurrence will fall into just one category. Check sheets

are great sources of data for building a Pareto.

2. Label the chart. Label the units of measure on the left

vertical axis and the categories of problems on the

horizontal axis.

3. Plot the data. Order the categories according to their

frequency, not their classification. Use a descending order

from left to right. Categories that appear infrequently, or

in comparatively small numbers, can be grouped together

in an “Other” category.

4. Optional. You can place a line that represents a

cumulative total above the bars along with a percentage

scale along the right vertical axis.

149

Helpful hints:

• Determine which type of measure is most important ($, #,

%, etc.) and clearly mark these units on the chart

• Order categories from left to right, in descending order, to

highlight impact

• If the “Other” category accounts for more than 25% of the

problem, break it down

Pareto Chart example:

Progressive Analysis: Progressive analysis takes one category

from the Pareto chart and breaks it down into its subparts,

progressing from the general classifications to the specific. It is

used when the category has many subparts to it that might be

affecting it. The resulting bar graph is a Pareto chart which can

then be broken down even further.

Billeting Complaints

Not clean Temperature Maintenance Furnishings External noise Other

Problem Type

Number of Times Problem Occured

0.1

0.2

0.3

0.4

0.5

0.6

0.7

0.8

0.9

Percent

Data

Pareto

150

Project Requirements Table

A project requirements table can help prioritize tasks in terms of

musts, wants, and nice-to-have items and establish project scope.

How to use it:

1. List the project customer requirements in the “musts”

column.

2. List deliverables that the customer wants, but are not

requirements, in the “wants” column.

3. List items that would delight the customer in the “nice”

column. Customer requirements, as well as time and

resource constraints, will help guide project scope.

Project Requirements Table example:

Project: Build Storage Facility

Musts

Wants

Nice



5,000 sq. ft.

 Secure access

 Separate unit

storage cages

 Heavy-duty

shelving

 Large garage

door

 Energy-efficient

lighting



Fire equipment



Air conditioning

 Garage door

opener

 Water fountain



Finished interior

 Light sensors

151

Project Responsibility Matrix

A project responsibility matrix can help project managers

coordinate the completion of tasks.

How to use it:

1. List all tasks for the project under the tasks column. If

necessary, use additional sheets. Typically, project

managers will assign the same letter or number used to

identify tasks from a work breakdown structure (WBS) or

other planning tool.

2. List the project team members or other individuals who

will complete or support the completion of each task

under the project contributors heading. Consider also

those individuals that must be notified prior to task start.

3. Fill out the matrix by assigning task responsibilities to

each person.

Example of typical headings and values:

Completion Date:Revision Date:Project:

Tasks:

Project Contributors:Manager:

Responsibility: 1 = Key Role, 2 = Support Role, 3 = Must Notify

152

Run Chart

Also called a trend chart, a run chart is a graph that shows the

changes in a process measured over time. It can help:

• Recognize patterns of performance in a process

• Document changes over time

How to use it:

1. Construct the chart. Label the vertical axis with the key

measurement of the process being measured.

2. Collect the data. Collect data for an appropriate number

of time periods, in accordance with your data collection

strategy.

3. Plot the data. Plot each data point on the chart. This

provides a reference for drawing conclusions about

individual data points.

4. Calculate and plot the average.

5. Interpret the chart.

153

Run Chart example:

1. Construct the chart. In this case, the unit is looking at its

launch time in minutes.

2. Collect the data (not shown). Data collection is often done

on a check sheet, logbook, or spreadsheet.

3. Plot the data. Plot each data point on the chart in the order it

was collected (as it occurred in time).

Minutes

Occurrences

Patrol Boat Launch Time

Cycle Time

Average

Minutes

Occurrences

Patrol Boat Launch Time

Cycle Time

Average

154

4. Calculate and plot the average. The average is the sum of

all the data points divided by the number of points.

5. Interpret the chart. In order to properly interpret the data,

there are a few things you to know.

First, how was the data collected? Was it collected specifically

for this purpose or as the byproduct of some other process? What

emphasis was given to this data collection effort? Was it verified

by a second collection method or source? These questions are

important for data integrity. The closer the data is to reality, the

better the analysis.

Second, is the process being measured stable? In other words,

did the same process generate all the data? When multiple

people accomplish the same objective, they often use different

processes. If this is the case, the data will not be a true reflection

of a single organizational process and the analysis may be

affected as a result. Another example how a change process can

be used to create a data set is initiating a process improvement

effort. If, during the data collection, the process is altered

(installing new machines or improving existing techniques), the

data will need to be divided as shown on the following page.

Minutes

Occurrences

Patrol Boat Launch Time

Cycle Time

Average

155

A stable process will generate different values; this difference is

called variation. Common cause variation is the difference in

numbers generated by a stable process. Special cause variation

generates a value outside of the normal range of numbers and is

discussed in the Control Chart section.

If the data integrity is satisfactory and the data-generation process

was/is systematic and repeatable, interpret the chart.

To begin, look for signs that the process has significantly

changed. There are three basic ways to do this:

• Six points in a row that steadily increase or decrease.

• Nine points in a row on the same side of the average.

• Significant shifts in levels, cyclical patterns, and bunching

of data points.

If any of these can be seen on your chart, explore what happened

to the process to cause the change. Positive changes should be

documented and institutionalized. Negative changes should be

analyzed and their root causes corrected.

Next, identify the range within the data set. Is the difference

between the highest and lowest points on the chart acceptable?

Even if the chart shows only a few points too high or too low, see

if the process needs to be improved or redesigned. If the range is

acceptable and the process is stable, there should be no need to

change the process.

The chart below shows more than nine points above the average

line indicating a change in the process. Root cause: In week 11,

the individual measured on this chart began training for a

marathon.

156

Weight per Week

195

200

205

210

215

220

225

230

Week

Weight (Lbs)

Weight

Average

A more descriptive way to display the data might be to separate

the stable process from the new process and assign each its own

average (see chart below). Expect to see the second average drop

as the new process stabilizes.

Weight per Week

195

200

205

210

215

220

225

230

Week

Weight (Lbs)

Weight

Average 1-10

Average 11-20

157

Scatter Diagram

A scatter diagram is a graph that can reveal a possible

relationship between two variables. Use it to identify possible

causes of problems and to recognize how one important variable

might be related to another.

How to use it:

1. Collect the data in pairs. A data pair consists of two

different variables that appear to have a relationship.

2. Construct the graph. Label the horizontal and vertical

axes in ascending order. Ensure that the values on the

two axes correspond to the data pairs.

3. Plot the data. Plot each point and look for patterns.

Circle repeated points. The figure below gives an

example.

0 5 10 15 20 25 30 35 40

Hours Spent Studying

GPA

If there appears to be a relationship between two variables, they

are said to be correlated. This means that a relationship exists,

not that one variable causes the other. Further analysis using

advanced statistical techniques can quantify how strong the

relationship is between two variables.

158

SIPOC

SIPOC (see pg 74-76) is shorthand for Supplier, Input, Process,

Output, and Customer. It enables a group to identify customer

requirements and factors that affect a given process.

How to use it:

1. Describe a process in verb-noun format. For example:

conduct boarding, fix equipment, or fill prescription.

2. Create a high-level flowchart of the process. A good rule

of thumb is to identify 5-7 steps. A flowchart shows how

inputs are transformed into outputs.

3. List outputs; identify customers, customer segments, or

stakeholders that receive each output; list inputs; and

identify suppliers that provide each input.

SIPOC

CustomerProcess OutputInputSupplier

Rebuild

Engine

Rebuilt

Engine

CoxswainMechanic

Repair

Parts

Equipment

Manual

Diagnostic

Equipment

Tools

MK School

Supply

Manufacturers

159

A SIPOC can help identify and address sources of variation

which affect outputs and ultimately the customer. Variation is

present in all processes. It comes from the inputs to the process

and is also generated within the process itself. When identifying

inputs to the process, consider the “6 Ms” which are six key

sources of variation: methods, manpower (personnel), materials,

machinery, Mother Nature (environment), and measures. For

service processes, the 4 Ps may be more useful: policy,

procedures, plant, and people.

If, during an analysis of a process, an input is found to be a root

cause of the problem, work with the associated supplier to correct

the problem.

Measures of efficiency and effectiveness can help monitor

process health. See Performance Measures for more

information page 77.

160

Stakeholder Analysis

Use a stakeholder analysis to identify stakeholders and potential

risks during any project that involves change.

How to use it:

1. Plot where individuals currently are with regard to desired

change ( = current).

2. Plot where individuals need to be (X = desired) in order to

successfully accomplish desired change—identify gaps

between current and desired.

3. Indicate how individuals are linked to each other; draw

lines to indicate an influence link using an arrow (→ ) to

indicate who influences whom.

4. Plan action steps for closing gaps.

161

SWOT Analysis

SWOT (see pg. 24) Analysis is a method of performing an

environmental scan that is often used as an input to a strategic or

project plan. It allows a group to capitalize on their strengths,

identify weaknesses, take advantage of opportunities, and

identify threats.

SWOT Analysis

Strengths OpportunitiesWeaknesses Threats

SWOT analyses take both an internal and external view. The

strengths and weaknesses categories are looked at from an

internal perspective (internal to the group or unit), while the

opportunities and threats categories are looked at from an

external perspective (external to the group or unit).

How to use it: Two common methods for conducting a SWOT

analysis are silent brainstorming and round-robin.

162

Silent Brainstorming

Silent brainstorming means that there is no discussion until

the entire group stops brainstorming. Have each participant

write their ideas on 3x5 sticky notes using fine-point

permanent markers, one idea per sticky. Concentrate on one

category of the SWOT at a time, and post the notes on a piece

of labeled chart paper as participants generate them. This

way, participants can feed off of other ideas. Twenty minutes

per category is a good rule of thumb for this method. Some of

the best ideas will surface after a lull in activity, so avoid

rushing the process. After the group has completed

brainstorming, assign several members per category to group

and label the items. Check in with the group regarding the

results.

Round-Robin

Label four charts: strengths, weaknesses, opportunities, and

threats. Split participants into four groups and assign a chart

to each group. Have group members write their ideas on 3x5

sticky notes using fine-point permanent markers, one idea per

sticky. Have them post the ideas as they go. Assign a

timekeeper and rotate groups so that they are assigned a new

chart at previously agreed-upon intervals. Five minutes per

category is a good rule of thumb for this method. As groups

rotate, they must read the ideas generated by previous groups,

then add their own ideas. After the entire cycle, assign several

members per category to group and label the items. Check in

with the group regarding the results.

163

Why Technique

Asking, “Why?” repeatedly allows the peeling away of symptom

layers to get to the heart of an issue. This technique also helps

show how different causes of a problem may be related.

How to use it:

1. Describe the problem in specific terms.

2. Ask why it happens.

3. If the answer doesn’t identify a root cause, ask why again.

You have identified the root cause when asking why

doesn’t yield any more useful information.

Points to remember:

• Focus on the process/aspects of a problem, rather than on

the personalities involved. Finding scapegoats does not

solve problems!

• Answers to each successive “why” may require gathering

additional information.

• A problem may have more than one root cause. In this

case, the key is to address the causes that have the most

impact.

164

Work Breakdown Structure (WBS)

A WBS is used to identify the work to be done and the scope of a

project.

Work Breakdown Structure (WBS)

Paint Office

Prep

Cut In

Paint

1.1

Clean

1.2

Lay

Drop Cloths

2.1

Tape

2.2

Cut In

2.3

Do Corners

3.1

Roll

3.2

Touch

Level 0

Level 2

Level 1

How to use it:

1. Prior to defining the work to be accomplished, gather

relevant information regarding customer and stakeholder

requirements, as well as available resources.

2. Identify the work that needs to be accomplished in

appropriate sized chunks called “work packages.” This is

best accomplished in a small group setting, since different

people will have a different perspective on the work that

needs to be done. A simple way to accomplish this task is

to use 3x5 sticky notes and chart paper. Arrange the stick

notes in a tree fashion.

165

There are two general approaches to identify the work:

top-down and bottom-up. In the top-down approach,

begin at Level 0 with the overall project. Then, break

work down into categories beginning at Level 1 and down

to further levels as appropriate. Typically, smaller

projects will not go beyond Level 4. A good rule of

thumb is to break each work package down so that each

does not exceed 80 hours. This is known as the 80-hour

rule.

3. Once the overall work is identified, a common way to

formalize the WBS is to put it in outline format. Work

packages can be identified by number, levels, and tasks.

For example, tasks at Level 1 may be labeled 1, 2, 3, and

so on; tasks at Level 2 may be labeled 1.1, 1.2, 1.2, and so

on. Each task can then be assigned appropriate personnel,

budget, and a due date.

4. More complex projects may require the use of specialized

scheduling tools such as activity network diagrams

(ANDs) or Gantt Charts; other project planning or

implementation tools; or project management software.

166

GLOSSARY

Acronym

Definition

Description

ABC

Activity-Based

Costing

Measures the costs of work

activities and the products and

services that satisfy customers,

influence outcomes, and achieve

goals.

CPC

Commandant’s

Performance

Challenge

A facilitated self-assessment

done by Coast Guard units to

assess their leadership and

management practices compared

to the CPEC.

CPEC

Commandant’s

Performance

Excellence

Criteria

The Coast Guard’s management

model based on the Malcolm

Baldrige National Performance

Excellence Criteria.

CTQ

Critical to

Quality

Links customer needs from voice

of the customer (VOC) data

collection efforts and enables the

project team to get more specific

information that cascades in a

“tree” format.

DMAIC

Define Measure

Analyze

Improve Control

Problem-solving model used in

Six Sigma Projects.

DOE

Design of

Experiments

A Six Sigma tool used to test

multiple causes in a systematic

way so that causal relationships

within a process can be

determined.

DPMO

Defects Per

Million

Opportunities

Six Sigma represents 3.4 DPMO

or 99.9997% accuracy; 3.8 Sigma

represents 10,700 DPMO or

98.9% accuracy.

167

Acronym

Definition

Description

ESC

Executive

Steering

Committee

Sometimes used to describe the

most senior management team in

an organization. See also SLT.

FADE

Focus Analyze

Develop Execute

A problem-solving model

introduced to the Coast Guard in

1991 by the consulting firm ODI.

FMEA

Failure Mode

and Effects

Analysis

Used to identify specific ways

that a process, product, or service

may fail. Once this is

understood, countermeasures can

be developed to mitigate the

potential failures.

Hamilton Award

A rigorous award program

modeled after the Malcolm

Baldrige National Quality

Award. Commands/Staffs that

achieve mature management

levels through their CPC efforts

can become eligible for this

award program.

LDC

Leadership

Development

Center

The U.S. Coast Guard’s training

center and clearinghouse for

leadership and management

training and performance

improvement.

NGT

Nominal Group

Technique

A decision making tool that

prioritizes your ideas.

NWG

Natural Working

Group

A team that works around

common processes or functions

within an organization.

168

Acronym

Definition

Description

PDCA

Plan Do Check

Act

The elemental problem-solving

model made popular by Dr. W.

Edwards Deming in the mid-

1900s to bring scientific

problem-solving discipline into

management practices.

QAT

Quality Action

Team

A team chartered to work on

solving a specific problem or

improving a process.

QMB

Quality

Management

Board

Sometimes used to describe a team

of mid- to higher-level managers

in an organization who oversee

improvement areas within a

specific functional area.

SIPOC

Supplier Input

Process Output

Customer

A basic model used in process

management activities to

delineate all the components of a

process.

SLT

Senior

Leadership

Team

Sometimes used to describe the

most senior team in an

organization. See also ESC.

VA/NVA

Value-Added /

Non Value

Added

Used in process improvement to

distinguish between the steps in a

process that are most critical.

VOC

Voice of the

Customer/Client

A Six Sigma tool used to

understand key drivers of

customer satisfaction.

WIIFM

What’s In It For

A key concept in change

management, WIIFM helps

employees see why the change is

important and can help them.

169

REFERENCES

Coast Guard Leadership Development Program,

COMDTINST 5351.1 (series).

Commandant’s Performance Excellence Criteria Guidebook,

COMDTPUB P5224 (series).

Doyle, M., Straus, D. (1976). How to Make Meetings Work. New

York: Jove Books.

Justice, T. and Jamieson, D. (1999). The facilitator’s fieldbook:

step-by-step procedures, checklists and guidelines, samples

and templates. New York: AMACOM.

Kayser, Thomas A. (1990). Mining Group Gold. El Segund, CA:

Serif Publishing.

Keller, P. A. (2005). Six sigma demystified. New York: McGraw-

Hill Professional.

Senge, Peter M. (1990). The Fifth Discipline. New York:

Doubleday.

170

ADDITIONAL RESOURCES

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TABLE OF TOOL USAGE Frequent • Occasional ο

Tool

Generate

Ideas

Collect

Info

Analyze

Info

Make

Decisions

Display

Info

Plan

Action Planning

•

Affinity Diagram

•

Brainstorming

•

Cause & Effect

•

Charter

•

Check Sheet

Consensus Cards

•

Contingency Diagram

•

Control Charts

•

Critical

-To-Quality Tree

•

Customer Rqmts Matrix

•

Decision Matrix

•

Flowchart

•

Force Field Analysis

•

Histogram

•

Kano Model

•

Multi-Vote

•

Nominal Group Technique

•

Pareto Chart

•

Project Rqmts Table

•

Proj Responsibility Matrix

•

Run Chart

•

Scatter Diagram

•

SIPOC

•

Stakeholder Analysis

•

SWOT Analysis

•

Why Technique

•

Work Brkdown Structure

•

173

TABLE OF TOOL USAGE (DMAIC) Frequent • Occasional ο

Tool

Define Measure

Analyze Improve

Control

Action Planning

•

Affinity Diagram

Brainstorming

•

Cause & Effect

•

Charter

•

Check Sheet

•

Contingency Diagram

Control Charts

•

Critical-To-Quality Tree

•

Customer Rqmts Matrix

•

Decision Matrix

•

Flowchart

•

Force Field Analysis

Histogram

•

Kano Model

•

Multi-Vote

•

Nominal Group Technique

•

Pareto Chart

•

Project Rqmts Table

•

Proj Responsibility Matrix

•

Run Chart

•

Scatter Diagram

•

SIPOC

•

Stakeholder Analysis

•

SWOT Analysis

•

Why Technique

•

Work Brkdown Structure

•

174

QUICK TOOLS REFERENCE GUIDE